PPP项目争端谈判及其治理机制研究

Public-Private Partnerships (PPP) have been widely used in the provision of public infrastructure and associated services. However, disputes usually arise due to the long concession period, complicated arrangements, and its incomplete contract nature, adversely affecting both parties and the communities' interests. Whether disputes can be resolved through negotiation with both parties achieving win-win situation and a high degree of satisfaction lies at the heart for the successful execution of PPP. Following a systematic literature review, this research conducts comparative cases studies of representative PPP projects in China, Hong Kong Special Administrative Region and Australia, based on evidences obtained from fieldtrips, interviews and document analysis. By applying the Structural Equation Model method, this research then explores how contract and relational governance affect the dispute negotiation in PPP projects. A graph model will be established to analyze the equilibrium status for dispute negotiation. After performing a simulated negotiation experiment, an empirical examination of the hypothesized model will be undertaken. The research findings will extend the body of knowledge about dispute negotiation and advance the project governance theories, and provide references for practitioners to set out appropriate governance mechanisms to facilitate dispute negotiation in PPP projects.

在PPP模式广泛应用于基础设施建设和公共服务领域的同时，由于其具有长期性、复杂性和不完全契约特性，争端也频繁发生，对双方和社会公众利益造成损害。如何通过争端谈判使双方达到一致，并实现共赢及获得较高的满意度，是PPP项目成功实施的关键。本研究在文献研究的基础上，运用项目现场调研，访谈和项目资料分析等方法，对在争端谈判方面有代表性的PPP项目进行定性数据收集，通过案例对比研究和确定性因子分析从契约和关系两维度建立PPP项目争端谈判的影响因素体系。在此基础上运用结构方程模型分析契约治理和关系治理对PPP项目争端谈判的影响机理，并应用图模型理论构建PPP项目争端谈判治理机制的图模型，分析治理机制与谈判行为在谈判过程中的均衡机理。最后通过模拟谈判实验进行实证研究，对模型进行修正。本项目的研究成果丰富并完善了争端谈判研究成果和项目治理理论，为PPP项目争端谈判治理机制设计提供借鉴。

近年来，PPP模式广泛应用于基础设施建设和公共服务领域。由于PPP具有长期性、复杂性和不完全契约特性，项目争端也频繁发生。如何通过争端谈判使双方达到一致，并实现共赢及获得较高的满意度，是PPP项目成功实施的关键。本研究在文献研究的基础上，结合PPP 项目争端谈判的特点，通过案例研究和访谈等方法，筛选出25个PPP项目争端谈判的影响因素。再从契约和关系两维度建立PPP项目争端谈判的影响因素体系。在此基础上，结合契约治理和关系治理的交互作用，建立两类治理对PPP 项目争端谈判行为和谈判绩效的可能作用路径假设模型，并通过结构方程模型验证假设模型。研究发现，契约治理和关系治理分别能促进谈判双方在PPP项目争端谈判中采取合作型谈判行为，而且，关系治理能够促进契约治理对谈判行为的影响。本研究进一步应用图模型理论构建PPP项目争端谈判治理机制的图模型，分析治理机制与谈判行为在谈判过程中的均衡机理。并结合演化博弈理论，通过求解复制动态方程，分析模型主要参数与争端谈判演化稳定策略的关系，得出影响双方选择强硬或妥协策略的关键参数。最后通过多案例对比分析，采用纵贯研究方式对PPP项目争端谈判的治理机制进行实证研究，对模型进行修正。本研究丰富和完善了争端谈判领域研究成果和项目治理理论，从而为PPP项目甚至普遍情境下争端谈判治理机制设计提供参考和借鉴，具有重要的理论意义和应用价值。