有限责任公司适用内部承包合同法律问题研究

发布时间：2018-01-18 05:00

本文关键词：有限责任公司适用内部承包合同法律问题研究　出处：《西南财经大学》2013年硕士论文　论文类型：学位论文

【摘要】：承包制度在我国具有浓厚的时代气息。肇始于1978年在农村开展的土地承包经营制度,一度解放了农村的生产力,推动了农村的经济发展。后来,承包制度被广泛地运用到国有企业、乡镇企业、中外合资企业等,成为计划经济条件下全民所有制企业向市场经济条件下现代公司转变的重要过渡方式。但随着西方现代企业制度在我国的确立,承包制度因其治理专权的思想与公司制度分权治理的理念相悖而逐渐淡出历史的舞台。但作为对现代公司制度的变通,商人们在有限责任公司内部还大量地使用承包合同。实践中有限责任公司中因承包而产生纠纷诉至法院也屡见不鲜。内部承包合同之所以在有限责任公司中继续存在,有其独特的价值。公司天生的使命就是在风险最小化的前提下谋求利润最大化,但由于我国公司法仅规定了有限责任公司和股份有限公司两种形式,无法适应瞬启、万变的商业社会,因此,商人们才会想尽办法在公司法的框架内,在现有商事组织运行过程中谋求变化。内部承包合同体现了《公司法》公司自治的理念,公司可以根据自身状况自主决定其经营模式,并自愿承担因此可能造成的后果。内部承包合同是公司根据需要作出的自我调整,解决了因为公司所有权与经营权相分离而引起的代理成本问题,缓解了股东干预倾向和经营者独立倾向引发的矛盾问题,弥补了有限责任公司存在的缺陷,这正是有限责任公司广泛采用内部承包合同的根本原因。近年来,对公司内部承包制度研究虽多,但大都浮光掠影,并没有系统、深入地进行论证,仍然存在诸多问题,学者对于该制度在实践中的运行更是少有涉及。内部承包制度是如何在有限责任公司中运行的,两者在运行过程中又会存在哪些矛盾和冲突,这些冲突和矛盾能否得到合理的解释和解决。这是本文着重讨论的问题。基于此,本文分为导论、正文、文章总结,其中正文由四部分组成：第一部分介绍了承包制度在我国的历史发展,并着重介绍了承包合同制度在企业间的兴衰,以及在现代公司组织形式中内部承包合同对有限责任公司所具有的积极意义,为下面的论证的展开做了铺垫; 第二部分是关于有限责任公司中内部承包合同的有效性的论证。笔者首先对内部承包合同进行区分,并提出本文研究的重点是内部经营性承包合同。之后从理论和实践两方面论证了内部承包合同的有效性。在理论上,着重分析了理论界现有研究关于内部承包合同的争议,并通过对公司法的性质及公司法中有关有限责任公司治理结构规定的性质进行分析,论证内部承包合同的有效性。在实践上,笔者对司法实践有关内部承包纠纷判决的分析,证实在司法实务中,法院已经对有限责任公司适用的内部承包合同的效力给与了肯定的态度。最后从《公司法》的角度进一步分析了内部承包合同签订的所应具备的正当程序,这种正当程序主要是考虑到内部承包合同发生在有限责任公司内部,应当符合《公司法》对有限责任公司作出的规定；第三部分主要分析了内部承包合同在适用过程中对有限责任公司内部治理结构产生的影响,笔者从《公司法》规定的三会具体职权出发,分析内部承包制度对公司代理制度的改变,对公司股东会、董事会、监事会职能的影响。与学界现有观点不同的是,笔者认为公司的内部治理结构产生的影响要分不同的情况看待：在规模较小、股东人数较少的有限责任公司中,一般选择的模式是将全部经营权发包,即承包方全权负责公司经营,此时,承包人在公司经营问题上,完全替代了股东会、董事会的相关权力；但在规模较大、股东人数多的公司内,一般仅将部分经营权发包给承包人,承包人不会取得该公司经营权的全部,也并不能动摇股东会的决策权,董事会的职能也并没有受到太多影响。但不管在哪种情况下,监事会(监事)的专属监督权力在无意间由公司内部承包合同予以取代而变得虚无。但这种变化是针对内部承包合同所作出的适当调整,是应当被认可的。内部承包合同改变了《公司法》对有限责任公司的治理构架,但这种变化并非破坏性的,而是针对内部承包合同作出的适当调整。第四部着重分析了有限责任公司在适用内部承包制度后,对外债务的承担方式发生的变化。在该章中主要分两个部分进行论述：一般内部人员作为承包人与股东作为承包人。在分析前一种情况时,笔者从民法的角度进一步分析责任承担方式变化的法理依据,有限责任公司承担责任的前提是承包方对外签订合同的行为对有限责任公司而言构成代表行为,或者构成无权代理的表见代理。因此,在实践中,应当根据具体的情况选择是应当由公司还是由承包方作为第一顺序人承担对外责任。如果公司是作为第一顺序人承担责任,则可以根据内部承包合同的约定向承包方追偿。在分析股东作为承包方时,主要围绕股东的是否应当承担有限责任进行,股东作为承包人时具有特殊性,其因承包而需承担的对外责任与作为股东承担有限责任出现冲突时,应首先考虑让承包股东承担合同责任而非股东有限责任。第五部分从明确内部承包合同订立的条件、对承包方经营过程的监督及对股东权益的保障三方面提出完善内部承包合同的建议,从而使这一制度能够与有限责任公司进一步融合,适应市场经济的发展。本文的主要在以下三个方面尝试创新： 1、立足《公司法》相关规定,从规范法学的角度分析有限责任公司内部承包合同签订的需要的主体资格要件、在公司法框架下的程序要求及该制度对公司内部治理结构的影响; 2、在本文撰写过程中收集整理了大量的法院判决,并将其作为支撑材料,并通过对案例材料的分析,发现该问题在实践中的运行状况,为本文的研究提供了依据； 3、从民法理论出发分析适用内部承包合同后公司对外责任的承担方式的改变,提出并非完全按照传统模式下由有限责任公司作为第一责任人对外承担责任。本文不足之处：第一,内部承包合同与有限责任公司分属不同的法律性质,两者之间存在一定的冲突,虽然笔者意在将内部承包合同融入有限责任公司中,却不敢奢望能够毕其功于一役,如何在现有法律框架下妥善地解决两者之间可能的矛盾,仍然需要继续深入地思考；第二,在本文撰写过程中,虽然对司法实践中案例进行了分析,但并没有有效地运用案例进行更加有说服力的论证,使得这一创新之处留下了遗憾。
[Abstract]:The system has a strong flavor of the times in our country. The land contracting system in rural development began in 1978, once the liberation of the rural productive forces, promote the economic development of rural areas. Later, the system has been widely applied to the state-owned enterprises, township enterprises, Sino foreign joint venture enterprise, has become an important way of planned economy in transition under public ownership enterprises to the modern company under the condition of market economy. But with the establishment of the western modern enterprise system in our country, because of its authoritarian governance contract system contrary thought and the concept of governance and decentralization of company system gradually fade out the stage of history. But as to the modern company system flexible, business people in limited liability the company also use a lot of contract. In the practice of the limited liability company for contract disputes to court also It is often seen..
The internal contract is to continue to exist in the limited liability company, has its unique value. The natural mission is to seek profit maximization in the premise of risk minimization, but because of China's company law only provides limited liability company and the Limited by Share Ltd in two forms, unable to adapt to the change of the instantaneous and commercial society, therefore business people will find ways, in the framework of the company law, to seek changes in the operation process of the existing commercial organization. Internal contract embodies the "Company Law > Company Autonomy, the company can decide its business model independently according to their own condition, and therefore may voluntarily assume the consequences. The internal contract is according to the needs of company of self adjustment, solved because of the separation of ownership and management, the agency cost problems caused, alleviate the shareholders and operators only intervene The contradiction caused by the standing tendency makes up the defects of the limited liability company, which is the fundamental reason why the limited liability company widely adopts the internal contract.
In recent years, although the research on corporate internal contracting system, but most of them are not system, skimming over the surface, in-depth demonstration, there are still many problems, few scholars involved in the operation of the system in practice. It is the internal contract system is how to run in the limited liability company, what are they the contradictions and conflicts in the process of operation, these conflicts and contradictions can be explained and solved. This is the issue that is discussed in this paper. Based on this, this paper is divided into the introduction, text, summary, the text consists of four components:
The first part is the introduction of the contract system in the history of the development of our country, and emphatically introduces the rise and fall of the contract system in the enterprise, and the positive significance of internal contract organization in the modern company in the form of a limited liability company, lays the groundwork for the following argument;
The second part is about the internal validity of contract of limited liability company in the argument. The author first to distinguish internal contract, and puts forward the focus of this paper is the internal management of the contract. Then from two aspects of theory and practice demonstrates the effectiveness of the internal contract. In theory, focuses on the analysis of the theory the existing research about the internal contract dispute, and the provisions of relevant properties of governance structure of limited liability company and the nature of company law on company law in the analysis of the validation internal contract. In practice, the author analysis of judicial practice on internal contract dispute judgment, confirmed in the judicial practice, the court has effect of application of the limited liability company internal contract to give a positive attitude. Finally, the internal contract further analysis from the perspective of "company law" The due process of signing the contract is mainly due to the fact that the internal contract takes place within the limited liability company, and it should comply with the provisions of the company law to the limited liability company.
The third part mainly analyzes the influence of the internal contract of the internal governance structure of limited liability company in the process of the application, the author from the provisions of the company law > < three specific functions of the change of the internal contract system of system of company, the shareholders' meeting, board of directors, the board of supervisors. The influence of different the existing academic view, the author believes that the impact of the company's internal governance structure should be divided into different situations: in view of small, small number of shareholders of the limited liability company, general selection mode is all the management right of contract, the contractor is responsible for the company, at this time, the contractor in the company management, completely replace the shareholders' meeting, the board of directors of the relevant authority; but in a larger scale, the number of shareholders in the company, only part of the franchise contract to the contractor, the contractor will not take The business of the company all right, and can not shake shareholder decision-making power, the functions of the board of directors has not been much affected. But in any case, the board of supervisors (supervisors) exclusive supervision power inadvertently by the company contract to replace and become nothing but this. Change is the appropriate adjustments made for the internal contract, should be recognized. The internal contracts changed "framework of governance of limited liability company in company law >, but this change is not destructive, but to adjust the internal contracts made.
The fourth part focuses on the analysis of the limited liability company in the application of the internal contract system, change the way to bear external debt. This chapter is divided into two parts: the general staff as the contractor and shareholders as contractor. In the former case analysis, the author further analyzes the responsibility from the perspective of civil law bear the legal basis of the premise, the limited liability company bear the responsibility of the contractor signed a contract constitutes a representative behavior of limited liability company, or unauthorized agency agency by estoppel. Therefore, in practice, we should choose according to specific is shall be made by the company or by the Contractor as the first order of people take responsibility. If the company is liable as a first order, you can recover to the contractor according to the internal contract contract. In the analysis of shareholders As a contractor, mainly around the shareholders should bear the limited liability of shareholders as the particularity of the contractor, the contractor should bear responsibility for the foreign and the limited liability of the shareholders conflict, should first consider the shareholders to bear contractual liability and the limited liability of shareholders.
The fifth part made clear from the internal conditions of the contract, put forward to perfect the internal contract proposal to the contractor supervision process operation and protection of shareholders' rights in three aspects, so as to make the system able to further integration with the limited liability company, to adapt to the development of the market economy.
This paper tries to innovate in the following three aspects:
1, based on the relevant provisions of the company law, from the perspective of normative jurisprudence, we analyze the main qualification requirements of the limited liability company's internal contract, the procedural requirements under the company law framework and the impact of the system on the company's internal governance structure.
2, during the process of writing, a large number of court decisions were collected, and used as supporting materials, and through the analysis of case materials, we found the operation status of the problem in practice, which provided a basis for our research.
3, starting from the theory of civil law, the paper analyzes the changes of the way of corporate external responsibility undertaken after the application of internal contract, and proposes that the limited liability company should not be held accountable as the first responsible person in the traditional mode.
The shortcomings of this paper are as follows:
First, the legal nature of the internal contract and limited liability companies belong to different, there is a conflict between the two, although the author intends to internal contract into limited liability company, but do not expect to accomplish the whole task at one stroke, how to properly resolve the possible contradiction between the two under the existing legal framework still needs further thinking; second, in the process of writing, although the cases in judicial practice are analyzed, but there is no effective use cases are more persuasive arguments, the innovation of the left a regret.

【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.291.91

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