【作者】 苗园园；

【导师】 肖鹏；

【作者基本信息】 中国海洋大学 ， 国际法学， 2007， 硕士

【摘要】 BOT投资方式是建设--经营--移交(Build-Operate-Transfer)的简称,其基本含义是东道国政府将一定期限的特许专营权授予私人投资者,许可其融资建设和经营管理基础设施,专营权期限届满时,基础设施无偿移交给东道国政府。自上世纪80年代以来,BOT作为吸引外资改善基础设施、提高经济实力的一种发展战略,由于筹资能力强、对自有资金需要量小等特点,不仅深受东道国的欢迎,而且倍受投资者的青睐。我国是从80年中期开始将BOT引入基础设施建设的,由于缺乏完善的理论基础和系统的专门立法,各地在实际运作中缺乏指导,遇到许多法律障碍,造成一定的混乱,影响了BOT项目的实施和发展,因此有必要开展对BOT方式的专门研究,借鉴国外的立法经验,考察我国的实际情况,解决重点难点问题,形成中国的理论体系,加快立法的进程。文章以客观的、法学的、国际化的眼光了解和观察国内外BOT法律制度与实践,抓住理论和实践中的主要问题加以研究探讨,以期解决现行法律之间、法律与实践之间的矛盾和问题,从而有助于建立新的中国BOT法律体系和框架。文章最后得出结论:应吸收和借鉴国外BOT立法与实践的经验教训,通过加强BOT专项立法来规范BOT法律关系,使其成为一种可操作的规范投融资方式,全面促进我国利用国外私人资本推进我国公用基础设施建设的发展。全文共分为三章:首先对BOT作了概括性的介绍,从分析入手深入地阐述了BOT的法律性质及特殊价值,以确定概念的内涵、外延并准确定性,同时揭示利用该方式的合理性。接着文章通过对比和个案分析,探讨了发达国家和地区与发展中国家采用BOT的立法与实践情况、主要差别及最新创新与拓展,以期对我国立法和实践起到借鉴作用。接着,文章重点分析了BOT在我国的发展情况及立法现状,明确了我国BOT立法的主要法律障碍,并提出了具体详实的立法建议。第一章,国际BOT投资方式导论阐述了BOT投资方式的基本原理。首先明确了BOT投资方式的概念并在分析几种对BOT法律性质不同观点的基础上,得出BOT的法律性质必须从不同角度进行反映的观点:从BOT的资金来源和BOT的特殊性看,BOT是一种新型的直接投资方式,BOT特许协议与传统特许协议不同,是一种新型的特许协议;从BOT筹集资金的方式看,BOT是一种国际融资;从BOT中政府和私人投资者的关系看,BOT是利用私人资本建设经营公共基础设施。最后,分别从政府和投资者角度分析BOT投资方式的价值,以说明应用BOT投资方式的合理性。第二章,国内外BOT投资立法与实践首先,介绍了BOT在发达国家和地区与发展中国家的立法与实践情况。针对发达国家和地区与发展中国家的不同背景情况,对BOT在各国(地区)的立法和实践情况进行了比较分析和评价,并指出了境外应用BOT成功经验对我国的启示。其中详细分析了BOT在澳大利亚、美国、法国、香港地区以及在菲律宾、泰国、印度、马来西亚的应用,并得出发达国家和地区与发展中国家在采用BOT的不同之处主要体现在:目的、资金来源渠道、实行BOT的外部环境、项目风险承担方式和适用空间等几方面。然后,介绍了BOT在我国的立法与实践情况。包括我国BOT实践的回顾、立法现状及我国实施BOT的前景展望。最后,介绍了国际BOT投资方式在投资主体内涵、投资主体、投资对象方面的创新与拓展,以期对我国的BOT立法与实践有所启发。第三章,我国BOT投资领域存在的障碍与立法设想我国目前关于BOT的立法很不健全,尚未形成调整BOT项目实施的法律框架,在BOT方式应用过程中,遇到了许多法律问题。具体来说,在特许协议主体方面、立法层次及效力方面、投资项目范围方面、项目审批机关及审批权限方面、项目公司设立、组织及运作方式方面、经营权方面、政府保证的限制或禁止性规定方面、外汇管制方面、投资回报率方面存在不同程度的法律障碍。针对BOT方式在实施过程中存在的上述法律问题,借鉴国外BOT方式实施的经验教训,参照联合国相关法律规定,以寻找更有效地解决我国BOT方式所遇法律问题的方案。鉴于BOT方式在我国的实践情况以及现行法律配套规定的不足,在立法模式上的选择上,通过对国外四种立法模式的比较分析,得出我国急需一部关于BOT方式的专项立法,规范BOT方式的操作程序和运作方式,实现现行法律体系与BOT方式的衔接。而在立法主体的选择上,应由全国人大及其常委会制定发布单行法律。完善我国BOT方式的立法,要从宏观和微观两个层面上同时着手。在宏观立法原则上,应坚持维护国家主权、平等互利、尊重国际惯例、保护投资者权益、政府机关依法行使职权、环境保护、技术引进和知识产权保护、防止可能带来的负面影响等基本原则。在立法微观上,《BOT法》的具体内容应包括:《BOT法》的总则部分,首先应该对BOT投资方式的含义做出明确规定,界定特许权、特许协议的定义,规定特许权的授受主体、授予形式和总的指导原则。《BOT法》的程序部分,可借鉴我国外资立法中有关申请、审查、批准等方面的规定,并参照国际上通行的惯例,确立BOT投资项目的主管机构、审批权限、申请方式及招标投标评标程序。《BOT法》的实体部分,应明确特许协议性质、BOT方式的准入领域和准入条件、内资BOT准入问题、项目公司的设立及法律地位、BOT财产所有权问题、项目公司经营权范围和经营期限、风险分担方式、政府保证制度、政府的监督管理问题、征收和国有化及其补偿、协议争端的解决途径条款。另外,《BOT法》作为一部全国性立法,它不可能也没有必要包括BOT方式的一切内容,可只对BOT方式在我国遇到的共性问题进行规定,而通过建立以《BOT法》为中心的配套法规规章体系来构建我国的系统的BOT法律体系。更多还原

【Abstract】 BOT, the abbreviated form of“Build-Operate-Transfer”, is a new form of international investment and financing. BOT can be defined in such a way: a host nation conclude and sign an agreement of concession in which the state confer the concession of investing, financing, operating and maintaining of a large infrastructure to investors. Investors pay back the debt of the project and recover the investment by their income from operating. When the concession agreement terminates, the investors must transfer the infrastructure to the host nation. From 1980s, BOT as a strategic style of attracting foreign investment, improving the infrastructure and enhancing the economic strength has received great attention of various host countries and investors.BOT first emerged in China in early 1980’s, since then, more projects has been following suit. However, the legal system that governs BOT is not quite perfect present and various regulations conflicts with each other in many ways. What’s more, the research in this area in our country is very weak. There’re still many disagreements on some essential issues, and there doesn’t exist a system at theory of BOT. As a result, there is a long way to the systematize of legislations on BOT, which has severe by influenced the implementation and the development of BOT in China. So it is very necessary to do specific research on BOT by learning from external legislative experience, so as to form a new BOT theory system of our country and to accelerate the process of BOT legislation.This article aims to bridge the gap between theory and practice and to help establish a new BOT legal system by making an objective and legal analysis on the domestic and over seas BOT system. Finally,this paper put forward a conclusion that our government should standardize BOT legal relationship though the way of specialized legislation, make it become an operative investment and financing style and promote the development of our infrastructure construction by using the private overseas capital.The thesis, consist of three chapter, focuses on the legal issues of BOT. Firstly this thesis discusses the concept of BOT. After analyzing, the thesis outlines the legal nature of BOT. By analyzing the cases of BOT application, the article point out the difference differences of adopting BOT between the developed county and developing country. Furthermore, the thesis investigates legislations of BOT and its application in china, and confirms the main legislative obstacles in China. Then the article proposes unique opinions on the nature of BOT method.In the first chapter, the article discusses the basic theory of BOT, such as the concept of BOT. Then based on the analysis,of several different opinions on the legal nature of BOT, this thesis points out that legal nature of BOT should be discussed from different aspects, From the aspect of the financial resource of BOT, BOT is a kind of new direct investment way, and concession agreement of BOT, different from traditional concession agreement, is also new. From the aspect of the relation between governments and private investors, BOT is the symbiosis for building and operating infrastructure projects. This chapter provides us necessary backgrounds for further analysis.The second chapter mainly discusses the application cases of BOT projects in the world. By comparing and analyzing BOT projects between in the developed country and area (such as Australia, Hong Kong) and developing country (such as Philippines, Thailand), we are able to find these differences of adopting BOT in deferent country, which are made up of objective, the way of raising capital, exterior environment, the way of sharing project risk and so on. Investigates legislations of BOT and its application in china is the core of this thesis.The last chapter discusses two main problems. First, analyze deeply the legislative obstacle .In China, although many legal experts have given concern to the legislation issues of BOT and there have been a few laws and rules concerned BOT, but there are a lot of legal problems during the utilizing of BOT style. There is no special space for BOT style, which make the practiced operation of BOT style without law to abide by, moreover lack of policy guide and the assurance of law. In detail, there exist the obstruction of law in varying degree, such as, government guarantee, the right of stock, control foreign currency, the enrollment and financing of project corporation, the investing scope of foreign investment, etc.In accordance with the legal problems above mentioned, we should use the experience and lesson of foreign BOT style for reference, in order to look for the plan of solving this legal problem.Perfecting the legislation of BOT style, we should start with macroscopic and microscopic aspect to research. From the macroscopic aspect: we should fix the purpose of BOT legislation from the restrict policy to positive support, BOT legislation should based on the principle of WTO and our promise of entrance to WTO, Maintain our economic sustained development is our guiding principle of BOT legislation.From the microscopic aspect, BOT law should consider emphatically: About the legislative principle: Adhere to maintain national sovereignty as well as protect the legal rights and interests of investors, Respect the fundamental principle of WTO and international practice, Adhere to the equality and mutual benefit principle, Adhere to fair mechanism of allocating risk.About the legislative model: We should adopt unified special legislative model. Because the norm of laws that hinder the development of BOT style are almost the fundamental law made by the National People’s Congress or its Standing Committee, it is reliable that the special law of BOT style is made and issued by the National Peoples’Congress or its Standing Committee.About the substantial content: We should make definite that the meaning and nature of BOT style, the investors’ qualification, the examine and approving organization of BOT style, the definition and nature of concession and concession agreement, the invest scope of BOT style, government guarantee system, mechanism of allocating risk, national favorable policy, the provision of fight against control, nationalization and imposition and its offset, the modification and termination and transfer of concession agreement, settlement of disputes and the provision of legal application, and so on.As a national law, it is impossible to comprise all content of BOT style. We may only regulate the Common problems of BOT style that our nation has faced, and based on it, as the complement of BOT style law, we also need to draw up other cooperation regulations.更多还原