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中文题名:

 BOT特许经营权协议若干法律问题研究    

姓名:

 赵学建    

学科代码:

 0351    

学科专业:

 法律硕士    

学生类型:

 硕士    

学位:

 法律硕士    

学位年度:

 2011    

校区:

 北京校区培养    

学院:

 法学院    

研究方向:

 民商法学    

第一导师姓名:

 韩赤风    

第一导师单位:

 北京师范大学    

提交日期:

 2011-06-07    

答辩日期:

 2011-05-29    

外文题名:

 LEGAL ISSUES ON BOT CONCESSION AGREEMENT    

中文摘要:
BOT投资方式的产生,可以追溯至罗马法(Rocles)的相关规定,这在雅典法中有所记载。如当时流行于地中海流域关于“海商借贷”(Maritime Loan)的规定,即以海上货物运输的单据作为抵押物的借贷制度。在BOT投资方式下,投资人或项目公司自己向金融机构借款,靠项目运营后的收益偿还贷款得到回报,这种金融借贷性的项目投资与“海商借贷”的规定相类似。近年来,随着我国政府对公共基础设施投资需求的增加,各省、自治区、直辖市掀起了投资建设污水处理厂、垃圾处理厂、高速公路等公共基础设施的浪潮,由于各地财政资金的有限性和国家对基础设施投资的紧迫性,导致BOT模式成为了投资、建设公共基础设施的主要投资方式。我国已经公布了与BOT投资方式有关的法律法规,但是我国目前调整BOT投资方式的法律制度仍不健全,各地在实际运作中仍会遇到许多法律障碍及法律盲点,出现了BOT特许经营权协议主体不适格导致协议无效、政府违规为BOT项目收益进行担保等情形,因此必须尽快进行BOT特许经营权协议的专项立法,规范BOT特许经营权协议双方的法律关系。在论文的写作思路上,本文运用法律分析的方法,在法学领域内对BOT特许经营权协议进行研究分析。具体方法是把BOT特许经营权协议置于法学体系中,用民法、行政法的观点,分析其法律性质、法律特征和主要内容,从而揭示其内在的规律和问题。与此同时,借鉴我国和外国的理论、实践经验,对我国进行BOT特许经营权协议专项立法提出了建议。全文主要内容分为5章:第1章,BOT特许经营权协议概述。通过介绍BOT投资方式的历史、定义以及存在的价值,使对BOT投资方式有了一个初步的了解,然后再引入与BOT投资方式紧密相关的BOT特许经营权协议,重点阐述了特许经营权协议的概念和特征。第2章,BOT特许经营权协议的法律性质。BOT特许经营权协议是国际法契约还是国内法契约,是民事合同、行政合同还是混合类合同,上述问题一直是学术界关于BOT特许经营权协议法律性质争议的焦点问题,本章阐述了BOT特许经营协议的性质。第3章,BOT特许经营权协议的主要内容 。BOT特许经营权协议的内容主要调整政府机构与私人投资者在特许经营期内的权利义务关系,本章从我国已经公布的相应BOT特许经营权协议的参考版本结合实践经验,阐述了BOT特许经营权协议双方的权利和义务。第4章,BOT特许经营权协议的主要法律问题。本章是整个文章的问题提出阶段,从实践中总结出来BOT特许经营权协议的四大法律问题,即BOT特许经营权协议的主体资格问题、政府机构的保证问题、特许经营期内协助利益的归属问题以及空间权问题,本章为提出立法建议奠定了理论基础。第5章,我国BOT特许经营权协议立法建议。本章通过介绍我国BOT投资的立法现状、实践中存在的法律障碍,阐述了我国进行BOT特许经营权协议立法的必要性以及我国未来的立法模式、立法的主要架构等内容。
外文摘要:
The arising of BOT investment can be traced back to B.C third century provisions of Rocles, which has been recorded in the Athens Law. As stipulated in the provisions of Maritime Loan which at that time has been popular used in Mediterranean region, the marine bill of lading as a mortgage has been written into the financial loan system. By using the BOT investment, contractor or developer instituted a loan from bank or other financial authorities and acquired the profits from the proceeds gained by the project construction and project assets guarantee. Such project investment regarding the financial loan is similar to the provisions of Maritime Loan. For the past few years, with the increasing public infrastructure investment needs by our government, each province, autonomous region or municipality directly under the Central Government has stirred an investment wave for the construction of public infrastructure such as wastewater treatment plants, waste treatment plants and motor ways. As a result of local finance limits and urgent needs for the national infrastructure investment, the BOT investment has become the main investment module for the public infrastructure construction. Though the laws and provisions related to BOT investment has been promulgated by the states, in the reality, many people have to face the legal obstructs and blind spots due to the legal caprice in relation to the BOT investment. For instance, the BOT contract may be void as a result of inadequate subject, or the government may guarantee for the BOT project proceeds even it is against laws. Thus, the legislation is crucial important at currently stage to clarify the parties legal relations in BOT contract. In this dissertation, legal analytical method has been used to research and analysis the BOT contract in legal field, which means the BOT contract has been placed in the whole legal system, by adopting views from civil laws and administrative laws, to analyze its legal nature, legal character and main content, so that discloses its inside pattern and problems. Meanwhile, by using for the reference of theory and practice experiences both in our country and foreign countries, this dissertation has instituted some proposals for the BOT contract legislation. The main content of this dissertation includes 5 chapters: Chapter One -The general introduction of BOT contract. This chapter shows readers a primary impression for the BOT investment by introducing its history, definition and existing value and further leads readers to the BOT contract which is closely relevant to the BOT investment, especially focuses on BOT contract’s definition and characters. Chapter Two-The legal nature of BOT contract. The issues regarding the BOT contract legal nature whether the BOT contract shall be governed under international law or domestic law, whether the BOT contract shall be determined as a civil contract, administrative contract or a mixed contract, has always been controversial in the academic circle. This chapter states the nature of BOT contract. Chapter Three- The main content of BOT contract. The main content of BOT contract is to regulate the rights and obligations between government and private investors during franchising period. This chapter expounds each parties’ rights and obligations in BOT contract by combining the reference edition of BOT contract published by the states with practical experiences. Chapter Four-The main legal problems in BOT contract. This chapter issued five legal problems in related to BOT contract from the practical summaries, including qualification subject in BOT contract, governmental institution guarantee, ownership for the assistant proceeds during the franchising period, space right and intellectual property right at the time of transferring the BOT project. This chapter establishes the rationale for the legislative proposal. Chapter Five-Legislative proposal for BOT contract. By introducing the currently BOT contract legislation state and practical legal hinder in our country, this chapter expounds the necessity for the BOT contract legislation in our country as well as the proposed future legislation module and main legislation framework.
参考文献总数:

 52    

作者简介:

 主要从事中国环保投资工作,熟悉污水处理厂、水厂、垃圾处理厂等环保项目的投资、建设和运营,积累了丰富的实战经验,通过本次论文梳理了BOT特许经营权协议的主要问题,提出了相应的建议。    

馆藏号:

 硕410100/11126    

开放日期:

 2011-06-07    

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