水利工程项目招标中业主风险分析与应对
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摘要
水利项目,社会和经济效益显著,但投资大、工期长、结构复杂,影响其建设及经济效益的不确定性因素很多,使水利工程项目的建设存在着较大的风险。随着我国项目法人责任制的实施,本着“谁投资,谁受益,谁承担风险”的原则,以往由国家独自承担的水利建设项目中的风险转移到水利工程项目法人(业主单位)身上,而业主方的主要风险是在立项决策阶段,立项以后,其风险主要集中在招标阶段。
目前,招标阶段的风险并没有引起我国业主足够的重视。本文根据水利工程项目业主在招标过程中的主要工作及内容,结合水利工程的招标实践,详细讨论了业主在招标过程中可能面临的主要风险和应对措施。编制招标文件的风险主要包括:发包方式合理选择、工程量清单编制质量、材料设备的采购方式、业主对工程的质量和工期要求、保函或保证金、索赔等。在确定招标方式时,应分析项目特点和业主的专业管理水平,合理选择招标方式,降低招标方式的风险。采取资格预审,排除不合格承包商和评价标准的合理确定以加强竞争。本文认为最低价中标法关键在于确定投标人报价是否低于“企业的个别成本价”,采用分析承包商的报价和让利真实性来预防,并且把合同实施中的不确定性尽可能地在业主和承包商之间进行合理地划分。
本文重点分析了工程量清单报价下的承包商不平衡报价。通过分析引起不平衡产生的原因和常见的表现类型,得到产生不平衡报价的两个因素:资金时间价值因素和工程量、分项工程的变化因素。根据对这两个因素的计算,建立了业主的不平衡报价损失模型,并用具体的实例对模型进行了验证。在基础层次分析不平衡报价可能性上,得到不平衡报价的应对措施。
本研究结果对业主在招标过程中减少业主损失有一定的指导意义。
The Water Conservancy Project has conspicuous society and economic effect, but it has the characteristic of high investment, long construction period and complicate structures. There are many indefinite factors that they have impact on the construction and the economic effect. So there are much risk exist in the construction of the project. As China's water conservancy construction management system reform, the implementation of the project legal person responsibility system, the spirit of "who invests, benefits, who bears the risk" principle, in the past by the state to bear alone the construction of water conservancy projects, the risk has been transferred to corporate water project (unit owners) risk. The main risk to the owners are the decision-making at the project stage, in the project, the water project the risk of the owner at the tender stage.
At present, the owners did not pay sufficient attention to the risk of the tendering stage in our country. In this paper, water project owners in accordance with the bidding process and content of the major work, combined with the practice of hydraulic engineering of the tender, it discusses detailly that the owners may face major risks and response measures in the tender process. The risk of the preparation of tender documents include: a reasonable choice of contracting methods, BOQ preparation of quality, materials and equipment procurement method, the owner of the project quality and project requirements, guarantee or bond, and other claims. In determining the tender, it should analyze the characteristics and the owners of the professional management level, a reasonable choice of tender can reduce the risk of tender. Pre-qualification to take to remove unqualified contractors and evaluation criteria to determine the reasonable to enhance competition. This paper holds the key to the lowest successful method is to determine whether the bidders bid less than the "cost of individual enterprises," the use of analysis of the offers and let the contractor to it can be prevented by analysising of the offers、authenticity and as much as possible demarcation the uncertainty between the owners and contractors a reasonable in the implementation of the contrac
This paper analyzes the pricing of BOQ Price contractors imbalance. By analyzing the causes of the imbalance caused by and the common performance type, two factors of unbalanced offer was obtained: time value of money and projects to changes in sub-factors engineering. According to the calculation of these two factors, the loss imbalance pricing of the owners model established, and specific examples of the model is validated. Analysising of the possibility of imbalance quoted price in the basic-level, response measured of the imbalance quoted price was obtained.
The results of this study in the tendering process to reduce the loss have a certain significance for the owners.
目前,招标阶段的风险并没有引起我国业主足够的重视。本文根据水利工程项目业主在招标过程中的主要工作及内容,结合水利工程的招标实践,详细讨论了业主在招标过程中可能面临的主要风险和应对措施。编制招标文件的风险主要包括:发包方式合理选择、工程量清单编制质量、材料设备的采购方式、业主对工程的质量和工期要求、保函或保证金、索赔等。在确定招标方式时,应分析项目特点和业主的专业管理水平,合理选择招标方式,降低招标方式的风险。采取资格预审,排除不合格承包商和评价标准的合理确定以加强竞争。本文认为最低价中标法关键在于确定投标人报价是否低于“企业的个别成本价”,采用分析承包商的报价和让利真实性来预防,并且把合同实施中的不确定性尽可能地在业主和承包商之间进行合理地划分。
本文重点分析了工程量清单报价下的承包商不平衡报价。通过分析引起不平衡产生的原因和常见的表现类型,得到产生不平衡报价的两个因素:资金时间价值因素和工程量、分项工程的变化因素。根据对这两个因素的计算,建立了业主的不平衡报价损失模型,并用具体的实例对模型进行了验证。在基础层次分析不平衡报价可能性上,得到不平衡报价的应对措施。
本研究结果对业主在招标过程中减少业主损失有一定的指导意义。
The Water Conservancy Project has conspicuous society and economic effect, but it has the characteristic of high investment, long construction period and complicate structures. There are many indefinite factors that they have impact on the construction and the economic effect. So there are much risk exist in the construction of the project. As China's water conservancy construction management system reform, the implementation of the project legal person responsibility system, the spirit of "who invests, benefits, who bears the risk" principle, in the past by the state to bear alone the construction of water conservancy projects, the risk has been transferred to corporate water project (unit owners) risk. The main risk to the owners are the decision-making at the project stage, in the project, the water project the risk of the owner at the tender stage.
At present, the owners did not pay sufficient attention to the risk of the tendering stage in our country. In this paper, water project owners in accordance with the bidding process and content of the major work, combined with the practice of hydraulic engineering of the tender, it discusses detailly that the owners may face major risks and response measures in the tender process. The risk of the preparation of tender documents include: a reasonable choice of contracting methods, BOQ preparation of quality, materials and equipment procurement method, the owner of the project quality and project requirements, guarantee or bond, and other claims. In determining the tender, it should analyze the characteristics and the owners of the professional management level, a reasonable choice of tender can reduce the risk of tender. Pre-qualification to take to remove unqualified contractors and evaluation criteria to determine the reasonable to enhance competition. This paper holds the key to the lowest successful method is to determine whether the bidders bid less than the "cost of individual enterprises," the use of analysis of the offers and let the contractor to it can be prevented by analysising of the offers、authenticity and as much as possible demarcation the uncertainty between the owners and contractors a reasonable in the implementation of the contrac
This paper analyzes the pricing of BOQ Price contractors imbalance. By analyzing the causes of the imbalance caused by and the common performance type, two factors of unbalanced offer was obtained: time value of money and projects to changes in sub-factors engineering. According to the calculation of these two factors, the loss imbalance pricing of the owners model established, and specific examples of the model is validated. Analysising of the possibility of imbalance quoted price in the basic-level, response measured of the imbalance quoted price was obtained.
The results of this study in the tendering process to reduce the loss have a certain significance for the owners.
引文
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2.袁湘华.水电建设工程招投标相关问题研究研.昆明:昆明理工大学2007
3.卢有杰,卢家仪.项目风险管理[M].北京:清华大学出版社.1998,7.
4.万俊,邓蓉晖.工程施工招投标中业主风险的分析与防范[J].建筑经济,(3),2001:34-36.
5.张翔.工程项目业主风险之分析与控制[J].建设监理.(6),1999,:43-45.
6.张双甜,唐小丽,张笑楠.NEC合同风险管理分析[J].郑州轻工业学院学报,(3),2002:52-54.
7.张淙皎,王立,孙国勋.水利工程业主风险管理系统模型[J].华北水利水电学院学报,22(4),2001:63-66.
8.张曙红,张金隆,鲍玉昆.一种基于粗糙集理论的工程项目招标风险分析方法研究.科技进步与对策[J].(10),2004:144-146
9.李强.论业主工程造价管理中的不平衡报价控制[J].山西建筑,28(30),2003:266-267
10.刘建民,李惠民.不平衡报价的识别及风险防范.建筑经济[J].(2),2004:64-67
11.陈瑜,陈金华,夏光明等.工程量清单计价模式中不平衡报价模型研究[J].武汉理工大学学报,12(27),2005:118-120
12.蔡青.水利工程建设管理中的风险管理问题[J].东北水利水电,2007:65-66.
13.周庆文,李慧民.水利工程建设项目全面风险管理探讨[J].管理科学,2006:32-33
14.罗吉·弗兰根,乔治·诺曼.工程建设风险管理[M].李世蓉,徐波译,北京:中国建筑工业出版社,2000.
15.成虎.工程项目管理.北京:中国建筑工业出版社.1997
16.张莹.我国招标投标的理论与实践研究[D].杭州:浙江大学.2002:35-39
17.王诚.竞争策略与风险管理[M].北京:商务印书馆,1997.
18.赵曙明,杨忠.国际企业风险管理[M].南京:南京大学出版社,1998.12.
19.R.Max Wideman.Project and Management Institute[J].USA Program Risk Management,1992:23-25
20.J.Raftery.Risk Analysis in Project Management[M].An Imprint of Chapman&Hall,London.1994:18-20
21.邱菀华.现代项目风险管理方法与实践[M].北京:科学出版社.2003.
22.天津大学经济管理学院,三峡工程经济风险分析及对策研究[M].[研究报告].1995.
23.石晓军,任志安.项目投资风险分析方法研究:一种基于影响图的解析方法[J]系统工程理论与实践.2000:16-19
24.冯俊文.决策分析的评价网络理论[J].系统工程理论方法应用,1999:15-21.
25.J.Bowers,Data for Project Risk Analysis.Project[J].Management,V 12(1),94:9-16.
26.王丽萍,傅湘.洪灾风险及经济分析[M].武汉:武汉水利电力大学出版社.1999.
27.曹丰.建设项目施工招投标及量化管理[D].郑州:郑州大学.2002:28-35
28.徐国强.论最低价中标法与我国的建筑市场环境[J].建筑经济,(249),2003:35-36.
29.张辉.建筑工程施工招标工作研究[D].西安:西安建筑科技大学.2004:36-39
30.王亚军.浅谈资格预审中存在的问题与对策[J].技术经济与管理研究,(2),2003:90
31.M.Sonmez,GD.Holt,J.B.Yang,G.Graham,Applying Evidential Reasoning to Prequalifying.Construction.Contractors[J].Journal.of.Managernent.in.Engineerin .July2002:21-23
32.D.K.H.Chua,D.Li,Key Factor In Bid Reasoning Model,Journal of Construction[J]Engineer And Management,October 2000:25-29
33.刘小强等.制订适宜评标办法是确保择优选择承包商的关键[J].建筑技术,Vol.34,No.2,2004:139--141.
34.何书敏.工程项目评标办法的合理化与规范化[J].福建建筑,3(64),1993:72-74.
35.赵宏,郭亚军,戴震青.工程项目评标方法的改进[J].建筑经济,10(204),1999:20-21.
36.赵夫国.最低价评标法若干问题探析[J].宁波大学学报(理工版),2002.6: 31-34.
37.吴福良,席酉民.中国建筑工程招标应用最低价中标法的问题及对策[J].建筑经济,2001.9:28-31.
38.高郑.对建设工程招投标中围标问题的思考[J].中国招标,2004:23-24。
39.周其明,任宏.“围标”经济行为分析[J].土木工程学报38(7),2005:127-130
40.卢谦.建设工程招标投标与合同管理[M].北京:中国水利水电出版社,2001.
41.王俊安.招标投标与合同管理[M].北京:中国建材工业出版社,2002.
42.Luis.F.Alarcon,Claudio.Mourgues,Performance.Modeling.For.Contracto r Selection[J].Journal of Management in Engineering,April,2002:17-20
43.赖风葵.浅谈工程造价控制过程中的不平衡报价及其对策[J].广东土木与建筑2003.9:41-42.
44.张晋虎.剖析招投标中的不平衡报价策略[J].科技情报开发与经济,2003.9:67-69.
45.乌云娜,郝越明.不平衡报价的量化分新及防范[J].建筑经济,7,2007:62-64.
46.白明,刘志伟.FIDIC合同条件下不平衡报价的规划模型[J].辽宁石油化工大学学报,2004.12:83-85.
47.李建峰,熊清源,罗建国等.不平衡报价模式及其防范对策研究[J].四川建筑科学研究,1(32),2006:539-541.
48.侯端勤,王耸.在工程量清单计价模式下业主如何防范和控制不平衡报价[J].建筑与预算,3,2007:36-41
49.北京广联达慧中软件技术有限公司工程量清单专家顾问委员会,工程量清单的编制与投标报价[M].北京:中国建材工业出版社,2003.
50.王祖志,李雪淋.不平衡报价投标的策略与风险[J].水运工程,1,2004:40-41.
51.高银峰,马志明,胡远新等.工程量清单计价模式下业主应对不平衡报价的策略研究[J].建筑技术开发,2007,8:77-78.
2.袁湘华.水电建设工程招投标相关问题研究研.昆明:昆明理工大学2007
3.卢有杰,卢家仪.项目风险管理[M].北京:清华大学出版社.1998,7.
4.万俊,邓蓉晖.工程施工招投标中业主风险的分析与防范[J].建筑经济,(3),2001:34-36.
5.张翔.工程项目业主风险之分析与控制[J].建设监理.(6),1999,:43-45.
6.张双甜,唐小丽,张笑楠.NEC合同风险管理分析[J].郑州轻工业学院学报,(3),2002:52-54.
7.张淙皎,王立,孙国勋.水利工程业主风险管理系统模型[J].华北水利水电学院学报,22(4),2001:63-66.
8.张曙红,张金隆,鲍玉昆.一种基于粗糙集理论的工程项目招标风险分析方法研究.科技进步与对策[J].(10),2004:144-146
9.李强.论业主工程造价管理中的不平衡报价控制[J].山西建筑,28(30),2003:266-267
10.刘建民,李惠民.不平衡报价的识别及风险防范.建筑经济[J].(2),2004:64-67
11.陈瑜,陈金华,夏光明等.工程量清单计价模式中不平衡报价模型研究[J].武汉理工大学学报,12(27),2005:118-120
12.蔡青.水利工程建设管理中的风险管理问题[J].东北水利水电,2007:65-66.
13.周庆文,李慧民.水利工程建设项目全面风险管理探讨[J].管理科学,2006:32-33
14.罗吉·弗兰根,乔治·诺曼.工程建设风险管理[M].李世蓉,徐波译,北京:中国建筑工业出版社,2000.
15.成虎.工程项目管理.北京:中国建筑工业出版社.1997
16.张莹.我国招标投标的理论与实践研究[D].杭州:浙江大学.2002:35-39
17.王诚.竞争策略与风险管理[M].北京:商务印书馆,1997.
18.赵曙明,杨忠.国际企业风险管理[M].南京:南京大学出版社,1998.12.
19.R.Max Wideman.Project and Management Institute[J].USA Program Risk Management,1992:23-25
20.J.Raftery.Risk Analysis in Project Management[M].An Imprint of Chapman&Hall,London.1994:18-20
21.邱菀华.现代项目风险管理方法与实践[M].北京:科学出版社.2003.
22.天津大学经济管理学院,三峡工程经济风险分析及对策研究[M].[研究报告].1995.
23.石晓军,任志安.项目投资风险分析方法研究:一种基于影响图的解析方法[J]系统工程理论与实践.2000:16-19
24.冯俊文.决策分析的评价网络理论[J].系统工程理论方法应用,1999:15-21.
25.J.Bowers,Data for Project Risk Analysis.Project[J].Management,V 12(1),94:9-16.
26.王丽萍,傅湘.洪灾风险及经济分析[M].武汉:武汉水利电力大学出版社.1999.
27.曹丰.建设项目施工招投标及量化管理[D].郑州:郑州大学.2002:28-35
28.徐国强.论最低价中标法与我国的建筑市场环境[J].建筑经济,(249),2003:35-36.
29.张辉.建筑工程施工招标工作研究[D].西安:西安建筑科技大学.2004:36-39
30.王亚军.浅谈资格预审中存在的问题与对策[J].技术经济与管理研究,(2),2003:90
31.M.Sonmez,GD.Holt,J.B.Yang,G.Graham,Applying Evidential Reasoning to Prequalifying.Construction.Contractors[J].Journal.of.Managernent.in.Engineerin .July2002:21-23
32.D.K.H.Chua,D.Li,Key Factor In Bid Reasoning Model,Journal of Construction[J]Engineer And Management,October 2000:25-29
33.刘小强等.制订适宜评标办法是确保择优选择承包商的关键[J].建筑技术,Vol.34,No.2,2004:139--141.
34.何书敏.工程项目评标办法的合理化与规范化[J].福建建筑,3(64),1993:72-74.
35.赵宏,郭亚军,戴震青.工程项目评标方法的改进[J].建筑经济,10(204),1999:20-21.
36.赵夫国.最低价评标法若干问题探析[J].宁波大学学报(理工版),2002.6: 31-34.
37.吴福良,席酉民.中国建筑工程招标应用最低价中标法的问题及对策[J].建筑经济,2001.9:28-31.
38.高郑.对建设工程招投标中围标问题的思考[J].中国招标,2004:23-24。
39.周其明,任宏.“围标”经济行为分析[J].土木工程学报38(7),2005:127-130
40.卢谦.建设工程招标投标与合同管理[M].北京:中国水利水电出版社,2001.
41.王俊安.招标投标与合同管理[M].北京:中国建材工业出版社,2002.
42.Luis.F.Alarcon,Claudio.Mourgues,Performance.Modeling.For.Contracto r Selection[J].Journal of Management in Engineering,April,2002:17-20
43.赖风葵.浅谈工程造价控制过程中的不平衡报价及其对策[J].广东土木与建筑2003.9:41-42.
44.张晋虎.剖析招投标中的不平衡报价策略[J].科技情报开发与经济,2003.9:67-69.
45.乌云娜,郝越明.不平衡报价的量化分新及防范[J].建筑经济,7,2007:62-64.
46.白明,刘志伟.FIDIC合同条件下不平衡报价的规划模型[J].辽宁石油化工大学学报,2004.12:83-85.
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