CONTRACT PERFORMANCE RISKS AND LEGAL ISSUES DURING TRANSFER PHASE IN BOT PROJECTS

促參案移轉階段之履約風險與法律問題

10.6652/JoCICHE.202406_36(4).0003

Hua Chun Lin(林華駿)；Wei-Hsiang Wang(王暐翔)；Ting-Ya Hsieh(謝定亞)

public-private-partnership ； risk assessment ； transfer phase ； 促參案 ； 風險評估 ； 移轉階段

中國土木水利工程學刊

36卷4期（2024 / 06 / 01）

339 - 356

英文;繁體中文

This paper aims at analyzing the risks and legal issues of contract performance for BOT projects in the transfer phase, based on extensive observations from real-life project cases. In order to compare the economic positions and interaction between the BOT parties, this work conducts a wide range questionnaire survey and in-depth expert interviews. This work concludes a total of 20 risk factors which may arise during the transfer phase of a BOT project, and these risks factors are subject to statistical factor analysis in order to summarize the BOT party's economic behavior. The findings allow this work to proceed to interpret the core value of a BOT project, i.e., partnership relation, by using a contrasting case study. This work further discusses considerations of early termination transfer, i.e., forced transfer, and expiry of the BOT concession, and explains the relevant performance procedures, sources of risk and legal contemplations. It also includes aspects of asset audit as a necessary step for the success of asset transfer during the late operation stage. Based on various analysis and discussions of the findings, this work concludes structuring the partnership relation in all facets of a BOT project should be regarded as the most fundamental success element. Furthermore, the success of asset transfer during the transfer phase is built upon routine, comprehensive and elaborative asset audit. Finally, smooth transfer of assets relies on contract terms which advocate incentives and communication, under the regime of an effective dispute resolution mechanism.

本研究以案例分析的角度，討論主辦機關與民間機構於促參案件移轉階段之履約管理課題，特別是針對移轉階段之風險與法律關係進行分析。本研究透過問卷調查與專家訪談，共彙整20項風險因子，並透過統計分析歸納其特性。根據風險因子之歸納，本研究進一步以兩個對照案例，嘗試解釋促參案件之風險管理之核心課題以及相應做法。此外，本研究進一步將促參移轉風險，就期前終止與特許權期滿兩種類型之移轉程序，分別探討其履約程序、風險來源與法律問題分析。此外，本研究一併將促參營運資產檢查之課題納入討論，其意義是在於呈現出促參移轉階段之整體構面。本研究之主要結論包括促參資產移轉之履約管理應建構在完整之營運資產檢查的基礎上，而與資產移轉相關之契約誘因（即有利兩造遵守契約程序之有利／懲罰機制），應以夥伴關係的角度，明確建構於契約條款中，並且應以有效之爭議解決機制作為風險管理的最終捕手。