本文關(guān)鍵詞： PROT項目融資模式 霍爾三維結(jié)構(gòu) 風(fēng)險管理 AHP層次分析法 越南中小水電站　出處：《昆明理工大學(xué)》2014年博士論文　論文類型：學(xué)位論文

【摘要】：水電站工程在世界上已經(jīng)有一百多年使用的歷史,在中國和越南已經(jīng)有一百多年利用水源能源來發(fā)電。近幾十年來中國的水電領(lǐng)域已經(jīng)有繁容的發(fā)展,成熟高端與復(fù)雜的技術(shù),制造高端的設(shè)備,掌握了水電工程的修建工藝,已經(jīng)興建了大型、巨大的水電站。中小水電站也隨著進(jìn)展流程而發(fā)展。但是,在一段高速發(fā)展時期背后,中小水電站也暴露了許多問題,包括經(jīng)濟(jì)—社會—生態(tài)、安全、技術(shù)、科學(xué)等方面的問題。在這種情況下,為了解決中小水電站上述問題,昆明理工大學(xué)王松江教授在BOT、TOT、BP、PPP等項目融資模式的研究基礎(chǔ)上已提出一種全新的項目融資模式為PROT模式(Purchase—購買；Rehabilitate-重建；Operate-經(jīng)營；Transfer—轉(zhuǎn)讓)。本文旨在對PROT項目融資模式的所有方面進(jìn)行深入研究,包括功能、參與者結(jié)構(gòu)、合同結(jié)構(gòu)、融資結(jié)構(gòu)、信用結(jié)構(gòu)等方面。此外,本文也在中小水電站PROT項目融資模式風(fēng)險管理中運(yùn)用霍爾三維結(jié)構(gòu)進(jìn)行研究,從霍爾三維的三個維度,即知識維、邏輯維和時間維對一個典型的PROT項目融資模式進(jìn)行風(fēng)險識別,然后通過AHP法、專家打分法對已識別的風(fēng)險因素進(jìn)行風(fēng)險評估,提出風(fēng)險應(yīng)對與監(jiān)控措施。 本文一共有六章內(nèi)容,主要內(nèi)容如下。第一章緒論中首先闡述研究背景、研究目的和意義、研究思路與方法,研究創(chuàng)新點(diǎn)。第二章文獻(xiàn)研究與評述主要綜述跟本論文有關(guān)的資料,項目融資、項目融資風(fēng)險管理、霍爾三維結(jié)構(gòu)的基礎(chǔ)理論與知識。第三章內(nèi)容也是本論文主要的內(nèi)容之一,建立中小水電站PROT項目融資模式霍爾三維結(jié)構(gòu),并詳細(xì)研究此結(jié)構(gòu)的三維各維度,如：功能、總體框架、參與者結(jié)構(gòu)、合同結(jié)構(gòu)、項目運(yùn)行程序、資金結(jié)構(gòu)、融資結(jié)構(gòu)與信用結(jié)構(gòu)。第四章的主要內(nèi)容是應(yīng)用在第三章建立的霍爾三維結(jié)構(gòu),對中小水電站PROT項目融資模式進(jìn)行風(fēng)險識別研究,此外,根據(jù)AHP法對已經(jīng)識別的風(fēng)險因素進(jìn)行風(fēng)險評估,風(fēng)險應(yīng)對與監(jiān)控措施。第五章主要應(yīng)用第四章內(nèi)容,對越南一個典型的小水電站進(jìn)行實(shí)證分析,得出越南現(xiàn)在應(yīng)用PROT項目融資模式在中小水電站主要發(fā)生的風(fēng)險,如：法律風(fēng)險、投資決策風(fēng)險、自然風(fēng)險、合同不完善風(fēng)險、進(jìn)度風(fēng)險與環(huán)保風(fēng)險。從而也在越南具體情況下提出風(fēng)險應(yīng)對與監(jiān)控措施。第六章是本文的總體結(jié)論、評價與展望分析。
[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.
【學(xué)位授予單位】：昆明理工大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2014
【分類號】：F426.61;F426.91

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