PPP项目监管体系及其改善研究——基于中国管理情境
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摘要
PPP项目监管体系建立与改进是改善我国PPP项目监管现状的前提。本研究采用借鉴与理论演绎相结合的研究方法:首先,通过对PPP项目流程性文件及相关文献的分析,得到包括PPP项目决策节点及其监管主体和监管方式在内的理论上的PPP项目监管体系;其次,通过对中国现有与PPP项目相关的政策文件及案例的分析,梳理出目中国PPP项目监管现状;最后,根据两者的对比分析结果,提出3点对中国PPP项目监管体系的改善建议;①部分决策节点监管主体缺位,政府宜尽快出台相应政策文件或调整相关政府职能;②部分决策节点监管主体不一致,相关政府部门应合理设置主管部门;③部分决策节点监管方式不一致,相关政府部门宜根据中国特殊国情和文化背景选择适用的监管方式。
It is the prerequisite to improve the present situation of PPP projects' regulation in China that establishing and improving the system of regulation in PPP projects. Research method of reference and theoretical deduction is used in this study. Firstly, theoretical system of PPP projects regulation is established which including PPP project decision node and its regulatory subject and regulatory mode by reviewing the existing literature about the PPP project and the PPP documents. Secondly, the status quo of regulation over PPP projects in China are sorted out by analyzing the existing policy texts and cases related to PPP projects in China. Finally, three suggestions for improving the regulation system of PPP projects in China are presented according to the comparative analysis. ①The government should publish relevant policy documents or adjust relevant government functions as soon as possible, based on the regulatory subjects are absent of some decision nodes. ②The competent departments should be set up reasonably by relevant government department, because regulatory subjects of some decision nodes are inconsistent. ③The appropriate regulatory subject should be chose by the relevant government according to China's special national conditions and cultural background, because the inconsistent of regulatory subjects of some decision nodes.
It is the prerequisite to improve the present situation of PPP projects' regulation in China that establishing and improving the system of regulation in PPP projects. Research method of reference and theoretical deduction is used in this study. Firstly, theoretical system of PPP projects regulation is established which including PPP project decision node and its regulatory subject and regulatory mode by reviewing the existing literature about the PPP project and the PPP documents. Secondly, the status quo of regulation over PPP projects in China are sorted out by analyzing the existing policy texts and cases related to PPP projects in China. Finally, three suggestions for improving the regulation system of PPP projects in China are presented according to the comparative analysis. ①The government should publish relevant policy documents or adjust relevant government functions as soon as possible, based on the regulatory subjects are absent of some decision nodes. ②The competent departments should be set up reasonably by relevant government department, because regulatory subjects of some decision nodes are inconsistent. ③The appropriate regulatory subject should be chose by the relevant government according to China's special national conditions and cultural background, because the inconsistent of regulatory subjects of some decision nodes.
引文
[1]亓霞,柯永建,王守清.基于案例的中国PPP项目的主要风险因素分析[J].中国软科学,2009(5):107-113.
[2]王坤,王泽森.BOT在香港隧道项目中的应用:经验与教训[J].国际经贸探索,2007,23(9):26-30.
[3]王俊豪,徐慧,冉洁.城市公用事业PPP监管体系研究[J].城市发展研究,2017,24(4):92-99.
[4]孙建强,沈浩.城市基础设施建设PPP项目融资模式政府监管研究[J].建筑施工,2013,35(6):554-556.
[5]温来成,刘洪芳,彭羽.政府与社会资本合作(PPP)财政风险监管问题研究[J].中央财经大学学报,2015(12):3-8.
[6]Qi X, Yi C, Li J. The problems in PPP project decisionprocess in China comparing with Singapore[J]. Applied Mechanicsand Materials, 2013(8):2519-2523.
[7]乌云娜,杨益晟,冯天天,等.基于前景理论的政府投资代建项目合谋监管威慑模型研究[J].管理工程学报,2013(2):168-176.
[8]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.
[9]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.
[10]寇越,杜亚灵,胡嘉昌.PPP项目控制权配置研究——基于财金[2014]156号文与发改投资[2014]2724号文[J].建筑经济,2017,38(11):52-57.
[11]Fama Eugene F, Jensen Michael C. Separation ofownership and control[J]. Journal of Law and Economics, 1983, 26(2):301-325.
[12]曹阳.中国PPP模式风险的法律规制研究[J].广西师范学院学报(哲学社会科学版),2017,38(3):94-102.
[13]王澜明.继续推进政府管理创新进一步建设服务型政府[J].中国行政管理,2011(1):7-11.
[14]Coglianese C, Lazer D. Management-Based regulationprescribing private management to achieve public goals[J]. Law andSociety Review, 2003(37):691-730.
[15]许鸿昌.财务监管在PPP模式下的作用[J].财会学习,2015(16):41-42.
[16]王予函.我国PPP项目绩效审计机制研究[D].重庆:重庆大学,2016.
[17]叶晓甦,覃丹丹,石世英.PPP项目公众参与机制研究[J].建筑经济,2016,37(3):32-36.
[18]郭菲.对于财政风险防范中财政审计的研究分析[J].中国科技投资,2014(A03):355.
[19]潘敏.公民参与行政监察的影响因素及对策研究[D].上海:上海交通大学,2009.
[2]王坤,王泽森.BOT在香港隧道项目中的应用:经验与教训[J].国际经贸探索,2007,23(9):26-30.
[3]王俊豪,徐慧,冉洁.城市公用事业PPP监管体系研究[J].城市发展研究,2017,24(4):92-99.
[4]孙建强,沈浩.城市基础设施建设PPP项目融资模式政府监管研究[J].建筑施工,2013,35(6):554-556.
[5]温来成,刘洪芳,彭羽.政府与社会资本合作(PPP)财政风险监管问题研究[J].中央财经大学学报,2015(12):3-8.
[6]Qi X, Yi C, Li J. The problems in PPP project decisionprocess in China comparing with Singapore[J]. Applied Mechanicsand Materials, 2013(8):2519-2523.
[7]乌云娜,杨益晟,冯天天,等.基于前景理论的政府投资代建项目合谋监管威慑模型研究[J].管理工程学报,2013(2):168-176.
[8]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.
[9]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.
[10]寇越,杜亚灵,胡嘉昌.PPP项目控制权配置研究——基于财金[2014]156号文与发改投资[2014]2724号文[J].建筑经济,2017,38(11):52-57.
[11]Fama Eugene F, Jensen Michael C. Separation ofownership and control[J]. Journal of Law and Economics, 1983, 26(2):301-325.
[12]曹阳.中国PPP模式风险的法律规制研究[J].广西师范学院学报(哲学社会科学版),2017,38(3):94-102.
[13]王澜明.继续推进政府管理创新进一步建设服务型政府[J].中国行政管理,2011(1):7-11.
[14]Coglianese C, Lazer D. Management-Based regulationprescribing private management to achieve public goals[J]. Law andSociety Review, 2003(37):691-730.
[15]许鸿昌.财务监管在PPP模式下的作用[J].财会学习,2015(16):41-42.
[16]王予函.我国PPP项目绩效审计机制研究[D].重庆:重庆大学,2016.
[17]叶晓甦,覃丹丹,石世英.PPP项目公众参与机制研究[J].建筑经济,2016,37(3):32-36.
[18]郭菲.对于财政风险防范中财政审计的研究分析[J].中国科技投资,2014(A03):355.
[19]潘敏.公民参与行政监察的影响因素及对策研究[D].上海:上海交通大学,2009.