城市轨道交通PPP项目风险管理研究

发布时间：2018-03-05 03:15

本文选题：PPP模式　切入点：轨道交通　出处：《复旦大学》2012年硕士论文　论文类型：学位论文

【摘要】：PPP,是英文单词Public-Private-Partnership的缩写,翻译成中文可以理解为公共部门(即政府)与私人企业合作的一种模式；它兴起于上个世纪90年代中后期,作为一种全新的项目融资模式,广泛适用于基础设施、公用事业建设和自然资源开发等大中型项目。城市化是人类社会文明进步的重要标志。新中国的城市化进程起步于改革开放,几十年来,已经取得了飞速的发展,但是城市化的快速发展会对城市交通提出新的需求,在传统的道路无法满足城市交通需求的情况下,必然会加速城市轨道交通行业的发展。尤其进入21世纪以来,轨道交通在优化城市空间结构、缓解城市交通拥挤、保护环境等方面均显示出积极促进作用,已日益成为中国走新型城镇化道路的重要战略举措。但是轨道交通线路高昂造价和建成后繁复的运营、维护管理工作也给地方政府所带来巨大的财政和管理压力,同时政府部门相对冗长、落后的管理水平也会阻碍轨道交通行业的整体发展,因此将PPP模式引入城市轨道交通建设领域中来,将是必然的发展趋势。本文从国内外多个城市的轨道交通发展状况着手,分析了城市轨道交通建设发展历程中出现的各种融资方式及其特点,调查研究了各城市轨道交通项目的融资状况,阐述了PPP融资模式现阶段在国内轨道交通建设领域飞速发展的必然性；其次介绍了风险管理的基本概念,风险识别、风险评估和风险应对措施,并详细阐述了风险管理中应用到的各种风险管理措施、策略；然后以北京地铁4号线机电设备PPP融资项目的实际管理经验为例,通过使用项目管理工具——问卷调查法,识别出轨道交通PPP融资项目中可能会遇到的所有风险因素,并就对项目目标影响较大的七大类风险因素(政治风险、建设风险、运营风险、市场和收益风险、金融风险、法律风险和自然风险)进行评估分析,利用北京4号线对此七大类风险的管理和应对措施进行解释说明。最后笔者就实际参与项目的经验谈了谈北京地铁4号线PPP融资项目的运作体会和意义。本文着眼于轨道交通PPP融资项目风险管理的研究和应用,对PPP这种新兴的项目融资方式在轨道交通项目上的应用提出了实用的、具有普遍意义的、准确的风险管理措施和应对策略,有助于提高项目管理者的风险防范意识,风险管理水平,具有一定的实用价值。
[Abstract]:PPP, the abbreviation of the English word Public-Private-Partnership, can be interpreted as a model for the public sector (i.e. government) working with private enterprises; it emerged in late -10s as a completely new project financing model. Widely used in infrastructure, public utilities and natural resources development and other large and medium-sized projects. Urbanization is an important symbol of the progress of civilization and progress of human society. The process of urbanization in New China started with the reform and opening up, and has made rapid development in recent decades, but the rapid development of urbanization will put forward a new demand for urban transportation. When the traditional road can not meet the demand of urban transportation, it will accelerate the development of urban rail transit industry. Especially since 21th century, rail transit has been optimizing the urban spatial structure and alleviating urban traffic congestion. Environmental protection and other aspects have shown a positive role in promoting, and have increasingly become an important strategic measure for China to take a new type of urbanization. However, rail transit lines are expensive and complicated to operate after they have been completed. The maintenance and management work also brings enormous financial and management pressure to local governments. At the same time, the relatively lengthy government departments and the backward management level will also hinder the overall development of the rail transit industry. Therefore, it will be an inevitable trend to introduce the PPP model into the field of urban rail transit construction. Starting from the development of rail transit in many cities at home and abroad, this paper analyzes various financing methods and their characteristics in the course of the development of urban rail transit construction, and investigates and studies the financing situation of various urban rail transit projects. This paper expounds the inevitability of the rapid development of PPP financing mode in the field of domestic rail transit construction at the present stage, and then introduces the basic concepts of risk management, risk identification, risk assessment and risk response measures. Then, taking the actual management experience of the PPP financing project of Beijing Metro Line 4 as an example, by using the project management tool-questionnaire method, the paper expounds the risk management measures and strategies applied in the risk management in detail, and then takes the actual management experience of the PPP financing project of Beijing Metro Line 4 as an example. Identify all the risk factors that may be encountered in the rail transit PPP financing project, and analyze the seven kinds of risk factors (political risk, construction risk, operational risk, market and income risk, financial risk) that have a great impact on the project objectives. (legal risk and natural risk), This paper explains the management and countermeasures of the seven kinds of risks by using Beijing Line 4. Finally, the author discusses the experience and significance of the PPP financing project of Beijing Metro Line 4. This paper focuses on the research and application of risk management of rail transit PPP financing project, and puts forward practical and universal significance to the application of PPP, a new project financing method, in rail transit project. Accurate risk management measures and coping strategies are helpful to improve the risk prevention awareness and risk management level of project managers and have certain practical value.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F572;F283

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