公私夥伴關係風險分擔的理論與實踐

The Theory and Practice of Public Private Partnership Risk Share

黃偉誠(Wei-Cheng Huang)

指導教授 ： 曾冠球

淡江大學/管理學院/公共行政學系公共政策碩士班/碩士(2011年)

https://doi.org/10.6846/TKU.2011.00349

摘要

研究背景：近年來政府積極推動民間參與公共建設，以期引進民間充沛資金與經營效率，達到減輕政府財政負擔，加速公共建設興建目的。但此類專案涉及介面複雜之長期規劃及風險管理，如未能透過合理風險分擔機制予以規避或降低，將導致專案不確定性提高，為降低專案執行風險，必須透過風險管理使損失與成本降到最低。如何有效實現風險分擔來成功的提供公共服務，乃是研究公私合夥必須關注的焦點所在。
理論基礎：本文首先藉由代理理論與交易成本理論的援用，闡述公共服務的提供與使用，政府與廠商可能及願意承擔的風險程度會有明顯的差異，且長期契約的不確定性會使合作與協商變的不穩定。再透過風險管理理論強調專案績效需要透過合理的風險分擔達成，並說明公私夥伴關係的主要功能在於風險轉移，確保風險能從公共部門轉移到私人部門，以及公私部門雙方以最佳的方式來合理分擔。
研究方法：本文透過次級資料與文獻的整理，了解現行民間參與公共建設相關風險，問卷調查方面研究了我國公私夥伴關係的風險特性與風險分擔情況，並將風險轉移現象的產生透過代理理論與交易成本理論的分析，歸納其可能產生的代理問題及相關成本。
研究發現：本研究以我國公私夥伴關係的案件作為研究對象，歸納出以下結論：（1）政府作為與不作為是專案是否順利運作的影響之一；（2）政府部門風險管理能力的缺乏，導致風險無法有效評估；（3）政府本身限制使民間彈性降低，契約的不平等與政府規避風險態度造成轉移過多風險與責任給民間業者。

關鍵字

風險轉移 ； 代理理論 ； 交易成本理論 ； 公私夥伴關係

並列摘要

Background: In order to introduce private capital and operating efficiency, to reduce its financial burden and speed up public construction purposes, the government has actively promoted private participation in infrastructure in recent years. However, the complexity of the project involves long-term planning and risk management. If there isn’t a reasonable risk-sharing mechanisms to avoid or reduce the project execution risk, the uncertainty in the project will increase. Therefore, the risk management must be made to minimize the losses and costs. And the problem of effective risk-sharing in the provision of public services would then become the core issue in the field of public-private partnerships.
Theoretical Foundations: Firstly, we apply the agency theory and the transaction cost theory to explain the provision and the use of public services, in which the acceptable range of the risk that the public sector and the private sector take has significant difference. Also, the risk and uncertainty in a long-term contract may lead to instability in mutual cooperation and consultation. Secondly, by the risk management theory, we know that the efficiency of a project performance can be reached through reasonable risk-sharing. Ensuring that the risks can be shifted from the public sector to the private sector, both public and private sectors use the best way to share the reasonable risk. Thus the main function of public-private partnership is risk transfer.
Methods: To understand the current research associated with the risks in private participation in infrastructure, we examine the secondary data and the literature. We use the questionnaire survey to understand the actual risk characteristics and risk sharing of public private partnerships. And we apply the agency theory and the theory of transaction cost to explain the phenomenon of the risk transfer and generate the possible agency problems and costs.
Conclusions: From the study of the public-private partnerships, we come at the following conclusions: (1) The Government's actions are the factors affecting the project; (2) the lack of risk management capabilities will lead to an ineffective risk assessment; (3) the restrictions from the government decreases the flexibility of the private sector. Unfair contracts and the risk-averse attitude of the government also make the private sector overloaded with excessive risk and liability.

並列關鍵字

risk transfer ； proxy theory ； transaction cost theory ； public private partnership

參考文獻

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