BOT项目中的政府保证

上海交通大学硕士学位论文BOT项目中的政府保证姓名：蒋春申请学位级别：硕士专业：宪法学与行政法学指导教师：叶必丰20050101GOVERNMENT’SGUARANTEESINBOTPROJECTSABSTRACTGovernment’sGuaranteesarecriticalissuesinBOTProjects.Inordertomakeclearthefactorswhichshouldbeconsideredandtheinvolvinglegalrelationship,thethesisroundlydiscussesthegovernment’sguaranteesinBOTprojectsfromtheorytopracticeandfromdomestictooversea.TherearerisksinBOTprojectssuchaseconomicrisksandpoliticrisks.government’sguaranteessystemisoneofthemethodstokeepaway,reduceandmanagepoliticrisks.Thegovernment’sguaranteesinBOTismateriallydifferentformthecivilguaranteesintherespectofthesubject,conductattributesandlegalrelationship,contentandapplicablefields,statusofthecontract,andthecauseofresponsibilities,etc.,Fromthepointofconcessionagreement,theauthorthinksthatthegovernment’sguaranteesarepromisethatthegovernmentshallobeytheobligationsoftheagreementhonestlyandfaithfully.Inthereality,therearesomeconflictsbetweenthegovernment’sguaranteessystemandtheexistinglegalsystem.Weshouldtreatwiththemhistorically,realistically,andforward.Thedevelopmentofthegovernment’sguaranteesinChina,isfavorableforthebettercircumstanceofinvestmentandperformtheobligationsoflawandtreaties.Theyembodytheprincipleofbalancingriskstodefinebothpartiesrightsandobligations.Inpractice,measuresofgovernment’sguaranteesmainlyarefavourabletaxguarantee,logisticsserviceguarantee,changepriceguarantee,competitionrestrictionguarantee,andotherguarantee.Thethesisanalysesthevalidityandfeasibilityoftheaboveguaranteescombiningourcountry’slawandpractice.Byanalyzingandreasoningtheauthorthinksthat:wecanrendergovernment’sguaranteesonfavourabletax,logisticsservice,competitionrestrictionguarantee,periodofmanagement,changeofpolicy,protectionofIPandbusinesssecretsaccordingtoourcountry’slaw;wecan’trenderthegovernment’sguaranteesonincreaseofpriceofproject’sproduct,solvinginflationandinterestrate;wecanrendersomegovernment’sguaranteesonnationalization,butitshouldnotbeabsolute.Thegovernment’sguaranteessystemneedstobeconsummatedgradually.Onthemodeofgovernment’sguaranteeshereinto,wecantaketheformofconcessionagreement,specialmanagementact,lettersofcomfortandsupporttobuilduptheconfidenceofinvestors.Ontheguaranteesofreturningrateofinvestmentandforeignexchangewhichtheinvestorsmostconcernabout,theauthorthinksthat:itisaprinciplethatwecan’trenderguaranteesofreturningrateofinvestment;underthiscondition,itcanbetakenintoaccountthatwecanrendersomecompensationofinvestment,managementofotherestablishmentandsubstituteforguaranteessystem;butitnotgoodtorenderguaranteesofforeignexchange,wecanguaranteesofremittingforeignexchangeandthefreelyexchangebetweenforeigncurrencyandRMBaccordingtothespecialcondition.Inanotherword,wecanrenderguaranteesofexchangeontheregularitems,butthecapitalitemsisno.Onthelegalresultofgovernment’sguarantees,theauthorthinksthatweshouldabandontheideaofabsolutenationexemptionwhichwasalwaysfollowedinthepasttime,andassumesomeresponsibilitiesinsomecondition.Butthegoverninglawisourcountry’slawandthegoverningcourtisinourcountry.Atthepresenttime,thelawandregulationsaboutBOTareinthelowerstatus.Theclausesareveryroughandlotsoflegislationisvacant,evensomeclausesareinconsistent.Soweshouldstrengthenlegislationongovernment’sguaranteesinBOTprojects.TospeedbetterdevelopmentofBOTisthestart-pointandend-resultofBOTlegislation.ThemostimportantprincipleonlegislationofBOTisbalancingtheinterest.Thereasonablemodeofthelegislationiscombininggenerallycentrallegislationandlocallyspeciallegislation.Theparticularcontentofthelegislationaboutgovernment’sguaranteesarethesubjects,procedures,modes,content,scope,supervisionandresponsibilities,etc.KEYWORDSBOTproject,concession,risks,government’sguarantees1BOT(BuildOperateTransfer)1UNCITRALlegislativeguideonprivatelyfinancedinfrastructureprojectsBOT19984BOT231994BOTBOT(BuildOperateTransfer)BOTBOTBOT199954BOT=26765252000856BOT()199948BOT(l)EDC(2)CompagnieFrancaised’AssurancepourleCommerceExterieur(COFACE)(3)(HermesKreditver-sicherungesAGandTreuarbeitAGWirtschaftsprufungsgesellschaft)(4)SezioneSpecialeperL’Assicurazionedel-Creidtoall’Esportazione(SACE)(5)3EID/MTI(6)ECGD(7)EXIMBOT19963CLIFFORDCHANCE199797131415BOT1998245BOT16BOT2000217186200218318419119881261062219953()319956308BOT1995520[guarantee]a.[][][promise]19901452162287237824BOT1999425BOT2003326199760060427628BOT19993295830BOT20012316BOTBOTBOTBOT2001832BOTBOTBOT19951033BOTBOTBOTBOTBOT19969934BOT20014212BOT://()200154019801030219881993BOT41BOTBOTBOTBOT19951014BOT42BOT20021043BOT=267651544345530%3%15%15%4681472000122911363164833324991750373851WTO()BOT20021052TRIMSTRIMSBOT=2676520002001TRIMS3742511