城市地下管线PPP模式调控法律问题研究
发布时间：2019-05-28 01:55
【摘要】：近些年来,全国许多地区相继推广城市地下管线建设,而且大部分省市为了规制这一新型项目建设、运营等行为也出台了城市地下管线条例。同时,面对近年来经济下行和财政减收的双重压力,从中央到地方相继出台了一系列政策文件:鼓励采用政府和社会资本合作(即PPP)模式推动基础设施和公共服务项目的顺利开展。故而,面对这种新的经济合作模式,政府如何更好地对PPP模式进行宏观调控,如何制定有效的法律对该种行为提供制度保障,以促进PPP模式下城市地下管线项目的健康发展,是我国目前亟需解决的现实问题。因此,本文对城市地下管线PPP调控模式的理论及其法律问题进行探讨分析,具有一定的理论和现实意义。本文采用文献分析法、比较研究法和法经济学分析法等方法,从PPP模式的概念特征及其经济法理念、地下管线PPP调控的现有政策文件以及主体与客体、权利义务关系等角度进行综合分析,总结出我国城市地下管线PPP调控中存在的现实问题,并借鉴境内外的先进经验,对完善我国城市地下管线PPP调控提出了相应的对策。全文共分为三个部分:第一部分是对PPP模式与政府调控的理论分析。这一部分首先在对现有资料进行归类整理的基础上,概括分析了PPP的概念和基本特征。其次分析了PPP模式下政府的地位以及政府运用宏观经济调控手段的理论依据。具体讲,就是依据经济法“市场调节—市场失灵—政府干预—政府失灵—对政府干预的干预”的理论分析路径,对PPP模式下开展城市地下管线等公共基础设施建设的行为进行分析。第二部分是对城市地下管线PPP模式相关政策法律分析。这一部分首先是政策分析,通过对国务院关于“城市地下管线”、“地下综合管廊”等相关文件的对比分析,可以看出中央对大力发展城市地下管线工程的重视程度;通过对地方相关立法的对比分析,发现许多内容都是对国务院文件的转述,缺乏地域特色。这些地方立法能否在实践中真正起到引导和规制作用,有待实践检验。其次,从法律关系三要素角度对城市地下管线PPP调控的主体、客体和内容进行分析,旨在明确各方主体的职权与责任,权利与义务。第三部分是城市地下管线PPP调控法律机制的完善。这一部分通过总结2014年至今PPP模式下的城市地下管线工程在具体操作中存在的问题,结合境内外代表性经验,得出应该在遵守社会公共利益原则的基础上做到立法先行的结论。具体从完善立法、加强监督、提升各方主体的PPP专业知识和鼓励运用奖惩机制等方面提出了一系列对策建议。
[Abstract]:In recent years, many areas of the country have promoted the construction of urban underground pipelines, and most provinces and cities have issued regulations on urban underground pipelines in order to regulate the construction of this new type of projects. At the same time, in the face of the dual pressure of economic downturn and fiscal revenue reduction in recent years, From the central government to the local government, a series of policy documents have been issued one after another: encouraging the use of government and social capital cooperation (PPP) model to promote the smooth development of infrastructure and public service projects. Therefore, in the face of this new economic cooperation model, how can the government better regulate and control the PPP model, and how to formulate effective laws to provide institutional protection for this kind of behavior, in order to promote the healthy development of urban underground pipeline projects under the PPP mode? It is a practical problem that needs to be solved urgently in our country at present. Therefore, this paper discusses and analyzes the theory and legal problems of PPP regulation mode of urban underground pipeline, which has certain theoretical and practical significance. This paper adopts the methods of literature analysis, comparative research and law and economics analysis, from the concept characteristics of PPP model and its economic law concept, the existing policy documents of underground pipeline PPP regulation and control, as well as the subject and object. Based on the comprehensive analysis of the relationship between rights and obligations, this paper summarizes the practical problems existing in the regulation and control of PPP in urban underground pipelines in China, and draws lessons from the advanced experience at home and abroad, and puts forward some corresponding countermeasures for perfecting the PPP regulation and control of urban underground pipelines in China. The full text is divided into three parts: the first part is the theoretical analysis of PPP model and government regulation. In this part, the concept and basic characteristics of PPP are summarized and analyzed on the basis of classifying and sorting out the existing data. Secondly, it analyzes the status of the government under the PPP model and the theoretical basis of the government's use of macroeconomic control means. Specifically, it is based on the theoretical analysis of the economic law "Market Regulation-Market failure-Government intervention-Government failure-intervention in Government intervention". This paper analyzes the behavior of carrying out the construction of public infrastructure such as urban underground pipeline under PPP mode. The second part is the analysis of the policies and laws related to the PPP model of urban underground pipelines. This part is first of all policy analysis. Through the comparative analysis of the relevant documents such as "Urban Underground Pipeline" and "Underground Integrated Pipeline Corridor" of the State Council, we can see that the central government attaches great importance to the development of urban underground pipeline engineering. Through the comparative analysis of local relevant legislation, it is found that many contents are restated to the documents of the State Council and lack of regional characteristics. Whether these local legislation can really play a guiding and regulatory role in practice needs to be tested in practice. Secondly, the subject, object and content of PPP regulation and control of urban underground pipeline are analyzed from the point of view of three elements of legal relationship, in order to clarify the functions, powers and responsibilities, rights and obligations of each subject. The third part is the improvement of the legal mechanism of PPP regulation and control of urban underground pipeline. In this part, by summing up the problems existing in the concrete operation of urban underground pipeline project under PPP mode from 2014 to now, and combining with the representative experience at home and abroad, this part draws the conclusion that legislation should be taken first on the basis of abiding by the principle of social and public interest. This paper puts forward a series of countermeasures and suggestions from the aspects of perfecting legislation, strengthening supervision, promoting the professional knowledge of PPP and encouraging the use of reward and punishment mechanism.
【学位授予单位】：山西大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.181
[Abstract]:In recent years, many areas of the country have promoted the construction of urban underground pipelines, and most provinces and cities have issued regulations on urban underground pipelines in order to regulate the construction of this new type of projects. At the same time, in the face of the dual pressure of economic downturn and fiscal revenue reduction in recent years, From the central government to the local government, a series of policy documents have been issued one after another: encouraging the use of government and social capital cooperation (PPP) model to promote the smooth development of infrastructure and public service projects. Therefore, in the face of this new economic cooperation model, how can the government better regulate and control the PPP model, and how to formulate effective laws to provide institutional protection for this kind of behavior, in order to promote the healthy development of urban underground pipeline projects under the PPP mode? It is a practical problem that needs to be solved urgently in our country at present. Therefore, this paper discusses and analyzes the theory and legal problems of PPP regulation mode of urban underground pipeline, which has certain theoretical and practical significance. This paper adopts the methods of literature analysis, comparative research and law and economics analysis, from the concept characteristics of PPP model and its economic law concept, the existing policy documents of underground pipeline PPP regulation and control, as well as the subject and object. Based on the comprehensive analysis of the relationship between rights and obligations, this paper summarizes the practical problems existing in the regulation and control of PPP in urban underground pipelines in China, and draws lessons from the advanced experience at home and abroad, and puts forward some corresponding countermeasures for perfecting the PPP regulation and control of urban underground pipelines in China. The full text is divided into three parts: the first part is the theoretical analysis of PPP model and government regulation. In this part, the concept and basic characteristics of PPP are summarized and analyzed on the basis of classifying and sorting out the existing data. Secondly, it analyzes the status of the government under the PPP model and the theoretical basis of the government's use of macroeconomic control means. Specifically, it is based on the theoretical analysis of the economic law "Market Regulation-Market failure-Government intervention-Government failure-intervention in Government intervention". This paper analyzes the behavior of carrying out the construction of public infrastructure such as urban underground pipeline under PPP mode. The second part is the analysis of the policies and laws related to the PPP model of urban underground pipelines. This part is first of all policy analysis. Through the comparative analysis of the relevant documents such as "Urban Underground Pipeline" and "Underground Integrated Pipeline Corridor" of the State Council, we can see that the central government attaches great importance to the development of urban underground pipeline engineering. Through the comparative analysis of local relevant legislation, it is found that many contents are restated to the documents of the State Council and lack of regional characteristics. Whether these local legislation can really play a guiding and regulatory role in practice needs to be tested in practice. Secondly, the subject, object and content of PPP regulation and control of urban underground pipeline are analyzed from the point of view of three elements of legal relationship, in order to clarify the functions, powers and responsibilities, rights and obligations of each subject. The third part is the improvement of the legal mechanism of PPP regulation and control of urban underground pipeline. In this part, by summing up the problems existing in the concrete operation of urban underground pipeline project under PPP mode from 2014 to now, and combining with the representative experience at home and abroad, this part draws the conclusion that legislation should be taken first on the basis of abiding by the principle of social and public interest. This paper puts forward a series of countermeasures and suggestions from the aspects of perfecting legislation, strengthening supervision, promoting the professional knowledge of PPP and encouraging the use of reward and punishment mechanism.
【学位授予单位】：山西大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.181
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