本文關(guān)鍵詞： PPP模式 政府政策變化 投資人權(quán)益保護(hù) 情勢變更 政府違約　出處：《南京大學(xué)》2017年碩士論文　論文類型：學(xué)位論文

【摘要】：隨著我國社會經(jīng)濟(jì)的快速發(fā)展,社會民眾對基礎(chǔ)設(shè)施和公共服務(wù)的需求日益增加,但政府因財(cái)政資金不足而無法有效滿足人民的需求,二者之間的矛盾日益突出。PPP模式中,一方面,政府能夠利用投資人在資金、技術(shù)、管理等方面的優(yōu)勢,彌補(bǔ)其財(cái)政資金短缺、高成本等不足;另一方面,投資人通過參與基礎(chǔ)設(shè)施的建設(shè)和公共服務(wù)的提供,也能夠拓寬投資渠道,同時(shí)實(shí)現(xiàn)社會價(jià)值。因而,參與PPP模式對于政府方和投資人來說是一種雙贏選擇。當(dāng)前,我國仍處在PPP發(fā)展的初期階段,配套法律制度并不完善,同時(shí)政府政策存在不連續(xù)、不穩(wěn)定等問題,投資人的權(quán)益因此面臨著政策變化風(fēng)險(xiǎn)。在此情形下,從民商法角度探索政府政策變化情形下投資人權(quán)益保護(hù)的方式,并構(gòu)建相關(guān)法律制度,有利于打消投資人參與PPP項(xiàng)目建設(shè)的顧慮,也有利于發(fā)展政府方和投資人和諧融洽的合作關(guān)系,最終將促進(jìn)我國基礎(chǔ)設(shè)施和公共服務(wù)事業(yè)的發(fā)展。本文第一部分,通過PPP基礎(chǔ)理論的分析,厘清PPP法律關(guān)系的主體及其權(quán)利義務(wù)、主體之間的法律關(guān)系以及合同體系,為研究PPP模式中投資人權(quán)益的保護(hù)奠定了理論基礎(chǔ)。同時(shí),本部分還界定了政府政策的概念,梳理了 PPP模式中主要政府政策,并分析了政府政策變化對投資人權(quán)益可能造成的影響以及建立并完善投資人權(quán)益保護(hù)制度的意義。該部分主要結(jié)論如下:PPP模式中最為核心的法律關(guān)系是政府方與投資人之間的法律關(guān)系,PPP項(xiàng)目合同是整個(gè)合同體系的核心,PPP項(xiàng)目合同是一種民商事合同,政府政策變化通過影響PPP相關(guān)合同進(jìn)而影響投資人權(quán)益等。本文第二部分,主要論述情勢變更原則在PPP運(yùn)行中適用的相關(guān)問題,包括PPP模式中適用情勢變更原則的意義、情勢變更原則的適用條件、情勢變更原則適用的法律效果以及相關(guān)的案例分析與小結(jié)。該部分主要結(jié)論如下:PPP模式中存在政府政策變化適用情勢變更原則的情形,情勢變更原則適用的法律效果包括變更合同與解除合同等。需要特別指出的是,在案例分析和小結(jié)部分,筆者通過梳理PPP模式中政府政策變化的案例,并結(jié)合司法裁判中情勢變更原則適用的說理,以"泉州刺洞大橋"為例論證了情勢變更原則在PPP模式中發(fā)生政府政策變化時(shí)的適用以及投資人權(quán)益的保護(hù)。本文第三部分,主要論述PPP模式中政府政策變化適用政府違約的情形及該種情形下投資人損失的救濟(jì),進(jìn)一步探索了投資人損失的其他救濟(jì)方式,例如行政救濟(jì)、擔(dān)保公司承擔(dān)擔(dān)保責(zé)任等。該部分主要結(jié)論如下:政府可控的政策變化適用合同違約制度、擔(dān)保公司承擔(dān)擔(dān)保責(zé)任是投資人損失救濟(jì)的有效方式。本文第四部分,筆者提出從建立健全PPP法律法規(guī)體系、完善政府信息披露制度、建立健全代理人制度、完善投資人退出機(jī)制以及完善協(xié)商、調(diào)解、仲裁、訴訟等多元化的爭議解決機(jī)制五個(gè)方面構(gòu)建投資人權(quán)益保護(hù)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.

【學(xué)位授予單位】：南京大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：D922.2;D923.6
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本文編號：1504564