城市公用事业公私合作制的风险识别及其分担

Key risks identifying and sharing of public-private partnerships in urban public utilities

我国城市公用事业的公私合作制改革正在快速推进,在监测数据尚未完善的前提下,如何有效识别城市公用事业公私合作的风险因素,建立合理的风险分担机制,直接关系到公私合作制运行的成败。基于我国城市公用事业公私合作实践的典型案例,以跨案例研究法归纳得到15项风险因素,并依据来源和层级差异将其分为政府风险、市场风险和项目风险。研究发现,在特定制度背景下,不同层级风险存在着明显的关联特征:制度变动可催生政府风险,进而引发市场风险,造成市场环境恶化,最终导致项目风险。由于政府风险多由政府决策或行为偏差引发,这类风险应主要由公共部门承担。对于市场风险和项目风险,应根据风险起源确定归责对象,如果归责不清,可由公私双方共担风险或由第三方承保。

The reform of public - private partnerships in China＇s urban public utilities field is rapidly advancing, while how to identify the risk factors and establish reasonable risk sha- ring mechanism effectively has a close relationship with the success or failure of the operation of public - private partnerships. Based on the typical cases of public - private partnership prac- tice in urban public utilities of China, 15 risk factors are summarized by a cross - case method in this essay, which are divided into government risk, market risk and project risk on their sources and hierarchy. The results show that the government risk, market risk and project risk have significant correlation based upon specific circumstance. The institutional changes cre- ated government risk, which will trigger market risk and worsen the market environment, and lead to project 1 risk finally. The government risk shall be borne by the public sectors as they are mainly triggered by government decision - making errors or behavior deviation, and the market risk and project risk should ascertain the undertakers according to the origin of the risk, other- wise should be shared by both public sectors and private sectors when it is difficult to attribute or underwrite by the other sectors.