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同时，棚户区改造项目资金需求量极大，融资难，成为棚改项目的主要难题。在以
往的棚户区改造项目中，多是由政府主导，国家开发银行提供贷款，再由省一级的
融资平台采取“统贷统还”的模式进行。但是，当前国际形势复杂，我国经济发展
放缓，原有的棚户区改造融资模式受到限制，阻碍了棚户区改造项目的进展。如何
在棚户区改造项目中拓宽融资渠道，吸引有效投资，显得尤为重要。我国政府积极
鼓励在棚户区改造项目中拓宽融资渠道，创新合作模式。而采用 PPP 模式能有效的
引入私营部门参与，激发社会资本活力，化解融资难题，效益明显。在 PPP 模式下
棚户区改造项目中，风险分担作为其中的一环，在项目的整体运作当中起着极其重
要的作用
本文首先通过参阅大量的文献资料、典型案例，对国内外 PPP 领域的研究做了
系统的分析，有了较为全面的认识。在此基础上，本文以 PPP 模式下 XH 棚户区改造
项目案例研究为主线，采用 WBS-RBS 风险识别法对案例中的风险进行有效识别，结
合相关理论基础，对风险进行系统的归纳分类，构建系统的风险识别矩阵，对相关
风险的发生进行多角度的分析，从而对案例中风险有全面细致的认识，为风险的分
担奠定基础。然后，通过案例研究和参考大量文献，总结出棚户区改造项目风险分
担的四项原则：①风险共担；②风险与控制力相匹配；③风险与收益相匹配；④风
险承担有上限。以上原则作为风险分担的基本依据。其次，结合 XH 棚户区改造案例，
并经过深入的调查分析、深入研究，设计出基于 PPP 模式的棚户区改造风险分担框
架，为风险的分担提供基本的方法。最后，结合案例实际和相关理论基础，制定科
学合理的风险分担方案，供研究者和决策者参考
PPP 模式的本质是“风险共担、利益共享”，理念是“开放、共赢”，有利于
公私双方达成共识，降低谈判成本，减少前期费用，项目参与方优势互补，协同高
效，从而提高项目整体效益。将 PPP 模式导入棚户区改造项目，能够激发社会资本
活力，引导优秀的私营部门参与到项目建设中来，有利于加快棚户区改造项目的建II
设，最大化的发挥公、私各方的优势，有效推动棚户区改造项目的开展，并产生良
好的社会经济效益，具有重要的理论和现实意义
关键词： PPP 模式 棚户区改造 风险识别 风险分担III
Abstract
Shanty towns transformation in China is not only an important project for people&39;s
livelihood, but also an important political task, which gains a particular importance in the
process of speeding up a new type of urbanization construction situation in our country.
However, the complexity of shantytowns projects is mostly due to poor commercial value
thus difficult to attract effective investment and can not be effectively marketed. At the
same time, shantytowns reconstruction project is notoriously for great-fund-demanding,
which turns out to be its main problem. In the past, shanty towns transformation project
was dominated by the government, in which China development bank offered loans in the
policy of “interconnected system loan interconnected system return” adopted by each
provincial financing platforms. However, the original shantytowns transformation
financing model suffers many restrictions because of China&39;s economic slowdown along
with the current complex international situations, which has hindered the progress of
shantytown renovation project. Therefore, it is paramount to broaden the financing
channels in shanty towns transformation projects to attract investment effectively. Since
China&39;s government is actively encouraging new financing channels and innovative
cooperation models be built in the transformation of shantytowns projects, the advent and
adoption of PPP model with its advantages in effectiveness of absorbing private sectors,
stimulating social capital vitality and resolving the financing problems is a necessity. PPP
model fills its paramount role in the part of risk sharing in the overall shantytowns
transformation project.
Based on that, this paper sets its main line of the case study of XH shantytowns in
PPP mode, adopts the WBS-RBS risk identification method to effectively identify the risk
in that case. With the relevant theory, risk systematic classification and systems of risk
identification matrix are constructed, comprehensive and meticulous understandings
which lay the foundation for the sharing of risk are obtained through analyzing the
potential risks in multi-angle perspectives. Then, through the case study and references to
a large number of literature, four principals of shantytowns transformation project risk
sharing are summarized: ① risk sharing; ② matching of risk and controlling power;IV
③ matching of risk and income; ④ clear upper limits of risk sharing, which are the
basic foundation for risk sharing. Thirdly, thorough investigations and analyses are
conducted according to the case of XH shantytowns in PPP model for the resultant of the
framework of risk sharing, and the birth of basic methods of risk sharing. Finally,
reasonable risk-sharing programs for the references convenience of researchers and policy
makers are worked out through combination of the actual case and the relevant theoretical
basis.
The PPP model characterized by risk sharing, benefit sharing, conceptualized with
open, win-win, is conductive for public and private parties to reach a consensus, to
reduce the forehand costs by trimming negotiation cost and for realization of making
respective advantages for project participants, and for improvements on effective
collaboration and overall benefits. The introduction of the PPP model into the shantytown
project stimulates the social capital vitality and guide the participation of the excellent
private sector in the construction of the project, which is conductive to speed up the
construction of the shantytowns, to maximize the advantages of the public and private
parties, and to promote the development of shantytowns project for pursuit of good social
and economic benefits. Thus, PPP&39;s introduction is of important theoretical and practical
significance.
Keywords: PPP Mode; Renovation of Shanty Towns; Risk Identification; Risk
SharingV
目 录
第一章 引言1
1.1 研究的背景及意义1
1.1.1 研究的背景1
1.1.2 研究的意义4
1.2 研究的主要内容及研究方法........5
1.2.1 研究的主要内容....5
1.2.2 研究的方法6
1.2.3 本论文研究路线图.7
第二章 文献综述与理论基础........8
2.1 文献综述...8
2.1.1 国外研究现状........8
2.1.2 国内研究现状........9
2.2 相关理论基础.....11
2.2.1 棚户区的内涵......11
2.2.2 PPP 模式相关理论11
2.2.3 风险相关理论....
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