BOT项目风险的法律分析与研究

发布时间：2018-01-21 11:35

本文关键词： BOT项目特许协议政府保证立法建议　出处：《云南大学》2015年硕士论文　论文类型：学位论文

【摘要】：BOT(Build-Operate-Transfer,建设—经营—转让)作为上世纪80年代在全世界范围之内所兴起的一种新型投融资方式,它将富余私人资本引入到各东道国公共基础设施建设领域,十分有效地减轻了东道国政府的建设资金负担、降低了东道国政府的外债风险、提高了国家基础设施项目运作效率。在此后的几十年时间里受到全世界各国尤其是发展中国家欢迎,BOT投融资方式得到了长足的发展。但是,由于BOT的发展历史并不长,对这一投资方式人们并没有比较深刻地认识,其中的风险值得进行更多的研究。通过对BOT项目风险的法律分析与研究,将更有利于我们探寻利用BOT这种新型的投融资方式去有效地解决东道国政府公用资金短缺与经济发展对基础设施建设急迫需求之间的矛盾。目前我国尚未能够建立起一个相对完备的BOT法律制度体系框架,而现有的关于BOT的法律法规并不能满足BOT自身发展需要。如果我们能构建起相对完善的BOT法律制度体系框架,必将会对解决BOT项目运行当中所面临的风险产生深刻的现实意义。本文通过对BOT投融资方式的概述,揭示出其在整个建设经营过程中可能会遇到的各种风险,并据此提出了与之相对应的解决对策,最后根据我国的BOT立法实践现状,提出自己的立法展望。本文总共包含五大部分内容：第一部分从国内外对BOT投融资方式的研究现状及发展动态入手,探寻其具有的现实意义。第二部分是本文的主体部分,首先从BOT项目的法律性质以及各参与主体之间的法律关系的角度去进行分析,从而为研究这一复杂的法律现象提供充实的理论前提。法律性质方面,笔者认为BOT实质上是一种特许经营权合理出让的法律行为。此外,文章还介绍了参与BOT项目的项目发起人、项目公司、东道国政府、建筑工程承包商,贷款人、供应商及项目使用人等利益相关主体,并揭示了各主体在这一法律关系中的法律地位以及他们之间的权利义务关系。第三部分主要是详尽分析BOT项目的风险,这些风险可能来自于各方面,包括政治风险、金融风险、完工风险、运营风险、市场风险和自然风险等。通过对各单一风险的描述,进而为找到规避风险的有效机制提供可能。第四部分通过上述对BOT项目风险的详尽分析,找到有效规避BOT项目风险的法律机制,从法律上寻求解决方法。文章提出了通过各利益主体之间的风险分担,对风险分担的基本原则、分担情况进行探讨,从而确保BOT项目风险的分担机制。同时,明确了特许协议的法律性质,确立了有关的政府保证制度,论述了包括协商、仲裁及诉讼在内的投资争端解决途径。本文的最后部分结合现实分析了我国BOT立法的现状,总结了当前我们BOT立法所存在的问题。根据实际当中产生的问题以及所存在的不足,提出一些笔者自己的立法建议,希望能对我国BOT投资方式的发展有所帮助。
[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.
【学位授予单位】：云南大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.28;F283

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