PPP项目的控制权配置研究

PPP (Public-Private Partnerships) has been applied more and more in infrastructure development. However, there is a contradiction in allocation of control rights in a PPP project because more market-oriented is required to improve its efficiency while more control by the government is necessary due to its nature of public goods. Past research and practices have shown that reasonable allocation of control rights in a PPP project is one of its critical successful factors and decisions in a project are meanings for exercising the control rights. But there is not comprehensive relevant research. This study is therefore proposed to: 1) propose a method for identifying decisions in PPP projects by combining Grounded Theory and Work Breakdown Structure method. Main decisions in PPP projects will be extracted from PPP related regulations and model contracts with NVivo software. Breakdown structures of control rights from various perspectives could then be built; 2) identify evaluation indicators of the decisions in PPP projects by using Failure Mode and Effects Analysis method and measurement indicators of the control rights by using factor analysis on allocation of control rights in PPP regulations. Questionnaire survey and interviews will be conducted to build a model for measuring the control rights based on the survey results on related indicators; 3) identify factors affecting allocation of control rights through theoretical analysis and factor analysis on the survey results of evaluation on the decisions. OLS and Logistic regression analysis methods will be used to identify principles for allocation of control rights in PPP projects; and 4) propose suggestions on PPP legal framework and contract design in China so as to achieve reasonable allocation of control rights in PPP projects.

PPP（公私合作）在基础设施等公共产品领域中得到了越来越多的应用，但PPP项目效率对市场化的需求与公共产品属性对政府控制权的主导构成了控制权配置的矛盾。理论和实践都表明，控制权的合理配置是PPP项目的关键成功因素之一，而项目中各项决策是行使控制权的资源载体，但缺乏相关深入研究。故本研究拟：1）结合扎根理论与工作分解结构工具提出一套识别方法，借助NVivo软件从国内外PPP相关法规与示范合同等中识别PPP项目的主要决策并建立多维度控制权分解结构；2）通过失效模式与影响分析方法建立决策评估指标，通过对法规控制权配置方案统计的因子分析建立决策度量指标，根据对相关指标调研和访谈结果的回归分析建立控制权配置度量模型；3）通过理论推导和对决策评估结果的因子分析，总结控制权配置影响要素，通过回归分析探索PPP项目控制权配置原则；4）提出控制权视角下的中国PPP项目合同设计和法律体系建设等方面的建议。

PPP(Public-Private Partnerships，公私合作)项目效率对市场化的需求与产品服务属性对政府控制权的约束构成了PPP项目控制权在政府与企业间配置的矛盾，控制权的合理配置是PPP项目成功的必要条件，而决策是行使控制权的载体。.本研究首先结合WBS(Work Breakdown Structure，工作分解结构)工具与扎根理论提出一套识别方法，通过梳理相关理论总结出决策的6个组成要素，借助NVivo软件从6个PPP相关合同范本中识别了PPP项目的28项主要决策。然后采用FMEA(Failure Mode and Effects Analysis，失效模式与影响分析)方法、因子分析等工具进行指标设计，通过专家调研收集PPP项目各主要决策的评估数据，包括各项决策的重要性评估、决策各阶段参与主体的分配等。.其次，本研究解读了我国相关法规对PPP项目控制权的配置，提出“参考度”的概念，从不同法规、不同决策过程、不同主体等多个视角对法规解读的统计结果进行分析，并通过与专家调研数据的相关性分析探索法规的控制权配置原则，研究发现存在法规针对性不强、监督权配置不明确、企业激励不足等问题，提出了PPP法律体系的系统建立、加强并细化PPP项目监管、重视政府与企业的合作关系等针对性建议。.第三，本研究应用因子分析与OLS(Ordinary Least Square，普通最小二乘法)回归分析，建立了PPP项目控制权度量模型，并通过2个PPP案例的应用进行了验证。该模型提供了一种在既定权利分配方案下度量PPP项目中政府所占控制权份额的方法，还发现PPP项目决策各阶段过程参与主体分配的相关性、政府合理的控制权份额区间等结论。.最后，本研究从重要性程度的3个维度即失效后果的严重程度、失效发生的概率大小和失效的检测难度进行因子分析建立了包含15个控制权配置的影响因素库，通过OLS和Logistic两种回归分析方法识别并验证了显著影响PPP项目决策提议权和审批权的12个因素。根据各影响因素对控制权配置的影响方式与特点总结了PPP项目控制权配置的4项原则。然后从控制权配置的视角对1043个PPP示范性项目进行案例分析，对本文结论进行了补充和验证。