运用PPP提供“权益-伦理型公共产品”:理论、实践与改进
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Using PPP to Provide “Equity-Ethical Public Goods”: Theory, Practice and Improvement
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    摘要:

    随着经济社会的发展,社会成员权益和社会伦理内容不断演进,公共服务的范围也随之扩展,形成由“纯公共产品”“准公共产品”“权益-伦理型公共产品”组成的公共产品谱系。为解决公共产品供需之间的矛盾,政府与社会资本合作提供公共产品的PPP模式应运而生。PPP有多种具体模式,理论上讲,政府采购工程与服务、特许经营、股权合作分别适用于“纯公共产品”“准公共产品”“权益-伦理型公共产品”。其中,“权益-伦理型公共产品”是指根据传统经济学概念定义具有直观的私人产品属性,但社会共同价值取向和集体政治选择又确定其应由政府提供的公共产品;然而,由于其在实际形态上存在或无法完全排除竞争性和排他性,传统的政府供给方式效率不高,让市场主体参与其供给成为最佳选择。采用PPP方式供给“权益-伦理型公共产品”,应选择兼具建设能力和运营资源的社会资本方,并让其参与投资建设、管理运营等公共产品供给全过程,进而形成和发挥建设运营聚合体的提质增效优势;在此过程中,既要保证社会资本方获得合理的投资回报以激励其积极参与,也要通过有效监督和绩效考评形成对社会资本方建设和运营行为的约束激励机制,进而实现公共产品的高效和优质供给。然而,由于制度上的不完善、参与主体认识上的不清晰以及相关人员素质不高等原因,目前在“权益-伦理型PPP项目”实践中存在建设与运营割裂、资产权属不清晰等问题:社会资本方往往具备建设资质但缺乏运营经验,在项目建设完成后将项目运营转交至事业单位或其他运营主体,项目建设筹资问题虽得到解决,但公共产品的高质量供给却被忽视,PPP模式的资源整合效应未能充分发挥;项目的资产权属问题在法律层面未能得到有效解决,社会资本方担心既得不到固有的产权利益,也拿不到长期的运营收益,因而更看重建设施工利润等短期回报,不利于政府方与社会资本方的长期互信和合作。因此,应加快PPP项目运作的法治化建设,在促进所有PPP项目规范化(法治化、专业化、阳光化)发展的同时,有针对性地强化、优化“权益-伦理型PPP项目”的“建设-运营一体化”机制。要在立法层面形成PPP模式明确的权属结构和权责分配架构,并建立和完善基于项目全生命周期的综合绩效考评机制和多主体参与的监督机制。此外,还应转变观念,正确认识“权益-伦理型公共产品”,锐意创新,提高相关人员素质,促进“权益-伦理型PPP项目”的改进和高质量发展。

    Abstract:

    With the development of the economy and society, the rights and interests of social members and the content of social ethics continue to evolve, and the scope of public services also expands, forming a spectrum of public goods consisting of “pure public goods”, “quasi-public goods” and “equity-ethical public goods”. In order to solve the contradiction between the supply and demand of public goods, the PPP model in which the government and social capital cooperate to provide public goods came into being. PPP has a variety of specific models. In theory, government procurement projects and services, franchising, and equity cooperation are respectively applicable to “pure public goods”, “quasi-public goods” and “equity-ethical public goods”. Among them, “equity-ethical public goods” refer to public goods that have intuitive private product attributes according to the definition of traditional economic concepts, and should be provided by the government as determined by the common social value orientation and collective political choice. However, due to its existence or inability to completely exclude competition and exclusivity in its actual form, the traditional government supply method is not efficient, and it is the best choice to let market entities participate in its supply. To supply “equity-ethical public goods” through PPP, social capital parties with both construction ability and operation resources should be selected and allowed to participate in the whole process of public goods supply, such as investment, construction, management and operation, so as to form and give play to the quality and efficiency advantages of the construction and operation aggregates. In this process, it is necessary not only to ensure that social capital parties obtain reasonable investment returns to encourage their active participation, but also to form a constraint and incentive mechanism for social capital parties’ construction and operation behaviors through effective supervision and performance evaluation, so as to achieve efficient and high-quality supply of public goods. However, due to the imperfect system, unclear understanding of participants and low quality of relevant personnel, there are problems in the practice of “rights-ethical PPP projects”, such as the separation between construction and operation, and unclear asset ownership. More concretely, social capital usually has the construction qualification but lacks operation experience, and transfers the project operation to public institutions or other operating entities after the completion of project construction. Although the problem of project construction financing has been solved, the high-quality supply of public goods has been neglected, and the resource integration effect of the PPP model has not been brought into full play; the asset ownership problem of the project has not been effectively solved at the legal level. Social capital parties worry that neither the inherent property rights nor the long-term operating income will be obtained, so they pay more attention to short-term returns such as construction profits, which is not conducive to long-term mutual trust and cooperation between the government and social capital parties. Therefore, it is necessary to speed up the construction of the rule of law in the operation of PPP projects. While promoting the standardized (rule of law, specialization and sunshine) development of all PPP projects, the “construction-operation integration” mechanism of “rights-ethical PPP projects” should be strengthened and optimized. At the legislative level, it is necessary to form a clear ownership structure and distribution structure of rights and responsibilities for the PPP model, and establish and improve a comprehensive performance evaluation mechanism based on the whole life cycle of the project and supervision mechanism with multi-subject participation. In addition, it is necessary to change the concept, correctly understand the “rights-ethical public goods”, be determined to innovate, improve the quality of relevant personnel, and promote the improvement and high-quality development of “rights-ethical PPP projects”.

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贾康,陈通,唐丹彤.运用PPP提供“权益-伦理型公共产品”:理论、实践与改进[J].西部论坛,2022,32(4):1-10

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  • 在线发布日期: 2022-10-13