摘 要
近年来，PPP（Public-Private Partnership）模式在基础设施项目领域得到了广泛的应用，不仅提高了基础设施项目的供应能力，还有效利用社会闲置资金，解决建设资金短缺问题。但目前我国 PPP 项目实施中仍存在承诺不能兑现、项目性质发生变化等现象，使得目前国内只有为数不多的 PPP 项目能正常运作，大部分PPP 项目未能取得预期的效益。一旦项目失败，就意味着社会资源的浪费，对社会公众的生命财产安全也会造成极大影响。因此，探索准经营性基础设施 PPP 项目的关键成功因素，为其它准经营性基础设施 PPP 项目成功的实施及管控提供理论参考，不仅具有重要的理论意义，同时也具有重要的实践价值。
论文通过对国外顶级期刊发表的 PPP 模式、CSF 相关文献的检索统计，找出了已有研究的空白问题，在此基础上论文主要研究了以下几个方面的问题：
首先，介绍了国内外权威机构对 PPP 模式的定义，并明确了准经营性项目的概念和特点；分析了国内对基础设施划分的现状，运用系统聚类法将 6 大类基础设施定量地划分为公共性、准经营性、经营性三类，以界定研究对象的范围；结合城市建设统计年鉴数据分析城市基础设施投资现状，并论证 PPP 模式应用于准经营性基础设施项目的可行性。
其次，通过文献回顾法并结合准经营性基础设施项目的特点，从政府部门、私人部门、设计方、施工方等多方参与主体的角度识别出了 33 个成功因素；在此基础上设计问卷，向拥有准经营性基础设施 PPP 模式实践经验的参与主体发放问卷，回收 133 份有效问卷；进一步运用熵权法、因子分析理论，借助 SPSS 软件识别出了 14 个准经营性基础设施 PPP 模式的关键成功因素，得到了因素的相对重要性排序。并根据关键因素识别的过程和结果构建了准经营性基础设施 PPP 模式成功实施的管控流程图。
最后，结合实际项目对 14 个关键成功因素进行深入剖析，提出了相应建议；并选取北京地铁四号线项目、成都新国际会展中心项目，结合项目的实施背景、运营现状进行实证分析，验证了论文所识别的关键成功因素，同时研究成果对其它准经营性基础设施 PPP 项目的管控有一定的借鉴作用。
关键词：准经营性，城镇基础设施项目，PPP 模式，关键成功因素
ABSTRACT
In recent years , PPP (Public-Private Partnership) model has been widely used inthe field of infrastructure projects.It not only improve the supply capacity ofinfrastructure projects , but also make use of social idle funds to solve the problem ofconstruction funding shortage effectively. But some bad phenomenon still exist in thePPP project implementation in our country, such as promises not kept , the projectnature has changed and so on, so that only a small amount of the PPP projects can runnormally at present, most of the PPP projects fail to achieve the expected benefits.Oncethe project failure,it means not only a waste of social resources, the safety of socialpublic life and property will be greatly impacted.Therefore, exploreing the criticalsuccess factors for quasi-operational infrastructure PPP projects to provide thetheoretical reference for other quasi-operational infrastructure PPP projects toimplement and control successfully, not only has important theoretical significance, butalso has important practical value.
The paper Papers finds out the blank problem of previous study through literaturestatistical study of PPP mode and CSF published in top journals abroad, on this basis theresearch studied the following several aspects:
Firstly ,the paper introduced the definition of domestic and international authorityon the PPP model, and define the concept and features of quasi operational projects.Thepaper analyzes the current situation of domestic infrastructure division, using themethod of system clustering to divided six types of infrastructure into public, business,business types quantitatively,so as to define the scope of the research object; the paperanalyzes current situation of urban infrastructure investment in combination with urbanconstruction statistical yearbook data, and demonstrate the feasibility of PPP modelapplied to the quasi-operational infrastructure projects.
Secondly, this paper identified 33 success factors from the government, the privatesector, design, construction and other participating subject Angle through the method ofliterature review and combining with the characteristics of quasi operationalinfrastructure projects; on this basis,the paper designed questionnaire,and Issuequestionnaire to those main participations who have practice experience of quasi-operational infrastructure PPP projects, and finally recovered 133 valid questionnaires;furthermore this paper identified 14 CSFs of quasi-operational infrastructure PPPprojects and determine the relative importance of each factoras on the basis of entropymethod, factor analysis theory and SPSS software. The author constructed the controlflow diagram of quasi-operational infrastructure PPP model for successfulimplementation in accordance with the process and results of the CSFs.?
Finally,the paper made depth analysis on 14 critical success factors with actualprojects, and made recommendations accordingly; then select the Beijing Metro LineProject and the Chengdu International Convention and Exhibition Center Project toconduct empirical analysis in combination with the project background and operationalstatus,and verified the critical success factors identified in this article , as well as theresearch results provide theoretical guidance on the control of other quasi- operationalinfrastructure PPP projects.
Key words: Quasi-operational, Urban Infrastructure Projects, PPP Model,Critical/key Success Factors
目 录
中文摘要
英文摘要
1 绪 论
1.1 选题背景
1.2 国内外相关研究状况
1.2.1 国内研究
1.2.2 国外研究
1.3 研究内容与研究意义
1.3.1 研究内容
1.3.2 研究意义
1.4 研究方法与技术路线
1.4.1 研究方法
1.4.2 技术路线
2 基础理论
2.1 PPP 模式理论概述
2.1.1 PPP 的概念
2.1.2 PPP 模式的特点与优势
2.1.3 PPP 模式的适用范围
2.2 准经营性基础设施 PPP 模式的相关理论
2.2.1 准经营性项目的概念
2.2.2 准经营性项目的特点
2.2.3 准经营性基础设施范围界定
2.2.4 准经营性基础设施 PPP 模式的特点
2.3 准经营性基础设施引入 PPP 模式的必要性和可行性
2.3.1 准经营性基础设施引入 PPP 模式的必要性
2.3.2 准经营性基础设施引入 PPP 模式的可行性
2.4 关键成功因素理论
2.4.1 准经营性基础设施 PPP 模式成功标准
2.4.2 关键成功因素的概念
2.5 本章小结
3 准经营性基础设施 PPP 模式成功因素分析
3.1 成功因素识别与分析的方法与步骤
3.2 准经营性基础设施 PPP 模式成功因素识别
3.2.1 文献研究方法识别成功因素
3.2.2 成功因素清单
3.3 问卷调查
3.3.1 样本选取
3.3.2 问卷设计 、发放、回收
3.4 问卷分析
3.4.1 信度分析
3.4.2 初步分析
3.4.3 权重分析
3.5 本章小结
4 准经营性基础设施 PPP 模式关键成功因素识别
4.1 因子分析和回归分析
4.1.1 准经营性基础设施 PPP 模式成功标准的因子分析
4.1.2 准经营性基础设施 PPP 模式成功因素的因子分析
4.1.3 准经营性基础设施 PPP 模式成功标准与成功因素的回归分析
4.2 准经营性基础设 PPP 模式关键成功因素分析
4.2.1 关键成功因素识别
4.2.2 结果分析
4.2.3 成功实施的建议
4.3 本章小结
5 案例分析
5.1 成都新国际会展中心
5.2 北京地铁四号线
5.3 本章小结
6 结论与不足
6.1 论文的结论
6.2 论文的不足
致 谢
参考文献
