【摘要】：公共基礎(chǔ)設(shè)施是經(jīng)濟(jì)發(fā)展的奠基石,立足國(guó)內(nèi)實(shí)踐,借鑒國(guó)際成功經(jīng)驗(yàn),減輕政府財(cái)政壓力,推廣運(yùn)用政府和社會(huì)資本合作模式(PPP)是國(guó)家進(jìn)行經(jīng)濟(jì)改革的重大任務(wù)。然而,PPP模式具有全壽命周期長(zhǎng)、投資額大、合約關(guān)系復(fù)雜等特點(diǎn),社會(huì)資本作為PPP項(xiàng)目的投標(biāo)人以及項(xiàng)目公司的組建者,其能力高低對(duì)PPP模式的順利實(shí)施至關(guān)重要,而由于政府對(duì)社會(huì)資本掌握的信息不全,導(dǎo)致政府在招標(biāo)階段未篩選出優(yōu)秀的社會(huì)資本,從而出現(xiàn)合約簽訂前的逆向選擇與合約簽訂后的道德風(fēng)險(xiǎn)問(wèn)題。鑒于此,基于政府角度,對(duì)非對(duì)稱(chēng)信息下PPP模式的逆向選擇與道德風(fēng)險(xiǎn)問(wèn)題進(jìn)行研究具有重要的理論意義和實(shí)用價(jià)值。本文主要研究?jī)?nèi)容如下:(1)通過(guò)對(duì)國(guó)內(nèi)外PPP模式相關(guān)文獻(xiàn)的閱讀,引入信息不對(duì)稱(chēng)理論,運(yùn)用定量與定性分析相結(jié)合的方法,綜合分析合約簽訂前的逆向選擇問(wèn)題與合約簽訂后的道德風(fēng)險(xiǎn)問(wèn)題。(2)在PPP模式招標(biāo)階段,分析了逆向選擇問(wèn)題產(chǎn)生的原因、危害及措施。結(jié)合綜合評(píng)分法與價(jià)值工程評(píng)價(jià)方法,提出以社會(huì)資本可提供的公共服務(wù)質(zhì)量與全壽命周期成本累計(jì)現(xiàn)值的比值作為信號(hào)的信息傳遞模型,運(yùn)用帕累托分離均衡理論,分析該信號(hào)可作為政府篩選出合適社會(huì)資本的依據(jù)。其次,為保證社會(huì)資本提供信息的真實(shí)性,提出基于自報(bào)成本目標(biāo)值的激勵(lì)模型以及基于需求風(fēng)險(xiǎn)的動(dòng)態(tài)補(bǔ)償模型,兩種模型的建立增加了合約完整性,提高了信息傳遞模型有效甄別優(yōu)秀社會(huì)資本的準(zhǔn)確度。(3)在PPP模式合約的執(zhí)行階段,分析了道德風(fēng)險(xiǎn)問(wèn)題產(chǎn)生的原因、危害及措施。通過(guò)對(duì)PPP模式收益的分析,建立道德風(fēng)險(xiǎn)分析模型求得PPP項(xiàng)目總收益最大時(shí)項(xiàng)目公司的最優(yōu)努力水平,并通過(guò)MATLAB分析各變量對(duì)最優(yōu)努力水平的影響程度。同時(shí)運(yùn)用演化博弈理論建立了政府與項(xiàng)目公司激勵(lì)努力的收益矩陣,并給出不同收益條件下系統(tǒng)的均衡穩(wěn)定策略,研究結(jié)果可為政府如何激勵(lì)項(xiàng)目公司付出高努力水平提供指導(dǎo)。(4)最后,通過(guò)算例分析了模型的可操作性,對(duì)政府防范信息不對(duì)稱(chēng)導(dǎo)致的逆向選擇與道德風(fēng)險(xiǎn)問(wèn)題具有一定的參考價(jià)值。
[Abstract]:Public infrastructure is the cornerstone of economic development. It is an important task for the country to carry out economic reform based on domestic practice, draw lessons from international successful experience, reduce the pressure of government finance, and popularize the mode of cooperation between government and social capital, (PPP). However, the model has the characteristics of long life cycle, large investment, complicated contract relationship, etc. As the bidder of PPP project and the organizer of project company, the ability of social capital is very important to the smooth implementation of PPP model. Due to the incomplete information of the government on the social capital, the government does not screen out the excellent social capital in the bidding stage, which leads to the problem of moral hazard before the contract is signed and after the contract is signed. In view of this, it is of great theoretical significance and practical value to study the adverse selection and moral hazard of PPP model under asymmetric information from the angle of government. The main contents of this paper are as follows: (1) through the reading of domestic and foreign PPP model related literature, the information asymmetry theory is introduced, and the method of combining quantitative and qualitative analysis is used. This paper comprehensively analyzes the adverse selection problem before the contract signing and the moral hazard problem after the contract signing. (2) in the bidding stage of PPP mode, the causes, harm and measures of the reverse selection problem are analyzed. Combined with the comprehensive scoring method and the value engineering evaluation method, this paper puts forward a information transmission model based on the ratio of the public service quality and the cumulative present value of the whole life cycle cost, which can be provided by social capital, and applies the Pareto separation equilibrium theory. The analysis of the signal can be used as the basis for the government to screen out the appropriate social capital. Secondly, in order to ensure the authenticity of the information provided by social capital, the incentive model based on the target value of self-reported cost and the dynamic compensation model based on demand risk are proposed. The establishment of the two models increases the integrity of the contract. It improves the accuracy of the information transfer model in effectively discriminating excellent social capital. (3) in the implementation stage of PPP model contract, the causes, harm and measures of moral hazard are analyzed. By analyzing the income of PPP model, the moral hazard analysis model is established to obtain the optimal effort level of the project company when the total income of the PPP project is the largest, and the influence of each variable on the optimal effort level is analyzed by MATLAB. At the same time, by using the evolutionary game theory, the paper establishes the income matrix of the government and the project company, and gives the equilibrium and stability strategy of the system under different income conditions. The results of the study can provide guidance for the government to encourage the project companies to pay a high level of effort. (4) finally, the feasibility of the model is analyzed through an example. It has certain reference value for government to prevent adverse selection and moral hazard caused by asymmetric information.
【學(xué)位授予單位】：西安建筑科技大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類(lèi)號(hào)】：F283

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