我国PPP模式监管的法律问题研究

发布时间：2018-11-02 07:17

【摘要】：目前,我国的PPP模式因得到了政府的高度重视而逐渐兴起,但有关PPP模式的法律制定却步履蹒跚,将可能导致未来产生一系列问题或纠纷无法可依。本文结合PPP模式自身的特点,提出在我国PPP项目的交易中,政府不但需要作为平等主体的一方履行合同约定的义务,还需要采取有效的监管措施对整个PPP项目实施的过程予以监管,由此探讨了将我国PPP模式监管置于法律规范下的重要性。同时,本文比较研究了PPP模式在发达国家和我国的立法现状,结合发达国家建立PPP模式监管法律体系的先进经验,借鉴可以运用于我国法律制度设计的部分,试图提出几点完善建议,从而将PPP模式的监管制度置于我国现行法律体系之下。论文主要分为四个部分:第一部分是PPP模式监管的概述。首先,从PPP模式包含的要素来分析PPP模式监管的含义;其次,从PPP市场交易的局限性、政府双重角色的冲突性、PPP模式具有特殊性这三点来分析PPP模式监管的必要性。第二部分主要分析我国PPP模式监管存在的问题。监管法律依据效力层级低和法律内容简单粗糙导致PPP模式监管的法律依据存在不足;在监管主体方面,目前PPP模式在我国处于混乱的状态中,没有独立的第三方监管机构,多部门共同监管导致监管混乱,各行政主体监管权力分散;在监管内容方面,存在监管标准不统一、社会资本的准入与退出规则不明确等问题;在监管责任承担机制方面,缺乏监管效果评价机制、监管责任追究机制不完善。第三部分介绍了国外PPP模式监管的立法例及对我国的借鉴意义。通过对英国相对独立的三级机构监管模式、美国PPP分级独立监管模式、德国PPP“公共交互网络”模式的介绍,总结出国外PPP模式监管对我国的借鉴意义。第四部分提出了完善我国PPP模式监管的建议。针对我国PPP模式监管出现的问题和不足,在吸收他国法律制度优秀之处的基础上,提出了以下建议:在监管机构方面,建立独立于PPP项目各参与方的监管机构,建立中央及地方两级独立监管机构;在监管内容方面,制定统一的监管标准,明确社会资本准入及退出规则;在监管责任承担机制方面,建立监管效果评价机制,发挥行政责任追究机制的作用。
[Abstract]:At present, the PPP model of our country is rising gradually because it has been attached great importance to by the government, but the law making of the PPP model is faltering, which may lead to a series of problems or disputes that can not be followed in the future. According to the characteristics of PPP model, this paper points out that in the transaction of PPP projects in China, the government should not only fulfill the contractual obligations as one of the equal subjects. It is also necessary to take effective supervision measures to supervise the process of implementing the whole PPP project. Therefore, the importance of putting the supervision of China's PPP mode under the legal norms is discussed. At the same time, this paper compares and studies the legislation status of PPP model in developed countries and our country, combines the advanced experience of establishing PPP model supervision legal system in developed countries, and draws lessons from the part that can be applied to the design of legal system of our country. This paper tries to put forward several suggestions to put the supervision system of PPP model under the current legal system of our country. The thesis is divided into four parts: the first part is the overview of PPP mode supervision. Firstly, the meaning of PPP mode regulation is analyzed from the elements contained in PPP mode; secondly, the necessity of PPP mode regulation is analyzed from three aspects: the limitation of PPP market transaction, the conflict of government's dual role and the particularity of PPP mode. The second part mainly analyzes the existing problems of PPP mode supervision in China. The low level of the legal basis of supervision and the crude content of the law lead to the insufficiency of the legal basis of the supervision of PPP mode; In the aspect of supervision subject, PPP mode is in chaos in our country at present, there is no independent third party supervision organization, multi-department joint supervision leads to supervision confusion, and the supervision power of each administrative body is dispersed. In the content of supervision, there are some problems, such as inconsistent supervision standards, unclear rules of admission and withdrawal of social capital, and lack of supervision effect evaluation mechanism and imperfect mechanism of investigation of supervision responsibility. The third part introduces the legislative examples of foreign PPP mode supervision and its reference significance to our country. Based on the introduction of the relative independent three-level regulatory model in Britain, the hierarchical independent supervision model of PPP in the United States and the "public interactive network" model of PPP in Germany, this paper summarizes the significance of the supervision of foreign PPP mode to our country. The fourth part puts forward the suggestion of perfecting PPP mode supervision in our country. In view of the problems and shortcomings of PPP mode supervision in China, on the basis of absorbing the excellence of other countries' legal systems, this paper puts forward the following suggestions: in the aspect of regulatory agencies, we should establish a regulatory body independent of the participants in PPP projects. The establishment of independent regulatory bodies at the central and local levels; In the aspect of supervision content, we should establish a unified supervision standard, make clear the rules of social capital entry and withdrawal, and establish a supervision effect evaluation mechanism to play the role of administrative responsibility investigation mechanism in the aspect of supervision responsibility assumption mechanism.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.29

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