行政法视野下的BOT特许协议法律问题研究

发布时间：2018-03-18 14:06

本文选题：BOT特许协议　切入点：行政优益权　出处：《天津师范大学》2017年硕士论文　论文类型：学位论文

【摘要】：BOT的英文全称是Build-Operate-Transfer,中文译为"建设-运营-移交",主要应用于一国的公用事业及基础设施领域。BOT投融资模式对于减轻政府部门的财政负担,吸揽社会资金参与到公用事业及基础设施的建设,推动我国公共服务的快速发展具有十分重要的意义。BOT项目在运作过程中呈现出复杂性、专业性的特点,而BOT特许协议在整个BOT项目的运作过程中起着基础性作用。本文主要分为四个部分,第一部分对BOT项目的内涵及其特征进行了简要概述。通过国内外对BOT项目内涵的归纳,总结出了 BOT项目所具备的三个主要特征,并运用比较研究的方法对BOT与PPP的联系与区别作了分析,指出BOT是PPP运作模式中十分常见的一种,PPP包含BOT模式;但是,与狭义的PPP模式相比,BOT模式中政府的参与程度更高,行政性色彩更为浓厚。在此基础上,引出BOT特许协议的含义以及其对整个BOT项目的核心作用。第二部分对BOT特许协议的性质进行了界定。目前学者对BOT特许协议性质的理论争议主要在于对特许协议是经济合同、民商事合同还是行政合同有不同的认知。笔者对这三种观点进行了分析,明确了 BOT特许协议在本质上属于行政合同。第三部分对BOT特许协议中政府的作用进行了分析。政府在BOT项目中具有双重身份,一方面,政府是特许协议的一方当事人;另一方面,政府是公共事务的管理者。基于BOT特许协议行政合同的性质以及政府的双重身份,在BOT特许协议中,政府享有一定的行政优益权,以保障社会公共利益;主要体现在:政府对BOT特许权协议的相对方有选择权;对协议履行情况的指导与监管权;对协议的单方变更和解除权以及对协议相对方的制裁权。此外,由于BOT项目本身所存在的各种风险,政府为了表明其对项目建设的支持态度,一般情况下有必要对投资者作出一些给予优惠和便利的承诺,以便给投资者信心;但是应明确的是,政府保证不同于担保法中的保证,而应被看做是一种履约保证。第四部分是有关BOT特许协议履行过程中的保障与救济制度。政府部门在行政优益权的行使过程中以及在政府保证中很可能会存在一些不当行为,为避免上述问题的出现,笔者提出了行政优益权的行使以及政府保证中应当遵循的原则。此外,对于特许协议引发的纠纷,笔者提出了协商调解、行政仲裁等司法外的救济途径,并对其如何与行政诉讼法衔接进行了探讨。
[Abstract]:BOT is called Build-Operate-Transfer. it is mainly used in public utilities and infrastructure in a country. Attracting social funds to participate in the construction of public utilities and infrastructure, promoting the rapid development of public services in China has a very important significance. The BOT concession agreement plays a fundamental role in the operation of the whole BOT project. This paper is divided into four parts. In the first part, the connotation and characteristics of the BOT project are briefly summarized, and the connotation of the BOT project is summarized at home and abroad. In this paper, three main characteristics of BOT project are summarized, and the relationship and difference between BOT and PPP are analyzed by means of comparative study. It is pointed out that BOT is a very common PPP mode including BOT mode. Compared with the narrow PPP model, the government participation is higher and the administrative color is more strong in the bot model. On this basis, The second part defines the nature of the BOT concession agreement. At present, the theoretical dispute about the nature of BOT concession agreement mainly lies in the fact that the concession agreement is an economic contract. Civil and commercial contracts or administrative contracts have different cognition. The third part analyzes the role of the government in the BOT concession agreement. The government has a dual identity in the BOT project. On the one hand, the government is a party to the concession agreement; On the other hand, the government is the manager of public affairs. Based on the nature of the administrative contract of the BOT concession agreement and the dual identity of the government, in the BOT concession agreement, the government enjoys certain administrative advantages in order to protect the social public interests. Mainly reflected in: the government has the option to the counterpart of the BOT concession agreement; the right to guide and supervise the implementation of the agreement; the right to unilaterally change and remove the agreement; and the right to sanction the opposite party to the agreement. Because of the various risks of the BOT project itself, in order to show its support attitude to the construction of the project, it is necessary for the government to give some preferential and convenient promises to the investors in order to give investors confidence. It should be made clear, however, that government guarantees are different from those in the guaranty law. It should be regarded as a kind of performance guarantee. 4th part is about the safeguard and relief system in the process of BOT concession agreement performance. There may be some improper behavior in the process of exercising the administrative beneficial right and in the government guarantee. In order to avoid the above problems, the author puts forward the principles to be followed in the exercise of the administrative beneficial right and the government guarantee. In addition, for the disputes caused by the concession agreement, the author puts forward the negotiation and mediation. Administrative arbitration and other extralegal remedies, and how to link up with the administrative procedure law are discussed.
【学位授予单位】：天津师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.1

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