PPP项目控制权配置影响因素及合理配置原则
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摘要
控制权的合理配置是政企合作(PPP)项目成功的重要前提条件,但在不同项目中配置方案的最优解往往不同,因此控制权配置影响因素和配置原则具有重要的理论与实践价值。该文运用控制权内涵、决策理论和失效模式与影响分析(FMEA)将不同影响因素所体现的项目特征描述为PPP项目中不同决策的3个维度的重要性程度,并采用因子分析方法识别这些影响因素与项目决策之间的关系,提取出PPP项目控制权配置的15个可能影响因素。应用OLS和Logistic两种回归方法探究这些影响因素对PPP项目控制权分配的影响机理。研究结果发现:产品与服务的公共化程度、项目公司的风险管控水平、项目技术的创新化程度等12个影响因素对政企双方的控制权子权利具有不同的影响作用。基于该结论提出了PPP项目控制权合理配置原则的4项针对性建议,即发挥企业专业优势、政府合理放权、保证企业合理收益、实现政企双方的共赢合作。
Reasonable allocation of control rights is a precondition for successful implementation of public-private partnerships(PPP)projects.However,the optimal allocation schemes often differ for different projects.Therefore,the factors influencing the control rights and allocation principles have important theoretical and practical meanings. This paper describes the project featuresreflected by different influencing factors as the importance of the three dimcnsions of various decisions in PPP projects based on the control rights,decision theory and failure mode and effects analysis(FMEA)processing.The relationships between these key factors and the decisions are verified using the factor analysis with this study identifying 15 possible factors that influence the control rights of PPP projects.Then,an OLS regression analysis and a Logistic regression analysis are used to explore how these factors impact the allocation of PPP project control rights.The results show that 12 of the 15 key factors have different effects on the control rights of governments and enterprises.Four control right allocation principles are identified that make full use of the professional advantages of enterprises,provide reasonable decentralization of the government power,ensure reasonable earnings for the enterprises and provide win-win cooperation between the government and the enterprises in PPP projects.
Reasonable allocation of control rights is a precondition for successful implementation of public-private partnerships(PPP)projects.However,the optimal allocation schemes often differ for different projects.Therefore,the factors influencing the control rights and allocation principles have important theoretical and practical meanings. This paper describes the project featuresreflected by different influencing factors as the importance of the three dimcnsions of various decisions in PPP projects based on the control rights,decision theory and failure mode and effects analysis(FMEA)processing.The relationships between these key factors and the decisions are verified using the factor analysis with this study identifying 15 possible factors that influence the control rights of PPP projects.Then,an OLS regression analysis and a Logistic regression analysis are used to explore how these factors impact the allocation of PPP project control rights.The results show that 12 of the 15 key factors have different effects on the control rights of governments and enterprises.Four control right allocation principles are identified that make full use of the professional advantages of enterprises,provide reasonable decentralization of the government power,ensure reasonable earnings for the enterprises and provide win-win cooperation between the government and the enterprises in PPP projects.
引文
[1]JEFFERIES M.Critical success factors of public private sector partnerships:A case study of the Sydney SuperDome[J].Engineering,Construction and Architectural Management,2006,13(5):451-462.
[2]WU D,LIANG W,WANG S Q.Constituent elements of feasible financing modes for urban rapid rail transit projects[C]//Proceedings of the 2nd International Conference on Public-Private Partnerships.Austin,USA:ASCE,2015.
[3]伍迪.基于决策视角的PPP项目控制权配置研究[D].北京:清华大学,2015.WU D.Research on the allocation of control in public-private partnerships projects based on the perspective of decision[D].Beijing:Tsinghua University,2015.(in Chinese)
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[5]张万宽,杨永恒,王有强.公私伙伴关系绩效的关键影响因素:基于若干转型国家的经验研究[J].公共管理学报,2010,7(3):103-112.ZHANG W K,YANG Y H,WANG Y Q.An empirical study on key factors influencing the performance of public-private partnerships(PPP)in some transitional countries[J].Journal of Public Management,2010,7(3):103-112.(in Chinese)
[6]王守清,柯永建.特许经营项目融资(BOT、PFI和PPP)[M].北京:清华大学出版社,2008.WANG S Q,KE Y J.Franchise project finance(BOT,PFIand PPP)[M].Beijing:Tsinghua University Press,2008.(in Chinese)
[7]柯永建,王守清,陈炳泉.英法海峡隧道的失败对PPP项目风险分担的启示[J].土木工程学报,2008,41(12):97-102.KE Y J,WANG S Q,CHEN B Q.Revelation of the Channel Tunnels failure to risk allocation in public-private partnership projects[J].China Civil Engineering Journal,2008,41(12):97-102.(in Chinese)
[8]叶晓甦,易朋成,吴书霞.PPP项目控制权本质探讨[J].科技进步与对策,2011,28(13):67-70.YE X S,YI P C,WU S X.The discussion of PPP project control rightsessence[J].Science&Technology Progress and Policy,2011,28(13):67-70.(in Chinese)
[9]GROSSMAN S,HART O D.The costs and benefits of ownership:A theory of vertical and lateral integration[J].Journal of Political Economy,1986,94(4):691-719.
[10]HART O,SHLEIFER A,VISHNY R W.The proper scope of government:Theory and an application to prisons[J].The Quarterly Journal of Economics,1997,112(4):1127-1161.
[11]BESLEY T,GHATAK M.Government versus private ownership of public goods[J].The Quarterly Journal of Economics,2001,116(4):1343-1372.
[12]ONISHI M,BANDO H,KOBAYASHI K.Theoretical analysis of the ownership structure in PFI projects[C/OL]//Proceedings of the 27th Civil Engineering Plan Subject Research and Conference,2003.http://library.jsce.or.jp/jsce/open/00039/200306_no27/pdf/213.pdf.
[13]FRANCESCONI M,MUTHOO A.Control rights in public-private partnership[R].Bonn,Germany:IZA,2006:1-37.
[14]胡振.公共项目公私合作(PPP)控制权配置的决策模型[J].西安建筑科技大学学报(自然科学版),2012,44(1):90-96.HU Z.The decision model of the allocation of control rights in public-private partnerships projects[J].Journal of Xian Architecture&Technology(Natural Science Edition),2012,44(1):90-96.(in Chinese)
[15]张喆,贾明.PPPs合作中控制权配置实验[J].系统管理学报,2012,21(2):166-179.ZHANG Z,JIA M.An experimental study on allocation of control rights in PPPs[J].Journal of Systems&Management,2012,21(2):166-179.(in Chinese)
[16]杜亚灵,王剑云.BT模式下工程项目控制权的合理配置研究:基于多案例的比较分析[J].软科学,2013,27(5):56-61.DU Y L,WANG J Y.Research on the proper allocation of rights of control in the projects under BT mode:A multi-case comparative study[J].Soft Science,2013,27(5):56-61.(in Chinese)
[17]孙慧,卢言红.PPP项目剩余控制权配置的影响因素研究[J].武汉理工大学学报(信息与管理工程版),2014,36(1):91-94.SUN H,LU Y H.Influential factors of PPP residual control rights allocation[J].Journal of WUT(Information&Management Engineering),2014,36(1):91-94.(in Chinese)
[18]伍迪,王守清,冯珂,等.PPP项目决策分解结构研究[J].项目管理技术,2015,13(1):20-24.WU D,WANG S Q,FENG K,et al.Research on breakdown structure of PPP projects[J].Project Management Technology,2015,13(1):20-24.(in Chinese)
[19]伍迪,王守清,CUI Q B.PPP模式下区域开发项目政企双方控制权份额的度量方法研究[C]//第11届中国软科学学术年会论文集.北京:中国软科学研究会,2015.WU D,WANG S Q,CUI Q B.Measurement method of control between government and enterprises in regional development projects under PPP mode[C]//Proceedings of the 11th China Soft Science Annual Conference.Beijing:China Soft Science Institute,2015.(in Chinese)
[20]王守清,伍迪,彭为,等.PPP模式下城镇建设项目政企控制权配置[J].清华大学学报(自然科学版),2017,57(4):369-375.WANG S Q,WU D,PENG W,et al.Allocation of control rights between governments and companies in urban development PPP projects[J].Journal of Tsinghua University(Science and Technology),2017,57(4):369-375.(in Chinese)
[21]KAISER H F.The application of electronic computers to factor analysis[J].Educational and Psychological Measurement,1960,20(1):141-151.
[22]STEVENS J.Applied multivariate statistics for the social sciences[M].4th ed.Mahwah,USA:Lawrence Erlbaum,2002.
[23]HAIR J F,ANDERSON R E,TATHAM R L,et al.Multivariate data analysis[M].Englewood Cliffs,USA:Prentice-Hall,1998.
[24]NORUSIS M J.SPSS for Windows:Professional statistics release 6.0[M].Chicago,USA:Statistical Package for Social Sciences(SPSS)Inc.,1993.
[25]TABACHNICK B G,FIDELL L S.Using multivariate statistics[M].5th ed.Needham Heights,USA:Allyn&Bacon,2007.
[26]WONG R C P,SZETO W Y,YANG L C,et al.Public transport policy measures for improving elderly mobility[J].Transport Policy,2018,63:73-79.
[2]WU D,LIANG W,WANG S Q.Constituent elements of feasible financing modes for urban rapid rail transit projects[C]//Proceedings of the 2nd International Conference on Public-Private Partnerships.Austin,USA:ASCE,2015.
[3]伍迪.基于决策视角的PPP项目控制权配置研究[D].北京:清华大学,2015.WU D.Research on the allocation of control in public-private partnerships projects based on the perspective of decision[D].Beijing:Tsinghua University,2015.(in Chinese)
[4]ALONSO-CONDE A B,BROWN C,ROJO-SUAREZ J.Public private partnerships:Incentives,risk transfer and real options[J].Review of Financial Economics,2007,16(4):335-349.
[5]张万宽,杨永恒,王有强.公私伙伴关系绩效的关键影响因素:基于若干转型国家的经验研究[J].公共管理学报,2010,7(3):103-112.ZHANG W K,YANG Y H,WANG Y Q.An empirical study on key factors influencing the performance of public-private partnerships(PPP)in some transitional countries[J].Journal of Public Management,2010,7(3):103-112.(in Chinese)
[6]王守清,柯永建.特许经营项目融资(BOT、PFI和PPP)[M].北京:清华大学出版社,2008.WANG S Q,KE Y J.Franchise project finance(BOT,PFIand PPP)[M].Beijing:Tsinghua University Press,2008.(in Chinese)
[7]柯永建,王守清,陈炳泉.英法海峡隧道的失败对PPP项目风险分担的启示[J].土木工程学报,2008,41(12):97-102.KE Y J,WANG S Q,CHEN B Q.Revelation of the Channel Tunnels failure to risk allocation in public-private partnership projects[J].China Civil Engineering Journal,2008,41(12):97-102.(in Chinese)
[8]叶晓甦,易朋成,吴书霞.PPP项目控制权本质探讨[J].科技进步与对策,2011,28(13):67-70.YE X S,YI P C,WU S X.The discussion of PPP project control rightsessence[J].Science&Technology Progress and Policy,2011,28(13):67-70.(in Chinese)
[9]GROSSMAN S,HART O D.The costs and benefits of ownership:A theory of vertical and lateral integration[J].Journal of Political Economy,1986,94(4):691-719.
[10]HART O,SHLEIFER A,VISHNY R W.The proper scope of government:Theory and an application to prisons[J].The Quarterly Journal of Economics,1997,112(4):1127-1161.
[11]BESLEY T,GHATAK M.Government versus private ownership of public goods[J].The Quarterly Journal of Economics,2001,116(4):1343-1372.
[12]ONISHI M,BANDO H,KOBAYASHI K.Theoretical analysis of the ownership structure in PFI projects[C/OL]//Proceedings of the 27th Civil Engineering Plan Subject Research and Conference,2003.http://library.jsce.or.jp/jsce/open/00039/200306_no27/pdf/213.pdf.
[13]FRANCESCONI M,MUTHOO A.Control rights in public-private partnership[R].Bonn,Germany:IZA,2006:1-37.
[14]胡振.公共项目公私合作(PPP)控制权配置的决策模型[J].西安建筑科技大学学报(自然科学版),2012,44(1):90-96.HU Z.The decision model of the allocation of control rights in public-private partnerships projects[J].Journal of Xian Architecture&Technology(Natural Science Edition),2012,44(1):90-96.(in Chinese)
[15]张喆,贾明.PPPs合作中控制权配置实验[J].系统管理学报,2012,21(2):166-179.ZHANG Z,JIA M.An experimental study on allocation of control rights in PPPs[J].Journal of Systems&Management,2012,21(2):166-179.(in Chinese)
[16]杜亚灵,王剑云.BT模式下工程项目控制权的合理配置研究:基于多案例的比较分析[J].软科学,2013,27(5):56-61.DU Y L,WANG J Y.Research on the proper allocation of rights of control in the projects under BT mode:A multi-case comparative study[J].Soft Science,2013,27(5):56-61.(in Chinese)
[17]孙慧,卢言红.PPP项目剩余控制权配置的影响因素研究[J].武汉理工大学学报(信息与管理工程版),2014,36(1):91-94.SUN H,LU Y H.Influential factors of PPP residual control rights allocation[J].Journal of WUT(Information&Management Engineering),2014,36(1):91-94.(in Chinese)
[18]伍迪,王守清,冯珂,等.PPP项目决策分解结构研究[J].项目管理技术,2015,13(1):20-24.WU D,WANG S Q,FENG K,et al.Research on breakdown structure of PPP projects[J].Project Management Technology,2015,13(1):20-24.(in Chinese)
[19]伍迪,王守清,CUI Q B.PPP模式下区域开发项目政企双方控制权份额的度量方法研究[C]//第11届中国软科学学术年会论文集.北京:中国软科学研究会,2015.WU D,WANG S Q,CUI Q B.Measurement method of control between government and enterprises in regional development projects under PPP mode[C]//Proceedings of the 11th China Soft Science Annual Conference.Beijing:China Soft Science Institute,2015.(in Chinese)
[20]王守清,伍迪,彭为,等.PPP模式下城镇建设项目政企控制权配置[J].清华大学学报(自然科学版),2017,57(4):369-375.WANG S Q,WU D,PENG W,et al.Allocation of control rights between governments and companies in urban development PPP projects[J].Journal of Tsinghua University(Science and Technology),2017,57(4):369-375.(in Chinese)
[21]KAISER H F.The application of electronic computers to factor analysis[J].Educational and Psychological Measurement,1960,20(1):141-151.
[22]STEVENS J.Applied multivariate statistics for the social sciences[M].4th ed.Mahwah,USA:Lawrence Erlbaum,2002.
[23]HAIR J F,ANDERSON R E,TATHAM R L,et al.Multivariate data analysis[M].Englewood Cliffs,USA:Prentice-Hall,1998.
[24]NORUSIS M J.SPSS for Windows:Professional statistics release 6.0[M].Chicago,USA:Statistical Package for Social Sciences(SPSS)Inc.,1993.
[25]TABACHNICK B G,FIDELL L S.Using multivariate statistics[M].5th ed.Needham Heights,USA:Allyn&Bacon,2007.
[26]WONG R C P,SZETO W Y,YANG L C,et al.Public transport policy measures for improving elderly mobility[J].Transport Policy,2018,63:73-79.
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