本文選題：公私合作(PPP) + 控制權　； 參考：《清華大學》2015年博士論文

【摘要】：PPP(Public-Private Partnerships,公私合作)項目效率對市場化的需求與產品服務屬性對政府控制權的約束構成了PPP項目控制權在政府與企業(yè)間配置的矛盾,控制權的合理配置是PPP項目成功的必要條件,而決策是行使控制權的資源載體。論文首先結合WBS(Work Breakdown Structure,工作分解結構)工具與扎根理論提出一套識別方法,通過梳理相關理論總結決策的六個組成要素,借助NVivo軟件從六個PPP相關合同范本中識別了PPP項目的28項主要決策。然后采用FMEA(Failure Mode and Effects Analysis,失效模式與影響分析)方法、因子分析等工具進行指標設計,通過專家調研收集PPP項目各主要決策的評估數據,包括各項決策的重要性評估、決策各階段參與主體的分配等。其次,論文解讀了多部相關法規(guī)對PPP項目控制權的配置,提出“參考度”的概念,從不同法規(guī)、不同決策過程、不同配置主體等多個視角對法規(guī)解讀的統計結果進行分析,并通過與專家調研數據的相關性分析探索法規(guī)的控制權配置原則,研究發(fā)現存在法規(guī)針對性不強、監(jiān)督權配置不明確、企業(yè)激勵不足等問題,然后提出了PPP法律體系的系統建立、加強并細化PPP項目監(jiān)管、政府重視與企業(yè)的合作關系等三方面針對性建議。第三,論文應用因子分析與OLS(Ordinary Least Square,普通最小二乘法)回歸分析,建立了PPP項目控制權度量模型,并通過兩個PPP案例的應用進行了驗證。該度量模型提供了一種在既定權利分配方案下度量PPP項目中政府所占控制權份額的方法,論文在模型建立過程中還發(fā)現PPP項目決策各階段過程參與主體分配的相關性、政府合理的控制權份額區(qū)間等結論。最后,論文從重要性程度的三個維度即失效后果的嚴重程度、失效發(fā)生的概率大小和失效的檢測難度進行因子分析建立了包含15個PPP項目控制權配置影響因素的因素庫,通過OLS和Logistic兩種回歸分析方法識別并驗證了顯著影響PPP項目決策提議權和審批權的12個影響因素,包括產品服務的公共化程度、政企雙方利益的一致性程度等。根據各項影響因素對PPP項目控制權配置的影響方式與特點總結了PPP項目控制權配置的四項原則,即應充分發(fā)揮企業(yè)優(yōu)勢、政府應充分放權、應保證企業(yè)“有利可圖”、應注重合作等。然后從控制權配置的視角對1043個PPP示范性項目進行案例分析,對本文結論進行了補充和驗證。
[Abstract]:The demand for marketization of PPP(Public-Private partnerships and the restriction of product and service attributes on government control constitute the contradiction between the allocation of control rights of PPP projects between government and enterprises, and the reasonable allocation of control rights is the necessary condition for the success of PPP projects. Decision-making is the carrier of resources to exercise control. First of all, combining the WBS(Work Breakdown structure tool with the root theory, the paper proposes a set of identification methods, and summarizes the six components of the decision by combing the relevant theories. With the help of NVivo software, 28 major decisions of PPP project are identified from six PPP related contract models. Then we use the FMEA(Failure Mode and Effects Analysis, failure mode and impact analysis method, factor analysis and other tools to design indicators, through expert research to collect the evaluation data of the main decisions of the PPP project, including the importance of each decision evaluation. The allocation of participants in each stage of decision making. Secondly, the paper interprets the allocation of the control rights of PPP projects by several relevant laws and regulations, and puts forward the concept of "reference degree", and analyzes the statistical results of the interpretation of the regulations from different laws and regulations, different decision-making processes, different collocation subjects, and so on. And through the correlation analysis with expert survey data to explore the principle of the allocation of control rights, the study found that there are some problems, such as weak pertinence of regulations, unclear allocation of supervision power, insufficient incentive of enterprises and so on. Then it puts forward three specific suggestions: the systematic establishment of PPP legal system, the strengthening and refinement of PPP project supervision, and the government attaching importance to the cooperative relationship with enterprises. Thirdly, by using factor analysis and OLS(Ordinary Least Square-Common least Squares regression analysis, a measure model of PPP project control is established, which is verified by the application of two PPP cases. This measurement model provides a method to measure the share of government control rights in PPP projects under a given rights allocation scheme. In the process of establishing the model, we also find the correlation of the allocation of participants in various stages of PPP project decision-making. The government reasonable control share interval and so on conclusion. Finally, from three dimensions of importance, namely, the severity of failure consequences, the probability of failure occurrence and the difficulty of failure detection, the factors database including 15 factors influencing the allocation of control rights of PPP projects is established. By means of OLS and Logistic regression analysis, 12 factors that influence the power of decision proposal and approval of PPP project are identified and verified, including the degree of publicity of product and service, the degree of consistency of interests between government and enterprise, and so on. According to the influence of various factors on the allocation of control rights of PPP projects, this paper summarizes the four principles of the allocation of control rights of PPP projects, that is, the advantages of enterprises should be brought into full play, the government should give full play to the power, and the enterprises should be guaranteed to be "profitable". We should pay attention to cooperation and so on. Then, 1043 PPP model projects are analyzed from the view of control allocation, and the conclusion of this paper is supplemented and verified.
【學位授予單位】：清華大學
【學位級別】：博士
【學位授予年份】：2015
【分類號】：F283
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本文編號：1825950