【作者】 王璐；

【导师】 王琪；

【作者基本信息】 中国海洋大学 ， 行政管理， 2014， 硕士

【摘要】 由单一中心走向多中心治理已经成为国际性趋势，市场作为多中心治理的重要一环，备受国内外的关注，我国也在积极推进公共服务市场化改革，在此期间，合同外包以其能够降低成本、提高公共服务的绩效等优势成为公共服务市场化改革中最引人瞩目的一种制度安排。公共服务合同外包是政府为改善公共服务、推进行政改革等而将市场机制引入公共服务的生产和提供过程中，20世纪80年代，合同外包即被纳入西方国家的实践中，我国也于20世纪90年代开始实践并研究合同外包，实践表明公共服务合同外包在提高公共服务的质量、多元化和生产效率等方面取得了一定的成效，但是在公共服务合同外包的整个阶段仍然存在许多风险，而公共服务合同外包的风险防范问题至今仍少有人研究，这正是本文的研究内容。本文认为公共服务合同外包是生产公共服务的一种有效方式，但由于公共服务合同外包存在风险，所以对其进行风险防范具有必要性。文章围绕公共服务合同外包的风险防范，从公共服务合同外包的相关概念及风险表现、公共服务合同外包风险的产生原因及防范措施几个方面进行阐释。公共服务合同外包风险的相关概念包含了公共服务，公共服务合同外包以及公共服务合同外包的风险等概念，通过对外延逐渐缩小的概念的阐释，使读者对于公共服务合同外包及其风险有一个初步的认识。公共服务合同外包的风险表现按照主体的不同，可以分为政府在公共服务合同外包过程中表现出的风险，私营企业在公共服务合同外包过程中表现出的风险，还有政府和私营企业双方在公共服务合同外包过程中共同表现出的风险。其中政府的风险表现有政府责任风险、腐败设租和政府合法性危机，私营企业的风险表现有政府俘虏风险、供应商垄断和社会公平缺失，政府和私营企业双方共同的风险表现有逆向选择和道德风险、负外部性风险。公共服务合同外包风险的产生原因可从主体，市场和合同三个部分具体分为五个方面。第一是公共服务合同外包主体间存在差异，差异主要体现在主体间的信息不对称和价值追求的不同；第二是政府对公共服务合同外包的认识不清，主要体现在政府对公共服务合同外包委托代理的复杂性以及交易成本的不确定性两方面认识不清；第三是政府在公共服务合同外包过程中责任缺失；第四是公共服务合同外包缺乏良性市场竞争机制；第五是公共服务外包合同难以具备完备性。前三个方面属于公共服务合同外包主体的原因，第四方面是公共服务合同外包的市场原因，第五方面是公共服务外包合同的原因。在公共服务合同外包中，政府不仅是公众的服务者，也是公共服务的购买者，更是公共服务合同外包的监督者，政府要防范公共服务合同外包风险，需要在深入认识公共服务合同外包本质的前提下，通过培育合同外包的合理竞争、实施价格上限管制和管制分权来对公共服务合同外包实施有限管制，并通过强化政府“掌舵”职责、完善公共服务合同外包的信息公开和逆向合同外包来努力提升政府自身合同管理能力，做一个“精明的买主”。更多还原

【Abstract】 From a single center to polycentric governance has become an international trend.As one of the most important aspects of the polycentric governance，the market hasattracted much attention at home and abroad. China is also actively promoting publicservices marketization reform. Government introduce contract outsourcing into theproduction and supply of public services in order to improve the public service,promote the reform of the administrative and so on. In the1980s, contract outsourcinghas be incorporated into the practice of western countries, Our country also began topractice and research contract outsourcing in the1990s. Practice shows that the publicservices contract outsourcing achieved some success in improving the quality ofpublic services, diversity and productivity, etc. However, there are still many risksduring the entire period of public service contract outsourcing. Research on the riskprevention of public service contract outsourcing is still few, this is the content of this article.This paper argues that the public service contract outsourcing is an effective way ofproducing public service. The risk prevention is necessary because risks exist inpublic service contract outsourcing.The article around the risk prevention of public service contract outsourcing,illustrates from the related concepts of public service contract outsourcing risk, riskperformance, risk causes and risk preventive measures.The related concepts of public service contract outsourcing risk include publicservice, public service contract outsourcing and public service contract outsourcingrisk. The denotation of these concepts are diminishing. Through these concepts,readers can have a preliminary understanding for the public service contractoutsourcing and its risk. According to different subjects, risk performance of publicservice contract outsourcing can be divided into three aspects. The risk performanceof government include government liability risk, government legitimacycrisis, corruption and rent-seeking. The risk performance of private enterprise include government prisoner risk,supplier monopoly and lack of social fairness. Thejoint risk performance of the government and the private enterprise include thenegative externality risk, adverse selection and moral hazard.The causes of public service contracts outsourcing risk can be divided into fivespecific areas from three parts of the subject, market and contract. The first is theexistence of differences between the subjects of public service contract outsourcing,differences are mainly reflected in the information asymmetry and the value pursuit.The second is the government awareness of public service contract outsourcing isunclear. Mainly reflected in the government’s understanding for the complexity heprincipal-agent and the uncertainty of transaction cost in public servicecontract outsourcing are not clear. The third is the lack of government responsibilityin the public service contract outsourcing. The fourth is the public servicecontract outsourcing lacks benign market competition mechanism. Fifth, the publicservice outsourcing contract is difficult to complete. The first three aspects belong tothe cause of the subjects, The fourth aspect is the reason of market, the fifth aspect isthe cause of contract.In the public service contract outsourcing, the government is not only a server ofpublic, a buyer of public service, but also the supervisor of public service contractoutsourcing. If government want to prevent risks of public service outsourcingcontract, the premise is that the government understand the nature of public servicecontract outsourcing. Government can implement limited control to public servicecontract outsourcing by cultivating reasonable competition, implementing price capregulation and control decentralization. Government can also raise their contractmanagement ability through strengthening "steering" responsibility, perfecting theinformation disclosure of public service contract outsourcing and reverse contractoutsourcing. Eventually government should become a "smart buyer".更多还原