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

【摘要】：PPP(Public-Private Partnerships,公私合作)項(xiàng)目效率對(duì)市場(chǎng)化的需求與產(chǎn)品服務(wù)屬性對(duì)政府控制權(quán)的約束構(gòu)成了PPP項(xiàng)目控制權(quán)在政府與企業(yè)間配置的矛盾,控制權(quán)的合理配置是PPP項(xiàng)目成功的必要條件,而決策是行使控制權(quán)的資源載體。論文首先結(jié)合WBS(Work Breakdown Structure,工作分解結(jié)構(gòu))工具與扎根理論提出一套識(shí)別方法,通過(guò)梳理相關(guān)理論總結(jié)決策的六個(gè)組成要素,借助NVivo軟件從六個(gè)PPP相關(guān)合同范本中識(shí)別了PPP項(xiàng)目的28項(xiàng)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(jìn)行指標(biāo)設(shè)計(jì),通過(guò)專(zhuān)家調(diào)研收集PPP項(xiàng)目各主要決策的評(píng)估數(shù)據(jù),包括各項(xiàng)決策的重要性評(píng)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(guān)法規(guī)對(duì)PPP項(xiàng)目控制權(quán)的配置,提出“參考度”的概念,從不同法規(guī)、不同決策過(guò)程、不同配置主體等多個(gè)視角對(duì)法規(guī)解讀的統(tǒng)計(jì)結(jié)果進(jìn)行分析,并通過(guò)與專(zhuān)家調(diào)研數(shù)據(jù)的相關(guān)性分析探索法規(guī)的控制權(quán)配置原則,研究發(fā)現(xiàn)存在法規(guī)針對(duì)性不強(qiáng)、監(jiān)督權(quán)配置不明確、企業(yè)激勵(lì)不足等問(wèn)題,然后提出了PPP法律體系的系統(tǒng)建立、加強(qiáng)并細(xì)化PPP項(xiàng)目監(jiān)管、政府重視與企業(yè)的合作關(guān)系等三方面針對(duì)性建議。第三,論文應(yīng)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(xiàng)目控制權(quán)度量模型,并通過(guò)兩個(gè)PPP案例的應(yīng)用進(jìn)行了驗(yàn)證。該度量模型提供了一種在既定權(quán)利分配方案下度量PPP項(xiàng)目中政府所占控制權(quán)份額的方法,論文在模型建立過(guò)程中還發(fā)現(xiàn)PPP項(xiàng)目決策各階段過(guò)程參與主體分配的相關(guān)性、政府合理的控制權(quán)份額區(qū)間等結(jié)論。最后,論文從重要性程度的三個(gè)維度即失效后果的嚴(yán)重程度、失效發(fā)生的概率大小和失效的檢測(cè)難度進(jìn)行因子分析建立了包含15個(gè)PPP項(xiàng)目控制權(quán)配置影響因素的因素庫(kù),通過(guò)OLS和Logistic兩種回歸分析方法識(shí)別并驗(yàn)證了顯著影響PPP項(xiàng)目決策提議權(quán)和審批權(quán)的12個(gè)影響因素,包括產(chǎn)品服務(wù)的公共化程度、政企雙方利益的一致性程度等。根據(jù)各項(xiàng)影響因素對(duì)PPP項(xiàng)目控制權(quán)配置的影響方式與特點(diǎn)總結(jié)了PPP項(xiàng)目控制權(quán)配置的四項(xiàng)原則,即應(yīng)充分發(fā)揮企業(yè)優(yōu)勢(shì)、政府應(yīng)充分放權(quán)、應(yīng)保證企業(yè)“有利可圖”、應(yīng)注重合作等。然后從控制權(quán)配置的視角對(duì)1043個(gè)PPP示范性項(xiàng)目進(jìn)行案例分析,對(duì)本文結(jié)論進(jìn)行了補(bǔ)充和驗(yàn)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(xué)位授予單位】：清華大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2015
【分類(lèi)號(hào)】：F283
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本文編號(hào)：1825950