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1、PPP application in infrastructure development in China:Institutional analysis and implications,PPP模式在中国基础设施建设中的应用：制度分析及影响,摘要在过去20年中，PPP模式即公私合营模式的应用越来越广泛。但在如何建立一个积极的制度环境以保证PPP项目的成功方面仍存在着问题。本文通过对中国的制度分析，探讨了这一问题。首先，本文通过阐释PPP模式的理论框架，论证了PPP系统中不同层次之间的逻辑及相互影响。然后，在文化、法律和管理特征等方面描述了中国的制度框架，并以此作为中国PPP模式发展的嵌入性因

2、素。此后，本文对我国关于PPP模式的制度演化进行了分析。研究表明，制度安排的改变必须与PPP模式的引入相结合，且PPP模式的成效与它的制度环境紧密相关。最终，本文为改善我国制度安排以促进PPP模式健康发展提出了建议，并阐述了我国PPP模式的发展对外国政府及投资者的影响。,1.introduction,Infrastructure is considered to be“life supporting services”(Noel and Brzeski,2005)and has long been under the monopoly of government.However,insuffi

3、cient infrastructure has been a problem for almost all countries;this problem is exacerbated by the lack of funds available in the public sectors(Matos-Castao et al.,2014;Qiu and Wang,2011).Further,the monopoly of government over infrastructure has been seen as a cause of low efficiency in the devel

4、opment and operation of infrastructure facilities.Publicprivate partnership(PPP),as an innovation of project delivery alternatives,has been widely applied in many countries in the past two decades,attempting to resolve the problems(Chan et al.,2011);now it is,arguably,the most significant,worldwide

5、trend in the public sector(Garvin and Bosso,2008;Koch and Buser,2006),and good governance is an important factor for the success of PPPprojects in terms of developing sound economic policy and administrating projects(Li et al.,2005).,基础设施被认为是“生活配套服务”(Noel and Brzeski,2005)并且长期处于政府的垄断之下。然而，几乎所有的国家都存在

6、基础设施不足的问题；资金缺乏的公共部门加剧了这个问题的严重性(Matos-Castao et al.,2014;Qiu and Wang,2011)。此外，政府对基础设施的垄断被视为导致低效率的基础设施发展和运营的原因。PPP，做为一种项目交付方案的创新，在过去的二十年已经被广泛地应用到许多国家，并且尝试去解决一些难题(Chan et al.,2011)；现在PPP无疑是公共部门里最重要、最流行的趋势(Garvin and Bosso,2008;Koch and Buser,2006)，在发展良好的经济政策和管理项目方面良好的管理是PPP项目成功的一个重要因素(Li et al.,2005)。

7、,Over the past two decades,the Chinese government has been embarking on an ambitious programme of large investments on infrastructure development.To facilitate urbanization in China,the funds required for urban infrastructure development during the first 20 years of the twenty-first century are expe

8、cted to be around 35005000 billion RMB(Wu,2007).Funds from government alone are unlikely to be available to finance such large investments and so,reforms need to be undertaken by the Chinese government regarding the investment and financing of infrastructure projects.PPP was thus introduced in China

9、 to alleviate this problem(Chan et al.,2009;Feng and Luo,1999;Ge and Zhang,2009;He,2001;Wang,2006).,在过去的二十年，中国政府已经开始着手实施一项雄心勃勃的基础设施建设大规模投资计划。为了促进中国城市化，城市基础设施建设所需的资金在21世纪头20年预计将达到大约3500-50000亿元(Wu,2007）。仅仅来自政府的资金是不太可能支付得起这样大的投资，因此改革需要得到中国政府关于基础设施项目的投融资承诺。PPP因此被引进到中国来缓和资金短缺这个问题(Chan et al.,2009;Feng a

10、nd Luo,1999;Ge and Zhang,2009;He,2001;Wang,2006)。,In fact,PPP,in its modern form,was applied in China in the late 1980s,first in industrial development projects,and later other sectors,particularly infrastructure.According toth e World Bank(2013),1 the total number of infrastructure projects with pr

11、ivate participation from 1990 to 2012 reached 1064 in China,ranking first worldwide,with a total investment commitment being 119,330 million US dollars,ranking fourth worldwide,after Brazil,India and Russian Federation.,事实上，PPP以它的现代形式应用到中国是在20世纪80年代后期，PPP首先应用在产业发展项目，后来才扩展到其他部门尤其是基础设施部门。根据世界银行的报告(201

12、3)，在中国，私营部门参与的基础设施项目从1990年到2012年的总数达到了1064个，排名全球第一，总投资承诺为119330万美元，排名世界第四，排在巴西，印度和俄罗斯之后。,China is characterized by unique political,economic and cultural features(Buderi and Huang,2006;Mu et al.,2011;Tan and Bian,2013).Before the 1980s,China adopted a pure socialist economy,highly centralized and pl

13、anned.Infrastructure investment and development was the sole responsibility of the government.With the introduction of PPP in its infrastructure development,and considering the complexity of such economic transactional activities,the PPP practice in China has become a focus of study by scholars in r

14、ecent years,particularly with regard to PPP risks(e.g.Cheung and Chan,2011;Ke etal.,2010;Song et al.,2013;Wang et al.,1999),potential problems(e.g.Chan et al.,2010a),critical success factors(e.g.Chan et al.,2010b;Zhao et al.,2010)and case studies intending to draw lessons and experience from the imp

15、lementation of real PPP projects(e.g.,Chen,2009;Chen and Hubbard,2012).,中国的特点是独特的政治，经济和文化的特征(Buderi and Huang,2006;Mu et al.,2011;Tan and Bian,2013)。在1980年之前，中国采取了高度集中和计划的纯粹的社会主义经济。基础设施投资和发展是政府唯一的责任。随着PPP以基础设施发展的形式引入，并且考虑到这些经济交易活动的复杂性，PPP实践在中国已成为近年来学者们研究的焦点，尤其是PPP风险(e.g.Cheung and Chan,2011;Ke etal.

16、,2010;Song et al.,2013;Wang et al.,1999)，潜在的问题(e.g.Chan et al.,2010a)，成功的关键因素(e.g.Chan et al.,2010b;Zhao et al.,2010)以及拟从实际PPP项目的实施中汲取教训和经验的案例研究这些方面(e.g.,Chen,2009;Chen andHubbard,2012)。,These studies offer us a better understanding of the current status,problems and constraints encountered in PPP p

17、rojects in China.They also suggest or imply that sound institutions are very important for PPP success and that there is a needforChinatocreateaPPP-enabling institutional environment(Wang et al.,2012).However,our literature review shows that there still exists a lack of systematic institutional anal

18、ysis,especially from the dynamic evolution perspective,to address the following question:how have Chinas institutional arrangements evolved to accommodate the new project financing and delivery approach in infrastructure development?,这些研究使我们更好地了解了PPP项目在中国遇到的现状、问题和制约因素。他们还建议或暗示健全的制度对于PPP的成功非常重要并且有必要为

19、中国创造一个PPP-有利的体制环境(Wang et al.,2012)。然而，我们的文学审查表明还存在缺乏系统性的制度分析，特别是从动态演化的角度方面来解决接下来的问题：在基础设施建设方面如何对中国的制度安排演变，以适应新的项目融资和交付？,This paper,with a view to contributing new knowledge on PPP administration,conducts an in-depth analysis from an institutional perspective.It is structured as follows:Section 1 is

20、 introduction.Section 2 presents a theoretical framework for guiding the analysis by taking the perspective of the new institutional economics.Section 3 provides an in-depth analysis of the evolution and changes in the institutional arrangements by investigating the development trajectory of PPP in

21、infrastructure in China.Section 4 concludes with the findings identified from the analysis and presents topics for furtherstudies with regard to governance issues of PPP.,本文，以期对PPP管理贡献新的知识，从制度的角度进行了深入的分析。本文结构如下：第一部分是简介。第二部分介绍了通过采取新制度经济学的角度指导分析的理论框架。第3部分通过调查PPP在中国的基础设施建设的发展轨迹提供了一个深入分析的演进和变化的体制安排。第4部分

22、总结与分析鉴定结果，并提出了课题进一步研究，以了解PPP的治理问题。,2 理论框架2.1 PPP模式的定义 关于PPP模式的定义众说纷纭，在如何定义PPP方面也存在着争论（Ball，2011）；甚至有人认为试图定义这样一个术语是没有什么用处的（Hallet al.，2003）。PPP模式仍是国际社会所使用的一个模糊的概念。PPP模式的存在十分普遍，它起源于各种不同的国家、地区和组织。比如，英国的PFI即民间主动融资模式、亚太地区的“建设-经营-转让”模式即BOT模式、法国的特许权模式、世界银行的PPI模式，每一种模式都可能与它们的政治、经济、法律、文化和工业背景息息相关。这些模式逐渐汇聚成了P

23、PP模式。正如Grimsey 和 Lewis(2005：p.xiii)所说：“PPP模式在每个国家都在以不同的方式发展实施。”,2.Developing a theoretical framework2.1.Conceptual issues of PPPThe literature offers many definitions of PPP and debates over how the term should be defined(Ball,2011);it is even suggested that trying to define such a term is of little

24、 use(Hall et al.,2003).This phenomenon can be explained,at least partially,by the fact that PPP is a vague construct that is used by the international community.The term PPP is of a very general nature,with various origins from different countries,regions,and organizations,for example,private financ

25、e initiative(PFI)in UK,buildoperatetransfer(BOT)in Asia and Pacific Regions,concession in France,private participation in infrastructure(PPI)of the World Bank,each with possible relevance to their political,economic,legal,cultural,and industrial backdrops.These terms have gradually converged to the

26、term of PPP.As Grimsey and Lewis(2005:p.xiii)put it,“the PPP is evolving in different ways in each country in which the arrangements are being implemented”.,我们可以从不同的角度定义PPP。比如，FHWA(2004:p.viii)将其定义为“公共部门与私营部门之间形成的长期的合同协议，相比传统模式，它允许更多的私营部门的参与。协议通常涉及政府机构与私人公司签订合同改造、建设、操作、维护、管理设备或系统”。在合同安排的角度也有类似的定义（如I

27、nfrastructure Australia,2008；Yong,2010）。在一篇批判现有PPP定义的评论中，Brinkerhoff 和 Brinkerhoff(2011)声称PPP的功能类定义（如Grimsey and Lewis,2004,2005;Koppenjan,2005）专注于基础设施融资、建设、运营和维护的提供上，从而无助于描述PPP模式的关键特征。,Definitions of PPP can be offered with different perspectives.For example,FHWA(2004:p.viii)describes it as“a long-

28、term contractual agreement formed between public and private sector partners,which allows more private sector participation than is traditional.The agreements usually involve a government agency contracting with a private company to renovate,construct,operate,maintain,and/or manage a facility or sys

29、tem.,”.Similar definitions are given from the perspective of the contractual arrangement(e.g.Infrastructure Australia,2008;Yong,2010).After a critical review of current literature on defining PPP,Brinkerhoff and Brinkerhoff(2011)alleged that,function-specific definitions of PPP(e.g.Grimsey and Lewis

30、,2004,2005;Koppenjan,2005),which focus on provision of infrastructure financing,construction,operation and maintenance,are of little help in delineating the key features of PPP.,他们提出PPP模式的关键特征是公共组织和私营组织之间的共同承诺，且认识到了PPP模式的两个维度：跨部门合作中的相互关系及组织认同。我们深入分析PPP的定义，除以上所述之外，得出三大类定义：（a）合同类（如Bult-Spieringand Dew

31、ulf，2006；Garvin，2010)，（b）伙伴关系类（如 MOF，2012；Nijkamp et al.，2002），（c）功能类（如Grimsey and Lewis，2004；IMF，2006）。合同类定义和伙伴关系类定义从两种不同类型的关系角度分析PPP模式。,Instead,they propose that mutual commitment between the public and private organizations is the key feature of PPP.They recognize two dimensions of PPP:“mutuality

32、”and“organization identity”in the cross-sectoral collaboration.A delving analysis of PPP definitions,in addition to the above,suggests three general categories:(a)contractual-perspective(e.g.Bult-Spiering and Dewulf,2006;Garvin,2010),(b)partnership-focused(e.g.MOF,2012;Nijkamp et al.,2002)and(c)func

33、tion specific(e.g.Grimsey and Lewis,2004;IMF,2006).The contractual perspective and partnership-focused perspective see PPP from the points of view of two different types of“relationship”.,The contractual perspective focuses mainly on the formal and legal dimensions of the relationship that binds the

34、 government and private partner together while the partnership focused perspective mainly emphasizes the social dimension of the relationship,characterized with mutual commitment and trust.The function-specific perspective is task-oriented and takes PPP as an integration of all the fragmented work r

35、oles throughout the whole project cycle,including financing,design,construction and operation,all transferred from the government to the private partner,particularly the shift of the financing and operation roles from government to private partner.,合同类定义主要在正式制度和法律维度关注政府与私人参与者合作关系，而伙伴关系类定义强调在以共同承诺和信任

36、为特征的社会维度考察两者的关系。功能类定义以任务为导向并认为PPP模式通过整个项目周期将所有分散的工作角色综合起来，包括融资、设计、建设和运营等，这些都从政府转移到私营参与者，尤其是融资和运营角色的转移。,然而，虽然这三种定义以不同的角度对PPP模式进行了阐述，但它们是互补的，而不是互相排斥的。因此，综合来讲，PPP模式可以被定义为在公共与私营参与者之间的长期的合同安排基础上（正式治理关系的基础），通过公私协作（方式和关键特征）高效率提供高质量的基础设施及服务的一种策略（目标和功能）。,However,these three categories of definitions,though e

37、ach focusing on a different perspective,can be seen as complementary rather than exclusive.Therefore,as an integrated perspective,PPP can be defined as a strategy that is utilized to provide quality infrastructure facilities and services with high efficiency(as purpose and function),based on a long-

38、term contractual arrangement between public and private parties(as basis of formal governance of the relationship),through the synergetic cooperation between the public and private partners(as means and key feature).,虽然PPP在中国已经不是一个新的概念，但中国政府并没有给出一个官方的定义。特别地，在中国基础设施建设中PPP模式通常表现为BOT模式、BT模式和TOT模式，其中BOT

39、是主要模式（Adams et al.,2006）。BOT模式经常被认为是PPP模式的等价形式，所以PPP和BOT常被结合成“PPP/BOT”这样一种表达形式（Wang and Ke,2008）。在中国它们的关系中有一个显著的区别，PPP模式中的公共是指政府，私人是指企业，包括私营企业和国有企业。这是因为中国的国有企业可以相对独立地进行跨部门运营。因此，在PPP项目中的企业被视为私人参与者，即使它属国家所有。,Although the concept of PPP is not new in China,no official definition has been offered by the

40、 Chinese government.Practically,PPP in infrastructure in China often takes the specific forms of BOT,buildtransfer(BT),transferoperatetransfer(TOT),to name a few,with BOT being the dominant form(Adams et al.,2006).Very often,BOT is taken as the equivalent form of PPP,using the combined expression of

41、“PPP/BOT”(Wang and Ke,2008).There is one distinctivedifference concerning the roles in the partnerships in China.“Public”in PPP in China refers to the government and“Private”refers to“enterprise”,including both private enterprises and state-owned enterprises.This is because state-owned enterprises o

42、perate their business quite independently and across sectors.Therefore,the enterprise in a PPP project is deemed to be the“private party”,even if it is state-owned.,例如南京长江隧道项目，这是中国一个典型的PPP/BOT模式的项目。在这个项目中，公共参与者是南京市政府，私人参与者是中国铁建股份有限公司，它是一个由中国国务院国有资产管理局管理的国有企业。严格意义上说，中国的PPP模式指政府企业合作制即GEP模式，企业更多是指的国有企业

43、。而且，在中国PPP是指政府和企业之间的长期合作，包括私营和国有企业。,For example,in the Nanjing across the Yangtze River Tunnel Project,a typical PPP/BOT project in China,the public party is the Nanjing Municipal Government and the“private”party is China Railway Construction Corporation Ltd,which is a purely state-owned enterprise

44、under the administration of the State-owned Assets Supervision and Administration Commission of the State Council of China.PPP in China,in a more strict sense,refers to GovernmentEnterprise Partnerships(GEP),and enterprises,more often than not,are state-owned.Thus,PPP,in the Chinese context,refers t

45、o the long-term cooperation between the government and enterprises that include both private and state-owned enterprises.,PPP作为一个政府、投资者、承包商、承购商或者最终用户和其他的利益相关者之间合作协调的长期合同安排，在整个开发和运行周期中与其所处制度环境和组织过程有很大的相关性（Gopakumar，2009；Urio，2010；Winch et al.，2012；Zhang，2005）。因此，政府在PPP模式中应在制度层面（宏观层面）和组织层面（微观层面）为保证良好的

46、秩序制定规则。本文主要分析中国背景下PPP模式的制度安排。,PPP,as a long-term contractual arrangement for the cooperation and coordination of government,investors,contractors,off-takers or end users,and all other stakeholders that are involved,has much relevance to both its institutional environment and organizational process t

47、hroughout the whole development and operation cycle(Gopakumar,2009;Urio,2010;Winch et al.,2012;Zhang,2005).Therefore,the governance issues of PPP are concerned with providing“rules for good order”at both institutional level(macro level)and organizational level(micro level).This paper focuses analysi

48、s of the institutional arrangements for PPP in Chinas context.,2.2 PPP模式的理论框架整个PPP周期通常经过三个主要阶段：开发、规划和运营。开发阶段起于项目启动止于财务收尾或者特许经营合同的签署。计划阶段包括设计开发、建造和试运转。相比规划阶段，运营阶段相对简单但更加漫长，它在剩余的合同期内仍存在着长期的不确定性，通常是15到30年。这个PPP假设在项目过渡期和运营期中符合所有参与者的期望，万无一失。,2.2.Theoretical frameworkThe whole PPP cycle generally runs thr

49、ough three major stages:development,realization,and operation.The development stage starts with the project initiation and ends at the financial closure or the signing of the concession contract.The realization stage comprises design development,construction,and commissioning.The operation stage is

50、relatively simple as compared to the realization stage,but lengthy,thus exposed to external uncertainties along within the remaining concession period which is usually fifteen to thirty years.This PPP process assumes that nothing goes wrong in the interim and the project operates to the expectations