污水环保PPP项目的风险管理研究

发布时间：2018-01-03 07:14

本文关键词：污水环保PPP项目的风险管理研究　出处：《北京交通大学》2017年硕士论文　论文类型：学位论文

【摘要】：污水环保项目的建设关系着国计民生。我国的“十三五”规划中提出要对水资源实行最为严格的管理制度,对水价改革积极推进,这势必会带动节水和废水等项目的发展。《国家新型城镇化规划(2014-2020年)》明确指出要加强对污水设施的建设。由此可见,在我国污水处理行业有着巨大的发展潜力。目前,大多PPP项目的风险管理研究是围绕着基础设施进行的,专门针对污水环保PPP项目的风险管理研究还不是特别深入。本文研究主要针对污水环保PPP项目存在问题,站在社会资本方的角度,运用风险管理相关知识,结合实际案例,总结PPP模式在污水处理行业建设中风险管理的成功经验,有助于为以后的类似项目提供借鉴。本文采用文献综述、归纳总结、对比分析等研究方法行文,首先对污水环保PPP项目的风险管理知识体系进行分析和研究;其次,笔者通过有效的分析和总结,识别出污水环保PPP项目的主要风险因素,并进行评估,采取有效的控制措施;最后,为了增加行文的有效性和科学性,笔者结合实际案例,采用案例验证的方法,从正面的角度对前文理论知识进行分析和论证,有理有据的分析污水环保PPP项目的风险管理过程。归纳起来,本文研究主要集中在以下五个方面:一是通过文献综述概括了国内外对PPP项目及污水环保PPP项目的风险识别、风险评估、风险应对等相关研究,对风险管理现状进行了解;二是详细介绍了 PPP的主要模式及风险管理过程中采用的方法,并进行归纳总结,为后文污水环保PPP项目风险管理的实际操作提供理论基础;三是介绍了我国污水环保PPP项目的常见模式,即BOT模式及TOT模式,根据不同的模式归纳总结出主要风险因素,共13大类,50项风险因素;并介绍了基于层次分析法的模糊综合评价法的运用过程;四是通过大量的案例归纳总结出合理的污水环保PPP项目风险分配方案,与PPP项目中风险的一般分配方案进行对比分析,解释出现差异的原因,制定适合社会资本方的风险分担调整机制,然后根据风险层级逐条提出有效的控制措施;五是通过实际案例,运用风险识别方法识别出该项目中的12类风险,共35项风险因素,运用基于层次分析法的模糊综合评价法进行风险评估,建立风险层次模型,得出该项目属于低风险项目,风险重要度从大到小的排序为:政治风险、金融风险、法律风险、融资风险、不可抗力风险、施工风险、社会风险、生产风险、市场风险、第三方风险、设计风险、合作者关系风险,根据评估结果提出风险分配方案,并针对风险层级对各类风险进行控制,以此验证风险管理在污水环保PPP项目的重要性及其过程。
[Abstract]:The construction of sewage environmental protection projects is related to the national economy and the people's livelihood. In the 13th Five-Year Plan of our country, it is proposed to implement the strictest management system for water resources and actively promote the reform of water prices. This will certainly lead to the development of water-saving and waste-water projects. The National New urbanization Plan 2014-2020 clearly points out that the construction of sewage facilities should be strengthened. There is great development potential in sewage treatment industry in China. At present, most of the risk management research of PPP projects is carried out around the infrastructure. The research on risk management of PPP project is not especially deep. This paper mainly focuses on the problems of sewage environmental protection PPP project, standing in the perspective of social capital. Using risk management related knowledge, combined with practical cases, summed up the successful experience of risk management in the construction of sewage treatment industry based on PPP model, which is helpful to provide reference for similar projects in the future. This paper adopts literature review. Summary, comparative analysis and other research methods, first of all, the sewage environmental protection PPP project risk management knowledge system analysis and research; Secondly, through the effective analysis and summary, the author identifies the main risk factors of the sewage environmental protection PPP project, and carries on the appraisal, takes the effective control measure; Finally, in order to increase the validity and scientific nature of the text, the author combined with practical cases, using the method of case verification, from a positive perspective to the theoretical knowledge of the previous analysis and demonstration. Reasonable analysis of the sewage environmental protection PPP project risk management process. Summed up. This paper mainly focuses on the following five aspects: first, through a literature review summarized the domestic and foreign PPP project and sewage environmental protection PPP project risk identification, risk assessment, risk response and other related research. To understand the current situation of risk management; Secondly, the paper introduces the main mode of PPP and the methods of risk management in detail, and summarizes it in order to provide the theoretical basis for the practical operation of PPP project of sewage protection. Thirdly, it introduces the common modes of PPP project of sewage protection in China, that is, BOT mode and TOT mode. According to the different models, the main risk factors are summarized, there are 13 categories and 50 risk factors. The application process of fuzzy comprehensive evaluation method based on AHP is introduced. Fourth, through a large number of cases summed up a reasonable sewage environmental protection PPP project risk allocation scheme, compared with the general allocation of risk in the PPP project, explain the reasons for the difference. To establish a risk-sharing adjustment mechanism suitable for social capital, and then propose effective control measures according to the risk level; Five is through the actual case, uses the risk identification method to identify 12 kinds of risks in this project, altogether 35 risk factors, uses the fuzzy comprehensive evaluation method based on the analytic hierarchy process to carry on the risk evaluation. Establish the risk hierarchy model, the project is a low-risk project, risk importance from large to small ranking is: political risk, financial risk, legal risk, financing risk, force majeure risk, construction risk. Social risk, production risk, market risk, third party risk, design risk, partner relationship risk, according to the evaluation results, put forward the risk allocation scheme, and control all kinds of risk according to the risk level. In order to verify the importance of risk management in sewage environmental protection PPP project and its process.
【学位授予单位】：北京交通大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F283;X703

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