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I
摘要
近年来，地方政府与社会资本合作，运用 PPP 模式参与海绵城市建设已经成
为全国各地围绕国家提出的“稳增长、促改革、调结构、惠民生”政策核心，加
快推进新型城镇化建设的热点。PPP 模式以其将部分政府责任以特许经营权方式
转移给社会资本方、政府与社会资本方建立“利益共享、风险共担、全程合作”
共同体关系、减轻政府财政负担、减小社会投资方投资风险等特点，对促进经济
和社会发展起到重要作用，在世界各发达国家和发展中国家涉及公共事业、自然
资源建设和运营项目的领域广泛运用。海绵城市是指通过城市规划、建设管控，
综合采用“渗、滞、蓄、净、用、排”等工程技术，控制城市雨水径流，实现低
影响城市开发建设（Low Impact Development）的一种新兴城市建设和雨洪管理
理念模式。在海绵城市建设和运营全生命过程中，项目表现出来的实施内容多样、
融资需求大、建设周期长的特点，恰好可以通过引入具有创新性的 PPP 模式，适
度地将政府政策指引和市场经济调节相结合，提高项目管理效率减轻财政负担，
也在实现社会福利的同时保证社会投资方的合理利润。然而，由于海绵城市项目
建设、实施及管理的复杂性，加之其发展在中国正处于方兴未艾的阶段，如何在
有效防范风险、确保项目质量和效益的条件下，有效推行 PPP 模式，尚属一个较
新的课题
本文从 PPP 起源、内涵、模式及风险研究入手，借鉴国外多个国家的 PPP
项目案例进行风险管理分析，进而探讨我国海绵城市 PPP 项目在推进过程中面临
的主要风险管理问题和实施障碍,同时，以正在实施的 S 海绵城市 PPP 项目的规
划建设管理存在的风险进行进一步具体分析，并提出相应的海绵城市 PPP 项目风
险管理和防范措施，从而总结并提出我国运用海绵城市 PPP 模式在风险管理方面
需进一步健全和完善政府顶层设计相关政策法规、明确项目的整体策划与打包责
权归属、建立项目融资与收益模式标准、履行绩效评估和考核的约定等关键要素
的建议，期望对中国未来海绵城市 PPP 模式的运用和项目风险有效管控有所启发
和裨益
关键词：海绵城市，PPP 模式，风险管理，科学评价，防范措施Abstract
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II
Abstract
In recent years, more and more Chinese local governments and social capital
cooperate with PPP model to participate in the sponge cities construction. And it has
become the focus for cities all over the country which are trying to make accelerate
the construction of new urbanization according to the steady growth, promote reform,
structural adjustment, favorable to people policy core. With its’ characteristics of
“sharing risks and benefit, whole process cooperation”, PPP model could transfer
some parts of responsibilities from the government sides to the social capital sides by
the way of franchise. While reducing the government&39;s financial burden and
investment risks of the social investors, PPP model also play an important role to
promote economic and social development in the world, especially in the fields of
public utilities, natural resources construction and operation. Sponge cities means to
make cities construction and operation plans through the ways of “infiltration,
retention, storage, purify, application, runoff” and other engineering technology to
control urban rainwater management. As the sponge cities’ construction and operation
always requires complex projects, huge investment, long term process, PPP model
may become the most suitable match. However, due to the complexity of sponge
cities’ construction and management, how to prevent the risks effectively, in order to
ensure the quality and efficiency of the project under the conditions of the effective
implementation of PPP model is still a new issue.
This paper starts with the study of PPP model and its risk, draws lessons from the
case of some foreign countries, discusses the main problems and obstacles in the
process of propulsion of sponge cities PPP projects. While, the author also finds an
example of S Sponge city PPP project, analyzes the risks existing in it, and tries to put
forward some precautions, then also tries to put forward some points and suggestions，
such as to further improve and perfect the top design relevant government policies
and regulations, clear the overall project planning and packaging in liabilityAbstract
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III
attribution, establishing the project financing and revenue model standards, abide by
the agreement of the performance evaluation and assessment for Chinese sponge city
PPP model’s risk management, hope which could be helpful and useful for the future
Chinese sponge cities’ PPP projects implementation and risks control.
Key words: Sponge city; PPP model; risk management; uncertainty; precautionary
measures目录
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IV
目录
摘要I
ABSTRACT .......II
第一章绪论..........1
第一节 研究背景和意义1
一、研究背景..1
二、研究意义..2
第二节国内外 PPP 风险研究综述.........4
一、国外 PPP 风险研究综述 .4
二、国内 PPP 风险研究综述5
三、国内外 PPP 风险研究综述总结7
第三节研究内容和方法..7
一、研究内容..7
二、研究方法..8
三、技术路线..8
第四节可能的创新和不足..........9
第二章 PPP 风险管理概述......11
第一节 PPP 的起源、发展及特征.......11
一、PPP 模式起源....11
二、PPP 的定义........11
三、PPP 的发展状况13
第二节 PPP 的风险和内涵.......17
一、PPP 的风险及特征........17
二、PPP 风险分析的内涵....18
第三节 PPP 风险识别及分类...19
一、PPP 风险分类...........
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