基础设施建设受限于国家对政府债务的控制，尤其是国家高速公路，以前的
政府“贷款修路，收费还贷”模式已经不可行。只能采用政府和社会资本合作的
PPP 模式这一种可行的方式。本文首先总结了 PPP 模式目前研究成果，梳理了 PPP
模式相关理论，对国内近 40 年的发展历程中的经典的成功和失败案例做了归纳
总结，并结合基础设施建设特点，根据欠发达地区的特点，分别从政府和社会资
本角度总结了主要的 PPP 模式合作原则和建议。之后，对 PPP 模式中各关联方进
行了逐一的梳理，对关联方所关心的问题进行了概括性总结。对目前的 PPP 融资
模式做了进一步梳理和对比，分析了不同融资模式的特点和风险情况，然后对自
1980 年以来的政府政策部门规章进行了简要梳理和概括，对比了国内外政策的
异同，总结了目前国内相关政策的现状和下一步对金融机构的影响和工作方向，
提出了可供进一步探索的思路
最后，结合研究成果，聚焦于具有欠发达地区代表性的某省的省级高速公路
案例，对融资结构和模式的选择进行了分析，测算了政企合作下达到双赢局面的
最优财务结构，对关键的退出机制进行了探讨对比，对极端情况下的协调机制做MBA 学位论文 作者：刘光 PPP 模式在西部欠发达地区项目中的应用研究
Ⅱ
了合同和分险分担的机制安排建议。根据案例的讨论结果，从政府和社会资本角
度分别给出了在欠发达地区实施 PPP 模式的建议
关键词: PPP 模式；最优负债率；退出机制；分险分担；基础设施；MBA 学位论文 作者：刘光 PPP 模式在西部欠发达地区项目中的应用研究
Abstract
Along with the national Supply-side reform, strong economic growth pulled by
investment in the past years gradually transformed into internal impetus driving
economic growth , the economic growth rate gradually stabilized, the domestic
economic structure and growth mode in the event are now having a huge ,deep, stable
and fast change. Under the mode of investment driven economic development, the
government has been the main force of investment, playing a major role in
infrastructure construction and urban development. It has greatly promoted the
improvement of people&39;s living standard and realized the prosperity of the country. In
the future, with the vigorous promotion of Supply-side reform, a better life and a
balanced development will be achieved. But because of China the problems faced by
the vast territory and abundant resources, different people&39;s needs is also different. As
far as the macro level of fiscal revenue and expenditure is concerned, all provinces
and cities all over the country are under the pressure of unbalanced balance of
payments, and the overall debt of the government is reasonable. In particular, some
provinces have a high debt rate, and the problems facing the western provinces are
more prominent. Because of the relatively low level of economic development for a
long time, the fiscal expenditure is more dependent on the central government transfer
payments than the eastern provinces, the idea of officials are lagging behind the
eastern region ,there is a big gap between the western and the eastern areas in the
overall infrastructure construction, there is also a big gap between the western and
eastern region in business environment, and There is not enough attraction for capital
and to investment in the West and there is not enough attraction for those people who
have extraordinary ability to work for the development of the western. and the
formation fell into a non virtuous circle, if those western areas can not catch the
golden opportunity of nineteen new era and The Belt and Road development, they
will miss the opportunity to rise. The opportunities for the new era for Gansu and
other less developed areas lie in infrastructure development and the development of
tourism, trade and other industries promoted by infrastructure construction.
Infrastructure construction is limited by the state&39;s control of government debt,
especially in the national highway area, the PPP model, which can only be used by
ⅢMBA 学位论文 作者：刘光 PPP 模式在西部欠发达地区项目中的应用研究
government and social capital. This thesis summarizes the current research results of
PPP model, nearly 40 years of domestic classic success and failure cases were
summarized, and combined with the characteristics of infrastructure construction,
according to the characteristics of underdeveloped areas, respectively, from the
government and social capital perspective summarizes the PPP mode of cooperation
the main principles and suggestions. After that, the relevant parties in the PPP model
are combed one by one, and a general summary of the concerns of the related parties
is made. Do further combing and comparison of PPP financing mode at present,
analyzes the characteristics of different financing modes and risks, and then made a
brief combing and summary of the government policy since 1980 regulations,
contrasts the domestic and foreign policy, this paper summarizes the current situation
of domestic related policies and the next step of the financial institutions and the
direction of the work, and puts forward the idea of further exploration.
Finally, combined with the research results, focusing on a representative
provincial highway case of underdeveloped areas, we discussed and analyzed the
financing structure and mode selection, calculated the optimal financial structure
under the cooperation between government and enterprises to achieve win-win
situation. the key to exit mechanism was also discussed and also the coordination
mechanism under extreme conditions, then we analyzed on the contract and the
mechanism of risk sharing arrangements. According to the result of the case
discussion, the proposal of implementing PPP model in less developed areas is given
from the perspective of government and social capital.
Key words: PPP model; Optimal debt rate; Exit mechanism; Sub risk sharing;
Infrastructure
ⅣMBA 学位论文 作者：刘光 PPP 模式在西部欠发达地区项目中的应用研究
目 录
摘要I
一、引言.....1
（一）选题的背景及意义....1
（二）研究思路和方法及创新点..3
二、相关理论、研究文献综述及经典案例分析5
（一）相关理论概述..5
（二）研究文献综述.. 8
（三）经典案例综述12
（四）对西部欠发达地区 PPP 模式应用的启示....
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