2014 年以来，随着国务院、发改委、财政部等纷纷出台 PPP 的相关文件，自上
而下大力鼓励和支持 PPP 模式的推广，在我国掀起了 PPP 模式发展的热潮。国
家开发银行作为我国基础设施建设的主力，长期以来积极支持“两基一支”领
域发展，也必将成为参与 PPP 项目的主力，为我国城市基础设施建设、交通、
能源等战略性、全局性重点领域建设提供融资融智服务。相对于传统的政府投
资模式，PPP 模式有其独特优势，有利于控制地方政府债务风险、减轻地方政
府财政负担、提高公共财政投资和项目建设运营的效率，但其风险因素也更为
复杂，国家开发银行要实现对 PPP 项目的融资支持，必须要做好项目信贷风险
管理

PPP 项目的建设运营周期长、参与方多，受经济发展、技术变革和政策变
动等因素的影响较大，PPP 项目是以时间为自变量，风险伴随在项目的全生命
周期的每一环节，任何一个环节没有得到有效识别和控制都会导致国家开发银
行 PPP 项目融资的失败。因此，本文以国家开发银行对 PPP 项目融资的信贷风
险识别与防范为议题，运用文献综述法梳理了国内外研究 PPP 基本概念、PPP
项目融资风险管理、法律保障等方面的文献，分析 PPP 模式在各国的应用领域
和程度差异，运用对比分析研究法找出 PPP 项目相较于传统政府融资模式国家
开发银行应特别关注的风险点。针对 PPP 项目政策性强的特点，全面梳理了我
国 PPP 政策的发布情况，分析了国家开发银行 PPP 项目融资信贷风险管理的必
要性。在此基础上，借鉴全面风险管理理论，运用 PPP 项目风险分类核对表法、
头脑风暴法和经验分析法，动态而持续的对 PPP 项目全生命周期的信贷风险进
行了识别与评价，并提出风险防范和应对策略，以更好地化解国家开发银行参
与 PPP 项目融资的信贷风险

关键词：PPP 项目融资；国家开发银行；信贷风险识别与防范MBA 学位论文 作者：姚昕 国家开发银行 PPP 项目融资的信贷风险识别与防范
II
Abstract
PPP (Public-Private-Partnership) refers to the relationship between government and social
capital, such as risk sharing, interest sharing and long-term cooperation. The cooperation mode is
franchising and government purchasing services. Since 2014, as the State Council, the
development and Reform Commission and the Ministry of finance have issued relevant
documents of PPP, they have encouraged and supported the promotion of PPP mode from top to
bottom, and set off an upsurge in the development of PPP mode in China. China Development of
Bank as China&39;s infrastructure construction of the main, long support to develop the basics of a
field, will also become involved in the PPP project of the main, to provide financing financial
intelligence services for our country city infrastructure construction, transportation, energy and
other strategic and overall construction in key areas. Compared with the traditional mode of
government investment, PPP model has its unique advantages, is conducive to the control of
local government debt risk, reduce the financial burden of local government, improve the
efficiency of public financial investment and construction and operation of the project, but the
risk factors are more complex, China Development of Bank to implement the PPP project
financing support, we must make the project credit risk management.
The PPP project construction and operation of long period, the parties, the factors that
affected the economic development, technological change and policy changes in the larger PPP
project takes time as independent variables, the risk associated with each link in the project
lifecycle, any link has not been effective identification and control will lead to China
Development of Bank PPP project financing failure. Therefore, the credit risk identification to
China Development of Bank of PPP project financing and prevention issues, using the method of
literature review summarizes the basic concepts, the domestic and foreign research PPP project
financing risk management, legal protection and other documents, analysis of the PPP model in
the application fields of the difference and degree of comparative analysis of the use of method
to find out compared with the traditional PPP project financing mode of China Development of
Bank, government should pay special attention to the risk. Aiming at the characteristics of PPP
project&39;s strong policy, this paper combs the publishing situation of PPP policy in China,
analyzes the necessity of China Development of Bank&39;s participation in PPP project financing.
On this basis, from the overall risk management theory, using the PPP project risk classification
checklist method, brainstorming method and empirical analysis method, the dynamic of the PPP
project life cycle of continued credit risk identification and evaluation, and puts forward the riskMBA 学位论文 作者：姚昕 国家开发银行 PPP 项目融资的信贷风险识别与防范
III
prevention and coping strategies, in order to better resolve China Development of Bank to
participate in PPP project the financing of credit risk.
Key words:PPP Project Financing;China Development Bank;Credit Risk Identification and
PreventionMBA 学位论文 作者：姚昕 国家开发银行 PPP 项目融资的信贷风险识别与防范
IV
目录
中文摘要
.....I
Abstract.... II
一、绪论
.....1
（一）研究背景.....1
（二）研究意义.....2
（三）国内外研究综述.....2
1、关于 PPP 模式的概念、产生动因及适用范围研究3
2、关于 PPP 项目融资的风险管理........6
3、关于 PPP 模式的法律保障....7
4、小结.....8
（四）研究内容及研究方法.........8
1、研究内容.........8
2、研究方法.........9
（五）创新点.........9
二、应用的相关理论与工具........11
（一）PPP 项目相关理论...........11
1、公共物品理论...........11
2、政府失灵理论...........11
（二）PPP 项目融资相关理论...12
1、PPP 项目融资基本理论.......12
2、PPP 项目融资风险管理理论...........12
（三）银行风险管理理论...........12
（四）风险识别方法..
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