PPP项目政府信用风险控制法律问题研究

发布时间：2018-03-10 06:14

本文选题：PPP　切入点：政府信用风险　出处：《首都经济贸易大学》2017年硕士论文　论文类型：学位论文

【摘要】：党的十八届三中全会以来,全国范围内的政府与社会资本合作项目(Public-Private Partnerships)累计投资额在上升,但项目落地率较低已成为公认顽疾,让PPP这一制度创新未发挥应有的经济、社会效益。实际上,正是地方政府的信用风险导致了项目落地率较低。本文首先分析了PPP合作协议的法律性质,从正反两个方面论证了其为一种特殊的民事合同而非行政合同,得出政府信用风险的法律本质是一种民事违约,并列举了八种具体的表现形式:违反政府付费义务、违反配套投入义务、政府出资瑕疵、拒绝风险担保、项目唯一性风险、政策变更风险、协调不力风险、政府换届。其次,分析和总结了PPP最为成熟的三个国家英国、澳大利亚、加拿大在公私合作方面的成功经验。再次,在确立政府信用风险控制的总目标基础上,提出了用契约化的手段、行政化的手段、诉讼及仲裁三种具体手段控制政府信用风险。其中,契约化的手段包括标准化合同、风险担保、政府支付保障基金、结构化出资、合同抗辩权、CDS信用违约互换;行政化的手段包括物有所值评价和财政承受能力评价、上级财政代扣、行政问责机制。另外,还应注重长期的制度化建设,包括以共治理念推进PPP立法、建立社会公众监督机制、建立全国PPP信用信息平台、完善PPP项目民事赔偿和国家赔偿。最后,本文认为,只有将三种具体手段与长期的制度化建设相结合,才能“标本兼治”,最终解决政府信用风险问题。
[Abstract]:Since the third Plenary session of the 18 CPC Central Committee, the cumulative investment in Public-Private partnerships, a government-social capital cooperation project nationwide, has been on the rise, but the low landing rate of the project has become a recognized persistent disease, leaving the PPP system innovation without giving play to its due economy. Social benefit. In fact, it is the credit risk of the local government that leads to the low landing rate of the project. Firstly, this paper analyzes the legal nature of the PPP cooperation agreement, and proves that it is a special civil contract rather than an administrative contract from the positive and negative aspects. It concludes that the legal essence of government credit risk is a civil breach of contract, and enumerates eight concrete forms: violating the obligation of government payment, violating the obligation of supporting input, the defect of government contribution, rejecting the guarantee of risk, and the risk of uniqueness of the project. The risk of policy change, the risk of poor coordination, the change of government. Secondly, this paper analyzes and summarizes the successful experiences of the UK, Australia and Canada in the public and private cooperation among the three most mature countries of PPP. On the basis of establishing the general goal of government credit risk control, this paper puts forward three specific means to control government credit risk, including contractual means, administrative means, litigation and arbitration. Risk guarantee, government payment guarantee fund, structured capital contribution, contract defense right CDS credit default swap; administrative means include value for money evaluation and financial bearing ability evaluation, superior financial withholding, administrative accountability mechanism. We should also pay attention to the long-term institutionalization construction, including promoting the PPP legislation with the concept of co-governance, establishing the social public supervision mechanism, establishing the national PPP credit information platform, perfecting the civil compensation and the state compensation of the PPP project. Only by combining the three kinds of concrete means with the long-term institutionalization construction, can we deal with both the symptoms and the root causes, and finally solve the problem of government credit risk.
【学位授予单位】：首都经济贸易大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.2

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