PPP模式外文文献翻译
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基础设施被认为是“生活配套服务”(Noel and Brzeski, 2005)并且长期处于政府的 垄断之下。然而，几乎所有的国家都存在基础设施不足的问题；资金缺乏的公共部 门加剧了这个问题的严重性(Matos-Castaño et al., 2014; Qiu and Wang, 2011)。此 外，政府对基础设施的垄断被视为导致低效率的基础设施发展和运营的原因。PPP， 做为一种项目交付方案的创新，在过去的二十年已经被广泛地应用到许多国家，并 且尝试去解决一些难题 (Chan et al., 2011)；现在PPP无疑是公共部门里最重要、最 流行的趋势(Garvin and Bosso, 2008; Koch and Buser, 2006)，在发展良好的经济 政策和管理项目方面良好的管理是PPP项目成功的一个重要因素(Li et al., 2005)。
中国的特点是独特的政治，经济和文化的特征 (Buderi and Huang, 2006; Mu et al., 2011; Tan and Bian, 2013)。在1980年之前，中国采取了高度集中和计 划的纯粹的社会主义经济。基础设施投资和发展是政府唯一的责任。随着PPP 以基础设施发展的形式引入，并且考虑到这些经济交易活动的复杂性，PPP实 践在中国已成为近年来学者们研究的焦点，尤其是PPP风险(e.g. Cheung and Chan, 2011; Ke etal., 2010; Song et al., 2013; Wang et al., 1999)，潜在的问 题(e.g. Chan et al., 2010a)，成功的关键因素(e.g. Chan et al., 2010b; Zhao et al., 2010)以及拟从实际PPP项目的实施中汲取教训和经验的案例研究这些方面 (e.g., Chen, 2009; Chen andHubbard, 2012)。
These studies offer us a better understanding of the current status, problems and constraints encountered in PPP projects in China. They also suggest or imply that sound institutions are very important for PPP success and that there is a needforChinatocreateaPPP-enabling institutional environment(Wang et al., 2012). However, our literature review shows that there still exists a lack of systematic institutional analysis,especially from the dynamic evolution perspective, to address the following question: how have China’s institutional arrangements evolved to accommodate the new project financing and delivery approach in infrastructure development?
事实上，PPP以它的现代形式应用到中国是在20世纪80年代后期，PPP 首先应用在产业发展项目，后来才扩展到其他部门尤其是基础设施部 门。根据世界银行的报告 (2013)，在中国，私营部门参与的基础设施 项目从1990年到2012年的总数达到了1064个，排名全球第一，总投资 承诺为119330万美元，排名世界第四，排在巴西，印度和俄罗斯之后。
1.introduction
Infrastructure is considered to be “life supporting services”(Noel and Brzeski, 2005) and has long been under the monopoly of government. However, insufficient infrastructure has been a problem for almost all countries; this problem is exacerbated by the lack of funds available in the public sectors (Matos-Castañ o et al., 2014; Qiu and Wang, 2011). Further, the monopoly of government over infrastructure has been seen as a cause of low efficiency in the development and operation of infrastructure facilities. Public–private partnership (PPP), as an innovation of project delivery alternatives, has been widely applied in many countries in the past two decades, attempting to resolve the problems (Chan et al., 2011); now it is, arguably,the most significant, worldwide trend in the public sector(Garvin and Bosso, 2008; Koch and Buser, 2006), and good governance is an important factor for the success of PPP projects in terms of developing sound economic policy and administrating projects (Li et al., 2005).
China is characterized by unique political, economic and cultural features (Buderi and Huang, 2006; Mu et al., 2011; Tan and Bian, 2013). Before the 1980s, China adopted a pure socialist economy, highly centralized and planned. Infrastructure investຫໍສະໝຸດ Baiduent and development was the sole responsibility of the government. With the introduction of PPP in its infrastructure development, and considering the complexity of such economic transactional activities, the PPP practice in China has become a focus of study by scholars in recent years, particularly with regard to PPP risks (e.g. Cheung and Chan, 2011; Ke etal., 2010; Song et al., 2013; Wang et al., 1999),potential problems(e.g. Chan et al., 2010a), critical success factors(e.g. Chan et al., 2010b; Zhao et al., 2010) and case studies intending to draw lessons and experience from the implementation of real PPP projects (e.g., Chen, 2009; Chen and Hubbard, 2012).
In fact, PPP, in its modern form, was applied in China in the late 1980s, first in industrial development projects,and later other sectors, particularly infrastructure. According toth e World Bank (2013), 1 the total number of infrastructure projects with private participation from 1990 to 2012 reached 1064 in China, ranking first worldwide, with a total investment commitment being 119,330 million US dollars, ranking fourth worldwide, after Brazil, India and Russian Federation.
在过去的二十年，中国政府已经开始着手实施一项雄心勃勃的基础设施建 设大规模投资计划。为了促进中国城市化，城市基础设施建设所需的资金在21 世纪头20年预计将达到大约3500-50000亿元(Wu, 2007）。仅仅来自政府的资 金是不太可能支付得起这样大的投资，因此改革需要得到中国政府关于基础设 施项目的投融资承诺。PPP因此被引进到中国来缓和资金短缺这个问题 (Chan et al.,2009; Feng and Luo, 1999; Ge and Zhang, 2009; He, 2001;Wang, 2006)。
PPP application in infrastructure development in China: Institutional analysis and implications
PPP模式在中国基础设施建设 中的应用：制度分析及影响
摘要 在过去20年中，PPP模式即公私合营模式的应用越来越广泛。但在如何建立一个积极的 制度环境以保证PPP项目的成功方面仍存在着问题。本文通过对中国的制度分析，探讨 了这一问题。首先，本文通过阐释PPP模式的理论框架，论证了PPP系统中不同层次之 间的逻辑及相互影响。然后，在文化、法律和管理特征等方面描述了中国的制度框架， 并以此作为中国PPP模式发展的嵌入性因素。此后，本文对我国关于PPP模式的制度演 化进行了分析。研究表明，制度安排的改变必须与PPP模式的引入相结合，且PPP模式 的成效与它的制度环境紧密相关。最终，本文为改善我国制度安排以促进PPP模式健康 发展提出了建议，并阐述了我国PPP模式的发展对外国政府及投资者的影响。
Over the past two decades, the Chinese government has been embarking on an ambitious programme of large investments on infrastructure development. To facilitate urbanization in China, the funds required for urban infrastructure development during the first 20 years of the twentyfirst century are expected to be around 3500–5000 billion RMB (Wu, 2007). Funds from government alone are unlikely to be available to finance such large investments and so, reforms need to be undertaken by the Chinese government regarding the investment and financing of infrastructure projects. PPP was thus introduced in China to alleviate this problem (Chan et al.,2009; Feng and Luo, 1999; Ge and Zhang, 2009; He, 2001;Wang, 2006).
中国的特点是独特的政治，经济和文化的特征 (Buderi and Huang, 2006; Mu et al., 2011; Tan and Bian, 2013)。在1980年之前，中国采取了高度集中和计 划的纯粹的社会主义经济。基础设施投资和发展是政府唯一的责任。随着PPP 以基础设施发展的形式引入，并且考虑到这些经济交易活动的复杂性，PPP实 践在中国已成为近年来学者们研究的焦点，尤其是PPP风险(e.g. Cheung and Chan, 2011; Ke etal., 2010; Song et al., 2013; Wang et al., 1999)，潜在的问 题(e.g. Chan et al., 2010a)，成功的关键因素(e.g. Chan et al., 2010b; Zhao et al., 2010)以及拟从实际PPP项目的实施中汲取教训和经验的案例研究这些方面 (e.g., Chen, 2009; Chen andHubbard, 2012)。
These studies offer us a better understanding of the current status, problems and constraints encountered in PPP projects in China. They also suggest or imply that sound institutions are very important for PPP success and that there is a needforChinatocreateaPPP-enabling institutional environment(Wang et al., 2012). However, our literature review shows that there still exists a lack of systematic institutional analysis,especially from the dynamic evolution perspective, to address the following question: how have China’s institutional arrangements evolved to accommodate the new project financing and delivery approach in infrastructure development?
事实上，PPP以它的现代形式应用到中国是在20世纪80年代后期，PPP 首先应用在产业发展项目，后来才扩展到其他部门尤其是基础设施部 门。根据世界银行的报告 (2013)，在中国，私营部门参与的基础设施 项目从1990年到2012年的总数达到了1064个，排名全球第一，总投资 承诺为119330万美元，排名世界第四，排在巴西，印度和俄罗斯之后。
1.introduction
Infrastructure is considered to be “life supporting services”(Noel and Brzeski, 2005) and has long been under the monopoly of government. However, insufficient infrastructure has been a problem for almost all countries; this problem is exacerbated by the lack of funds available in the public sectors (Matos-Castañ o et al., 2014; Qiu and Wang, 2011). Further, the monopoly of government over infrastructure has been seen as a cause of low efficiency in the development and operation of infrastructure facilities. Public–private partnership (PPP), as an innovation of project delivery alternatives, has been widely applied in many countries in the past two decades, attempting to resolve the problems (Chan et al., 2011); now it is, arguably,the most significant, worldwide trend in the public sector(Garvin and Bosso, 2008; Koch and Buser, 2006), and good governance is an important factor for the success of PPP projects in terms of developing sound economic policy and administrating projects (Li et al., 2005).
China is characterized by unique political, economic and cultural features (Buderi and Huang, 2006; Mu et al., 2011; Tan and Bian, 2013). Before the 1980s, China adopted a pure socialist economy, highly centralized and planned. Infrastructure investຫໍສະໝຸດ Baiduent and development was the sole responsibility of the government. With the introduction of PPP in its infrastructure development, and considering the complexity of such economic transactional activities, the PPP practice in China has become a focus of study by scholars in recent years, particularly with regard to PPP risks (e.g. Cheung and Chan, 2011; Ke etal., 2010; Song et al., 2013; Wang et al., 1999),potential problems(e.g. Chan et al., 2010a), critical success factors(e.g. Chan et al., 2010b; Zhao et al., 2010) and case studies intending to draw lessons and experience from the implementation of real PPP projects (e.g., Chen, 2009; Chen and Hubbard, 2012).
In fact, PPP, in its modern form, was applied in China in the late 1980s, first in industrial development projects,and later other sectors, particularly infrastructure. According toth e World Bank (2013), 1 the total number of infrastructure projects with private participation from 1990 to 2012 reached 1064 in China, ranking first worldwide, with a total investment commitment being 119,330 million US dollars, ranking fourth worldwide, after Brazil, India and Russian Federation.
在过去的二十年，中国政府已经开始着手实施一项雄心勃勃的基础设施建 设大规模投资计划。为了促进中国城市化，城市基础设施建设所需的资金在21 世纪头20年预计将达到大约3500-50000亿元(Wu, 2007）。仅仅来自政府的资 金是不太可能支付得起这样大的投资，因此改革需要得到中国政府关于基础设 施项目的投融资承诺。PPP因此被引进到中国来缓和资金短缺这个问题 (Chan et al.,2009; Feng and Luo, 1999; Ge and Zhang, 2009; He, 2001;Wang, 2006)。
PPP application in infrastructure development in China: Institutional analysis and implications
PPP模式在中国基础设施建设 中的应用：制度分析及影响
摘要 在过去20年中，PPP模式即公私合营模式的应用越来越广泛。但在如何建立一个积极的 制度环境以保证PPP项目的成功方面仍存在着问题。本文通过对中国的制度分析，探讨 了这一问题。首先，本文通过阐释PPP模式的理论框架，论证了PPP系统中不同层次之 间的逻辑及相互影响。然后，在文化、法律和管理特征等方面描述了中国的制度框架， 并以此作为中国PPP模式发展的嵌入性因素。此后，本文对我国关于PPP模式的制度演 化进行了分析。研究表明，制度安排的改变必须与PPP模式的引入相结合，且PPP模式 的成效与它的制度环境紧密相关。最终，本文为改善我国制度安排以促进PPP模式健康 发展提出了建议，并阐述了我国PPP模式的发展对外国政府及投资者的影响。
Over the past two decades, the Chinese government has been embarking on an ambitious programme of large investments on infrastructure development. To facilitate urbanization in China, the funds required for urban infrastructure development during the first 20 years of the twentyfirst century are expected to be around 3500–5000 billion RMB (Wu, 2007). Funds from government alone are unlikely to be available to finance such large investments and so, reforms need to be undertaken by the Chinese government regarding the investment and financing of infrastructure projects. PPP was thus introduced in China to alleviate this problem (Chan et al.,2009; Feng and Luo, 1999; Ge and Zhang, 2009; He, 2001;Wang, 2006).