国际工程承包中的合同风险管理研究
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摘要
随着“走出去”战略的深入实施,国际承包工程事业发展迅速,越来越多的中资企业在不同的国家开展国际工程承包,我国对外工程承包企业在国际市场上所占的比例逐年大幅增长,我国对外承包企业的整体国际影响力也逐步增大。然而我国对外承包企业的风险管理能力并未随之跟进。
国际工程承包是一项高风险事业,与一般国内工程项目相比,国际工程具有合同金额大、项目之间差异性大、合作范围广、管理过程复杂、对人才和项目管理能力要求较高等特点。我们必须清楚的看到国际工程承包过程中存在着大量的风险因素。如果对这些风险因素估计不足,就会给企业带来重大的损失。世界项目管理大会把对项目的风险管理作为大会的四大主题之一,以及各种期刊上有关项目风险管理论文的不断增加,都表明人们已极为重视对项目风险管理理论的研究。而合同管理作为项目管理的重要组成部分,与企业的利益紧密相连,已经越来越受到我国对外承包企业的重视。合同风险分析与风险管理的水平高低关系到企业的生存和发展。从某种意义上说,对合同风险管理的成功与否,已经成为决定项目成功与否的关键因素。因此如何对合同风险进行全面的管理和控制,已经成为国际工程承包企业所面临的重要课题之一。
本文站在我国对外承包企业角度,提出重视国际工程项目的合同风险的观点。本论文从国际工程风险的相关概念和项目风险管理的理论出发,在深入分析国际工程项目合同风险特点后,对国际工程项目的合同风险进行了分类。将识别出来的合同风险分为客观性风险和主观性风险,并对其风险进行分析,分别对客观性风险和主观性风险用定性评价和定性定量相结合的方法评价。提出了风险应对的对策及在合同风险控制中需要注意的几个问题。本文按照风险管理的一般过程对国际工程项目进行合同风险管理,最后用实际的案例对提出的理论进行检验。
通过本文的初步探索,旨在使我国对外承包工程企业重视合同风险管理,对项目的全寿命周期潜在的合同风险的分析、评价、防范对策提供一套切实可行的方法体系,为承包商的项目进行合同风险管理的工作起到“抛砖引玉”的作用。
As the deeper enforcement of the strategy of "going out", international contracted projects undertakings have developed rapidly. More and more general contract enterprises of our country carry out international engineering contracting project in different countries, and the proportion in the international market increases sharply year by year, as a result overall international influence of Chinese international contracting enterprise is also increasing. However, the risk management ability of Chinese international contracting enterprises hasn’t then fellow up.
International engineering contracting projects is a high-risk business. Compared with general domestic project, international engineering project have the characteristics of big contract value, the amount is large, large differences between projects, wide scope of cooperation between different parties, complicated management process, requesting higher talent and project management ability etc. We must clearly see that there are a lots of risk factors in the international project contracting process. Underestimation of these risk factors will result in significant loss to the enterprise. IPMA World Congress on Project Management consider risk management as one of the four major theme, and a variety of journal papers related to project risk management continues to increase, which show that people have already attached great importance to the project risk management theory. And contract management as an important part of project management, are closely linked with enterprise interests. Chinese foreign contracting enterprise has already put more and more the attention to contract management. Contract risk analysis and risk management quality are related to the survival and development of enterprises. In a sense, the success of the contract risk management has become the key success factors of project. Therefore, how to carry on the comprehensive management and control contract risks, has become one of the important topics that the international project contracting enterprises faced.
This paper stands in Chinese international contracting enterprises, and puts forward the view that pay attention to the contract risks in international engineering projects. This paper presents international concepts of international engineering risks and theory of project risk management. Then in-depth analysis the risk characteristics of the international engineering project contract, the contract risks of the international project are classified. The contract risks are identified as subjective risk and objective risk. The objective risks are assessed by the method of qualitative evaluation, and subjective risks are assessed by the method of combining qualitative and quantitative evaluation. Put forward the countermeasures and risk response in contract risk control some problems needing attention. The contract risk management are on the basis of the general process of international project risk management in this paper . Eventually through actual cases theories are verified which put forward by above.
Through preliminary exploration, this paper aims to attach the importance to contract risk management for Chinese foreign contracting enterprise. It also provides a feasible method system for contractors, analyze, and evaluate the potential contract risks of the project life cycle, and put forwards countermeasures. This paper will play a "initiate" role in the work of contract risk management for the contractors.
国际工程承包是一项高风险事业,与一般国内工程项目相比,国际工程具有合同金额大、项目之间差异性大、合作范围广、管理过程复杂、对人才和项目管理能力要求较高等特点。我们必须清楚的看到国际工程承包过程中存在着大量的风险因素。如果对这些风险因素估计不足,就会给企业带来重大的损失。世界项目管理大会把对项目的风险管理作为大会的四大主题之一,以及各种期刊上有关项目风险管理论文的不断增加,都表明人们已极为重视对项目风险管理理论的研究。而合同管理作为项目管理的重要组成部分,与企业的利益紧密相连,已经越来越受到我国对外承包企业的重视。合同风险分析与风险管理的水平高低关系到企业的生存和发展。从某种意义上说,对合同风险管理的成功与否,已经成为决定项目成功与否的关键因素。因此如何对合同风险进行全面的管理和控制,已经成为国际工程承包企业所面临的重要课题之一。
本文站在我国对外承包企业角度,提出重视国际工程项目的合同风险的观点。本论文从国际工程风险的相关概念和项目风险管理的理论出发,在深入分析国际工程项目合同风险特点后,对国际工程项目的合同风险进行了分类。将识别出来的合同风险分为客观性风险和主观性风险,并对其风险进行分析,分别对客观性风险和主观性风险用定性评价和定性定量相结合的方法评价。提出了风险应对的对策及在合同风险控制中需要注意的几个问题。本文按照风险管理的一般过程对国际工程项目进行合同风险管理,最后用实际的案例对提出的理论进行检验。
通过本文的初步探索,旨在使我国对外承包工程企业重视合同风险管理,对项目的全寿命周期潜在的合同风险的分析、评价、防范对策提供一套切实可行的方法体系,为承包商的项目进行合同风险管理的工作起到“抛砖引玉”的作用。
As the deeper enforcement of the strategy of "going out", international contracted projects undertakings have developed rapidly. More and more general contract enterprises of our country carry out international engineering contracting project in different countries, and the proportion in the international market increases sharply year by year, as a result overall international influence of Chinese international contracting enterprise is also increasing. However, the risk management ability of Chinese international contracting enterprises hasn’t then fellow up.
International engineering contracting projects is a high-risk business. Compared with general domestic project, international engineering project have the characteristics of big contract value, the amount is large, large differences between projects, wide scope of cooperation between different parties, complicated management process, requesting higher talent and project management ability etc. We must clearly see that there are a lots of risk factors in the international project contracting process. Underestimation of these risk factors will result in significant loss to the enterprise. IPMA World Congress on Project Management consider risk management as one of the four major theme, and a variety of journal papers related to project risk management continues to increase, which show that people have already attached great importance to the project risk management theory. And contract management as an important part of project management, are closely linked with enterprise interests. Chinese foreign contracting enterprise has already put more and more the attention to contract management. Contract risk analysis and risk management quality are related to the survival and development of enterprises. In a sense, the success of the contract risk management has become the key success factors of project. Therefore, how to carry on the comprehensive management and control contract risks, has become one of the important topics that the international project contracting enterprises faced.
This paper stands in Chinese international contracting enterprises, and puts forward the view that pay attention to the contract risks in international engineering projects. This paper presents international concepts of international engineering risks and theory of project risk management. Then in-depth analysis the risk characteristics of the international engineering project contract, the contract risks of the international project are classified. The contract risks are identified as subjective risk and objective risk. The objective risks are assessed by the method of qualitative evaluation, and subjective risks are assessed by the method of combining qualitative and quantitative evaluation. Put forward the countermeasures and risk response in contract risk control some problems needing attention. The contract risk management are on the basis of the general process of international project risk management in this paper . Eventually through actual cases theories are verified which put forward by above.
Through preliminary exploration, this paper aims to attach the importance to contract risk management for Chinese foreign contracting enterprise. It also provides a feasible method system for contractors, analyze, and evaluate the potential contract risks of the project life cycle, and put forwards countermeasures. This paper will play a "initiate" role in the work of contract risk management for the contractors.
引文
[1]胡季英,关柯,李忠富著,建设工程合同管理的国际比较分析,建筑管理现代化,2004,76(3):35~37
[2] Project management institute.项目管理知识体系指南(PMBOK指南),美国国家标准,2004
[3]G·B·chapman.Risk Analysis for Large projects: Models,Methods and Cases.
[4]Sameh. Monir. El-Sayegh. Risk assessment and allocation in the UAE construction industry. International Journal of Project Management. 2008(26):431~438
[5]祝迪飞,方东平,王守清等.2008奥运场馆建设风险管理工具——风险表的建立.土木工程学报,2006,39(12)
[6]杨文海.化工建设项目合同风险管理研究:[硕士学位论文].上海:上海交通大学,2010
[7]丁士昭.工业发达国家建设工程合同管理及风险管理.建筑,2001,9:41~42
[8]雷胜强.国际工程风险管理与保险.北京:中国建筑工业出版社,2001.
[9]尹贻林,何红锋.工程合同管理.北京:中国人民大学出版社,1999
[10]宋宗宇.建设工程合同风险管理.上海:同济大学出版社,2008
[11]沈建明.项目风险管理.北京:机械工业出版社,2006,10:8~9
[12]宋近双.国际石油工程合同风险与防范.中国商界(下半月),2010,09:323~325
[13]程丽莉.建设工程的几点思考——浅议建设工程施工合同风险管理.黑龙江科技信息,2008,(24):194~194
[14]王卓甫.工程项目风险管理——理论、方法与应用.北京:中国水利水电出版社,2003:15~20
[15]许文凯.国际工程承包.北京:对外经贸大学出版社,2003:
[16]刘鹏程,顾祥柏.工程合同分析与设计.北京:中国石化出版社,2010.
[17]胡季英,关柯,李忠富著.建设工程合同管理的国际比较分析.建筑管理现代化,2004,76(3):35~37
[18]王广月,毛守让等.工程合同风险管理与索赔.北京:中国水利水电出版社,2009,
[19]余群舟.工程建设合同管理.北京:中国计划出版社,2008.
[20]莫启文.浅析国际工程承包商的风险分析与评价方法.中外建筑,2006,3:76~78
[21]王昊,基坑工程项目风险评价研究:[硕士学位论文].青岛:中国海洋大学,2008
[22]肖刚.施工合同风险管理的防范.施工企业管理,2007, 230(10):82~83
[23]肖刚.施工合同风险管理的防范.施工企业管理,2007, 230(10):82~83
[24]姜奕峰.施工合同风险管理及索赔探析:[硕士学位论文].西安:西安建筑科技大学,2008
[25]李明照,曹萍,丁晓欣,等.国际工程承包商几类合同风险的防范与对策.吉林建筑工程学院学报,1999,12(4):47~50
[26]陈先庆.浅谈建设工程施工合同风险管理.福建建筑,2007,110(8):98~100
[27]李爱珍.关于承包商工程承包合同风险管理的探讨.中国电子商务,2010,(8):397~399
[28]Dr. Francis K. Adams.construction contract risk management: a study of practices in the United Kingdom.Cost Engineering,2008,50(1):22~33
[29]Francis K. Adams. Risk perception and Bayesian analysis of international construction contract risks: The case of payment delays in a developing economy. International Journal of Project Management.2008(26):138~148
[30]吕文学.国际工程承包.北京:中国建筑工业出版社,2008.173~176
[31]李明照等.国际工程承包商几类合同风险的防范与对策.吉林建筑工程学院学报.1999(4):47~50
[32]李垒垒.国际工程承包合同风险的分析与控制研究:[硕士学位论文] .济南:山东建筑大学,2010
[33]Sui Pheng Low, Junying Liu,Sarah He. External risk management practices of Chinese construction firms in Singapore. KSCE Journal of Civil Engineering,2009,13( 2):85-95
[34]鲍晓玲.境外承包工程风险分析及管理.国际经济合作,2008,5:60~64
[35]王广月,毛守让.工程合同风险管理与索赔.中国水利水电出版,2009
[36]莫启文.浅析国际工程承包商的风险分析与评价方法.中外建筑,2006,3:76~78
[37]杨枫.工程代建合同风险识别与评价.长沙铁道学院学报(社会科学版),2010,11(2):44~46
[38]张宜松.国际工程承包风险分析.基建优化,2007,28(6):8~10
[39]钟登华,张建设.基于AHP的工程项目风险分析方法.天津大学学报:自然科学与工程技术版,2002,25(2):162~166
[40]吕文学.国际工程承包.北京:中国建筑工业出版社,2008.178~179
[41]刘强,江涌鑫.国际工程项目风险管理框架与案例分析.项目管理技术,2009(12):59~65
[42]刘玥.国际工程总承包风险的管理与应用研究:[硕士学位论文] .北京:北京邮电大学,2006
[43]刘长滨,金玲.我国建设工程合同风险管理研究.项目管理技术,2005,(9):48~52
[44]吴之明,裴文林.国际工程风险决策.建筑,2003,9:10~13
[45] D. K. H. Chua and P. K. Loh.CB-Contract:Case-Based Reasoning Approach to Construction Contract Strategy Formulation.Journal of computer in civil engineering,2006,10: 339~351
[46]成虎.建设工程合同管理与索赔(第4版) .南京:东南大学出版社,2008. 166~171
[47]刘长滨,金玲.我国建设工程合同风险管理研究.项目管理技术,2005,(9):48~52
[48]陈平,强茅山.国际工程项目中的合同管理.建筑经济,2008(12月增刊):6-1~6-3
[49]唐江华,李森.国际工程项目合同风险与索赔管理实践.经贸实务,2008(9):65~67
[2] Project management institute.项目管理知识体系指南(PMBOK指南),美国国家标准,2004
[3]G·B·chapman.Risk Analysis for Large projects: Models,Methods and Cases.
[4]Sameh. Monir. El-Sayegh. Risk assessment and allocation in the UAE construction industry. International Journal of Project Management. 2008(26):431~438
[5]祝迪飞,方东平,王守清等.2008奥运场馆建设风险管理工具——风险表的建立.土木工程学报,2006,39(12)
[6]杨文海.化工建设项目合同风险管理研究:[硕士学位论文].上海:上海交通大学,2010
[7]丁士昭.工业发达国家建设工程合同管理及风险管理.建筑,2001,9:41~42
[8]雷胜强.国际工程风险管理与保险.北京:中国建筑工业出版社,2001.
[9]尹贻林,何红锋.工程合同管理.北京:中国人民大学出版社,1999
[10]宋宗宇.建设工程合同风险管理.上海:同济大学出版社,2008
[11]沈建明.项目风险管理.北京:机械工业出版社,2006,10:8~9
[12]宋近双.国际石油工程合同风险与防范.中国商界(下半月),2010,09:323~325
[13]程丽莉.建设工程的几点思考——浅议建设工程施工合同风险管理.黑龙江科技信息,2008,(24):194~194
[14]王卓甫.工程项目风险管理——理论、方法与应用.北京:中国水利水电出版社,2003:15~20
[15]许文凯.国际工程承包.北京:对外经贸大学出版社,2003:
[16]刘鹏程,顾祥柏.工程合同分析与设计.北京:中国石化出版社,2010.
[17]胡季英,关柯,李忠富著.建设工程合同管理的国际比较分析.建筑管理现代化,2004,76(3):35~37
[18]王广月,毛守让等.工程合同风险管理与索赔.北京:中国水利水电出版社,2009,
[19]余群舟.工程建设合同管理.北京:中国计划出版社,2008.
[20]莫启文.浅析国际工程承包商的风险分析与评价方法.中外建筑,2006,3:76~78
[21]王昊,基坑工程项目风险评价研究:[硕士学位论文].青岛:中国海洋大学,2008
[22]肖刚.施工合同风险管理的防范.施工企业管理,2007, 230(10):82~83
[23]肖刚.施工合同风险管理的防范.施工企业管理,2007, 230(10):82~83
[24]姜奕峰.施工合同风险管理及索赔探析:[硕士学位论文].西安:西安建筑科技大学,2008
[25]李明照,曹萍,丁晓欣,等.国际工程承包商几类合同风险的防范与对策.吉林建筑工程学院学报,1999,12(4):47~50
[26]陈先庆.浅谈建设工程施工合同风险管理.福建建筑,2007,110(8):98~100
[27]李爱珍.关于承包商工程承包合同风险管理的探讨.中国电子商务,2010,(8):397~399
[28]Dr. Francis K. Adams.construction contract risk management: a study of practices in the United Kingdom.Cost Engineering,2008,50(1):22~33
[29]Francis K. Adams. Risk perception and Bayesian analysis of international construction contract risks: The case of payment delays in a developing economy. International Journal of Project Management.2008(26):138~148
[30]吕文学.国际工程承包.北京:中国建筑工业出版社,2008.173~176
[31]李明照等.国际工程承包商几类合同风险的防范与对策.吉林建筑工程学院学报.1999(4):47~50
[32]李垒垒.国际工程承包合同风险的分析与控制研究:[硕士学位论文] .济南:山东建筑大学,2010
[33]Sui Pheng Low, Junying Liu,Sarah He. External risk management practices of Chinese construction firms in Singapore. KSCE Journal of Civil Engineering,2009,13( 2):85-95
[34]鲍晓玲.境外承包工程风险分析及管理.国际经济合作,2008,5:60~64
[35]王广月,毛守让.工程合同风险管理与索赔.中国水利水电出版,2009
[36]莫启文.浅析国际工程承包商的风险分析与评价方法.中外建筑,2006,3:76~78
[37]杨枫.工程代建合同风险识别与评价.长沙铁道学院学报(社会科学版),2010,11(2):44~46
[38]张宜松.国际工程承包风险分析.基建优化,2007,28(6):8~10
[39]钟登华,张建设.基于AHP的工程项目风险分析方法.天津大学学报:自然科学与工程技术版,2002,25(2):162~166
[40]吕文学.国际工程承包.北京:中国建筑工业出版社,2008.178~179
[41]刘强,江涌鑫.国际工程项目风险管理框架与案例分析.项目管理技术,2009(12):59~65
[42]刘玥.国际工程总承包风险的管理与应用研究:[硕士学位论文] .北京:北京邮电大学,2006
[43]刘长滨,金玲.我国建设工程合同风险管理研究.项目管理技术,2005,(9):48~52
[44]吴之明,裴文林.国际工程风险决策.建筑,2003,9:10~13
[45] D. K. H. Chua and P. K. Loh.CB-Contract:Case-Based Reasoning Approach to Construction Contract Strategy Formulation.Journal of computer in civil engineering,2006,10: 339~351
[46]成虎.建设工程合同管理与索赔(第4版) .南京:东南大学出版社,2008. 166~171
[47]刘长滨,金玲.我国建设工程合同风险管理研究.项目管理技术,2005,(9):48~52
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