民間參與公共建設履約困難案例之研究

Abstract

根據工程會95年第一季已簽約促進民間參與公共建設案件辦理情形之彙整，91至95年第一季完成簽約之311件列管案件中，曾經發生進度落後情形者有78件(25.08%)，解除契約者有6件(1.93%)；而目前尚在列管中的231件案件中，進度落後者尚有41件（17.75%），在41件案例中解除契約者亦有3件(1.52%)。上述履約困難案件之產生，或係契約履行過程存在若干障礙，或係前置作業仍有不足之處所致，亟待有系統地調查、釐清其成因。 由於國內相關的學術焦點皆在討論可行性評估或招商階段之研究，對促參案件履約階段發生困難的研究相當缺乏，然而就促參案件之生命週期而言，投資契約簽訂之後，才代表主辦機關與民間機構夥伴關係的真正開始，在未來10到50年之履約期限內，促參案件該如何完成預期的興建、營運工作，並且如期如質的提供該項公共建設服務，是促參案件成功的重要課題，故對於履約階段發生的困難有其深入研究之必要。 本文蒐集的履約困難案例包含不同的促參方式(BOT，BOO，ROT，OT)以及各種建設類別(交通建設，文教設施，環境汙染防治設施，農業設施，污水下水道設施，重大工商業設施，運動設施，衛生醫療設施，觀光遊憩設施，社會福利設施)，案例金額分佈自500萬元至200億元，履約期限自3年到60年不等，藉以分析國內促參案件履約進度落後情形。 研究方法採用文獻回顧與專家訪談，彙整歸納出國內促參案件關鍵失敗因子有以下幾點：(1)行政審查配合；(2)政府承諾事項；(3)法令認知差異；(4)資金取得困難；(5)違反契約規定；(6)營運收入風險；(7)當地民眾抗爭；(8)履約進度落後。 本研究利用系統圖的方式表達關鍵失敗因子與原因之間的關係，提供政府機關預防或減少促參案件履約困難發生，同時作為民間企業投資促參專案的可行性評估依據。

Based on the awareded PPIP（Private Participation in Infrastructure Projects）cases until the first season of 2006 from Public Construction Commission, 78 projects（25.08%）were behind schedule and 6 projects（1.93%） were early terminated in 311 projects. In 231 register projects, there were 41 delayed projects（17.75%）and 6 canceled projects（1.93%）as well. The causes, conditions, and processes behind the implementation of these problematic PPIP projects need to be investigated and analyzed. Lack of in-depth discourse and research on the difficulties in the PPIP, with long contractual period throughout 10 to 50 years, it is critical to provide a long-term response to fulfill the requirement of project management and the expectations of stakeholders and citizens at construction and operation stages. Accordingly, this research aimed to investigate the potential problems for implementing PPIP projects in current circumstance and to analysze the causes, conditions, and processes. The experience of construction and operation in selected cases from Taiwan have been documented in adequate details, including different types of private participation（BOT, BOO, ROT, and OT）and facilities（transportation, cultural and education, agriculture, water and sewerage, industrial and commercial, medical treatment）.The amount of selected cases range from half of million to 20 billion NT dollars, and the contractual period were scatter from 3 to 60 years. The methodology of this research was literature study and interview from experts. The Critical Failure Factors (CFF) for the public-private partnerships (PPP), generalized from Taiwanese cases, include: （1） Deficient approval process; （2） Delay execution of government’s commitment; （3） Cognitive difference about regulations; （4） Difficulty in loan acquisition; （5） Different interpretation of contractual clauses; （6） Overoptimistic estimate of operating incomes; （7） Opposition from the community; and （8） Delay execution of contract’s implement. The relationship between these Critical Failure Factors and their causal factors are represented in the form of the systematic diagram. The government will be able to prevent and reduces the potential problems of PPP cases. The private enterprises will be able to evaluate the project viability of PPP over the long-term contractual period.