基础设施产业PPP模式独立监管研究

Independent Regulation of PPP Mode in Infrastructure Industry

基础设施产业PPP模式运营旨在提升公共福利质量和供给效率。以中共十八届三中全会提出"允许社会资本通过特许经营等方式参与城市基础设施投资和运营"政策为背景,风起云涌的PPP模式承载着经济转型和国家治理多方面使命。文章以PPP模式监管为视角,认为与建立在自然垄断理论之上对国有垄断的传统监管体制相比,新的具有多元价值追求的产业组织的出现使得"由谁监管"、"监管什么"成为基础设施产业PPP模式运行必须反思的问题。政府在基础设施PPP模式中扮演着政策制定、项目实施与模式监管等多种角色,必须合理划清政府职能边界,引入独立的专业化的监管机构,厘清监管内容,实现政府PPP模式政策制定、项目实施与市场监管职能的分离。

The implementation of PPP mode in infrastructure industry is intended to promote the quality and supply efficiency of public welfare. In the context of the policy that has been put forward in the Third Plenary Session of the 18th Communist Party of China （CPC） Central Committee to ＂allow private capital to participate in urban infrastructure investment and operation by franchise and other means＂, PPP mode that is raging like a storm is expected to bear various missions of economic transformation and state governance. From a perspective of the regulation of PPP mode, this paper indicates that compared with traditional regulation system over stateowned monopoly based on the theory of natural monopoly, the emergence of new industry organizations with multiple value pursuit has made problems like ＂who will regulate＂ and ＂what to regulate＂ unavoidable in the process of rethinking the performance of PPP mode in infrastructure industry. Governments have been performing as decision-makers, project enforcers and mode regulators in the PPP mode here. It is important to clarify government functions, introduce independ- ent and professional regulatory authorities and sort out regulatory contents to achieve the separa- tion of decision-making, project enforeement and market regulation in PPP mode.