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| 个人信息 |
| 姓 名： |
苏译员 [编号]:2541 |
性 别： |
女 |
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| 擅长专业： |
法律 |
出生年月： |
1984/9/1 |
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| 民 族： |
汉族 |
所在地区： |
浙江 宁波 |
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| 文化程度： |
本科 |
所学专业： |
法学 |
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| 毕业时间： |
2007 |
毕业学校： |
北京第二外国语学院 |
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| 第一外语： |
英语 |
等级水平： |
英语专业八级 |
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| 口译等级： |
中级 |
工作经历： |
2 年 |
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| 翻译库信息 |
| 可翻译语种： |
英语 |
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| 目前所在地： |
浙江 宁波 |
| 可提供服务类型： |
笔译、口译、家教 |
| 每周可提供服务时间： |
周一至周五18:00-22:00，周末全天 |
| 证书信息 |
| 证书名称： |
英语专业八级 |
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| 获证时间： |
2007/4/1 |
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| 获得分数： |
70 |
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| 证书名称： |
英语专业四级口语证书 |
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| 获证时间： |
2006/5/1 |
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| 获得分数： |
未知分数 |
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| 工作经历 |
| 工作时期： |
2007/3/1--2008/5/1 |
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| 公司名称： |
建纬（北京）律师事务所 |
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| 公司性质： |
其它 |
| 所属行业： |
法律 |
| 所在部门： |
主任办公室 |
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| 职位： |
主任翻译及秘书 |
| 自我评价： |
积极主动、乐观向上 |
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| 工作时期： |
2008/5/1--2009/3/1 |
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| 公司名称： |
杭州神州数码有限公司 |
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| 公司性质： |
其它 |
| 所属行业： |
计算机/互联网/IT |
| 所在部门： |
财务部 |
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| 职位： |
风险管理 |
| 自我评价： |
敬业、细心、学习能力强 |
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|
| 笔译案例信息 |
| 案例标题： |
EMPLOYMENT AGREEMENT |
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| 原文： |
合同(第0045448号)附件attachment
补充协议
本补充协议，作为第0045448号合同的附件，由以下双方于2007年5月[18 ]日在中华人民共和国（“中国”）北京市签订：
Charles Dukes先生（“受聘人”），美国公民，现居住地址位于[ 朝阳园小区3号楼12D ]。持有[美 国]护照，号码为(132460093)；
XX杂志社（“杂志社”），一家依据中国法律组成并存续的杂志社，法定地址位于中国北京市崇文区体育馆路法华南里小区10号楼一层，本协议中由刘开阳先生作为代表。
鉴于，杂志社希望聘用受聘人，受聘人接受该等聘用。因此，根据相关法律、法规和法令，双方根据自愿和诚信原则，签订作为第0045448号合同（“合同”）附件的本补充协议（“协议”）。
第一章 聘任职务、职责、工作时间及业绩标准
第1条 聘任职务
杂志社特此根据合同和本协议条款和条件正式聘任受聘人为英文编辑顾问，受聘人特此同意由杂志社根据合同和本协议条款和条件聘任其为英文编辑。
第2条 期限
本协议期限应于2007年5月[19]日始，至2008年5月18日止（“期限”），除非本协议根据其条款提前终止。
第3条 工作职责
受聘人应当承担以下工作职责：
(a) 参与编辑工作计划的制定；
(b) 撰写专题文章以及为网站撰写文章，撰稿量每月不低于[2000]字；
(c) 编辑以及润色杂志社所有出版物的文章；
(d) 协助高级管理层作出适当的有关编辑方面的决策；
(e) 其他不时由双方协商同意的其他职责。
第4条 工作时间
受聘人每周工作五(5)天，每天工作八(8)个小时。在某些偶然情况下，受聘人应当调整工作时间，以符合杂志社分配的工作任务的要求，并不得要求工资以外的报酬。每周工作时间应不少于四十(40) 小时。每月截稿期前可以有一天在家办公时间，并保持通讯及网络的畅通。
第5条 履行职责
受聘人应按杂志社指示，尽其最大努力，勤勉履行其职责，并遵守本协议条款以及杂志社规定的工作纪律或杂志社以其它方式下发的工作准则。
第6条 业绩标准
受聘人应使所负责的刊物体现出专业水准；
第二章 工资、住宿及其他福利
第7条 工资
杂志社支付受聘人每月月薪一万陆千八百元人民币（RMB16，800）（税前）。
该工资应按月于每月结束后不晚于五(5)日内，直接支付给受聘人或通过受聘人的银行帐户支付。
第8条 交通费
杂志社负责报销交通，但以报销的总额以每月一千五百元（RMB1，500）为限。所有报销的申请应当在发生之月提出，且经由总编辑签字。
第 9 条 代扣税款
杂志社向受聘人支付所有报酬时，须减去应由杂志社代扣的个人所得税或根据适用法律规定应由杂志社代扣的任何数额。但是，受聘人应在适当情况下，独自负责缴纳任何个人所得税或向其报酬和福利征收的任何其它费用或税款。
第10条 住宿
在可提供交换住房的范围内，杂志社将为受聘人提供一套尽量满足受聘人需求的住房。受聘人不得将居所转租、转让或作其他用途。居所需具备以下设施：厨房、浴室、家具、床、电视、冰箱和取暖设备。 受聘人应自己支付水、电、燃气等相应的费用。
第11条 医疗服务
受聘人如患疾病，应到协和医院、友谊医院或中日友好医院的外宾门诊就医。杂志社需为受聘人支付70%的医药费，每年总计不超过2000元。报销的费用不包括挂号费、医生上门服务费、来往医院交通费、牙科、整容、按摩、眼科检查、配眼镜、住院和非医用营养品。杂志社不负责受聘人在上述三家以外的其他医院就医的费用。本协议期限内，受聘人在港、澳、台以及中国以外发生的医疗费用由受聘人自己负责承担。
第12条 来回程票
杂志社应为受聘人提供一套北京至纽约的来回程飞机票。
第三章 带薪假、法定假日与其他休假
第13条 休假
受聘人有权根据适用法律规定以及杂志社规定，享有法定假日、带薪假期以及其他休假。
第14条 带薪假期
受聘人享受带薪假期 五（5）天，但需在连续工作六（6）个月后方能提出休假申请。休假期间的周末不予扣除，也计入假期天数。
第15条 法定假日
受聘人享受中国国家法定假日，包括新年元旦、春节、劳动节和国庆节，圣诞节放假二（2）天（12月25日和26日）。
第16条 病假
受聘人请病假需出示医生证明, 杂志社应按天数扣除受聘人请假期间的工资。杂志社关于病假的具体规定适用于本协议。
第17条 事假
如受聘人申请事假并得到杂志社执行主编的批准，杂志社应按天数扣除受聘人请假期间的工资。本协议期限内，受聘人请事假天数总和不得超过十（10）天，每次请假连续不得超过三（3）天。如果受聘人未经杂志社同意擅自离开工作岗位，杂志社每天扣除甲方三天的工资额，直至扣完。
第四章 劳动纪律
第18条 劳动纪律
受聘人应在各方面遵守杂志社关于劳动纪律的规定、遵守编辑部的规定以及杂志社以其它方式下发的其它工作规定和程序。
第19条 违反纪律
如果受聘人违反有关劳动纪律的任何规定或杂志社的任何其它规定或程序，对杂志社造成损害、或对其本人或他人员工造成损害，或未能达到该工作岗位所要求的业绩标准，则杂志社可对受聘人采取纪律措施。该等情形下，杂志社可根据以下第21条或第22条解雇员工。杂志社采取纪律措施的权利在杂志社管理规则与其它材料中予以规定。
第20条 不允许兼职
未经杂志社事先书面允许，在聘用期限内，受聘人不得接受任何其它经营性经济组织的聘用。
第五章 终止聘用及辞职
第21条 无通知终止聘用
如果受聘人存在下列情形，杂志社可在任何时候中止聘用，无需通知：
(a) 严重违反杂志社劳动纪律规定或杂志社的其它规定或程序，或违反本协议条款；
(b) 严重渎职或营私舞弊，对杂志社利益造成实质性损害；
(c) 犯有刑事犯罪或因治安行政处罚离境。
杂志社管理规定中对根据本协议第21条无通知终止聘用的情形有更为具体的规定，并适用于本协议。
第22条 通知终止聘用
如遇下列情形，杂志社可提前三十(30)天发出书面通知，终止聘用：
(a) 患非职业病或非因工负伤，医疗期满后，不能从事原工作也不能从事杂志社安排的其它工作；
(b) 不能胜任其工作，经过培训或调到不同岗位后，仍不能胜任，达不到适当的业绩水平；
(c) 杂志社依法关停、暂停经营或被依法宣告破产，且已濒临破产并在法定的重组期限内；
(d) 本协议订立时所依据的客观情况发生重大变化，致使本协议无法履行，并且，经杂志社和受聘人协商，不能就修订本协议达成共识。
（e） 为避免破产或由于发生严重的经营问题，杂志社需要裁减人员进行重组，并已协商工会或职工，且遵守相关的法律要求。
第23条 解雇费
如果杂志社根据第22条（c）和（e）款解聘受聘人，杂志社应根据适用法律规定，向受聘人支付补偿费。
第24条 辞职及通知
受聘人可于任何时间，提前三十 (30) 天，书面通知杂志社辞职。如果受聘人按此方式辞职，杂志社无义务就终止协议向受聘人支付任何补偿费。
第25条 无通知辞职
尽管有第24条的规定，如杂志社不按本协议条款支付报酬，受聘人可以辞职，不需通知杂志社。
第26条 交还文稿及领用设备
协议终止后，受聘人应立即将其掌握的所有杂志社文稿、编辑计划、或杂志社营销信息以及因工作需要领用的所有设备和物品交还杂志社。
第27条 退还公寓
在协议终止前，受聘人应利用自己有效假期搬出杂志社为其提供的公寓，不得占用工作时间。如果受聘人在与杂志社的聘用期限届满后继续使用杂志社为其提供的公寓，受聘人应向杂志社支付房租。
第六章 著作权
第28条 著作权
受聘人在本协议期限内，开展其工作从而创作的任何文稿，杂志社享有该文稿著作权中的财产权利，受聘人享有著作权中的人身权利，除非双方另外达成约定。
第七章 适用法律、违约与争议解决
第29条 适用法律
本协议适用中华人民共和国的法律。
第30条 违约
违反本协议的一方有责任根据适用法律和法规，对另一方作出赔偿。
第31条 争议解决
双方应首先通过协商，解决因履行本协议而产生的任何争议。如果无法通过协商达成一致，双方应向国家外国专家局设立的外国文教专家事务仲裁机构申请仲裁。
第八条 附则
第32条 生效日
本协议于双方签字时生效，一式两分，双方各持一份。
第33条 修订
下述情形下，本协议可以修订：
(a) 双方订立书面协议；
(b) 作为本协议订立依据的法律、法定规定和条例的条款进行了修订；
(c) 杂志社发生兼并，进行停业整顿或依法宣布破产；
(d) 如果受聘人不能胜任杂志社工作岗位上的职责，根据本合同上文第22条规定，杂志社可以决定是否将其解聘或修订协议。
寻求修订协议的一方应书面通知另一方。另一方应于十五(15) 日内答复。未于十五(15)日内答复将视为同意修订该协议。
第34条 续签协议
在本协议期满一个月前，双方应讨论是否继续聘用。双方都有权利提出对本协议内容的修改意见，并达成新的协议。
第35条 遵守合同与协议
双方同意并承诺遵守合同以及协议的条款和条件。
第36条 遵守法律要求
杂志社和受聘人将遵守所有适用法律的要求。如果本协议在任何时间与任何适用法律和法规相冲突，并应立即相应修订本协议。
第37条 标题
本协议使用的标题仅为方便参考而设，不应被用来进行含义或意向的解释。
第38条 文字
本协议以中、英文书写，原则上两种文字的文本具有同等效力。如因翻译原因造成协议中同一条款内容在中英文理解上有出入或出现歧义，应以中文理解为准。
鉴此，杂志社和受聘人于首页载明日期签订本协议。
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| 译文： |
Attachment of the Contract (No. 0045448)
Supplemental Agreement
The Supplemental Agreement, as the attachment of the Contract (No. 0045448), is made on 18th , May 2007 in Beijing, P.R.C.(China)
BY AND BETWEEN:
(1) Mr. Charles Dukes, (hereinafter referred to as the Employee), an American citizen (Passport No.132460093) with current address in 12D, No. 3 Building, Chaoyangyuan Community.
(2) Beijing This Month Publications(hereinafter called the Publication), a publication established and existing in accordance with law, with its legal address in F1,No.10 Building, Fahua Nanli Community, Gymnasium Road, Chongwen District, Beijing, China. Mr. Liu Kaiyang acts as the representative of Beijing This Month Publications herein.
WHEREAS:
The Publication wishes to employ the Employee and the Employee accepts the employment. Therefore, on the basis of fairness and voluntariness, the two parties enter into the Supplemental Agreement [attachment of the Contract (No. 0045448)] in accordance with relevant laws, regulations, and provisions.
IT IS AGREED as follows:
Chapter 1 Post, Duty, Working Hours and Performance Standard
1. Post
The Publication hereby employs the Employee as the English Editor Consultant in accordance with the Contract and the Agreement. The Employee hereby agrees to be employed as the English Editor Consultant in accordance with the Contract and the Agreement.
2. Period
The Agreement shall be effective from 19th, May 2007 to 18th, May 2008, except as otherwise terminated in advance in accordance with the terms herein.
3. Duties
The Employee shall undertake the following duties:
(i) Participate in laying edition plans;
(ii) Compose monograph and write articles for the website, the total words per month no less than 2000;
(iii) Edit and modify all the articles of all publications published by the Publication.
(iv)Assist the administrators to make relevant decisions on edition.
(v) Any other responsibilities agreed by the two parties.
4. Working Hours
The Employee shall work 5 days per week, and 8 hours per day. On some occasions, the Employee shall adjust working hours as required by the Publication, and shall not demand extra payment besides salary. The Employee shall work up to 40 hours (40 hours included) per week. The Employee can work at home one day per month before the last day of the writing, but shall ensure the convenience of communication with the Publication.
5. Performance of Duties
The Employee shall make every effort to perform duties as required by the Publication, and shall be in compliance with the terms of the Agreement, the labor discipline of the Publications and any other rules issued by the Publication.
6. Performance Standard
The Employee shall guarantee the expertise level of the publications that he is in charge of.
Chapter 2 Salary, Accommodation and Other Welfares
7. Salary
The Publication shall pay the Employee RMB16，800 only per month.(pre-tax)
The salary shall be paid via depositing into the account of the Employee or directly paid to the Employee within 5 days after the end of each month.
8. Communication Expenses
The Publication reimburses the communication expenses within the limit of 1500RMB per month. All the applications for communication expenses reimbursement shall be submitted within the month during which the expenses occur and approved by the Editor in chief with his signature.
9. Tax withholding From Salary
The Publication shall withhold individual income tax or other fees from the salary of the Employee in accordance with applicable laws. However, on some occasions, the Employee shall independently pay individual income tax or any other fees or taxes occur on the extra rewards and welfares.
10. Accommodation
The Publication shall supply the Employee with satisfactory accommodation, which includes the facilities as follows: cuisine, bathroom, furniture, bed, television, refrigerator and heating installation. The water, electricity and gas fees shall be paid by the Employee. The Employee shall not sublet, transfer the accommodation or change the accommodation for other usages.
11. Medical Services
The Employee shall receive medical services in Peking Union Medical College Hospital, Beijing Friendship Hospital, China-Japan Friendship Hospital. The Publication reimburses 70% of the medical expenses; the total sum shall be no more than 2000RMB per year. The expense reimbursement does not cover the fees as follows: registered fee, visiting doctor fee, intercommunion fee, dentistry, cosmetic surgery, massage, ophthalmic testing, hospitalization and alima for non-medical usage. The Publication shall not reimburse any medical expense occurred in other hospitals except for the three hospitals mentioned above. The Employee shall on his own pay for the medical expense in Hong Kong, Macau, Taiwan or any other place outside China during the term of the Agreement.
12. Communion Airline Tickets
The Publication shall provide a pair of airline turnaround tickets from Beijing to New York for the Employee.
Chapter 3 Vacation with Pay, Legal Holidays and Other Vacations
13. Vacations
The Employee has the right to have vacations with pay, legal holidays and other vacations.
14. Vacations with Pay
The Employee is entitled to a five-day vacation with pay on the condition that he has continuously worked up to 6 months (6 months included). During the vacation, the weekend shall not be deducted and shall be calculated within the vocation.
15. Legal Holidays
The Employee is entitled to enjoying legal holidays in China, including New Year’s Day, Spring Festival, Labor Day, National Day and Christmas (2 days, 25th and 26th of December).
16. Sick Leave
The Employee shall present the Doctor’s medical certificate when applying for sick leave and the salary of the Employee shall be deducted according to the leave days. In addition, the rules on sick leave made by the Publication are also applicable to the Agreement.
17. Leave of Absence
If, the leave absence is approved by the editor in chief, the Publication shall deduct the salary according to the leaving days of the Employee. In the term of the Agreement, the leave of absence shall not exceed 10 days in total, and for each leave of absence, the limit is 3 days. If, the employee leaves his post without the consent of the Publication, the Publication shall deduct three days salary per day until the sum of monthly salary is completely deducted.
Chapter 4 Labor Discipline
18．Labor Discipline
The Employee shall be in compliance with all rules and regulations on labor discipline of the Publication, rules and regulations of the Editorial Department, and other working regulations issued in other ways by the Publication and working procedures.
19．Breach of Discipline
Where the Employee breaches any rules on labor discipline, or any rules or procedures of the Publication, and causes any damage to the Publication, to the Employee himself or to other Employees, or is not able to achieve the performance standard required in this position, the Publication shall have the right to take discipline measures. In this situation, the Publication may dismiss the Employee in accordance with Article 21 or 22 hereunder. The right to take discipline measures of the Publication shall be stipulated in the managing rules and other materials of the Publication.
20. Taking a part-time job is not permitted.
The Employee shall not accept any employment of other profit-making economic organizations without the written permission of the Publication within the term of employment.
Chapter 5 Termination of Employment and Resignation
21. Termination of Employment without Notice
The Publication may terminate the employment without notice where there exist the following circumstances:
(i)The Employee seriously violates the rules on labor discipline, or other rules or procedures of the Publication, or terms of this Agreement;
(ii) Serious dereliction of duty or jobbery to cause substantial damage to the rights and interests of the Publication;
(iii) Leave the P.R.C. due to commitment of criminal crimes or public security administrative punishment;
Where there are more detailed stipulations on the circumstances of termination of employment without notice in accordance with the Agreement, the stipulations herein shall be applicable to the Agreement.
22. Termination of Employment with Notice
The Publication shall issue written notice 30 days ahead to terminate the employment where there exist the following circumstances:
(i)After the treatment of occupational disease or work-caused injuries, the Employee is not able to undertake the original job or other tasks appointed by the Publication;
(ii) The Employee is not competent for his task, and after training or transfer to other positions he is still not competent for tasks required and is not able to achieve proper performance level.
(iii) The Publication is shut down, suspended its operation or declared bankruptcy in accordance with law, or is close to bankruptcy and is in legal re-organization period;
(iv)The external circumstances under which the Agreement signed has changed a lot so that the Agreement is not able to be executed any longer, and the Publication and the Employee are not able to reach a new agreement after negotiation.
(v）In order to avoid bankruptcy or any serious managing problems, the Publication shall cut some Employees so as to take reorganization measures, and has negotiated with the labor union or Employees and is also in compliance with relevant laws.
23. Severance Pay
Where the Publication dismisses the Employee in accordance with Item (iii) and (v) of Article 22, the Publication shall give severance pay to the Employee in accordance with law.
24. Resignation and Notice
The Employee may resign in any time by written notice to the Publication 30 days ahead. Where the Employee resigns in the above way, there is no obligation for the Publication to pay any compensation to the Employee.
25. Resignation Without Notice
In spite of the stipulation of Article 24, where the Publication dose not pay salaries to the Employee in accordance with the Agreement, the Employee may resign without notice to the Publication.
26. Returning of Materials and Facilities
After the termination of the Agreement, the Employee shall return all materials, editorial plans, marketing information, all facilities and articles to the Publication.
27. Returning of Apartment
Before the termination of the Agreement, the Employee shall move out of the apartment provided by the Publication within effective holidays and shall not occupy working hours. Where the Employee continues to use the apartment provided by the Publication, the Employee shall pay rent to the Publication.
Chapter 6 Copyright
28. Copyright
In the period of the Agreement, the Publication enjoys the property rights of the copyright of any of the materials written by the Employee, whereas the Employee enjoys the personal rights of the copyright, except as otherwise agreed by the two parties.
Chapter 7 Applicable Laws, Breach of Agreement and Dispute Resolution
29. Applicable Law
The Agreement shall be governed by and construed in accordance with the laws of PRC.
30. Breach of Agreement
Either of the two parties violating the Agreement shall make compensation to the other party in accordance with the applicable laws and regulations.
Article 31 Dispute Resolution
The two parties shall firstly solve any disputes arising from the performance of the Agreement through negotiation. Where the two parties are not able to solve disputes through negotiation, the two parties shall apply the arbitration organization on foreign culture and education expert matters established by the National Foreign Expert Bureau.
Chapter 8 Supplementary Articles
32. Effective Date
The Agreement shall come into effect since the signature of both the two parties. There are two originals and each party holds one.
33. Amendment
The Agreement may be amended in the following circumstances:
(i)The two parties enter into written agreements;
(ii)Terms of Laws, regulations and statutes the Agreement hereunder entered into are amended.
(iii)The Publication is merged, suspends its operation to rearrange or is declared bankruptcy by law.
34. Continuing Signature of Agreement
Before the expiration of this Agreement, the two parties shall discuss whether to continue the employment or not. Both the two parties have the rights to suggest the amendment of the Agreement and reach a new agreement.
35. Abidance by Contract and Agreement
Both the two parties agree and admit to comply with the terms and conditions of the Contract and Agreement.
36. Abidance by Laws
The Publication and the Employee shall be in compliance with all applicable law. Where the Agreement goes into any conflict with any applicable laws and regulations in any time, the two parties shall accordingly amend the Agreement in no time.
37. Titles
The titles of the Agreement herein are for reference only and shall not be used for any explanation of any meanings or intents.
38. Languages
In principle, both the Chinese version and the English version of the Agreement are of equal weight. In the event of a discrepancy between the Chinese version and the English version due to translation, the two parties shall interpret the Agreement by the Chinese version.
In witness whereof the Publication and the Employee enter into the Agreement on the day and year first above written.
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2、 计划经济色彩浓厚的《招投标法》急需修改 |
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中国现有招投标法具有明显的计划经济色彩，实践中已成为阻碍招投标有效进行的障碍，建议尽早修改，与世界同步。
1）例如《招标投标法》第三十三条关于投标人不得以低于成本的报价竞标的规定，违背工程招标作为市场经济行为的基本特点。
工程招标投标，是一种竞争性的工程发包方式，是市场经济的充分体现；招标投标的目的就是要让投标者充分竞争，最大可能地降低工程造价。因而在招标中规定了不得以低于成本报价竞标已不合时适。
在市场经济条件下，成本价很难界定，不同企业的管理水平各异，生产成本也各不相同，当然管理水平高的企业往往生产效率高，成本也就低，但若管理水平高的企业依自已的成本而作出较低的报价，则存在被认定低于成本的风险。照此逻辑管理水平高的企业反而不容易中标，那么，招标的择优功能将不复存在。
同时，由于前述成本的认定的因难，而导致相关监管部门的监管因难，使得真正弄虚作假的投标者往往会因串标而获得中标的机会，而确实按本企业成本报价的企业反而因三十三条的限制而得不到中标的机会。
最后，还要指出，在市场经济环境下,市场主体的行为应由其自行决定,有即便投标人为了开拓市场，主动让利，确实以低于自已的企业成本报价，只要不违反其它法律规定，确保工程质量，依然应受到法律的保护。
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Law on Tendering and Bidding, full of planned-economy regulations, is in great need of amendment.
The current Law on Tendering and Bidding, obviously full of planned-economy regulations, has become the obstacle of the effective tendering and bidding. It is suggested that this Law should be amended in no time so as not to fall behind the development of the world.
For example, Article 33 stipulates that a bidder may not submit a bidding price below cost in competing for a project, which violates the basic characteristic of project tendering as a market behavior.
Project tendering and bidding, a kind of competitive way of project contracting, is a good example of market economy. Its aim is to give chances to bidder to fully compete so as to reduce project cost greatly. Therefore, it is not suitable to stipulate the bidding price no less than cost.
Under the circumstance of market economy, it is difficult to define the cost price. Different enterprises have different management levels, so that manufacturing costs are also different. The production efficiency of an enterprise with higher management level will be higher and the cost will be lower. Hence, if an enterprise with higher management level submits bidding prices in accordance with its own cost, it will meet the risk of being deemed the bidding price is below cost. In this way, it is not easy for such kind of enterprises to win the tender. Thus, the preferential function of tendering will not exist.
Meanwhile, because of the difficulty of identification of the above price, it is also difficult for regulatory authorities to supervise the behaviors of bidders. Bidders that practice fraud in bidding will gain the opportunity of winning the tender, while enterprises that actually submit their bidding prices according to their costs will lose such opportunity.
Finally, it should also be indicated that the behaviors of the market players shall be decided by themselves. If certain bidders intend to surrender profits to others and submit their bidding prices in accordance with their own costs so as to exploit the market, their behaviors, if not violating other laws and regulations, and if also the quality of projects is ensured, shall be surely protected by law.
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香港“地铁+物业”特许经营模式 |
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摘要：
本文从律师的视角，以其在地铁等特许经营项目领域的服务经验，在中国目前的法律框架下，对香港的地铁公司“地铁+物业”特许经营投融资模式在内地推广应用过程中遇到的相关法律问题进行了分析和探讨，并提出了相应的立法和操作建议。
关键词：
地铁+物业 特许经营 法律问题 土地使用权
香港的地铁开发模式通常被称为“地铁+物业”模式，简单地说就是香港的地铁公司同时开发地铁项目和地铁车站上盖和沿线房地产，香港的地铁公司高管有一个职位是“物业总监”，专事与地铁建设同步展开的物业开发，通过车站上盖和沿线房地产的开发来弥补地铁项目亏损并获得收益。香港地铁公司（下称港铁）作为全球地铁公司中为数不多的盈利丰厚的地铁公司，其所秉承的“地铁+物业”特许经营投融资模式多年来始终是各国争相效仿的对象。而对于正在大规模快速推进城市轨道交通开发建设的内地各大城市来说，港铁建设模式作为上市公司的强劲融资能力和累积数十年的地铁开发经营管理经验，无疑令其成为各地政府所青睐的目标合作方。到目前为止，北京地铁4号线、深圳地铁4号线已成功与港铁结缘，而尚有杭州、武汉、东莞等城市的合作谈判也正在进行中。然而，由于内地、香港两地之间在法律体系、土地政策等方面的诸多差异，香港的“地铁+物业”特许经营模式能否同样在内地各城市结出丰硕成果，尚需实践的检验。本文仅就上述模式在内地法律框架下的运用和实施过程中遇到的特定法律问题进行粗浅的探讨，以求教于业内同行。
一、与“地铁+物业”特许经营模式相关的内地立法及适用问题
1.1 与“地铁+物业”模式相关的特许经营立法及适用
随着我国轨道交通的迅速发展，各地方有关轨道交通特许经营的立法实践方兴未艾。目前，我国在法律、行政法规的层面上没有关于轨道交通特许经营的法律规范，全国性的部门规章只有2004年建设部出台的《市政公用事业特许经营管理办法》。在国家尚未出台统一的法律和行政法规的情况下，各地人大或地方政府纷纷制定了地方适用的特许经营管理条例（办法）来规范和指引本地包括地铁在内的公用事业特许经营活动，如北京、天津、深圳、新疆、湖南、山西、贵州，等。上述部门规章和地方法规通常都规定，特许经营者的选择要通过招标等公平竞争的方式（市场竞争方式）来确定。
1.2 与“地铁+物业”模式相关的土地立法及适用
土地作为宝贵的不可再生资源,始终是世界各国严密控制的对象,中国也不例外。在我国，土地的所有权属于国家，公民个人及企事业单位只能获得土地使用权。与“地铁+物业”模式相关的法律规范除了《中华人民共和国土地管理法》、《中华人民共和国城市房地产管理法》外，主要是《招标拍卖挂牌出让国有土地使用权规定》（2002年7月1日起施行）和国土资源部与监察部2004年3月31日联合下发的《关于继续开展经营性土地使用权招标拍卖挂牌出让情况执法监察工作的通知》，即著名的71号文件。
上述法律规范中影响“地铁+物业”模式运作实施的主要是关于“物业部分”土地使用权取得方式、土地出让金收取及用途的相关规定。在适用方面，由于近年来我国的土地基本政策之一是加强土地管理，尽管相关法律对于土地使用权取得方式没有严格的限制，但在相关部门规章和地方规章中均对土地出让方式进行了严格的限制，即经营性用地，必须以招标、拍卖或者挂牌方式出让。因此实践中在土地使用权的出让方面，主要适用这些代表国家政策走向的规章和规范性文件。而事实上，前述部门规章和规范性文件与我国现行有效的上位法律和行政法规存在一定的冲突。
《中华人民共和国城市房地产管理法》第十二条规定：“土地使用权出让，可以采取拍卖、招标或者双方协议的方式。商业、旅游、娱乐和豪华住宅用地，有条件的，必须采取拍卖、招标方式；没有条件，不能采取拍卖、招标方式的，可以采取双方协议的方式。” 《城镇国有土地使用权出让和转让暂行条例》第十三条规定：“土地使用权出让可以采取下列方式：(一)协议；(二)招标；(三)拍卖。”由此可见，对于经营性用地，招标、拍卖或者挂牌出让并不是唯一的选择。但《招标拍卖挂牌出让国有土地使用权规定》第四条关于各类经营性用地必须以招标、拍卖或者挂牌方式出让的规定无疑与上位的法律和行政法规之间存在冲突。按正常的立法程序，应先对上位法进行相应的修订后才能制定与之相符的下位法，以保证立法的统一性。而事实上，在上位法未修订的情况下，下位法（前述规定与通知）已作出了更为严格的限制性规定。这样在实践中适用时会出现诸多法律问题，比如协议出让方式下的土地出让合同的效力问题等。
对于政府来说，违反相关部门规章而将经营性用地通过协议出让的后果是对直接负责的主管人员和其他直接责任人员依法给予行政处分（《招标拍卖挂牌出让国有土地使用权规定》第二十四条），但政府通过协议出让方式签订的土地出让合同本身由于其并未违反相关法律和行政法规的强制性规定，依法仍应合法有效。依据最高人民法院《关于审理涉及国有土地使用权合同纠纷案件适用法律问题的解释》（2005年8月1日起施行）第三条的规定，经市、县人民政府批准同意以协议方式出让的土地使用权，土地使用权出让金低于订立合同时当地政府按照国家规定确定的最低价的，应当认定土地使用权出让合同约定的价格条款无效。由此可见，只要土地出让合同中约定的土地出让金不低于国家确定的最低价，经政府批准的协议出让合同即为有效合同。在“地铁+物业”模式中，只要政府同意以协议出让的土地补偿地铁亏损，特许经营协议以及土地出让合同均为合法有效。就这一点来说，投资方（土地受让方，即特许经营者）的风险并不大。
二、“地铁+物业”模式在内地适用时的法律障碍
2.1 土地出让方式的法律限制
香港地铁模式在内地推行的最大障碍就是《招标拍卖挂牌出让国有土地使用权规定》和《关于继续开展经营性土地使用权招标拍卖挂牌出让情况执法监察工作的通知》。根据《招标拍卖挂牌出让国有土地使用权规定》第四条的规定：自2002 年7月1日起，商业、旅游、娱乐和商品住宅等各类经营性用地，必须以招标、拍卖或者挂牌方式出让。由于屡禁不止，国土资源部与监察部进一步于2004年3月31日联合下发了《关于继续开展经营性土地使用权招标拍卖挂牌出让情况执法监察工作的通知》。该文件规定，自2004年8月31日起，所有经营性的土地一律都要公开竞价出让。不得再以历史遗留问题为由采用协议方式出让经营性土地使用权。这就是业内所称的“8•31”大限。
在此政策条件下，“8.31”之后以土地作为补偿方式的地铁特许经营项目就面临招拍挂这一门槛。若单独将地铁沿线土地使用权通过招拍挂方式出让，在“地铁+物业”模式中，就不能确保地铁项目公司必然取得该招拍挂地块的土地使用权。
上述规定出台的初衷，是为了确保政府供应土地的过程中，能够集中体现公开、公平、公正的市场原则，充分发挥市场优化配置土地资源的作用，从源头上防治土地批租领域的不正之风和腐败行为。但遗憾的是，国土资源部的这一规定，却没有全面考虑到国家发展与改革委员会的基础设施发展政策，没有考虑到建设部《市政公用事业特许经营管理办法》中的相关规定。由于处于同一法律效力层级的部颁规章之间缺乏统一协调，从而导致获得特许经营权开发经营地铁等微利或亏损公用事业项目的投资商，无法在现有政策条件下，顺利获得政府的土地补偿，从而影响到地铁项目本身的开发进度。这种一刀切的政策限制，成为“地铁+物业”模式在内地市场成功推行的最大障碍。虽然根据《土地管理法》可以走国务院的特批渠道，但在上述限制性规定的大政策背景下，特批之路也是难乎其难。一些地方在该方面的勇敢尝试也因特批之难而搁浅。事实上，国务院也同样面临为难。如果特批了一个城市，没有理由不批其他城市。而如果每一个城市都通过这一途径去解决土地的补偿问题，则上述两部的规定就变成了空纸一张。这种法律规范之间的混乱，不仅有损法律的严肃性和权威性，而且将影响到投资商特别是国外投资商对我国投资环境的信心。
鉴此，笔者建议有关部门在规范性文件出台前充分考虑到上位法的规定和其他相关部门的规定，充分征求相关部门的意见，避免运动式的一刀切政策，尽可能提前做到上下位法之间、同层级法律规范之间的协调统一。同时考虑到地铁等微利或亏损公用事业特许经营项目的特殊性，对该类项目中作为政府补偿的土地使用权的获得方式做出特别例外规定，以从源头上解决长期困扰各地政府和国内外地铁投资商的土地补偿问题，使香港的“地铁+物业”模式在内地得以成功推广。
2.2 土地收益补偿地铁的限制
“地铁+物业”模式中，地铁亏损如何计算、如何补偿以及补偿金额如何确定是一个非常复杂的财务处理过程。实践中，土地收益作为地铁补偿的方式主要有两种：一是地铁项目公司取得土地使用权并缴纳全部出让金（或经政府允许延期缴纳），土地开发收益及增值归项目公司；二是地铁项目公司只缴纳部分出让金取得土地使用权，其余出让金无须缴纳，该部分出让金作为对项目公司的补偿，土地开发收益及增值亦归项目公司。当然，也可将沿线土地出让给其他开发商，政府再用土地收益补偿给项目公司，但这种情况下，项目公司将无法获得土地增值部分的收益。
笔者认为，在目前经营性用地土地使用权必须通过招拍挂获得的土地政策下，采取第一种方式是完全可行的，无须政府的特别批准，没有任何法律障碍；而第二种方式则涉及土地出让金的返还。根据《中华人民共和国城镇国有土地使用权出让和转让暂行条例》第五十条对土地出让金使用限制的规定以及其他有关规定，收取的土地使用权出让金应列入财政预算，作为专项基金管理，主要用于城市建设和土地开发。已进入财政预算的土地出让金收入要返还给土地使用权人，须经国务院的批准。在各大城市纷纷上马轨道交通项目的情况下，国务院的特批往往不易获得。事实上，有些城市地铁开发过程中的土地补偿即是因上述法律障碍而受阻。因此，在中国内地地铁等轨道交通的开发方兴未艾之时，如何尽快建立起行之有效的土地开发补偿轨道交通的法律保障机制，使获取的土地收益得以合法补偿轨道交通，应引起各级立法机关、相关政府部门的足够重视。
2.3 沿线土地开发进度及结合建设
鉴于沿线物业的开发与地铁的建设在开发进度、结合建设、费用承担等多方面均有密切联系，都需要通过相应的合同条款对各方的权利义务事先进行明确的约定。香港地铁的运作模式即是如此。在获得沿线地块的土地使用权后，其再寻找合作方，共同开发该地块。在此合作开发过程中，地铁方面始终保持强势，参与掌控地产开发的全部进程，包括对地产项目总承包商的选择，甚至包括对总承包合同的内容把握。笔者以为，这是非常行之有效的经验，值得内地各城市的地铁开发商借鉴。这种做法，不仅能确保地铁的建设进度，顺利解决地铁和地产开发过程中的结合建设问题，也能促进沿线地产早日开发建设完成，早日投入运营，早日将地产获得盈利补充到地铁的建设和运营中，以真正实现以沿线土地的开发来弥补地铁建设和运营亏损的初衷。
而在结合建设方面的法律规范则亟待完善。尽管有些城市已出台了一些有关地铁建设的相关规范性文件，如《深圳市地下铁道建设管理暂行规定》、《广州市地下铁道建设管理规定》，但均没有对结合建设所涉相关法律问题，如地下土地使用权和地铁上盖物业之间的产权划分等做出明确的规定。目前，天津市率先开始了该方面的积极尝试。其正在起草中的《天津市地下铁道设施与周边建筑结合建设管理办法》，即旨在对结合建设中的此类问题进行规范。
鉴于目前在开发进度和结合建设方面无相关规定，因此，地铁项目涉及到沿线物业开发以及物业与地铁结合建设的情况时，尤其是物业由开发商独立开发或地铁项目公司与其他开发商合作开发的情况下，应在相关特许经营协议以及合作开发协议中做出相应约定与安排，避免开发建设过程中发生纠纷影响开发进度。 在法律法规缺位的情况下，建议结建各方可在专业律师的协助下，充分利用法无明文禁止不违法的法律原则，通过合同谈判和签订，明确界定双方的权利义务，以期有效保护己方的合法权利的同时，最大限度地预防和控制风险。
三、现有土地制度下地铁项目公司取得沿线土地使用权的方法探讨
在现有土地制度下，地铁项目公司如何通过合法途径取得土地使用权用于补偿地铁项目是相关政府机构、投资商、专家学者关注并正在积极探索的问题，笔者基于为地铁等特许经营项目提供法律服务的经验，在此提出如下建议,供业内同仁参考讨论。
3.1 捆绑招标方式
捆绑招标方式是将两个或多个项目捆绑起来进行招标。这一做法在体育场馆等特许经营项目中已有实践，在某些地铁项目中也可适当尝试。具体在轨道交通领域，可采取如下操作模式：将地铁特许经营项目与沿线土地项目捆绑在一起，作为一个项目统一进行招标。由于这种操作模式下的招标文件中会同时要求投标人具备雄厚融资实力、地铁项目的建设运营经验等多方面条件，将使得一般的地产开发商望而却步，从而使真正适格的地铁投资商在中标赢得地铁特许经营权的同时，又以招拍挂的方式获得了地铁沿线项目的土地使用权。但必须指出的是，这种模式一般只适用于招标时地铁沿线地块已经确定的情形，不适用于分批分期给予土地补偿的情形。
3.2 以土地作为出资的模式
考虑到土地在未来的巨大升值空间，有些地方的政府提出了以土地作为出资，和中标投资商共同组成项目公司的地铁开发模式。在政府与投资商共同成立地铁项目公司的情况下，政府将拟授予地铁项目公司开发的地块土地使用权进行评估作价，以资产出资方式将该部分土地使用权投入地铁项目公司，则地铁项目公司可直接获得土地使用权，同时，该土地使用权相应的股权则由政府委托某国有企业（如城市基础设施投资公司）持有，亦可由国资委持有。在该方式下，土地使用权出资作为政府与投资商合作的条件，不经土地使用权招标、拍卖或者挂牌，确保了项目公司取得土地使用权。采用该种操作方式须考虑的因素很多，比如政府股权的持有方式、出资比例、收益分配等，须与项目公司的整个架构设计相衔接。此外，鉴于土地使用权价值的不断波动，在采取该种方式时，须充分考虑到未来土地的增值因素。在笔者提供服务的一个特许项目中，就是采取这种方式，使项目公司获得了沿线物业开发权。
上述两个取得沿线土地使用权的方式仅供参考。每个地铁项目均有其自身的特殊性，地铁+物业模式具体的操作方法须根据每个项目特点设计具有针对性的实施方案。
通过上述分析不难看出，我国现有相关土地法律和政策阻碍了香港“地铁+物业”模式在内地的实施，在目前中国融资渠道尚十分有限的情况下，增加了我国轨道交通建设的融资难度，在我国轨道交通建设资金极其短缺的情况下，客观上阻碍了轨道交通基础设施建设的发展速度。而目前我国包括地铁在内的轨道交通建设规模需要极其巨大的投资，这其中不仅包括轨道交通建设本身的投资，还应包括成本越来越高的动拆迁的费用和轨道交通建设占有沿线已被出让的土地补偿费用，而目前轨道交通的建设单位本身获得的银行贷款等投融资能力一般仅够轨道交通本身的建设，甚至并不包括车站上盖的开发建设资金，这就是国内许多地铁车站的上盖并不利用开发建设的原因。同时，巨额的银行贷款仅依靠轨道交通建成后的票务收入用以还贷是绝不可能的。而借鉴香港“地铁+物业”模式旨在“以路拓路，以路养路”，以轨道交通建设本身能够产生的收益和权益，加快轨道交通建设进度，则必须尽快调整国内的轨道交通建设现有土地使用立法。因此，笔者建议相关立法部门结合轨道交通建设投融资实际情况及时对现有法律作出调整和修订，或出台相应特殊立法和政策，以促成轨道交通投融资模式的多样化，有效推进我国轨道交通的建设和发展。
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Expansion of New Channels of Investment and Financing in Railway Projects in Mainland of China
Abstract:
From the point of view of the Lawyers who have legal experience in legal service for the Subway Concession projects, under the legal frame of the People’s Republic of China, the problems with the application of the “Subway+ Property” Concession mode of MTR Corporation Limited in Mainland China are analyzed and discussed and some suggestions of legislation and operation are provided.
Key Words:
Subway + Property Concession Legal Problems Right to the Use of Land
The Subway development mode in Hong Kong is usually called “Subway+ Property” mode, which can be simply explained as a way adopted by Hong Kong Subway Companies to develop the subway projects, the projects above the subway and other real estate projects along the subway line. One position among the high officials in Hong Kong Subway Companies is “property chief supervisor”, who is in charge of such property development as is conducted simultaneously with the construction of the subway in order to gain proceeds and compensate for the losses by the constructions and development of subway.
As one of the few subway companies which have won great proceeds, MTR Corporation Limited (MTR)has become a good example for its special investment and financing mode —“the Subway+ Property” mode. Due to “the Subway + Property” mode, MTR has powerful ability of investment and financing as a listing company on the market, and also has fruitful experience in subway development and property management, which make MTR the desired partner of many regional governments in the context of rapid progress of mass construction in city railway in Mainland China.
Until now, MTR has joined in the projects of Beijing Subway No.4 and Shenzhen Subway No.4 successfully, whereas the cooperation with subway projects in Hangzhou, Wuhan, Dongguan and the other cities is under negotiations. However, due to the differences in legal systems and land policies between Hong Kong and Mainland China, the application of Hong Kong “Subway+ Property” mode to Mainland China still has to be testified by practice. This Article is aimed at analyzing some problems which may arise when the Hong Kong mode is applied under the legal frame of Mainland China. More opinions from fellows in this field are welcomed and expected.
1. The relating legislation in Mainland China and the application of the “Subway + Property” concession mode .
1.1 The relating legislation on concession and the application of the “Subway + Property” mode
With the fast development of city railway transport constructions, the legislative practices in railway transport are flourishing. Currently, there are still no regulations on concession of railway transport projects made in laws or administrative regulations of the People’s Republic of China. The only statute named Administrative Measures on the Concession of Municipal Public Utilities was promulgated in 2004 by Ministry of Construction of the People’s Republic of China.
Under such situation that no uniform laws and administration regulations are promulgated in P.R.C, many local People’s Congress & governments have enacted relevant concession administration regulations and operation rules to regulate and guide the concession of municipal public utilities, such as in Beijing, Tianjin, Shenzhen, Xinjiang, Hunan, Shanxi, Guizhou etc..These administrative regulations and local statutes all stipulate such ways as bidding or other competition ways on basis of fairness (principles of market competition). to choose a concession.
1.2 The legislation on land and its application in connection with the “Subway +Property” mode.
State land is a valuable and non-renewable resource, which is strictly controlled by every country, and China is no exception. In China, the ownership of land belongs to the country, while the individuals or corporations just have the right to the use of land. The legislations on land administration relating to the “Subway +Property” mode include the Administration Law of State Land of the People’s Republic of China and the City Real Estate Administration Law of the People’s Republic of China. Besides those, there are two more important legal documents --Regulations of Assigning the Right to the Use of State-Owned Land Through Bidding, Auction and Listing (enacted on July 1st,2002) and Circular on Carrying on the Supervision of Assigning the Right to the Use of Land for Business Through Bidding, Auction and Listing(also named No.71 document), which was jointly promulgated by Ministry of Land and Resources and Ministry of Supervision of the People’s Republic of China on March 31st, 2004.
In the above regulations, what influence the operation of the “Subway +Property” mode (“The Mode”) most are the regulations on the obtaining of the right to the use of land, the pricing and using of the right to the use of land in “Property part”. As far as the application is concerned, since strengthening land management is our basic policy of land in recent years, although there are no relevant laws which strictly limit the way of obtaining the right to the use of land, the governments at different levels have issued relevant rules to restrict manners of assigning the right to the use of land—that is assigning land for business use through Bidding, Auction and Listing. Thereby, in the way of assigning the right to the use of land in practice, these rules and regulations, which embody the national policy tendency, are mainly used. But, in the fact，these rules and regulations have some conflicts with our effective high hierarchy laws and the administration regulations of P.R.C.
Article 12 of the Administration Law of City Real Estate of the People’s Republic of China, “Assigning the right to the use of land may adopt bidding, auction or mutual agreement. And Assign the right to the use of land for business, tourism, entertainment or luxurious residence must go through auction or bidding if conditioned; otherwise (if not conditioned) bidding, auction shall not be adopted, mutual agreement shall be adopted.” In Article 13 of Interim Regulations Concerning the Assignment and Transfer the Right to the Use of State-Owned Land In the Urban Areas, “Assigning the right to the use of land shall adopt the measure of mutual agreement, bidding or auction”. Therefore, bidding, auction or listing is not the only way for assigning the right to the use of land for business use. But Article 4 of the Regulations on Assigning the Right to the Use of State-Owned Land through Bidding, Auction and Listing, which stipulates that the assigning the right to the use of land for business must go through bidding, auction or listing, which is undoubtedly contradictory to the high hierarchy laws and administrative regulations. According to regular legislation procedures, the low hierarchy laws shall be established after the revision of the high hierarchy laws in order to guarantee the consistence of legislation. But, in fact, things are on the contrary. Many legal problems will arise if the legislation order is reversed, such as the effectiveness of the contract of assigning the right to the use of land through mutual agreements.
On the part of government, any direct person in charge or any other relevant person in charge who violates department regulations and assigns the right to the use of land for business through mutual agreements will get administrative penalty (Article 24 of the Regulations on Assigning the Right to the Use of State-Owned Land Through Bidding, Auction and Listing).However, the contract of selling right to the use of land through mutual agreements with the government as one party does not violate the relevant laws or administrative regulations, therefore the contract shall still be valid according to the law.
According to Article 3 of the Interpretations on the Applicable Law of Judging the Contract Disputes in Assigning the Right to the Use of State-Owned Land by Supreme People’s Court (coming into force from 1st August 2005), “Where, the assigning the right to the use of land is approved by the city or county people’s government, the price of assigning the right to the use of land is below the lowest price specified by law, the agreed price of assigning the right to the use of land in the contract hereof shall be invalid.” Thus it can be seen—as well as the price of assigning the right to the use of land is not below the price specified by law, and it has been approved by the government, the contract through mutual agreements shall be valid. In the mode of “Subway+ Property ”, as well as the government agrees to compensate for the losses of the subway construction and development by assigning the right to the use of land through agreements, the concession agreement and the contract of assigning the right to the use of land shall be valid. Therefore, on this issue, the investor ( the concessione) has few risk by law.
2. Legal Obstacles of “Subway + Property” in Mainland China
2.1 Restrictions on the way in assigning right to the use of land by law
The biggest obstacles of The Mode are The Regulations on Assigning the Right to the Use of State-own Land Through Bidding, Auction and Listing and the Circular on Carrying on the Supervision of Assigning the Right to the Use of Land for Business Through Bidding, Auction and Listing. According to Article 4 of the Regulations on Assigning the Right to the Use of State-own Land Through Bidding, Auction and Listing, since July the first,2002,all sorts of land for business use, such as for the uses of business, tourism, entertainment and commercial apartments, shall be transferred through bidding, auction or listing. However, as it is difficult to prohibit the phenomena of misusing the land for business use, the Ministry of Land and Resources and the Ministry of Supervision of People’s Republic of China jointly promulgated the Circular on Carrying on the Supervision of Assigning the Right to the Use of Land for Business Through Bidding, Auction and Listing on 31st March, 2004. It stipulates that, since August the 31st, 2004, all land for business use shall be transferred by public competition. Any transferring of land for business use through mutual agreements with the excuse of historical problems shall not be allowed. Therefore it is also called “August the 31st”major limit.
Under this circumstances, subway concession projects with land as a kind of compensation should go through bidding, auction and listing after “August the 31st”.If, the right to the use of land along the subway is transferred as an independent part through bidding, auction and listing, the subway companies may not gain the right to the use of land above the subway in the “Subway + Property” mode.
The aim of the above regulations is to ensure that the land supplying by governments will reflect market principles of openness, fairness and equality, will give full play to the market optimizing configuration of land resources, prevent and cure the malpractice and malversation in land lease in batches from the source. However, it is a pity that this regulation of Ministry of Land and Resources failed to give full consideration to the infrastructure development policy of National Development and Reform Commission, and the relating regulations of The Administrative Rules of City Public Affairs Concession enacted by Ministry of Construction of People’s Republic of China. Because there is a lack of consistency in making regulations by different departments of the government , investors ,who have gained concession right to public utilities projects and made proceeds or losses, failed to gain land compensations from the government, thus affecting the progress of subway projects. This “one size for all” policy, which allows no flexibilities, becomes the biggest obstacle of the successful practice of the “Subway + Property” Mode in the mainland China market. Although investors can gain the special authority from the State Council according to the Administration Law of State Land of thePeople’s Republic of China, it is rather difficult. Some investor tried to gain the special permission, but failed because of its difficulty. In fact, the State Council also feels awkward. If it gives special permission to one city, there is no reason that it denies another. And if each city tries to solve land compensations in this way, the above regulations of the two Ministries will become null and void. This sort of confusion among laws and regulations will not only damage the authority and solemnity of laws, but also affect the confidence of investors, especially foreign investors.
Therefore, we suggest that relevant departments shall give full consideration to the high hierarchy laws and regulations of other relating departments, and consult relating departments. In this way, the government will avoid the cut-in-even policy; make every possibility to achieve the consistency of high hierarchy and low hierarchy laws and regulations of the same level. In addition, the government should consider the specialty of the concession projects of minor profit or deficit public utilities, such as subway, make special stipulations on the manners on how to get the right to the use of land, so as to solve the land compensation problem which puzzles the government and investors home and abroad in a long time and ensure the successful implementation of Hong Kong “Subway + Property” Mode in mainland China.
2.2 Restrictions on Land Proceeds to Compensate for Subway
In “Subway + Property” Mode, calculation, compensation methods and compensation fees of losses of subway is a rather complex financial process. In practice, there are two methods of land proceeds acting as land compensations: one is subway project companies gain the right to the use of land and pay for the total amount of the assignment fee (or put off the payment under the government’s permission ), and then land proceeds and added value belong to the project companies. The other is that subway project companies only pay for part of the assignment fee and gain the right to the use of land, other assignment fees act as compensation for project companies, and land proceeds and added value also belong to the project companies. Of course, the government could assign the land along the subway to other developer and gives this land proceeds to the project companies. But under this circumstance, the companies of this project are not able to gain the proceeds of land price increase.
We believe that, it is feasible to take the first measure under this land policy in which business land can only be got through bidding, auction and listing, for the special permission by governments is not needed and there is no legal obstacles. But the second measure involves the return of assignment fee .According to regulations of restriction on use of assignment fee of Article 50 of Interim Regulations Concerning the Assignment and Transfer the Right to the Use of State-Owned Land and other relating regulations, the proceeds of assignment fee shall be recorded in the financial budget and managed as special funds, mainly used in urban construction and land development. Where the proceeds of assignment fee have been listed in the financial budget, the proceeds hereof shall be returned to the person who owns the right to the use of land, and shall gain the permission of the State Council. It is difficult to gain the special permission of the State Council when all cities have engaged in the railway projects. In fact, land compensation in urban subway development in some cities have met the above legal obstacles. Therefore, it is time to establish feasible legal protection system to compensate for the railway transportation with the land use right as proceeds. All levels of legislative authorities and relating government should pay special attention to this problem.
2.3 Along Subway Land Development Progress and Joint Construction
Whereas the along subway property development and subway construction have very close co-relationship in the respect of construction progress, joint construction, cost sharing, etc., all these need to be specifically provided in the contract in order to regulate each party ‘s rights and obligations in advance. The operation of Hong Kong Subway is using exactly the same mode. After obtaining the land alongside the subway, Hong Kong subway companies will look for partners to jointly develop the land. During the process of the joint land development, Hong Kong subway companies always hold the dominant position, participate in the whole land development process, including the selection of the main contract for real properties development, and even the control of the terms and conditions of the main construction contract. It is concluded that such mode is a very effective experience, and worth to be introduced to the mainland subway developer for reference. This mode, not only can ensure the construction progress of the subway, solve the joint construction of the subway construction and land development, but also can facilitate the early completion and operation of the real properties alongside the subway line, and use the profit of the property development to compensate for the subway operation, so as to realize the aspiration of using the land development to compensate for the losses of the subway construction and operation.
However, the laws and regulations in respect of the joint construction need to be improved. Although certain cities have promulgated some rules and policies in relation to the subway construction, for example, the Interim Administrative Rules on the Shenzhen Subway Construction and the Administrative Rules on Guangzhou Subway Construction etc., none of these rules have been related to joint construction and its relevant issues, such as, the property rights of underground land use right and railway stations upper space property. Currently, Tianjin has become the first city attempt to promulgate the relevant regulations in this regard. Tianjin is currently drafting the Administrative Rules on Tianjin Subway Facilities and Surrounding Buildings Joint Construction.
As currently we don’t know any laws or regulations in relation to the construction progress and joint construction, if the subway project involving alongside land development and joint construction of property and subway construction, esp. the property is solely developed by Subway Company or Subway Company jointly develop the land with other developer, the government shall set detail provisions and terms in the Licensing Agreement so as to avoid the relevant disputes which may impact the construction progress arising from the development progress. In lack of the laws and regulations, we suggest, under the assistance of the professional lawyers, the parties involved could consider to fully use the principle on freedom of contract, through contract negotiation and execution, clearly define the rights and obligations of the parties in the contract so as to protect the legal rights of each party and prevent or control the potential risks thereof.
3. Analysis on the way of Acquisition of the Right to the Use of Land alongside the Subway by Subway Company under current legal system of the land.
Under currently legal system of the land, how to legally acquire the right to the use of land to compensate for the subway project is the issue carefully concerned and actively discussed by government authorities, investors, experts and scholars. Based on the Authors’ experience in providing legal service for subway project, we set out following proposals for reference.
3.1 Binding Biding and Tendering
The binding biding and tendering method means to tie up two or more projects together for biding. This method has been adopted in practice for some Licensing Project on Stadium construction and operation. It is also attempted to be implemented to subway project. In respect of railway construction, we can use the following modes：To tie up the subway licensing project together with the alongside land development project for a single and uniform bidding. Under this method, the bidding documents will require the tenders have sufficient financing recourse and subway project construction and operation experience etc., and these conditions make common real estate developer could not win the bid, therefore, the real suitable subway investor could win the subway construction project and in the same time, acquire the land alongside the subway line by way of public auction.
3.2 The mode of contribution in the form of land use rights
According to the large appreciation of land in the future, some local governments bring forward the development mode under which the government contributes in the form of land use rights. Land use rights shall be appraised and contributed in the subway project company, which is established by the government and bidding winning investor. In this way, the subway project company may gain the right to the use of land directly. At the same time, the equity of the project company contributed by the right to the use of land can be held by a state-owned enterprise (such as the city infrastructure investment company) designated by the government, also can be held by the State-owned Assets Supervision and Administration Commission. In such operation, contribution in form of the right to the use of land shall be the condition for cooperation between government and investor, consequently, the tendering, listing and auction would not be required and the obtaining of the land use rights by the project company would be secured. Many factors, such as the form of government-owned equity, the investment proportion, the profit distribution etc., should be considered in line with the frame and structuring of the project company. Besides, in consideration of the fluctuation of value,of right to the use of land , the future increment of land value should be sufficiently considered in such mode. In one licensing project serviced by me, the project company legally acquired the land development right by adopting the said mode.
The preceding two development modes in respect of acquiring right to the use of land along subway is only for reference. Since each subway project is distinct with each other, the custom-made operation plan shall be made based on the mode of “Subway +Property” and the characteristic of each project.
It can be seen that the current land laws and policies have impeded the implementation of Hong Kong mode of “Subway +Property” in mainland China, and make the financing a lot more difficult when the capital for construction of the city train are extremely limited at present. Consequently, the construction of the city train has been slowed. At present time, the construction of city train, including subway is in need of huge investment, which is used for construction of the city train, far increasing demolishment and relocation costs, reimbursement to the owner of the land use rights granted located along the train lines, and on some occasions, capital for construction of the on-the-ground space on the subway station. Nevertheless, most developers of the city train are financed through loan from the bank, which can capitalize only the construction of city train, and even be insufficient for construction of the on-the-ground space, consequentially, cause the idleness of the on-the-ground space. From another aspect, the repayment of the loan cannot be realized merely from the toll fee income. Therefore, laws in respect of the land use right must be updated as soon as practicable, by doing so, we can use the Hong Kong mode, construct and maintain the train by train itself, and speedy the construction of city train by capitalization from the benefits and interests thereof.
In conclusion, I suggest updating and amending the present laws based on the practice in construction of city train, or promulgate the relevant legislation or policies, so as to diversify the investment and financing of the construction of city train, and facilitate the construction and development of the city train.
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CONTAINER HOUSE PROJECT集装箱项目翻译 |
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