基础设施领域公私合作制问题研究
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摘要
基础设施是现代社会正常运行的基础条件,亦是社会赖以生存发展的一般物质基础。完善的基础设施对于促进经济增长,保障并提高人民生活水平具有重要的作用。但是,建立完善的基础设施通常需要巨额的投资和较长的时间,无论是发达国家还是发展中国家,均不同程度存在基础设施建设不足的问题。以国家财力为基础进行基础设施建设是世界各国普遍采取的政策,但随着经济的高速发展,对基础设施的需求与日俱增,单纯依靠国家财政投资显然不能满足对基础设施投资的巨大需求。20世纪80年代之后,各国政府逐渐重视基础设施问题,纷纷加大改革和投资力度,放松过去由国家垄断经营的基础设施领域的管制,引入私营资本,建立竞争机制。这极大地推动了基础设施及其相关行业的发展,基础设施的供给能力有了显著的提高,为各国的经济增长提供了重要的物质基础。
改革开放三十多年来,我国的基础设施建设取得了巨大的成就,成为经济快速发展的重要推动力。但是,一方面,受国家财政资金的限制,以及经济快速发展所引起的需求增长,基础设施领域的资金明显不足。另一方面,私营经济的迅速发展为其参与基础设施项目的建设奠定了物质和技术基础。引入私营资本、发挥私营资本在基础设施领域的作用,已成为理论界和实业界的共识。由于基础设施产品的公共产品属性,完全私有化会损害社会的公平和效率。在此背景下,公私合作制作为基础设施领域的一种制度创新,逐渐受到广泛的关注。公私合作制将政府、私营部门各自的优势充分结合起来,既减轻了政府财政压力,又提高了项目建设质量和运营效率,是解决政府投资公共产品缺陷和财政资金紧缺状况的有效方式。尽管公私合作制在国外已经有了相对比较成熟的理论,积累了一些成功的经验,但是,公私合作制本身的历史较短,很多问题尚在探索和争论中。又由于公私合作制的内容涉及工程、经济、金融、会计、公共管理等不同的学科,各门学科关于公私合作制的强调重点和观察角度有所不同。所以受不同时期历史条件、各国经济发展水平和社会制度的限制,现有的公私合作制的研究在不同国家、不同学科被片面理解,具有一定的局限性。我国的公私合作制始于地方的零星探索实践,公私合作制的理论研究相对滞后,且大多是从民间资本参与基础设施建设、解决政府资金不足的角度分析,很多分析停留在介绍国外公私合作制研究成果的层次上,对影响公私合作制在我国发展的机制分析、障碍分析、对策分析较少,无法形成一个完整的研究体系。基于此,本文选择公私合作制作为研究对象,以期为我国的公私合作制改革提供参考。
本文内容共分八章,概括为如下三大部分：
首先,探究了公私合作制的理论基础。基础设施领域为什么要进行公私合作制改革?本文从理论基础角度进行了论证。第一,运用公共产品理论对基础设施领域不能完全私有化和开放竞争的核心原因进行解释,由于基础设施具有公共产品特征,产业产品的特征以及产业的技术特征使基础设施不能完全由私营部门经营和管理,政府必须参与其中；第二,以产权理论和竞争理论作为理论基础,分析基础设施领域引入私人部门进行市场化改革实行公私合作制的必要性：第三,通过公共选择理论论证了政府作为基础设施唯一投资主体的局限性。公共选择理论为公共部门退出某些领域提供了理论依据。从经济学意义上讲,基础设施的提供应遵循比较优势原则,如果政府提供比市场提供更具有优势时,就应该由政府提供,如果政府在提供基础设施方面处于比较劣势,就应该转变政府职能。但是政府内部经过种种改革仍然收效甚微,那么最好的方法就是打破政府的垄断地位,建立公私机构之间、公共机构之间的竞争,使民众有自由选择的机会。第四,制度变迁理论解析了公私合作制变革的动因、过程、路径和速度。
其次,分析了公私合作制成功运作的关键问题。世界各国的经济社会发展水平、历史渊源、政治经济体制、资源的分布状况、国土规模、文化禀赋等不同,所以公私合作制改革的路径、范围、运作方式等都不同,公私合作制在每个国家都以不同的方式发展。本文尝试从综合性的角度归纳提炼出公私合作制的应用价值、特征、运作方式、应用范围以及制度安排的必要条件,同时归纳出我国一般公私合作制项目的参与主体以及运作程序。本文认为尽管公私合作制涉及多方面、多环节、多学科的内容,但其成功运作涉及两个关键问题。一是政府监管问题。从公共部门角度,基础设施市场化改革以后,如果政府不监管,基础设施领域将由国有企业垄断转变为私营企业垄断,会损害消费者福利,产生消费者主权诉求。为了克服市场失灵和促进普遍服务,保护社会公众的合法权益,维护基础设施领域公平竞争的市场环境,必须强调对公私合作制项目进行监管；二是风险管理问题。从私人部门角度,私人投资者最为关心的是承担的风险的大小,如果风险太大或全部由私人投资者承担,影响资本的安全,私人投资者不会参与到项目中,公私合作制项目也不可能运作成功。
最后,研究公私合作制在我国的应用。公私合作制在一些国家已有成功的案例,但也有失败的教训,对于我国来说,公私合作制是舶来品,需要研究在我国特定的制度环境背景下公私合作制的运行情况。本文从两个方面进行研究,一是公私合作制在我国的应用现状、存在的问题及解决的对策。公私合作制在我国的应用可以分为三个阶段,那么是什么原因形成这样的阶段划分,本文对此进行了探究。公私合作制在我国有着良好的发展前景,但是现阶段存在一系列问题,针对这些具体问题,本文提出相应的解决对策；二是案例分析,本文选取了一个无论从项目规模还是所处行业和地区都具有特色的典型公私合作制项目进行剖析,总结运作过程中的经验与教训,以期对公私合作制的推广有所启发。
综上所述,本文在公共产品理论、产权理论和竞争理论、公共选择理论以及制度变迁理论的基础上,从理论和实践方面、从全球化和一般性的角度对公私合作制进行了较为系统的研究。概括地说,论文的主要创新之处有以下三点：
(1)将VAR法应用于公私合作制的风险评估中。公私合作制中风险的分配是私人投资者十分关心的问题,它直接关系到公私双方谈判的达成与实施的成功与否。因此,在识别主要风险的基础上,本文分析了公私合作制风险与一般项目风险的区别,将金融风险管理的VAR法应用于公私合作制风险评估中。并根据提出的风险分配原则和框架,从各参与主体的角度研究了可能遇到的风险以及如何分担风险,风险分担方法详实,具有可操作性。
(2)科学界定了公私合作制的应用范围。国内的学者在论述公私合作制的应用范围时,大多认为公私合作制应用于硬经济基础设施领域,通常适合于大中型基础设施项目。本文对公私合作制的应用范围进行拓展研究,认为硬社会基础设施、部分软经济基础设施和软社会基础设施领域也适用公私合作制,如果简化前期工作程序,公私合作制亦适合于小型基础设施项目,并按项目的类型,从设施规模、技术复杂性、收费的难易程度以及生产或消费的规模分析了公私合作制应用范围。
(3)明确提出了公私合作制改革的突破点是建立相应的制度框架。本文对公私合作制改革的阻碍因素进行了深入剖析,提出了推进改革的具体思路。公私合作制已经证明是一种行之有效的基础设施领域的制度创新,但我国的改革相对迟缓,究其原因主要是制度建设所需的内外部环境不配套,存在着法制建设和政府监管体系不完善、政府角色及观念不适应、企业融资存在障碍以及国有企业和私营企业竞争地位不对等等问题。因此,改革的突破点是建立相应的制度框架,如建立与完善相适应的法律制度和监管体系、政府转变观念以及建立公平的竞争环境等措施。
More than30years since China's reform and opening up, its economy has achieved a successful transition. In the process of transition from planned economy to market economy, the Chinese government carried out a series of reforms, such as macroeconomic reform, education and health care reform, trade liberalization, housing system reform, developing the labor market, etc. Undoubtedly, the infrastructure sector reform is one of the most complicated reforms in the whole course of reform. The infrastructure is the basic conditions of normal operation of modern society, and also is the general material conditions of social development. Complete infrastructure plays an important role for the promotion of economic growth and protects and improves people's living standards. However, the establishment of an advanced infrastructure usually requires a huge investment and a long period. Even the developed countries faced with the problem of insufficient infrastructure construction. Generally, each country in the world adopted the policy of infrastructure construction based on the national financial status, but with the rapid economic development, relying solely on the state's financial investment apparently can not meet the huge demand investment in infrastructure construction. After the1980s, governments gradually pay attention to infrastructure issues, strengthen the intensity of reform and investment, loose the monopolized by the state control of the field of infrastructure, introduce the private capital, and establish the mechanism of competition. This has greatly promoted the development of infrastructure and its related industries. In recent years, the supply capacity of infrastructure products has been significantly improved, and become an important impetus of economic growth in western countries.
Even though the China's infrastructure construction has made great achievements and became an important impetus of rapid economic development. However, due to the limitations of state funds, as well as rapid economic development needs, the field of infrastructure funding is clearly insufficient. On the other hand, the rapid development of private economy laid the material and technical basis for the building to participate in infrastructure projects. It has already become the consensus of theorists and businessmen to introduce the private capital to play the role of private capital in infrastructure. As the public property of infrastructure, fully privatization would undermine the fairness and efficiency. In this context, being a system of innovation, public-private partnership gradually attracted much attention in recent years in the foreign field of infrastructure. Public-private partnership fully integrated with the government, private enterprises and financial institutions in their respective strengths, not only reduces the financial pressure of the government, but also improves the quality of projects and operational efficiency. It is the effective way to solve the defects of government investment in public goods and financial capital shortage. Although the public-private partnership in foreign countries gradually became with relatively mature theory, and accumulated a number of success cases. But the relatively short history of public-private partnerships itself causes a lot of problems in the exploration and debate. Moreover, the summary of the theoretical study and practical experience of public-private partnerships is mostly from their actual departure, and lack of comprehensive and global. Combined public-private partnership is involving different subjects, such as engineering, economics, finance, accounting, public policy, etc. And each subject has a different emphasis and observation angle on public-private partnerships. So subject to the conditions of different periods of history, the level of national economic development and social system limitations, the existing public-private partnerships system was one-sided understanding in different countries, different disciplines, with some limitations. China's public-private partnerships began in parts of sporadic exploration and practice, and with a relatively short history of the academia, research. And the analysis is mostly from the private capital participation in infrastructure, to address the lack of government funding point of view. Much analysis is stay in the introduction of foreign public and private the level of cooperative research, and lack of in-depth study of China's specific national conditions. Therefore, the analysis cannot form a complete system. Based on this, this thesis is mainly about to study the production of public-private partnerships in order to contribute to China's public-private partnerships reform.
The main contents include the following three parts:
Part I:Theoretical study. Public-private partnerships is institutional innovation used in the field of infrastructure and market-oriented reforms of infrastructure industries. Then, why the field of infrastructure is carried on the reform of the public-private partnerships system? This thesis tells the answer from the perspective of the theoretical basis of the argument. First, the main reasons that the field of infrastructure cannot be fully privatized and open competition can be explained by public products theory. Because the infrastructure has the characteristics of public products, industrial products, as well as the technical industry infrastructure, so it cannot be fully operated and managed by the private sector and the government must be taken part in. It is the features and natures of infrastructure that determine the necessity of the involvement of the government public-sector. Second, as the theoretical basis of property rights theory and competition theory, the theories analyze the need for the infrastructure sector to introduce private sector and market-oriented reforms to implement the system of public-private partnerships. Third, the public choice theory demonstrates the limitations of government as the only infrastructure investment entities. The public choice theory provides a theoretical basis that the public sector quit from the infrastructure areas, and it pointed out some of the problems of bureaucratic organizations, and proposed an alternative method. For economics sense, the provision of infrastructure should follow the principle of comparative advantage and provided by the side between government and market with more advantages. It should be to transform government functions if the government still has little effect after the reforms and the best way is to break the government monopoly and establish competition between public and private institutions, public agencies, so that people have freedom of choice. Finally, the institutional change theory explains change motivation, process, path and speed of the public-private partnerships.
Part II:The key issues of public-private partnerships. The public-private partnerships in each countries has developed in different ways and different path of the reform, scope, mode of operation because of the difference of world's economic and social development, history, political and economic system, the distribution of resources, land size, cultural endowments. The scholars of China study the public-private partnerships with learning from the redundant and miscellaneous data and different scholars have the different views of the general problem of public-private partnerships. As a result, this confusion restricts the further development of public-private partnerships. This thesis try to extract the requirement of the values, mode of operation, range of applications, as well as institutional arrangements of public-private partnerships, summarized from a comprehensive point of view characteristics and generalize participate parts and operational procedures of China's general public-private partnerships projects. Although the content of public-private partnerships involves multi-faceted, multi-link, multi-disciplinary, the thesis tells its two key issues that public-private partnerships can be successfully operated. First issue is the government regulatory. From the perspective of the public sector, if the government does not supervise infrastructure, the infrastructure construction will be the monopoly by state-owned into the private sector monopoly and it would be harm consumer welfare and yield to the aspirations of consumer sovereignty after market-oriented reforms. In order to avoid market defects and promote universal service, protect the legitimate rights and interests of the public, maintain fair and competitive market environment in the field of infrastructure, to ensure infrastructure security and stability operations, it must be emphasized that the regulation of public-private partnership projects. Second is the risk management issue. From the perspective of the private sector, private investors are most concerned about is the size of the risks. If the risk is too high or wholly borne by private investors and affects the safety of capital, private investors will not invest the project and public-private partnership projects cannot be operated successfully.
Part III:The applied research of public-private partnerships. There are some successful and unsuccessful cases of public-private partnerships in some countries as so far. After all, public-private partnerships origin from western countries, it is necessary to study the conduct of public-private partnerships in the context of specific institutional environment of China. This thesis studies the two aspects of the applied research of public-private partnership. First is the application of public-private partnerships in China, and it analysis public-private partnerships in our application status, problems, and solutions. It can be divided into three stages for the application of public-private partnerships. Then, this thesis explores the reasons that cause the formation of such phasing. The public-private partnerships has superb prospects for development in our country, at the same time, there are exist a few problems at this stage. The count-measures are proposed for these specific problems. The implementation of public-private partnerships for system social, legal and economic environment of a match and clear the basic procedures of the operation of the project must be taken into place by our government if the public-private partnerships is promoted and popularized successfully. Second is analyzing cases. This thesis selects a public-private partnerships case which in terms of the size, industry, area of the project is typical and summarizes its experiences and lessons in order to inspire the promotion of public-private partnerships in our country.
On the basis of the theory of public products, property rights theory and competition theory, public choice theory as well as institutional change theory, the thesis studies the public-private partnerships, systematically, from the theory and practice, globalization and the general aspects. In summary, the main innovations of the thesis are the following three points:First, the allocation of risk of public-private partnerships is of great concern to private investors, and it is directly related to the success of both public and private negotiations to reach and implementation. On the basis of identifying the main risks, the thesis tells the difference between public-private partnership projects and normal projects. Innovatively, to assess risks of public-private partnership projects by VAR method, it makes risk assessment more operational and more diversity. According to the proposed risk allocation principles and framework, the thesis studies the main possible risks and how to share the risks, from the perspective of the participating. So the risk sharing method is detailed and practical, and operational risk management practice of public-private partnerships has certain reference significance. On the basis of the existing range of applications of public-private partnerships, the thesis expands the scope of application of the public-private partnerships research. First, according to the meaning of the infrastructure, public-private partnerships can be applied in hard economic infrastructure, hard social infrastructure, the soft economic infrastructure and soft social infrastructure and it is not suitable for the field of IT, because the IT industry is more complex business processes, technology updates, and simple operations. Second, in accordance with the size of the project, public-private partnerships is usually suitable for large and medium-sized infrastructure projects. Third, in the light of the type of the project, the thesis studies the range of applications public-private partnership, from the difficulty of the type of project, facility size, technical complexity, charges the extent and scale of production or consumption. The thesis analyzes in deeply the obstacles factors of the reform of public-private partnerships and proposes the specific ways for the reform. The public-private partnerships has proven to be an effective system in the field of innovation in infrastructures construction. However, the reform of public-private partnerships is relatively slow in China. This thesis attributes the main reason to the internal and external environment that is needed for the system construction is not complete, as well as the existence of the legal system and government regulation system is imperfect, not suited to the role of government and ideas, corporate finance. Additional, there are obstacles of state-owned enterprises and private enterprises competitive position which is not fair. Therefore, the point of breakthrough in the reform is to establish the appropriate institutional framework, such as the establishment and improvement to adapt the legal system and regulatory system and the governments change their concepts, as well as the establishment of a fair competitive environment and other system.
改革开放三十多年来,我国的基础设施建设取得了巨大的成就,成为经济快速发展的重要推动力。但是,一方面,受国家财政资金的限制,以及经济快速发展所引起的需求增长,基础设施领域的资金明显不足。另一方面,私营经济的迅速发展为其参与基础设施项目的建设奠定了物质和技术基础。引入私营资本、发挥私营资本在基础设施领域的作用,已成为理论界和实业界的共识。由于基础设施产品的公共产品属性,完全私有化会损害社会的公平和效率。在此背景下,公私合作制作为基础设施领域的一种制度创新,逐渐受到广泛的关注。公私合作制将政府、私营部门各自的优势充分结合起来,既减轻了政府财政压力,又提高了项目建设质量和运营效率,是解决政府投资公共产品缺陷和财政资金紧缺状况的有效方式。尽管公私合作制在国外已经有了相对比较成熟的理论,积累了一些成功的经验,但是,公私合作制本身的历史较短,很多问题尚在探索和争论中。又由于公私合作制的内容涉及工程、经济、金融、会计、公共管理等不同的学科,各门学科关于公私合作制的强调重点和观察角度有所不同。所以受不同时期历史条件、各国经济发展水平和社会制度的限制,现有的公私合作制的研究在不同国家、不同学科被片面理解,具有一定的局限性。我国的公私合作制始于地方的零星探索实践,公私合作制的理论研究相对滞后,且大多是从民间资本参与基础设施建设、解决政府资金不足的角度分析,很多分析停留在介绍国外公私合作制研究成果的层次上,对影响公私合作制在我国发展的机制分析、障碍分析、对策分析较少,无法形成一个完整的研究体系。基于此,本文选择公私合作制作为研究对象,以期为我国的公私合作制改革提供参考。
本文内容共分八章,概括为如下三大部分：
首先,探究了公私合作制的理论基础。基础设施领域为什么要进行公私合作制改革?本文从理论基础角度进行了论证。第一,运用公共产品理论对基础设施领域不能完全私有化和开放竞争的核心原因进行解释,由于基础设施具有公共产品特征,产业产品的特征以及产业的技术特征使基础设施不能完全由私营部门经营和管理,政府必须参与其中；第二,以产权理论和竞争理论作为理论基础,分析基础设施领域引入私人部门进行市场化改革实行公私合作制的必要性：第三,通过公共选择理论论证了政府作为基础设施唯一投资主体的局限性。公共选择理论为公共部门退出某些领域提供了理论依据。从经济学意义上讲,基础设施的提供应遵循比较优势原则,如果政府提供比市场提供更具有优势时,就应该由政府提供,如果政府在提供基础设施方面处于比较劣势,就应该转变政府职能。但是政府内部经过种种改革仍然收效甚微,那么最好的方法就是打破政府的垄断地位,建立公私机构之间、公共机构之间的竞争,使民众有自由选择的机会。第四,制度变迁理论解析了公私合作制变革的动因、过程、路径和速度。
其次,分析了公私合作制成功运作的关键问题。世界各国的经济社会发展水平、历史渊源、政治经济体制、资源的分布状况、国土规模、文化禀赋等不同,所以公私合作制改革的路径、范围、运作方式等都不同,公私合作制在每个国家都以不同的方式发展。本文尝试从综合性的角度归纳提炼出公私合作制的应用价值、特征、运作方式、应用范围以及制度安排的必要条件,同时归纳出我国一般公私合作制项目的参与主体以及运作程序。本文认为尽管公私合作制涉及多方面、多环节、多学科的内容,但其成功运作涉及两个关键问题。一是政府监管问题。从公共部门角度,基础设施市场化改革以后,如果政府不监管,基础设施领域将由国有企业垄断转变为私营企业垄断,会损害消费者福利,产生消费者主权诉求。为了克服市场失灵和促进普遍服务,保护社会公众的合法权益,维护基础设施领域公平竞争的市场环境,必须强调对公私合作制项目进行监管；二是风险管理问题。从私人部门角度,私人投资者最为关心的是承担的风险的大小,如果风险太大或全部由私人投资者承担,影响资本的安全,私人投资者不会参与到项目中,公私合作制项目也不可能运作成功。
最后,研究公私合作制在我国的应用。公私合作制在一些国家已有成功的案例,但也有失败的教训,对于我国来说,公私合作制是舶来品,需要研究在我国特定的制度环境背景下公私合作制的运行情况。本文从两个方面进行研究,一是公私合作制在我国的应用现状、存在的问题及解决的对策。公私合作制在我国的应用可以分为三个阶段,那么是什么原因形成这样的阶段划分,本文对此进行了探究。公私合作制在我国有着良好的发展前景,但是现阶段存在一系列问题,针对这些具体问题,本文提出相应的解决对策；二是案例分析,本文选取了一个无论从项目规模还是所处行业和地区都具有特色的典型公私合作制项目进行剖析,总结运作过程中的经验与教训,以期对公私合作制的推广有所启发。
综上所述,本文在公共产品理论、产权理论和竞争理论、公共选择理论以及制度变迁理论的基础上,从理论和实践方面、从全球化和一般性的角度对公私合作制进行了较为系统的研究。概括地说,论文的主要创新之处有以下三点：
(1)将VAR法应用于公私合作制的风险评估中。公私合作制中风险的分配是私人投资者十分关心的问题,它直接关系到公私双方谈判的达成与实施的成功与否。因此,在识别主要风险的基础上,本文分析了公私合作制风险与一般项目风险的区别,将金融风险管理的VAR法应用于公私合作制风险评估中。并根据提出的风险分配原则和框架,从各参与主体的角度研究了可能遇到的风险以及如何分担风险,风险分担方法详实,具有可操作性。
(2)科学界定了公私合作制的应用范围。国内的学者在论述公私合作制的应用范围时,大多认为公私合作制应用于硬经济基础设施领域,通常适合于大中型基础设施项目。本文对公私合作制的应用范围进行拓展研究,认为硬社会基础设施、部分软经济基础设施和软社会基础设施领域也适用公私合作制,如果简化前期工作程序,公私合作制亦适合于小型基础设施项目,并按项目的类型,从设施规模、技术复杂性、收费的难易程度以及生产或消费的规模分析了公私合作制应用范围。
(3)明确提出了公私合作制改革的突破点是建立相应的制度框架。本文对公私合作制改革的阻碍因素进行了深入剖析,提出了推进改革的具体思路。公私合作制已经证明是一种行之有效的基础设施领域的制度创新,但我国的改革相对迟缓,究其原因主要是制度建设所需的内外部环境不配套,存在着法制建设和政府监管体系不完善、政府角色及观念不适应、企业融资存在障碍以及国有企业和私营企业竞争地位不对等等问题。因此,改革的突破点是建立相应的制度框架,如建立与完善相适应的法律制度和监管体系、政府转变观念以及建立公平的竞争环境等措施。
More than30years since China's reform and opening up, its economy has achieved a successful transition. In the process of transition from planned economy to market economy, the Chinese government carried out a series of reforms, such as macroeconomic reform, education and health care reform, trade liberalization, housing system reform, developing the labor market, etc. Undoubtedly, the infrastructure sector reform is one of the most complicated reforms in the whole course of reform. The infrastructure is the basic conditions of normal operation of modern society, and also is the general material conditions of social development. Complete infrastructure plays an important role for the promotion of economic growth and protects and improves people's living standards. However, the establishment of an advanced infrastructure usually requires a huge investment and a long period. Even the developed countries faced with the problem of insufficient infrastructure construction. Generally, each country in the world adopted the policy of infrastructure construction based on the national financial status, but with the rapid economic development, relying solely on the state's financial investment apparently can not meet the huge demand investment in infrastructure construction. After the1980s, governments gradually pay attention to infrastructure issues, strengthen the intensity of reform and investment, loose the monopolized by the state control of the field of infrastructure, introduce the private capital, and establish the mechanism of competition. This has greatly promoted the development of infrastructure and its related industries. In recent years, the supply capacity of infrastructure products has been significantly improved, and become an important impetus of economic growth in western countries.
Even though the China's infrastructure construction has made great achievements and became an important impetus of rapid economic development. However, due to the limitations of state funds, as well as rapid economic development needs, the field of infrastructure funding is clearly insufficient. On the other hand, the rapid development of private economy laid the material and technical basis for the building to participate in infrastructure projects. It has already become the consensus of theorists and businessmen to introduce the private capital to play the role of private capital in infrastructure. As the public property of infrastructure, fully privatization would undermine the fairness and efficiency. In this context, being a system of innovation, public-private partnership gradually attracted much attention in recent years in the foreign field of infrastructure. Public-private partnership fully integrated with the government, private enterprises and financial institutions in their respective strengths, not only reduces the financial pressure of the government, but also improves the quality of projects and operational efficiency. It is the effective way to solve the defects of government investment in public goods and financial capital shortage. Although the public-private partnership in foreign countries gradually became with relatively mature theory, and accumulated a number of success cases. But the relatively short history of public-private partnerships itself causes a lot of problems in the exploration and debate. Moreover, the summary of the theoretical study and practical experience of public-private partnerships is mostly from their actual departure, and lack of comprehensive and global. Combined public-private partnership is involving different subjects, such as engineering, economics, finance, accounting, public policy, etc. And each subject has a different emphasis and observation angle on public-private partnerships. So subject to the conditions of different periods of history, the level of national economic development and social system limitations, the existing public-private partnerships system was one-sided understanding in different countries, different disciplines, with some limitations. China's public-private partnerships began in parts of sporadic exploration and practice, and with a relatively short history of the academia, research. And the analysis is mostly from the private capital participation in infrastructure, to address the lack of government funding point of view. Much analysis is stay in the introduction of foreign public and private the level of cooperative research, and lack of in-depth study of China's specific national conditions. Therefore, the analysis cannot form a complete system. Based on this, this thesis is mainly about to study the production of public-private partnerships in order to contribute to China's public-private partnerships reform.
The main contents include the following three parts:
Part I:Theoretical study. Public-private partnerships is institutional innovation used in the field of infrastructure and market-oriented reforms of infrastructure industries. Then, why the field of infrastructure is carried on the reform of the public-private partnerships system? This thesis tells the answer from the perspective of the theoretical basis of the argument. First, the main reasons that the field of infrastructure cannot be fully privatized and open competition can be explained by public products theory. Because the infrastructure has the characteristics of public products, industrial products, as well as the technical industry infrastructure, so it cannot be fully operated and managed by the private sector and the government must be taken part in. It is the features and natures of infrastructure that determine the necessity of the involvement of the government public-sector. Second, as the theoretical basis of property rights theory and competition theory, the theories analyze the need for the infrastructure sector to introduce private sector and market-oriented reforms to implement the system of public-private partnerships. Third, the public choice theory demonstrates the limitations of government as the only infrastructure investment entities. The public choice theory provides a theoretical basis that the public sector quit from the infrastructure areas, and it pointed out some of the problems of bureaucratic organizations, and proposed an alternative method. For economics sense, the provision of infrastructure should follow the principle of comparative advantage and provided by the side between government and market with more advantages. It should be to transform government functions if the government still has little effect after the reforms and the best way is to break the government monopoly and establish competition between public and private institutions, public agencies, so that people have freedom of choice. Finally, the institutional change theory explains change motivation, process, path and speed of the public-private partnerships.
Part II:The key issues of public-private partnerships. The public-private partnerships in each countries has developed in different ways and different path of the reform, scope, mode of operation because of the difference of world's economic and social development, history, political and economic system, the distribution of resources, land size, cultural endowments. The scholars of China study the public-private partnerships with learning from the redundant and miscellaneous data and different scholars have the different views of the general problem of public-private partnerships. As a result, this confusion restricts the further development of public-private partnerships. This thesis try to extract the requirement of the values, mode of operation, range of applications, as well as institutional arrangements of public-private partnerships, summarized from a comprehensive point of view characteristics and generalize participate parts and operational procedures of China's general public-private partnerships projects. Although the content of public-private partnerships involves multi-faceted, multi-link, multi-disciplinary, the thesis tells its two key issues that public-private partnerships can be successfully operated. First issue is the government regulatory. From the perspective of the public sector, if the government does not supervise infrastructure, the infrastructure construction will be the monopoly by state-owned into the private sector monopoly and it would be harm consumer welfare and yield to the aspirations of consumer sovereignty after market-oriented reforms. In order to avoid market defects and promote universal service, protect the legitimate rights and interests of the public, maintain fair and competitive market environment in the field of infrastructure, to ensure infrastructure security and stability operations, it must be emphasized that the regulation of public-private partnership projects. Second is the risk management issue. From the perspective of the private sector, private investors are most concerned about is the size of the risks. If the risk is too high or wholly borne by private investors and affects the safety of capital, private investors will not invest the project and public-private partnership projects cannot be operated successfully.
Part III:The applied research of public-private partnerships. There are some successful and unsuccessful cases of public-private partnerships in some countries as so far. After all, public-private partnerships origin from western countries, it is necessary to study the conduct of public-private partnerships in the context of specific institutional environment of China. This thesis studies the two aspects of the applied research of public-private partnership. First is the application of public-private partnerships in China, and it analysis public-private partnerships in our application status, problems, and solutions. It can be divided into three stages for the application of public-private partnerships. Then, this thesis explores the reasons that cause the formation of such phasing. The public-private partnerships has superb prospects for development in our country, at the same time, there are exist a few problems at this stage. The count-measures are proposed for these specific problems. The implementation of public-private partnerships for system social, legal and economic environment of a match and clear the basic procedures of the operation of the project must be taken into place by our government if the public-private partnerships is promoted and popularized successfully. Second is analyzing cases. This thesis selects a public-private partnerships case which in terms of the size, industry, area of the project is typical and summarizes its experiences and lessons in order to inspire the promotion of public-private partnerships in our country.
On the basis of the theory of public products, property rights theory and competition theory, public choice theory as well as institutional change theory, the thesis studies the public-private partnerships, systematically, from the theory and practice, globalization and the general aspects. In summary, the main innovations of the thesis are the following three points:First, the allocation of risk of public-private partnerships is of great concern to private investors, and it is directly related to the success of both public and private negotiations to reach and implementation. On the basis of identifying the main risks, the thesis tells the difference between public-private partnership projects and normal projects. Innovatively, to assess risks of public-private partnership projects by VAR method, it makes risk assessment more operational and more diversity. According to the proposed risk allocation principles and framework, the thesis studies the main possible risks and how to share the risks, from the perspective of the participating. So the risk sharing method is detailed and practical, and operational risk management practice of public-private partnerships has certain reference significance. On the basis of the existing range of applications of public-private partnerships, the thesis expands the scope of application of the public-private partnerships research. First, according to the meaning of the infrastructure, public-private partnerships can be applied in hard economic infrastructure, hard social infrastructure, the soft economic infrastructure and soft social infrastructure and it is not suitable for the field of IT, because the IT industry is more complex business processes, technology updates, and simple operations. Second, in accordance with the size of the project, public-private partnerships is usually suitable for large and medium-sized infrastructure projects. Third, in the light of the type of the project, the thesis studies the range of applications public-private partnership, from the difficulty of the type of project, facility size, technical complexity, charges the extent and scale of production or consumption. The thesis analyzes in deeply the obstacles factors of the reform of public-private partnerships and proposes the specific ways for the reform. The public-private partnerships has proven to be an effective system in the field of innovation in infrastructures construction. However, the reform of public-private partnerships is relatively slow in China. This thesis attributes the main reason to the internal and external environment that is needed for the system construction is not complete, as well as the existence of the legal system and government regulation system is imperfect, not suited to the role of government and ideas, corporate finance. Additional, there are obstacles of state-owned enterprises and private enterprises competitive position which is not fair. Therefore, the point of breakthrough in the reform is to establish the appropriate institutional framework, such as the establishment and improvement to adapt the legal system and regulatory system and the governments change their concepts, as well as the establishment of a fair competitive environment and other system.
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