基础配套设施项目建设工程是目前我国在大力投入推进新型城镇化建设过 程中,为彻底改变我国城市发展落后面貌的一项重大的民生基础建设项目,巨大 的建设资金缺口也是目前阻碍我国基础配套设施项目建设顺利推进的主要潜在 问题。运用融合 ppp 投资模式促使社会资本与地方公共部门成为合作伙伴,共同 对基础设施建设项目进行投资并管理,能够充分调动地方民间企业资本市场活力, 合理配置土地市场基本资源,缓解地方政府公共财政支出压力。探索探讨 ppp 融 资模式在我国基础配套设施工程建设中广泛应用的多种可能性,对目前我国基础 配套设施工程建设项目普遍存在面临的项目资金短缺突出问题,提供有效的资金 解决政策途径。 首先,通过对我国 ppp 商业模式的融资相关基本概念的理论研究为相关文章 发表提供重要理论依据支撑;其次,对当前我国相关基础配套设施项目建设融资 现状研究进行案例分析,探索在相关基础配套设施项目建设中研究运用我国 ppp 融资模式的理论必要性和应用可行性;再次,采用结合案例分析研究的科学方法, 结合我国 ppp 基本概念内涵研究提出有关运用我国 ppp 融资模式的解决方案设 计实施要点,为运城市北部新区相关基础配套设施项目建设的运用 ppp 提供融资 解决方案的研究设计实施提供理论依据;最后,运用物有所值指标评价体系和财 政可承受能力评价体系,对运城市北部新区相关基础配套设施项目建设中的 ppp 融资建设进行定性评价,为运城市北部新区相关基础配套设施项目建设中所涉及 到的 ppp 提供融资解决方案。 提出当前 PPP 融资方案的总体设计四个要点,即确定合作主体、运作管理方 式、回报管理机制和项目风险管理分担;并提出根据当前基础设施项目包的各子 项目特点,从物有所值范畴出发进行评价,得出对当前 PPP 融资模式的评价,并对 实施提出建议,为研究基础设施项目的整体融资管理方式和基础设施项目的建设 管理模式提供整体创新发展思路。 关键词：PPP 融资模式，基础设施，融资方案，物有所值评价，财政可承受 能力评价兰州大学硕士学位论文 运城市北部新区基础设施项目 PPP 融资方案评价 II Evaluation of PPPfinancing plan for infrastructure projects in the northern New District of Yuncheng City Abstract Atpresent, theconstructionproject ofinfrastructuresupporting facilitiesis amajor livelihood infrastructure project in order to completely change the backward appearance of urban development in our country in the process of vigorously investing in the construction of new urbanization. The huge construction funding gap is also the main potential problem that hinders the smooth progress of the construction of infrastructure supporting facilities projects in our country at present. The use of integrated ppp investment model to promote social capital and the local public sector to become partners and jointly invest and manage infrastructure construction projects can fully mobilize the vitality of the capital market of local private enterprises, rationally allocate the basic resources of the land market, and alleviate the pressure of local government public finance expenditure. Force. This paper probes into the possibilities of the wide application of ppp financing mode in the construction of infrastructure supporting facilities in China, and provides an effective policy way to solve the problem of the shortage of project funds in the construction projects of infrastructure supporting facilities in our country at present. Firstly, it provides theoretical support for the study of related concepts of PPP model. Secondly, it explores the necessity and feasibility of applying PPP model in infrastructure construction, through analyzing the status quo of infrastructure construction in China and. Again, it provides the design basis for the PPP financing options for infrastructure construction in the northern New District of Yuncheng City, using the method of cases study, combined with the basic connotation of PPP model. Finally, it designs a PPP financing plan for the infrastructure construction of the northern New District of Yuncheng City, using the value-for-money evaluation system and the financial affordability evaluation system, conducts a qualitative evaluation of the PPP project for infrastructure construction. It proposes the design points of thePPPfinancing options, namely, the cooperation subject, operation mode, reward mechanism and risk sharing. And comes to a兰州大学硕士学位论文 运城市北部新区基础设施项目 PPP 融资方案评价 III conclusion for the evaluation and implementation of the PPP model, according to the characteristics of the infrastructure construction project and the evaluation based on the value-for-money category. Which provides innovative ideas for financing methods and construction management of infrastructure projects. Key words: PPP model，Infrastructure，Financing options，Value for money， Financial affordability兰州大学硕士学位论文 运城市北部新区基础设施项目 PPP 融资方案评价 IV 目 录 中文摘要.................................................I Abstract..................................................................................................... II 第一章 绪论 .............................................1 1.1 研究背景 .................................................... 1 1.2 研究目的与意义 .............................................. 1 1.2.1 研究目的 ...............................................1 1.2.2 研究意义 ...............................................2 1.3 国内外研究现状..............................................................................................2 1.3.1 国外研究现状 ...........................................2 1.3.2 国内研究现状 ...........................................3 1.4 研究内容..........................................................................................................3 1.5 研究方法和框架..............................................................................................4 1.5.1 研究方法 ...............................................4 1.5.2 研究框架 ...............................................4 第二章 PPP 模式相关概念与理论基础................................................6 2.1PPP 概述...........................................................................................................6 2.1.1PPP 模式三大核心要素 ....................................6 2.1.2PPP 应用领域 ............................................7 2.2PPP 在国内发展历程.......................................................................................7 2.3 PPP 模式分类..................................................................................................8 2.3.1 融资性质 ...............................................8 2.3.2 非融资性质 .............................................9 2.3.3 股权产权转让 ...........................................9 2.3.4 合资合作 ...............................................9兰州大学硕士学位论文 运城市北部新区基础设施项目 PPP 融资方案评价 V 2.4 PPP 项目的回报机制....................................................................................10 2.5 PPP 的参与主体与合同体系........................................................................10 2.6 PPP 项目实施流程........................................................................................10 2.6.1 PPP 项目准备 ..........................................11 2.6.2 PPP 项目采购 ..........................................12 2.6.3 PPP 项目执行 ..........................................12 2.6.4 PPP 项目移交 ..........................................13 2.7 小结................................................................................................................13 第三章 运城市北部新区基础设施项目概述.....................................14 3.1 项目背景........................................................................................................14 3.1.1 项目概况 ..............................................14 3.1.2 产出说明 ..............................................15 3.1.3 项目建设的必要性 ......................................15 3.2 应用 PPP 模式的可行性...............................................................................16 3.3 小结................................................................................................................17 第四章 运城市北部新区基础设施项目 PPP 融资方案设计 ............18 4.1PPP 模式应用的典型案例.............................................................................18 4.1.1 杭州地铁一号线项目 ....................................18 4.1.2 江苏省镇江市海绵城市项目 ..............................18 4.2 项目 PPP 融资方案设计...............................................................................19 4.2.1PPP 模式的应用对比 .....................................19 4.2.2 设计要点 ..............................................20 4.2.3 方案设计 ..............................................26 4.3 小结................................................................................................................28 第五章 融资方案分析及建议 .............................................................29 5.1 物有所值评价体系概述................................................................................29 5.2 物有所值（VFM）评价工作流程图...........................................................29兰州大学硕士学位论文 运城市北部新区基础设施项目 PPP 融资方案评价 VI 5.3 定性评价........................................................................................................30 5.3.1 评价流程 ..............................................30 5.3.2 评价细则 ..............................................30 5.3.3 评价指标及权重 ........................................30 5.3.4 评价内容 ..............................................32 5.3.5 补充评价内容 ..........................................35 5.3.6 专家评价结果 ..........................................36 5.3.7 定性评价结论 ..........................................36 5.4 物有所值定量评价........................................................................................37 5.4.1 合作期 ................................................37 5.4.2 项目资金筹措原则 ......................................37 5.4.3 运营成本 ..............................................37 5.4.4 使用者付费收入 ........................................38 5.4.5 假设条件 ..............................................41 5.4.6 物有所值定量评价方法 ..................................41 5.4.7 测算分析过程及结果 ....................................42 5.4.8 小结 ..................................................48 5.5 财政可承受能力评价体系概述....................................................................48 5.5.1 财政承受能力论证基本思路 ..............................48 5.5.2 财政责任识别 ..........................................48 5.5.3 财政支出责任测算 ......................................48 5.5.4 政府财政承受能力评估 ..................................52 5.5.5 行业和领域均衡性评估 ..................................53 5.5.6 小结 ..................................................53 5.6 建议................................................................................................................53 5.7 本章小结........................................................................................................53 第六章 结论与展望 .............................................................................54兰州大学硕士学位论文 运城市北部新区基础设施项目 PPP 融资方案评价 VII 6.1 结论................................................................................................................54 6.2 展望................................................................................................................54