The Development of Contract Management for Private Participation in Infrastructure Projects－The ROT Model of Major facilities for tour-site

促進民間參與公共建設(以下簡稱促參，即Private Participation in Infrastructure Projects ，簡稱PPIP)案件係政府基於與民間機構合作及夥伴關係，提供適當誘因，促使民間籌資參與公共建設之興建營運。因此，投資型契約強調民間團隊組成與專業、籌資及財務能力、公共建設興建與營運內容、品質等相關事項。就履約管理方面，相較於採購機關於政府採購案件履約管理介入程度，促參主辦(執行)機關(以下簡稱主辦機關)對於民間機構之監督，應採取更為靈活寬廣之空間。除非涉及公共安全等特殊情形，主辦機關原則上不作過度介入，否則將導致契約雙方權利義務關係糾纏不清，風險亦可能不適切轉移至主辦機關，逾越促參法精神，甚而產生履約爭議。故本研究認為制定一套促參履約管理執行要項，藉以協助主辦機關適切執行履約管理，確有其必要性。 本研究目的係協助促參主辦機關，建立促參履約管理執行要項，並提供主管機關作為爾後制定履約管理手冊編制之參考。藉由履約管理執行要項，輔助主辦機關，適時適切且如期如質管理合約，並得以針對履約過程不符合項目，加以檢討並改善，提高主辦機關履約管理對執行促參案件委商之成功性。研究範圍僅限於促參生命週期議約簽約至移轉階段。 經由探討促參履約管理之相關文獻，本研究方向，除針對主辦機關提供通案性及原則性履約管理執行要項之比較外，囿於促參類別差異性大，僅針對ROT(Rehabilite-Operate-Transfer or Rent-Operate-Transfer，即由政府委託民間機構，或由民間機構向政府租賃現有設施，予以擴建、整建後並為營運；營運期屆滿後，營運權歸還政府)模式進行履約管理要項研究編製。本研究分別從「合約規範面」及「管理機制面」，彙整4份有關ROT模式履約管理之相關文獻及規定事項，調製成履約管理執行要項，並做成問卷調查表。經由問卷調查結果，逕行篩選進而產出履約管理執行要項細目初稿。再以透過專家訪談方式，個別訪談，討論履約管理執行要項初稿，以此初稿為基準，複選或修正履約管理執行要項之細項，補充增修相關項目並加以整理調整順序。最終經由專家確認後，彙整產出ROT模式履約管理執行要項範本。 研究最後，選擇兩個案例，分屬開發金額以一定金額為區分之觀光遊憩設施類ROT模式，以其可行性評估成果及履約執行現況，將本研究產出之ROT模式履約管理執行要項範本，針對兩個案例進行實驗性質導入檢核，試圖找出不符合之項目，同步檢討不符合原因及研擬改善方法。經由案例導入的結果顯示，執行促參案件，確有建立ROT促參委商模式履約管理執行要項之必要。鍵字：PPIP、夥伴關係、履約管理、促參生命週期、ROT、履約管理執行要項表The case of Private Participation in Infrastructure Projects(PPIP) is the partnership between the government and the private institution.PPIP provides suitable inductions to make the people raise money and put the money into the basic infrastructure.Therefore,the type of investment agreement concerns on forming private groups and the ability of professional,financial,raising fund,built up and operated the infrastructure.In the side of managed agreement,the authority in charge department should have more flexible and board field than the pourement department.Authority in charge department do not get involve excessively in principle.Unless involved the special situation(ex：public safety).Risk may also put into authority in charge on an unsuitable way and get agreement dispute.It is necessary to establish a agreement management item to help the authority in charge department suitable operated agreement manage. The purposes of this study are to assist the authority in charge department established a agreement management item and prepare to the agreement manage reference of the handbook .By the agreement management item to help the authority in charge department suitable operated agreement manage and the agreement management item can used to find out the insufficient items. The agreement management item has secured by improving the insufficient items.Enhance the PPIP possibility by the agreement management.The scope of this study is only limited the concession agreement to the transfer procedure during the promotional of private participation life cycle. The literature review included the PPIP agreement management. This study focus on that compare general agreement management item from the authority in charge.Because of the PPIP have various of kinds,only focus on the ROT(Rehabilite-Operate-Transfer or Rent-Operate-Transfer.The government commissions the private institution, or the private institution leases from the government, existing facilities for operation after making renovations or expansions. Upon expiration of the operation period, the right to operate reverts back to the government)model to establish the agreement management item.This study sieved out a draft of ROT model agreement management to establish the agreement management item from agreement management item through the method of questionnaire.Than this study established a agreement management item from the draft through the method of expert interview. Finally two project delivers of the ROT model from the major facilities for tour-site was implemented agreement program by using of the agreement management item to find out the insufficient activities.It is obvious necessary to implement agreement management item after analyzing the reasons and improving approaches of the above insufficient activities口試委員會審定書…………………………………………………………… ……二謝………………………………………………………………………………. 三文摘要…………………………………………………………………………….四文摘要…………………………………………………………………………….五目錄……………………………………………………………………………….九目錄……………………………………………………………………………….十一章 緒論…………………………………………………………………1.1研究動機……………………………………………………………………...1.2研究目的……………………………………………………………………..3.3研究範圍與限制……………………………………………………………..3.4研究方法……………………………………………………………………..5.5研究流程……………………………………………………………………..5.6小結…………………………………………………………………………..5二章 文獻回顧………………………………………………………………8.1背景分析…………………………………………………………………………………8 2.1.1民間參與公共建設之履約管理…………………………………………….15 2.1.2現行法令相關規定……………………………………………………………16 2.1.3 BOT模式之監督管理基本原則……………………………………………22 2.1.4促參生命週期各階段履約管理重點………………………………....27.2加強履約管理議題…………………………………………………………31 2.2.1履約不順利原因………………………………………………..…….31 2.2.2關鍵失敗因子改善方法………………………………………………32.3主辦機關如何執行履約管理………………………………………………35.4小結…………………………………………………………………………37三章 ROT模式主辦機關履約管理執行要項初步建置……………………...…38 3.1建立履約管理執行要項……………………………………………………38 3.1.1 ROT契約特性……………………………………………………..….38 3.1.2 ROT模式履約管理執行要項訂定原則…………………………..….43 3.1.3名詞說明……………………………………………..….…….. … .. 47 3.2建立履約管理執行要項之構想…………………………………..…. ..…..49 3.3「履約管理執行要項」之比較與分析…………………………..…..…..….49 3.4小結…………………………………………………………..….…….. … .. 52四章 問卷調查暨專家訪談……………………………………………...... ..... 53 4.1問卷調查…………………………………………………………..….……..53 4.1.1問卷調查目的……………………………………………..….…...…..53 4.1.2問卷調查表的製作………………………………………..….…........53 4.1.3問卷調查的結果…………………………………………..….......…..56.2專家訪談…………………………………………………………………...69 4.2.1專家訪談目的………………………………………………………...69 4.2.2專家訪談過程………………………………………………………...70 4.2.3專家訪談結果………………………………………………………...70.3小結…………………………………………………………..….…….. … .. 70五章 個案導入與分析……………………………………………………….......86 5.1個案簡介……………………………………………………………………86 5.1.1案例一、陽明山國家公園內公部門執行ROT案……………………86 5.1.2案例二、墾丁國家公園內公部門執行ROT案………………………95 5.2個案導入之結果與分析………………………………………………...….99 5.2.1專案可行性評估成果導入履約管理執行要項表之流程……...……99 5.2.2案例一導入履約管理執行要項表之結果與分析………………... 100 5.2.3案例二導入履約管理執行要項表之結果與分析………...……… 107 5.3小結……………………………………………………………………… 110六章 結論與建議………………………………………………………….........111 6.1結論………………………………………………………………………...111 6.2建議…………………………………………………………………..........112考文獻…………………………………………………………………………...113錄一……………………………………………………………………………...115錄二……………………………………………………………………………...124錄三……………………………………………………………………………...13