论我国PPP模式法律制度构建

发布时间：2018-05-07 17:12

本文选题：PPP模式 + 政府和社会资本合作　；参考：《山东大学》2017年硕士论文

【摘要】：从1978年改革开放至今,将近40年的时间,伴随经济的发展,人民物质和精神生活水平不断提高,对基础设施建设水平提出了更高的要求。一方面,由于基础设施的建设需要投入大量资金,地方政府日渐无法承担基础设施建设的巨大投入,另一方面,许多社会闲散资金无法得到充分利用,造成了资源的浪费。PPP模式的开展可以解决以上两方面的问题。从20世纪末我国引入外资开始,到2013年11月,中共中央召开十八届三中全会,决定采取特许经营等方式,让社会资本参与城市基础设施建设中,我国PPP模式可谓从萌芽状态进入迅速发展阶段,也意味着中央层面正式肯定了 PPP模式的存在价值。可以看到,PPP模式对于解决地方政府基础设施及公共设施建设的财政困境与技术难题具有重要作用,例如北京地铁四号线项目的顺利运行。作为一种新型合作模式,PPP模式将政府部门的统筹规划,计划组织优势与私人部门的闲置资金、管理技术的优势相结合,使得合作双方可以取得比分别行动更为有利的成绩。但是,由于我国PPP模式起步较晚,理论研究不完善,法律制度不健全,因此在PPP模式的实践中存在许多问题。PPP立法层次混乱、法律位阶不一,项目资金来源单调,政府角色转变不易,项目评估难以确定,风险分担机制不健全,协议性质定性模糊等,不仅使政府部门为此项目的失败承担不利的后果,私人部门也负担许多不确定的风险,公众利益亦受到损害。通过借鉴域外经验,结合我国国情,可以发现在PPP模式中完善法律规定是保证政府和社会资本合作顺利开展的前提,健全的法律制度可以为政府和私人部门合作提供相应的法律依据,理清权利和义务,合理分担项目风险,解决合同纠纷,维护各方利益,保证PPP模式的正常运行。本文主要分为四个部分。第一部分主要论述了 PPP模式的理论基础,阐述了PPP模式的起源和概念,功能与特征,理论依据,法律关系解析,分类等,了解现代意义上的PPP模式起源于英国,我国推广PPP项目源于改革开放后引进外资现象;PPP模式的产生理论可以归纳为四种,即项目区分、公共物品、政府失灵和委托代理理论;根据国际经验和我国国情,.可以将我国政府和社会资本合作模式划分为特许经营、股权合作、购买服务三类;这些理论分析为下文进一步了解PPP模式提供了理论支持。第二部分梳理了我国PPP模式的运行历史和立法现状,了解了我国PPP模式发展的三个阶段,重点列举了主管PPP项目的国家发展改革委和财政部出台的相关法规;并指出我国PPP模式实践中的问题,如缺乏统一的管理机构,现有法律位阶较低并且冲突较多,PPP模式中协议性质不明确等。第三部分通过对英国、加拿大和澳大利亚三国PPP模式发展情况及立法现状考察,从法律制度、监管体制、实施机构、争端解决、政务公开、操作规则等方面总结各国的可取之处,得出对我国有借鉴意义的结论。第四部分首先从解决法律冲突、降低法律风险、解决融资困境、提高行政效率、推广PPP模式适用范围的需要等方面分析了当前我国亟待并且可以建立PPP模式法律制度的原因,继而对建立相关法律制度从主体思路、制定程序和法律内容方面提出明确建议,针对关键问题进行详细说明,为建立具有整体性、层次性、综合性的法律体系提供参考。
[Abstract]:Since the reform and opening up in 1978, with the development of the economy, with the development of the economy, the people's material and spiritual life level has been improved, and the level of infrastructure construction is higher. On the one hand, as the construction of infrastructure needs to invest a lot of funds, the local government is unable to undertake the huge investment in infrastructure construction. On the one hand, many social idle funds can not be made full use of, resulting in the waste of resources.PPP model can solve the above two aspects of the problem. From the introduction of foreign capital in China at the end of twentieth Century, by November 2013, the Central Committee of the Communist Party of China held the third Plenary Session of the 18th CPC Central Committee, decided to take the franchise and other ways to allow social capital to participate in the city base. In infrastructure construction, China's PPP model has entered a rapid development stage from the embryonic state. It also means that the central level has formally affirmed the existence value of the PPP model. It can be seen that the PPP model plays an important role in solving the financial difficulties and technical difficulties of local government infrastructure and public facilities construction, such as the Beijing Subway No. four. As a new mode of cooperation, the PPP model combines the overall planning of the government departments, the advantages of the planned organization and the advantages of the private sector, and the advantages of the management technology, so that the two sides can achieve more favorable results than the separate actions. However, because of the late start of the PPP model in China, the theoretical research is not. Perfect, legal system is not sound, so there are many problems in the practice of PPP model, such as confusion of.PPP legislative level, different legal position, monotonous source of project funds, poor change of government role, difficult evaluation of project evaluation, unsound mechanism of risk sharing and fuzziness of the nature of the agreement, which not only make the government department bear the failure of this project. The adverse consequences, the private sector also burdens many uncertain risks and the public interests are also damaged. By drawing on the experience of the foreign countries and combining the national conditions of our country, it can be found that perfecting the legal provisions in the PPP model is the prerequisite for the smooth development of the cooperation between the government and the social capital, and the sound legal system can be put forward by the government and the private sector. For the corresponding legal basis, to clarify the rights and obligations, to share the project risk reasonably, to solve the disputes of the contract, to safeguard the interests of the parties and to ensure the normal operation of the PPP model. This article is divided into four parts. The first part mainly discusses the theoretical basis of the PPP model, and expounds the origin and concept, function and characteristics, theoretical basis and law of the PPP model. Relationship analysis, classification, and so on to understand the origin of PPP model in the modern sense in Britain. China's extension of PPP project originated from the introduction of foreign capital after the reform and opening up. The theory of producing PPP model can be summed up into four kinds, namely, project differentiation, public goods, government failure and principal-agent theory; according to the international experience and the national conditions of our country, our government can make the government of our country. The mode of cooperation with social capital is divided into three categories: franchise, equity cooperation and purchase service; these theoretical analyses provide theoretical support for further understanding of the PPP model below. The second part has combed the running history and legislative status of our country's PPP model, understood the three stages of the development of the PPP model in China, and focused on the PPP project in charge. The national development and Reform Commission and the Ministry of Finance issued relevant laws and regulations, and pointed out the problems in the practice of PPP mode in China, such as the lack of unified management institutions, the lower rank of the existing laws and more conflicts, and the unclear nature of the protocol in the PPP model. The third part, through the development of the PPP model of the United Kingdom, Canada and Australia, and the establishment of the three countries. The present status of the law, from the legal system, the regulatory system, the implementation of institutions, dispute settlement, government disclosure, operation rules and other aspects to summarize the advisable points of the countries, draw lessons to our national reference conclusions. The fourth part first from the solution of the legal conflict, reduce the legal risk, solve the financing difficulties, improve the administrative efficiency, promote the scope of application of the PPP model. The need and other aspects of the need to analyze the current reasons for the establishment of the legal system of PPP mode in our country, and then put forward clear suggestions on the establishment of relevant legal system from the main body of thought, the formulation of procedures and legal content, the detailed explanation of the key issues, and the provision of a comprehensive, hierarchical and comprehensive legal system. Reference resources.

【学位授予单位】：山东大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.2

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