本文關(guān)鍵詞：PPP模式下農(nóng)業(yè)基礎(chǔ)設(shè)施投資的合同管理和評價方法研究　出處：《中國社會科學(xué)院研究生院》2017年博士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 政府和社會資本合作 PPP農(nóng)業(yè)基礎(chǔ)設(shè)施 合同管理 評價

【摘要】：政府和社會資本合作(Public Private Partnership,簡稱PPP)在我國大力推行,是生產(chǎn)力發(fā)展到一定階段對生產(chǎn)關(guān)系的適應(yīng)性調(diào)整,是政府與市場的優(yōu)勢結(jié)合。改革開放以來,我國產(chǎn)權(quán)制度獲得發(fā)展,調(diào)動了社會資本的積極性,社會資本廣泛積累,但是原來依托于土地財政的資本擴張模式,增加了地方債務(wù)風(fēng)險,不利于社會穩(wěn)定。政府引導(dǎo)社會資本投資于基礎(chǔ)設(shè)施建設(shè)領(lǐng)域和實體經(jīng)濟,有利于促進經(jīng)濟健康增長。未來我國在國際上推行”一帶一路”倡議,在國內(nèi)繼續(xù)推進城鎮(zhèn)化建設(shè)和農(nóng)業(yè)現(xiàn)代化發(fā)展,都將產(chǎn)生龐大的基礎(chǔ)設(shè)施建設(shè)投資需求,單靠公共財政難以實現(xiàn)供給。通過供給側(cè)結(jié)構(gòu)性改革,采用PPP模式,各種社會資本方以不同方式參與進來,可以用有限的公共財政資金撬動社會資本的更大投入,提高公共產(chǎn)品的供給數(shù)量和供給效率。我國尚處于PPP應(yīng)用的初級階段,目前在政府的主導(dǎo)與推動下,各行業(yè)積極應(yīng)用PPP模式進行投資,鼓勵社會資本進入。隨著社會實踐的發(fā)展,PPP應(yīng)用理論的研究也在相應(yīng)地開展,主要分為兩個方向:一是項目管理鏈條的延伸,從項目前期投融資管理到項目全生命周期管理;二是行業(yè)的深度應(yīng)用。這兩個研究方向同步開展,相互支撐。我國現(xiàn)行管理體制中存在社會資本進入“門檻”,以致于我國PPP推行至今存在著項目落地難、簽約率低、社會資本觀望等問題。這些“門檻”主要包括政府缺乏履約習(xí)慣與信用、違約成本太低、項目信息披露不完全等。多數(shù)研究認(rèn)為地方政府違約的原因在于主觀因素,主張健全PPP法律,倡導(dǎo)契約精神。本論文假設(shè)地方政府具有契約精神,愿意執(zhí)行符合經(jīng)濟合理性的合約協(xié)議,認(rèn)為地方政府違約行為受到客觀因素的影響,即由于PPP項目投資合同談判的行事方法與傳統(tǒng)政府投資項目的行政管理模式不同,缺乏談判經(jīng)驗,或?qū)椖拷?jīng)營的信息不對稱等原因,而在項目前期的合約談判中處于劣勢,合約執(zhí)行后違背其經(jīng)濟合理性,由于減損需要而選擇代價更低的違約行為。與傳統(tǒng)政府投資項目管理不同,PPP項目各投資方的權(quán)責(zé)利在項目前期的合約談判時就需清晰界定,并在投資合同協(xié)議中具體呈現(xiàn)。本論文認(rèn)為進一步解放生產(chǎn)力,對生產(chǎn)關(guān)系進行微調(diào),需要從經(jīng)濟學(xué)的角度研究PPP投資合作,重視PPP項目投資合同協(xié)議的管理,并基于合同管理建立PPP投資評價體系與相應(yīng)評價方法,從而降低社會資本的進入“門檻”。合作的成功之道是選擇一個好的合作對象共同實施一個好的項目,同時必須輔之于共同約定與持續(xù)協(xié)商。以政府與社會資本協(xié)作,加快項目“落地”簽約,提高項目成功率,確保項目投資資金安全性為目標(biāo)導(dǎo)向,構(gòu)建的PPP項目評價方法體系應(yīng)包括“選擇一個好的合作對象”的財政可承受能力論證與信用評價,以及“實施一個好的項目”的物有所值評價、財務(wù)評價等。本論文認(rèn)為PPP項目政府投資評價體系應(yīng)由物有所值評價、財政可承受能力論證、信用評價、財務(wù)評價組成。財務(wù)評價模型的構(gòu)建依托于國內(nèi)投資項目財務(wù)評價的一般模型,針對PPP項目特點進行修正與調(diào)整,重點關(guān)注項目基準(zhǔn)收益率、社會資本方投資收益率、投資回收期、股權(quán)結(jié)構(gòu)、投資人出資比例、政府補貼等評價指標(biāo)。物有所值評價是對項目主體的評價,衡量項目采用PPP模式是否比傳統(tǒng)采購模式更有效率,是國際上通行的項目決策工具,分為物有所值定性評價和定量評價。財政可承受能力論證是衡量項目對地方政府財政支出責(zé)任的影響,是對政府客觀履約能力的調(diào)查與評估,有利于防范債務(wù)風(fēng)險。目前財政部主導(dǎo)發(fā)布了PPP項目物有所值評價指引(試行)和財政可承受能力論證指引,對評價活動進行了規(guī)范,但是國外的方法引入國內(nèi)存在“水土不服”的情況,特別是我國PPP項目基礎(chǔ)數(shù)據(jù)不完善、風(fēng)險量化困難等,實踐中其準(zhǔn)確性受到許多質(zhì)疑,仍然存在許多值得探討的問題。信用等級評價是對地方政府的主觀履約意愿進行調(diào)查與評估,借鑒了盡職調(diào)查或謹(jǐn)慎性調(diào)查的信用評價方法,運用于PPP項目評價領(lǐng)域,建立地方財政信用等級評價體系。本論文采用文獻研究、理論研究、實證研究、案例研究等研究方法,借鑒PPP模式項目評價和農(nóng)業(yè)基礎(chǔ)設(shè)施投資的國際應(yīng)用經(jīng)驗,一方面研究我國農(nóng)業(yè)基礎(chǔ)設(shè)施投資領(lǐng)域應(yīng)用PPP模式的方法,另一方面從經(jīng)濟學(xué)角度討論了PPP投資項目的合同管理和項目評價問題。本論文運用最新年鑒數(shù)據(jù),通過計量分析,認(rèn)為農(nóng)業(yè)固定資產(chǎn)投資對農(nóng)業(yè)經(jīng)濟增長具有顯著影響。論文在總結(jié)我國農(nóng)業(yè)基礎(chǔ)設(shè)施發(fā)展歷史經(jīng)驗和投資現(xiàn)狀的基礎(chǔ)上,認(rèn)為“十三五”期間,我國繼續(xù)推進新型城鎮(zhèn)化與農(nóng)業(yè)現(xiàn)代化戰(zhàn)略,推動城鄉(xiāng)基礎(chǔ)設(shè)施和公共服務(wù)均等化,加快改善農(nóng)業(yè)基礎(chǔ)設(shè)施,實施一批重大農(nóng)業(yè)工程,將對農(nóng)業(yè)基礎(chǔ)設(shè)施投資供給形成壓力,有必要調(diào)動社會資本積極性,緩解地方政府財政支出壓力。論文研究PPP模式在我國農(nóng)業(yè)基礎(chǔ)設(shè)施領(lǐng)域的運用,細(xì)化基礎(chǔ)設(shè)施分類,界定投資范圍等,并對現(xiàn)行存在的問題提出建議。本論文將規(guī)制經(jīng)濟學(xué)的激勵合約理論運用于PPP合同管理領(lǐng)域,討論和分析了適合我國政府和社會資本在基礎(chǔ)設(shè)施投資領(lǐng)域合作的最優(yōu)激勵合約,構(gòu)建了政府補助定價的修正模型。本論文對現(xiàn)行投資項目財務(wù)評價模型,針對PPP項目特點進行修正和調(diào)整,構(gòu)建了PPP項目政府財務(wù)評價模型;總結(jié)了目前正在討論過程中的物有所值定性評價與定量評價、財政可承受能力論證兩種評價方法的應(yīng)用;提出應(yīng)探索進行信用等級評價,試圖通過財務(wù)評價、物有所值評價、財政可承受能力論證、信用等級評價來構(gòu)建PPP項目的評價體系。
[Abstract]:The government and social capital cooperation (Public Private Partnership, referred to as PPP) in our country carried out energetically, productivity development to a certain stage of adjustment of the relations of production, is a combination of government and market advantage. Since the reform and opening up, get the development of China's property rights system, mobilize the enthusiasm of social capital, social capital accumulation widely but the original, relying on the capital expansion mode of land finance, increase the risk of local debt, is not conducive to social stability. The government and guide social capital to invest in the infrastructure construction sector and the real economy, is conducive to promoting healthy economic growth. The future of China's implementation of "The Belt and Road" initiative in the international arena, continue to promote urbanization and the development of agricultural modernization in China, will have a huge demand for infrastructure investment, rely on public finance to realize the supply. The supply side structural reform, mining In PPP mode, all kinds of social capital to participate in different ways, can use more investment limited public funds to leveraging social capital, improve the supply of public goods in quantity and supply efficiency. Still in the primary stage of the application of PPP in China, is currently in the leading factor of the government and the industry to actively promote, the application of PPP model for investment, encourage social capital. With the development of social practice, research on the application of PPP theory in the corresponding development, mainly divided into two directions: one is the extension project management chain, investment and financing from project management to the project lifecycle management; two is the depth direction of the two industry applications. A study carried out simultaneously, and support each other. Social capital into the "threshold" of the existing management system in our country, so PPP in China since the implementation of the project ground to exist, the low rate of signing, social capital - etc. The problem. The "threshold" mainly includes the lack of government performance habits and credit default cost is too low, the project information is not disclosed. Most studies suggest that local government default is the subjective factor, it advocates to perfect PPP law, promote the spirit of contract. This paper assume that the local government has the spirit of contract, willing to carry out the economic rationality of the contract agreement with that, the local government default behavior is influenced by objective factors, that is because the method of PPP project investment contract negotiation act and the traditional administrative management mode of government investment projects, the lack of experience in negotiating, or project management information asymmetry and other reasons, and in the project contract negotiations at a disadvantage, after the execution of contract violation due to its economic rationality, detract from the needs and the choice of price lower default behavior. Unlike the traditional management of government investment projects, the investment project PPP The management responsibilities in the project contract negotiations should be clearly defined, and embodied in the investment contract. This paper believes that further liberate the productive forces, the fine-tuning of the relations of production, need from the angle of economics research of PPP investment cooperation, pay attention to PPP project investment contract management, and based on the contract to build the PPP investment evaluation system and evaluation method of management, so as to reduce the social capital into the threshold. The success of cooperation is to choose a good partner to jointly implement a good project, also assisted in the common agreement and must continue to negotiate. Based on the government and social capital cooperation, speed up the project "landing" sign and improve the success rate of the project, to ensure the safety of investment funds as goal oriented evaluation system construction of the PPP project should include "a good partner" financial bearing The ability of argumentation and credit evaluation, and the implementation of "a good project" value evaluation, financial evaluation and so on. This paper argues that the government investment project evaluation system should be PPP value evaluation, financial capacity proof, credit evaluation, financial evaluation. A general model of financial evaluation model based on financial evaluation of domestic investment projects, revise and adjust according to the characteristics of the PPP project, the project focused on the benchmark rate of return, social capital investment returns, the equity structure of the payback period, investors, investment proportion, government subsidies and other evaluation index. Value evaluation is the evaluation of the main project, measure the project using PPP model is better than the traditional procurement model is more efficient, project decision-making tools of international division, value of qualitative evaluation and quantitative evaluation for the object. The financial capacity is a measure of demonstration project Effect of fiscal expenditure of local government responsibility, is the investigation and assessment of government performance objectively, to guard against the risk of debt. The Ministry of Finance released the PPP project value evaluation guidelines (Trial) and the financial affordability guidelines demonstration, evaluation of the activities of the specification, but foreign introduced domestic existence "the situation is particularly The climate does not suit one.", China's PPP project data is not perfect, risk quantification is difficult in practice, its accuracy is questioned by many, there are still many problems worth discussing. Credit rating is the local government's subjective performance will survey and assessment, from the credit evaluation of due diligence or prudent investigation the method is applied to the PPP project evaluation field, establish the system of local finance credit rating evaluation. This thesis adopts literature research, theoretical research, empirical case. Research and other research methods, from the international experience of PPP project evaluation and application mode of agricultural infrastructure investment, method of research and application of PPP model of agricultural infrastructure investment in China on the one hand, on the other hand, discusses the problems of contract management and project evaluation of PPP investment project from the angle of Economics. This paper uses the latest yearbook data, through quantitative analysis shows that agricultural investment in fixed assets has a significant impact on agricultural economic growth. Based on summarizing historical experience and development status of agricultural infrastructure investment in China, that the "13th Five-Year" period, China continues to promote the new urbanization and agricultural modernization strategy, promote urban and rural infrastructure and public service equalization, speeding up improve agricultural infrastructure, the implementation of a number of major agricultural engineering, put pressure on agricultural infrastructure investment, it is necessary to mobilize social capital accumulation Polarity, alleviate the fiscal expenditure of local government pressure. The application research of PPP mode in China's agricultural infrastructure field, classification of infrastructure, to define the scope of investment, and puts forward some suggestions on the existing problems. The incentive contract theory of regulation economics applied in the field of PPP contract management, discussed and analyzed for the best of our government and social capital cooperation in the field of infrastructure investment incentive contracts, constructs a pricing correction model government. This paper studies the financial evaluation model of existing investment projects, revised and adjusted according to the characteristics of the PPP project, the construction of government financial evaluation model of PPP project; summarizes the currently being discussed in the process of money the value of qualitative evaluation and quantitative evaluation, financial evaluation methods can be used two kinds of demonstration capacity; we should explore the credit rating, trying to finance The evaluation system of the PPP project is constructed by the evaluation of business, the evaluation of the value of material, the demonstration of the financial affordability and the credit rating.

【學(xué)位授予單位】：中國社會科學(xué)院研究生院
【學(xué)位級別】：博士
【學(xué)位授予年份】：2017
【分類號】：F283;F323

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