Model Legislative Provisions_EC
Correct misalignment Change languages order
Model Legislative Provisions Model Legislative provisions on PFIP_e.pdf (English)Model Legislative Provisions Model Legislative provisions on PFIP_c.pdf (Chinese)
UNCITRAL贸易法委员会
Model Legislative Provisions私人融资基础设施项目
on Privately Financed示范立法条文
Infrastructure Projects联合国国际贸易法委员会拟订
Prepared by the United Nations Commission on International Trade Law UNITED NATIONS联 合 国
Printed in AustriaPrinted in Austria
V.03-90621—May 2004—3,870V.03-90620—July 2004—435
United Nations publicationUnited Nations publication
Sales No. E.04.V.11Sales No. C.04.V.11
ISBN 92-1-133583-3UNCITRALUNCITRALUNCITRALUNCITRALUNCITRALISBN 92-1-730002-0贸易法委员会
Model Legislative Provisions私人融资基础设施项目
on Privately Financed示范立法条文
Infrastructure Projects联合国国际贸易法委员会拟订
Prepared by the United Nations联合国
Commission on International Trade Law纽约,2004年
UNITED NATIONSii
New York, 2004ii说明
NOTE联合国文件用英文大写字母附加数字编号。提到这种编号,即指
Symbols of United Nations documents are composed of capital letters联合国的某一文件。
combined with figures. Mention of such a symbol indicates a reference to a本出版物上的材料可自由引用或翻印,但请注明来源,并送寄一
United Nations document.册含有引用或翻印材料的出版物。
Material in this publication may be freely quoted or reprinted, but联合国出版物
acknowledgement is requested, together with a copy of the publication containing the quotation or reprint.销售编号:C.04.V.11
UNITED NATIONS PUBLICATIONISBN 92-1-730002-0iii
Sales No. E.04.V.11序言
ISBN 92-1-133583-3iii Preface The present Model Legislative Provisions were prepared by the United Nations Commission on International Trade Law (UNCITRAL) as an addition to the UNCITRAL联合国国际贸易法委员会(贸易法委员会)拟订了本《示范立法条文》
Legislative Guide on Privately Financed Infrastructure Projects.作为《贸易法委员会私人融资基础设施项目立法指南》
aa
In addition to representatives of member States of the Commission, representatives of many other States and of a的一份附加文件。除
number of international organizations, both intergovernmental and non-governmental,委员会各成员代表外,许多其他国家代表以及一些政府间国际组织和非政府
participated actively in the preparatory work.国际组织代表也积极参加了拟订工作。
The Commission considered the additional work to be undertaken in the field of委员会审议了在2001年通过《立法指南》之后拟在私人融资基础设施项
privately financed infrastructure projects after the adoption of the Legislative Guide in 2001目领域开展的额外工作,责成一个工作组根据《立法指南》所载建议拟订示
and entrusted a working group with the task of preparing model legislative provisions on the basis of the recommendations contained in the Legislative Guide.范立法条文。
bb
The working工作组分别于2001年9月24日至28日和2002年9月9日至13日在
group devoted two sessions, held in Vienna from 24 to 28 September 2001 and from 9 to 13 September 2002 to the preparation of the draft model legislative provisions. The Commission finalized and adopted维也纳举行了两次会议,专门讨论示范立法条文草案的拟订工作。委员会在 其于2003年6月30日至7月11日在维也纳举行的第三十六届会议上最后审定并 通过了
cc
the Model Legislative Provisions at its thirty-sixth session,《示范立法条文》并请秘书处将其分发给各国政府、有关国际政府间
held in Vienna from 30 June to 11 July 2003, and requested the Secretariat to disseminate组织和非政府组织、私营部门实体和学术机构。
them among Governments, relevant international intergovernmental and non-governmental委员会还请秘书处在适当时候将《示范立法条文》案文和《立法指南》
organizations, private sector entities and academic institutions.合并为单独一份出版物,并在合并时保留《立法指南》所载立法建议作为拟
The Commission further requested the Secretariat to consolidate in due course the text of the Model Legislative Provisions and the Legislative Guide into one single publication and, in doing so, to retain the legislative recommendations contained in the Legislative Guide as a basis of the development of the Model Legislative Provisions.订《示范立法条文》的基础。
dd
aa
United Nations publication, Sales No. E.01.V.4.联合国出版物,销售编号:E.01.V.4。
bb
Official Records of the General Assembly, Fifty-sixth Session, Supplement No. 17 (A/56/17), para. 369 (see Yearbook of the United Nations Commission on International Trade Law 2001,《大会正式记录,第五十六届会议,补编第17号》((A/56/17),第369段(见
part one).《2001年联合国国际贸易法委员会年鉴》,第一部分)。
cc
Ibid., Fifty-eighth Session, Supplement No. 17 (A/58/17), paras. 12-171.同上,《第五十八届会议,补编第17号》 ((A/58/17),第12-177段。
dd
Ibid., para. 171.ivv同上,第171段。ivv
Contents目录
Page页次
Preface.序言.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .................................................. .................................................. ....
iiiiii
Resolution adopted by the General Assembly.大会通过的决议.
. . . . . . . . . . . . . . . . . . .................................................. ...................................
ixix
Foreword.前言.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .................................................. .................................................. ....
xixi
Part one第一部分
LEGISLATIVE RECOMMENDATIONS I. GENERAL LEGISLATIVE AND INSTITUTIONAL立法建议
FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1一. 一般性立法和体制框架 .................................................. ............... 1
Constitutional, legislative and institutional framework宪法、立法和体制框架(建议1) ................................................. 1
(recommendation 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Scope of authority to award concessions (recommendations 2-5) . 1授予特许权 的权力范围(建议2-5) .............................................. 1
Administrative coordination (recommendation 6).行政协调(建议6).
. . . . . . . . . . . .................................................. .......................
2 Authority to regulate infrastructure services2
(recommendations 7-11).基础设施服务的管理权(建议7-11).
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............................................
22
II.二.
PROJECT RISKS AND GOVERNMENT SUPPORT.项目风险和政府支助.
. . . . . . . .................................................. .....................
33
Project risks and risk allocation (recommendation 12).项目风险和风险分担(建议12).
. . . . . . .................................................. ..
3 Government support (recommendation 13).3 政府支助(建议13).
. . . . . . . . . . . . . . . . .................................................. ......................
33
Part two第二部分
MODEL LEGISLATIVE PROVISIONS示范立法条文
I.一.
GENERAL PROVISIONS.总则.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .................................................. ...............................................
55
Model provision 1.示范条文第1条.
Preamble.序言.
. . . . . . . . . . . . . . . . . . . . . . . . . . . .................................................. ......................
55
Model provision 2.示范条文第2条.
Definitions.定义.
. . . . . . . . . . . . . . . . . . . . . . . . . .................................................. ......................
55
Model provision 3. Authority to enter into concession contracts 6示范条文第3条. 签订特许权合同的权力 ........................................ 6
Model provision 4.示范条文第4条.
Eligible infrastructure sectors.合适的基础设施部门.
. . . . . . . . . . ............................................
77
II. SELECTION OF THE CONCESSIONAIRE . . . . . . . . . . . . . . . . . 7. 特许公司的选定 .................................................. .............................. 7
Model provision 5. Rules governing the selection proceedings . 7示范条文第5条. 筛选程序的规则 .................................................. .. 7
1.1.
Pre-selection of bidders.投标人的预选.
. . . . . . . . . . . . . . . . . . . . . . . . . . .................................................. .......................
77
Model provision 6.示范条文第6条.
Purpose and procedure of pre-selection.预选的目的和程序.
. . ................................................
77
Model provision 7.示范条文第7条.
Pre-selection criteria.预选标准.
. . . . . . . . . . . . . . . . . .................................................. ..............
9vi9vi
Page页次
Model provision 8.示范条文第8条.
Participation of consortia.联营集团的参加.
. . . . . . . . . . . . ..................................................
99
Model provision 9.示范条文第9条.
Decision on pre-selection.预选决定.
. . . . . . . . . . . . .................................................. ............
1010
2.2.
Procedures for requesting proposals.招标程序.
. . . . . . . . . . . . . . . . .................................................. .............................
1111
Model provision 10.示范条文第10条.
Single-stage and two-stage procedures for requesting proposals.招标的单阶段和两阶段程序.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............................
1111
Model provision 11.示范条文第11条.
Content of the request for proposals.招标书的内容.
. . . .................................................. ..
1212
Model provision 12.示范条文第12条.
Bid securities.投标担保.
. . . . . . . . . . . . . . . . . . . . . . .................................................. ..........
12 Model provision 13.12 示范条文第13条.
Clarifications and modifications.澄清和修改.
. . . . . . . .................................................. ......
1313
Model provision 14.示范条文第14条.
Evaluation criteria.评价标准.
. . . . . . . . . . . . . . . . . . .................................................. ..........
1313
Model provision 15.示范条文第15条.
Comparison and evaluation of proposals.投标书的比较和评价.
.........................................
1414
Model provision 16.示范条文第16条.
Further demonstration of fulfilment of qualification criteria.再次证明符合资格标准.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....................................
1414
Model provision 17.示范条文第17条.
Final negotiations.最后谈判.
. . . . . . . . . . . . . . . . . . . .................................................. ..........
1515
3. Negotiation of concession contracts without competitive3. 不经过竞争程序谈判特许权合同 ....................................... 15
procedures.示范条文第18条.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .允许不经过竞争程序的授标情形.
15 Model provision 18....................
Circumstances authorizing award without15
competitive procedures.示范条文第19条.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .特许权合同的谈判程序.
15 Model provision 19....................................
Procedures for negotiation of a concession16
contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 4. Unsolicited proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174. 非邀约投标书 .................................................. ..................... 17
Model provision 20.示范条文第20条.
Admissibility of unsolicited proposals.非邀约投标书的可采性.
. . ....................................
1717
Model provision 21.示范条文第21条.
Procedures for determining the admissibility of unsolicited proposals.确定非邀约投标书可采性的程序.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ....................
1717
Model provision 22.示范条文第22条.
Unsolicited proposals that do not involve intellectual property, trade secrets or other exclusive rights.不涉及知识产权、商业秘密或其他 专属权的非邀约投标书.
. . .................................................. ............
1818
Model provision 23.示范条文第23条.
Unsolicited proposals involving intellectual property, trade secrets or other exclusive rights.涉及知识产权、商业秘密或专属权 的非邀约投标书.
. . . . . . . . . . . . .................................................. ........................
1919
5.5.
Miscellaneous provisions.杂项规定.
. . . . . . . . . . . . . . . . . . . . . . . . . .................................................. .............................
1919
Model provision 24.示范条文第24条.
Confidentiality.保密性.
. . . . . . . . . . . . . . . . . . . . . .................................................. ..............
1919
Model provision 25.示范条文第25条.
Notice of contract award.合同的授予通告.
. . . . . . . . . . . . . ................................................
2020
Model provision 26. Record of selection and award proceedings 20示范条文第26条. 筛选和授标程序的记录 .................................... 20
Model provision 27.示范条文第27条.
Review procedures.审查程序.
. . . . . . . . . . . . . . . . . . .................................................. ..........
2020
III. CONTENTS AND IMPLEMENTATION OF THE CONCESSION CONTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21. 特许权合同的内容和实施 .................................................. ............. 21
Model provision 28.示范条文第28条.
Contents and implementation of the concession contract.特许权合同的内容和实施.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ................................
2121
Model provision 29.示范条文第29条.
Governing law.管辖法律.
. . . . . . . . . . . . . . . . . . . . . .................................................. ..........
2222
Model provision 30.示范条文第30条.
Organization of the concessionaire.特许公司的组建.
. . . . . ................................................
2323
Model provision 31. Ownership of assets . . . . . . . . . . . . . . . . . . . 23 Model provision 32. Acquisition of rights related to the示范条文第31条. 资产的所有权 .................................................. .. 23
project site . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23vii示范条文第32条. 获得对项目场地的相关权利 ............................ 23vii
Page页次
Model provision 33.示范条文第33条.
Easements.地役权.
. . . . . . . . . . . . . . . . . . . . . . . . . .................................................. ..............
2424
Model provision 34.示范条文第34条.
Financial arrangements.财务安排.
. . . . . . . . . . . . . . .................................................. ..........
2525
Model provision 35.示范条文第35条.
Security interests.担保权益.
. . . . . . . . . . . . . . . . . . . .................................................. ..........
2525
Model provision 36.示范条文第36条.
Assignment of the concession contract.特许权合同的转让.
. ............................................
2626
Model provision 37. Transfer of controlling interest in the示范条文第37条. 特许公司控股权的转让 .................................... 26
concessionaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26示范条文第38条. 基础设施的运营 ................................................ 26
Model provision 38.示范条文第39条.
Operation of infrastructure.对法规具体变化的补偿.
. . . . . . . . . . . ....................................
2627
Model provision 39. Compensation for specific changes in示范条文第40条. 特许权合同的修订 ............................................ 27
legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27示范条文第41条. 订约当局接管基础设施项目 ............................ 28
Model provision 40.示范条文第42条.
Revision of the concession contract.特许公司的替换.
. . . . ................................................
2728
Model provision 41. Takeover of an infrastructure project by. 特许权合同的期限、展期和终止 .................................................. . 28
the contracting authority.1. 特许权合同的期限和展期.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .................................................. .
2828
Model provision 42.示范条文第43条.
Substitution of the concessionaire.特许权合同的期限和展期.
. . . . . ................................
2828
IV. DURATION, EXTENSION AND TERMINATION OF THE2. 特许权合同的终止 .................................................. ............. 29
CONCESSION CONTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28示范条文第44条. 由订约当局提出终止特许权合同 .................... 29
1.示范条文第45条.
Duration and extension of the concession contract.由特许公司提出终止特许权合同.
. . . . ....................
2829
Model provision 43. Duration and extension of the concession示范条文第46条. 由任何一方当事人提出终止特许权合同 ........ 30
contract.3. 特许权合同终止或期满时的安排.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .......................................
2830
2.示范条文第47条.
Termination of the concession contract.特许权合同终止时的财务补偿.
. . . . . . . . . . . . . ........................
2930
Model provision 44. Termination of the concession contract by示范条文第48条. 停业和移交措施 ................................................ 30
the contracting authority.纠纷的解决.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .................................................. .....................................
2931
Model provision 45. Termination of the concession contract by示范条文第49条. 订约当局与特许公司之间的纠纷 .................... 31
the concessionaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29示范条文第50条. 涉及客户或基础设施用户的纠纷 .................... 31
Model provision 46. Termination of the concession contract by示范条文第51条. 其他纠纷 .................................................. .......... 31viiiix
either party . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 3. Arrangements upon termination or expiry of the concession contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Model provision 47. Compensation upon termination of the concession contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Model provision 48. Wind-up and transfer measures . . . . . . . . . 30 V. SETTLEMENT OF DISPUTES . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Model provision 49. Disputes between the contracting authority and the concessionaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Model provision 50. Disputes involving customers or users of the infrastructure facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 Model provision 51. Other disputes . . . . . . . . . . . . . . . . . . . . . . . 31viiiix Resolution adopted by the General Assembly大会通过的决议
[on the report of the Sixth Committee (A/58/513)][根据第六委员会的报告(A/58/513)通过]
58/76.58/76.
Model Legislative Provisions on Privately Financed联合国国际贸易法委员会私人融资
Infrastructure Projects of the United Nations基础设施项目示范立法条文
Commission on International Trade Law大会,
The General Assembly,铭记公私营伙伴关系在改进基础设施和公共服务的提供和良好管理以
Bearing in mind the role of public-private partnerships to improve the provision and促进可持续经济和社会发展方面的作用,
sound management of infrastructure and public services in the interest of sustainable economic and social development,确认有必要提供一个既鼓励私人投资基础设施又兼顾有关国家的公共
Recognizing the need to provide an enabling environment that both encourages private利益考虑的有利环境,
investment in infrastructure and takes into account the public interest concerns of the强调必须以高效、透明的程序审批私人融资基础设施项目,
country,着重指出应当通过提高透明度、公平性和长期可持续性的规则以及消
Emphasizing the importance of efficient and transparent procedures for the award of除不合理限制私营部门参与基础设施发展和运营的规则,便利项目的实
privately financed infrastructure projects,施,
Stressing the desirability of facilitating project implementation by rules that enhance回顾联合国国际贸易法委员会通过制订《贸易法委员会私人融资基础
transparency, fairness and long-term sustainability and remove undesirable restrictions on设施项目立法指南》,就建立一个有利于私人参与基础设施发展的立法
private sector participation in infrastructure development and operation,框架向会员国提供了宝贵的指导方针,
Recalling the valuable guidance that the United Nations Commission on International1
Trade Law has provided to Member States towards the establishment of a favourable相信《联合国国际贸易法委员会私人融资基础设施项目示范立法条
legislative framework for private participation in infrastructure development through the文》将进一步协助各国,特别是发展中国家,加强善政并为此类项目建
UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects,立适当的立法框架,
11. 赞赏联合国国际贸易法委员会完成并通过《私人融资基础设施项
Believing that the Model Legislative Provisions on Privately Financed Infrastructure目示范立法条文》,案文载于联合国国际贸易法委员会第三十六届会议
Projects of the United Nations Commission on International Trade Law will be of further报告附件一;
assistance to States, in particular developing countries, in promoting good governance and2
establishing an appropriate legislative framework for such projects,2. 请秘书长印发《示范立法条文》,并尽力确保《示范立法条文》
1. Expresses its appreciation to the United Nations Commission on International以及 《贸易法委员会私人融资基础设施项目立法指南》
Trade Law for the completion and adoption of the Model Legislative Provisions on Privately1
Financed Infrastructure Projects, the text of which is contained in annex I to the report of广为人知和将其
the United Nations Commission on International Trade Law on its thirty-sixth session;广为分发;
2 2. Requests the Secretary-General to publish the Model Legislative Provisions and to make all efforts to ensure that the Model Legislative Provisions along with the UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects 1 become generally known and available; 11
United Nations publication, Sales No. E.01.V.4.联合国出版物,销售编号:E.01.V.4。
22
Official Records of the General Assembly, Fifty-eighth Session, Supplement No. 17 (A/58/17).3.《大会正式记录,第五十八届会议,补编第17号》 (A/58/17)。 3.
Also requests the Secretary-General, subject to availability of resources, to consolidate in due course the text of the Model Legislative Provisions and the Legislative Guide又请秘书长在资源允许的情况下,在适当时候将《示范立法条
into one single publication and, in doing so, to retain the legislative recommendations文》案文和《立法指南》合并为单独一份出版物,并在合并时保留《立
contained in the Legislative Guide as a basis of the development of the Model Legislative法指南》所载立法建议作为拟订《示范立法条文》的基础;
Provisions;4. 建议各国在修订或通过与私人参与发展和经营公共基础设施有关
4. Recommends that all States give due consideration to the Model Legislative Provisions and the Legislative Guide when revising or adopting legislation related to private participation in the development and operation of public infrastructure. 72nd plenary meeting的立法时适当考虑《示范立法条文》和《立法指南》。
9 December 2003xi2003年12月9日 第72次全体会议xi
Foreword前言
The following pages contain a set of general recommended legislative principles以下各页载列了一套关于私人融资基础设施项目的一般立法原则建
entitled “legislative recommendations” and model legislative provisions (the “model provisions”) on privately financed infrastructure projects. The legislative recommendations and议(标题为“立法建议”)和示范立法条文(“示范条文”)。立法建议和示
the model provisions are intended to assist domestic legislative bodies in the establishment范条文的目的在于协助国内立法机构建立一个有利于私人融资基础设施
of a legislative framework favourable to privately financed infrastructure projects. They are项目的立法框架。其后附有说明,对主题领域中提出的财务、管理、法律
followed by notes that offer an analytical explanation of the financial, regulatory, legal,政策及其他问题作了分析性解释。望读者结合这些说明阅读立法建议和示
policy and other issues raised in the subject area. The reader is advised to read the legislative recommendations and the model provisions together with the notes, which provide范条文,其中提供的背景资料有助于增进对立法建议和示范条文的理解。
background information to enhance understanding of the legislative recommendations and立法建议和示范条文包括一套核心条文,论述特别涉及私人融资基础
model provisions.设施项目的立法中值得注意的事项。
The legislative recommendations and the model provisions consist of a set of core示范条文在设计上着眼于通过颁布含有详细说明的细则来实施和补
provisions dealing with matters that deserve attention in legislation specifically concerned充。因此,对更适合由细则而不是由法规处理的领域作了相应的指明。另
with privately financed infrastructure projects.外,成功地实施私人融资基础设施项目,除要求建立适宜的立法框架以外,
The model provisions are designed to be implemented and supplemented by the issuance of regulations providing further details. Areas more suitably addressed by regulations通常还需要采取各种其他措施,例如适宜的行政结构和做法;组织能力;
rather than statutes are identified accordingly. Moreover, the successful implementation of技术、法律和金融专门知识;适当的人力及财力资源和经济稳定性等。
privately financed infrastructure projects typically requires various measures beyond the应当指出的是,立法建议和示范条文并不涉及对私人融资基础设施项
establishment of an appropriate legislative framework, such as adequate administrative目也有影响但《贸易法委员会私人融资基础设施项目立法指南》*中并未
structures and practices, organizational capability, technical, legal and financial expertise,就其提出具体立法建议的其他法律领域。所涉其他法律领域包括诸如促进
appropriate human and financial resources and economic stability.和保护投资;财产法;担保权益;关于强制取得私有财产的法规和程序;
It should be noted that the legislative recommendations and the model provisions do一般合同法;关于政府合同和行政法的规则;税法;以及环境保护和消费
not deal with other areas of law that also have an impact on privately financed infrastructure projects but on which no specific legislative recommendations are made in the者保护法。应当注意这些其他法律领域与专门针对私人融资基础设施颁布
UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects.* Those other的任何法律的关系。
areas of law include, for instance, promotion and protection of investments, property law,*
security interests, rules and procedures on compulsory acquisition of private property,联合国出版物,销售编号:E.01.V.4。1
general contract law, rules on government contracts and administrative law, tax law and第一部分
environmental protection and consumer protection laws. The relationship of such other立法建议
areas of law to any law enacted specifically with respect to privately financed infrastructure一. 一般性立法和体制框架
projects should be borne in mind.宪法、立法和体制框架(见《立法指南》第一章,“一般性
*United Nations publication, Sales No. E.01.V.4.1立法和体制框架”,第2-14段)
Part one Legislative recommendations I. General legislative and institutional framework Constitutional, legislative and institutional framework (see the Legislative Guide, chap. I, “General legislative and institutional framework”, paras. 2-14) Recommendation 1. The constitutional, legislative and institutional framework for the implementation of privately financed infrastructure projects should ensure transparency, fairness and the long-term sustainability of projects. Undesirable restrictions on private sector participation in infrastructure development and operation should be eliminated. Scope of authority to award concessions (see the Legislative Guide, chap. I, “General legislative and institutional framework”, paras. 15-22) Recommendation 2. The law should identify the public authorities of the host country (including, as appropriate, national, provincial and local authorities) that are empowered to award concessions and enter into agreements for the implementation of privately financed infrastructure projects. Recommendation 3. Privately financed infrastructure projects may include concessions for the construction and operation of new infrastructure facilities and systems or the maintenance, modernization, expansion and operation of existing infrastructure facilities and systems. Recommendation 4. The law should identify the sectors or types of infrastructure in respect of which concessions may be granted. Recommendation 5. The law should specify the extent to which a concession might extend to the entire region under the jurisdiction of the respective contracting authority, to a geographical subdivision thereof or2 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects to a discrete project, and whether it might be awarded with or without exclusivity, as appropriate, in accordance with rules and principles of law, statutory provisions, regulations and policies applying to the sector concerned. Contracting authorities might be jointly empowered to award concessions beyond a single jurisdiction. Administrative coordination (see the Legislative Guide, chap. I, “General legislative and institutional framework”, paras. 23-29) Recommendation 6. Institutional mechanisms should be established to coordinate the activities of the public authorities responsible for issuing建议1. 关于实施私人融资基础设施项目的宪法、立法和体
approvals, licences, permits or authorizations required for the implementation of privately financed infrastructure projects in accordance with制框架,应确保项目的透明度、公平性和长期可持续性。应
statutory or regulatory provisions on the construction and operation of取消对私营部门参与基础设施开发和运营的不合理限制。
infrastructure facilities of the type concerned.授予特许权的权力范围(见《立法指南》第一章,“一般性
Authority to regulate infrastructure services (see the Legislative立法和体制框架”,第15-22段)
Guide, chap. I, “General legislative and institutional framework”,建议2. 法律应确定有权授予特许权和签订协议以实施私人
paras. 30-53)融资基础设施项目的所在国公共当局(视情况包括国家、省
Recommendation 7. The authority to regulate infrastructure services及地方各级当局)
should not be entrusted to entities that directly or indirectly provide建议3. 私人融资基础设施项目可包括新基础设施和系统的
infrastructure services.建造和运营或现有基础设施和系统的维护、现代化、扩建和
Recommendation 8. Regulatory competence should be entrusted to运营的特许权。
functionally independent bodies with a level of autonomy sufficient to建议4. 法律应确定可对哪些部门或哪类基础设施授予特许
ensure that their decisions are taken without political interference or权。
inappropriate pressures from infrastructure operators and public service建议5. 法律应具体规定特许权在多大程度上可扩大到分属
providers. Recommendation 9. The rules governing regulatory procedures should be made public. Regulatory decisions should state the reasons on which they are based and should be accessible to interested parties through publication or other means. Recommendation 10. The law should establish transparent procedures whereby the concessionaire may request a review of regulatory decisions by an independent and impartial body, which may include court review, and should set forth the grounds on which such a review may be based. Recommendation 11. Where appropriate, special procedures should be established for handling disputes among public service providers concerning alleged violations of laws and regulations governing the relevant sector.Part one. Legislative recommendations 3 II. Project risks and government support Project risks and risk allocation (see the Legislative Guide, chap. II, “Project risks and government support”, paras. 8-29) Recommendation 12. No unnecessary statutory or regulatory limitations should be placed upon the contracting authority’s ability to agree on an allocation of risks that is suited to the needs of the project.于各个订约当局管辖的整个区域,其中一个地理分区或一个2 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
Government support (see the Legislative Guide, chap. II, “Project独立的项目,并根据适用于有关行业部门的法律规则和原则、
risks and government support”, paras. 30-60)法规条款、条例和政策,具体规定可否酌情授予享有或不享
Recommendation 13. The law should clearly state which public有独家经营权的特许权。可授权若干订约当局联合授予超出
authorities of the host country may provide financial or economic support单一管辖区的特许权。
to the implementation of privately financed infrastructure projects and行政协调(见《立法指南》第一章,“一般性立法和体制框架”,
which types of support they are authorized to provide.5第23-29段)
Part two Model legislative provisions I. General provisions Model provision 1. Preamble (see the Legislative Guide, recommendation 1 and chap. I, paras. 2-14) WHEREAS the [Government] [Parliament] of [. . .] considers it desirable to establish a favourable legislative framework to promote and facilitate the implementation of privately financed infrastructure projects by enhancing transparency, fairness and long-term sustainability and removing undesirable restrictions on private sector participation in infrastructure development and operation; WHEREAS the [Government] [Parliament] of [. . .] considers it desirable to further develop the general principles of transparency, economy and fairness in the award of contracts by public authorities through the establishment of specific procedures for the award of infrastructure projects; [Other objectives that the enacting State might wish to state]; Be it therefore enacted as follows: Model provision 2. Definitions (see the Legislative Guide, introduction, paras. 9-20) For the purposes of this law: (a) “Infrastructure facility” means physical facilities and systems that directly or indirectly provide services to the general public; (b) “Infrastructure project” means the design, construction, development and operation of new infrastructure facilities or the rehabilitation, modernization, expansion or operation of existing infrastructure facilities; (c) “Contracting authority” means the public authority that has the power to enter into a concession contract for the implementation of an infrastructure project [under the provisions of this law]; 1 1 It should be noted that this definition relates only to the power to enter into concession contracts. Depending on the regulatory regime of the enacting State, a separate body, referred to as “regulatory agency” in subpara. (h), may have responsibility for issuing rules and regulations governing the provision of the relevant service.6 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects (d) “Concessionaire” means the person that carries out an infrastructure project under a concession contract entered into with a contracting authority; (e) “Concession contract” means the mutually binding agreement or agreements between the contracting authority and the concessionaire that set forth the terms and conditions for the implementation of an infrastructure project; (f) “Bidder” or “bidders” means persons, including groups thereof, that participate in selection proceedings concerning an infrastructure project; 2 (g) “Unsolicited proposal” means any proposal relating to the implementation of an infrastructure project that is not submitted in response to a request or solicitation issued by the contracting authority within the context of a selection procedure; (h) “Regulatory agency” means a public authority that is entrusted with the power to issue and enforce rules and regulations governing the infrastructure facility or the provision of the relevant services. 3 Model provision 3. Authority to enter into concession contracts (see the Legislative Guide, recommendation 2 and chap. I, paras. 15-18) The following public authorities have the power to enter into concession contracts 4 for the implementation of infrastructure projects falling within their respective spheres of competence: [the enacting State lists the relevant public建议 6. 应建立体制机制,对负责根据关于有关类型基础设
authorities of the host country that may enter into concession contracts by way施的建造和运营的法规或管理规定颁发实施私人融资基础设
of an exhaustive or indicative list of public authorities, a list of types or施项目所要求的批准书、执照、许可证或授权书的公共当局
categories of public authority or a combination thereof].开展的活动进行协调。
5基础设施服务的管理权(见《立法指南》第一章,“一般性
2立法和体制框架”第30-53段)
The term “bidder” or “bidders” encompasses, according to the context, both persons that have建议7. 不应将管理基础设施服务的权限交给那些直接或间
sought an invitation to take part in pre-selection proceedings or persons that have submitted a proposal接为基础设施提供服务的实体。
in response to a contracting authority’s request for proposals.建议8. 管理权限应交给具有充分自主权的职能上独立的机
3构,以确保其决定是在没有基础设施运营者和公共服务提供
The composition, structure and functions of such a regulatory agency may need to be addressed者政治干预或不适当压力的情况下作出的。
in special legislation (see the Legislative Guide, recommendations 7-11 and chap. I, “General legislative and institutional framework”, paras. 30-53).建议 9. 应公布管理程序规则。管理上的决定应说明所依据
4的理由,并应通过出版物或其他手段使有关当事方可以查阅。
It is advisable to establish institutional mechanisms to coordinate the activities of the public建议10. 法律应确立具有透明度的程序,使特许公司可据
authorities responsible for issuing the approvals, licences, permits or authorizations required for the以要求独立、公正的机构对某项管理上的决定进行审查,包
implementation of privately financed infrastructure projects in accordance with statutory or regulatory括法庭审查,法律还应列出可据以进行这种审查的理由。
provisions on the construction and operation of infrastructure facilities of the type concerned (see the建议11. 应酌情建立专门程序,处理公共服务提供者之间
Legislative Guide, recommendation 6 and chap. I, “General legislative and institutional framework”,对声称违反有关行业部门的法律和条例而发生的争端。第一部分 立法建议 3 二. 项目风险和政府支助 项目风险和风险分担(见《立法指南》第二章,“项目风险 和政府支助”,第8-29段) 建议12. 不应对订约当局在适合项目需要的情况下商定风 险分担方法的能力在法规或管理上作出不必要限制。 政府支助(见《立法指南》第二章,“项目风险和政府支助”, 第30-60段) 建议13. 法律应明确指明所在国的哪些公共当局可为实施 私人融资基础设施项目提供财政或经济支助,以及授权其提 供哪类支助。5 第二部分 示范立法条文 一. 总则 示范条文第 1条.序言(见《立法指南》建议 1和第一章, 第2-14段) 鉴于[......][政府][议会]认为有必要确立有利的立法框架,以 便通过促进透明度、公平性和长期可持续性以及消除对私营部 门参与基础设施发展和运营的不合理限制,促进和便利私人融 资基础设施项目的实施;
paras. 23-29). In addition, for countries that contemplate providing specific forms of government鉴于[......][政府][议会]认为有必要通过确立授予基础设施
support to infrastructure projects, it may be useful for the relevant law, such as legislation or a项目的具体程序,在公共机构授予合同的过程中进一步体现透
regulation governing the activities of entities authorized to offer government support, to identify明、节俭和公平这些基本原则;
clearly which entities have the power to provide such support and what kind of support may be[颁布国可能希望申明的其他目标];
provided (see chap. II, “Project risks and government support”).兹颁布如下:
5示范条文第2条. 定义(见《立法指南》导言,第9-20段)
Enacting States may generally have two options for completing this model provision. One在本法中:
alternative may be to provide a list of authorities empowered to enter into concession contracts, either(a) “基础结构设施”系指直接或间接向一般公众提供服务
in the model provision or in a schedule to be attached thereto. Another alternative might be for the的有形设施和系统;
enacting State to indicate the levels of government that have the power to enter into those contracts,(b) “基础设施项目”系指新基础结构设施的设计、施工、
without naming relevant public authorities. In a federal State, for example, such an enabling clause开发和运营或现有基础结构设施的翻修、现代化改造、扩展或
might refer to “the Union, the states [or provinces] and the municipalities”. In any event, it is advisable运营;
for enacting States that wish to include an exhaustive list of authorities to consider mechanisms(c) “订约当局”系指有权为[根据本法的规定]实施某一基
allowing for revisions of such a list as the need arises. One possibility to that end might be to include础设施项目而订立特许权合同的公共当局;
the list in a schedule to the law or in regulations that may be issued thereunder.Part two. Model legislative provisions 71
Model provision 4. Eligible infrastructure sectors (see the Legislative Guide, recommendation 4 and chap. I, paras. 19-22)1
Concession contracts may be entered into by the relevant authorities in the应当指出的是,本定义仅与签订特许权合同的权力有关。视颁布国的管理制度而定, 在(h)项中被称为“管理机构”的某一单独机构可负责发布关于提供相关服务而制定的规
following sectors: [the enacting State indicates the relevant sectors by way of则和条例。6 联合国国际贸易法委员会私人融资基础设施项目示范立法条文 (d) “特许公司”系指根据与订约当局订立的特许权合同实
an exhaustive or indicative list].施基础设施项目者; (e) “特许权合同”系指订约当局与特许公司之间订立的规
6定了实施某一基础设施项目的范围和条件的有相互约束力的协
II. Selection of the concessionaire议; (f) “投标人”系指基础设施项目筛选程序的参加者,包括参 加者群体; 2 (g) “非邀约投标书”系指非因响应订约当局在筛选程序内 发出的招标或邀约而提交的与实施某一基础设施项目有关的任 何投标书; (h) “管理机构”系指获得授权负责就基础结构设施或有关 服务的提供而发布和执行规则和条例的公共机构。 3 示范条文第3条. 签订特许权合同的权力(见《立法指南》 建议2和第一章,第15-18段) 下列公共机构有权为实施属于其各自权限范围的基础设施项 目签订特许权合同 4 :[颁布国列举东道国中可签订特许权合同的 有关公共当局,详尽或作为示例列出公共当局名称一览表,公 共当局的类别或种类一览表,或名称兼类别]。 5 2 “投标人”一词视情况而定,既可包括已要求应邀参加预选程序者,也可包括 已对订约当局的招标提交了投标书者。 3 可能需要在特殊立法中论及这种管理机构的组成、结构和职能(见《立法指 南》建议7-11和第一章“一般性立法和体制框架”,第30-53段)。 4 最好是根据关于有关类型基础结构设施的施工和运营的法律或管理规定,建立 有关体制机制,以协调负有颁发私人融资基础设施项目实施工作所需的批准书、执照 和许可证的职责的公共当局的活动(见《立法指南》, 建议6和第一章,“一般性立法 和体制框架”,第23-29段)。除此之外,对那些在考虑为基础设施项目提供特定形 式的政府支助的国家来说,相关法律,例如关于受命提供政府支助的实体的活动的立 法和条例,可能有必要明确指明哪些实体有权提供这种支助以及应提供何种支助(见 第二章“项目风险和政府支助”)。 5 对于如何完成此项示范条文,颁布国一般可有两种选择。一种方法是,可在示 范条文或拟附在其后的附表中提供一份有权签订特许权合同的当局的名称一览表。另 一种方法是,颁布国可指明有权签订这种合同的政府级别,而无需给出有关公共当局 的名称。例如,在一个联邦制国家,这种授权条款可提及“联邦、州[或省]和市”。 无论如何,那些希望载列一份详尽的当局名称一览表的颁布国不妨考虑建立可根据需 要修订此一览表的机制。为达到这一目的,可将该名称一览表列入法律的一个附表之 中或可能在其之下发布的条例之中。第二部分 示范立法条文 7 示范条文第4条. 合适的基础设施部门(见《立法指南》 建议4和第一章,第19-22段) 下列部门的有关当局可以订立特许权合同:[颁布国详尽或 作为示例列出有关部门]。 6 二. 特许公司的选定
Model provision 5.示范条文第5条.
Rules governing the selection proceedings (see筛选程序的规则(见《立法指南》 建议
the Legislative Guide, recommendation 14 and chap. III, paras. 1-33) The selection of the concessionaire shall be conducted in accordance with14和第三章,第1-33段)
model provisions 6-27 and, for matters not provided herein, in accordance with特许公司的筛选,应当根据示范条文第6条至第27条进行,
[the enacting State indicates the provisions of its laws that provide for transparent and efficient competitive procedures for the award of government对于其中未予规定的事项,则应根据[颁布国指明其法律中关于
contracts].通过透明和有效率的竞争程序授予政府合同的规定]进行。
77
1.1. 投标人的预选 示范条文第6条.
Pre-selection of bidders预选的目的和程序(见《立法指南》第
Model provision 6.三章,第34-50段) 1.
Purpose and procedure of pre-selection (see the订约当局应当参与预选程序,以便确定适合于实施所设 想的基础设施项目的合格投标人。
Legislative Guide, chap. III, paras. 34-50)6 那些希望载列一份详尽的部门名称一览表的颁布国不妨考虑建立可根据需要修
1. The contracting authority shall engage in pre-selection proceedings订此一览表的机制。为达到这一目的,可将该名称一览表列入法律的一个附表之中或 可能在其之下发布的条例之中。 7 请读者注意特许公司的筛选程序与颁布国中关于授予政府合同的一般立法框架
with a view to identifying bidders that are suitably qualified to implement the之间的关系。虽然可能有必要应用传统采购方法中存在着的一些结构性竞争要素,但
envisaged infrastructure project.是需要作一些修改,以考虑到私人融资基础设施项目的特殊需要,例如明确界定的预
6选阶段、投标书征求通告拟订上的灵活性、特殊评价标准以及与投标人谈判的某些范
It is advisable for enacting States that wish to include an exhaustive list of sectors to consider围。本章反映的筛选程序主要是依据1994年5月31日至6月17日在纽约举行的贸易法委
mechanisms allowing for revisions of such a list as the need arises. One possibility to that end might员会第二十七届会议通过的《贸易法委员会货物、工程和服务采购示范法》(“采购
be to include the list in a schedule to the law or in regulations that may be issued thereunder.示范法”)范围内的主要服务采购方法的特征。关于特许公司的选定的示范条文无意
7取代或照搬颁布国关于政府采购的全部规则,而是协助其本国立法者制订关于筛选特
The reader’s attention is drawn to the relationship between the procedures for the selection of许公司的特殊规则。示范条文草案假定,在颁布国存在着一个用于授予政府合同的一
the concessionaire and the general legislative framework for the award of government contracts in the般框架,该框架以满足采购示范法的标准的方式提供透明的高效率竞争程序。因此,
enacting State. While some elements of structured competition that exist in traditional procurement示范条文并不涉及一般见于充分的一般采购制度的一些实际程序性步骤。这方面的例
methods may be usefully applied, a number of adaptations are needed to take into account the子包括下列事项:通知发布方式、招标发布程序、采购过程的记录、公众对信息的获
particular needs of privately financed infrastructure projects, such as a clearly defined pre-selection得和审查程序。这些示范条文的说明可酌情提请读者参考采购示范法的规定,这些规
phase, flexibility in the formulation of requests for proposals, special evaluation criteria and some定经过在细节上作必要的修改后可作为对示范条文中所述筛选程序实际要素的补充。8 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
scope for negotiations with bidders.2.
The selection procedures reflected in this chapter are based largely应当根据[颁布国指明其法律中关于公布有关参加供应商
on the features of the principal method for the procurement of services under the UNCITRAL Model和承包商资格预审程序的邀请书的规定]公布关于参加预选程序
Law on Procurement of Goods, Construction and Services, which was adopted by UNCITRAL at its的邀请书。
twenty-seventh session, held in New York from 31 May to 17 June (the “Model Procurement Law”).3. 如若[颁布国指明其采购程序法中关于参加供应商和承包
The model provisions on the selection of the concessionaire are not intended to replace or reproduce商资格预审程序的邀请书内容的规定]
the entire rules of the enacting State on government procurement, but rather to assist domestic8
legislators in developing special rules for the selection of the concessionaire. The model provisions尚未予以规定,参加预选
assume that there exists in the enacting State a general framework for the award of government程序的邀请书应当至少包括下列内容:
contracts providing for transparent and efficient competitive procedures in a manner that meets the(a) 描述拟建设或翻修的基础结构设施;
standards of the Model Procurement Law. Thus, the model provisions do not deal with a number of(b) 指明项目其他主要要素,例如特许公司将提供的服务,
practical procedural steps that would typically be found in an adequate general procurement regime.订约当局设想的财务安排(例如,项目是否完全将由使用费或
Examples include the following matters: manner of publication of notices, procedures for issuance of通行费供资,或是否可向特许公司提供诸如直接付款、贷款或
requests for proposals, record-keeping of the procurement process, accessibility of information to the担保等公款);
public and review procedures. Where appropriate, the notes to these model provisions refer the reader(c) 概要说明将订立的特许权合同的已知主要条款;
to provisions of the Model Procurement Law, which may, mutatis mutandis, supplement the practical(d) 预选申请书的提交方式和地点以及提交截止期限,应当
elements of the selection procedure described herein.8 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects指明具体截止日期和时间,让投标人有充足的时间准备和提交
2. The invitation to participate in the pre-selection proceedings shall be其申请书;
published in accordance with [the enacting State indicates the provisions of its(e) 预选文件的邀约方式和地点。
laws governing publication of invitation to participate in proceedings for the4. 如若[颁布国指明其采购程序法中关于拟在供应商和承包
pre-qualification of suppliers and contractors].商资格预审程序中提供给供应商和承包商的预选文件内容的规
3. To the extent not already required by [the enacting State indicates定]
the provisions of its laws on procurement proceedings that govern the content9
of invitations to participate in proceedings for the pre-qualification of suppliers and contractors],尚未予以规定,预选文件应当至少包括以下资料:
8(a) 根据示范条文第7条确定的预选标准;
the invitation to participate in the pre-selection proceedings shall include at least the following:(b) 订约当局是否有意放弃关于示范条文第8条所载对联营
(a) A description of the infrastructure facility;集团的参加的限制;
(b) An indication of other essential elements of the project, such as the(c) 订约当局是否有意根据示范条文第9条第2款仅要求限定
services to be delivered by the concessionaire, the financial arrangements人数
envisaged by the contracting authority (for example, whether the project will10
be entirely financed by user fees or tariffs or whether public funds such as的预选投标人在预选程序结束后提交投标书,并酌情指明
direct payments, loans or guarantees may be provided to the concessionaire);进行筛选的方式;
(c) Where already known, a summary of the main required terms of the8
concession contract to be entered into;一般载于参加资格预审程序邀请书的要素一览表可见于采购示范法第25条第
(d) The manner and place for the submission of applications for preselection and the deadline for the submission, expressed as a specific date3款。
and time, allowing sufficient time for bidders to prepare and submit their9
applications; and一般载于资格预审文件的要素一览表可见于采购示范法第7条第3款。
(e) The manner and place for solicitation of the pre-selection documents.10
4. To the extent not already required by [the enacting State indicates在有些国家,关于筛选程序的实用指南鼓励本国订约当局尽可能减少预期的投
the provisions of its laws on procurement proceedings that govern the content标书数量,以足可确保有意义的竞争为限(例如三份或四份)。关于可以何种方式利
of the pre-selection documents to be provided to suppliers and contractors in用评分制度(特别是量化制度)达到这样的投标人范围,在《立法指南》(见第三
proceedings for the pre-qualification of suppliers and contractors],章“特许公司的选定”,第48和49段)中讨论。另见脚注14。第二部分 示范立法条文 9
9(d) 订约当局是否有意根据示范条文第30条要求中标投标人
the preselection documents shall include at least the following information:建立一个依照[本颁布国]法律建立和注册的法律实体;
(a) The pre-selection criteria in accordance with model provision 7;5. 对于本示范条文未予规定的事项,应当根据[颁布国指明
(b) Whether the contracting authority intends to waive the limitations on其政府采购法中关于如何进行供应商和承包商资格预审程序的
the participation of consortia set forth in model provision 8;规定]进行预选程序。
(c) Whether the contracting authority intends to request only a limited11
number示范条文第7条. 预选标准(见《立法指南》建议15和第
10三章,第34-40、43和44段)
of pre-selected bidders to submit proposals upon completion of the为了有资格参加筛选程序,有兴趣的投标人必须符合预选文
pre-selection proceedings in accordance with model provision 9, paragraph 2,件中规定的订约当局认为适合特定程序的客观合理标准。
and, if applicable, the manner in which this selection will be carried out;12
8这些
A list of elements typically contained in an invitation to participate in pre-qualification proceedings can be found in art. 25, para. 2, of the Model Procurement Law.标准应当至少包括:
9(a) 具备执行项目所有阶段,包括设计、施工、运营和维护
A list of elements typically contained in pre-qualification documents can be found in art. 7,所必须的充分的专业和技术资格、人力资源、设备及其他有形
para. 3, of the Model Procurement Law.设施;
10(b) 具备管理项目财务方面的足够能力和维持项目的财务需
In some countries, practical guidance on selection procedures encourages domestic contracting要的能力;
authorities to limit the prospective proposals to the lowest possible number sufficient to ensure(c) 具备适宜的管理和组织能力,可靠性和经验,包括以往
meaningful competition (for example, three or four). The manner in which rating systems (in particular运营公共基础设施的经验。
quantitative ones) may be used to arrive at such a range of bidders is discussed in the Legislative示范条文第8条. 联营集团的参加(见《立法指南》, 建议
Guide (see chap. III, “Selection of the concessionaire”, paras. 48 and 49). See also footnote 14.Part two. Model legislative provisions 916和第三章,第41和42段)
(d) Whether the contracting authority intends to require the successful1. 订约当局在最初邀请投标人参加筛选程序时,应当允许
bidder to establish an independent legal entity established and incorporated这些投标人组成投标联营集团。要求投标联营集团成员根据示
under the laws of [the enacting State] in accordance with model provision 30.范条文第7条表明其资格而提供的资料应当既涉及整个联营集
5. For matters not provided for in this model provision, the preselection proceedings shall be conducted in accordance with [the enacting团,又涉及联营集团的各个参加者。
State indicates the provisions of its laws on government procurement governing the conduct of proceedings for the pre-qualification of suppliers and11
contractors].关于资格预审程序的程序性步骤,包括对请求澄清进行处理的程序和对订约当
11局关于投标人资格的决定的披露要求,见《采购示范法》第7条第2-7款。
Model provision 7. Pre-selection criteria (see the Legislative Guide,12
recommendation 15 and chap. III, paras. 34-40, 43 and 44)某些国家的法律规定对本国实体给予某种优惠待遇,或者对承诺使用本国产品
In order to qualify for the selection proceedings, interested bidders must或雇用当地劳力的投标人给予特别待遇。本国优惠所产生的种种问题在《立法指南》
meet objectively justifiable criteria中讨论(见第三章,“特许公司的选定”,第43和44段)。《立法指南》建议,欲为
12 that the contracting authority considers appropriate in the particular proceedings, as stated in the pre-selection documents. These criteria shall include at least the following: (a) Adequate professional and technical qualifications, human resources, equipment and other physical facilities as necessary to carry out all the phases of the project, including design, construction, operation and maintenance; (b) Sufficient ability to manage the financial aspects of the project and capability to sustain its financing requirements; (c) Appropriate managerial and organizational capability, reliability and experience, including previous experience in operating similar infrastructure本国供应商提供某些刺激的国家,似宜以特别评价标准的形式而不是通过完全排斥外
facilities.国供应商的做法来实施这种优惠。无论如何,如要考虑国内优惠,应当事先宣布,最
Model provision 8. Participation of consortia (see the Legislative好是在预选程序邀请书中加以宣布。10 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
Guide, recommendation 16 and chap. III, paras. 41 and 42)2. 除非[...[颁布国指明有关当局]另有授权和]预选文件中另
1. The contracting authority, when first inviting the participation of有说明,否则,无论是直接参加还是间接参加,联营集团的每
bidders in the selection proceedings, shall allow them to form bidding consortia. The information required from members of bidding consortia to demonstrate their qualifications in accordance with model provision 7 shall relate to一成员只能同时参加一个联营集团。
the consortium as a whole as well as to its individual participants.13
11违反这项规则的,导致联
Procedural steps on pre-qualification proceedings, including procedures for handling requests营集团和个别成员均被取消资格。
for clarifications and disclosure requirements for the contracting authority’s decision on the bidders’3. 在审议投标联营集团的资格时,订约当局应当考虑联营
qualifications, can be found in art. 7 of the Model Procurement Law, paras. 2-7.集团成员各自的能力,并评估联营集团成员的能力综合起来是
12否足以满足项目各个阶段的需要。
The laws of some countries provide for some sort of preferential treatment for domestic示范条文第9条. 预选决定((关于第2款)见《立法指南》
entities or afford special treatment to bidders that undertake to use national goods or employ local建议17,另见第三章,第47-50段)
labour.1.
The various issues raised by domestic preferences are discussed in the Legislative Guide (see订约当局应当就提交预选申请书的每一投标人的资格作
chap. III, “Selection of the concessionaire”, paras. 43 and 44). The Legislative Guide suggests that出决定。订约当局在作出这项决定时只应当采用预选文件中规
countries that wish to provide some incentive to national suppliers may wish to apply such preferences定的标准。随后,订约当局应当邀请预选选定的所有投标人根
in the form of special evaluation criteria, rather than by a blanket exclusion of foreign suppliers. In据示范条文第10条至第17条提交投标书。
any event, where domestic preferences are envisaged, they should be announced in advance, preferably in the invitation to the pre-selection proceedings.2.
10 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects虽有第1款的规定,订约当局可以保留预选程序结束时
2. Unless otherwise [authorized by . . . [the enacting State indicates the仅请数目有限的
relevant authority] and] stated in the pre-selection documents, each member of14
a consortium may participate, either directly or indirectly, in only one consortium最符合预选标准的投标人提交投标书的权利,
13但是须事先在预选文件中就此作适当的说明。为此目的,订约
at the same time. A violation of this rule shall cause the disqualification当局应当根据评估投标人资格时所采用的标准给那些符合预选
of the consortium and of the individual members.标准的投标人定级,并拟定在预选程序结束后将邀请其提交投
3. When considering the qualifications of bidding consortia, the contracting authority shall consider the capabilities of each of the consortium标书的投标人名单。订约当局在拟定该简短名单时应当仅仅采
members and assess whether the combined qualifications of the consortium用预选文件中规定的定级方法。
members are adequate to meet the needs of all phases of the project.13
Model provision 9. Decision on pre-selection (see the Legislative之所以禁止投标人参加一个以上的联营集团为同一个项目投标,是为了减少泄
Guide, recommendation 17 (for para. 2) and chap. III, paras. 47-50)露资料或联营集团之间相互串通的风险。然而,本条示范条文考虑到了这条规则特殊
1. The contracting authority shall make a decision with respect to the例外的可能性,例如预期只有一家公司或者只有数目有限的公司能够提供执行项目所
qualifications of each bidder that has submitted an application for preselection. In reaching that decision, the contracting authority shall apply only必需的特定货物或服务。
the criteria that are set forth in the pre-selection documents. All pre-selected14
bidders shall thereafter be invited by the contracting authority to submit在有些国家,关于筛选程序的实用指南鼓励本国订约当局尽可能减少预期的投
proposals in accordance with model provisions 10-17.标书数量,以足可确保有意义的竞争为限(例如三份或四份投标书)。关于可以何种
2. Notwithstanding paragraph 1, the contracting authority may, provided that it has made an appropriate statement in the pre-selection documents方式利用评分制度(特别是数化制度)达到这样的投标人范围,在《立法指南》(见
to that effect, reserve the right to request proposals upon completion of the preselection proceedings only from a limited number第三章,“特许公司的选定”,第48段)中讨论。应当指出,评分制度仅在预选投标
14 of bidders that best meet the pre-selection criteria. For this purpose, the contracting authority shall rate the bidders that meet the pre-selection criteria on the basis of the criteria applied to assess their qualifications and draw up the list of bidders that will be invited to submit proposals upon completion of the pre-selection proceedings. In drawing up the list, the contracting authority shall apply only the manner of rating that is set forth in the pre-selection documents. 13 The rationale for prohibiting the participation of bidders in more than one consortium to submit proposals for the same project is to reduce the risk of leakage of information or collusion between competing consortia. Nevertheless, the model provision contemplates the possibility of ad hoc exceptions to this rule, for instance, in the event that only one company or only a limited number of companies could be expected to deliver a specific good or service essential for the implementation of the project. 14 In some countries, practical guidance on selection procedures encourages domestic contracting authorities to limit the prospective proposals to the lowest possible number sufficient to ensure meaningful competition (for example, three or four). The manner in which rating systems (in particular quantitative ones) may be used to arrive at such a range of bidders is discussed in the Legislative Guide (see chap. III, “Selection of the concessionaire”, para. 48). It should be noted that the rating system is used solely for the purpose of the pre-selection of bidders. The ratings of the pre-selected bidders should not be taken into account at the stage of evaluation of proposals (see model provision 15), at which all pre-selected bidders should start out on an equal standing.Part two. Model legislative provisions 11 2. Procedures for requesting proposals Model provision 10. Single-stage and two-stage procedures for requesting proposals (see the Legislative Guide, recommendations 18 (for para. 1) and 19 (for paras. 2 and 3) and chap. III, paras. 51-58)人时使用。在评价投标书阶段不应当考虑对预选选定的投标人的评分(见示范条文第
1. The contracting authority shall provide a set of the request for15条),在这个阶段,所有预选选定的投标人一开始应当都处于同等的地位。第二部分 示范立法条文 11
proposals and related documents issued in accordance with model provision 112. 招标程序
to each pre-selected bidder that pays the price, if any, charged for those示范条文第10条. 招标的单阶段和两阶段程序((关于第
documents.1款)见《立法指南》建议18,(关于第2和3款)见建议
2. Notwithstanding the above, the contracting authority may use a twostage procedure to request proposals from pre-selected bidders when the contracting authority does not deem it to be feasible to describe in the request for19,另见第三章,第51-58段)
proposals the characteristics of the project such as project specifications, performance indicators, financial arrangements or contractual terms in a manner1. 订约当局应当提供一套招标书和有关文件,根据示范条
sufficiently detailed and precise to permit final proposals to be formulated.文第11条印发给支付这些文件任何费用的每一个预选选定的投
3. Where a two-stage procedure is used, the following provisions apply:标人。
(a) The initial request for proposals shall call upon the bidders to submit,2. 虽有上述规定,如果订约当局认为无法为便利最后投标
in the first stage of the procedure, initial proposals relating to project specifications, performance indicators, financing requirements or other characteristics书的拟定而在招标书中以足够详细和精确的方式说明项目的性
of the project as well as to the main contractual terms proposed by the contracting authority;质,例如项目的技术规格、性能指标、财务安排或合同条款,
15订约当局可以使用两阶段程序向预选选定的投标人招标。
(b) The contracting authority may convene meetings and hold discussions with any of the bidders to clarify questions concerning the initial request3. 采用两阶段程序的,适用以下规定:
for proposals or the initial proposals and accompanying documents submitted(a) 初始招标书应当要求投标人在程序的第一阶段提交与项
by the bidders. The contracting authority shall prepare minutes of any such目技术规格、性质指标、财务安排或项目的其他特点以及与订
meeting or discussion containing the questions raised and the clarifications约当局提议的主要合同条款有关的初始投标书;
provided by the contracting authority;15
(c) Following examination of the proposals received, the contracting(b) 订约当局可以召开会议并与任何投标人进行讨论,澄清
authority may review and, as appropriate, revise the initial request for proposals by deleting or modifying any aspect of the initial project specifications,与初始招标书或投标人提交的初始投标书和所附文件有关的问
performance indicators, financing requirements or other characteristics of the题。订约当局应当编拟任何此种会议或讨论的简要记录,列明
project, including the main contractual terms, and any criterion for evaluating提出的问题和订约当局所作的解释;
and comparing proposals and for ascertaining the successful bidder, as set forth(c) 在对所收到的投标书研究之后,订约当局可以审查并
in the initial request for proposals, as well as by adding characteristics or酌情修订初始招标书,删除或修改初始项目技术规格、性能指
15标、财务安排或项目其他特点包括主要合同条款的任何方面,
In many cases, in particular for new types of project, the contracting authority may not be in以及初始招标书中所载的评价和比较投标书及确定中标人的任
a position, at this stage, to have formulated a detailed draft of the contractual terms envisaged by it.15
Also, the contracting authority may find it preferable to develop such terms only after an initial round在许多情况下,特别是对新类型的项目,订约当局在这一阶段也许不能制定其
of consultations with the pre-selected bidders. In any event, however, it is important for the contracting authority, at this stage, to provide some indication of the key contractual terms of the concession所设想的合同条款详细草案。另外,订约当局可能会发现在与预选选定的投标人进行
contract, in particular the way in which the project risks should be allocated between the parties under首轮磋商之后再拟定这种条款较为可取。然而,无论如何,在这一阶段对订约当局来
the concession contract. If this allocation of contractual rights and obligations is left entirely open说,重要的是指出特许权合同的关键合同条款,特别是根据特许权合同各方当事人之
until after the issuance of the final request for proposals, the bidders may respond by seeking to间应当如何分配项目的风险。如果合同权利和义务的这种分配完全留到印发了最后招
minimize the risks they accept, which may frustrate the purpose of seeking private investment for标书之后才商定,投标人可能会通过力求尽量减少其所接受的风险来应对,这可能有
developing the project (see chap. III, “Selection of the concessionaire”, paras. 67-70; see also chap. II,损于寻求私人投资开发项目的目的(见第三章,“特许公司的选定”,第67-70段;
“Project risks and government support”, paras. 8-29).12 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects另见第二章,“项目风险和政府支助”,第8-29段)。12 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
criteria to it. The contracting authority shall indicate in the record of the selection proceedings to be kept pursuant to model provision 26 the justification for何标准,并且增加特点或标准。订约当局应当在根据示范条文
any revision to the request for proposals. Any such deletion, modification or第26条保持的筛选程序记录中说明修订招标书的理由。任何此
addition shall be communicated in the invitation to submit final proposals;种删除、修改或增补应当在邀请提交最后投标书时通知投标人;
(d) In the second stage of the proceedings, the contracting authority shall invite the bidders to submit final proposals with respect to a single set of(d) 在程序的第二阶段,订约当局应当请投标人根据示范条
project specifications, performance indicators or contractual terms in accordance with model provisions 11-17.文第11条至第17条就单独一套项目技术规格、性能指标或合同
Model provision 11. Content of the request for proposals (see the条款提交最后投标书。
Legislative Guide, recommendation 20 and chap. III, paras. 59-70)示范条文第11条. 招标书的内容(见《立法指南》建议20 和第三章,第59-70段) 如果[颁布国指明本国关于采购程序的法律中管辖招标书内 容的规定] 16 未作要求,招标书应当至少包括以下资料: (a) 投标人为编写和提交投标书可能需要的一般信息; 17
To the extent not already required by [the enacting State indicates the(b) 适当的项目技术规格和性能指标,包括订约当局对安
provisions of its laws on procurement proceedings that govern the content of全、保卫标准和环境保护的要求;
requests for proposals],18 (c) 订约当局提议的合同条款,包括指明哪些条款被认为是
16不可谈判的;
the request for proposals shall include at least the(d) 评价投标书的标准和订约当局为确定不符合要求的投 标书而规定的任何最低限度;对每项这类标准所给予的相对加
following information:权;以及在评价和否决投标书时采用这些标准和最低限度的方
(a) General information as may be required by the bidders in order to式。
prepare and submit their proposals;示范条文第12条. 投标担保(见《立法指南》第三章,第
1762段)
(b) Project specifications and performance indicators, as appropriate,1. 招标书应当载列对所需投标担保的出具人以及担保的性
including the contracting authority’s requirements regarding safety and质、形式、数额和其他主要条款和条件的要求。
security standards and environmental protection;16
18采购示范法第38条中载有服务招标书中通常包含的内容清单。 17 《立法指南》第三章,“特许公司的选定”,第61和62段中载有应当提供的内 容清单。 18 见《立法指南》第三章,“特许公司的选定”,第64-66段。第二部分 示范立法条文 13 2. 投标人根据要求可能提供的任何投标担保不得予以没 收,除非: 19 (a) 在提交投标书截止日期之后或按招标书规定在截止日期 之前撤回或修改其投标书; (b) 未能依照示范条文第17条第1款同订约当局进行最后谈 判;
(c) The contractual terms proposed by the contracting authority, including an indication of which terms are deemed to be non-negotiable;(c) 未能依照示范条文第17条第2款在订约当局规定的时限
(d) The criteria for evaluating proposals and the thresholds, if any, set by内提交最佳和最终报价;
the contracting authority for identifying non-responsive proposals; the relative(d) 未能在投标书被接受后按照订约当局的要求签订特许权
weight to be accorded to each evaluation criterion; and the manner in which合同;
the criteria and thresholds are to be applied in the evaluation and rejection of(e) 未能在投标书被接受后提供履行特许权合同的担保或者
proposals.履行招标书中规定的签署项目合同的任何其他前提条件。
Model provision 12.示范条文第13条.
Bid securities (see the Legislative Guide,澄清和修改(见《立法指南》建议21和
chap. III, para. 62)第三章,第71和72段) 订约当局可以主动也可以应投标人的澄清要求而审查和酌情 修订示范条文第11条中的招标书的任何方面。订约当局应在根 据示范条文第26条保持的筛选程序记录中说明修订招标书的理 由。任何这种删除、修改或增补应当在提交投标书截止日期前 的合理时间内以与招标书相同的方式通知投标人。 示范条文第14条. 评价标准((关于第1款)见《立法指南》 建议22,(关于第2款)见建议23,另见第三章,第73-77段)
1.1.
The request for proposals shall set forth the requirements with respect to the issuer and the nature, form, amount and other principal terms and评价和比较技术投标书的标准
conditions of the required bid security.20
16应当至少包括下列各
A list of elements typically contained in a request for proposals for services can be found in项:
article 38 of the Model Procurement Law.(a) 技术可靠性;
17(b) 符合环境标准;
A list of the elements that should be provided can be found in the Legislative Guide,(c) 运营可行性;
chapter III, “Selection of the concessionaire”, paras. 61 and 62.(d) 服务质量和确保服务连续性的措施。
1819
See the Legislative Guide, chapter III, “Selection of the concessionaire”, paras. 64-66.Part two. Model legislative provisions 13关于投标担保的一般规定,见采购示范法第32条。
2. A bidder shall not forfeit any bid security that it may have been20
required to provide, other than in cases of:见《立法指南》第三章,“特许公司的选定”,第74段。14 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
192. 评价和比较财务及商业投标书的标准
(a) Withdrawal or modification of a proposal after the deadline for submission of proposals and, if so stipulated in the request for proposals, before21
that deadline;应当酌情包括下
(b) Failure to enter into final negotiations with the contracting authority列各项:
pursuant to model provision 17, paragraph 1;(a) 特许期内的拟议通行费、单价及其他收费的现值;
(c) Failure to submit its best and final offer within the time limit(b) 拟由订约当局直接支付的任何可能款项的现值;
prescribed by the contracting authority pursuant to model provision 17, paragraph 2;(c) 设计和建造活动的费用、每年运营和维护费用、资本费
(d) Failure to sign the concession contract, if required by the contracting用和运营及维护费用的现值;
authority to do so, after the proposal has been accepted;(d) 可望由[本颁布国]主管当局提供的任何财政支助的规模;
(e) Failure to provide required security for the fulfilment of the concession contract after the proposal has been accepted or to comply with any other(e) 拟议的财务安排健全性;
condition prior to signing the concession contract specified in the request for(f) 对订约当局在招标书中提议的可以谈判的合同条款的接
proposals.受程度;
Model provision 13. Clarifications and modifications (see the Legislative Guide, recommendation 21 and chap. III, paras. 71 and 72)(g) 投标书提供的社会和经济发展潜力。
The contracting authority may, whether on its own initiative or as a result示范条文第15条. 投标书的比较和评价(见《立法指南》
of a request for clarification by a bidder, review and, as appropriate, revise any建议24和第三章,第78-82段)
element of the request for proposals as set forth in model provision 11.1.
The订约当局应当根据招标书中规定的评价标准、每项此种
contracting authority shall indicate in the record of the selection proceedings标准所具有的相对加权和评价程序,比较和评价每份投标书。
to be kept pursuant to model provision 26 the justification for any revision to2. 为了第1款的目的,订约当局可以设立质量、技术、财
the request for proposals. Any such deletion, modification or addition shall be务和商业方面的最低限度。未达到最低限度的投标书应当视为
communicated to the bidders in the same manner as the request for proposals不符合要求。
at a reasonable time prior to the deadline for submission of proposals.22
Model provision 14.示范条文第16条.
Evaluation criteria (see the Legislative Guide,再次证明符合资格标准(见《立法指南》
recommendations 22 (for para. 1) and 23 (for para. 2) and chap. III,建议25和第三章,第78-82段)
paras. 73-77)订约当局可以要求预选选定的任何投标人根据预选中使用的
1. The criteria for the evaluation and comparison of the technical proposals同样标准再次证明其资格。经要求而不能再次证明其资格的任
20何投标人,订约当局应取消其资格。
shall include at least the following:23
(a) Technical soundness;21
(b) Compliance with environmental standards;见《立法指南》第三章,“特许公司的选定”,第75-77段。
(c) Operational feasibility;22
(d) Quality of services and measures to ensure their continuity.本条示范条文提出了一个评价程序的实例,订约当局似宜采用这种程序来比较和评
19 General provisions on bid securities can be found in art. 32 of the Model Procurement Law. 20 See the Legislative Guide, chapter III, “Selection of the concessionaire”, para. 74.14 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects 2. The criteria for the evaluation and comparison of the financial and commercial proposals 21 shall include, as appropriate: (a) The present value of the proposed tolls, unit prices and other charges over the concession period; (b) The present value of the proposed direct payments by the contracting authority, if any; (c) The costs for design and construction activities, annual operation and maintenance costs, present value of capital costs and operating and maintenance costs; (d) The extent of financial support, if any, expected from a public authority of [the enacting State]; (e) The soundness of the proposed financial arrangements; (f) The extent of acceptance of the negotiable contractual terms proposed by the contracting authority in the request for proposals; (g) The social and economic development potential offered by the proposals. Model provision 15. Comparison and evaluation of proposals (see the Legislative Guide, recommendation 24 and chap. III, paras. 78-82) 1. The contracting authority shall compare and evaluate each proposal in accordance with the evaluation criteria, the relative weight accorded to each such criterion and the evaluation process set forth in the request for proposals. 2. For the purposes of paragraph 1, the contracting authority may establish thresholds with respect to quality, technical, financial and commercial aspects. Proposals that fail to achieve the thresholds shall be regarded as nonresponsive and rejected from the selection procedure. 22 Model provision 16. Further demonstration of fulfilment of qualification criteria (see the Legislative Guide, recommendation 25 and chap. III, paras. 78-82) The contracting authority may require any bidder that has been preselected to demonstrate again its qualifications in accordance with the same 21 See the Legislative Guide, chapter III, “Selection of the concessionaire”, paras. 75-77. 22 This model provision offers an example of an evaluation process that a contracting authority may wish to apply to compare and evaluate proposals for privately financed infrastructure projects. Alternative evaluation processes such as a two-step evaluation process or the two-envelope system are described in the Legislative Guide, chap. III, “Selection of the concessionaire”, paras. 79-82. In contrast to the process set forth in this model provision, the processes described in the Legislative Guide are designed to allow the contracting authority to compare and evaluate the non-financial criteria separately from the financial criteria so as to avoid situations where undue weight would be given to certain elements of the financial criteria (such as the unit price) to the detriment of the nonfinancial criteria. In order to ensure the integrity, transparency and predictability of the evaluation stage of the selection proceedings, it is recommended that the enacting State set forth in its law the evaluation processes that contracting authorities may use to compare and evaluate proposals and the details of the application of this process.Part two. Model legislative provisions 15 criteria used for pre-selection. The contracting authority shall disqualify any bidder that fails to demonstrate again its qualifications if requested to do so. 23 Model provision 17. Final negotiations (see the Legislative Guide, recommendations 26 (for para. 1) and 27 (for para. 2) and chap. III, paras. 83 and 84) 1. The contracting authority shall rank all responsive proposals on the basis of the evaluation criteria and invite for final negotiation of the concession contract the bidder that has attained the best rating. Final negotiations shall not concern those contractual terms, if any, that were stated as non-negotiable in the final request for proposals. 2. If it becomes apparent to the contracting authority that the negotiations with the bidder invited will not result in a concession contract, the contracting authority shall inform the bidder of its intention to terminate the negotiations and give the bidder reasonable time to formulate its best and final offer. If the contracting authority does not find that proposal acceptable, it shall terminate the negotiations with the bidder concerned. The contracting authority shall then invite for negotiations the other bidders in the order of their ranking until it arrives at a concession contract or rejects all remaining proposals. The contracting authority shall not resume negotiations with a bidder with which negotiations have been terminated pursuant to this paragraph. 3. Negotiation of concession contracts without competitive procedures Model provision 18. Circumstances authorizing award without competitive procedures (see recommendation 28 and chap. III, para. 89) Subject to approval by [the enacting State indicates the relevant authority], 24 the contracting authority is authorized to negotiate a concession contract without using the procedure set forth in model provisions 6 to 17 in the following cases: 23 Where pre-qualification proceedings have been engaged in, the criteria shall be the same as those used in the pre-qualification proceedings. 24 The rationale for subjecting the award of the concession contract without competitive procedures to the approval of a higher authority is to ensure that the contracting authority engages in direct negotiations with bidders only in the appropriate circumstances (see the Legislative Guide, chap. III, “Selection of the concessionaire”, paras. 85-96). The model provision therefore suggests that the enacting State indicate a relevant authority that is competent to authorize negotiations in all cases set forth in the model provision. The enacting State may provide, however, for different approval requirements for each subparagraph of the model provision. In some cases, for instance, the enacting State may provide that the authority to engage in such negotiations derives directly from the law. In other cases, the enacting State may make the negotiations subject to the approval of different higher authorities, depending on the nature of the services to be provided or the infrastructure sector concerned. In those cases, the enacting State may need to adapt the model provision to these approval requirements by adding the particular approval requirement to the subparagraph concerned, or by adding a reference to provisions of its law where these approval requirements are set forth.16 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects (a) When there is an urgent need for ensuring continuity in the provision价私人融资基础设施项目的投标书。《立法指南》第三章,“特许公司的选定”,第7982段,介绍了其他评价程序,例如两阶段评价程序或双封袋方法。与本条示范条文中载列
of the service and engaging in the procedures set forth in model provisions 6的程序不同,《立法指南》中介绍的这些程序旨在使订约当局能够分别比较和评价非财
to 17 would be impractical, provided that the circumstances giving rise to the务标准与财务标准,以便避免因过分考虑财务标准中的某些要素(例如单价)而影响非
urgency were neither foreseeable by the contracting authority nor the result of财务标准。为了确保筛选过程评价阶段的完整性、透明度和可预测性,建议颁布国在其
dilatory conduct on its part;法律中规定可供订约当局用以比较和评价投标书的评价程序以及这种程序的实施细节。
(b) Where the project is of short duration and the anticipated initial23
investment value does not exceed the amount [of [the enacting State specifies a如果采用资格预选程序,标准应与资格预选程序所使用的标准相同。第二部分 示范立法条文 15
monetary ceiling]] [set forth in [the enacting State indicates the provisions of its示范条文第17条. 最后谈判((关于第1款)见《立法指南》
laws that specify the monetary threshold below which a privately financed建议 26;(关于第 2款)见建议 27;另见第三章,第83和
infrastructure project may be awarded without competitive procedures]];84段)
251. 订约当局应当根据评估标准排列所有符合要求的投标
(c) Where the project involves national defence or national security;书的名次,并邀请名列榜首的投标人进行特许权合同的最后谈
(d) Where there is only one source capable of providing the required判。最后谈判不得涉及最后招标书中指明的不可谈判的任何合
service, such as when the provision of the service requires the use of intellectual property, trade secrets or other exclusive rights owned or possessed by a同条款。
certain person or persons;2. 如果订约当局认为与被邀请的投标人的谈判显然不会达
(e) In cases of unsolicited proposals falling under model provision 23;成特许权合同,订约当局应当将其终止谈判的意图通知该投标
(f) When an invitation to the pre-selection proceedings or a request for人,并让该投标人有合理的时间提出其最佳和最后报价。如果
proposals has been issued but no applications or proposals were submitted or订约当局认为不能接受投标书,订约当局应当终止与该有关投
all proposals failed to meet the evaluation criteria set forth in the request for标人的谈判。订约当局应当按照排名先后邀请其他投标人进行
proposals and if, in the judgement of the contracting authority, issuing a new谈判,直到达成特许权合同或者否决所有其余的投标书。订约
invitation to the pre-selection proceedings and a new request for proposals当局不得在依照本款规定终止与一投标人谈判后恢复与该投标
would be unlikely to result in a project award within a required time frame;人的谈判。
263. 不经过竞争程序谈判特许权合同
(g) In other cases where the [the enacting State indicates the relevant示范条文第18条. 允许不经过竞争程序的授标情形(见《立
authority] authorizes such an exception for compelling reasons of public法指南》建议28和第三章,第89段)
interest. 27 Model provision 19. Procedures for negotiation of a concession contract (see the Legislative Guide, recommendation 29 and chap. III,经[颁布国指明有关当局]批准,
para. 90)24
Where a concession contract is negotiated without using the procedures订约当局有权在下列情形
set forth in model provisions 6-17 the contracting authority shall:下不使用示范条文第6条至第17条中规定的程序谈判特许权合
28同:
(a) Except for concession contracts negotiated pursuant to model provision 18, subparagraph (c), cause a notice of its intention to commence(a) 迫切需要确保连续提供服务,而采用示范条文第6条至
25第17条中规定程序将不切实际,条件是引起紧迫性的情况既非
As an alternative to the exclusion provided for in subparagraph (b), the enacting State may订约当局所能预见,也非其工作拖延所致; 24 不经过竞争程序授予特许权合同须经上级当局批准的理由是,要确保订约当局 只是在适宜的情形下才同投标人进行直接谈判(见《立法指南》第三章,“特许公司
consider devising a simplified procedure for request for proposals for projects falling thereunder, for的选定”,第85-96段)。因此,本条示范条文建议,颁布国应当指明一个有权授权 在本条示范条文所载各种情形下进行谈判的有关当局。然而,可以为本条示范条文中
instance by applying the procedures described in art. 48 of the Model Procurement Law.的每一款规定不同的批准要求。例如,在某些情形下,颁布国可以规定,进行这种谈 判的权力直接来自法律。在另外一些情形下,颁布国可以规定,视拟提供的服务或者
26有关基础设施部门的性质须经不同的上级当局批准才能进行谈判。在这些情形下,颁
The enacting State may wish to require that the contracting authority include in the record to布国可能需要根据这些批准要求调整本条示范条文,在有关款项增加具体的批准要求 或者增加提及本国法律中载列这种批准程序的规定的文字。16 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
be kept pursuant to model provision 26 a summary of the results of the negotiations and indicate the(b) 项目期限短,且预期初始投资额不超过[...的]数额[颁布
extent to which those results differed from the project specifications and contractual terms of the国具体规定一个最高金额][...中规定的]数额[颁布国指明其法律
original request for proposals, and that it state the reasons therefor.中具体规定最低金额的规定,低于该最低金额的私人融资基础
27设施项目可以不必经过竞争程序授标];
Enacting States that deem it desirable to authorize the use of negotiated procedures on an ad25
hoc basis may wish to retain subparagraph (g) when implementing the model provision. Enacting(c) 项目涉及国防或国家安全;
States wishing to limit exceptions to the competitive selection procedures may prefer not to include(d) 只有一个来源能够提供所需服务,例如这种服务的提供 需要使用属某人所有或由某人占有的知识产权、商业秘密和其 他专属权利; (e) 属于示范条文第23条范围内的非邀约投标书; (f) 发出参加预选程序邀请书或招标书后未收到申请或投 标书,或者所有投标书均未达到招标书中规定的评价标准,而 且,在订约当局看来,即使发出新的参加预选程序邀请书和新 的招标书也不可能在要求的时间内取得授予项目的结果; 26 (g) 由于令人信服的公共利益原因而由[颁布国指明有关当 局]授权作为例外的其他情形。 27 示范条文第19条. 特许权合同的谈判程序(见《立法指南》 建议29和第三章,第90段) 如果不使用示范条文第6条至第17条所载程序谈判特许权合 同,订约当局应当: 28 (a) 根据[颁布国指明任何有关采购程序的法律国管辖发布通 知的规定]设法发布通知,表示打算就特许权合同开始谈判,但 依照示范条文第18条(c)项进行的特许权合同谈判除外; 25 作为对(b)项中规定的排除法的一种替代,颁布国可以考虑为低于该最低金额的 项目的招标书拟定一种简化程序,例如采用采购示范法第48条中所述的程序。 26 颁布国似应要求订约当局在根据示范条文第26条保持的记录中列入谈判结果概 要并指明这些结果在多大程度上不同于原始招标书的项目规格和合同条件,并要求说 明其原因。 27 认为按特定情况授权使用谈判程序较为可取的颁布国似宜在采用本条示范条文 时保留(g)项。希望限制竞争性筛选程序例外情形的颁布国可不选择列入本项。在任何 情况下,为透明度起见,颁布国似应在此处或本条示范条文的他处指明任何其他例外 情形,在这些情形下,允许使用具体法规提供的谈判程序。 28 提高根据本条示范条文进行的谈判的透明度的某些要素,在《立法指南》第三 章“特许公司的选定”第90-96段中论及。第二部分 示范立法条文 17 (b) 视情况许可尽可能让更多的按订约当局判断 29 有能力执 行项目的人参加谈判;
the subparagraph. In any event, for purposes of transparency, the enacting State may wish to indicate(c) 确定据以评价投标书和排列名次的评价标准。
here or elsewhere in the model provision other exceptions, if any, authorizing the use of negotiated4. 非邀约投标书
procedures that may be provided for under specific legislation.30
28示范条文第20条. 非邀约投标书的可采性(见《立法指南》
A number of elements to enhance transparency in negotiations under this model provision are建议30和第三章,第97-109段)
discussed in the Legislative Guide, chap. III, “Selection of the concessionaire”, paras. 90-96.Part two. Model legislative provisions 17作为示范条文第6条至第17条的例外,订约当局
negotiations in respect of a concession contract to be published in accordance31
with [the enacting State indicates the provisions of any relevant laws on procurement proceedings that govern the publication of notices];有权依照示
(b) Engage in negotiations with as many persons as the contracting authority judges capable范条文第21条至第23条中所列的程序考虑非邀约投标书,但此
29类投标书须不涉及业已对其启动或宣布筛选程序的项目。
of carrying out the project as circumstances permit;示范条文第21条. 确定非邀约投标书可采性的程序((关于 第1和 2款)见《立法指南》建议 31,(关于第 3款)见建
(c) Establish evaluation criteria against which proposals shall be evaluated and ranked.议32,另见第三章,第110-112段)
4.1.
Unsolicited proposals在收到并初步审查非邀约投标书后,订约当局应当迅速
30通知投标人该项目是否被认为可能符合公共利益。
Model provision 20.32 2.
Admissibility of unsolicited proposals (see the如果根据第1款认为该项目可能符合公共利益,订约当 局应当请投标人就拟议的项目尽可能提供更多的此阶段可能提
Legislative Guide, recommendation 30 and chap. III, paras. 97-109)29 希望提高谈判程序使用透明度的颁布国可根据具体法规确立资格标准,按示范 条文第18和19条应邀参加谈判的人必须达到此种标准。示范条文第7条对可能确立的
As an exception to model provisions 6 to 17, the contracting authority资格标准作了说明。
3130
is authorized to consider unsolicited proposals pursuant to the procedures set非邀约投标书利弊问题的政策考虑在《立法指南》第三章,“特许公司的选 定”第98-100段中论及。意欲容许订约当局处理这种投标书的国家,似宜使用示范条
forth in model provisions 21 to 23, provided that such proposals do not relate文第21-23条中载列的程序。 31 本条示范条文假设,接受非邀约投标书的权力属于订约当局。然而,视颁布国 监管制度而定,可能会是订约当局以外的另一个机构负责接受非邀约投标书或者审议
to a project for which selection procedures have been initiated or announced.非邀约投标书是否符合公共利益等。在这种情形下,颁布国应当仔细考虑可能需要如 何协调这种机构与订约当局的职能(见脚注1、3和24以及其中提及的参考资料)。
Model provision 21. Procedures for determining the admissibility32 确定拟议项目是否符合公共利益,涉及谨慎地判断该项目对公众提供的潜在好 处以及项目与政府对有关基础设施部门的政策的关系。为了确保非邀约投标书可采性 判断程序的完整性、透明度和可预测性,颁布国似宜在条例或其他文件中就将用以确 定非邀约投标书是否符合公共利益的标准提供指导,其中可以包括评估合同安排适当 性以及拟议项目风险分配合理性的标准。18 联合国国际贸易法委员会私人融资基础设施项目示范立法条文 供的资料,以便使订约当局能够对投标人的资格 33 以及项目的技 术可行性和经济可行性进行恰当的评价,并确定项目能否按订 约当局可以接受的条款以所拟议的方式得到顺利实施。为此目 的,投标人应当提交技术和经济可行性研究报告、环境影响研 究报告以及关于投标书中设想的概念或技术的令人满意的资料。 3. 订约当局在审议非邀约投标书时,应当尊重投标书中载 列的、引起的或者提及的知识产权、商业秘密或者其他专属权 利。因此,除了评价该投标书之外,订约当局不得使用由投标 人本人或他人代表投标人就其非邀约投标书提供的资料,但经 投标人同意的除外。除非当事各方另有约定,订约当局如果否 决该投标书,应当向投标人退还投标人在整个程序期间提交和 编写的文件原件及其任何副本。 示范条文第22条. 不涉及知识产权、商业秘密或其他专属
of unsolicited proposals (see the Legislative Guide, recommendations 31 (for paras. 1 and 2) and 32 (for para. 3) and chap. III,权的非邀约投标书(见《立法指南》建议 33和第三章,第
paras. 110-112)113和114段)
1.1.
Following receipt and preliminary examination of an unsolicited proposal, the contracting authority shall promptly inform the proponent whether or除示范条文第18条所述情形外,订约当局如决定实施项
not the project is considered to be potentially in the public interest.目,应当在下列情形下依照示范条文第6条至第17条启动筛选
32 29 Enacting States wishing to enhance transparency in the use of negotiated procedures may establish, by specific regulations, qualification criteria to be met by persons invited to negotiations pursuant to model provisions 18 and 19. An indication of possible qualification criteria is contained in model provision 7. 30 The policy considerations on the advantages and disadvantages of unsolicited proposals are discussed in the Legislative Guide, chap. III, “Selection of the concessionaire”, paras. 98-100. States that wish to allow contracting authorities to handle such proposals may wish to use the procedures set forth in model provisions 21-23. 31 The model provision assumes that the power to entertain unsolicited proposals lies with the contracting authority. However, depending on the regulatory system of the enacting State, a body separate from the contracting authority may have the responsibility for entertaining unsolicited proposals or for considering, for instance, whether an unsolicited proposal is in the public interest. In such a case, the manner in which the functions of such a body may need to be coordinated with those of the contracting authority should be carefully considered by the enacting State (see footnotes 1, 3 and 24 and the references cited therein). 32 The determination that a proposed project is in the public interest entails a considered judgement regarding the potential benefits to the public that are offered by the project, as well as its relationship to the Government’s policy for the infrastructure sector concerned. In order to ensure the integrity, transparency and predictability of the procedures for determining the admissibility of unsolicited proposals, it may be advisable for the enacting State to provide guidance, in regulations or other documents, concerning the criteria that will be used to determine whether an unsolicited proposal is in the public interest, which may include criteria for assessing the appropriateness of the contractual arrangements and the reasonableness of the proposed allocation of project risks.18 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects 2. If the project is considered to be potentially in the public interest under paragraph 1, the contracting authority shall invite the proponent to submit as much information on the proposed project as is feasible at this stage to allow the contracting authority to make a proper evaluation of the proponent’s qualifications 33 and the technical and economic feasibility of the project and to determine whether the project is likely to be successfully implemented in the manner proposed in terms acceptable to the contracting authority. For this purpose, the proponent shall submit a technical and economic feasibility study, an environmental impact study and satisfactory information regarding the concept or technology contemplated in the proposal. 3. In considering an unsolicited proposal, the contracting authority shall respect the intellectual property, trade secrets or other exclusive rights contained in, arising from or referred to in the proposal. Therefore, the contracting authority shall not make use of information provided by or on behalf of the proponent in connection with its unsolicited proposal other than for the evaluation of that proposal, except with the consent of the proponent. Except as otherwise agreed by the parties, the contracting authority shall, if the proposal is rejected, return to the proponent the original and any copies of documents that the proponent submitted and prepared throughout the procedure. Model provision 22. Unsolicited proposals that do not involve intellectual property, trade secrets or other exclusive rights (see the Legislative Guide, recommendation 33 and chap. III, paras. 113 and 114) 1. Except in the circumstances set forth in model provision 18, the contracting authority shall, if it decides to implement the project, initiate a selection procedure in accordance with model provisions 6 to 17 if the contracting authority considers that: (a) The envisaged output of the project can be achieved without the use of intellectual property, trade secrets or other exclusive rights owned or possessed by the proponent; and (b) The proposed concept or technology is not truly unique or new. 2. The proponent shall be invited to participate in the selection proceedings initiated by the contracting authority pursuant to paragraph 1 and may be given an incentive or a similar benefit in a manner described by the contracting authority in the request for proposals in consideration for the development and submission of the proposal. 33 The enacting State may wish to provide in regulations the qualification criteria that need to be met by the proponent. Elements to be taken into account for that purpose are indicated in model provision 7.Part two. Model legislative provisions 19 Model provision 23. Unsolicited proposals involving intellectual property, trade secrets or other exclusive rights (see the Legislative Guide, recommendations 34 (for paras. 1 and 2) and 35 (for paras. 3 and 4) and chap. III, paras. 115-117) 1. If the contracting authority determines that the conditions of model provision 22, paragraph 1 (a) and (b), are not met, it shall not be required to carry out a selection procedure pursuant to model provisions 6 to 17. However,程序:
the contracting authority may still seek to obtain elements of comparison for(a) 订约当局认为不利用属投标人所有或由投标人占有的
the unsolicited proposal in accordance with the provisions set out in paragraphs 2 to 4 of this model provision.知识产权、商业秘密或其他专属权利也可以达到项目的预期产
34出;或者
2. Where the contracting authority intends to obtain elements of comparison for the unsolicited proposal, the contracting authority shall publish a(b) 订约当局认为所提出的概念或技术并非真正独特或
description of the essential output elements of the proposal with an invitation新颖。
for other interested parties to submit proposals within [a reasonable period]2. 应当请该投标人参加订约当局依照第1款启动的筛选程
[the enacting State indicates a certain amount of time].序,并且考虑到投标书的编写和提交,可以以订约当局在招标
3. If no proposals in response to an invitation issued pursuant to paragraph 2 of this model provision are received within [a reasonable period] [the书中所述的方式给予奖励或类似的好处。
amount of time specified in paragraph 2 above], the contracting authority may33
engage in negotiations with the original proponent.颁布国似应在条例中提出投标人需达到的资格标准。示范条文第7条说明了为
4. If the contracting authority receives proposals in response to an invitation issued pursuant to paragraph 2, the contracting authority shall invite此需考虑的要素。第二部分 示范立法条文 19
the proponents to negotiations in accordance with the provisions set forth in示范条文第23条. 涉及知识产权、商业秘密或专属权的非
model provision 19. In the event that the contracting authority receives a邀约投标书((关于第1和第2 款)见《立法指南》建议34,
sufficiently large number of proposals, which appear prima facie to meet its(关于第3和第4款)见建议 35,另见第三章,第115-117段)
infrastructure needs, the contracting authority shall request the submission of1. 如果订约当局确定示范条文第22条第1款(a)项和(b)项的
proposals pursuant to model provisions 10 to 17, subject to any incentive or条件不能满足,订约当局不必依照示范条文第6条至第17条进行
other benefit that may be given to the person who submitted the unsolicited筛选程序。然而,订约当局仍然可以根据本条示范条文第2款至
proposal in accordance with model provision 22, paragraph 2.第4款中所列规定设法获得非邀约投标书的比较要素。
5. Miscellaneous provisions34
Model provision 24.2.
Confidentiality (see the Legislative Guide,如果订约当局打算获得非邀约投标书的比较要素,订约
recommendation 36 and chap. III, para. 118)当局应当公布关于该投标书主要产出要素的说明,并邀请其他
The contracting authority shall treat proposals in such a manner as to有兴趣的当事方在[一段合理期限][颁布国指明一段时间]内提交
avoid the disclosure of their content to competing bidders. Any discussions,投标书。
communications and negotiations between the contracting authority and a bidder pursuant to model provisions 10, paragraph 3, 17, 18, 19 or 23, paragraphs 3 and 4, shall be confidential.3.
Unless required by law or by a court如果在[一段合理期限][上文第2款规定的时间]内没有收
34到对依照本条示范条文第2款印发的邀请书的任何投标书,订约
The enacting State may wish to consider adopting a special procedure for handling unsolicited当局可以同原始投标人进行谈判。
proposals falling under this model provision, which may be modelled, mutatis mutandis, on the4. 如果订约当局收到了对依照第2款印发的邀请书的投标 书,订约当局应当根据示范条文第19条中载列的规定邀请这些
request-for-proposals procedure set forth in article 48 of the Model Procurement Law.20 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects投标人参加谈判。如果订约当局收到的投标书数量足够多而且
order or permitted by the request for proposals, no party to the negotiations表面看来符合基础设施的需要,订约当局应当要求依照示范条
shall disclose to any other person any technical, price or other information in文第10条至第17条提交投标书,但须给予提交非邀约投标书者
relation to discussions, communications and negotiations pursuant to the aforementioned provisions without the consent of the other party.根据示范条文第22条第2款可以给予的任何奖励或其他好处。
Model provision 25.5.
Notice of contract award (see the Legislative杂项规定
Guide, recommendation 37 and chap. III, para. 119)示范条文第24条. 保密性(见《立法指南》建议36和第三章,
Except for concession contracts awarded pursuant to model provision 18,第118段)
subparagraph (c), the contracting authority shall cause a notice of the contract订约当局在处理投标书时应当避免将其意向披露给竞标
award to be published in accordance with [the enacting State indicates the人。订约当局依照示范条文第10条第3款、第17条、第18条、
provisions of its laws on procurement proceedings that govern the publication第19条或第23条第3款和第4款与一投标人进行的任何讨论、通
of contract award notices]. The notice shall identify the concessionaire and信和谈判均应当保密。除非法律或者法院命令有要求或招标书
include a summary of the essential terms of the concession contract.34
Model provision 26. Record of selection and award proceedings颁布国似宜为处理属于本条示范条文的非邀约投标书而考虑采用特殊程序,这
(see the Legislative Guide, recommendation 38 and chap. III,种程序可以参照《采购示范法》第48条载列的招标程序加以变通。20 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
paras. 120-126)准许,谈判一方未经另一方同意,不得向任何其他人披露与依
The contracting authority shall keep an appropriate record of information照上述规定进行的讨论、通信和谈判有关的任何技术、价格或
pertaining to the selection and award proceedings in accordance with [the其他资料。
enacting State indicates the provisions of its laws on public procurement that示范条文第25条. 合同的授予通告(见《立法指南》建议
govern record of procurement proceedings].37和第三章,第119段)
35除依照示范条文第18条(c)项授予的特许权合同外,订约当局
Model provision 27. Review procedures (see the Legislative Guide,应当根据[颁布国指明其关于采购程序的法律中管辖公布合同授
recommendation 39 and chap. III, paras. 127-131)予通告的规定]安排公布合同授予通告。通告应当列明特许公司
A bidder that claims to have suffered, or that may suffer, loss or injury的名称并摘要介绍特许权合同的基本条款。
due to a breach of a duty imposed on the contracting authority by the law may示范条文第26条. 筛选和授标程序的记录(见《立法指南》
seek review of the contracting authority’s acts or failures to act in accordance建议38和第三章,第120-126段)
with [the enacting State indicates the provisions of its laws governing the订约当局应当根据[颁布国指明其关于公共采购的法律中管
review of decisions made in procurement proceedings].辖采购程序记录的规定]保持与筛选和授标程序有关的资料的适
36当记录。
3535
The content of such a record for the various types of project award contemplated in the model示范条文第27条. 审查程序(见《立法指南》建议39和第
provisions, as well as the extent to which the information contained therein may be accessible to the三章,第127-131段)
public, are discussed in the Legislative Guide, chap. III, “Selection of the concessionaire”, paras. 120126. The content of such a record for the various types of project award is further set out in article投标人声称因订约当局违反了法律对订约当局所规定的责任
11 of the Model Procurement Law. If the laws of the enacting State do not adequately address these而致使投标人遭受或可能遭受损失或伤害的,可以要求根据[颁
matters, the enacting State should adopt legislation or regulations to that effect.布国指明其法律中管辖审查采购程序中所作决定的规定]审查订
36约当局的作为或不作为。
Elements for the establishment of an adequate review system are discussed in the Legislative36
Guide, chap. III, “Selection of the concessionaire”, paras. 127-131. They are also contained in chapter35
VI of the Model Procurement Law. If the laws of the enacting State do not provide such an adequate《立法指南》第三章“特许公司的选定”第120-126段论及示范条文中设想的
review system, the enacting State should consider adopting legislation to that effect.Part two. Model legislative provisions 21各类项目授标记录的内容以及这种记录中所载资料可供公众查询的程度。这些问题在
III. Contents and implementation of the《 立法指南》第三章“特许公司的选定”第120-126段中讨论。采购示范法第11条进一
concession contract步阐明各类项目授标记录的内容。颁布国的法律未充分论及这些问题的,应通过这方
Model provision 28. Contents and implementation of the concession面的法规或条例。
contract (see the Legislative Guide, recommendation 40 and36
chap. IV, paras. 1-11)建立适当审查制度的要素在《立法指南》第三章“特许公司的选定”第127131段中讨论。采购示范法第六章中也载有有关内容。颁布国的法律未规定此种适当
The concession contract shall provide for such matters as the parties deem审查程序的,应考虑通过这方面的法规。第二部分 示范立法条文 21
appropriate,三. 特许权合同的内容和实施
37示范条文第28条. 特许权合同的内容和实施(见 立法指
such as:南》, 建议40和第四章,第1-11段)
(a) The nature and scope of works to be performed and services to be特许权合同应当就当事人认为适当的事项作出规定
provided by the concessionaire (see chap. IV, para. 1);37
(b) The conditions for provision of those services and the extent of,其中
exclusivity, if any, of the concessionaire’s rights under the concession contract包括:
(see recommendation 5);(a) 特许公司拟实施的工程和拟提供的服务的性质和范围
(c) The assistance that the contracting authority may provide to the(见第四章,第1段);
concessionaire in obtaining licences and permits to the extent necessary for the(b) 提供这些服务的条件和特许权合同对特许公司的权利规
implementation of the infrastructure project;定的任何专属范围(见建议5);
(d) Any requirements relating to the establishment and minimum capital(c) 订约当局为特许公司获得实施基础设施项目所需要的执
of a legal entity incorporated in accordance with model provision 30 (see照和许可证而可能向其提供的援助;
recommendations 42 and 43 and model provision 30);(d) 对依照示范条文第30条组建法律实体的任何组建和最低
(e) The ownership of assets related to the project and the obligations of限度资本方面的要求(见建议42和43及示范条文第30条);
the parties, as appropriate, concerning the acquisition of the project site and(e) 依照示范条文第31条至第33条,与项目有关的资产的所
any necessary easements, in accordance with model provisions 31 to 33 (see有权和当事人酌情取得项目场地和任何地役权的义务(见建议
recommendations 44 and 45 and model provisions 31-33);44和45以及示范条文第31条至第33条);
(f) The remuneration of the concessionaire, whether consisting of tariffs(f) 特许公司的报酬,包括利用设施或提供服务的服务费或
or fees for the use of the facility or the provision of services; the methods and使用费;任何此种服务费或使用费的制定或调整方法和公式;
formulas for the establishment or adjustment of any such tariffs or fees; and以及订约当局或其他公共当局可能支付的任何款项(见建议
payments, if any, that may be made by the contracting authority or other public46和48);
authority (see recommendations 46 and 48);(g) 订约当局对工程设计、施工计划和技术规格的审查和批
(g) Procedures for the review and approval of engineering designs,准程序,以及基础结构设施的测试和最后检查、批准和验收程
construction plans and specifications by the contracting authority, and the procedures for testing and final inspection, approval and acceptance of the infrastructure facility (see recommendation 52);序(见建议52);
(h) The extent of the concessionaire’s obligations to ensure, as appropriate, the modification of the service so as to meet the actual demand for the(h) 特许公司酌情确保调整服务使之适应对实际服务要求、
service, its continuity and its provision under essentially the same conditions服务的连续性和以基本相同条件为所有用户提供服务的义务的
for all users (see recommendation 53 and model provision 38);范围(见建议53和示范条文第38条);
(i) The contracting authority’s or other public authority’s right to monitor the works to be performed and services to be provided by the(i) 订约当局或其他公共当局对特许公司拟实施的工程和拟
concessionaire and the conditions and extent to which the contracting authority提供的服务进行监督的权利,以及订约当局或管理机构可以下
or a regulatory agency may order variations in respect of the works and conditions of service or take such other reasonable actions as they may find令对工程和服务条件加以更改或采取其可能认为适当的其他合
appropriate to ensure that the infrastructure facility is properly operated and the理行动确保依照适用的法律要求和合同要求妥善运营基础结构
37设施和提供服务的条件和范围(见建议52和54,(b)分段);
Enacting States may wish to note that the inclusion in the concession contract of provisions37 颁布国似应注意,在特许权合同中列入关于本条示范条文所列某些事项的规 定,按其他示范条文的规定是一种强制性要求。22 联合国国际贸易法委员会私人融资基础设施项目示范立法条文 (j) 特许公司酌情向订约当局或管理机构提供其运作情况报 告和其他资料的义务的范围(见建议54,(a)分段); (k) 订约当局或另一公共当局下达任何与上文(h)项和(i)项 有关的命令而可能造成的额外费用及其他后果的处理机制,包 括特许公司可能有权得到的任何补偿(见第四章,第73段至第 76段); (l) 订约当局对特许公司订立重大合同的任何审批权,特别
dealing with some of the matters listed in this model provision is mandatory pursuant to other model是与本公司股东或其他附属人员订立的重大合同(见建议56);
provisions.22 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects(m) 特许公司为实施基础设施项目而应提供的履约保证和应
services are provided in accordance with the applicable legal and contractual保持的保险单(见建议58,(a) 项和(b)项);
requirements (see recommendations 52 and 54, subpara. (b));(n) 任何一方当事人违约时可采用的补救方法(见建议58,
(j) The extent of the concessionaire’s obligation to provide the contracting authority or a regulatory agency, as appropriate, with reports and other(e)项);
information on its operations (see recommendation 54, subpara. (a));(o) 因超出其合理控制范围的情形未能遵守或推迟遵守特许
(k) Mechanisms to deal with additional costs and other consequences权合同规定的任何义务时,任何一方当事人的免责范围(见建
that might result from any order issued by the contracting authority or another议58,(d)项);
public authority in connection with subparagraphs (h) and (i) above, including(p) 特许权合同的期限以及特许权合同期满或终止时当事人
any compensation to which the concessionaire might be entitled (see chap. IV,的权利和义务(见建议61);
paras. 73-76);(q) 依照示范条文第47条计算补偿的方式(见建议67);
(l) Any rights of the contracting authority to review and approve major(r) 解决订约当局与特许公司之间可能出现的纠纷的管辖法
contracts to be entered into by the concessionaire, in particular with the律和机制(见建议69和示范条文第29条和第49条);
concessionaire’s own shareholders or other affiliated persons (see recommendation 56);(s) 当事各方对机密资料的权利和义务(见示范条文第
(m) Guarantees of performance to be provided and insurance policies to24条)。
be maintained by the concessionaire in connection with the implementation of示范条文第29条. 管辖法律(见《立法指南》 建议 41和第
the infrastructure project (see recommendation 58, subparas. (a) and (b));四章,第5-8段)
(n) Remedies available in the event of default of either party (see recommendation 58, subpara. (e));除非特许权合同另有规定,特许权合同由[本颁布国]法律管
(o) The extent to which either party may be exempt from liability for辖。
failure or delay in complying with any obligation under the concession contract38
owing to circumstances beyond its reasonable control (see recommendation 58,38
subpara. (d));关于特许权合同当事人可否选择所在国以外的法律作为合同的管辖法律问题,
(p) The duration of the concession contract and the rights and obligations of the parties upon its expiry or termination (see recommendation 61);各种法律制度的解决办法不同。另外,正如《立法指南》(中所述(见第四章,“基
(q) The manner for calculating compensation pursuant to model provision 47 (see recommendation 67);础设施的建造和运营:立法框架和项目协议”,第5-8段),在一些国家,特许权合
(r) The governing law and the mechanisms for the settlement of disputes同可能由行政法管辖,而在另一些国家则可能由私法管辖(另见《立法指南》,第七
that may arise between the contracting authority and the concessionaire (see章,“其他有关的法律领域”,第24-27段)。管辖法律还包括适用于基础设施项目
recommendation 69 and model provisions 29 and 49);实施期间产生的各种问题的其他法律领域的法规(统见《立法指南》,第七章,“其
(s) The rights and obligations of the parties with respect to confidential他有关的法律领域”,B节)。第二部分 示范立法条文 23
information (see model provision 24).示范条文第30条. 特许公司的组建(见《立法指南》建议
Model provision 29. Governing law (see the Legislative Guide,42和43及第四章,第12-18段)
recommendation 41 and chap. IV, paras. 5-8)订约当局可要求中标人根据[本颁布国]法律组建一个法律实
The concession contract is governed by the law of [the enacting State]体,但需酌情在预选文件或招标书中加以说明。特许权合同应
unless otherwise provided in the concession contract.当按招标书的规定,载明对此类法律实体的最低限度资本以及
38对其章程和细则获得订约当局批准的程序和对其章程和细则作
38重大更改的程序的任何要求。
Legal systems provide varying answers to the question as to whether the parties to a concession contract may choose as the governing law of the contract a law other than the laws of the host示范条文第31条. 资产的所有权
country. Furthermore, as discussed in the Legislative Guide (see chap. IV, “Construction and operation39
of infrastructure: legislative framework and project agreement”, paras. 5-8), in some countries the(见《立法指南》建议
concession contract may be subject to administrative law, while in others the concession contract may44和第四章,第20-26段)
be governed by private law (see also the Legislative Guide, chap. VII, “Other relevant areas of law”,特许权合同应当酌情指明哪些资产是或应当是公共财产,哪
paras. 24-27). The governing law also includes legal rules of other fields of law that apply to the些资产是或应当是特许公司的私有财产。特许权合同应当特别
various issues that arise during the implementation of an infrastructure project (see generally the指明哪些资产属于下列类别:
Legislative Guide, chap. VII, “Other relevant areas of law”, sect. B).Part two. Model legislative provisions 23(a) 依照特许权合同的规定特许公司需返还或移交给订约当
Model provision 30. Organization of the concessionaire (see the局或其指定的另一实体的任何可能的资产;
Legislative Guide, recommendations 42 and 43 and chap. IV,(b) 订约当局可选择向特许公司购买的任何可能的资产;以
paras. 12-18)
The contracting authority may require that the successful bidder establish(c) 在特许权合同期满或终止时特许公司可保留或处分的任
a legal entity incorporated under the laws of [the enacting State], provided that何可能的资产。
a statement to that effect was made in the pre-selection documents or in the示范条文第32条. 获得对项目场地的相关权利(见《立法
request for proposals, as appropriate. Any requirement relating to the minimum指南》建议45和第四章,第27-29段)
capital of such a legal entity and the procedures for obtaining the approval of39
the contracting authority to its statute and by-laws and significant changes私营部门对基础设施项目的参与可以采取不同的形式,可以是公有和公营基
therein shall be set forth in the concession contract consistent with the terms础设施,也可以是完全私有化的项目(见立法指南》“导言和私人融资基础设施项
of the request for proposals.目的背景资料”,第47-53段)。这些一般政策选择通常决定了有关项目资产所有权
Model provision 31. Ownership of assets的立法方式(见《立法指南》第四章,“基础设施的建造和运营:立法框架和项目
39 (see the Legislative Guide, recommendation 44 and chap. IV, paras. 20-26) The concession contract shall specify, as appropriate, which assets are or shall be public property and which assets are or shall be the private property of the concessionaire. The concession contract shall in particular identify which assets belong to the following categories:协议”,第20-26段)。不论所在国的一般政策或部门政策如何,都应当明确制定各
(a) Assets, if any, that the concessionaire is required to return or transfer种有关资产的所有权制度,并应以充分的立法权为其基础。这方面清晰明确至关重
to the contracting authority or to another entity indicated by the contracting要,因为这将直接影响到特许公司能否为项目融资目的而以项目资产设立担保权( 见
authority in accordance with the terms of the concession contract;《立法指南》第四章,“基础设施的建造和运营:立法框架和项目协议”,第5261段)。本示范条文与各种法律制度所采取的灵活做法相一致,并不设想将所有资产
(b) Assets, if any, that the contracting authority, at its option, may purchase from the concessionaire; and无条件地移交给订约当局,而是加以区分,分清哪些是必须移交给订约当局的资产,
(c) Assets, if any, that the concessionaire may retain or dispose of upon哪些是订约当局可以选择购买的资产,哪些则是特许合同期满或终止时或任何其他时
expiry or termination of the concession contract.间特许公司保留的私有财产。24 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
Model provision 32.1.
Acquisition of rights related to the project site订约当局或其他根据法律规定和特许权合同设立的公共
(see the Legislative Guide, recommendation 45 and chap. IV,当局应当向特许公司提供或酌情协助特许公司获得实施项目所
paras. 27-29)需项目场地的相关权利,包括项目场地的所有权。
1.2.
The contracting authority or other public authority under the terms of凡是实施项目所需土地的强制性征购,均应依照[颁布国
the law and the concession contract shall make available to the concessionaire指明本 颁布国关于公共当局为公共利益而强制征购私有财产的
39法律规定]进行。
Private sector participation in infrastructure projects may be devised in a variety of different示范条文第33条. 地役权
forms, ranging from publicly owned and operated infrastructure to fully privatized projects (see the40
Legislative Guide, “Introduction and background information on privately financed infrastructure(见《立法指南》建议 45和第
projects”, paras. 47-53). Those general policy options typically determine the legislative approach for四章,第30段)
ownership of project-related assets (see the Legislative Guide, chap. IV, “Construction and operation备选案文A
of infrastructure: legislative framework and project agreement”, paras. 20-26).1.
Irrespective of the host根据法律规定和特许权合同设立的订约当局或其他
country’s general or sectoral policy, the ownership regime of the various assets involved should be公共当局,应当依照[颁布国指明本颁布国关于公用事业公
clearly defined and based on sufficient legislative authority. Clarity in this respect is important, as it司和基础设施运营人依法享有的地役权和其他类似权利的法
will directly affect the concessionaire’s ability to create security interests in project assets for the律规定],向特许公司提供或酌情协助其享有酌情并视实施
purpose of raising financing for the project (see the Legislative Guide, chap. IV, “Construction and项目的需要而进入或穿过第三方的地产或在第三方的地产上
operation of infrastructure: legislative framework and project agreement”, paras. 52-61). Consistent施工或安设装置的权利。
with the flexible approach taken by various legal systems, the model provision does not contemplate备选案文B
an unqualified transfer of all assets to the contracting authority but allows a distinction between assets1. 依照 [ 颁布国指明本颁布国关于公用事业公司和基础
that must be transferred to the contracting authority, assets that may be purchased by the contracting设施运营人依法享有的地役权和其他类似权利的法律规定],
authority, at its option, and assets that remain the private property of the concessionaire, upon expiry特许公司应当拥有酌情并视实施项目的需要而进入或穿过第
or termination of the concession contract or at any other time.24 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects三方的地产或在第三方的地产上施工或安设装置的权利。
or, as appropriate, shall assist the concessionaire in obtaining such rights2. 实施项目所需要的任何地役权,应当依照[颁布国指
related to the project site, including title thereto, as may be necessary for the明关于为公共利益而设置地役权的法律规定]设置。
implementation of the project.40
2. Any compulsory acquisition of land that may be required for the特许公司可直接获取也可由公共当局在购置项目场地的同时强制性获取为与项
implementation of the project shall be carried out in accordance with [the目有关的目的而在邻接地产上通过或穿行的权利,或在这些地产上施工的权利。备选
enacting State indicates the provisions of its laws that govern compulsory案文B所反映的一种略为不同的变通办法是,可由法律本身授权公共服务提供者视公
acquisition of private property by public authorities for reasons of public共基础设施的施工、经营和维修的需要,进入或通过第三方的地产或在第三方地产上
interest]. Model provision 33. Easements 40 (see the Legislative Guide, recommendation 45 and chap. IV, para. 30) Variant A 1. The contracting authority or other public authority under the terms of the law and the concession contract shall make available to the concessionaire or, as appropriate, shall assist the concessionaire to enjoy the right to enter upon, transit through or do work or fix installations upon施工或安设装置(见《立法指南》第四章“基础设施的建造和运营:立法框架和项目
property of third parties, as appropriate and required for the implementation of the project in accordance with [the enacting State indicates the协议”,第30-32段)。示范条文中第一组方括号内给出的备选措词就是为了反映这
provisions of its laws that govern easements and other similar rights些可供选择的办法。第二部分 示范立法条文 25
enjoyed by public utility companies and infrastructure operators under示范条文第34条. 财务安排(见《立法指南》建议46、47
its laws]. Variant B 1. The concessionaire shall have the right to enter upon, transit through or do work or fix installations upon property of third parties, as appropriate and required for the implementation of the project in accordance with [the enacting State indicates the provisions of its laws that govern easements and other similar rights enjoyed by public utility和48及第四章,第33-51段)
companies and infrastructure operators under its laws].1. 特许公司应当有权依照特许权合同对利用设施或其服务
2. Any easements that may be required for the implementation of征收、接受或收取服务费和使用费。特许权合同应当[依照主管
the project shall be created in accordance with [the enacting State管理机构制定的规则]就这些服务费或使用费的确定和调整方法
indicates the provisions of its laws that govern the creation of easements及公式作出规定。
for reasons of public interest].41
402. 订约当局应当有权同意作为使用设施或其服务的服务费
The right to transit on or through adjacent property for project-related purposes or to do work或使用费的替代或补充向特许公司直接付款。
on such property may be acquired by the concessionaire directly or may be compulsorily acquired by示范条文第35条. 担保权益(见《立法指南》建议49和第
a public authority simultaneously with the project site. A somewhat different alternative, which is四章,第52-61段)
reflected in variant B, might be for the law itself to empower public service providers to enter, pass1. 在不违反特许权合同可能载列的任何限制规定的情况
through or do work or fix installations upon the property of third parties, as required for the construction, operation and maintenance of public infrastructure (see the Legislative Guide, chap. IV,下,
“Construction and operation of infrastructure: legislative framework and project agreement”,42
paras. 30-32).Part two. Model legislative provisions 25特许公司有权根据获得项目的任何必要融资的需要,以公
Model provision 34. Financial arrangements (see the Legislative司的任何资产、权利或权益设立担保权益,包括以那些与基础设
Guide, recommendations 46, 47 and 48 and chap. IV, paras. 33-51)施项目有关的资产、权利或权益设立担保权益,其中特别包括:
1. The concessionaire shall have the right to charge, receive or collect(a) 以特许公司拥有的动产或不动产或以其在项目资产中的
tariffs or fees for the use of the facility or its services in accordance with the权益设立担保;
concession contract, which shall provide for methods and formulas for the(b) 以特许公司应从利用其提供的设施或服务中得到的收
establishment and adjustment of those tariffs or fees [in accordance with the益和应收款设立质押。
rules established by the competent regulatory agency].2. 特许公司的股东应当有权以其在特许公司中的股份设立
41质押或设立任何其他担保权益。
2.3.
The contracting authority shall have the power to agree to make[本颁布国]法律不允许的,不得以公共财产或以提供公
direct payments to the concessionaire as a substitute for, or in addition to,共服务所需要的其他财产、资产或权利设立第1款规定的担保。
tariffs or fees for the use of the facility or its services.41
Model provision 35. Security interests (see the Legislative Guide,应付给特许公司的通行费、使用费、价款或其他费用,在《立法指南》中称
recommendation 49 and chap. IV, paras. 52-61)作“服务费”,在订约当局或其他公共当局不提供补贴或付款的情况下,它们可能是
1. Subject to any restriction that may be contained in the concession收回项目投资的主要(有时甚至是唯一)收入来源(见《立法指南》, 第二章,“项
contract,目风险和政府支助”,第30-60段)。对提供公共服务收取费用,通常是政府基础设
42施政策的一个组成部分,同时也是广大公众直接关注的事项。因此,许多国家有关提
the concessionaire has the right to create security interests over any供公共服务的管理框架都包括特别的服务费管理规则。此外,有些法律制度中的成文
of its assets, rights or interests, including those relating to the infrastructure法规定或一般法律规则还规定了货物或服务的定价标准,例如要求收费必须符合某
project, as required to secure any financing needed for the project, including,些“合理性”、“公正性”或“公平”的标准(见《立法指南》, 第四章,“基础设
in particular, the following:施的建造和运营:立法框架和项目协议”,第36-46段)。
(a) Security over movable or immovable property owned by the42
concessionaire or its interests in project assets;这些限制规定可能特别涉及与基础设施项目资产有关的权利或权益。26 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
(b) A pledge of the proceeds of, and receivables owed to the示范条文第36条. 特许权合同的转让(见《立法指南》建
concessionaire for, the use of the facility or the services it provides.议50和第四章,第62和63段)
2. The shareholders of the concessionaire shall have the right to pledge除示范条文第35条另有规定外,未经订约当局的同意,特许
or create any other security interest in their shares in the concessionaire.权合同规定的特许公司的权利和义务不得转让给第三方。特许
3. No security under paragraph 1 may be created over public property权合同应当载明订约当局应当同意转让特许权合同规定的特许
or other property, assets or rights needed for the provision of a public service,公司的权利和义务的条件,其中包括新的特许公司接受特许权
where the creation of such security is prohibited by the law of [the enacting合同规定的所有义务和证明新的特许权公司具备提供服务所需
State].要的技术能力和财力。
41示范条文第37条. 特许公司控股权
Tolls, fees, prices or other charges accruing to the concessionaire, which are referred to in the43
Legislative Guide as “tariffs”, may be the main (sometimes even the sole) source of revenue to recover的转让(见《立法指南》
the investment made in the project in the absence of subsidies or payments by the contracting建议51和第四章,第64-68段)
authority or other public authorities (see the Legislative Guide, chap. II, “Project risks and government除特许权合同另有规定外,未经订约当局的同意,特许公司
support”, paras. 30-60). The cost at which public services are provided is typically an element of the的控股权不得转让给第三方。特许权合同应当载明订约当局应
Government’s infrastructure policy and a matter of immediate concern for large sections of the public.当表示同意的条件。
Thus, the regulatory framework for the provision of public services in many countries includes special示范条文第38条. 基础设施的运营((关于第1款)见《立
tariff-control rules. Furthermore, statutory provisions or general rules of law in some legal systems法指南》建议 53和第四章,第80-93段,(关于第 2款)见
establish parameters for pricing goods or services, for instance by requiring that charges meet certain建议55和第四章,第96和97段)
standards of “reasonableness”, “fairness” or “equity” (see the Legislative Guide, chap. IV, “Construction and operation of infrastructure: legislative framework and project agreement”, paras. 36-46).1. 特许权合同应当酌情载明特许公司履行下述义务的限
42度:
These restrictions may, in particular, concern the enforcement of the rights or interests relating(a) 确保调整服务使之满足服务要求的义务;
to assets of the infrastructure project.26 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects(b) 确保服务连续性的义务;
Model provision 36. Assignment of the concession contract (see the(c) 确保以基本相同的条件为所有用户提供服务的义务;
Legislative Guide, recommendation 50 and chap. IV, paras. 62(d) 一视同仁地酌情为其他服务提供者利用特许公司运营的
and 63)任何公共基础设施网络提供机会。
Except as otherwise provided in model provision 35, the rights and obligations of the concessionaire under the concession contract may not be assigned to third parties without the consent of the contracting authority. The43
concession contract shall set forth the conditions under which the contracting“控股权”概念一般指任命公司管理层和影响或决定其业务的权力。不同法
authority shall give its consent to an assignment of the rights and obligations律制度中,甚至在同一法律制度的不同法律门类中也有可能使用不同的标准,其
of the concessionaire under the concession contract, including the acceptance中有要式标准,将控股权定为在公司各类股票表决权总和中占有一定数量(通常
by the new concessionaire of all obligations thereunder and evidence of the超过50%),也有更加复杂的标准,把公司的实际管理层结构考虑进去。对“控股
new concessionaire’s technical and financial capability as necessary for权”一词尚无法定定义的颁布国可能需在所发布的示范条文的施行条例中对这个词
providing the service.加以定义。第二部分 示范立法条文 27
Model provision 37.2.
Transfer of controlling interest特许公司应有权经订约当局或管理机构批准后颁布和执
43 in the concessionaire (see the Legislative Guide, recommendation 51 and chap. IV, paras. 64-68) Except as otherwise provided in the concession contract, a controlling interest in the concessionaire may not be transferred to third parties without the consent of the contracting authority. The concession contract shall set forth the conditions under which consent of the contracting authority shall be given.行设施的使用规则。
Model provision 38.示范条文第39条.
Operation of infrastructure (see the Legislative对法规具体变化的补偿(见《立法指南》
Guide, recommendation 53 and chap. IV, paras. 80-93 (for para. 1)建议58,(c)项和第四章,第122-125段)
and recommendation 55 and chap. IV, paras. 96 and 97 (for对于因具体适用于基础结构设施或其提供的服务的法规或
para. 2))条例发生变化致使特许公司履行特许权合同的费用比原先设想
1. The concession contract shall set forth, as appropriate, the extent of的履约费用显著增加的情形,或者对于因此而致使特许公司为
the concessionaire’s obligations to ensure:此种履约收到的价款价值比原先设想的履约价值显著下降的情
(a) The modification of the service so as to meet the demand for the形,特许权合同中应当载明特许公司有权为此获得补偿的限度。
service;示范条文第40条. 特许权合同的修订(见《立法指南》建
(b) The continuity of the service;议58,(c)项和第四章,第126-130段)
(c) The provision of the service under essentially the same conditions for1. 在不影响示范条文第39条的情况下,特许权合同可进一
all users;步载明特许公司有权请求修订特许权合同的限度,以期对于以
(d) The non-discriminatory access, as appropriate, of other service providers to any public infrastructure network operated by the concessionaire.下原因致使特许公司履行特许权合同的费用比原先设想的履约
43费用显著增加的情形,或者对于因此而致使特许公司为此种履
The notion of “controlling interest” generally refers to the power to appoint the management约收到的价款价值比原先设想的履约价值显著下降的情形予以
of a corporation and influence or determine its business. Different criteria may be used in various legal补偿:
systems or even in different bodies of law within the same legal system, ranging from formal criteria(a) 经济或金融状况变化;或
attributing a controlling interest to the ownership of a certain amount (typically more than 50 per cent)(b) 并不具体适用于基础设施或其提供的服务的法规或条例
of the total combined voting power of all classes of stock of a corporation to more complex criteria变化;
that take into account the actual management structure of a corporation. Enacting States that do not但前述经济、金融、法规或条例的变化须是在以下情形下发生
have a statutory definition of “controlling interest” may need to define the term in regulations issued的:
to implement the model provision.Part two. Model legislative provisions 27(a) 变化发生在合同成立之后;
2. The concessionaire shall have the right to issue and enforce rules(b) 变化超出特许公司的控制范围;以及
governing the use of the facility, subject to the approval of the contracting(c) 变化的性质决定了按情理不可能在特许权合同谈判时预
authority or a regulatory body.计特许公司已将这些变化考虑在内或者已避免或克服其后果。
Model provision 39.2.
Compensation for specific changes in legislation特许权合同应当确定发生任何此种变化后修订特许权合
(see the Legislative Guide, recommendation 58, subpara. (c), and同的规定的程序。28 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
chap. IV, paras. 122-125)示范条文第41条. 订约当局接管基础设施项目(见《立法
The concession contract shall set forth the extent to which the指南》建议59和第四章,第143-146段)
concessionaire is entitled to compensation in the event that the cost of the在特许权合同载明的情形下,如果特许公司严重失职,未
concessionaire’s performance of the concession contract has substantially能履行其义务,并且在订约当局通知其纠正违约情形后未能在
increased or that the value that the concessionaire receives for such performance has substantially diminished, as compared with the costs and the value of一段合理的期限内加以纠正,订约当局有权暂时接管设施的运
performance originally foreseen, as a result of changes in legislation or regulations specifically applicable to the infrastructure facility or the services it营,以便确保有效和不间断地提供服务。
provides.示范条文第42条. 特许公司的替换(见《立法指南》建议
Model provision 40. Revision of the concession contract (see the60和第四章,第147-150段)
Legislative Guide, recommendation 58, subpara. (c), and chap. IV,订约当局可以同基础设施项目的出资实体和特许公司约定,
paras. 126-130)在特许公司严重违约、发生其他事件因而本来有正当理由可以
1. Without prejudice to model provision 39, the concession contract终止特许权合同、或出现其他类似情形时,安排替换该特许公
shall further set forth the extent to which the concessionaire is entitled to a司并指定新的实体或个人根据现有特许权合同履约。
revision of the concession contract with a view to providing compensation44
in the event that the cost of the concessionaire’s performance of the concession contract has substantially increased or that the value that the四. 特许权合同的期限、展期和终止
concessionaire receives for such performance has substantially diminished, as1. 特许权合同的期限和展期
compared with the costs and the value of performance originally foreseen, as示范条文第43条. 特许权合同的期限和展期(见《立法指南》
a result of:建议62和第五章,第2-8段)
(a) Changes in economic or financial conditions; or特许权的期限应当在特许权合同中载明。除因下列情形外,
(b) Changes in legislation or regulations not specifically applicable to订约当局可以不展延特许权的期限:
the infrastructure facility or the services it provides;(a) 因超出双方当事人合理控制范围的情形造成完工延误或
provided that the economic, financial, legislative or regulatory changes:运营中断;
(a) Occur after the conclusion of the contract;(b) 因订约当局或其他公共当局的行为造成项目中止;
(b) Are beyond the control of the concessionaire; and44
(c) Are of such a nature that the concessionaire could not reasonably be根据彼此间约定的条件由放款人提议并经由订约当局接受,用另一实体替换
expected to have taken them into account at the time the concession contract特许公司,是为了使当事人有机会避免因终止特许权合同而造成的破坏性后果(见
was negotiated or to have avoided or overcome their consequences.《立法指南》第四章,“基础设施的建造和运营:立法框架和项目协议”,第147150段)。当事人似宜首先实行其他实际措施,可能的话按先后顺序实行,例如由放
2. The concession contract shall establish procedures for revising款人或由其指定的一名临时管理人暂时接管项目,或者执行放款人对特许公司股份的
the terms of the concession contract following the occurrence of any such担保权,把这些股份卖给订约当局可以接受的第三方。第二部分 示范立法条文 29
changes.28 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects(c) 订约当局提出特许权合同中原先未预见到的要求致使费
Model provision 41. Takeover of an infrastructure project by the用增加,而不展延期限特许公司无法收回这些费用;或
contracting authority (see the Legislative Guide, recommendation 59(d) [颁布国列明的其他情形]。
and chap. IV, paras. 143-146)45
Under the circumstances set forth in the concession contract, the contracting authority has the right to temporarily take over the operation of the facility2. 特许权合同的终止
for the purpose of ensuring the effective and uninterrupted delivery of the示范条文第44条. 由订约当局提出终止特许权合同(见《立
service in the event of serious failure by the concessionaire to perform its法指南》建议63和第五章,第14-27段)
obligations and to rectify the breach within a reasonable period of time after在下列情形下,订约当局可以终止特许权合同:
having been given notice by the contracting authority to do so.(a) 出现破产、严重违约或其他情形,因而按情理不可能再
Model provision 42. Substitution of the concessionaire (see the预计特许公司仍将能够或愿意履行其义务;
Legislative Guide, recommendation 60 and chap. IV, paras. 147-150)(b) 出于强制服从的
The contracting authority may agree with the entities extending financing46
for an infrastructure project and the concessionaire to provide for the substitution of the concessionaire by a new entity or person appointed to perform公共利益考虑,但需按特许权合同约
under the existing concession contract upon serious breach by the定的补偿条件向特许公司支付补偿;
concessionaire or other events that could otherwise justify the termination of(c) [颁布国可能希望在法律中添加的其他情形]。
the concession contract or other similar circumstances.示范条文第45条. 由特许公司提出终止特许权合同(见《立
44法指南》建议64和第五章,第28-33段)
IV. Duration, extension and termination of the concession contract 1. Duration and extension of the concession contract Model provision 43. Duration and extension of the concession contract (see the Legislative Guide, recommendation 62 and chap. V, paras. 2-8) The duration of the concession shall be set forth in the concession contract. The contracting authority may not agree to extend its duration except as a result of the following circumstances: (a) Delay in completion or interruption of operation due to circumstances beyond the reasonable control of either party; (b) Project suspension brought about by acts of the contracting authority or other public authorities; 44 The substitution of the concessionaire by another entity, proposed by the lenders and accepted by the contracting authority under the terms agreed by them, is intended to give the parties an opportunity to avert the disruptive consequences of termination of the concession contract (see the Legislative Guide, chap. IV, “Construction and operation of infrastructure: legislative framework and project agreement”, paras. 147-150). The parties may wish first to resort to other practical measures, possibly in a successive fashion, such as temporary takeover of the project by the lenders or by a temporary administrator appointed by them, or enforcement of the lenders’ security over the shares of the concessionaire company by selling those shares to a third party acceptable to the contracting authority.Part two. Model legislative provisions 29 (c) Increase in costs arising from requirements of the contracting authority not originally foreseen in the concession contract, if the concessionaire would not be able to recover such costs without such extension; or (d) [Other circumstances, as specified by the enacting State]. 45 2. Termination of the concession contract Model provision 44. Termination of the concession contract by the contracting authority (see the Legislative Guide, recommendation 63 and chap. V, paras. 14-27) The contracting authority may terminate the concession contract: (a) In the event that it can no longer be reasonably expected that the concessionaire will be able or willing to perform its obligations, owing to insolvency, serious breach or otherwise; (b) For compelling 46 reasons of public interest, subject to payment of compensation to the concessionaire, the terms of the compensation to be as agreed in the concession contract; (c) [Other circumstances that the enacting State might wish to add]. Model provision 45. Termination of the concession contract by the concessionaire (see the Legislative Guide, recommendation 64 and chap. V, paras. 28-33) The concessionaire may not terminate the concession contract except under the following circumstances: (a) In the event of serious breach by the contracting authority or other public authority of its obligations in connection with the concession contract; (b) If the conditions for a revision of the concession contract under model provision 40, paragraph 1, are met, but the parties have failed to agree on a revision of the concession contract; or (c) If the cost of the concessionaire’s performance of the concession contract has substantially increased or the value that the concessionaire receives for such performance has substantially diminished as a result of acts or omissions of the contracting authority or other public authorities, for instance, pursuant to model provision 28, subparagraphs (h) and (i), and the parties have failed to agree on a revision of the concession contract. 45 The enacting State may wish to consider the possibility of having the law authorize a consensual extension of the concession contract pursuant to its terms, for reasons of public interest, as justified in the record to be kept by the contracting authority pursuant to model provision 26. 46 Possible situations constituting a compelling reason of public interest are discussed in the Legislative Guide, chap. V, “Duration, extension and termination of the project agreement”, para. 27.30 UNCITRAL Model Legislative Provisions on Privately Financed Infrastructure Projects Model provision 46. Termination of the concession contract by either party (see the Legislative Guide, recommendation 65 and chap. V, paras. 34 and 35) Either party shall have the right to terminate the concession contract in the event that the performance of its obligations is rendered impossible by circumstances beyond either party’s reasonable control. The parties shall also have the right to terminate the concession contract by mutual consent. 3. Arrangements upon termination or expiry of the concession contract Model provision 47. Compensation upon termination of the concession contract (see the Legislative Guide, recommendation 67 and chap. V, paras. 43-49) The concession contract shall stipulate how compensation due to either party is calculated in the event of termination of the concession contract, providing, where appropriate, for compensation for the fair value of works performed under the concession contract, costs incurred or losses sustained by either party, including, as appropriate, lost profits. Model provision 48. Wind-up and transfer measures (see the Legislative Guide, recommendation 66 and chap. V, paras. 37-42 (for subpara. (a)) and recommendation 68 and chap. V, paras. 50-62 (for subparas. (b)-(d)) The concession contract shall provide, as appropriate, for:除下列情形外,特许公司不得终止特许权合同:
(a) Mechanisms and procedures for the transfer of assets to the contracting authority;(a) 订约当局或其他公共当局严重违反特许权合同对其规定 的义务;
(b) The compensation to which the concessionaire may be entitled in(b) 示范条文第40条第1款规定的修订特许权合同的条件业
respect of assets transferred to the contracting authority or to a new已满足,但各方当事人未就特许权合同的修订达成一致意见;或 (c) 由于订约当局或其他公共当局的作为或不作为,例如
concessionaire or purchased by the contracting authority;根据示范条文第28条(h)项和(i)项,特许公司履行特许权合同的 费用显著增加,或特许公司为此种履约收到的价款价值显著下
(c) The transfer of technology required for the operation of the facility;降,而各方当事人又未能就特许权合同的修订达成一致意见。
(d) The training of the contracting authority’s personnel or of a successor concessionaire in the operation and maintenance of the facility;45
(e) The provision, by the concessionaire, of continuing support services颁布国似应考虑,在订约当局根据示范条文第26条保持的记录表明有必要 时,可否在法律上出于公共利益考虑而允许按特许权合同的规定以合意方式展延特
and resources, including the supply of spare parts, if required, for a reasonable许权合同。 46 《立法指南》第五章“项目协议的期限、展期和终止”第27段论及强制服从的 公共利益考虑的可能情形。30 联合国国际贸易法委员会私人融资基础设施项目示范立法条文
period after the transfer of the facility to the contracting authority or to a示范条文第46条. 由任何一方当事人提出终止特许权合同 (见《立法指南》建议65和第五章,第34和35段) 任何一方当事人均应有权在超出其合理控制范围的情形使其
successor concessionaire.Part two. Model legislative provisions 31无法履行义务时终止特许权合同。各方当事人还应有权以相互 同意的方式终止特许权合同。 3. 特许权合同终止或期满时的安排
V.示范条文第47条.
Settlement of disputes特许权合同终止时的财务补偿(见《立
Model provision 49. Disputes between the contracting authority and法指南》建议67和第五章,第43-49段) 特许权合同应当就特许权合同终止时如何计算对任何一方当 事人的补偿作出规定,按根据特许权合同已完成的工程的公道
the concessionaire (see the Legislative Guide, recommendation 69价值、任何一方当事人承担的费用或遭受的损失、以及酌情包 括在内的利润损失,作出适当的补偿安排。 示范条文第48条. 停业和移交措施((关于 (a)项)见《立 法指南》建议66和第五章,第 37-42段,(关于(b)-(d)项), 见建议68和第五章,第50-62段) 特许权合同应当酌情就下列方面作出规定: (a) 向订约当局移交资产的机制和程序; (b) 资产移交给订约当局或新的特许公司或由订约当局收 购,特许公司有权得到的补偿; (c) 设施运营所需技术的转让; (d) 对订约当局的人员或接任特许公司进行的设施运营和维 护培训; (e) 在设施移交给订约当局或接任特许公司之后的一段合理 时间内,由特许公司提供的连续支助服务和资源,包括在需要 时提供的备用零件。第二部分 示范立法条文 31 五. 纠纷的解决 示范条文第49条. 订约当局与特许公司之间的纠纷(见《立
and chap. VI, paras. 3-41)法指南》建议69和第六章,第3-41段)
Any disputes between the contracting authority and the concessionaire订约当局与特许公司之间的任何纠纷应当通过各方当事人在
shall be settled through the dispute settlement mechanisms agreed by the特许权合同中约定的纠纷解决机制加以解决。
parties in the concession contract.47 示范条文第50条. 涉及客户或基础设施用户的纠纷(见《立
47法指南》建议71和第六章,第43-45段)
Model provision 50. Disputes involving customers or users of the特许公司向公众提供服务或运营向公众开放的基础结构设施 的,订约当局可要求特许公司制定处理其客户或基础结构设施
infrastructure facility (see the Legislative Guide, recommendation用户提出的申诉的简便和高效率的机制。
71 and chap. VI, paras. 43-45)示范条文第51条. 其他纠纷(见《立法指南》建议70和第
Where the concessionaire provides services to the public or operates六章,第42段)
infrastructure facilities accessible to the public, the contracting authority may1. 特许公司及其股东应可自由选择解决相互之间纠纷的适
require the concessionaire to establish simplified and efficient mechanisms当机制。
for handling claims submitted by its customers or users of the infrastructure2. 特许公司应可自由约定解决特许公司与其放款人、承包
facility.商、供应商和其他商业伙伴之间的纠纷的适当机制。
Model provision 51. Other disputes (see the Legislative Guide,47
recommendation 70 and chap. VI, para. 42)颁布国可在本国法规中规定最适合私人融资基础设施项目需要的纠纷解决
1. The concessionaire and its shareholders shall be free to choose the机制。贸易法委员会私人融资基础设施项目立法条文
appropriate mechanisms for settling disputes among themselves.对读者的说明
2. The concessionaire shall be free to agree on the appropriate mechanisms for settling disputes between itself and its lenders, contractors, suppliers2003 年 7月联合国国际贸易法委员会(贸易法委员会)通过了《贸
and other business partners.易法委员会私人融资基础设施项目示范立法条文》
471
The enacting State may provide in its legislation dispute settlement mechanisms that are best作为三年前最后
suited to the needs of privately financed infrastructure projects.Further information may be obtained from:定稿的《贸易法委员会私人融资基础设施项目立法指南》的一份附
UNCITRAL secretariat加文件。示范立法条文用立法语言表述《立法指南》所载建议中的
Vienna International Centre意见。 委员会请秘书处在适当时候将所出版的《示范立法条文》的案
PO Box 500文和《私人融资基础设施项目立法指南》合并为单独一份出版物, 并在合并时保留《立法指南》所载立法建议作为拟订示范立法条文 的基础。 委员会在拟订《私人融资基础设施项目示范立法条文》时尽可 能多地参照了其在《立法指南》中使用过的结构和术语。但必须做 一些小的改动,以便以立法文体重新拟订各项建议的案文。此外, 示范立法条文的措词有时还包括技术词语(例如“特许权合同”)来 代替《立法指南》中使用的较具说明性的术语(在此情形中为“项 目协议”)。委员会请秘书处审查并酌情修订《立法指南》所载的注 释,对其加以调整,使之适合示范立法条文中使用的术语和结构。 2 秘书处将在近期印发经修订和合并后版本的载有《私人融资基 础设施项目示范立法条文》的《立法指南》。 1 《大会正式记录,第五十八届会议,补编第17号》(A/58/17),第 171 段(见 《2001 年联合国国际贸易法委员会年鉴》,第一部分)。 2 同上,第 21段。 Printed in Austria V.03-90620—July 2004—435更多信息可通过以下方式获得: 联合国国际贸易法委员会秘书处 维也纳国际中心 邮政信箱:500
A 1400 ViennaA 1400,维也纳
Austria奥地利
Telephone: +(43) (1) 26060-4060电话:+(43) (1) 26060-4060
Fax: +(43) (1) 26060-5813传真:+(43) (1) 26060-5813
Internet: http://www.uncitral.org互联网:http://www.uncitral.org
E-mail: uncitral@uncitral.org电子邮件:uncitral@uncitral.org贸易法委员会
03-90621_Cov3_pr.pmd 05/05/2004, 13:001UNCITRAL私人融资基础设施项目
Model Legislative Provisions示范立法条文
on Privately Financed联合国国际贸易法委员会拟订
Infrastructure Projects Prepared by the United Nations Commission on International Trade Law UNITED NATIONS联 合 国
Printed in AustriaPrinted in Austria
V.03-90621—May 2004—3,870V.03-90620—July 2004—435
United Nations publicationUnited Nations publication
Sales No. E.04.V.11Sales No. C.04.V.11
ISBN 92-1-133583-3ISBN 92-1-730002-0