论PPP模式中政府政策变化与投资人权益的保护

发布时间：2018-02-12 02:20

  本文关键词： PPP模式 政府政策变化 投资人权益保护 情势变更 政府违约　出处：《南京大学》2017年硕士论文　论文类型：学位论文

【摘要】：随着我国社会经济的快速发展,社会民众对基础设施和公共服务的需求日益增加,但政府因财政资金不足而无法有效满足人民的需求,二者之间的矛盾日益突出。PPP模式中,一方面,政府能够利用投资人在资金、技术、管理等方面的优势,弥补其财政资金短缺、高成本等不足;另一方面,投资人通过参与基础设施的建设和公共服务的提供,也能够拓宽投资渠道,同时实现社会价值。因而,参与PPP模式对于政府方和投资人来说是一种双赢选择。当前,我国仍处在PPP发展的初期阶段,配套法律制度并不完善,同时政府政策存在不连续、不稳定等问题,投资人的权益因此面临着政策变化风险。在此情形下,从民商法角度探索政府政策变化情形下投资人权益保护的方式,并构建相关法律制度,有利于打消投资人参与PPP项目建设的顾虑,也有利于发展政府方和投资人和谐融洽的合作关系,最终将促进我国基础设施和公共服务事业的发展。本文第一部分,通过PPP基础理论的分析,厘清PPP法律关系的主体及其权利义务、主体之间的法律关系以及合同体系,为研究PPP模式中投资人权益的保护奠定了理论基础。同时,本部分还界定了政府政策的概念,梳理了 PPP模式中主要政府政策,并分析了政府政策变化对投资人权益可能造成的影响以及建立并完善投资人权益保护制度的意义。该部分主要结论如下:PPP模式中最为核心的法律关系是政府方与投资人之间的法律关系,PPP项目合同是整个合同体系的核心,PPP项目合同是一种民商事合同,政府政策变化通过影响PPP相关合同进而影响投资人权益等。本文第二部分,主要论述情势变更原则在PPP运行中适用的相关问题,包括PPP模式中适用情势变更原则的意义、情势变更原则的适用条件、情势变更原则适用的法律效果以及相关的案例分析与小结。该部分主要结论如下:PPP模式中存在政府政策变化适用情势变更原则的情形,情势变更原则适用的法律效果包括变更合同与解除合同等。需要特别指出的是,在案例分析和小结部分,笔者通过梳理PPP模式中政府政策变化的案例,并结合司法裁判中情势变更原则适用的说理,以"泉州刺洞大桥"为例论证了情势变更原则在PPP模式中发生政府政策变化时的适用以及投资人权益的保护。本文第三部分,主要论述PPP模式中政府政策变化适用政府违约的情形及该种情形下投资人损失的救济,进一步探索了投资人损失的其他救济方式,例如行政救济、担保公司承担担保责任等。该部分主要结论如下:政府可控的政策变化适用合同违约制度、担保公司承担担保责任是投资人损失救济的有效方式。本文第四部分,笔者提出从建立健全PPP法律法规体系、完善政府信息披露制度、建立健全代理人制度、完善投资人退出机制以及完善协商、调解、仲裁、诉讼等多元化的争议解决机制五个方面构建投资人权益保护的法律制度。
[Abstract]:With the rapid development of China's economy, people on the increasing demand for infrastructure and public services, but due to lack of funds and government finance can not effectively meet the needs of the people, the contradiction between the two has become increasingly prominent in the.PPP model, on the one hand, the government can use the investors in the capital, technology, management and other aspects. Advantage, make up for the shortage of financial resources, high cost and other disadvantages; on the other hand, investors through participate in the construction of infrastructure and public services, to broaden the investment channels, and to achieve social value. Therefore, in the PPP mode for the government and investors is a win-win choice. At present, our country is still in the early stage of PPP development, supporting the legal system is not perfect, at the same time, government policies are not continuous, the problem is not stable, the interests of investors are therefore faced with policy changes in risk. Under the circumstances, to explore the changes of the government policies to protect the rights and interests of investors from the perspective of civil law, and construct the relevant legal system, to dispel investors involved in the construction of PPP project concerns, but also conducive to the development of the government and investors harmonious relations of cooperation, will promote the development of China's infrastructure and public service in this paper. The first part, through the analysis of the basic theory of PPP, clarify the main PPP legal relationship of rights and obligations, the legal relationship between the agent and the contract system, to protect investors rights and interests in the study of PPP model lays a theoretical foundation. At the same time, this part also defines the concept of government policy, clarifies the main government policy PPP mode. And analyze the impact of government policy changes may cause for the rights and interests of investors and the significance of establishing and perfecting the investor protection system. This part mainly. The theory is as follows: the legal relationship is the core of the PPP mode is the legal relationship between the government and the investors, the PPP project contract is the core of the contract system, the PPP project contract is a civil contract, government policy changes by the influence of PPP contract and affect the rights and interests of investors. In the second part, the related problems of the application of principle the operation of PPP which mainly discusses the change of circumstances, including the application of PPP mode in the meaning of the principle, the applicable conditions of the principle, the legal effect of applying the principle of change of circumstances and the related case analysis and summary. The main conclusions are as follows: the existence of government policy changes for the principle of change of circumstances PPP mode. The legal effect of applying the principle of change of circumstances including the alteration and termination of contract. In particular, in the case analysis and summary, by pen Government policy changes in the mode of combing PPP case, combined with the application of the principle of change of situation reasoning in judicial adjudication, the "Quanzhou thorn bridge" for the protection of an example to demonstrate the principle of change of circumstances for government policy changes in the PPP mode and the rights and interests of investors. The third part, the main policy of government investment loss relief this PPP mode changes in applicable government breaches and this kind of situation, to further explore the other remedy for losses to the investors, such as administrative relief, Guarantee Corporation to assume responsibility for security. The main conclusions are as follows: breach of government policy change controlled contract, Guarantee Corporation to assume responsibility for security is an effective way to remedy the loss of investors at the fourth part of this paper, the author puts forward from establishing and perfecting PPP legal system, improve the government information disclosure system, establish and improve the agent Five aspects, including human system, improving investor exit mechanism, improving negotiation, mediation, arbitration, litigation and other diverse dispute settlement mechanisms, are the legal systems to protect investors' rights and interests.

【学位授予单位】：南京大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.2;D923.6
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本文编号：1504564