【摘要】： 項目融資是一種被世界各國普遍接受和采納的投融資方式,是緩解我國當(dāng)前基礎(chǔ)設(shè)施建設(shè)資金不足的理想方法之一。我國自90年代初期引入項目融資方式以來,項目融資適用領(lǐng)域不斷擴(kuò)大,融資數(shù)額不斷增加,對我國社會的經(jīng)濟(jì)發(fā)展產(chǎn)生了巨大的推動作用。但在項目融資實施過程中,由于項目本身的特殊性使得項目成敗和某些政府行為關(guān)聯(lián)極大,所以大多數(shù)項目公司通常需要得到政府有關(guān)部門的某些保證和承諾以便分擔(dān)這些項目風(fēng)險�！霸陧椖咳谫Y中,東道國政府擔(dān)保項目公司在某些事件發(fā)生或不發(fā)生時,將對項目公司給予相應(yīng)補(bǔ)償?shù)某兄Z,稱之為政府擔(dān)保。政府擔(dān)保的范圍取決于一個項目的獨(dú)特風(fēng)險�！� 我國當(dāng)前正處于經(jīng)濟(jì)高速增長時期,基礎(chǔ)設(shè)施建設(shè)資金的不足是限制經(jīng)濟(jì)快速發(fā)展的主要瓶頸之一。項目融資方式為緩解我國建設(shè)資金不足的現(xiàn)狀提供了一個較好的解決方法,但隨之也產(chǎn)生了很多迫切需要予以解決的問題,否則就會變成制約經(jīng)濟(jì)發(fā)展的障礙。政府擔(dān)保問題便是如此,從最初的完全排斥,到現(xiàn)在把其變成吸引外資的速效藥,毫無約束的任意擔(dān)保,已經(jīng)對我國整體經(jīng)濟(jì)的發(fā)展產(chǎn)生了不利的影響。我國目前對該問題的理論探討,還始終停留在多年前的政府擔(dān)保是否符合現(xiàn)行法律規(guī)定,政府擔(dān)保的內(nèi)容,及其與國內(nèi)民商法中規(guī)定的政府機(jī)關(guān)提供的擔(dān)保法律性質(zhì)是否相同等問題上,而忽視了實際情況的發(fā)展變化。如電力行業(yè)是我國率先引入項目融資的行業(yè),也是我國項目融資最為活躍的行業(yè),但由于最初提供的政府擔(dān)保條件過于優(yōu)厚,導(dǎo)致發(fā)電成本得不到有效的控制,全國電價上升過快,造成了虛假的電力飽和局面。隨著電力改革的實施,電網(wǎng)電廠分離,電力競價上網(wǎng),電價改革方案的出臺等,使得原有成本加利潤的電價擔(dān)保和電力收購擔(dān)保等,都不再具有原來的實施條件,政府只能試圖和這些電廠重新進(jìn)行談判,以便能修改原有的融資協(xié)議,適應(yīng)新形勢的發(fā)展。但這種做法對電力行業(yè)吸引外資的努力造成了極大的影響,引發(fā)了去年夏天以來的新一輪電荒。 本文試圖通過對政府擔(dān)保范圍、法律性質(zhì)、法律效力等方面的進(jìn)一步探討,澄清我國現(xiàn)行法律規(guī)定的相互矛盾、模糊和不完善之處,指出我國對政府擔(dān)保問題,既肯定其積極作用又應(yīng)嚴(yán)格規(guī)范的正確態(tài)度,并從法律的角度出發(fā)探討解決該問題的方法,即如何通過完善相關(guān)法律規(guī)定的途徑來正確解決這個問題。 本文在論述過程中主要采用了比較研究和實證分析的方法,其中比較研究法是貫穿全文的主要研究方法,局部章節(jié)則運(yùn)用了案例分析和統(tǒng)計數(shù)字來輔助論證文章所要得出的主要結(jié)論。 通過對國外發(fā)達(dá)國家和發(fā)展中國家項目融資中政府擔(dān)保概況的介紹分析,以及對世界項目融資發(fā)展趨勢和政府擔(dān)保理論問題的探討,筆者認(rèn)為世界各國對政府擔(dān)保的認(rèn)識問題已上升到了一個新的階段,人們在普遍認(rèn)識到政府擔(dān)保重要性的同時,也意識到政府擔(dān)保的局限性和自身缺陷。如何通過完善經(jīng)濟(jì)、法律環(huán)境的方法來取代和約束政府擔(dān)保行為是各國政府關(guān)注的焦點(diǎn)。人們希望在能夠發(fā)揮政府擔(dān)保作用的同時,減少其對國家經(jīng)濟(jì)、財政可能帶來的危害。這就要求盡可能縮小政府擔(dān)保的范圍,強(qiáng)化政府擔(dān)保的法律效力,明確政府擔(dān)保的法律性質(zhì)。通過本文的研究討論,筆者認(rèn)為我國應(yīng)加快制訂項目融資專項立法,在該專項立法中對政府擔(dān)保問題做出明確規(guī)定,確認(rèn)提供政府擔(dān)保的基本原則,允許提供政府擔(dān)保的范圍,明確政府擔(dān)保的法律性質(zhì)是政府鼓勵和保護(hù)投資所采取的一種公行為,應(yīng)受到國際法和國內(nèi)法雙重法律的制約,對政府擔(dān)保的違約責(zé)任和救濟(jì)途徑做出明確規(guī)定,以便加強(qiáng)政府擔(dān)保的法律效力,增強(qiáng)投資者的投資信心。
[Abstract]:Project financing is an investment and financing way which is widely accepted and adopted by all the countries of the world, and is one of the ideal methods to alleviate the shortage of current infrastructure construction in our country. Since the introduction of project financing in the early 1990s, the application of project financing has been expanding, the amount of financing is increasing, and the economic development of our country has brought great impetus to the development of our country. However, in the process of project financing, because of the particularity of the project itself, the success or failure of the project and some government behaviors are very relevant, most of the project companies generally need to be guaranteed and committed by the relevant government departments in order to share the project risks. In the project financing, the host government guarantee project company will give the corresponding compensation to the project company, which is called the government guarantee. The scope of the government guarantee depends on the unique risk of a project. The shortage of the infrastructure construction fund is one of the main bottlenecks that restrict the rapid development of the economy in the period of high-speed economic growth. The project financing method has provided a better solution for alleviating the current situation of the underfunded construction of our country, but it has also produced many problems in urgent need to be solved, or it will become an obstacle to the development of the economy. The problem of government guarantee is that, from the initial full rejection, to now turn it into a quick-impact medicine for attracting foreign capital, any guarantee that is free of restraint has had a negative impact on the development of the whole economy in China. At present, the theory of this problem has been discussed in our country, and whether the government guarantee has been in conformity with the existing law, the contents of the government guarantee, and the legal nature of the guarantee provided by the government organs as stipulated in the civil and commercial law of the country are the same. and the development change of the actual situation is ignored. As the power industry is the first industry in China to introduce project finance, it is also the most active industry in China's project financing, but because the initially provided government guarantee conditions are too high, the power generation cost can not be effectively controlled, and the national electricity price rises rapidly, resulting in a false power saturation situation. With the implementation of power reform, power plant separation, power bidding and the introduction of electricity price reform program, the original cost plus profit price guarantee and power purchase guarantee, etc., no longer have the original implementation conditions, and the government can only try to renegotiate with these power plants, so as to modify the original financing agreement and adapt to the development of the new situation. But this approach has a great impact on the efforts of the power industry to attract foreign investment, which has led to a new round of electricity shortages since the summer of last year. This paper attempts to clarify the contradiction, the fuzziness and the imperfection of the existing law in our country by further exploring the scope, the legal character and the legal effect of the government, and points out that our country's guarantee for the government The problem is not only the positive role and the correct attitude of the strict regulation, and the way to solve the problem from the point of view of law, that is, how to solve the problem correctly by improving the relevant legal provisions In this paper, a comparative study and a method of empirical analysis are used in the course of the discussion, in which the comparative study is the main research method of the whole text, and the case analysis and statistics are used in the local chapters to support the demonstration of the article. The main conclusions are as follows: through the introduction and analysis of the government guarantee in the project financing of the developed countries and developing countries, as well as the discussion on the development trend of the world project financing and the government guarantee theory, the author holds that the world's understanding of the government guarantee has risen In a new stage, the importance of the security of the government is generally recognized, and the government is also aware of the government's guarantee The limitation and self-defect. How to replace and restrain the government guarantee behavior through the method of improving the economic and legal environment The focus of the Government's attention. It is hoped that while the role of government security can be played, it will reduce its impact on the country's economy, wealth, The harm that the government may bring. This requires to narrow the scope of the government's guarantee as much as possible, strengthen the legal effect of the government guarantee, and make clear the government. The legal nature of the government guarantee is discussed in this paper. The author thinks that our country should accelerate the development of special legislation of project financing, and make clear stipulations on the issue of government guarantee in this special legislation, and confirm the basic principle of providing the government guarantee and allow it to be mentioned. For the scope of government guarantee, it is clear that the legal nature of the government guarantee is a kind of public action taken by the government to encourage and protect the investment. It should be subject to the double laws of international law and domestic law, and make clear provisions on the breach of contract and the relief way of the government guarantee, so as to strengthen the government. The legal effect of the government guarantee is enhanced.
【學(xué)位授予單位】：大連海事大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2007
【分類號】：D996

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