我国PPP模式监管法律问题研究

发布时间：2018-09-02 05:34

【摘要】：在经济法视野下对PPP模式项目的监管,是在适应政府职能转变的政策背景下,对PPP项目的合法性、合规性,由监管机构实施的监管行为。这有助于合理规避项目建设以及经营中可能出现的风险,使PPP项目能够顺利实施。同时,也有助于提升项目的质量与效益,为社会公众提供符合要求的社会公共服务。然而,现阶段我国PPP模式监管存在一些问题,诸如,关于PPP模式下监管的法律规范体系不健全,监管的主体过多,监管方式过于单一,监管内容不明晰以及对于监管效果的评价机制与对不当监管的惩戒机制的缺失等。这些问题的存在,在一定程度上给PPP项目的建设、运营造成了不利影响,影响了项目经营企业的正常运营秩序,进而影响项目运营企业的盈利水平。因而,我们需要不断完善PPP监管体系,充分发挥政府与社会资本各自的优势。反观两大法系的主要国家,其对于PPP监管,无论是法律规范体系还是具体的制度运作体系,均较为健全,对其本国的PPP项目的建设、运营,起到了有力的助推作用。主要体现在法律规范的健全、监管体系的完善以及监管机构的专业性与专门化。在借鉴国外先进经验的基础上,结合我国PPP模式发展运行实际,我国应从监管法律规范体系、监管方式、监管内容及相应的监管评价、惩戒机制等方面,来逐步完善我国PPP模式监管。本文主要分为四部分。第一部分是对PPP模式监管的概述,分别从PPP模式监管含义及重要性与PPP模式监管特殊性等方面阐述了PPP模式监管,这两部分构成了本文写作的理论基础;第二部分是关于我国PPP模式监管的实际情况的描述,主要分析了现阶段我国PPP模式监管存在的法律问题,例如,规范体系不健全,监管内容不明晰等方面;第三部分是对于两大法系国家的PPP模式监管先进经验的介绍,为我国相关制度的确立发展提供域外参考;最后一部分笔者分别从法律体系、监管机构的独立性、监管机构的运行及监管方式以及相应的评价制度和惩戒机制等方面,对我国PPP监管完善提出的针对性的意见建议。
[Abstract]:In the view of economic law, the supervision of PPP mode projects is a kind of supervision behavior carried out by the regulatory bodies under the background of adapting to the change of government functions, the legality and compliance of the PPP projects. This helps to avoid the possible risks in project construction and operation, and enable the PPP project to be carried out smoothly. At the same time, it also helps to improve the quality and efficiency of the project, and to provide the social public services that meet the requirements. However, at present, there are some problems in the supervision of PPP mode in our country, such as the imperfect legal system of supervision under the PPP mode, too many subjects of supervision, and too single mode of supervision. The content of supervision is not clear, and the evaluation mechanism of supervision effect and the lack of disciplinary mechanism of improper supervision and so on. To a certain extent, the existence of these problems has adversely affected the construction and operation of PPP projects, affected the normal operation order of the project management enterprises, and further affected the profit level of the project operation enterprises. Therefore, we need to improve the PPP regulatory system and give full play to the respective advantages of government and social capital. In contrast, the main countries of the two legal systems are relatively sound for the supervision of PPP, whether it is the legal norm system or the specific system operation system, which has played a powerful role in promoting the construction and operation of PPP projects in their own countries. It is mainly embodied in the perfection of legal norms, the perfection of regulatory system and the specialization and specialization of regulatory bodies. On the basis of drawing lessons from the advanced experience of foreign countries and combining the development and operation of PPP mode in China, our country should, from the aspects of regulatory legal norm system, supervision mode, supervision content and corresponding supervision evaluation, disciplinary mechanism, etc. To gradually improve our PPP model supervision. This paper is divided into four parts. The first part is the overview of PPP mode supervision, respectively from the meaning and importance of PPP mode supervision and the particularity of PPP mode supervision and so on. These two parts constitute the theoretical basis of this paper. The second part is the description of the actual situation of China's PPP mode supervision, mainly analyzes the existing legal problems of China's PPP mode supervision at the present stage, for example, the regulation system is not perfect, the supervision content is not clear and so on. The third part is the introduction of the advanced experience of the PPP model supervision in the two legal system countries, which provides the extraterritorial reference for the establishment and development of the relevant system in our country. The last part is the author respectively from the legal system, the independence of the regulatory body, In this paper, the author puts forward some suggestions on the improvement of PPP supervision in China from the aspects of the operation and supervision mode, the corresponding evaluation system and the disciplinary mechanism, etc.
【学位授予单位】：山西财经大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.2

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