BOT 特許合約相關條款之初步研究-以特許權、履約保證、保險、爭議處理為例

BOT 特許合約相關條款之初步研究-以特許權、履約保證、保險、爭議處理為例

論文作者：林芸湘

指導教授：xxxxx畢業日期：1999.7

摘要

公共建設民營化（BOT）已成為政府推動公共工程之主要方式。但 BOT 計畫之風險遠大於一般工程，且目前尚無實際完成之案例，其特許合約之協議項目實有深入探討之必要。本研究針對特許合約中特許權事項、履約保證事項、保險事項、爭議處理方式等項目進行探討，以相關法規之規定及公平的原則來探討條款內容之合理性，並提出訂定特許合約時應注意之事項，期能提供政府及特許公司雙方於訂定特許合約之參考。

本研究針對特許合約之訂定歸結出以下注意事項，並以促使計畫順利執行之觀點提出以下建議：

一、 在特許權部份，擬定注意事項包括(1)特許權之內容及範圍；(2)特許期間之長短；(3)特許期間得否延長；以及(4)特許權之轉讓問題。建議則為：(1)訂定整體之特許期間；以及(2)應依個案性質訂定適當之特許權。

二、 在履約保證部份，擬定注意事項包括(1)履約保證金額之訂定；(2)提供履約保證之方式；(3)履約保證涵蓋之期間；(4)履約保證金之解除與返還；(5)履約保證金之扣提及沒入；以及(6)履約保證之修改與更新。建議則為：(1)依個案特性計收履約保證金；與(2)履約保證金額以逐漸遞減為宜。

三、 在保險部份，擬定注意事項包括(1)保險之涵蓋期間；(2)最低限度保險範圍； (3)保費之負擔；(4)被保險人或受益人之指定；以及(5)保險計畫書之提送。建議則為：(1)採用統保方式進行保險採購；與(2)審慎查核保險計畫。

四、 在爭議處理部份，擬定注意事項包括(1)協調委員會之設立；(2)仲裁前置程序之訂定；以及(3)仲裁協議之訂立。建議則為：(1)爭議處理期間雙方應依合約繼續執行工作；以及(2)避免協調委員會機制之濫用。

關鍵字：BOT、特許合約、特許權、履約保證、保險、爭議處理

A Preliminary Study on Concession Privileges, Performance Bond, Insurance, and Dispute Resolution of BOT Concession Contracts

Author：Xxx-Xxxxxx Xxx Advisor：Xxx-Xxx Xxxxx Xxx, Ph.D. Date：1999.7

Abstract

Privatization of public construction projects (Build-Operate-Transfer, BOT) has become one of the commonly used strategies in constructing public facilities. Since the risks of BOT projects are much greater than that of traditional projects and that there is no completed BOT project, it is deemed necessary to investigate the validity of terms and clauses in the BOT concession contracts. This research aims at raising crucial issues that need to be emphasized in the contract regarding concession privileges, performance bond, insurance, and dispute resolution. Legality and fairness are considered when discussing the issues. Results of this research are expected to serve as a useful reference to public and private sectors when negotiating the concession contracts.Summary and suggestions are listed as follows:

A. In concession privileges: the important issues are (1) contents of concession privileges; (2) duration of concession; (3) extendibility of concession duration; and (4) transferring of concession privileges. The suggestions are (1) setting an entire period for concession; and (2) setting concession privileges based on properties of individual cases

B. In performance bond: the important issues are (1) amount; (2) types; (3) covering period; (4) returning; (5) forfeit; and (6) renewal of the performance bond. The suggestions are (1) the amount of performance bond should be calculated based on individual cases; and (2) the performance bond should be reduced gradually according to progress of the project.

C. In insurance: the important issues are (1) covering period; (2) lowest range; (3) premium; (4) beneficiary; and (5) plans of the insurance policy. The suggestions are

(1) the insurance policy should be purchased comprehensively; (2) the insurance plans should be reviewed carefully.

D. In dispute resolution: the important issues are the setups of (1) mediation committee; (2) pre-arbitration procedures; and (3) arbitration terms. The suggestions are (1) both parties should perform their duties during the disputing period; and (2) functions provided by the mediation committee should not be abused.

Keywords：BOT、concession contract、concession privileges、performance bond、 dispute resolution