本文在对国内外文献大量阅读基础上，采用逻辑分析、定性分析和案
例分析的方法，以准经营性 PPP 项目的回报机制为切入点进行了重点研
究。论文从 PPP 项目的背景解读入手，探讨了 PPP 项目概念特征、准经营
性项目相关理论和分类，梳理了动态回报机制的建立原则、目标和必要性，
着重分析了回报机制的框架和算法，并以“A 市垃圾焚烧发电项目”为例
进行了实证研究。在项目回报机制理论研究阶段，本文结合准经营性项目
特性分析了回报机制主客体，根据运作模式设计了回报模式流程图，并在
流程图的基础上对准经营性项目的补偿机制和定价机制进行重点分析。在
补偿机制中，本文将准经营性项目补偿分成建设期补偿和运营期补偿，运
营期补偿又细分为项目运营补偿（垃圾处理、污水处理等）和价格补偿（公
交、地铁等）；在定价机制中，本文结合准经营性项目特点总结出两种最
优定价模式——平均成本加成定价法和二部定价法。在“A 市垃圾焚烧发
电项目”研究阶段，本文详细阐述了项目基本情况、项目运营模式和风险准经营性 PPP 项目回报机制研究——以 A 市垃圾焚烧发电项目为例分配情况，并结合前文研究结果，对案例回报机制进行了分析
全文采取理论和案例相结合的方式，客观论述了动态回报机制在准经
营性 PPP 项目中存在的必要性与可行性，充分体现了动态回报机制的现实
意义。本文通过案例分析论证了动态回报机制理论研究成果，进一步反映
出动态回报机制对准经营性项目的重要性。此外，本文还探讨了和动态回
报机制相关的两个方面：一是和回报相关的其他机制，简述了引入保底量
机制和利益再分配机制的目的和意义；二是准经营性项目的政策性问题，
剖析了现行体制下法律不完善、落实不到位等情况带来的弊端，并针对问
题提出合理化建议
关键词：PPP 准经营性 回报机制AbstractAbstract
Since 2014, in order to improve the local government’s public goods supply
efficiency, reduce local debt scale, China starts to promote PPP model strongly in
public service projects and infrastructure projects, which is called Public-Private
Partnership. During the cooperation period of PPP projects, the government and
the private capital will take the contract spirit as a link, sharing risks and benefits .
At present, the government often cooperates with the private capital in the form of
purchase. PPP projects carried out by the local government are mostly
quasi-operational projects. The revenue sources of such projects are mainly from
the users，government payment is just assistance. When users’ payment unable to
covers the project’s costs and the project cannot obtain reasonable profits, the
government will give the SPV some compensation, such as preferential policies
and financial subsidies, which can ensure the project meet the minimum rate of
return agreed by the contract between the SPV and the government. However, the
present return mechanism of quasi-operational PPP projects have a fixed return
phenomenon, the project relies heavily on the financial subsidy. These problems
seriously hinder the sustainable development of quasi-operational projects. How to
improve the phenomenon above has become an urgent problem to solve for
quasi-operational projects during the process of development.
Based on studying a mass of literature from home and abroad, this thesis uses
methods of logical analysis, qualitative analysis and case analysis. It takes the
quasi-operational PPP project’s return mechanism as the breakthrough point and
does a focused research. Based on the background of PPP projects, the thesis
discusses the PPP project’s concept, the related theory and classification of the
quasi-operational project. It combs the dynamic return mechanism’s establishment
principles, objectives and necessity of a dynamic return mechanism establishment.
The thesis emphatically analyses the framework and algorithm, and it takes AResearch on Return Mechanism of the Quasi-operational PPP Project
----An Example from A City Waste Incineration Power Generation ProjectCity Waste Incineration Power Generation Project as an example. In the stage of
return mechanism theoretical research, the thesis analyses the subject and object
of the return mechanism based on the quasi-operational project’s characteristics,
designs the return mechanism’s flow chart according to the operation mode, and
emphatically analyses quasi-operational project’s compensation mechanism and
pricing mechanism on the basis of the flow chart. In the compensation mechanism,
quasi-operational project’s compensation can be divided into the construction
period compensation and the operation period compensation. And the operation
period compensation can be divided into operation compensation(waste disposal,
sewage treatment, etc.)and price compensation(bus, subway, etc.).In the pricing
mechanism, the thesis summarized two pricing modes according to
quasi-operational project’s characteristics--average cost plus pricing and two parts
pricing. In the research of A City Waste Incineration Power Generation Project,
the case describes the basic situation, the operation mode and the risk division in
detail. It also analyses the return mechanism combined with the previous study
results.
The thesis combines the theory with the case. It objectively evaluate the
necessity and feasibility of the quasi-operational project’s dynamic return
mechanism, and the research fully reflects the practical meaning of the dynamic
return mechanism. The thesis demonstrates the results of theoretical research on
the dynamic return mechanism by the case, which further reflects the importance
of dynamic return mechanism to the quasi-operational project. In addition, the
thesis discusses two parts related to the return mechanism. One is other
mechanisms which have connection with the return mechanism. This part sketches
the purpose and significance of the amount guarantee mechanism and the interest
redistribute mechanism. The other is the quasi-operational project’s policy issues,
this part analyses the shortcomings of imperfect laws and discusses the
disadvantages when the implementation isn’t in place. For these problems, this
part offers reasonable proposals.
Keywords: PPP; Quasi-operational; Return Mechanism目录目 录
1 绪论...........1
1.1 选题的背景
....1.2 研究的目的和意义
....1.2.1 研究目的
.1.2.2 研究意义
.1.3 国内外研究现状
........1.3.1 准经营性项目国内外研究现状
..1.3.2 PPP 项目回报机制国内外研究现状
.......1.3.3 国内外研究现状评述
......1.4 研究思路和方法
........1.4.1 研究思路
..1.4.2 研究方法
......
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