Analyzing Early Termination and Transfer of BOT Infrastructure Projects in Taiwan

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研究生：	王暐翔 Wei-Hsiang Wang
論文名稱：	Analyzing Early Termination and Transfer of BOT Infrastructure Projects in Taiwan Analyzing Early Termination and Transfer of BOT Infrastructure Projects in Taiwan
指導教授：	謝定亞
口試委員:
學位類別：	碩士 Master
系所名稱：	工學院 - 土木系營建管理碩士班 Master's Program in Construction Management, Department of Civil Engineering
論文出版年：	2021
畢業學年度：	109
語文別：	英文
論文頁數：	102
中文關鍵詞：	BOT 、移轉階段、契約範本、促參法
外文關鍵詞：	BOT, Transfer, Contract Template, Rule of Act for Promotion of Private Participation in Infrastructure Project
相關次數：	點閱：16 下載：0
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建造-運營-移轉（BOT）是一種政府把要新蓋的公共建設，交給民間出資興建及經營一段時間後，再將所有權移轉政府的模式，民間機構從主辦機關獲得特許權，得以參與透過投資公共基礎設施提供各種社會所需之服務。關於BOT案件的進程，有幾個重要的里程碑，包括：1.主辦機關向民間機構提供土地特許權； 2.建設階段，通常是以統包工程或設計建造的形式； 3.測試並運營已建成的設施，並4.將已建成的設施和土地特許權移轉回主辦機關。
在這些里程碑中，在移轉這個里程碑中，對兩造而言，可能此里程碑包含著多方面的風險。兩造都知道，這是兩造於法律關係上分開的里程碑，因此，所有相關事宜都必須在法律關係正式分開前得到處理和決定。然而，在接近運營的最後階段時，在兩造之間將會進行一系列的鬥爭或競爭性質的現象。
可以肯定的是，大多數在期前終止的BOT項目中的參與者不僅處於敵對狀態，而且他們也沒有足夠的時間來處理此事件。但是，基於互惠互利的原則，本研究將移轉失敗定義為無法成功解決紛爭之結果。本研究旨在詳細研究失敗的期前終止BOT案件的轉移。而且，本研究將試圖制定出更好的指南，而本研究所參照指南最初是由財政部促參司委託臺灣世曦工程顧問公司提出的。本研究亦推出具有良好監督系統的BOT契約範本，以供未來主辦機關以及民間機構有一更和諧且能預防移轉失敗之契約條款。

Build-Operate-Transfer (BOT) is a project delivery model that a private institution receives a concession from the authority in charge to participate in providing various social functions by public infrastructure investment. There are several key milestones concerning the progress of a BOT project, including: 1. the authority in charge’s offer of land concession to the private institution; 2.the construction stage, often in the form of turnkey or design-build; 3. the commissioning of operation of the built facility, and 4. the transfer of built facility and land concession to the authority in charge.
Among these milestones, the transfer milestone perhaps involves most aspects of risks to the parties. Parties are aware that this is the milestone in which the parties depart from each other legally, thus all matters concerned will have to be dealt with and finalized before legal severance. This creates a vast “game” series between the party when approaching the final stage of operation.
Granted the fact that, parties in most early-terminated BOT projects are not only in a hostile situation but also they will not have sufficient time to encounter the incident. Yet, based on the principle of mutual benefit, transfer failure is defined as when the disputes could not be solved by the parties in this study. This work aims to investigate failed early-termination BOT project transfer in detail. What’s more, this work also attempts to develop a better guideline, which is originally proposed by CECI, and the template of BOT project contract with a good supervising system, to allow the authority in charge and the private institution in BOT projects to have harmonic proposals for transfer contract terms.

摘要    I
Abstract    II
Table of Contents    III
List of Tables    VI
List of Figures    VII
Chapter 1 Introduction    1
1 Background    1
2 Aim and Objectives    1
3 Research Methodology    2
3.1 Research Methods    2
3.2 Research Procedure    2
4 Structure of the Thesis    5
Chapter 2 Literature Review    5
1 BOT Literature Review    5
1.1 Conception of PPP    5
1.2 Introduction of PPP Genres in Taiwan    6
1.3 Background    7
1.4 Pros and Cons of BOT    8
1.5 Applicability of BOT in Taiwan    9
2 Risks of BOT    9
2.1 Current Researches of BOT Risk Management    9
3 Risk Management of Transfer Phase    10
4 Current BOT Contract    11
Chapter 3 Problem Statement    11
1 Introduction of Early-Terminated BOT Cases in Taiwan    11
1.1 Statistics of Early-Terminated BOT Cases    11
1.2 Factors Leading to Early-Termination of BOT Cases    14
1.3 Life-Cycle Analysis of Terminated BOT Cases    17
2 Early-Terminated BOT Project Transferring Guideline (Including Appraisal Procedure)    18
2.1 Main Content of Early-Terminated BOT Project Transferring Guideline    18
2.2 Applicability of Guideline    20
2.3 Appraisal and Latent Disputes    22
3 Definition of Transfer Failure    24
4 Targets of Research    26
Chapter 4 Methodology    27
1 Case Studies    27
1.1 Chung Cheng University Third Phase Student Dormitory BOT Project    27
1.2 XiuLang Elementary School Swimming Pool BOT Project    31
1.3 Private Investment in the Build-Operate-Transfer(BOT) Plan for Dapeng Bay National Scenic Area    34
1.4 National Museum of Marine Science and Technology BOT Project    41
1.5 Taitung Holiday Resort BOT Project    44
2 Effects of Early Termination    47
3 Analysis of Cases    49
3.1 Failure Factors of Transfer Failure    50
3.2 Drivers of the Failure Factors    51
4 Expert Interviews/Opinions    54
5 Findings    55
6 Suggestions (BOT License)    56
6.1 Suggestion to Act for Promotion of Private Participation in Infrastructure Projects    57
6.2 Suggestion to BOT Contract Template    60
6.3 Suggestion to Early-Terminated BOT Project Transferring Guideline (Including Appraisal Procedure)    62
7 Verification of Thoughts    63
Chapter 5 Conclusion and Discussion    63
1 Conclusion    63
2 Contribution of BOT    64
3 Limitations    65
4 Recommendation for Future Research    65
Appendix    67
Interview Record 1    67
Interview Record 2    81
Interview Record 3    83
Interview Record 4    85
Interview Record 5    86
Interview Record 6    88
Reference:    89

                                

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