本文選題：風(fēng)險(xiǎn)分擔(dān) + 不完全合同理論��； 參考：《天津理工大學(xué)》2015年碩士論文

【摘要】：合理的風(fēng)險(xiǎn)分擔(dān)對(duì)項(xiàng)目管理績效的促進(jìn)作用已經(jīng)在理論界與實(shí)務(wù)界得到共識(shí)。然而,工程實(shí)踐中的風(fēng)險(xiǎn)分擔(dān)仍存在著下列問題:(1)業(yè)主普遍認(rèn)為在讓承包商承擔(dān)風(fēng)險(xiǎn)的過程中,給予其相匹配的經(jīng)濟(jì)收益就能保證其風(fēng)險(xiǎn)承擔(dān)的積極性,卻忽視了風(fēng)險(xiǎn)分擔(dān)受風(fēng)險(xiǎn)承擔(dān)者行為因素——風(fēng)險(xiǎn)偏好的影響;(2)大多數(shù)實(shí)際工作者都認(rèn)為風(fēng)險(xiǎn)分擔(dān)就是在締約階段將風(fēng)險(xiǎn)一次分擔(dān)完備,而對(duì)由于工程項(xiàng)目合同不完全的原因而導(dǎo)致的項(xiàng)目執(zhí)行過程中風(fēng)險(xiǎn)分擔(dān)方案經(jīng)常需要調(diào)整這一現(xiàn)象卻較少考慮。上述問題的有效解決能夠促使項(xiàng)目中更加科學(xué)、合理的風(fēng)險(xiǎn)分擔(dān)的制定,對(duì)于減少我國建筑業(yè)由于發(fā)承包之間關(guān)于風(fēng)險(xiǎn)分擔(dān)問題產(chǎn)生的糾紛具有重要意義。本文在文獻(xiàn)研究的基礎(chǔ)上,將7個(gè)引起合同價(jià)格調(diào)整的風(fēng)險(xiǎn)界定為研究對(duì)象,在風(fēng)險(xiǎn)分擔(dān)方案的制定過程中,引入發(fā)承包雙方的風(fēng)險(xiǎn)偏好,并制定了對(duì)于上述風(fēng)險(xiǎn)分擔(dān)實(shí)施效率的保障制度,同時(shí),對(duì)于事后各類原因引起的風(fēng)險(xiǎn)分擔(dān)方案調(diào)整,確定了相對(duì)應(yīng)的適合調(diào)整機(jī)制。本文主要研究內(nèi)容包括以下三個(gè)方面:第一,在文獻(xiàn)研究的基礎(chǔ)上,確定了風(fēng)險(xiǎn)分擔(dān)指標(biāo)體系,運(yùn)用模糊集理論與TOPSIS技術(shù),開發(fā)了風(fēng)險(xiǎn)分擔(dān)定量模型,運(yùn)用模糊語義轉(zhuǎn)化技術(shù)將業(yè)主方的風(fēng)險(xiǎn)偏好加入到風(fēng)險(xiǎn)分擔(dān)方案進(jìn)行過程中。同時(shí),將本模型確定的各類風(fēng)險(xiǎn)的分擔(dān)比例與業(yè)主合同類型選擇建立了聯(lián)系。通過具體案例展示了該模型的計(jì)算流程,證實(shí)了模型的有效性,并對(duì)項(xiàng)目參與方不同風(fēng)險(xiǎn)偏好水平下的風(fēng)險(xiǎn)分擔(dān)方案進(jìn)行了對(duì)比,為業(yè)主風(fēng)險(xiǎn)分擔(dān)決策的制定提供建議。第二,提出發(fā)承包雙方可以在合同談判階段加入具有激勵(lì)性與約束性的條款保障風(fēng)險(xiǎn)分擔(dān)方案實(shí)施的效率。通過對(duì)業(yè)主單位與承包商單位的共計(jì)17人進(jìn)行訪談,收集了具有風(fēng)險(xiǎn)分擔(dān)效率保障作用的激勵(lì)性與約束性條款集。結(jié)果表明:(1)雙方可以在合同談判階段加入經(jīng)濟(jì)激勵(lì)類、基于承包商權(quán)利保障類的激勵(lì)性條款正向保障風(fēng)險(xiǎn)分擔(dān)的實(shí)施效率;(2)加入經(jīng)濟(jì)懲罰類、清晰界定合同內(nèi)容類的約束性條款反向保障風(fēng)險(xiǎn)分擔(dān)的實(shí)施效率。第三,通過對(duì)7個(gè)項(xiàng)目實(shí)施過程中發(fā)生風(fēng)險(xiǎn)分擔(dān)調(diào)整的案例進(jìn)行分析,識(shí)別了引起風(fēng)險(xiǎn)分擔(dān)方案調(diào)整的常見原因,分析了風(fēng)險(xiǎn)分擔(dān)的調(diào)整方式,建立了風(fēng)險(xiǎn)分擔(dān)調(diào)整的引起原因與調(diào)整方式之間的聯(lián)系,構(gòu)建了風(fēng)險(xiǎn)分擔(dān)調(diào)整策略。結(jié)果表明:(1)應(yīng)首先采用承包商提出主動(dòng)變更申請(qǐng)等方式避免受到狀態(tài)變化的損失;(2)狀態(tài)變化發(fā)生后,由于初始風(fēng)險(xiǎn)分擔(dān)方案不適用或初始風(fēng)險(xiǎn)分擔(dān)未規(guī)定導(dǎo)致風(fēng)險(xiǎn)分擔(dān)方案需要調(diào)整,可采用包括變更方式、補(bǔ)充協(xié)議方式、索賠方式等的再談判機(jī)制進(jìn)行調(diào)整;(3)初始風(fēng)險(xiǎn)分擔(dān)的規(guī)定不明確引起雙方爭議,可采用以協(xié)商和解為主的自我履行方式進(jìn)行調(diào)整;(4)運(yùn)用自我履約機(jī)制為未解決爭議后,可采用第三方履行機(jī)制進(jìn)行調(diào)整。研究成果將構(gòu)建嵌入雙方風(fēng)險(xiǎn)偏好的風(fēng)險(xiǎn)分擔(dān)定量模型,同時(shí)形成風(fēng)險(xiǎn)分擔(dān)效率保障制度策略集,從而形成更加科學(xué)與合理的風(fēng)險(xiǎn)分擔(dān)方案;并建立發(fā)承包雙方風(fēng)險(xiǎn)分擔(dān)調(diào)整策略,進(jìn)而有利于減少工程實(shí)際中由于風(fēng)險(xiǎn)分擔(dān)調(diào)整產(chǎn)生的糾紛。
[Abstract]:The role of reasonable risk sharing in the promotion of project management performance has been recognized in both the theoretical and practical circles. However, the following problems still exist in the risk sharing in engineering practice: (1) the owners generally believe that in the process of making the contractor undertake the risk, it can guarantee the enthusiasm of the risk taking by giving it a matched economic benefit. It is ignored that risk sharing is affected by risk bearer's behavior factor - risk preference; (2) most of the actual workers think risk sharing is to share the risk in a contracting stage, and the risk sharing scheme often needs to be adjusted in the process of project execution due to incomplete project contract. The effective solution of the above problems can lead to more scientific and reasonable risk sharing in the project, which is of great significance for reducing the disputes arising from the risk sharing between the construction industry in China. On the basis of literature research, this paper will bring 7 risk circles that can cause the contract price to be adjusted. As the research object, in the process of risk sharing scheme, the risk preference of the two parties is introduced, and the guarantee system for the efficiency of the risk sharing is formulated. At the same time, the corresponding adjustment mechanism is determined for the adjustment of the risk sharing scheme caused by various reasons. The main contents of this paper include the main contents of this paper. The next three aspects: first, on the basis of literature research, the risk sharing index system is determined. Fuzzy set theory and TOPSIS technology are used to develop the risk sharing quantitative model. The fuzzy semantic transformation technology is used to add the risk preference of the owner to the risk sharing scheme. At the same time, the risk of the model is determined. The share ratio has established the connection with the type selection of the owner's contract type. The calculation flow of the model is demonstrated through a specific case, the validity of the model is confirmed, and the risk sharing scheme under different risk preference levels of the project participants is compared, and the proposal for the establishment of the owner's risk sharing decision is provided. Second, the two sides of the contract are put forward. The efficiency of guaranteeing the implementation of the risk sharing scheme can be guaranteed by adding incentive and restrictive clauses at the stage of the contract negotiation. Through interviews with 17 people in the employer and contractor units, the incentive and restrictive terms of the risk sharing efficiency are collected. The results show that: (1) both parties can negotiate in the contract. At the stage of economic incentive, the incentive clause based on Contractor's rights guarantee is positive to guarantee the efficiency of risk sharing; (2) join the economic punishment category, clearly define the restrictive clauses of the contract content category and ensure the efficiency of risk sharing. Third, through the case of risk sharing adjustment in the implementation of the 7 projects An example is made to identify the common reasons for the adjustment of the risk sharing scheme, analyze the adjustment methods of risk sharing, establish the connection between the causes of the risk sharing and adjustment, and construct the risk sharing adjustment strategy. The results show that: (1) first, the contractor should put forward the active change application and so on. To the loss of state change; (2) after the change of state, since the initial risk sharing scheme is not applicable or the initial risk sharing does not lead to the need to adjust the risk sharing scheme, the re negotiation mechanism, including the mode of change, the mode of supplemental agreement, the way of claim, and so on, can be adjusted. (3) the provisions of the initial risk sharing are not clear. The dispute can be adjusted by the way of self fulfillment based on negotiation and reconciliation. (4) the implementation mechanism of the third party can be adjusted by the implementation mechanism of self compliance. The research results will build a quantitative model of risk sharing in the risk preference of both sides, and form a risk sharing efficiency guarantee system strategy set at the same time. A more scientific and reasonable risk sharing scheme is formed, and the risk sharing adjustment strategy of the two parties is set up, which will help to reduce the disputes arising from the risk sharing and adjustment in the engineering practice.

【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】：2015
【分類號(hào)】：TU723

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本文編號(hào)：1778367