發(fā)布時(shí)間：2018-04-17 08:45

  本文選題：項(xiàng)目融資 + BOT融資模式　； 參考：《中國(guó)海洋大學(xué)》2012年碩士論文

【摘要】：作為國(guó)民經(jīng)濟(jì)發(fā)展保障和基礎(chǔ)的基礎(chǔ)設(shè)施建設(shè),在經(jīng)濟(jì)發(fā)展中發(fā)揮的作用是至關(guān)重要的。但當(dāng)前我國(guó)基礎(chǔ)設(shè)施建設(shè)尚處在投資不足的困境之中。BOT(Build-Operate-Transfer的英文縮寫)融資模式以其獨(dú)特的優(yōu)越性,正越來越受到重視,并為大型基礎(chǔ)設(shè)施建設(shè)的融資提供了新的選擇,其優(yōu)勢(shì)得到了越來越明顯的體現(xiàn)。但是,由于BOT項(xiàng)目涉及面廣,持續(xù)時(shí)間長(zhǎng),投入資金大,使BOT項(xiàng)目風(fēng)險(xiǎn)管理非常復(fù)雜、艱難。因此,本文以BOT項(xiàng)目為研究對(duì)象,深入地探討了BOT融資模式下工程項(xiàng)目風(fēng)險(xiǎn)管理問題,同時(shí)以青島董家口港BOT項(xiàng)目為對(duì)象進(jìn)行實(shí)證研究,本文最后探討了目前我國(guó)BOT項(xiàng)目風(fēng)險(xiǎn)管理存在的問題,并針對(duì)我國(guó)BOT項(xiàng)目風(fēng)險(xiǎn)管理中存在的問題提出建議。BOT是自二十世紀(jì)八十年代以來發(fā)展起來的一種項(xiàng)目融資模式,它將商業(yè)資金投入到基礎(chǔ)設(shè)施項(xiàng)目中,經(jīng)營(yíng)期限結(jié)束后,將項(xiàng)目的經(jīng)營(yíng)權(quán)和產(chǎn)權(quán)無償移交給政府,即政府通過讓渡一定期限的項(xiàng)目經(jīng)營(yíng)權(quán)、收益權(quán),實(shí)現(xiàn)項(xiàng)目的融資與建設(shè),并最終獲得項(xiàng)目所有權(quán)。與傳統(tǒng)投資方式相比BOT方式的優(yōu)點(diǎn)包括,減少政府的直接財(cái)政負(fù)擔(dān)、避免政府債務(wù)風(fēng)險(xiǎn),引進(jìn)管理經(jīng)驗(yàn)和先進(jìn)的技術(shù),提高項(xiàng)目運(yùn)作效率、快速滿足社會(huì)公眾需求,但存在經(jīng)營(yíng)周期長(zhǎng)、投資規(guī)模大、結(jié)構(gòu)復(fù)雜、風(fēng)險(xiǎn)大、不確定因素多等缺點(diǎn)。作好BOT項(xiàng)目風(fēng)險(xiǎn)管理,減少、規(guī)避、分擔(dān)項(xiàng)目風(fēng)險(xiǎn),是BOT項(xiàng)目成功的關(guān)鍵,如果管理不當(dāng),則會(huì)損害東道國(guó)政府利益,挫傷投資者積極性,從而影響項(xiàng)目的成功進(jìn)展。因此,BOT項(xiàng)目是建立在風(fēng)險(xiǎn)確定和分擔(dān)的之上。當(dāng)前,BOT方式在我國(guó)仍處于探索階段,我國(guó)BOT風(fēng)險(xiǎn)管理主要參照國(guó)際慣例,在實(shí)踐中取得一定經(jīng)驗(yàn),但還存在諸如制度不完善、先期可行性研究不夠準(zhǔn)確、政府承擔(dān)責(zé)任較多等問題,給BOT項(xiàng)目成功的實(shí)施帶來不利影響。借鑒國(guó)外成功經(jīng)驗(yàn),結(jié)合本國(guó)國(guó)情,提高BOT風(fēng)險(xiǎn)管理水平,在維護(hù)政府利益的同時(shí)保護(hù)投資者積極性,成為目前我國(guó)推廣BOT投資模式的關(guān)鍵問題。正是基于此,筆者通過對(duì)BOT風(fēng)險(xiǎn)管理的研究,結(jié)合典型案例,探討如何提高我國(guó)BOT項(xiàng)目的風(fēng)險(xiǎn)管理水平,發(fā)揮BOT在我國(guó)基礎(chǔ)設(shè)施建設(shè)中的作用,促進(jìn)經(jīng)濟(jì)的長(zhǎng)期可持續(xù)發(fā)展。本文首先致力于構(gòu)建一套工程項(xiàng)目風(fēng)險(xiǎn)管理的流程。在此基礎(chǔ)上結(jié)合BOT項(xiàng)目融資特點(diǎn),提出BOT模式下工程建設(shè)項(xiàng)目的風(fēng)險(xiǎn)管理方法,并指出BOT項(xiàng)目應(yīng)從系統(tǒng)風(fēng)險(xiǎn)和非系統(tǒng)風(fēng)險(xiǎn)兩方面進(jìn)行風(fēng)險(xiǎn)辨識(shí)。接著,本文對(duì)青島董家口港BOT建設(shè)項(xiàng)目進(jìn)行風(fēng)險(xiǎn)管理研究,運(yùn)用層次風(fēng)險(xiǎn)分析的方法進(jìn)行分析,得出的結(jié)果表明在該項(xiàng)目中經(jīng)營(yíng)管理風(fēng)險(xiǎn)、完工風(fēng)險(xiǎn)、外匯風(fēng)險(xiǎn)和技術(shù)風(fēng)險(xiǎn)比較重要。在此基礎(chǔ)上,通過簽訂“交鑰匙”合同、貨幣掉期、監(jiān)督和技術(shù)服務(wù)合同等方法管理這些風(fēng)險(xiǎn)。
[Abstract]:As a guarantee and foundation of national economic development, infrastructure construction plays an important role in economic development.However, at present, the construction of infrastructure in our country is still in the dilemma of insufficient investment. The financing mode of "BOTN" Build-Operate-Transfer is being paid more and more attention for its unique advantages, and it provides a new choice for financing large-scale infrastructure construction.Its advantage got more and more obvious embodiment.However, the risk management of BOT project is very complicated and difficult because of its wide scope, long duration and large investment.Therefore, this paper takes the BOT project as the research object, deeply discusses the project risk management under the BOT financing mode, and carries on the empirical research with the Qingdao Dong Jiakou Port BOT project as the object at the same time.Finally, this paper discusses the existing problems of BOT project risk management in our country, and puts forward some suggestions. Bot is a kind of project financing mode developed since 1980s.After the end of the operation period, the management right and property right of the project are transferred to the government free of charge, that is, the government realizes the financing and construction of the project by transferring the project management right and the profit right to a certain period of time.And finally get the ownership of the project.Compared with the traditional investment mode, the advantages of BOT include reducing the direct financial burden of the government, avoiding the risk of government debt, introducing management experience and advanced technology, improving the efficiency of project operation, and meeting the needs of the public quickly.However, there are many disadvantages such as long operating cycle, large investment scale, complex structure, high risk and many uncertain factors.The key to the success of BOT project is to reduce, avoid and share the project risk. If it is not properly managed, it will harm the interests of the host government, dampen the enthusiasm of investors and affect the successful progress of the project.Therefore, bot project is based on risk determination and sharing.At present, the way of bot is still in the exploratory stage in our country. The risk management of BOT in our country mainly refers to the international practice and obtains some experience in practice. However, there are still some problems such as imperfect system and inaccurate feasibility study in advance.The government is responsible for many problems, which will have a negative impact on the successful implementation of the BOT project.Using the successful experience of foreign countries for reference, combining with the national conditions, improving the level of BOT risk management, protecting the enthusiasm of investors while maintaining the government's interests, has become the key problem in promoting the BOT investment mode in our country at present.Based on this, the author discusses how to improve the risk management level of BOT project in our country, give play to the role of BOT in the infrastructure construction of our country, and promote the long-term sustainable development of economy by studying the risk management of BOT and combining with typical cases.Firstly, this paper is devoted to the construction of a set of engineering project risk management process.On this basis, combining the characteristics of BOT project financing, the paper puts forward the risk management method of engineering construction project under BOT mode, and points out that BOT project should identify the risk from two aspects of system risk and non-system risk.Then, this paper carries on the risk management research to the Qingdao Dongjiakou Port BOT construction project, uses the hierarchical risk analysis method to carry on the analysis, obtains the result to indicate that in this project manages the risk, completes the risk,Foreign exchange risk and technical risk are more important.On this basis, these risks are managed by signing turnkey contracts, currency swaps, supervision and technical services contracts.
【學(xué)位授予單位】：中國(guó)海洋大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：F283;F552.7

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