發(fā)布時間：2018-01-21 11:35

  本文關鍵詞： BOT項目 特許協(xié)議 政府保證 立法建議　出處：《云南大學》2015年碩士論文　論文類型：學位論文

【摘要】：BOT(Build-Operate-Transfer,建設—經(jīng)營—轉讓)作為上世紀80年代在全世界范圍之內(nèi)所興起的一種新型投融資方式,它將富余私人資本引入到各東道國公共基礎設施建設領域,十分有效地減輕了東道國政府的建設資金負擔、降低了東道國政府的外債風險、提高了國家基礎設施項目運作效率。在此后的幾十年時間里受到全世界各國尤其是發(fā)展中國家歡迎,BOT投融資方式得到了長足的發(fā)展。但是,由于BOT的發(fā)展歷史并不長,對這一投資方式人們并沒有比較深刻地認識,其中的風險值得進行更多的研究。通過對BOT項目風險的法律分析與研究,將更有利于我們探尋利用BOT這種新型的投融資方式去有效地解決東道國政府公用資金短缺與經(jīng)濟發(fā)展對基礎設施建設急迫需求之間的矛盾。目前我國尚未能夠建立起一個相對完備的BOT法律制度體系框架,而現(xiàn)有的關于BOT的法律法規(guī)并不能滿足BOT自身發(fā)展需要。如果我們能構建起相對完善的BOT法律制度體系框架,必將會對解決BOT項目運行當中所面臨的風險產(chǎn)生深刻的現(xiàn)實意義。 本文通過對BOT投融資方式的概述,揭示出其在整個建設經(jīng)營過程中可能會遇到的各種風險,并據(jù)此提出了與之相對應的解決對策,最后根據(jù)我國的BOT立法實踐現(xiàn)狀,提出自己的立法展望。 本文總共包含五大部分內(nèi)容： 第一部分從國內(nèi)外對BOT投融資方式的研究現(xiàn)狀及發(fā)展動態(tài)入手,探尋其具有的現(xiàn)實意義。 第二部分是本文的主體部分,首先從BOT項目的法律性質以及各參與主體之間的法律關系的角度去進行分析,從而為研究這一復雜的法律現(xiàn)象提供充實的理論前提。法律性質方面,筆者認為BOT實質上是一種特許經(jīng)營權合理出讓的法律行為。此外,文章還介紹了參與BOT項目的項目發(fā)起人、項目公司、東道國政府、建筑工程承包商,貸款人、供應商及項目使用人等利益相關主體,并揭示了各主體在這一法律關系中的法律地位以及他們之間的權利義務關系。 第三部分主要是詳盡分析BOT項目的風險,這些風險可能來自于各方面,包括政治風險、金融風險、完工風險、運營風險、市場風險和自然風險等。通過對各單一風險的描述,進而為找到規(guī)避風險的有效機制提供可能。 第四部分通過上述對BOT項目風險的詳盡分析,找到有效規(guī)避BOT項目風險的法律機制,從法律上尋求解決方法。文章提出了通過各利益主體之間的風險分擔,對風險分擔的基本原則、分擔情況進行探討,從而確保BOT項目風險的分擔機制。同時,明確了特許協(xié)議的法律性質,確立了有關的政府保證制度,論述了包括協(xié)商、仲裁及訴訟在內(nèi)的投資爭端解決途徑。 本文的最后部分結合現(xiàn)實分析了我國BOT立法的現(xiàn)狀,總結了當前我們BOT立法所存在的問題。根據(jù)實際當中產(chǎn)生的問題以及所存在的不足,提出一些筆者自己的立法建議,希望能對我國BOT投資方式的發(fā)展有所幫助。
[Abstract]:Bot Build-Operate-Transfering (building-management-transfer) is a new type of investment and financing method which rose in the whole world in -20s. It introduces surplus private capital into the field of public infrastructure construction of host countries, which effectively lightens the burden of construction funds and reduces the external debt risk of host governments. Improved the efficiency of the operation of national infrastructure projects. In the following decades, the countries around the world, especially the developing countries welcome bot investment and financing way has been greatly developed. Because the history of BOT is not long, people do not have a deep understanding of this investment mode, and the risk is worth more research. Through the legal analysis and research on the risk of BOT project. It will be more favorable for us to explore and utilize BOT, a new investment and financing method, to solve the contradiction between the shortage of public funds and the urgent demand for infrastructure construction in the host government. At present, our country has not yet been able to solve the contradiction between the shortage of public funds and the urgent demand for infrastructure construction. Enough to establish a relatively complete BOT legal system framework. However, the existing laws and regulations on BOT can not meet the needs of the development of BOT itself. If we can build a relatively perfect framework of BOT legal system. It will have profound practical significance to solve the risk of BOT project. Based on the overview of the investment and financing methods of BOT, this paper reveals the various risks it may encounter in the whole process of construction and management, and puts forward corresponding solutions accordingly. Finally, according to the current situation of BOT legislation practice in our country, the author puts forward his own legislative outlook. There are five major parts of this article: The first part starts with the research status and development trends of BOT investment and financing methods at home and abroad, and explores its practical significance. The second part is the main part of this paper, first from the legal nature of the BOT project and the legal relationship between the participants to analyze. Therefore, for the study of this complex legal phenomenon to provide a substantial theoretical premise. In terms of legal nature, the author believes that BOT is essentially a legal act of reasonable franchise transfer. In addition. The paper also introduces the project sponsors, project companies, host governments, construction contractors, lenders, suppliers and project users involved in the BOT project. It also reveals the legal status of the subjects in the legal relationship and the relationship between their rights and obligations. The third part is the detailed analysis of BOT project risks, these risks may come from various aspects, including political risk, financial risk, completion risk, operational risk. Market risk and natural risk. Through the description of each single risk, it is possible to find an effective mechanism to avoid risk. Through the detailed analysis of the BOT project risk, the 4th part finds the legal mechanism to avoid the BOT project risk effectively. From the legal point of view, the article puts forward the basic principle and situation of risk sharing through the risk sharing among the stakeholders. At the same time, it clarifies the legal nature of the concession agreement, establishes the relevant government guarantee system, and discusses the negotiation. The settlement of investment disputes including arbitration and litigation. The last part of this paper analyzes the current situation of China's BOT legislation, summarizes the current problems of our BOT legislation, according to the actual problems and shortcomings. The author puts forward some legislative suggestions, hoping to be helpful to the development of BOT investment mode in China.
【學位授予單位】：云南大學
【學位級別】：碩士
【學位授予年份】：2015
【分類號】：D922.28;F283

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本文編號：1451364