【摘要】：近年來，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題，更取決于它的核心理念之一——風(fēng)險分擔(dān)。合理的風(fēng)險分擔(dān)對PPP項目的成功起著重要作用，國內(nèi)外學(xué)者對此展開了一系列相關(guān)研究，，但是學(xué)者們所建議的不同國家的最優(yōu)風(fēng)險分擔(dān)方案具有一定的差異性，而這種差異性對私人投資者的投標(biāo)決策有重大影響。因此，本文以發(fā)達(dá)國家與發(fā)展中國家的PPP項目風(fēng)險分擔(dān)情況為研究對象，著重研究兩者之間的異同點，從而幫助私人投資者客觀評估在不同國家投資PPP項目時所需承擔(dān)的風(fēng)險，提升其投標(biāo)決策的科學(xué)性和有效性，并為發(fā)展中國家優(yōu)化本國的制度環(huán)境提供指導(dǎo)。 首先，通過文獻(xiàn)調(diào)研，對PPP模式定義進(jìn)行界定，并從風(fēng)險分擔(dān)的角度介紹了PPP項目的各個利益相關(guān)者。然后，對工程項目風(fēng)險、PPP項目風(fēng)險的定義進(jìn)行界定，明確各自的特征。在此基礎(chǔ)上，介紹了PPP項目風(fēng)險管理的全過程，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)分析法識別出45個風(fēng)險因素，并將其分為主體風(fēng)險、客體風(fēng)險和環(huán)境風(fēng)險三大類。在此基礎(chǔ)上，重點探討不同類型的風(fēng)險在發(fā)達(dá)國家和發(fā)展中國家的分擔(dān)差異性。得出結(jié)論：主體風(fēng)險和客體風(fēng)險的分擔(dān)差異較小，環(huán)境風(fēng)險的分擔(dān)差異較大；政府部門傾向于將較多的主體風(fēng)險轉(zhuǎn)移給私營部門，而客體風(fēng)險和環(huán)境風(fēng)險的轉(zhuǎn)移程度較低。 再次，識別出分擔(dān)差異較小的風(fēng)險因素，挖掘它們的共同特征，即風(fēng)險的起源和責(zé)任主體明確，風(fēng)險的產(chǎn)生與一個國家的制度環(huán)境無關(guān)等。然后著重研究分擔(dān)差異較大的風(fēng)險因素，探究差異產(chǎn)生的原因。在此基礎(chǔ)上，剖析國家制度環(huán)境對風(fēng)險分擔(dān)的影響，確定了12個影響因素，并探究其對政府向私營部門轉(zhuǎn)移風(fēng)險比例的影響，結(jié)果表明：制度環(huán)境越好，政府轉(zhuǎn)移給私營部門風(fēng)險的比例越高。 最后，對發(fā)展中國家的政府部門給出了相關(guān)建議，包括加強PPP法制建設(shè)、打造誠信政府形象、加強監(jiān)管、注重人才培養(yǎng)等，從而幫助發(fā)展中國家不斷提高政府能力，優(yōu)化本國的制度環(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)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F283

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