根據中(zhong)國裁判(pan)文書網上檢索，自(zi)2014年(nian)至2016年(nian)12月31日，各地高院及(ji)以(yi)(yi)上法院審理(li)PPP項目相關爭(zheng)議(yi)(yi)案(an)(an)件(jian)59個，其中(zhong)民(min)事案(an)(an)件(jian)46個，行(xing)政(zheng)案(an)(an)件(jian)13個。爭(zheng)議(yi)(yi)焦點(dian)集中(zhong)在合同(tong)性質、合同(tong)解(jie)除(chu)、借款糾紛(fen)、合同(tong)效力、特許(xu)經(jing)營權(quan)授(shou)權(quan)、政(zheng)府違約(yue)等方面。其中(zhong)，由于(yu)政(zheng)府行(xing)政(zheng)行(xing)為(wei)(wei)違法導致的(de)合同(tong)效力爭(zheng)議(yi)(yi)占據約(yue)40%的(de)比(bi)例。需要說明的(de)是，該數據的(de)檢索口徑中(zhong)合并了以(yi)(yi)特許(xu)經(jing)營為(wei)(wei)名稱以(yi)(yi)及(ji)BOT類案(an)(an)件(jian)爭(zheng)議(yi)(yi)。
鑒于PPP項(xiang)目實施中涉(she)及眾多行(xing)(xing)政行(xing)(xing)為(wei)，而合法有(you)效之(zhi)行(xing)(xing)政行(xing)(xing)為(wei)是PPP項(xiang)目合法推行(xing)(xing)的必(bi)要前提(ti)，但現實中行(xing)(xing)政行(xing)(xing)為(wei)存(cun)在違(wei)法、無效、錯誤等情(qing)形，并極易引發PPP合同效力(li)爭議。
為防(fang)范行(xing)(xing)政(zheng)行(xing)(xing)為不當對PPP合同及關聯合同的(de)效(xiao)力(li)產生不利(li)影響，本文在(zai)對PPP項目中的(de)行(xing)(xing)政(zheng)行(xing)(xing)為以(yi)及不當行(xing)(xing)政(zheng)行(xing)(xing)為進(jin)行(xing)(xing)分類的(de)基礎上，結合相關判例，提出了(le)識別和(he)(he)認(ren)定不當行(xing)(xing)政(zheng)行(xing)(xing)為對PPP合同民事效(xiao)力(li)影響的(de)基本原則和(he)(he)方法，并(bing)提出相關風險防(fang)范建議，以(yi)供PPP立(li)法者和(he)(he)實(shi)踐者參考。
PPP項目涉及(ji)的行政行為(wei)類型和情形
政(zheng)(zheng)府作為國家行(xing)(xing)政(zheng)(zheng)機關(guan)參加(jia)PPP項(xiang)(xiang)目，具有(you)PPP項(xiang)(xiang)目中社會(hui)投資人的(de)(de)(de)合(he)作伙伴身(shen)份，該(gai)身(shen)份彰顯兩類法律要素，其一為行(xing)(xing)政(zheng)(zheng)行(xing)(xing)為主體特(te)(te)征(zheng)，其二為與PPP合(he)同關(guan)聯的(de)(de)(de)行(xing)(xing)政(zheng)(zheng)管(guan)理之(zhi)(zhi)內容(rong)特(te)(te)征(zheng)，內容(rong)涵蓋法律授權PPP項(xiang)(xiang)目的(de)(de)(de)立項(xiang)(xiang)、財政(zheng)(zheng)評價、方案審批(pi)、規(gui)劃、采(cai)購、監督(du)、審計以及產品和服(fu)務(wu)的(de)(de)(de)移交接管(guan)等，以實(shi)現產品和服(fu)務(wu)供(gong)給的(de)(de)(de)公益(yi)性目標，此(ci)亦為行(xing)(xing)政(zheng)(zheng)職權由來之(zhi)(zhi)淵源。
論及行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)的(de)(de)(de)性質劃分(fen)，學說(shuo)認為(wei)(wei)存在抽象(xiang)(xiang)(xiang)(xiang)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)和(he)具(ju)(ju)體(ti)(ti)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)之(zhi)分(fen)，“抽象(xiang)(xiang)(xiang)(xiang)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)一般在兩種意(yi)(yi)義上使用，一是(shi)(shi)靜態意(yi)(yi)義上的(de)(de)(de)抽象(xiang)(xiang)(xiang)(xiang)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)，指行(xing)(xing)(xing)(xing)政(zheng)(zheng)機關(guan)制(zhi)定(ding)(ding)的(de)(de)(de)具(ju)(ju)有(you)普遍(bian)約(yue)束力的(de)(de)(de)規(gui)范性文件，例如國務(wu)院的(de)(de)(de)行(xing)(xing)(xing)(xing)政(zheng)(zheng)法規(gui)；而動態的(de)(de)(de)抽象(xiang)(xiang)(xiang)(xiang)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)，指行(xing)(xing)(xing)(xing)政(zheng)(zheng)機關(guan)制(zhi)定(ding)(ding)具(ju)(ju)有(you)普遍(bian)約(yue)束力的(de)(de)(de)規(gui)范性文件的(de)(de)(de)，例如國務(wu)院制(zhi)定(ding)(ding)行(xing)(xing)(xing)(xing)政(zheng)(zheng)法規(gui)的(de)(de)(de)行(xing)(xing)(xing)(xing)為(wei)(wei)。具(ju)(ju)體(ti)(ti)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)是(shi)(shi)指行(xing)(xing)(xing)(xing)政(zheng)(zheng)主體(ti)(ti)針對特(te)定(ding)(ding)的(de)(de)(de)對象(xiang)(xiang)(xiang)(xiang)、就特(te)定(ding)(ding)的(de)(de)(de)事(shi)項作出的(de)(de)(de)處理決定(ding)(ding)。具(ju)(ju)體(ti)(ti)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)與抽象(xiang)(xiang)(xiang)(xiang)行(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)相比(bi)，具(ju)(ju)有(you)特(te)定(ding)(ding)性和(he)直(zhi)接性，對于特(te)定(ding)(ding)對象(xiang)(xiang)(xiang)(xiang)的(de)(de)(de)權利義務(wu)直(zhi)接發生影響，并且(qie)調整對象(xiang)(xiang)(xiang)(xiang)是(shi)(shi)特(te)定(ding)(ding)的(de)(de)(de)。”
通常情況下，針對某(mou)具(ju)象之PPP項目(mu)，抽(chou)象行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)是(shi)指行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)機關針對PPP項目(mu)進行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)的(de)一系(xi)列(lie)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)規范性文件(jian)和與之相(xiang)關文件(jian)的(de)制定活動(dong)，而具(ju)體(ti)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)則意味著行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)機關就(jiu)某(mou)具(ju)體(ti)PPP項目(mu)事(shi)項作出的(de)審批、決定和通知(zhi)等特定活動(dong)，該(gai)特定行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)將直(zhi)接影響PPP項目(mu)社會投資人的(de)權利義務，并產生行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)法律(lv)效果。鑒于(yu)PPP項目(mu)生命周期較長，且涉及事(shi)項繁多，政(zheng)(zheng)府(fu)運用行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)權力作出的(de)具(ju)體(ti)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)亦(yi)隨之眾多紛繁，從(cong)具(ju)體(ti)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)的(de)類(lei)型和特點出發，按(an)不同階段列(lie)舉式分類(lei)分析如下：
第一，PPP項目識別(bie)階段，涉及項目發起評價認定、可(ke)行性報(bao)告審核審批(pi)、項目篩選結論(lun)，物有所(suo)值評價報(bao)告的批(pi)復，財政承受能力論(lun)證(zheng)的批(pi)復等；
第二，PPP項(xiang)目準備階(jie)段，涉及的行政活動有對項(xiang)目實施機構授權、實施方(fang)案(an)審批、將項(xiang)目付費(fei)義務(wu)納入財(cai)政預算和(he)中長期財(cai)政規劃、PPP項(xiang)目綜(zong)合(he)信(xin)息平(ping)臺建設和(he)管理、PPP項(xiang)目入庫評審等；
第三，PPP項(xiang)目采購(gou)(gou)階段，涉及的行政(zheng)活動有委托咨(zi)詢公(gong)司招標(biao)采購(gou)(gou)、確(que)定招標(biao)采購(gou)(gou)文(wen)件、組織(zhi)開標(biao)和(he)(he)評審、對中選(xuan)供應商結(jie)果進行審批、PPP招標(biao)采購(gou)(gou)結(jie)果、PPP合同公(gong)示備案和(he)(he)決定以及處(chu)理(li)投訴和(he)(he)復議(yi)等(deng)；
第四，PPP項目執行(xing)階段，涉(she)及的行(xing)政行(xing)為有對項目進行(xing)全過程監(jian)督(du)和績(ji)效考核、臨時(shi)接管(guan)項目、終(zhong)止(zhi)PPP合同和對項目進行(xing)定(ding)價調價等；
第五，PPP項目移交階段，涉(she)及的行政行為有(you)項目造價審計(ji)、項目資產評(ping)估、審核并(bing)辦理(li)國有(you)資產進場交易轉讓(rang)手續等。
以上行政行為的合(he)法合(he)規構成安全(quan)推進PPP項(xiang)目合(he)法合(he)規實施的必要條(tiao)件。
PPP項目行政行為不當(dang)分(fen)析
在PPP項(xiang)目(mu)行政(zheng)(zheng)行為(wei)分類的(de)(de)(de)基礎上(shang)，有必要研究PPP項(xiang)目(mu)實施過程(cheng)中行政(zheng)(zheng)行為(wei)的(de)(de)(de)合法(fa)合規(gui)問(wen)題。需要說明的(de)(de)(de)是(shi)，通常違法(fa)行為(wei)可(ke)分為(wei)重大違法(fa)和輕微違法(fa)，而輕微違法(fa)稱(cheng)之(zhi)為(wei)瑕(xia)疵(ci)，鑒于行政(zheng)(zheng)行為(wei)的(de)(de)(de)瑕(xia)疵(ci)對(dui)于合同效力的(de)(de)(de)影響比(bi)較復雜，需要對(dui)行為(wei)的(de)(de)(de)程(cheng)度、后果、違法(fa)性等方面(mian)進行綜合分析，對(dui)此本文討論行政(zheng)(zheng)行為(wei)違法(fa)或瑕(xia)疵(ci)時，統一采用“不(bu)當(dang)”的(de)(de)(de)表述。
分析(xi)行(xing)政(zheng)行(xing)為不當之(zhi)前，需首先研(yan)究PPP項目涉及(ji)行(xing)政(zheng)行(xing)為構成要(yao)件問(wen)題。
合法(fa)的(de)行(xing)政行(xing)為作為一類(lei)法(fa)律(lv)行(xing)為，其構成須具備主(zhu)體、內容(rong)、程序和形(xing)式四要件，即具備適格的(de)行(xing)政職權(quan)主(zhu)體，不存在超越或濫用職權(quan)情形(xing)，該主(zhu)體實施具體的(de)行(xing)政行(xing)為內容(rong)合法(fa)適當，且按規(gui)定(ding)程序流(liu)程開展(zhan)，具有法(fa)律(lv)依據，產生相應(ying)的(de)法(fa)律(lv)效果，并以書面意思表示為主(zhu)要表現(xian)方式。
根據行(xing)(xing)政(zheng)(zheng)行(xing)(xing)為對行(xing)(xing)政(zheng)(zheng)相對人給予利(li)益(yi)或給予不(bu)利(li)益(yi)為標準，行(xing)(xing)政(zheng)(zheng)行(xing)(xing)為可區分為負擔行(xing)(xing)政(zheng)(zheng)行(xing)(xing)為與授(shou)益(yi)行(xing)(xing)政(zheng)(zheng)行(xing)(xing)為。
從該(gai)分(fen)類可看出，行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)瑕疵(ci)除了可通(tong)過(guo)有意識補(bu)(bu)正(zheng)(zheng)(zheng)外(wai)，還存在(zai)嗣后事實(shi)或法律(lv)狀態變(bian)化使其(qi)自然補(bu)(bu)正(zheng)(zheng)(zheng)的(de)(de)(de)情形(xing)。自然補(bu)(bu)正(zheng)(zheng)(zheng)符合(he)實(shi)質正(zheng)(zheng)(zheng)義的(de)(de)(de)價值追求，是對(dui)形(xing)式(shi)正(zheng)(zheng)(zheng)義的(de)(de)(de)糾偏和修正(zheng)(zheng)(zheng)，契(qi)合(he)實(shi)質法治的(de)(de)(de)理(li)念和現(xian)代法治政(zheng)府治理(li)模式(shi)。自然補(bu)(bu)正(zheng)(zheng)(zheng)可適用于具有輕(qing)微(wei)瑕疵(ci)的(de)(de)(de)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)，包括授(shou)(shou)益(yi)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)和負擔(dan)(dan)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)。對(dui)于違反非(fei)實(shi)質性實(shi)體要件的(de)(de)(de)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)，從保護相對(dui)人(ren)權益(yi)角度考慮，負擔(dan)(dan)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)一般不能自然補(bu)(bu)正(zheng)(zheng)(zheng)，授(shou)(shou)益(yi)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)可以(yi)(yi)自然補(bu)(bu)正(zheng)(zheng)(zheng)。《行(xing)(xing)(xing)(xing)政(zheng)許可司法解釋》第10條、體現(xian)了授(shou)(shou)益(yi)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)瑕疵(ci)自然補(bu)(bu)正(zheng)(zheng)(zheng)的(de)(de)(de)一般規律(lv)，可以(yi)(yi)類推適用于行(xing)(xing)(xing)(xing)政(zheng)許可以(yi)(yi)外(wai)的(de)(de)(de)其(qi)他(ta)授(shou)(shou)益(yi)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)。
結合PPP項目(mu)流(liu)程(cheng)和特點，筆者(zhe)認為(wei)(wei)，PPP項目(mu)實(shi)(shi)施(shi)過程(cheng)中的(de)不(bu)當行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)，存在重大(da)違(wei)法(fa)(fa)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)與輕(qing)微違(wei)法(fa)(fa)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)之分，關于重大(da)違(wei)法(fa)(fa)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)，筆者(zhe)認為(wei)(wei)是指行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)機關違(wei)反(fan)法(fa)(fa)律規定(ding)實(shi)(shi)施(shi)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)導(dao)致行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)管理(li)目(mu)的(de)不(bu)能實(shi)(shi)現，或直接(jie)或間(jian)接(jie)的(de)損害了社會公(gong)共利益、基(ji)本公(gong)信力以(yi)及基(ji)本法(fa)(fa)律原(yuan)則(ze)的(de)活動。對應的(de)，對于輕(qing)微違(wei)法(fa)(fa)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)即瑕疵行(xing)(xing)(xing)(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)(xing)(xing)(xing)為(wei)(wei)，一般具備可以(yi)補正的(de)特點。
結合PPP項目實踐，行政行為不當通常包括以(yi)下情形：
1、主(zhu)體職權不(bu)合法(fa)
所謂(wei)行(xing)政(zheng)主體(ti)職(zhi)權(quan)不合法，是指作出行(xing)政(zheng)行(xing)為(wei)(wei)的(de)(de)(de)主體(ti)不具有(you)行(xing)政(zheng)主體(ti)資(zi)格或(huo)作出行(xing)政(zheng)行(xing)為(wei)(wei)的(de)(de)(de)主體(ti)不具備法律(lv)法規(gui)規(gui)定(ding)的(de)(de)(de)職(zhi)權(quan)或(huo)超越(yue)規(gui)定(ding)職(zhi)權(quan)。在PPP合同(tong)中(zhong)，政(zheng)府作為(wei)(wei)一方(fang)(fang)主體(ti)，由于(yu)其既是合同(tong)一方(fang)(fang)當(dang)事人(ren)，亦為(wei)(wei)社會公(gong)共(gong)利益的(de)(de)(de)代(dai)表(biao)和規(gui)制人(ren)，身份雙重，故此處(chu)主體(ti)關(guan)聯之法律(lv)分析，結合了政(zheng)府主體(ti)的(de)(de)(de)行(xing)政(zheng)職(zhi)權(quan)適當(dang)和合同(tong)履行(xing)的(de)(de)(de)適當(dang)兩(liang)個(ge)角(jiao)度(du)，既有(you)行(xing)政(zheng)的(de)(de)(de)，也有(you)民(min)事的(de)(de)(de)。
目前政策對PPP項目實施機構范(fan)圍的(de)規定(ding)存在一(yi)(yi)定(ding)差異，《關于開展政府和(he)社(she)會資(zi)本合作(zuo)的(de)指導意見》（發(fa)改投資(zi)[2014]2724號）規定(ding)PPP的(de)實施主體(ti)為“行業管理部門、事(shi)業單(dan)位、行業運營(ying)公司或其他相(xiang)關機構”；《政府和(he)社(she)會資(zi)本合作(zuo)模式操作(zuo)指南（試(shi)行）》（財金〔2014〕113號）則(ze)規定(ding)為“政府或其指定(ding)的(de)有關職能部門或事(shi)業單(dan)位”；《基礎(chu)設施和(he)公用事(shi)業特許經營(ying)管理辦法(fa)》則(ze)規定(ding)為有關部門或單(dan)位，但其中對于有關單(dan)位并未進一(yi)(yi)步(bu)規定(ding)。
PPP項(xiang)目(mu)實(shi)踐操作(zuo)中(zhong)經(jing)常出現地方(fang)(fang)平(ping)臺公司(si)作(zuo)為實(shi)施機構與社會資本(ben)方(fang)(fang)簽(qian)訂PPP合同的情形，該做法存(cun)在一(yi)定爭議，在財政(zheng)部示范項(xiang)目(mu)評審標準文(wen)件中(zhong)明確(que)規定對該種(zhong)情形不(bu)得列入示范項(xiang)目(mu)。如未(wei)來(lai)PPP立法一(yi)旦明確(que)實(shi)施機構不(bu)能(neng)為地方(fang)(fang)平(ping)臺公司(si)，則該種(zhong)瑕疵(ci)將可能(neng)認定為重大行(xing)政(zheng)行(xing)為不(bu)當，社會資本(ben)可據(ju)此主張(zhang)行(xing)為無(wu)效并繼(ji)而主張(zhang)PPP合同無(wu)效。
故可(ke)得(de)出的一(yi)個(ge)結論(lun)是(shi)，若(ruo)相關行(xing)(xing)(xing)政(zheng)主體未依法(fa)獲得(de)授權(quan)或(huo)授權(quan)不(bu)(bu)(bu)當并影響(xiang)PPP合(he)(he)(he)同(tong)訂立(li)和實(shi)(shi)質履行(xing)(xing)(xing)的，其實(shi)(shi)質就違(wei)反(fan)了行(xing)(xing)(xing)政(zheng)法(fa)上的職(zhi)權(quan)法(fa)定(ding)原則。若(ruo)相關主體在(zai)其職(zhi)權(quan)范圍外(wai)實(shi)(shi)施與PPP項目相關的行(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)為(wei)，則其做(zuo)出的行(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)為(wei)則因沒(mei)有(you)職(zhi)權(quan)或(huo)超越職(zhi)權(quan)而被認(ren)定(ding)為(wei)違(wei)法(fa)行(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)為(wei)。對應地，PPP合(he)(he)(he)同(tong)中民事權(quan)益部分也隨之(zhi)受到影響(xiang)，如導致(zhi)合(he)(he)(he)同(tong)目的不(bu)(bu)(bu)能實(shi)(shi)現的，則依據合(he)(he)(he)同(tong)法(fa)可(ke)以認(ren)定(ding)該(gai)合(he)(he)(he)同(tong)歸于無(wu)效。無(wu)論(lun)是(shi)認(ren)定(ding)為(wei)違(wei)法(fa)行(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)為(wei)，還是(shi)判斷其合(he)(he)(he)同(tong)目的不(bu)(bu)(bu)能實(shi)(shi)現導致(zhi)合(he)(he)(he)同(tong)民事無(wu)效性，均(jun)為(wei)主體職(zhi)權(quan)不(bu)(bu)(bu)合(he)(he)(he)法(fa)所引發。
2、程序違法
行(xing)政行(xing)為程序違(wei)法(fa)是指行(xing)政機關(guan)作出的具(ju)體行(xing)政行(xing)為違(wei)反法(fa)定程序。PPP項目實踐中出現該類(lei)行(xing)政違(wei)法(fa)并容易引發相關(guan)爭議的情形主要包括：
（1）PPP立項審批程序違(wei)法(fa)
立(li)項(xiang)審批(pi)程(cheng)(cheng)序違(wei)法是指(zhi)政(zheng)府方(fang)未按照法律規定的(de)(de)PPP項(xiang)目操作流程(cheng)(cheng)完成或遺漏可行(xing)性研(yan)究、財政(zheng)承受能力論證、物有(you)所(suo)值評估和實施方(fang)案的(de)(de)編制與(yu)審批(pi)等程(cheng)(cheng)序性事項(xiang)，該(gai)類違(wei)法行(xing)政(zheng)行(xing)為(wei)需(xu)要根(gen)據違(wei)法行(xing)為(wei)產生(sheng)的(de)(de)法律后(hou)果(guo)分別定性分析。
（2）社(she)會資本方選擇(ze)程序違(wei)法
根據相關(guan)規定，社會(hui)資本(ben)方(fang)(fang)(fang)選擇(ze)(ze)方(fang)(fang)(fang)式(shi)包括公(gong)開招標(biao)、邀請招標(biao)、兩階段招標(biao)、競(jing)爭(zheng)(zheng)性(xing)談判、競(jing)爭(zheng)(zheng)性(xing)磋商(shang)、單一(yi)來源(yuan)采(cai)(cai)購(gou)等(deng)方(fang)(fang)(fang)式(shi)，不同(tong)項(xiang)目(mu)對應不同(tong)采(cai)(cai)購(gou)方(fang)(fang)(fang)式(shi)。另外選擇(ze)(ze)程序中(zhong)可(ke)能(neng)存在招標(biao)采(cai)(cai)購(gou)文(wen)件編制缺陷問(wen)題、時間(jian)不足問(wen)題、評標(biao)抽取問(wen)題、中(zhong)標(biao)結果公(gong)告問(wen)題等(deng)。社會(hui)資本(ben)方(fang)(fang)(fang)選擇(ze)(ze)程序不當主(zhu)要是指(zhi)實(shi)施(shi)機構未按(an)照規定的(de)方(fang)(fang)(fang)式(shi)選擇(ze)(ze)社會(hui)資本(ben)方(fang)(fang)(fang)，如應采(cai)(cai)用(yong)(yong)(yong)招標(biao)方(fang)(fang)(fang)式(shi)選擇(ze)(ze)社會(hui)資本(ben)方(fang)(fang)(fang)而采(cai)(cai)用(yong)(yong)(yong)其他方(fang)(fang)(fang)式(shi)的(de)情(qing)形。實(shi)踐中(zhong)較常見的(de)是，采(cai)(cai)用(yong)(yong)(yong)競(jing)爭(zheng)(zheng)性(xing)磋商(shang)的(de)方(fang)(fang)(fang)式(shi)是否可(ke)以合(he)法的(de)實(shi)現施(shi)工企業參與(yu)PPP項(xiang)目(mu)“兩招并一(yi)招”的(de)目(mu)的(de)。
（3）定價調價機制(zhi)程序違(wei)法
因PPP項(xiang)目關系(xi)公(gong)共利益和(he)公(gong)共安全，故其價(jia)格(ge)確定(ding)(ding)和(he)調(diao)整應當根據《價(jia)格(ge)法(fa)(fa)》第22條(tiao)的(de)規(gui)定(ding)(ding)，開展(zhan)價(jia)格(ge)、成本(ben)調(diao)查(cha)，聽取消(xiao)費者(zhe)(zhe)、經營(ying)者(zhe)(zhe)和(he)有關方(fang)面(mian)的(de)意(yi)見。政(zheng)府價(jia)格(ge)主(zhu)管部門(men)(men)和(he)其他有關部門(men)(men)制定(ding)(ding)政(zheng)府指導價(jia)、政(zheng)府定(ding)(ding)價(jia)，應當開展(zhan)價(jia)格(ge)、成本(ben)調(diao)查(cha)，聽取消(xiao)費者(zhe)(zhe)、經營(ying)者(zhe)(zhe)和(he)有關方(fang)面(mian)的(de)意(yi)見。而定(ding)(ding)價(jia)調(diao)價(jia)機制程序(xu)不(bu)當主(zhu)要是指政(zheng)府違反《價(jia)格(ge)法(fa)(fa)》及相關法(fa)(fa)律(lv)行政(zheng)法(fa)(fa)規(gui)規(gui)定(ding)(ding)進行定(ding)(ding)價(jia)調(diao)價(jia)的(de)行為。
3、行(xing)政行(xing)為內容違法
PPP項(xiang)目實施(shi)(shi)過程中(zhong)(zhong)，政(zheng)(zheng)(zheng)府行政(zheng)(zheng)(zheng)行為內容違法(fa)主要是指行政(zheng)(zheng)(zheng)機關未能(neng)按照法(fa)律的規定(ding)全面履行其應當履行的法(fa)定(ding)義務(wu)，如未按法(fa)律規定(ding)編制(zhi)項(xiang)目實施(shi)(shi)方(fang)案(an)[⑧]，未按法(fa)律規定(ding)進(jin)行物(wu)有(you)所(suo)值評價和財政(zheng)(zheng)(zheng)承受能(neng)力論證(zheng)，未將政(zheng)(zheng)(zheng)府財政(zheng)(zheng)(zheng)缺口補(bu)助納入(ru)財政(zheng)(zheng)(zheng)預算(suan)和中(zhong)(zhong)長期財政(zheng)(zheng)(zheng)規劃等行為。需要說明的是，本(ben)文提及的物(wu)有(you)所(suo)值和財政(zheng)(zheng)(zheng)承受能(neng)力論證(zheng)，并非所(suo)有(you)PPP合同均需經歷之(zhi)程序，僅為舉例說明。
行(xing)政行(xing)為不當對PPP合同效力(li)的(de)影(ying)響
關于行(xing)政(zheng)(zheng)行(xing)為(wei)(wei)不(bu)當(dang)對(dui)PPP合同效力的(de)影響，在此，筆者認為(wei)(wei)該問題首先涉及PPP合同為(wei)(wei)行(xing)政(zheng)(zheng)合同還(huan)是(shi)民事(shi)(shi)合同之爭(zheng)，亦即調(diao)整(zheng)該法(fa)律事(shi)(shi)項的(de)規則應(ying)采用(yong)合同法(fa)還(huan)是(shi)行(xing)政(zheng)(zheng)法(fa)的(de)問題。
關(guan)(guan)于(yu)(yu)PPP合(he)(he)同(tong)(tong)(tong)性(xing)質(zhi)，于(yu)(yu)安教(jiao)授認為(wei)“在公(gong)(gong)私兩個部門(men)的(de)(de)(de)政(zheng)企(qi)合(he)(he)作中(zhong)(zhong)，公(gong)(gong)共(gong)利益與企(qi)業利益共(gong)存(cun)，是(shi)PPP機制的(de)(de)(de)最大優(you)勢(shi)。但是(shi)公(gong)(gong)私兩種(zhong)利益和公(gong)(gong)私兩種(zhong)法(fa)律因素的(de)(de)(de)共(gong)存(cun)也(ye)是(shi)困擾PPP合(he)(he)同(tong)(tong)(tong)法(fa)律屬性(xing)判斷的(de)(de)(de)主要(yao)因素。所以(yi)，關(guan)(guan)鍵就在于(yu)(yu)對(dui)合(he)(he)同(tong)(tong)(tong)中(zhong)(zhong)的(de)(de)(de)兩種(zhong)因素進(jin)行(xing)(xing)(xing)區分(fen)并作出(chu)制度性(xing)安排。”同(tong)(tong)(tong)時提出(chu)“把(ba)合(he)(he)同(tong)(tong)(tong)中(zhong)(zhong)法(fa)定(ding)義務的(de)(de)(de)履(lv)行(xing)(xing)(xing)與約(yue)定(ding)義務的(de)(de)(de)履(lv)行(xing)(xing)(xing)分(fen)開安排，法(fa)定(ding)義務的(de)(de)(de)履(lv)行(xing)(xing)(xing)爭(zheng)議(yi)(yi)進(jin)入行(xing)(xing)(xing)政(zheng)訴訟程(cheng)序(xu)處(chu)(chu)理，約(yue)定(ding)義務的(de)(de)(de)履(lv)行(xing)(xing)(xing)進(jin)入民事渠道解(jie)決，包括(kuo)民事仲(zhong)裁(cai)程(cheng)序(xu)，這樣一(yi)來，PPP合(he)(he)同(tong)(tong)(tong)本身也(ye)沒有(you)必要(yao)一(yi)定(ding)設定(ding)為(wei)行(xing)(xing)(xing)政(zheng)合(he)(he)同(tong)(tong)(tong)或(huo)者(zhe)行(xing)(xing)(xing)政(zheng)協議(yi)(yi)。稱謂上也(ye)可以(yi)是(shi)‘涉(she)(she)公(gong)(gong)益合(he)(he)同(tong)(tong)(tong)’。涉(she)(she)公(gong)(gong)益合(he)(he)同(tong)(tong)(tong)的(de)(de)(de)特點在于(yu)(yu)，它的(de)(de)(de)內(nei)容含有(you)公(gong)(gong)共(gong)義務，但是(shi)爭(zheng)議(yi)(yi)處(chu)(chu)理可以(yi)實行(xing)(xing)(xing)兩分(fen)法(fa)。”筆者(zhe)非(fei)常贊(zan)同(tong)(tong)(tong)于(yu)(yu)安老(lao)師(shi)的(de)(de)(de)觀點，關(guan)(guan)于(yu)(yu)PPP合(he)(he)同(tong)(tong)(tong)的(de)(de)(de)性(xing)質(zhi)及爭(zheng)議(yi)(yi)解(jie)決，筆者(zhe)曾在《特許經(jing)營協議(yi)(yi)的(de)(de)(de)法(fa)律性(xing)質(zhi)及可仲(zhong)裁(cai)性(xing)研究(jiu)》一(yi)文中(zhong)(zhong)進(jin)行(xing)(xing)(xing)過(guo)詳(xiang)細(xi)分(fen)析，認為(wei)PPP合(he)(he)同(tong)(tong)(tong)兼具行(xing)(xing)(xing)政(zheng)合(he)(he)同(tong)(tong)(tong)和民事合(he)(he)同(tong)(tong)(tong)的(de)(de)(de)性(xing)質(zhi)，是(shi)一(yi)類復合(he)(he)型(xing)法(fa)律關(guan)(guan)系，與之相(xiang)(xiang)關(guan)(guan)的(de)(de)(de)爭(zheng)議(yi)(yi)性(xing)質(zhi)自然也(ye)不宜一(yi)概而論，需結合(he)(he)相(xiang)(xiang)關(guan)(guan)訴請(qing)的(de)(de)(de)性(xing)質(zhi)及法(fa)律關(guan)(guan)系的(de)(de)(de)具體內(nei)容進(jin)行(xing)(xing)(xing)認定(ding)。
縱然PPP合(he)同可能包含(han)(han)多種法(fa)律關系，但從(cong)政(zheng)府、社(she)(she)會資本方和公共產品(pin)社(she)(she)會大眾(zhong)(zhong)受益(yi)人的角度審視，確(que)實有眾(zhong)(zhong)多重要的內容包含(han)(han)了行(xing)(xing)(xing)(xing)政(zheng)法(fa)律關系，因此本文暫且從(cong)行(xing)(xing)(xing)(xing)政(zheng)法(fa)角度分析違法(fa)行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)對(dui)PPP合(he)同效力的影響，后續(xu)另行(xing)(xing)(xing)(xing)撰文從(cong)民事合(he)同角度分析行(xing)(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)(xing)為(wei)不當對(dui)PPP合(he)同效力的影響。
在此選擇以下幾類(lei)常見的行(xing)政行(xing)為不(bu)當(dang)情形并結合相關(guan)判例，逐一分析(xi)其對(dui)對(dui)PPP合同效力的影響。
1、 實施機構(gou)授(shou)權不(bu)當對(dui)合同效力的(de)影響
根(gen)據《基礎設(she)施(shi)和公用事業特許經營(ying)管理辦法(fa)》第14條的(de)規定：“縣(xian)級以上人(ren)民政(zheng)府應(ying)(ying)當授權(quan)有(you)(you)關(guan)部(bu)門(men)或(huo)單位作(zuo)為(wei)(wei)實(shi)施(shi)機(ji)(ji)構(gou)(gou)負責(ze)特許經營(ying)項目有(you)(you)關(guan)實(shi)施(shi)工作(zuo)，并明確具體授權(quan)范圍”，以及(ji)《政(zheng)府和社(she)會(hui)資(zi)本合作(zuo)模式操作(zuo)指南（試行(xing)）》（財(cai)金〔2014〕113號）等相(xiang)(xiang)關(guan)規定，實(shi)施(shi)機(ji)(ji)構(gou)(gou)經過授權(quan)，獲得政(zheng)府享有(you)(you)的(de)部(bu)分行(xing)政(zheng)權(quan)力，方(fang)可以自己的(de)名義獨立開展PPP項目相(xiang)(xiang)關(guan)工作(zuo)，與(yu)中選(xuan)社(she)會(hui)資(zi)本簽訂PPP合同，作(zuo)為(wei)(wei)PPP合同主體向社(she)會(hui)資(zi)本履行(xing)相(xiang)(xiang)應(ying)(ying)義務，獨立承擔授權(quan)范圍內(nei)行(xing)政(zheng)行(xing)為(wei)(wei)產生的(de)法(fa)律(lv)責(ze)任(ren)。根(gen)據前述規定，實(shi)施(shi)機(ji)(ji)構(gou)(gou)應(ying)(ying)取得相(xiang)(xiang)關(guan)授權(quan)并在授權(quan)范圍內(nei)實(shi)施(shi)與(yu)PPP項目相(xiang)(xiang)關(guan)的(de)行(xing)政(zheng)行(xing)為(wei)(wei)。
根據《行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)訴(su)訟法(fa)》第70條(tiao)的(de)(de)(de)(de)(de)規定(ding)，若行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)主體超越(yue)職(zhi)(zhi)權(quan)(quan)做(zuo)出具體行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)，則應當(dang)依法(fa)撤銷或責令被(bei)訴(su)行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)主體重新作出具體行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)。盡管根據目(mu)前行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)法(fa)學界(jie)的(de)(de)(de)(de)(de)“雙階”[11]，的(de)(de)(de)(de)(de)法(fa)律性質被(bei)確定(ding)為(wei)(wei)(wei)“行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)+合(he)同(tong)(tong)行(xing)(xing)(xing)(xing)為(wei)(wei)(wei)”，但是行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)權(quan)(quan)利的(de)(de)(de)(de)(de)行(xing)(xing)(xing)(xing)使應遵(zun)循“法(fa)無授權(quan)(quan)不(bu)(bu)可為(wei)(wei)(wei)”的(de)(de)(de)(de)(de)基本原則，故未經(jing)合(he)法(fa)授權(quan)(quan)或超出授權(quan)(quan)范圍之外與社會資本簽訂的(de)(de)(de)(de)(de)PPP合(he)同(tong)(tong)應認定(ding)為(wei)(wei)(wei)無效。需要注意的(de)(de)(de)(de)(de)是，行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)職(zhi)(zhi)權(quan)(quan)的(de)(de)(de)(de)(de)法(fa)定(ding)性特點，決定(ding)了轉委(wei)托授權(quan)(quan)亦需要法(fa)定(ding)，原實(shi)施機構不(bu)(bu)可任意將行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)審批(pi)權(quan)(quan)等權(quan)(quan)力(li)轉委(wei)托給平(ping)臺公司(si)實(shi)施，實(shi)踐中該(gai)種(zhong)權(quan)(quan)利義務的(de)(de)(de)(de)(de)行(xing)(xing)(xing)(xing)使也不(bu)(bu)可能實(shi)現合(he)同(tong)(tong)目(mu)的(de)(de)(de)(de)(de)，畢竟行(xing)(xing)(xing)(xing)政(zheng)(zheng)(zheng)權(quan)(quan)的(de)(de)(de)(de)(de)行(xing)(xing)(xing)(xing)使與民事(shi)合(he)同(tong)(tong)的(de)(de)(de)(de)(de)履行(xing)(xing)(xing)(xing)有天壤之別。
2、 特(te)許經營者選擇(ze)程序不當對合同效(xiao)力(li)的影響
特許經(jing)營項(xiang)目(mu)和PPP項(xiang)目(mu)的(de)社(she)會投(tou)資(zi)人(ren)選(xuan)擇(ze)，屬于服務的(de)行(xing)為，應當按照《》的(de)規定(ding)(ding)完成(cheng)社(she)會投(tou)資(zi)人(ren)的(de)選(xuan)擇(ze)，如果未經(jing)規定(ding)(ding)程序直接簽訂特許經(jing)營合同(tong)，則該合同(tong)將面臨無(wu)效(xiao)的(de)法律風險，以(yi)下選(xuan)擇(ze)一個法院判決(jue)無(wu)效(xiao)的(de)予以(yi)分析：
如某(mou)地華(hua)(hua)燃(ran)天然氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)與(yu)京(jing)(jing)山(shan)(shan)縣城管(guan)局簽(qian)訂《框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)書(shu)(shu)(shu)》[12]約定(ding)(ding)(ding)該(gai)(gai)天然氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)在該(gai)(gai)市轄區內部分鄉鎮(zhen)進(jin)行管(guan)道(dao)(dao)天然氣(qi)的(de)投資(zi)、建設和經(jing)營(ying)(ying)；在框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)地域范圍內，由(you)華(hua)(hua)燃(ran)天然氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)獨家經(jing)營(ying)(ying)管(guan)道(dao)(dao)天然氣(qi)業務。第(di)三(san)人(ren)(ren)(ren)京(jing)(jing)山(shan)(shan)華(hua)(hua)潤(run)燃(ran)氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)對該(gai)(gai)《框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)書(shu)(shu)(shu)》不服(fu)，向被(bei)告荊門市人(ren)(ren)(ren)民(min)政府(fu)申(shen)請(qing)，被(bei)申(shen)請(qing)人(ren)(ren)(ren)是(shi)京(jing)(jing)山(shan)(shan)縣人(ren)(ren)(ren)民(min)政府(fu)、京(jing)(jing)山(shan)(shan)縣城管(guan)局，第(di)三(san)人(ren)(ren)(ren)是(shi)華(hua)(hua)燃(ran)天然氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)。被(bei)申(shen)請(qing)人(ren)(ren)(ren)作出決定(ding)(ding)(ding)書(shu)(shu)(shu)，認定(ding)(ding)(ding)《框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)書(shu)(shu)(shu)》未(wei)(wei)經(jing)京(jing)(jing)山(shan)(shan)縣人(ren)(ren)(ren)民(min)政府(fu)批準(zhun)，違反了法定(ding)(ding)(ding)程(cheng)序(xu)，確(que)認該(gai)(gai)《框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)書(shu)(shu)(shu)》無效。華(hua)(hua)燃(ran)天然氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)不服(fu)該(gai)(gai)行政復議(yi)(yi)(yi)(yi)決定(ding)(ding)(ding)，訴至人(ren)(ren)(ren)民(min)法院。法院經(jing)審查認定(ding)(ding)(ding)，《框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)書(shu)(shu)(shu)》實為特許經(jing)營(ying)(ying)協(xie)(xie)議(yi)(yi)(yi)(yi)，該(gai)(gai)特許經(jing)營(ying)(ying)未(wei)(wei)經(jing)過招標投標程(cheng)序(xu)，侵犯了包(bao)括第(di)三(san)人(ren)(ren)(ren)在內的(de)其他經(jing)營(ying)(ying)者(zhe)的(de)公(gong)(gong)(gong)(gong)平競爭權，京(jing)(jing)山(shan)(shan)縣城管(guan)局未(wei)(wei)依法組織招標投標程(cheng)序(xu)，也沒有(you)經(jing)京(jing)(jing)山(shan)(shan)縣人(ren)(ren)(ren)民(min)政府(fu)的(de)批準(zhun)，違反法定(ding)(ding)(ding)程(cheng)序(xu)與(yu)華(hua)(hua)燃(ran)天然氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)簽(qian)訂《框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)書(shu)(shu)(shu)》，華(hua)(hua)燃(ran)天然氣(qi)公(gong)(gong)(gong)(gong)司(si)(si)雖無過錯，但京(jing)(jing)山(shan)(shan)縣城管(guan)局的(de)行政行為違反法定(ding)(ding)(ding)程(cheng)序(xu)，《框(kuang)(kuang)(kuang)架(jia)(jia)協(xie)(xie)議(yi)(yi)(yi)(yi)書(shu)(shu)(shu)》無效。
結合上述可知，特(te)許經營(ying)(ying)權授權違反社會(hui)資本(ben)選(xuan)擇(ze)法(fa)定程序的，特(te)許經營(ying)(ying)合同無效。
3、 項目前期(qi)手續違(wei)法對合同效力的影響
根據《政(zheng)府和(he)社會資(zi)本(ben)(ben)合作(zuo)模(mo)式操作(zuo)指(zhi)南（試(shi)行(xing)）》第9條(tiao)、《政(zheng)府和(he)社會資(zi)本(ben)(ben)合作(zuo)項(xiang)目(mu)財(cai)政(zheng)承受能力(li)論證(zheng)指(zhi)引》第5條(tiao)等相關規定，如未通過財(cai)政(zheng)承受能力(li)論證(zheng)，則項(xiang)目(mu)不(bu)宜采用。
另(ling)外，根據《國務(wu)院辦公(gong)(gong)廳轉發(fa)財政(zheng)(zheng)部發(fa)展改革委(wei)人(ren)民銀(yin)行關于在(zai)(zai)公(gong)(gong)共服務(wu)領(ling)域推廣政(zheng)(zheng)府(fu)(fu)和社會資(zi)本(ben)合作模式(shi)指導意見的(de)(de)(de)通(tong)(tong)知》（國辦發(fa)〔2015〕42號）的(de)(de)(de)精神，若PPP項(xiang)目(mu)(mu)未通(tong)(tong)過財政(zheng)(zheng)承受能力論證(zheng)而強(qiang)行實(shi)施(shi)則可能導致加重(zhong)地方政(zheng)(zheng)府(fu)(fu)債務(wu)風險。如某高速公(gong)(gong)路BOT項(xiang)目(mu)(mu)，政(zheng)(zheng)府(fu)(fu)編制的(de)(de)(de)實(shi)施(shi)方案中對該(gai)項(xiang)目(mu)(mu)所(suo)在(zai)(zai)區域未來的(de)(de)(de)客(ke)流(liu)量預測(ce)數據與項(xiang)目(mu)(mu)進入運(yun)營(ying)期后的(de)(de)(de)實(shi)際(ji)流(liu)量存(cun)在(zai)(zai)巨(ju)大偏(pian)差，導致項(xiang)目(mu)(mu)運(yun)營(ying)收(shou)入低下，項(xiang)目(mu)(mu)公(gong)(gong)司嚴重(zhong)入不(bu)敷(fu)出，社會投(tou)資(zi)人(ren)無法收(shou)回投(tou)資(zi)成本(ben)及合理(li)收(shou)益，最終社會投(tou)資(zi)人(ren)被(bei)迫提前退出該(gai)項(xiang)目(mu)(mu)，政(zheng)(zheng)府(fu)(fu)接管該(gai)項(xiang)目(mu)(mu)后加重(zhong)了地方政(zheng)(zheng)府(fu)(fu)的(de)(de)(de)財政(zheng)(zheng)負擔。
對于(yu)財(cai)(cai)政(zheng)(zheng)預算支付(fu)類PPP項(xiang)目，物有所值(zhi)評(ping)估和財(cai)(cai)政(zheng)(zheng)承受(shou)能(neng)力論(lun)(lun)證、實施方案等手續是識別(bie)測算項(xiang)目是否可以實施的(de)(de)重要依(yi)據(ju)，如果(guo)未能(neng)按照規定開展前述論(lun)(lun)證，則PPP合(he)同(tong)(tong)違反了行(xing)政(zheng)(zheng)法(fa)規和行(xing)政(zheng)(zheng)規范性(xing)文(wen)件，同(tong)(tong)時(shi)當然地對民事合(he)同(tong)(tong)部分之(zhi)合(he)同(tong)(tong)目的(de)(de)無(wu)法(fa)實現，繼而(er)損害(hai)當事人(ren)的(de)(de)利(li)益和社會公(gong)共利(li)益，根據(ju)行(xing)政(zheng)(zheng)法(fa)和合(he)同(tong)(tong)法(fa)的(de)(de)基本(ben)法(fa)理，該種(zhong)情形下簽訂(ding)的(de)(de)PPP合(he)同(tong)(tong)同(tong)(tong)樣將面臨認定為無(wu)效的(de)(de)風(feng)險。
4、特許(xu)經營權(quan)轉讓程序違法對合(he)同(tong)效(xiao)力的影響
特(te)許(xu)經(jing)營權作為公共產(chan)(chan)品(pin)和(he)服務的(de)配置(zhi)方(fang)式，為典型(xing)的(de)影響(xiang)到社會(hui)公共利益(yi)的(de)資(zi)(zi)產(chan)(chan)性權益(yi)，特(te)許(xu)經(jing)營權益(yi)轉讓(rang)(rang)過程中(zhong)，應當嚴格(ge)按照特(te)許(xu)經(jing)營權轉讓(rang)(rang)的(de)特(te)別法律規定和(he)國有資(zi)(zi)產(chan)(chan)管理法中(zhong)關(guan)于國有資(zi)(zi)產(chan)(chan)轉讓(rang)(rang)的(de)要求實(shi)施，包括資(zi)(zi)產(chan)(chan)評估和(he)進場(chang)交易等(deng)方(fang)面的(de)規定程序。
如某市公(gong)(gong)(gong)(gong)交(jiao)運(yun)(yun)(yun)(yun)營(ying)(ying)特(te)許經(jing)(jing)(jing)(jing)(jing)營(ying)(ying)項(xiang)目(mu)，在沒(mei)有對原特(te)許經(jing)(jing)(jing)(jing)(jing)營(ying)(ying)者(zhe)進行清(qing)理、整頓、重新報該省政(zheng)(zheng)(zheng)府批(pi)準的(de)情(qing)況下，建(jian)設(she)(she)局(ju)即以(yi)《出(chu)讓(rang)(rang)(rang)(rang)合(he)同》的(de)形(xing)式(shi)將(jiang)城市公(gong)(gong)(gong)(gong)交(jiao)運(yun)(yun)(yun)(yun)營(ying)(ying)權有償出(chu)讓(rang)(rang)(rang)(rang)給(gei)第三人，原特(te)許經(jing)(jing)(jing)(jing)(jing)營(ying)(ying)者(zhe)以(yi)建(jian)設(she)(she)局(ju)未按(an)照特(te)許經(jing)(jing)(jing)(jing)(jing)營(ying)(ying)合(he)同約定(ding)(ding)和(he)特(te)許經(jing)(jing)(jing)(jing)(jing)營(ying)(ying)權轉(zhuan)讓(rang)(rang)(rang)(rang)規定(ding)(ding)告知其并(bing)履行相關手續為(wei)由，向人民法(fa)院(yuan)起訴請求建(jian)設(she)(she)局(ju)與(yu)第三人簽訂的(de)《出(chu)讓(rang)(rang)(rang)(rang)合(he)同》無(wu)效。法(fa)院(yuan)經(jing)(jing)(jing)(jing)(jing)審查認定(ding)(ding)，城市公(gong)(gong)(gong)(gong)共(gong)客運(yun)(yun)(yun)(yun)交(jiao)通經(jing)(jing)(jing)(jing)(jing)營(ying)(ying)權是公(gong)(gong)(gong)(gong)共(gong)資(zi)源，其出(chu)讓(rang)(rang)(rang)(rang)屬于行政(zheng)(zheng)(zheng)許可范疇。在市場經(jing)(jing)(jing)(jing)(jing)濟條件下，對公(gong)(gong)(gong)(gong)共(gong)資(zi)源的(de)行政(zheng)(zheng)(zheng)許可，應(ying)當依(yi)法(fa)堅持公(gong)(gong)(gong)(gong)正、公(gong)(gong)(gong)(gong)開(kai)、公(gong)(gong)(gong)(gong)平的(de)原則(ze)，依(yi)照法(fa)律法(fa)規及(ji)行政(zheng)(zheng)(zheng)規章規定(ding)(ding)的(de)形(xing)式(shi)和(he)程(cheng)序，采取公(gong)(gong)(gong)(gong)開(kai)招標(biao)、競(jing)爭擇優的(de)方(fang)式(shi)確定(ding)(ding)行政(zheng)(zheng)(zheng)許可的(de)對象，以(yi)維護公(gong)(gong)(gong)(gong)平競(jing)爭和(he)公(gong)(gong)(gong)(gong)共(gong)利益(yi)。建(jian)設(she)(she)局(ju)無(wu)視這些規定(ding)(ding)，不經(jing)(jing)(jing)(jing)(jing)過任(ren)何法(fa)定(ding)(ding)的(de)程(cheng)序，將(jiang)城市公(gong)(gong)(gong)(gong)共(gong)客運(yun)(yun)(yun)(yun)交(jiao)通經(jing)(jing)(jing)(jing)(jing)營(ying)(ying)權以(yi)出(chu)讓(rang)(rang)(rang)(rang)合(he)同的(de)方(fang)式(shi)出(chu)讓(rang)(rang)(rang)(rang)給(gei)一(yi)家尚未依(yi)法(fa)成(cheng)立(li)的(de)公(gong)(gong)(gong)(gong)司(si)，違反法(fa)律法(fa)規及(ji)規章規定(ding)(ding)，故該具體(ti)行政(zheng)(zheng)(zheng)行為(wei)應(ying)予撤銷(xiao)。
故根(gen)據上述案例，特(te)(te)許(xu)經營(ying)權(quan)未按照規定程序進行(xing)轉(zhuan)讓的，該特(te)(te)許(xu)經營(ying)授權(quan)行(xing)為應當(dang)依法(fa)予以撤銷，特(te)(te)許(xu)經營(ying)合同則應認定為無效。
行政行為(wei)不(bu)當風險防范(fan)建(jian)議
結合上(shang)述行政行為不(bu)當可能(neng)對PPP合同效(xiao)力產生的不(bu)良影(ying)響的分析，筆者認為應從(cong)以下角度進行此類風險防范：
第一，PPP項(xiang)目(mu)(mu)的(de)全過程(cheng)推進中，應(ying)當嚴格按(an)照法律(lv)和(he)規范政(zheng)策文件(jian)要求完(wan)成(cheng)相應(ying)的(de)行政(zheng)活動，如對立項(xiang)、可行性研(yan)究報告(gao)、物有所值(zhi)、財政(zheng)承受(shou)能力(li)論證(zheng)和(he)實施(shi)方案(an)等(deng)事項(xiang)是否(fou)完(wan)成(cheng)審(shen)批與核準(zhun)，以(yi)及與PPP項(xiang)目(mu)(mu)合(he)同關(guan)聯的(de)其他必要前置性合(he)法手續，避免(mian)因(yin)前期文件(jian)缺失導(dao)致合(he)同無效風(feng)險(xian)。
第二，嚴格遵(zun)守(shou)法(fa)定(ding)(ding)的(de)社會資本遴選程(cheng)序，防止(zhi)因項目(mu)采(cai)購(gou)程(cheng)序違法(fa)導致PPP合(he)同無效(xiao)。實施機構應嚴格遵(zun)守(shou)PPP項目(mu)采(cai)購(gou)規(gui)定(ding)(ding)，按(an)照《招標投標法(fa)》、《》和《基礎設施和公用事業特許經營管(guan)理(li)辦法(fa)》等規(gui)定(ding)(ding)的(de)法(fa)定(ding)(ding)程(cheng)序選擇PPP項目(mu)社會資本方，簽訂PPP合(he)同。
第三(san)，PPP合同簽(qian)署(shu)前應當確認政(zheng)府方簽(qian)約(yue)主(zhu)體是否依法(fa)取得授(shou)權(quan)，其授(shou)權(quan)范(fan)圍(wei)是否涵蓋(gai)了實施(shi)本項目所應當具備的職能，避免(mian)由于簽(qian)約(yue)主(zhu)體不(bu)適格或PPP合同內容超出授(shou)權(quan)范(fan)圍(wei)導致合同無效。
第(di)四，為避免(mian)因PPP權利取得(de)或(huo)轉讓程序違(wei)法導致合同(tong)(tong)無效風險(xian)，政府和社會資本方應當(dang)在(zai)PPP合同(tong)(tong)中明確(que)特許(xu)經營權取得(de)、退出、轉讓、移交等(deng)等(deng)事(shi)項(xiang)，同(tong)(tong)時應當(dang)保障PPP項(xiang)目提供(gong)的公(gong)共(gong)產品和服務(wu)的連續性、穩定(ding)性和質(zhi)量。
第(di)五，政府和社會資(zi)本方應當嚴格(ge)按(an)照《價(jia)(jia)(jia)格(ge)法》、PPP項目定(ding)(ding)價(jia)(jia)(jia)機制等規定(ding)(ding)合理確定(ding)(ding)價(jia)(jia)(jia)格(ge)確定(ding)(ding)及調(diao)(diao)(diao)整機制，包括(kuo)定(ding)(ding)價(jia)(jia)(jia)和調(diao)(diao)(diao)價(jia)(jia)(jia)的(de)(de)啟動、審批(pi)以及聽證(zheng)和公示等方面，應當嚴格(ge)按(an)照規定(ding)(ding)的(de)(de)程序開(kai)展價(jia)(jia)(jia)格(ge)調(diao)(diao)(diao)整活動。
第六(liu)，政(zheng)(zheng)府和(he)社會資本方在實(shi)施PPP項(xiang)(xiang)目(mu)時，應當(dang)強化(hua)契約意識和(he)職權(quan)(quan)法(fa)(fa)定(ding)原(yuan)則，簽訂合法(fa)(fa)有效的(de)PPP合同，對于非政(zheng)(zheng)府行政(zheng)(zheng)職權(quan)(quan)范(fan)圍(wei)內的(de)事項(xiang)(xiang)，如績效考核(he)等，可委(wei)托社會第三方開(kai)展進行，對于政(zheng)(zheng)府承諾(nuo)給予(yu)項(xiang)(xiang)目(mu)的(de)政(zheng)(zheng)策支持(chi)和(he)相(xiang)關權(quan)(quan)益，及時以合法(fa)(fa)有效的(de)文(wen)件形式予(yu)以落實(shi)，以保障自身合法(fa)(fa)權(quan)(quan)益。
結語
縱觀行(xing)(xing)(xing)政(zheng)之(zhi)瑕(xia)落解契約之(zhi)訟的(de)(de)關(guan)鍵在于(yu)行(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)為(wei)(wei)合(he)規(gui)合(he)法，政(zheng)府行(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)為(wei)(wei)對(dui)PPP合(he)同(tong)效力具有(you)極(ji)其(qi)重要影響，故筆(bi)者進一步認為(wei)(wei)，PPP項(xiang)(xiang)目參(can)與各方應(ying)強化(hua)(hua)(hua)履(lv)約意識和風險意識，結(jie)合(he)專業律師的(de)(de)建議，針對(dui)不同(tong)的(de)(de)風險采取有(you)效的(de)(de)防范措施，以(yi)盡量減(jian)少PPP項(xiang)(xiang)目因行(xing)(xing)(xing)政(zheng)行(xing)(xing)(xing)為(wei)(wei)不當導致的(de)(de)糾紛，推動我國(guo)PPP項(xiang)(xiang)目規(gui)范化(hua)(hua)(hua)操作的(de)(de)發展，為(wei)(wei)轉變政(zheng)府職能、激發社(she)會資(zi)本(ben)活力、加(jia)快新(xin)型城鎮化(hua)(hua)(hua)建設創造條件(jian)。
郭總：
張總：
總部地(di)址：安徽省(sheng)阜陽市(shi)潁州區潁淮(huai)大道588號金悅金融中心B座11樓
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