PPP模式下准经营性水利工程收益分配研究
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摘要
准经营性水利工程建设投资较大,政府和社会资本合作(PPP)模式能够有效缓解政府财政压力。PPP模式在准经营性水利工程应用过程中,政府部门和社会资本方的合作关系以及运作模式,特别是各利益主体之间的利益分配问题,是PPP模式成功实施的前提条件和关键因素。基于合作博弈理论,结合准经营性水利工程特点,以政府、社会资本方、特许经营单位3个核心利益相关者为分配对象,构建出PPP模式下准经营性水利工程动态利益分配模型。经实例验证,运用该模型得到的PPP模式下准经营性水利工程的收益分配结果更加合理,能充分调动利益相关方的积极性。
The quasi-commercial water project requires tremendous investment.The Public-Private-Partnership(PPP)model can ease the financial pressure of the government effectively.In the process of applying the PPP mode to quasi-commercial water projects,the cooperative relationship and operation mode between governmental departments and social capital,especially the revenue distribution among various stakeholders,are the prerequisites and key factors for the successful implementation of the PPP model.Based on the cooperative game theory,considering the characteristics of quasi-commercial water projects,we built a revenue distribution model for quasi-commercial water projects under the PPP mode,with the 3 core stakeholders(government,social capital,and franchisee)as the objects of distribution.A case study indicated that this model could produce a more reasonable revenue distribution of the quasi-commercial water project under PPP mode and could fully mobilize the enthusiasm of stakeholders.
The quasi-commercial water project requires tremendous investment.The Public-Private-Partnership(PPP)model can ease the financial pressure of the government effectively.In the process of applying the PPP mode to quasi-commercial water projects,the cooperative relationship and operation mode between governmental departments and social capital,especially the revenue distribution among various stakeholders,are the prerequisites and key factors for the successful implementation of the PPP model.Based on the cooperative game theory,considering the characteristics of quasi-commercial water projects,we built a revenue distribution model for quasi-commercial water projects under the PPP mode,with the 3 core stakeholders(government,social capital,and franchisee)as the objects of distribution.A case study indicated that this model could produce a more reasonable revenue distribution of the quasi-commercial water project under PPP mode and could fully mobilize the enthusiasm of stakeholders.
引文
[1]袁永博,叶公伟,张明媛.基础设施PPP模式融资结构优化研究[J].技术经济与管理研究,2011(3):91-95.(YUAN Y B,YE G W,ZHANG M Y.A study on optimizing the financing structure of PPP model for infrastructure[J].Technoeconomics&Management Research,2011(3):91-95.(in Chinese))DOI:10.3969/j.issn.1004-292X.2011.03.021.
[2]王俊豪,金暄暄.PPP模式下政府和民营企业的契约关系及其治理——以中国城市基础设施PPP为例[J].经济与管理研究,2016(3):62-68.(WANG J H,JIN X X.The PPP mode of government and private enterprises contractual relationship and its governance-in China′s urban infrastructure PPP,for example[J].Research on Economics and Management,2016(3):62-68.(in Chinese))DOI:10.13502/j.cnki.issnl000-7636.2016.03.008.
[3]王云昌.准公益性水利工程的特性分析[J].中国水利,2003(5):41-43.(WANG Y C.The feature analysis of quasi-welfare water projects[J].China Water Resources,2003,05:41-43.(in Chinese))DOI:10.3969/j.issn.1000-1123.2003.05.013.
[4]张捍东,严钟,方大春.应用ANP的Shapley值法动态联盟利益分配策略[J].系统工程学报,2009(2):205-211.(ZHANG H D,YAN Z,FANG D C.Strategies of profit allocation in enterprises dynamic alliance value based on Shapley applying ANP[J].Journal of Systems Engineering,2009(2):205-211.(in Chinese))
[5]SHAPLEY L S.A value for n-person games[J].The Shapley value,1988:31-40.DOI:10.1017/CBO9780511528446.
[6]SCHARLE P.PPP in transport infrastruction development a sasocia lgame[J].Innovation,2002,15(3):32-38.
[7]MEDDA F.A game theory approach for the allocation of risks in transport public private partnerships[J].International Journal of Project Management,2007,25(3):213-218.DOI:10.1016/j.ijproman.2006.06.003.
[8]胡丽,张卫国,叶晓甦.基于SHAPELY修正的PPP项目利益分配模型研究[J].管理工程学报,2011(2):149-154.(HU L,ZHANG W G,YE X S.PPP project profit distribution model based on SHAPELY modification research[J].Journal of Industrial Engineering And Engineering Management,2011(2):149-154.(in Chinese))DOI:10.3969/j.issn.1004-6062.2011.02.022.
[9]叶晓甦,吴书霞,单雪芹.我国PPP项目合作中的利益关系及分配方式研究[J].科技进步与对策,2010(19):36-39.(YE X S,WU S X,SHAN X Q.Interest relationship and the allocation of the PPP project cooperation in our country[J].Science&Technology Progress And Policy,2010(19):36-39.(in Chinese))DOI:10.3969/j.issn.1001-7348.2010.19.010.
[10]何天翔,张云宁,施陆燕,等.基于利益相关者满意的PPP项目利益相关者分配研究[J].土木工程与管理学报,2015(3):66-71.(HE T X,ZHANG Y N,SHI L Y,et al.Allocation research of stakeholders based on stakeholder satisfaction with the PPP project benefits[J].Journal of Civil Engineering And Management,2015(3):66-71.(in Chinese))DOI:10.3969/j.issn.2095-0985.2015.03.013.
[11]张巍,任远谋.公租房PPP项目收益分配研究[J].工程管理学报,2015(6):59-63.(ZHANG W,REN Y M.Study of the income distribution on public rental housing PPP projects[J].Journal of Engineering Management,2015(6):59-63.(in Chinese))DOI:10.13991/j.cnki.jem.2015.06.012.
[12]WU W H.Thoughts about reform of electricity price in quasipublic hydropower projects[J].Journal of Economics of Water Resources,2012(2):017.
[13]周正祥,张秀芳,张平.新常态下PPP模式应用存在的问题及对策[J].中国软科学,2015(9):82-95.(ZHOU Z X,ZHANG X F,ZHANG P.The and existing problems in the application of PPP mode under the new economic normality and their solution[J].China Soft Science,2015(9):82-95.(in Chinese))DOI:10.3969/j.issn.1002-9753.2015.09.008.
[14]龚鹏程,臧公庆.PPP模式的交易结构、法律风险及其应对[J].经济体制改革,2016(3):144-151.(GONG P C,ZANG G Q.The PPP pattern of trade structure,legal risks and deal with[J].Reform of the Economic System,2016(3):144-151.(in Chinese))
[15]马毅鹏,乔根平.对运用PPP模式吸引社会资本投入水利工程的思考[J].水利经济,2016(1):35-37,45,84.[J].(MA Y P,QIAO G P.To use the PPP mode to attract social capital investment of water conservancy engineering thinking[J].Journal of Economics of Water Resources,2016(1):35-37,45,84.(in Chinese))DOI:10.3880/j.issn.1003-9511.2016.01.010.
[16]DELMON D.Understanding options for privat participation in infrastructure:Seeing the forest for the trees:PPP,PSP,BOT,DBFO,concession,lease[J].World Bank,2010.DOI:10.1596/1813-9450-5173.
[17]王璐,杨庆丰.论价值与分配理论的争论:古典和新古典[J].经济评论,2005(2):43-53.(WANG L,YANG Q F.Theory of value and distribution theory arguments:the classical and new classical[J].Economic Review,2005(2):43-53.(in Chinese))
[18]胡奕明,买买提依明·祖农.关于税、资本收益与劳动所得的收入分配实证研究[J].经济研究,2013(8):29-41.(HU Y M,MAIMAITIEMINn Z N.About tax,capital profit and labor income empirical study of income distribution[J].Economic Research Journal,2013(8):29-41.(in Chinese))
[19]李妍,赵蕾.新型城镇化背景下的PPP项目风险评价体系的构建——以上海莘庄CCHP项目为例[J].经济体制改革,2015(5):17-23.(LI Y,ZHAO L.New urbanization under the background of the PPP project risk evaluation system of the building-in Shanghai xinzhuang CCHP project as an example[J].Reform of the Economic System,2015(5):17-23.(in Chinese))
[20]杜晓荣,丁棠丽,程晓敏,等.农村水利PPP项目网络治理特征及风险分配研究[J].水利经济,2016(3):1-4,79.(DU X R,DING R L,CHENG X M,et al.Rural water conservancy PPP project network governance characteristics and risk distribution study[J].Journal of Economics of Water Resources,2016(3):1-4,79.(in Chinese))DOI:10.3880/j.issn.1003-9511.2016.03.001.
[21]沈振中,魏金帅,马福恒,等.基于功效函数的台风作用下水利工程风险度分析方法[J].南水北调与水利科技,2012(6):1-5.(SHEN Z Z,WEI J S,MA F H,et al.Risk analysis method of water conservancy project under action of typhoon based on power function[J].South-to-North Water Transfers and Water Science&Technology,2012(6):1-5.(in Chinese))DOI:10.3724/SP.J.1201.2012.06001.
[22]宋永嘉,张淙皎,田林钢,等.水利工程风险量化问题的探讨[J].人民黄河,2004(9):33-34,46.(SONG N J,ZHANG C J,TIAN L G,et al.Water conservancy project risk quantification question discussion[J].Yellow River,2004(9):33-34,46.(in Chinese))DOI:10.3969/j.issn.1000-1379.2004.09.016.
[23]CHEUNG E,CHAN A P C.Risk factors of public-private partnership projects in China:Comparison between the water,power,and transportation sectors[J].Journal of urban planning and development,2011,137(4):409-415.DOI:10.1061/(ASCE)UP.1943-5444.0000086.
[24]LEE S.Development of public private partnership(PPP)projects in the Chinese water sector[J].Water Resources Management,2010,24(9):1925-1945.DOI:10.1007/s11269-009-9531-1.
[25]郭金玉,张忠彬,孙庆云.层次分析法的研究与应用[J].中国安全科学学报,2008(5):148-153.(GUO JY,ZHANG Z B,SUN Q Y.Study and applications of analytic H ierarchy process[J].China Safety Science Journal,2008(5):148-153.(in Chinese))DOI:10.3969/j.issn.1003-3033.2008.05.025.
[26]闫滨,杨骁.基于模糊综合评价法的大伙房水库上游水质评价及预测[J].南水北调与水利科技,2015,13(2):284-288,381.(YAN Y,YANG X.Water quality evaluation and prediction of upstream of Dahuofang Reservoir in the Hunhe River based on the fuzzy comprehensive evaluation[J].South-toNorth Water Transfers and Water Science&Technology,2015,13(2):284-288,381.(in Chinese))DOI:10.13476/j.cnki.nsbdqk.2015.02.020.
[2]王俊豪,金暄暄.PPP模式下政府和民营企业的契约关系及其治理——以中国城市基础设施PPP为例[J].经济与管理研究,2016(3):62-68.(WANG J H,JIN X X.The PPP mode of government and private enterprises contractual relationship and its governance-in China′s urban infrastructure PPP,for example[J].Research on Economics and Management,2016(3):62-68.(in Chinese))DOI:10.13502/j.cnki.issnl000-7636.2016.03.008.
[3]王云昌.准公益性水利工程的特性分析[J].中国水利,2003(5):41-43.(WANG Y C.The feature analysis of quasi-welfare water projects[J].China Water Resources,2003,05:41-43.(in Chinese))DOI:10.3969/j.issn.1000-1123.2003.05.013.
[4]张捍东,严钟,方大春.应用ANP的Shapley值法动态联盟利益分配策略[J].系统工程学报,2009(2):205-211.(ZHANG H D,YAN Z,FANG D C.Strategies of profit allocation in enterprises dynamic alliance value based on Shapley applying ANP[J].Journal of Systems Engineering,2009(2):205-211.(in Chinese))
[5]SHAPLEY L S.A value for n-person games[J].The Shapley value,1988:31-40.DOI:10.1017/CBO9780511528446.
[6]SCHARLE P.PPP in transport infrastruction development a sasocia lgame[J].Innovation,2002,15(3):32-38.
[7]MEDDA F.A game theory approach for the allocation of risks in transport public private partnerships[J].International Journal of Project Management,2007,25(3):213-218.DOI:10.1016/j.ijproman.2006.06.003.
[8]胡丽,张卫国,叶晓甦.基于SHAPELY修正的PPP项目利益分配模型研究[J].管理工程学报,2011(2):149-154.(HU L,ZHANG W G,YE X S.PPP project profit distribution model based on SHAPELY modification research[J].Journal of Industrial Engineering And Engineering Management,2011(2):149-154.(in Chinese))DOI:10.3969/j.issn.1004-6062.2011.02.022.
[9]叶晓甦,吴书霞,单雪芹.我国PPP项目合作中的利益关系及分配方式研究[J].科技进步与对策,2010(19):36-39.(YE X S,WU S X,SHAN X Q.Interest relationship and the allocation of the PPP project cooperation in our country[J].Science&Technology Progress And Policy,2010(19):36-39.(in Chinese))DOI:10.3969/j.issn.1001-7348.2010.19.010.
[10]何天翔,张云宁,施陆燕,等.基于利益相关者满意的PPP项目利益相关者分配研究[J].土木工程与管理学报,2015(3):66-71.(HE T X,ZHANG Y N,SHI L Y,et al.Allocation research of stakeholders based on stakeholder satisfaction with the PPP project benefits[J].Journal of Civil Engineering And Management,2015(3):66-71.(in Chinese))DOI:10.3969/j.issn.2095-0985.2015.03.013.
[11]张巍,任远谋.公租房PPP项目收益分配研究[J].工程管理学报,2015(6):59-63.(ZHANG W,REN Y M.Study of the income distribution on public rental housing PPP projects[J].Journal of Engineering Management,2015(6):59-63.(in Chinese))DOI:10.13991/j.cnki.jem.2015.06.012.
[12]WU W H.Thoughts about reform of electricity price in quasipublic hydropower projects[J].Journal of Economics of Water Resources,2012(2):017.
[13]周正祥,张秀芳,张平.新常态下PPP模式应用存在的问题及对策[J].中国软科学,2015(9):82-95.(ZHOU Z X,ZHANG X F,ZHANG P.The and existing problems in the application of PPP mode under the new economic normality and their solution[J].China Soft Science,2015(9):82-95.(in Chinese))DOI:10.3969/j.issn.1002-9753.2015.09.008.
[14]龚鹏程,臧公庆.PPP模式的交易结构、法律风险及其应对[J].经济体制改革,2016(3):144-151.(GONG P C,ZANG G Q.The PPP pattern of trade structure,legal risks and deal with[J].Reform of the Economic System,2016(3):144-151.(in Chinese))
[15]马毅鹏,乔根平.对运用PPP模式吸引社会资本投入水利工程的思考[J].水利经济,2016(1):35-37,45,84.[J].(MA Y P,QIAO G P.To use the PPP mode to attract social capital investment of water conservancy engineering thinking[J].Journal of Economics of Water Resources,2016(1):35-37,45,84.(in Chinese))DOI:10.3880/j.issn.1003-9511.2016.01.010.
[16]DELMON D.Understanding options for privat participation in infrastructure:Seeing the forest for the trees:PPP,PSP,BOT,DBFO,concession,lease[J].World Bank,2010.DOI:10.1596/1813-9450-5173.
[17]王璐,杨庆丰.论价值与分配理论的争论:古典和新古典[J].经济评论,2005(2):43-53.(WANG L,YANG Q F.Theory of value and distribution theory arguments:the classical and new classical[J].Economic Review,2005(2):43-53.(in Chinese))
[18]胡奕明,买买提依明·祖农.关于税、资本收益与劳动所得的收入分配实证研究[J].经济研究,2013(8):29-41.(HU Y M,MAIMAITIEMINn Z N.About tax,capital profit and labor income empirical study of income distribution[J].Economic Research Journal,2013(8):29-41.(in Chinese))
[19]李妍,赵蕾.新型城镇化背景下的PPP项目风险评价体系的构建——以上海莘庄CCHP项目为例[J].经济体制改革,2015(5):17-23.(LI Y,ZHAO L.New urbanization under the background of the PPP project risk evaluation system of the building-in Shanghai xinzhuang CCHP project as an example[J].Reform of the Economic System,2015(5):17-23.(in Chinese))
[20]杜晓荣,丁棠丽,程晓敏,等.农村水利PPP项目网络治理特征及风险分配研究[J].水利经济,2016(3):1-4,79.(DU X R,DING R L,CHENG X M,et al.Rural water conservancy PPP project network governance characteristics and risk distribution study[J].Journal of Economics of Water Resources,2016(3):1-4,79.(in Chinese))DOI:10.3880/j.issn.1003-9511.2016.03.001.
[21]沈振中,魏金帅,马福恒,等.基于功效函数的台风作用下水利工程风险度分析方法[J].南水北调与水利科技,2012(6):1-5.(SHEN Z Z,WEI J S,MA F H,et al.Risk analysis method of water conservancy project under action of typhoon based on power function[J].South-to-North Water Transfers and Water Science&Technology,2012(6):1-5.(in Chinese))DOI:10.3724/SP.J.1201.2012.06001.
[22]宋永嘉,张淙皎,田林钢,等.水利工程风险量化问题的探讨[J].人民黄河,2004(9):33-34,46.(SONG N J,ZHANG C J,TIAN L G,et al.Water conservancy project risk quantification question discussion[J].Yellow River,2004(9):33-34,46.(in Chinese))DOI:10.3969/j.issn.1000-1379.2004.09.016.
[23]CHEUNG E,CHAN A P C.Risk factors of public-private partnership projects in China:Comparison between the water,power,and transportation sectors[J].Journal of urban planning and development,2011,137(4):409-415.DOI:10.1061/(ASCE)UP.1943-5444.0000086.
[24]LEE S.Development of public private partnership(PPP)projects in the Chinese water sector[J].Water Resources Management,2010,24(9):1925-1945.DOI:10.1007/s11269-009-9531-1.
[25]郭金玉,张忠彬,孙庆云.层次分析法的研究与应用[J].中国安全科学学报,2008(5):148-153.(GUO JY,ZHANG Z B,SUN Q Y.Study and applications of analytic H ierarchy process[J].China Safety Science Journal,2008(5):148-153.(in Chinese))DOI:10.3969/j.issn.1003-3033.2008.05.025.
[26]闫滨,杨骁.基于模糊综合评价法的大伙房水库上游水质评价及预测[J].南水北调与水利科技,2015,13(2):284-288,381.(YAN Y,YANG X.Water quality evaluation and prediction of upstream of Dahuofang Reservoir in the Hunhe River based on the fuzzy comprehensive evaluation[J].South-toNorth Water Transfers and Water Science&Technology,2015,13(2):284-288,381.(in Chinese))DOI:10.13476/j.cnki.nsbdqk.2015.02.020.