【摘要】：工程變更為建設(shè)項(xiàng)目帶來(lái)了一系列的負(fù)面效果,包括投資失控,工期延長(zhǎng),發(fā)承包雙方糾紛不斷等。部分研究者從提高項(xiàng)目績(jī)效的角度出發(fā),指出柔性是一種應(yīng)對(duì)工程項(xiàng)目潛在變化的能力。向合同注入柔性可靈活地應(yīng)對(duì)項(xiàng)目實(shí)施過(guò)程中出現(xiàn)的不確定事件,控制工程進(jìn)度與工程成本。但在實(shí)踐中同時(shí)存在著合同柔性的決策悖論。即若發(fā)包人采用柔性合同,則變相允許了承包人的后契約機(jī)會(huì)主義行為。若發(fā)包人不采用柔性合同,則容易導(dǎo)致項(xiàng)目應(yīng)對(duì)或然事件的靈活性變差。鑒于此,本文從合同履約效率的角度出發(fā),探索了工程變更條款的適度柔性問(wèn)題。本文主要包括以下研究?jī)?nèi)容。首先,本文利用文獻(xiàn)勾選法將工程變更解構(gòu)為工程變更控制權(quán)和工程變更價(jià)款調(diào)整兩部分。隨后分別分析現(xiàn)行的合同范本與深圳地鐵5號(hào)線及北京地鐵4號(hào)線兩大實(shí)際案例,總結(jié)歸納出工程變更控制權(quán)類的條款包括工程變更的提出、工程變更事項(xiàng)和價(jià)款的審批、工程變更價(jià)款支付時(shí)間,工程變更價(jià)款調(diào)整類條款包括工程量偏差引起綜合單價(jià)改變的比例、合理化建議的審批和收益共享獎(jiǎng)勵(lì)系數(shù)、風(fēng)險(xiǎn)包干范圍幾大類。其次,本文運(yùn)用扎根理論的研究方法,以承包人機(jī)會(huì)主義行為、字面履約行為和完美履約行為分別表征合同履約效率的低、中、高,構(gòu)建了工程變更條款影響履約效率的模型。得出變更審批類條款剛性設(shè)計(jì)可降低承包人機(jī)會(huì)主義行為,轉(zhuǎn)而實(shí)施字面履約行為甚至完美履約行為;變更價(jià)款類條款柔性設(shè)計(jì)可促進(jìn)承包人由實(shí)施字面履約行為轉(zhuǎn)而實(shí)施完美履約行為,從而提高合同履約效率。最后,本文嵌入合同狀態(tài)理論,得出合同狀態(tài)改變類條款柔性設(shè)計(jì)、合同狀態(tài)不變類條款剛性設(shè)計(jì)、剛性條款保證柔性條款執(zhí)行的三個(gè)變更條款設(shè)計(jì)原則以及適當(dāng)柔性的工程變更條款設(shè)計(jì)建議。本研究從合同柔性的視角,回歸工程變更條款,引入承包人行為評(píng)價(jià)合同履約效率,系統(tǒng)探討了合同履約效率最大化標(biāo)準(zhǔn)下的工程變更適當(dāng)柔性條款的設(shè)置問(wèn)題。這對(duì)減少發(fā)承包雙方工程變更糾紛,促進(jìn)雙方合作行為具有一定的指導(dǎo)意義。
[Abstract]:The project change has brought a series of negative effects to the construction project, including out of control of investment, extension of construction period, disputes between the two parties. From the point of view of improving project performance, some researchers point out that flexibility is a kind of ability to cope with the potential changes of engineering projects. Infusing flexibility into the contract can flexibly deal with the uncertain events that occur during the implementation of the project and control the progress and cost of the project. However, in practice, there is a decision paradox of contract flexibility at the same time. That is, if the contractor adopts the flexible contract, then the contractor's post-contract opportunism behavior is allowed in disguise. If the contractor does not adopt the flexible contract, the flexibility of the project to deal with the contingency will become worse. In view of this, this paper explores the moderate flexibility of the project change clause from the point of view of contract performance efficiency. This paper mainly includes the following research contents. Firstly, this paper deconstructs the engineering change into two parts: the control right of engineering change and the adjustment of project change price. Then it analyzes the existing contract model, Shenzhen Metro Line 5 and Beijing Metro Line 4 respectively, and summarizes the items of control right of project change, including the proposal of project change, the item of project change and the examination and approval of price. The payment time of the project change price, the adjustment clause of the project change price includes the proportion of the comprehensive unit price change caused by the deviation of the project quantity, the examination and approval coefficient of the rationalization proposal and the reward coefficient of the income sharing, and the scope of the risk contract. Secondly, this paper uses the research method of rooted theory to characterize the low, medium and high performance efficiency of the contract by the opportunistic behavior of the contractor, the literal performance behavior and the perfect performance behavior, respectively, and constructs the model that the project change clause affects the performance efficiency. It is concluded that the rigid design of the examination and approval clause can reduce the opportunistic behavior of the contractor and implement the literal performance behavior or even the perfect performance behavior. The flexible design of changing the price clause can promote the contractor to perform the contract from the literal performance to the perfect performance, thus improving the performance efficiency of the contract. Finally, this paper embed the theory of contract state, and obtained flexible design of contract state change clause, rigid design of contract state invariant clause, Rigid clauses guarantee the implementation of flexible clauses three change clause design principles and appropriate flexible engineering change clause design recommendations. From the point of view of contract flexibility, this study returns to the project change clause, introduces contractor behavior to evaluate the contract performance efficiency, and systematically discusses the setting of the appropriate flexible clause of engineering change under the maximization standard of contract performance efficiency. It has certain guiding significance to reduce the disputes of project change and to promote the cooperative behavior of both parties.
【學(xué)位授予單位】：天津理工大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：D923.6

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