公私合作關係之形塑—以促參法O.T./R.O.T.模式為中心

A Study on Construction of the Relationship of Public Private Partnership- Based on O.T. or R.O.T. Model of Act for Promotion of Private Participation in Infrastructure Projects

陳怡婷(I-Ting Chen)

指導教授 ： 陳愛娥

國立臺北大學/法律學院/法律學系一般生組/碩士(2015年)

摘要

關於民間參與公共建設，係肇因於二次大戰以來，全球的經濟環境遽變，戰後歐洲國家多採行福利國家制度，然而龐大的福利國家成本，使國家財政負擔沉重。1973年至1974年的以阿戰爭引發世界能源危機，全球經濟重創，以英國為首，因面臨迫切的改革需求，而開始民營化的嘗試。受到英國的影響，同樣受到全球經濟危機衝擊的西方工業化國家陸續跟進。我國於80年代開始，在私人參與行政任務的推行上，逐步由公營事業民營化、政府業務委託民間辦理到公共建設領域開放民眾參與漸次發展。在民間參與公共建設之法制方面，我國於1994年制訂獎勵民間參與交通建設條例，其後為擴大民間參與公共建設之範圍，於2000年制訂促進民間參與公共建設法（下稱促參法）。有別於著重於公任務移轉由私人承擔此一傳統民營化的理解，促參案件作為一種新興型態的公私合作模式，其更強調的是公部門與私部門間的合作與責任分配，此一新興合作模式，在我國實務上亦廣泛受到運用，其中更以O.T.案為我國促參實務之大宗。本文將著重於O.T.案及R.O.T.（整建-營運-移轉）之研究與討論，R.O.T.案與O.T.案之差異在於多了擴、整建之階段，其詳細內容及差異，將於本文論述之。
　　本文第一章依序說明何以會以此議題作為本文的研究對象及研究的必要性，並列出本文研究方法。其次，於第二章先從廣義觀察我國行政實務中之公私合作類型，並進一步聚焦於民間參與公共建設此一類型中，在此基礎上，更進一步限縮至我國促參實務中O.T.與R.O.T.模式的現況發展。對於我國促參實務現況有了基礎認識後，本文擬於第三章省思合理的制度應如何建置，故於此應回頭檢視私人參與行政任務之歷史發展、成為趨勢之原因，並進一步研究其建構的原則。並於此介紹德國學理因應此一新興公私合作型態發展而來之擔保國家理論，觀察該國如何以此理念作為公私合作法規範之建構基礎。討論完德國學理上擔保國家理論之發展後，第四章檢視我國現行O.T./R.O.T.促參模式的規制狀況，包含促參法制的規範，以及我國行政實務所制訂之招商文件與投資契約範本，並列舉O.T./R.O.T.運作實務上常見的爭議。第五章則依據第三章所介紹之擔保國家理念，檢討第四章我國現行促參法制之諸多問題，並分別對促參法及O.T./R.O.T.模式之投資契約範本嘗試提出修正建議以代結論。

關鍵字

R.O.T. ； O.T. ； 促參法 ； 擔保國家 ； 公私協力 ； 公私合作 ； 投資契約

並列摘要

The development of PPP is based on great changes about global economic environment after WWII. Most European countries adopted national social welfare institution, but huge costs of social welfare made national finances with a heavy burden. From 1973 to 1974 Arab-Israeli war lead to the energy crisis of the world, and it hit global economy. British-led tried privatization for the requirement of urgent reformation. Affected by UK, the other western industrialized countries which also suffered from strikes of global economy crisis followed. Since the 80s Taiwan started to carry out the Promotion of Private Participation in Infrastructure Projects. It developed from privatization of public enterprises, public services contracting out, to promotion of private participation. In the legal system of the Promotion of Private Participation in Infrastructure Projects, Taiwan formulated Statute for Encouragement of Private Participation in Transportation Infrastructure Projects in 1994, and in order to expand the applicable range of the Promotion of Private Participation in Infrastructure Projects, the government formulated Act for Promotion of Private Participation in Infrastructure Projects in 2000. Different from the traditional understanding of the public mission transferring to the private, the cases of the Promotion of Private Participation in Infrastructure Projects as new patterns PPP emphasize cooperation and allocation of responsibilities between public and private sector. This kind of new cooperation method is also widely use in practice in Taiwan. Particularly O.T. model is the bulk of Taiwan’s practice. This article focuses on O.T. or R.O.T. Model of Act for Promotion of Private Participation in Infrastructure Projects. There are expansion and renovation stages in R.O.T. model, which is different from O.T. Model, these will be discussed in this study.
This study contains 5 chapters, starting from the research object, necessity and the research methods. Second, in Chapter II to observe generalized the PPP type in our administrative practice, and further focus on PPP. Based on this, further onwards discuss the development of current situation of O.T. or R.O.T. Model. To have the basis cognition of current situation of Promotion of Private Participation in Infrastructure Projects, this study tried to introspect how to build a rational institution in Chapter III. To do this, we should view history of PPP, the origin of becoming a trend, and research the principle of construction. Here we introduce Guarantee of State Theory which was proposed to response this new pattern of PPP in German academia. In Chapter IV this article views formulation of O.T./R.O.T. Model in Taiwan, which include rules of PPP, Investment files and the model case of Concession Agreement which draw up by administrative practice in Taiwan. Here also listed common controversy of O.T./R.O.T. Model in practice. Chapter V is according to Guarantee of State Theory which is introduced in Chapter III to examine a lot of problems those are raised in Chapter IV, and try to propose amendment of Act for Promotion of Private Participation in Infrastructure Projects and the model case of Concession Agreement of O.T./R.O.T. Model separately in lieu of conclusions.

並列關鍵字

Act for Promotion of Private Participation in Infrastructure Projects ； Guarantee of State ； Public Private Partnership(PPP) ； O.T. ； R.O.T. ； Concession Agreement

參考文獻

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