PPP项目争端谈判及其治理机制研究

项目名称： PPP项目争端谈判及其治理机制研究

项目编号： No.71502011

项目类型： 青年科学基金项目

立项/批准年度： 2016

项目学科： 管理科学

项目作者： 刘婷婷

作者单位： 北京交通大学

项目金额： 17.5万元

中文摘要： 在PPP模式广泛应用于基础设施建设和公共服务领域的同时，由于其具有长期性、复杂性和不完全契约特性，争端也频繁发生，对双方和社会公众利益造成损害。如何通过争端谈判使双方达到一致，并实现共赢及获得较高的满意度，是PPP项目成功实施的关键。本研究在文献研究的基础上，运用项目现场调研，访谈和项目资料分析等方法，对在争端谈判方面有代表性的PPP项目进行定性数据收集，通过案例对比研究和确定性因子分析从契约和关系两维度建立PPP项目争端谈判的影响因素体系。在此基础上运用结构方程模型分析契约治理和关系治理对PPP项目争端谈判的影响机理，并应用图模型理论构建PPP项目争端谈判治理机制的图模型，分析治理机制与谈判行为在谈判过程中的均衡机理。最后通过模拟谈判实验进行实证研究，对模型进行修正。本项目的研究成果丰富并完善了争端谈判研究成果和项目治理理论，为PPP项目争端谈判治理机制设计提供借鉴。

中文关键词： PPP项目；争端谈判；契约治理；关系治理；图模型

英文摘要： Public-Private Partnerships (PPP) have been widely used in the provision of public infrastructure and associated services. However, disputes usually arise due to the long concession period, complicated arrangements, and its incomplete contract nature, adversely affecting both parties and the communities' interests. Whether disputes can be resolved through negotiation with both parties achieving win-win situation and a high degree of satisfaction lies at the heart for the successful execution of PPP. Following a systematic literature review, this research conducts comparative cases studies of representative PPP projects in China, Hong Kong Special Administrative Region and Australia, based on evidences obtained from fieldtrips, interviews and document analysis. By applying the Structural Equation Model method, this research then explores how contract and relational governance affect the dispute negotiation in PPP projects. A graph model will be established to analyze the equilibrium status for dispute negotiation. After performing a simulated negotiation experiment, an empirical examination of the hypothesized model will be undertaken. The research findings will extend the body of knowledge about dispute negotiation and advance the project governance theories, and provide references for practitioners to set out appropriate governance mechanisms to facilitate dispute negotiation in PPP projects.

英文关键词： Public-Private Partnership;Dispute Negotiation;Contract Governance;Relational Governance;Graph Model