【摘要】：近年來(lái)，PPP模式在全球范圍內(nèi)得到廣泛應(yīng)用，不僅因其能夠有效解決政府資金不足的問(wèn)題，更取決于它的核心理念之一——風(fēng)險(xiǎn)分擔(dān)。合理的風(fēng)險(xiǎn)分擔(dān)對(duì)PPP項(xiàng)目的成功起著重要作用，國(guó)內(nèi)外學(xué)者對(duì)此展開(kāi)了一系列相關(guān)研究，，但是學(xué)者們所建議的不同國(guó)家的最優(yōu)風(fēng)險(xiǎn)分擔(dān)方案具有一定的差異性，而這種差異性對(duì)私人投資者的投標(biāo)決策有重大影響。因此，本文以發(fā)達(dá)國(guó)家與發(fā)展中國(guó)家的PPP項(xiàng)目風(fēng)險(xiǎn)分擔(dān)情況為研究對(duì)象，著重研究?jī)烧咧g的異同點(diǎn)，從而幫助私人投資者客觀評(píng)估在不同國(guó)家投資PPP項(xiàng)目時(shí)所需承擔(dān)的風(fēng)險(xiǎn)，提升其投標(biāo)決策的科學(xué)性和有效性，并為發(fā)展中國(guó)家優(yōu)化本國(guó)的制度環(huán)境提供指導(dǎo)。 首先，通過(guò)文獻(xiàn)調(diào)研，對(duì)PPP模式定義進(jìn)行界定，并從風(fēng)險(xiǎn)分擔(dān)的角度介紹了PPP項(xiàng)目的各個(gè)利益相關(guān)者。然后，對(duì)工程項(xiàng)目風(fēng)險(xiǎn)、PPP項(xiàng)目風(fēng)險(xiǎn)的定義進(jìn)行界定，明確各自的特征。在此基礎(chǔ)上，介紹了PPP項(xiàng)目風(fēng)險(xiǎn)管理的全過(guò)程，為下一步的研究提供了依據(jù)。 其次，采用兩階段文獻(xiàn)檢索法確定目標(biāo)文獻(xiàn)。然后采用文獻(xiàn)頻數(shù)分析法識(shí)別出45個(gè)風(fēng)險(xiǎn)因素，并將其分為主體風(fēng)險(xiǎn)、客體風(fēng)險(xiǎn)和環(huán)境風(fēng)險(xiǎn)三大類。在此基礎(chǔ)上，重點(diǎn)探討不同類型的風(fēng)險(xiǎn)在發(fā)達(dá)國(guó)家和發(fā)展中國(guó)家的分擔(dān)差異性。得出結(jié)論：主體風(fēng)險(xiǎn)和客體風(fēng)險(xiǎn)的分擔(dān)差異較小，環(huán)境風(fēng)險(xiǎn)的分擔(dān)差異較大；政府部門(mén)傾向于將較多的主體風(fēng)險(xiǎn)轉(zhuǎn)移給私營(yíng)部門(mén)，而客體風(fēng)險(xiǎn)和環(huán)境風(fēng)險(xiǎn)的轉(zhuǎn)移程度較低。 再次，識(shí)別出分擔(dān)差異較小的風(fēng)險(xiǎn)因素，挖掘它們的共同特征，即風(fēng)險(xiǎn)的起源和責(zé)任主體明確，風(fēng)險(xiǎn)的產(chǎn)生與一個(gè)國(guó)家的制度環(huán)境無(wú)關(guān)等。然后著重研究分擔(dān)差異較大的風(fēng)險(xiǎn)因素，探究差異產(chǎn)生的原因。在此基礎(chǔ)上，剖析國(guó)家制度環(huán)境對(duì)風(fēng)險(xiǎn)分擔(dān)的影響，確定了12個(gè)影響因素，并探究其對(duì)政府向私營(yíng)部門(mén)轉(zhuǎn)移風(fēng)險(xiǎn)比例的影響，結(jié)果表明：制度環(huán)境越好，政府轉(zhuǎn)移給私營(yíng)部門(mén)風(fēng)險(xiǎn)的比例越高。 最后，對(duì)發(fā)展中國(guó)家的政府部門(mén)給出了相關(guān)建議，包括加強(qiáng)PPP法制建設(shè)、打造誠(chéng)信政府形象、加強(qiáng)監(jiān)管、注重人才培養(yǎng)等，從而幫助發(fā)展中國(guó)家不斷提高政府能力，優(yōu)化本國(guó)的制度環(huán)境。
[Abstract]:In recent years, PPP model has been widely used in the world, not only because it can effectively solve the problem of insufficient government funds, but also depends on one of its core concepts-risk sharing. Reasonable risk sharing plays an important role in the success of PPP projects. Scholars at home and abroad have carried out a series of related studies, but the optimal risk-sharing schemes proposed by scholars in different countries have some differences. This difference has a significant impact on the bidding decision of private investors. Therefore, this paper takes the risk sharing of PPP projects in developed and developing countries as the research object, focusing on the similarities and differences between the two, so as to help private investors objectively assess the risks to be taken when investing in PPP projects in different countries. To improve the scientific and effective bidding decision, and to provide guidance for developing countries to optimize their institutional environment. Firstly, the definition of PPP model is defined through literature research, and the stakeholders of PPP project are introduced from the perspective of risk sharing. Then, the definition of project risk and PPP project risk are defined and their characteristics are clarified. On this basis, the whole process of PPP project risk management is introduced, which provides the basis for the next research. Secondly, two-stage literature retrieval method is used to determine the target document. Then, 45 risk factors were identified by the method of literature frequency analysis and divided into three categories: subject risk, object risk and environmental risk. On this basis, the differences of different types of risk sharing between developed and developing countries are discussed. The conclusion is that the difference between subjective risk and object risk is small, and that of environmental risk is greater; the government tends to transfer more subject risk to private sector, while the degree of transfer of object risk and environmental risk is lower. Thirdly, we identify the risk factors with small differences, and excavate their common characteristics, that is, the origin of risk and the subject of responsibility is clear, the emergence of risk has nothing to do with the institutional environment of a country, and so on. Then focus on sharing the greater differences of risk factors, explore the causes of differences. On this basis, this paper analyzes the influence of national institutional environment on risk sharing, determines 12 influencing factors, and probes into its influence on the proportion of risks transferred by the government to the private sector. The results show that the better the institutional environment is, The higher the proportion of government risk transferred to the private sector. Finally, some suggestions are given to the government departments in developing countries, including strengthening the legal construction of PPP, building the image of honest government, strengthening supervision, paying attention to the cultivation of talents, and so on, so as to help developing countries improve their government capacity. Optimize the institutional environment of our country.
【學(xué)位授予單位】：天津大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：F283

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