摘要
国务院 2014 年发布的《关于创新重点领域投融资机制鼓励社会投资的指导意见》
指出了为推进经济结构战略性调整，迫切需要在公共服务、资源环境、生态建设、基础
设施等重点领域进一步创新投融资机制，充分发挥社会资本特别是民间资本的积极作
用。在政府支持下，污水处理领域引入 PPP 模式充分将政府部门与私营部门的优势资源
进行整合，使整个项目达到风险合理分担、公共部门和私营部门利益共享的目的。公共
部门运用社会协调与组织能力和权威承担征地、拆迁等工作，而私营部门在筹资、技术、
经验等方面有相对优势负责项目的运营、维修和建造等工作。这种优势互补可以实现公
共部门、私营部门以及社会福利的三赢局面。但是由于 PPP 模式下的污水处理项目参与
方众多，建设与经营周期较长，投资规模大、相较于传统融资而言，需要面对更大的风
险。所以，如何有效地识别 PPP 项目存在的风险，并实现风险的合理化分担，最后采取
有效的管理手段进行风险应对是目前面临的主要问题

本文通过对大量的文献资料进行查阅，首先介绍了 PPP 模式的基本概念、PPP 模式
的分类、PPP 模式的特点，对我国污水处理项目在采用 PPP 模式的运作程序与设置的组
织架构进行了概述，接着分析了运用 PPP 模式开展污水处理项目所存在的风险进行识别
并予以评估，最后，以湘潭九华污水处理厂为例，通过模糊数学法与层次分析法进行评
价模型的构建，并依据风险评价，提出要加强污水处理厂项目的统筹规划、建立或完善
污水处理厂的运作监管机制、引入系统和软件工具对项目风险进行测度、细化与完善项
目后期终止或者回购方案、加强项目合同对各参与方的约束力等污水处理 PPP 项目的风
险管理优化对策

关键词：PPP 模式 风险管理 污水处理项目II
Abstract
According to 《Guidance on investment and financing mechanisms in key areas of
innovation to encourage social investment》 published by the state council in 2014 , in order
to further innovate investment and financing mechanisms in key areas, such as Public services,
resource environment, ecological construction and infrastructure, need to be takeplace and
make full use of the positive role of social capital, especially private capital, In order to
advance the strategic adjustment of the economic structure. With government support, the
field of sewage treatment in the PPP mode fully the advantage of government and private
sector resources integration, to achieve reasonable share the risk of the whole project, and
achieve the purpose of the public sector and private sector Shared interests. Public sector use
social coordination and organization ability and the authority to undertake land expropriation,
demolition work, and the private sector make full comparative advantage in financing,
technology and experience is responsible for the project operation, maintenance and
construction, etc. This advantage complements the public sector, the private sector, and social
welfare. But because of participants of the PPP mode of sewage treatment project is numerous,
the construction and operation cycle is long, the investment scale, compared with the
traditional financing, the PPP project face greater risks. So, how to effectively identify the
PPP project risks, and realize the rationalization of Shared risk, finally to adopt effective
management methods to deal with risk is the main problem at present.
This paper, on the basis of reading a large number of literature , firstly introduces the
basic concept of the PPP mode, the classification of the PPP mode, the characteristics of PPP
mode, and then, analyzed the existing risk in PPP mode in sewage treatment project and
identificate and evaluated the risks. Finally, taking Xiangtan Jiuhua sewage treatment plant as
an example, this paper used the method of fuzzy mathematics and analytic hierarchy process
to construct an evaluation model. On the basis of risk evaluation, put forward five Strategies
for risk management, to strengthen the overall planning of sewage treatment plant project,
establish or perfect the operation of sewage treatment plant supervision mechanism, the
introduction of system and software tools for project risk measure, refinement and
improvement project late termination or the buyback plan.
Keywords: PPP mode, Risk Management, Sewage disposal projectIII
目录
摘要.........I
ABSTRACT ...... II
第 1 章 绪论....1
1.1 研究背景与意义1
1.2 文献综述2
1.2.1 国外研究现状......... 2
1.2.2 国内研究现状......... 3
1.3 研究方法与思路6
1.4 论文结构与框架7
第 2 章 PPP 模式下风险管理的相关理论....9
2.1 PPP 模式相关理论......... 9
2.1.1 PPP 的基本概念 ..... 9
2.1.2 PPP 模式的分类 ... 10
2.1.3 PPP 模式的特征 ... 10
2.2 PPP 模式下的风险管理理论... 11
2.2.1 PPP 模式下的风险识别 ... 12
2.2.2 PPP 模式下的风险分担 ... 15
第 3 章 PPP 模式在污水处理中的应用......17
3.1 我国污水处理投融资现状 ...... 17
3.2 我国污水处理 PPP 模式的特征.......... 18
3.3 我国污水处理应用 PPP 模式的优点.. 19
3.4 PPP 模式下污水处理项目风险及其特点....... 20
第 4 章 PPP 模式下湘潭九华污水厂的风险管理..23
4.1 九华污水处理厂 PPP 项目基本情况.. 23
4.2 基于专家打分法下的风险识别 .......... 23
4.3 基于模糊评价模型下的风险评价 ...... 27
第 5 章 九华污水处理厂的风险分担机制及风险管理优化对策..32
5.1 湘潭九华污水处理厂风险分担机制 .. 32
5.1.1 项目的风险分担框架....... 32
5.1.2 项目主体的风险分担....... 33IV
5.2 湘潭九华污水处理厂风险管理优化对策 ...... 35
5.2.1 加强污水处理厂项目的统筹规划........... 35
5.2.2 建立或完善污水处理厂的运作监管机制........... 35
5.2.3 引入系统和软件工具对项目风险进行测度....... 35
5.2.4 细化与完善项目后期终止或者回购方案........... 36
5.2.5 加强项目合同对各参与方的约束力...
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