工程总承包模式下的风险分担理论与实证研究
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摘要
工程总承包模式以其有效地缩短建设周期、降低工程造价、减少项目纠纷等优势而逐渐被国际工程建设领域所采用,并呈现快速增长的发展趋势。在工程总承包模式的应用过程中,业主与总承包商之间不能合理分担风险,是阻碍总承包项目资源优化甚至导致项目失败的重要原因。
本论文的研究目的是从项目整体绩效的角度,以风险管理理论和经济学理论为基础,结合工程总承包模式的主客体属性,建立一个合理的风险分担理论模型,以降低总承包项目的交易成本,避免或减少项目参与方的道德风险,为我国编制工程总承包合同范本提供理论参考。
本论文研究首先对工程项目风险管理理论和经济学领域的契约理论进行了分析,并选用契约理论中适合本论文研究的两个重要分支作为本论文研究的理论基础。其后,分别就工程总承包模式的客体属性(特征、项目环境、合同关系、合同类型)和主体属性(项目主体的风险态度)进行研究,建立工程项目的风险因素分类框架,并以风险理论和契约理论为基础,分析总承包模式下风险分担的基本原则。在此基础上建立工程总承包模式下风险分担的理论模型,并结合国际咨询工程师联合会出版的生产设备和设计-施工合同条件,以及我国石油建设领域的一个大型总承包项目对上述理论模型进行了实证分析。
The Design-Build and EPC/Turnkey prevail in the construction industry around the world for shorter period, lower construction cost and less disputes. The improper risk allocation between the client and the general contractor in Design-Build and EPC/Turnkey projects is the important reason for poor project resource optimization, even project failure.
Based on risk management theory and economics theory, this thesis aims to propose a proper risk allocation model from the perspective of the overall project performance.
First the basic theories were analyzed, which are the project risk management theory and contract theory in economics. The two important branches from the contract theory were selected. Then the objective attributes (characteristics, project context, contract relations, and contract types) and subjective attributes (project stakeholders’attitude against the risk) of Design-Build and EPC/Turnkey projects were studied and the risk factors classification framework was established. With this framework, risk allocation principles in Design-Build and EPC/Turnkey projects are analyzed based on risk and contract theory. Then the theoretical model of risk allocation in Design-Build and EPC/Turnkey projects is put forward. With the reference of Conditions of Contract for Plant and Design-Build issued by FIDIC and a large Design-Build petroleum project, the model is analyzed.
本论文的研究目的是从项目整体绩效的角度,以风险管理理论和经济学理论为基础,结合工程总承包模式的主客体属性,建立一个合理的风险分担理论模型,以降低总承包项目的交易成本,避免或减少项目参与方的道德风险,为我国编制工程总承包合同范本提供理论参考。
本论文研究首先对工程项目风险管理理论和经济学领域的契约理论进行了分析,并选用契约理论中适合本论文研究的两个重要分支作为本论文研究的理论基础。其后,分别就工程总承包模式的客体属性(特征、项目环境、合同关系、合同类型)和主体属性(项目主体的风险态度)进行研究,建立工程项目的风险因素分类框架,并以风险理论和契约理论为基础,分析总承包模式下风险分担的基本原则。在此基础上建立工程总承包模式下风险分担的理论模型,并结合国际咨询工程师联合会出版的生产设备和设计-施工合同条件,以及我国石油建设领域的一个大型总承包项目对上述理论模型进行了实证分析。
The Design-Build and EPC/Turnkey prevail in the construction industry around the world for shorter period, lower construction cost and less disputes. The improper risk allocation between the client and the general contractor in Design-Build and EPC/Turnkey projects is the important reason for poor project resource optimization, even project failure.
Based on risk management theory and economics theory, this thesis aims to propose a proper risk allocation model from the perspective of the overall project performance.
First the basic theories were analyzed, which are the project risk management theory and contract theory in economics. The two important branches from the contract theory were selected. Then the objective attributes (characteristics, project context, contract relations, and contract types) and subjective attributes (project stakeholders’attitude against the risk) of Design-Build and EPC/Turnkey projects were studied and the risk factors classification framework was established. With this framework, risk allocation principles in Design-Build and EPC/Turnkey projects are analyzed based on risk and contract theory. Then the theoretical model of risk allocation in Design-Build and EPC/Turnkey projects is put forward. With the reference of Conditions of Contract for Plant and Design-Build issued by FIDIC and a large Design-Build petroleum project, the model is analyzed.
引文
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[8] HBE, Design-Build Continues to Grow in Popularity. Blueprint. Vol.1, No.1, 2001
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[12] 王宁 逄宗展 张秀东,美国加拿大工程公司开展工程总承包和项目管理的考察报告,工程建设项目管理与总承包,2003, Vol.12, No.2
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[57] 张水波 何伯森,工程建设“设计-建造”总承包模式的国际前沿研究,土木工程学报,2003, Vol.36 (3)
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[2] T.R. Twomey, Understanding the Legal Aspects of Design-Build, R.S. Means Co., Kingston, Mass,1989
[3] Keith R. Molenaar Anthony D. Songer Mouji Barash, Public-Sector Design-Build Evolution and Performance, Journal of Management in Engineering, 1999.3
[4] FIDIC, Conditions of Contract for Plant, Design and Build Projects, Federation of International Consulting Engineers, 1999
[5] 建设部,关于培育发展工程总承包和工程项目管理企业的指导意见,工程建设项目管理与总承包,2003 Vol.12(2)
[6] K.H. Natkin, Legal Aspects of Design-Build, Arch: The AIA 83(9)
[7] Anthony D. Songer Keith R. Molenaar, Selecting Design-Build: Public and Private Sector Owner Attitudes, Journal of Management in Engineering, 1996.11
[8] HBE, Design-Build Continues to Grow in Popularity. Blueprint. Vol.1, No.1, 2001
[9] Design-Build Around the World, HANSCOMB Means Report, ICI (International Construction Intelligence),1997
[10] Jack Rizzo, Design-Build Alternative: A Contracting Method, Journal of Management in Engineering,1998.11
[11] C.M. Tam, Design an Build on a Complicated Redevelopment Project in Hong Kong: The Happy Valley Racecourse Redevelopment, International Journal of Project Management 18 (2000)
[12] 王宁 逄宗展 张秀东,美国加拿大工程公司开展工程总承包和项目管理的考察报告,工程建设项目管理与总承包,2003, Vol.12, No.2
[13] 王早生 符曜伟 逄宗展等,关于当前工程总承包工作的调研报告,建筑经济,2004.8:P5-P9
[14] Chotchai Charoenngam, Contractual Risk and Liability Sharing in Hydropower Construction, International Journal of Project Management, Vol.17, No.1, 1999
[15] J.K. Yates, Use of Design-Build in E/C Industry, Journal of Management in Engineering, 1999.11
[16] Mark Konchar Victor Sanvido, Comparison of U.S. Project Delivery Systems, Journal of Construction Engineering and Management, Vol.124, No.6, 1998: P435-444
[17] Ahmet Oztas ?nder Okmen, Risk Analysis in Fixed-Price Design-Build Construction Projects, Building and Environment 39,2004: P229-237
[18] 王家远 刘春乐,建设项目风险管理,北京:中国水利水电出版社,知识产权出版社,2004.8
[19] 成虎,工程项目管理(第二版),北京:中国建筑工业出版社,2001
[20] Project Management Institute, A Guide to the Project Management Body of Knowledge, USA:Project Management Institute,2000
[21] [英]克里斯·查普曼 斯蒂芬·沃德,项目风险管理-过程、技术和洞察力(李兆玉等译),北京:电子工业出版社,2003.5
[22] 雷胜强,国际工程风险管理与保险(第二版),中国建筑工业出版社,北京,2002.12
[23] [美] 斯蒂芬·P·罗宾斯,组织行为学(第 7 版)(孙建敏 李原等译),北京:中国人民大学出版社,1997.12
[24] A Guide to the Project Management Body of Knowledge (Third Edition), Project Management Institute, USA, 2004
[25] 戚安邦,项目管理十大风险,北京:中国经济出版社,2004.1
[26] Toole Michael, “Uncertainty and Home Builders” Adoption of Technological Innovations Journal, Journal of Construction Engineering and Management, 1998, Vol.124 (4)
[27] 何国瑞,工程项目风险及其管理,工程建设管理与总承包,2002,Vol.11(2)P38～39
[28] 张泽平 张洪 党迎福,工程项目风险程度及保险费的数学方法确定与论证,太原理工大学学报,1999.3
[29] Martin Th. Van Staveren Ton J.M. Peters, Matching Monitoring, Risk Allocation and Geotechnical Baseline Reports, Springer-Verlag Berlin Heidelberg,2004
[30] 郭振华 熊华 苏燕,工程项目保险,北京:经济科学出版社,2004.8
[31] 张缨,信任、契约及其规制:博士学位论文,中国社会科学院研究生院,2001.5
[32] 李仁玉 刘凯湘,契约观念与秩序创新,北京:北京大学出版社,1993,P78
[33] 易宪容,合约、制度与经济成长(上),辽宁大学学报,1997(4)
[34] 成思危,科技风险投资论文集,北京:民主与建设出版社,1997
[35] Brousseau, E. & J. M. Glachant, The Economics of Contracts-Theories and Applications, Cambridge University Press, 2002
[36] 苏启林,契约理论的争论与整合,经济学动态,2004(9):P75-77
[37] 陈金贤 张家恩,研究中国经济信用问题的一种思路——从现代契约理论角度进行的思考,西安交通大学学报(社科版),2001(2)
[38]S. Grossman & O. Hart, The Costs and Benefits of Ownership: A Theory of Vertical and Lateral Integration, Journal of Political Economy 94, 1986
[39] [美]斯蒂格利茨,经济学(上册),北京:中国人民大学出版社,1997,P10
[40] 徐雷,论中国制度经济学派的兴起,生产力研究,1998(1):P4-5
[41] 诺斯,交易成本、制度和经济史,经济译文,1994.2
[42] 刘霞,伦理道德与交易成本:硕士学位论文,湖南师范大学,2002
[43] 胡乐明,“交易“范畴的演化—从康芒斯到威廉姆森,山东财政学院学报,2001(1)
[44] 袁庆明 刘洋,威廉姆森交易成本决定因素理论评析,财经理论与实践,2004.9
[45] Oliver E. Williamson, Contract Analysis: The Transaction cost Approach, The Economics Approach to Law, 1981
[46] 高核 徐渝,从交易费用和契约看新制度经济学研究范式,思想战线,2003(5)
[47] 张维迎,博弈论与信息经济学,上海:上海三联书店上海人民出版社,2004.11
[48] [美]科斯,生产的制度结构,上海:上海三联书店,1994,P55-57
[49] [美]科斯,财产权利与制度变迁,上海:上海三联书店,1994,P20
[50] Oliver E. Williamson, Transaction Cost Economic, New York: Free Press, 1995
[51] 张五常,卖桔者言,香港信报,1985
[52] 张五常,中国的前途,香港信报,1988
[53] 谢康,信息经济学原理,长沙:中南工业大学出版社,1998
[54] A. Dixit, Power of Incentives in Private versus Public Organizations, American Economic Review 87, 1997
[55] An Introduction to Design-Build, DBIA, Washington.D.C, 1994
[56] 张水波 赵珊珊 高原,国际工程总承包商的选择原则与程序,中国港湾建设,2004.8
[57] 张水波 何伯森,工程建设“设计-建造”总承包模式的国际前沿研究,土木工程学报,2003, Vol.36 (3)
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