论文总字数：18995字

摘 要

在我国经济稳步发展的良好态势下，PPP模式被不断应用于基础设施建设领域，城市公共交通也不例外。作为公共物品城市公共交通不仅保障着城市居民的日常生活，更是一股促进城市公共事业发展的重要力量。但不难发现，基于PPP模式的城市公共交通问题频发，针对这些问题，国内外学者多从公私双方的合作关系、风险分担的角度分析，且多数文献是对城市公共交通中的轨道交通进行了详细的研究，对常规公共交通的研究则相对较少，而本文对这些研究中忽略的多元主体互动、行业独立监管等方面进行了补充研究，侧重于对我国城市常规公共交通领域应用PPP模式出现的问题进行剖析。本文首先以公共产品理论、委托代理理论和民营化理论为理论基础，构建了一个以多元主体、风险共担、利益共享、制度保障为主的城市公共交通新PPP模式分析框架，接着简述当前我国城市公共交通应用PPP模式的现状和暴露出的弊病，再次结合十堰市等城市公交民营化的实例，分析我国在该领域应用PPP模式产生弊病的原因，最后尝试提出优化我国城市公共交通PPP模式的建议，希望能使PPP模式在城市公共交通等基础设施与公共事业方面更好地实践并推广。

关键词：城市公共交通 PPP模式 多元主体 行业监管

The Analysis on the Problems of Urban Public Transportation Based Model PPP

Abstract

Under the favorable circumstances of China’s stable economic development, model PPP has been applied into infrastructure construction, including urban public transportation. As public property, urban public transportation not only guarantees the daily life of citizens, but also am important force to improve the urban public utilities. It is not difficult to find that urban public transportation based model PPP has a lot of problems. Cut-throat competition, low social evaluation, risk sharing differences block the development of model PPP in the field of urban public transportation. Experts home and abroad mostly analyzed the problems from the view of cooperation between the public and the private, as well as risk sharing. Most papers provided a detailed study on rail transportation, while few focused on conventional public transportation. Inspired by the experts, this paper focused on the supplement research on multi subject interaction, industry independent regulation, institutional guarantee. Applying model PPP in conventional public transportation will be the emphasis in the paper. With the theoretical basis of public production theory, principal - agent theory and privatization theory, the analytical frame of model PPP in urban public transportation will be established for multi subject, risk sharing, profit sharing and institutional guarantee. Firstly, problems in urban public transportation based as model PPP will be briefly discussed. Secondly, analyzing the reasons for the problems, especially privatization with the example of city Shiyan. Finally, suggestion will be put forward to optimize model PPP in urban public transportation, hoping to popularize and practice model PPP in urban public transportation.

Key words: Urban Public Transportation; Model PPP; Multi Subject; Institutional Guarantee

目 录

中文摘要 I

英文摘要 II

引言 1

一、PPP模式理论基础与分析框架 2

（一）理论基础 2

1.公共产品理论 2

2.委托代理理论 3

3.民营化理论 4

（二）新PPP模式：一个概念框架 4

1.多元主体 5

2.风险共担 5

3.利益共享 5

4.制度保障 5

二、中国城市公共交通中的PPP：现状与问题 6

（一）整体情况 6

（二）三个典型案例：深圳、长沙、十堰市公交民营化 7

1.深圳 7

2.长沙 7

3.十堰 8

（三）存在问题 8

1.效益不高 8

2.竞争不当 9

3.社会评价低 9

4.可持续性低 9

三、城市公共交通PPP模式出现问题的原因分析 11

（一）多元主体合作不密切 11

（二）风险与利益分配不恰当 11

（三）监管不完善 12

（四）制度不健全 12

四、优化我国城市公共交通PPP模式的建议 14

（一）加强多元主体间的良性互动 14

（二）合理分配利益、分担风险 14

（三）加强行业性监管与政府监管 15

（四）完善PPP模式的法律法规体系 16

结语 18

参考文献 19

致谢 22

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