PPP项目绩效评价研究
摘要
PPP(公私合营)项目一般是由公共部门和私人部门合作来进行建设和运营的基础设施项目。随着投资体制改革的深入和经济危机所引发的新一轮基础设施投资热潮,PPP日益得到广泛的应用。在这一背景下,如何对PPP项目进行合理的绩效评价,提高项目执行过程中的绩效水平,实现PPP的最终战略目标成为一个凸显的问题,在理论和实践上都具有重要的研究意义。
本文首先结合绩效评价的理论和PPP项目的本质特点,对PPP项目绩效的评价范畴进行了清晰的界定。在指标体系的构建上,本文以KPI绩效评价思想为基础,从PPP项目的关键成功因素出发,通过PPP项目核心过程的模块化分析,提取了一般性关键绩效指标。在评价方法上,将物元分析法应用到PPP项目的绩效评价中,通过建立多指标性能参数的评判模型和关联函数进行评判,以定量的等级表示绩效的结果。在PPP项目绩效评价的实施上,鉴于中国PPP项目监管的缺失,本文在借鉴英国与澳大利亚PPP项目监管体系及机构设置的基础上,提出了我国PPP项目绩效评价的主体构想,并结合绩效评价的实践建立了相应的PPP项目绩效评价实施流程。
在实证研究方面,本文在一般性指标体系和绩效评价基础上,提出了具体的PPP项目绩效评价实施框架,并将此运用到地热PPP项目中。首先,针对地热开发领域,通过广泛的专家调研和案例分析,确立了地热PPP项目的绩效评价体系,然后,并针对具体的项目,对项目的指标和权重进行进一步的调整,对项目的实际执行状况进行了评价。最后,同项目实际和政府绩效稽查的结果比较得出,本文建立的指标体系比较合理和全面,具有一定的使用价值。
PPP (Public-Private-Partnerships) projects generally refer to infrastructure projects which employ the cooperation between the public and private sectors to construct and operate. With the development of the investment system reform and the investment demand under economic crisis, PPP has become a sensible choice for government to propel the economic development. In this circumstance, how to improve the performance level and realize the intended vision of stakeholders become the focus of PPP research and practice.
Firstly, based on the performance theories and PPP characteristic analysis, the connotation of PPP performance is identified in terms of evaluation perspective, evaluation time-point, evaluation objects etc. And then, KPI theory is used to set up the general PPP key performance indicators through CSF systematical analysis. Lastly, the material-units model is introduced to the evaluation process which produces the comprehensive performance evaluation results through individual indicators relation degree calculation to the evaluation criteria. Meanwhile, the reasonable execution system is put forward for the practice use. Given the absence of PPP supervision, the evaluation object and evaluation plan is schemed based on the good practice of England and Australia PPP supervision.
Finally, with the above research, the specific PPP performance evaluation frame is put forward and finds application in geothermal development. The expert interview and empirical study are used to construct general geothermal PPP projects performance evaluation system. And in the specific application, the indicators and weights are adapted subtlety related to the realistic conditions. Compared with the current government performance inspection, the thesis results reflect reasonably and comprehensively.
本文首先结合绩效评价的理论和PPP项目的本质特点,对PPP项目绩效的评价范畴进行了清晰的界定。在指标体系的构建上,本文以KPI绩效评价思想为基础,从PPP项目的关键成功因素出发,通过PPP项目核心过程的模块化分析,提取了一般性关键绩效指标。在评价方法上,将物元分析法应用到PPP项目的绩效评价中,通过建立多指标性能参数的评判模型和关联函数进行评判,以定量的等级表示绩效的结果。在PPP项目绩效评价的实施上,鉴于中国PPP项目监管的缺失,本文在借鉴英国与澳大利亚PPP项目监管体系及机构设置的基础上,提出了我国PPP项目绩效评价的主体构想,并结合绩效评价的实践建立了相应的PPP项目绩效评价实施流程。
在实证研究方面,本文在一般性指标体系和绩效评价基础上,提出了具体的PPP项目绩效评价实施框架,并将此运用到地热PPP项目中。首先,针对地热开发领域,通过广泛的专家调研和案例分析,确立了地热PPP项目的绩效评价体系,然后,并针对具体的项目,对项目的指标和权重进行进一步的调整,对项目的实际执行状况进行了评价。最后,同项目实际和政府绩效稽查的结果比较得出,本文建立的指标体系比较合理和全面,具有一定的使用价值。
PPP (Public-Private-Partnerships) projects generally refer to infrastructure projects which employ the cooperation between the public and private sectors to construct and operate. With the development of the investment system reform and the investment demand under economic crisis, PPP has become a sensible choice for government to propel the economic development. In this circumstance, how to improve the performance level and realize the intended vision of stakeholders become the focus of PPP research and practice.
Firstly, based on the performance theories and PPP characteristic analysis, the connotation of PPP performance is identified in terms of evaluation perspective, evaluation time-point, evaluation objects etc. And then, KPI theory is used to set up the general PPP key performance indicators through CSF systematical analysis. Lastly, the material-units model is introduced to the evaluation process which produces the comprehensive performance evaluation results through individual indicators relation degree calculation to the evaluation criteria. Meanwhile, the reasonable execution system is put forward for the practice use. Given the absence of PPP supervision, the evaluation object and evaluation plan is schemed based on the good practice of England and Australia PPP supervision.
Finally, with the above research, the specific PPP performance evaluation frame is put forward and finds application in geothermal development. The expert interview and empirical study are used to construct general geothermal PPP projects performance evaluation system. And in the specific application, the indicators and weights are adapted subtlety related to the realistic conditions. Compared with the current government performance inspection, the thesis results reflect reasonably and comprehensively.
引文
[1] World Bank. Private Partipation in frasturcture database. Http: //ppi. Worldbank.org. 2007-06-25
[2]王守清,柯永建.特许经营项目融资.北京:清华大学出版社,2008
[3] 2009两会经济报道.http://finance.sina.com.cn/roll/20090306/10392713069.2009-03-06
[4]胡华如.城市基础设施PPP项目可持续性后评价研究:[硕士学位论文].北京:清华大学,2006
[5]赵国富.BOT/PPP项目社会效益评价:[硕士学位论文].北京:清华大学,2008
[6]黄炜怿.PPP项目评价方法与决策研究:[硕士学位论文].上海:同济大学,2007
[7]鲍良.公共投资项目绩效评价与管理体系研究——以京津风沙源治理工程项目为例:[博士学位论文].北京:中国地质大学,2007
[8]白思俊.项目评价与项目中评价.工业工程与管理.1999(3):37-40
[9]万威武.可行性研究与项目评价.西安:西安交通大学出版社,1999
[10]李荣星.建设项目评价理论与方法体系研究:[硕士学位论文].大连:大连理工大学,2007
[11]王金英,王朝纲.中国建设项目评价——理论、方法、案例.北京:中国计划出版社,1998
[12]中国国际工程咨询公司.中国投资项目社会评价指南.北京:中国计划出版社,2004
[13]孙元欣.投资项目评价理论、方法与案例.上海:上海科学技术文献出版社,2005
[14]普雷母詹德.公共支出管理.北京:中国金融出版社,1995:192-193
[15]张一驰.人力资源管理.北京:北京大学出版社,1999:185
[16]孟建民.中国企业绩效评价.北京:中国财政经济出版社,2002
[17]林俊杰.平衡计分卡导向战略管理.北京:华夏出版社,2003
[18]孟宪海.关键绩效指标KPI——国际最新的工程项目绩效评价体系.建筑经济,2007,2,第292期
[19]饶征,孙波.以KPI为核心的绩效管理.中国人民大学出版社,2003年1月
[20]丰景春.工程项目费用/进度绩效灰色整体预测模型.东南大学学报,1999,(2):127-129
[21]贺长青.工程项目执行绩效评估模式的研究.工程项目管理研究,1998,(4):23-25
[22]曾仁杰.公共工程进度与预算管理制度.财税与会计,1998,22(8):45-47
[23]祝建华,牛俊萍,赖友兵.高速公路建设项目绩效评价指标体系研究.中外公路,2008,28(1):198-205
[24] Yuan Jingfeng, Zeng Yajun, Miroslaw J. Skibniewski, Li Qiming. Selection of Performance Objectives and Key Performance Indicators in Public-Private Partnership Projects to Achieve Value for Money. Construction Management and Economics, 2009. 27(3): p. 253– 270
[25]孙本刚.准经营性基础设施项目PPP模式研究:[硕士学位论文].上海:同济大学,2006
[26]戴大双.项目融资.北京:机械工业出版社,2005
[27]蔡文.物元模型及其应用.北京:北京科学技术文献出版社,1994
[28] Qiao Lin, Wang Shouqing, Tiong Robert L.K., Chan Tsang. Framework for Critical Success Factors of BOT Projects in China. The Journal of Project Finance. 2001. p. 53-61
[29] Zhang Xueqing. Critical Success Factors for Public–Private Partnerships in Infrastructure Development. The Journal of Construction and Engineering. 2005. 131, (1): p. 3-14
[30] Wang Weixiong, Li Qingming, Deng Xiaopeng. Critical Success Factors of Infrastructure Projects Under PPP Moderl in China. Wireless Communications, Networking and Mobile Computing. 2007. p. 4970-4674
[31] Bennett, E. Public- Private Co-operation in the Delivery of Urban Infrastructure Services (Water and Waste ), PPP UE Background Paper, UNDP/Yale Collaborative Programme. 1998
[32] Boyfield, K. Private Sector Funding of Public Sector Infrastructure. Public Money & Managemnet. Oxford, 1992. 12(2): p. 41-46
[33] Stein, S. W. Construction Financing and BOT Projects, International Business Lawyer. International Bar Association. 1995. 23(4): p. 173-180
[34] Jefferis, M., Gameson, R. and Rowlinson, S. Critical Success Factors of the BOOT Procurement System: Reflection from the Stadium Australia Case Study. Engineering, Construction and Architectural Management. 2002, 9(4): p. 352-361
[35] McCarrthy, S.C. and Tiong Robert L.K... Financial and Constructual Aspects of Build-Operate-Transfer Projects. International Journal of Project Management. 1991. 9(4): p. 222-227
[36] Kopp, J. C. Private Capital for Public-Private Partnerships Through Shared-Interest Ventures. The Financier. 1997. 5(2&3): p. 55-59
[37] Gentry B. and Fermandez, L. Evolving Public-Private Partnerships: General Themes and Urban water Examples. Globalisation and the Environment: Perspectives from OECD and Dynamic Non-Member Economies. OECD, Paris. 1997. p. 19-25
[38] Arthur Anderson and Enterprise LSE. Value for Money Drivers in the Private Financial Initiative, the Treasury Task Force. 2001
[39] Tiong, R. L. K. CSFs in Competitive Tendering and Negotiation Model for BOT Projects. ASCE Journal of Construction Engineering and Management, USA. 1996. 122(3): p. 205-211
[40] Jones, I., Zamani, H. and Reehal, R. Financing Models for New Transport Infrastructure. OPEC, Luxembourg. 1996
[41] Finnerty, J. D. Project Financing: Asset-Based Financial Engineering. John Wiley & Sons, New York, 1996
[42] Stonehouse, J.H, Hudson, A. R. and O’Keefe, M. J. Private-Public Parternships: The Toronto Hospital Experience. Canadian Business Review. Ottawa. 1996. 23(2): p. 17-20
[43] Zantke, G. and Mangels, B. Public Sector Client- Private Sector Project: Transferring the State Construction Administration into Private Hand. Engineering, Construction and Architectural Management. 1999. 6(1): p. 78-87
[44] Kanter, R. M. From Spare Change to Real Change, Havard Business Review. Boston. 1999. 77(2): p. 122-132
[45] Li Bing, Akintoye A., Edwards P. J., C. Hardcastle. Critical Success Factors for PPP/PFI Projects in the UK Construction Industry. Construction Management and Economics, 2005. 23(5): p. 459 - 471
[46] Brodie, M, J. Public/Private Joint Ventures: The Government as Partner- Bane or Benefit? Real Estate Issues. Chicago. 2001. 20(2): p. 33-39
[47] Frilet, M. Some Universal Issues in BOT Projects for Public Infrastructure. The International Construction Law Review. 1997. 14(4): p. 499-512
[48] Badshah, A. Good Governance for Environmental Sustainability. UNDP, 1998
[49] Akintoye, A., Beck, M., Hardcastle, C., Chinyio, E. and Asenova, D. The Financial Structure of Private Finance Initiative Projects. Proceedings: 17th ARCOM Annual Confrerence Salford. 2001. 2(1): p. 361-369
[50]首都机场高速公路.http://www.infzm.com/content/13528,2008-3-12
[51]地质环境管理.http://www.cdlr.gov.cn/gtzyj/htm/detail.aspx?id=4289, 2005-07-07
[52]黄腾.中外PPP模式的政府管理比较分析.项目管理技术,2009(1):45-47
[2]王守清,柯永建.特许经营项目融资.北京:清华大学出版社,2008
[3] 2009两会经济报道.http://finance.sina.com.cn/roll/20090306/10392713069.2009-03-06
[4]胡华如.城市基础设施PPP项目可持续性后评价研究:[硕士学位论文].北京:清华大学,2006
[5]赵国富.BOT/PPP项目社会效益评价:[硕士学位论文].北京:清华大学,2008
[6]黄炜怿.PPP项目评价方法与决策研究:[硕士学位论文].上海:同济大学,2007
[7]鲍良.公共投资项目绩效评价与管理体系研究——以京津风沙源治理工程项目为例:[博士学位论文].北京:中国地质大学,2007
[8]白思俊.项目评价与项目中评价.工业工程与管理.1999(3):37-40
[9]万威武.可行性研究与项目评价.西安:西安交通大学出版社,1999
[10]李荣星.建设项目评价理论与方法体系研究:[硕士学位论文].大连:大连理工大学,2007
[11]王金英,王朝纲.中国建设项目评价——理论、方法、案例.北京:中国计划出版社,1998
[12]中国国际工程咨询公司.中国投资项目社会评价指南.北京:中国计划出版社,2004
[13]孙元欣.投资项目评价理论、方法与案例.上海:上海科学技术文献出版社,2005
[14]普雷母詹德.公共支出管理.北京:中国金融出版社,1995:192-193
[15]张一驰.人力资源管理.北京:北京大学出版社,1999:185
[16]孟建民.中国企业绩效评价.北京:中国财政经济出版社,2002
[17]林俊杰.平衡计分卡导向战略管理.北京:华夏出版社,2003
[18]孟宪海.关键绩效指标KPI——国际最新的工程项目绩效评价体系.建筑经济,2007,2,第292期
[19]饶征,孙波.以KPI为核心的绩效管理.中国人民大学出版社,2003年1月
[20]丰景春.工程项目费用/进度绩效灰色整体预测模型.东南大学学报,1999,(2):127-129
[21]贺长青.工程项目执行绩效评估模式的研究.工程项目管理研究,1998,(4):23-25
[22]曾仁杰.公共工程进度与预算管理制度.财税与会计,1998,22(8):45-47
[23]祝建华,牛俊萍,赖友兵.高速公路建设项目绩效评价指标体系研究.中外公路,2008,28(1):198-205
[24] Yuan Jingfeng, Zeng Yajun, Miroslaw J. Skibniewski, Li Qiming. Selection of Performance Objectives and Key Performance Indicators in Public-Private Partnership Projects to Achieve Value for Money. Construction Management and Economics, 2009. 27(3): p. 253– 270
[25]孙本刚.准经营性基础设施项目PPP模式研究:[硕士学位论文].上海:同济大学,2006
[26]戴大双.项目融资.北京:机械工业出版社,2005
[27]蔡文.物元模型及其应用.北京:北京科学技术文献出版社,1994
[28] Qiao Lin, Wang Shouqing, Tiong Robert L.K., Chan Tsang. Framework for Critical Success Factors of BOT Projects in China. The Journal of Project Finance. 2001. p. 53-61
[29] Zhang Xueqing. Critical Success Factors for Public–Private Partnerships in Infrastructure Development. The Journal of Construction and Engineering. 2005. 131, (1): p. 3-14
[30] Wang Weixiong, Li Qingming, Deng Xiaopeng. Critical Success Factors of Infrastructure Projects Under PPP Moderl in China. Wireless Communications, Networking and Mobile Computing. 2007. p. 4970-4674
[31] Bennett, E. Public- Private Co-operation in the Delivery of Urban Infrastructure Services (Water and Waste ), PPP UE Background Paper, UNDP/Yale Collaborative Programme. 1998
[32] Boyfield, K. Private Sector Funding of Public Sector Infrastructure. Public Money & Managemnet. Oxford, 1992. 12(2): p. 41-46
[33] Stein, S. W. Construction Financing and BOT Projects, International Business Lawyer. International Bar Association. 1995. 23(4): p. 173-180
[34] Jefferis, M., Gameson, R. and Rowlinson, S. Critical Success Factors of the BOOT Procurement System: Reflection from the Stadium Australia Case Study. Engineering, Construction and Architectural Management. 2002, 9(4): p. 352-361
[35] McCarrthy, S.C. and Tiong Robert L.K... Financial and Constructual Aspects of Build-Operate-Transfer Projects. International Journal of Project Management. 1991. 9(4): p. 222-227
[36] Kopp, J. C. Private Capital for Public-Private Partnerships Through Shared-Interest Ventures. The Financier. 1997. 5(2&3): p. 55-59
[37] Gentry B. and Fermandez, L. Evolving Public-Private Partnerships: General Themes and Urban water Examples. Globalisation and the Environment: Perspectives from OECD and Dynamic Non-Member Economies. OECD, Paris. 1997. p. 19-25
[38] Arthur Anderson and Enterprise LSE. Value for Money Drivers in the Private Financial Initiative, the Treasury Task Force. 2001
[39] Tiong, R. L. K. CSFs in Competitive Tendering and Negotiation Model for BOT Projects. ASCE Journal of Construction Engineering and Management, USA. 1996. 122(3): p. 205-211
[40] Jones, I., Zamani, H. and Reehal, R. Financing Models for New Transport Infrastructure. OPEC, Luxembourg. 1996
[41] Finnerty, J. D. Project Financing: Asset-Based Financial Engineering. John Wiley & Sons, New York, 1996
[42] Stonehouse, J.H, Hudson, A. R. and O’Keefe, M. J. Private-Public Parternships: The Toronto Hospital Experience. Canadian Business Review. Ottawa. 1996. 23(2): p. 17-20
[43] Zantke, G. and Mangels, B. Public Sector Client- Private Sector Project: Transferring the State Construction Administration into Private Hand. Engineering, Construction and Architectural Management. 1999. 6(1): p. 78-87
[44] Kanter, R. M. From Spare Change to Real Change, Havard Business Review. Boston. 1999. 77(2): p. 122-132
[45] Li Bing, Akintoye A., Edwards P. J., C. Hardcastle. Critical Success Factors for PPP/PFI Projects in the UK Construction Industry. Construction Management and Economics, 2005. 23(5): p. 459 - 471
[46] Brodie, M, J. Public/Private Joint Ventures: The Government as Partner- Bane or Benefit? Real Estate Issues. Chicago. 2001. 20(2): p. 33-39
[47] Frilet, M. Some Universal Issues in BOT Projects for Public Infrastructure. The International Construction Law Review. 1997. 14(4): p. 499-512
[48] Badshah, A. Good Governance for Environmental Sustainability. UNDP, 1998
[49] Akintoye, A., Beck, M., Hardcastle, C., Chinyio, E. and Asenova, D. The Financial Structure of Private Finance Initiative Projects. Proceedings: 17th ARCOM Annual Confrerence Salford. 2001. 2(1): p. 361-369
[50]首都机场高速公路.http://www.infzm.com/content/13528,2008-3-12
[51]地质环境管理.http://www.cdlr.gov.cn/gtzyj/htm/detail.aspx?id=4289, 2005-07-07
[52]黄腾.中外PPP模式的政府管理比较分析.项目管理技术,2009(1):45-47