基于霍尔三维结构的中小水电站PROT项目融资模式风险管理研究

发布时间：2018-02-01 17:16

本文关键词： PROT项目融资模式霍尔三维结构风险管理 AHP层次分析法越南中小水电站　出处：《昆明理工大学》2014年博士论文　论文类型：学位论文

【摘要】：水电站工程在世界上已经有一百多年使用的历史,在中国和越南已经有一百多年利用水源能源来发电。近几十年来中国的水电领域已经有繁容的发展,成熟高端与复杂的技术,制造高端的设备,掌握了水电工程的修建工艺,已经兴建了大型、巨大的水电站。中小水电站也随着进展流程而发展。但是,在一段高速发展时期背后,中小水电站也暴露了许多问题,包括经济—社会—生态、安全、技术、科学等方面的问题。在这种情况下,为了解决中小水电站上述问题,昆明理工大学王松江教授在BOT、TOT、BP、PPP等项目融资模式的研究基础上已提出一种全新的项目融资模式为PROT模式(Purchase—购买；Rehabilitate-重建；Operate-经营；Transfer—转让)。本文旨在对PROT项目融资模式的所有方面进行深入研究,包括功能、参与者结构、合同结构、融资结构、信用结构等方面。此外,本文也在中小水电站PROT项目融资模式风险管理中运用霍尔三维结构进行研究,从霍尔三维的三个维度,即知识维、逻辑维和时间维对一个典型的PROT项目融资模式进行风险识别,然后通过AHP法、专家打分法对已识别的风险因素进行风险评估,提出风险应对与监控措施。本文一共有六章内容,主要内容如下。第一章绪论中首先阐述研究背景、研究目的和意义、研究思路与方法,研究创新点。第二章文献研究与评述主要综述跟本论文有关的资料,项目融资、项目融资风险管理、霍尔三维结构的基础理论与知识。第三章内容也是本论文主要的内容之一,建立中小水电站PROT项目融资模式霍尔三维结构,并详细研究此结构的三维各维度,如：功能、总体框架、参与者结构、合同结构、项目运行程序、资金结构、融资结构与信用结构。第四章的主要内容是应用在第三章建立的霍尔三维结构,对中小水电站PROT项目融资模式进行风险识别研究,此外,根据AHP法对已经识别的风险因素进行风险评估,风险应对与监控措施。第五章主要应用第四章内容,对越南一个典型的小水电站进行实证分析,得出越南现在应用PROT项目融资模式在中小水电站主要发生的风险,如：法律风险、投资决策风险、自然风险、合同不完善风险、进度风险与环保风险。从而也在越南具体情况下提出风险应对与监控措施。第六章是本文的总体结论、评价与展望分析。
[Abstract]:Hydropower projects have been used for more than 100 years in the world, and more than 100 years in China and Vietnam. Mature high-end and complex technology, manufacturing high-end equipment, master the construction process of hydropower projects, has built large, huge hydropower stations. Medium and small hydropower stations also develop with the progress of the process. In a period of rapid development, small and medium-sized hydropower stations also exposed a lot of problems, including the economic-social-ecological, security, technology, science and other aspects. In this case. In order to solve the above problems, Professor Wang Songjiang of Kunming University of Science and Technology is in BOTTOTBP. Based on the research of PPP and other project financing models, a new project financing model is proposed: PROT mode purchase; Rehabilitation-Reconstruction; Operate- Operation; The purpose of this paper is to study all aspects of PROT project financing model, including function, participant structure, contract structure and financing structure. In addition, this paper also uses Hall three-dimensional structure in the risk management of PROT project financing mode of small and medium hydropower stations, from three dimensions of Hall three-dimensional, namely knowledge dimension. Logical dimension and time dimension identify the risk of a typical PROT project financing model, and then evaluate the identified risk factors by AHP method and expert scoring method. Propose risk response and monitoring measures. There are six chapters in this paper, the main contents are as follows. The first chapter introduces the research background, research purpose and significance, research ideas and methods. The second chapter reviews the related materials, project financing and project financing risk management. The third chapter is also one of the main contents of this paper, the establishment of small and medium-sized hydropower station PROT project financing model Hall three-dimensional structure. And study the three-dimensional dimensions of this structure, such as: function, general framework, participant structure, contract structure, project operation procedures, capital structure. Financing structure and credit structure. The main content of Chapter 4th is the application of Hall three-dimensional structure established in the third chapter to study the risk identification of PROT project financing mode of small and medium-sized hydropower stations. According to the AHP method, risk assessment, risk response and monitoring measures have been identified. Chapter 5th is mainly used in chapter 4th to make an empirical analysis of a typical small hydropower station in Vietnam. The main risks in small and medium hydropower stations in Vietnam, such as legal risk, investment decision risk, natural risk and imperfect contract risk, are obtained by using PROT project financing mode in Vietnam. Progress risk and environmental risk. Therefore, risk response and monitoring measures are also put forward in Vietnam. Chapter 6th is the overall conclusion, evaluation and prospect analysis of this paper.
【学位授予单位】：昆明理工大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：F426.61;F426.91

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