【正文】 ................................................................................................ 11 （一） PPP 模式項(xiàng)目流程 ................................................................................................ 11 （二） PPP 模式的理論基礎(chǔ) ............................................................................................. 11 1. 各項(xiàng)理論的邏輯關(guān)系 .................................................................................................. 11 2. 市場(chǎng)失靈理論 ............................................................................................................. 12 3. 政府失靈理論 ............................................................................................................. 12 4. 民營(yíng)化理論 ................................................................................................................. 12 5. 委托 —— 代理理論 ...................................................................................................... 13 四、池州項(xiàng)目風(fēng)險(xiǎn)識(shí)別及評(píng)價(jià) .............................................................................................. 14 （一）資料及數(shù)據(jù)來源 ..................................................................................................... 14 （二）風(fēng)險(xiǎn)識(shí)別的方法 ..................................................................................................... 14 （三）風(fēng)險(xiǎn)的分類 ............................................................................................................ 15 （四）池州項(xiàng)目的風(fēng)險(xiǎn)識(shí)別 .............................................................................................. 15 1. 前期工作環(huán)節(jié)風(fēng)險(xiǎn)識(shí)別 ............................................................................................... 16 2. 采購環(huán)節(jié)風(fēng)險(xiǎn)識(shí)別 ...................................................................................................... 17 3. 項(xiàng)目執(zhí)行環(huán)節(jié)風(fēng)險(xiǎn)識(shí)別 ............................................................................................... 17 4. 項(xiàng)目結(jié)束環(huán)節(jié)風(fēng)險(xiǎn)識(shí)別 ............................................................................................... 18 共 39 頁 第 4 頁 （五）池州項(xiàng)目的風(fēng)險(xiǎn)評(píng)價(jià) .............................................................................................. 19 1. 問卷設(shè)計(jì)與發(fā)放 ......................................................................................................... 19 2. 問卷分析 .................................................................................................................... 19 五、池州項(xiàng)目的風(fēng)險(xiǎn)分擔(dān)及管理 .......................................................................................... 22 （一）風(fēng)險(xiǎn)分擔(dān)的原則 ..................................................................................................... 22 1. 風(fēng)險(xiǎn)成本最低原則 ...................................................................................................... 22 2. 有效控制原則 ............................................................................................................ 22 3. 市場(chǎng)慣例原則 ............................................................................................................. 22 4. 談判原則 .................................................................................................................... 22 5. 行政歸責(zé)原則 ............................................................................................................. 23 （二）項(xiàng)目風(fēng)險(xiǎn)控制的基本方法 ....................................................................................... 23 （三）池州項(xiàng)目的風(fēng)險(xiǎn)分擔(dān)與管理 ................................................................................... 25 1. 前期工作環(huán)節(jié)風(fēng)險(xiǎn)分擔(dān)及管理 .................................................................................... 25 2. 采購環(huán)節(jié)風(fēng)險(xiǎn)分擔(dān)及管理 ........................................................................................... 27 3. 項(xiàng)目執(zhí)行環(huán)節(jié)風(fēng)險(xiǎn)分擔(dān)及管理 .................................................................................... 27 4. 項(xiàng)目執(zhí)行環(huán)節(jié)風(fēng)險(xiǎn)分擔(dān)及管理 .................................................................................... 29 六、池州項(xiàng)目風(fēng)險(xiǎn)管理優(yōu)化 ................................................................................................. 31 （一）腐敗風(fēng)險(xiǎn)管理的優(yōu)化 .............................................................................................. 31 （二）操作風(fēng)險(xiǎn)管理的優(yōu)化 .............................................................................................. 31 （三）政府信用風(fēng)險(xiǎn)管理的優(yōu)化 ....................................................................................... 32 （四）社會(huì)資本違約風(fēng)險(xiǎn)管理的優(yōu)化 ................................................................................ 32 七、結(jié)論 ............................................................................................................................. 33 參考文獻(xiàn) ............................................................................................................................. 34 附 錄 .................................................................................................................................... 36 謝 辭 .................................................................................................................................... 38 共 39 頁 第 5 頁 一、緒論 （一）相關(guān)概念及本質(zhì) 1. PPP模式的概念 PPP是 PublicPrivatePartnership 的縮寫，其中 “Public” 指政府方、 “Private” 指社會(huì)投資人，通常譯為 “ 公私合伙 /合營(yíng) ” 。在對(duì) PPP有詳細(xì)的了解之后，在通過收集歸納資料對(duì) PPP模式的風(fēng)險(xiǎn)以及風(fēng)險(xiǎn)的控制作介紹， 并在文中結(jié)合池州市市政污水設(shè)施 PPP項(xiàng)目實(shí)際地分析了三十二條風(fēng)險(xiǎn)的識(shí)別、評(píng)價(jià)、分擔(dān)和管理情 況。 PPP模式的推廣恰恰滿足了政府最迫切需要解決的這兩個(gè)問題的需要。在我國(guó)，隨著改革開放的不斷深入， PPP模式得到了越來越大的重視，成為政府解決日益嚴(yán)重的債務(wù)危機(jī)以及發(fā)展經(jīng)濟(jì)、加快我國(guó)城市化發(fā)展的好辦法。 本文開始階段通過運(yùn)用各種理論對(duì) PPP進(jìn)行理論上的論述，例如市場(chǎng)失靈理論以及政府失靈理論和委托代理理論等。 關(guān)鍵詞： PPP模式；風(fēng)險(xiǎn)識(shí)別；風(fēng)險(xiǎn)分擔(dān)；風(fēng)險(xiǎn)管理 共 31 頁 第 2 頁 Abstract The application of PPP has bee a trend in the world, and many countries have established the central anization to manage and coordinate these projects. In China, since 2021, along with the gradual deepening of the reform, PPP mode are paid more and more attention : on the one hand the government want to solve the increasingly serious problem of local debt, on the other hand, the government expect to continue developing the economy, promoting the process