國內污水下水道系統BOT案獨立驗證及認證制度執行之探討

Independent Verification and Validation (IV&V) for Taiwan’s sewage system BOT projects

伊釗(Chao Yi)

指導教授 ： 郭斯傑

國立臺灣大學/工學院/土木工程學研究所/碩士(2008年)

https://doi.org/10.6342/NTU.2008.02209

摘要

民國93年當政府指示污水下水道系統建設應以民間參與為原則，並檢討修正污水下水道第三期建設計畫以來，目前台灣地區污水下水道建設現況，係採政府自辦及以「促進民間參與」方式(即BOT方式)雙軌來推動污水下水道建設。在執行污水下水道系統BOT案中，政府機關與民間機構所簽訂之投資契約內，即要求民間機構自費委託獨立、公正且經政府機關事先同意之專業機構（即「獨立認證機構(Independent Verification and Validation；IV&V)」），執行查核、檢驗及認證工作，來保證污水下水道系統能達到功能、品質及安全要求。
惟依據各該機構所提執行計畫書的內容執行時，政府機關及民間機構對此機構之角色位階及執行方式亦有不同之見解。隨著促參案件正常化之發展趨勢，執行污水下水道系統BOT案必須得採行IV&V，為了確保IV&V執行成效針對系統功能性與安全性的驗證及認證要求之必要性，及辦理系統查核、驗證及認證工作之驗證及認證要項，以及其執行驗證及認證機構資格、能力及規模實有詳加探討之必要。
本研究範圍以國內採BOT方式辦理之污水下水道系統案件，期間為自92年到96年5月簽約之案件，並以投資契約規定需獨立查核、驗證及認證機構(或品質及安全管理監督顧問)之污水下水道系統BOT案件為研究對象，藉由文獻回顧、目前3個正以IV&V方式執行污水下水道BOT案例進行分析，藉以分析污水下水道系統BOT案採行IV&V執行情形。
本研究彙整歸納影響IV&V執行成效以下幾項重點：(1)執行獨立驗證及認證之必要性；(2)驗證及認證要項；(3)獨立驗證及認證機構資格，利用矩陣分析方式表達各重點之關鍵影響因子的關係，並經專家經驗確認。經本研究分析結果，釐清污水下水道系統BOT案執行獨立驗證及認證(IV&V)必要性，編訂驗證及認證要項之範疇作為執行依據，以及提供污水下水道系統BOT案選用適當的獨立驗證及認證(IV&V)機構資格參考。

關鍵詞：污水下水道系統、BOT、獨立驗證及認證(IV&V)

關鍵字

污水下水道系統 ； BOT ； 獨立驗證及認證(IV&V)

並列摘要

Since the policy of construction and operation of sewage system has been shifted from Government Procurement to Private Participation at 2004 as well as the national sewage system plan stage three has been reviewed and revised, right now there are two systems, Government Procurement and Private Participation (also known as BOT), for the government to promote the sewage system project. In the process of carrying out the investment contract of sewage system BOT project, a third party, an Independent Verification and Validation (IV&V) is required to perform the independent verification and validation task in order to assure the system function,quality and safety.
Although IV&V is entrusted by the private and authorized by the public, and follows his working plan, both sides still have different recognitions at the role and task of IV&V.As the government continues to steadily promote Public Private Participation (PPP), IV&V is required by the sewage system BOT project to execute the independent verification and validation of system function and safety. It is also necessary to further study the role, task, qualification, and performance of IV&V.
This research focuses on the sewage system BOT projects contracted from 2003 to May 2007, and study the performance of IV&V which required by the investment contract. Through the literature review and case study of current three sewage system BOT projects adopted IV&V, three conclusions have been made and confirmed by experts with Matrix Analysis Method.
The performance of IV&V can be influenced by: (1) the necessity of IV&V; (2) the item of verification and validation; (3) the qualification of IV&V. After the study of IV&V for the sewage system BOT project, the necessity of IV&V has been clarified, the item of verification and validation has been provided and confirmed, and the appropriate qualification of IV&V has been suggested as well.

Keyword：Sewage system、BOT、IV&V

並列關鍵字

Sewage system ； BOT ； IV&V

參考文獻

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