工程项目代建制存在的风险及其防范外文翻译.docx

-精品word文档 值得下载 值得拥有-论工程项目代建制存在的风险及其防范一、简介 代建制是指政府通过招标的方式，选择社会专业化的项目管理单位（即代建单位）负责项目的投资管理和建设组织实施工作，项目建成后交付使用单位的制度。代建期间代建单位按照合同约定代行项目建设的投资主体职责，因此代建制是一种代理关系。二、中国代建制改革的背景 政府投资工程采用代建制方式可以克服“投、建、管、用”四位一体的政府投资工程管理模式所带来的非专业化、低效率、低质量等弊端，通过专业化、集中化和市场化的管理，实现投资控制，保证质量和工期，同时有利于从体制上铲除腐败的土壤。因此我国将它确定为政府投资工程建设管理的改革方向。但代建制是有相应的配套制度作保障的，如果制度不配套，依然会存在风险。理论上由于代建单位是“代业主”，受到严格的代建合同约束，且有工程节余分成与履约保函的激励和约束，因此代建制应该不会有太大的风险。但如果封顶价格（即工程预算价格）与市场形成的工程成本价相差太大（两者之差设为R，即工程节余），则可能诱使代建单位与施工、监理、材料供应等单位串通，以虚假招标、偷工减料、虚报价量或进行不正当的合同变更，将本应由纳税人获得的工程节约R非法据为己有；或者是代建单位与工程预算的编制和审批单位串谋，提高封顶价格以进一步增大R获取非法收益；同时，如果R比较容易攫取，则围绕代建单位选择的招标等问题，还可能产生与其它招标活动类似的腐败问题。我们认为这就是代建制的主要风险之所在。 三、 我国代建制配套制度的现状及面临的风险 （一） 政府工程造价管理制度不完善我国目前的政府投资工程的造价管理既有中央和地方发改委系统和财政系统的分级管理，又有从中央部委到地方政府的专业工程造价机构（工程造价管理站等）的管理，是一种全方位的管理，但也是多头、分散的管理，因此不能有效降低工期与投资的不确定性，容易造成失控。同时我国还没有完全摆脱过去全国采用统一的标准概预算定额的工程造价编制方法的影响，有的建筑施工企业因此缺少系统的企业内部造价估算定额体系，对自己的生产成本不太了解等等。因此我国现行的政府工程造价管理的市场化程度比较低，工程预算容易大幅度偏离市场形成的工程成本价，这就可能使R很大而诱发串谋风险。（二）专业人士管理制度不健全 我国还没有对建筑业各类专业人士建立一套有效的约束机制，以使其保持敬业、严谨、清廉、公允的职业操守。如建筑法规约束，专业人士组织、专业人士工作条例、职业道德标准的约束以及市场机制、信誉约束等方面，都没有达到完善的程度。以监理工程师为例，我国与工程监理相关的法规散见于建筑法、工程建设监理规定等法规中，没有统一的监理法规，尤其没有针对政府工程制订相关的规定；现有的监理法规重点对监理单位进行了约束，但惩罚较少落实到监理工程师个人头上；监理工程师的行业管理弱化，缺乏对从业人员有效的约束与监督机制等。这些使监理工程师容易被收买而丧失独立“执法”的能力，从而容易使监理制形同虚设。 在专业人士管理制度不健全的情况下，代建单位非法谋取R的行为不容易受到各类专业人士的抵制。 （三）未全面实行工程担保与保险制度 我国没有对政府投资工程建立强制性的履约保证制度，而是赋予业主自愿执行履约保证制度与否的选择权，形成了一个很大的制度缺陷，使我国政府投资工程的履约情况不理想。虽然目前正在推行工程担保制度，但部分工程担保流于形式，且承保主体单一，担保人的潜在风险高，反担保形式单一等等。因此我国离国际惯例中主要依靠工程担保来防范工程风险的要求还有很大的差距。虽然实行代建制时一般要求代建单位提供履约保函，但同样会遇到上述问题。 我国的工程保险制度也尚在试点中，深圳、上海、北京等地方已开始推行工程设计保险，深圳市还对政府投资工程实行了强制保险制度。但总体上我国工程保险方面的法律法规还不完善，其它条件也不完全具备，因此目前还不能在全国范围内强制实行工程保险制度。这样保险人对被保险的代建单位、施工、监理单位以及各类专业人士的监督作用就不能体现出来。如果没有工程担保与保险等相应的配套措施作保障，代建单位将可能将很容易实现其非法谋取R的目的。 （四）产权约束没有完全形成 虽然我国目前建筑业的承包商已是以私有产权为主，但国有产权的建筑企业以其技术、资金和管理实力依然在政府投资工程建设领域占主导地位；造价单位、监理单位以及其它中介机构很多还是政府部门的附属物或挂靠的事业单位，有的即使脱钩，也是明脱暗不脱；有能力作为代建单位的多半也是以国有产权为主的建筑企业或其它机构。在这种产权制度下，国有产权为主的代建单位以及承包商容易出现国有企业固有的代理经营风险，如其经营者非法牟利，获取R乃至其它好处后，将代建单位以及承包商的风险转移给纳税人。挂靠的造价单位、监理单位以及其它中介机构可能缺乏独立性和公正性，不能充分发挥中介机构在政府投资工程建设中应有的作用。 （五）政府监管制度不严密 目前我国还没有完善的政府工程预算审核制度，合同变更审查制度，索赔与反索赔审查制度，超预算支付审查制度，严格的竣工验收和后评价制度，以及严格的工程项目审计制度，责任追究制度等。例如，就索赔与反索赔审查制度而言，由于我国索赔与反索赔尚没有完全开展，因此就谈不上这一项制度；竣工验收很多是走过场；基本没有开展政府投资工程项目的后评价工作；同时缺乏有效的舆论监督，举报制度不完善等等。这些监管制度的缺失，使我国的政府投资工程实行代建制后容易出现代建单位、施工、监理单位以及中介机构和各类专业人士共同串谋分享R的风险。 此外，我国现有的工程项目管理公司不但在技术水平上还是管理水平上，以及数量上，都难以满足大范围推行代建制的要求。 总之，我国当前尚未完全具备实行代建制的配套条件，如果在目前的情况下大面积推行代建制，则其优点可能难以充分发挥。 四、我国代建制风险的防范对策 要防范代建制的风险，就应完善代建制的配套制度： （一）进一步完善政府投资工程的造价管理制度 严格的工程造价管理制度可以尽量缩小R，从而降低代建单位与施工、监理单位以及中介机构和各类专业人士共同串谋的积极性，这是防范代建制风险的关键所在。我国可以借鉴美国的做法，专门制定政府投资工程的“造价/工期计划与控制规范”，按照全面造价管理的方法去管理政府投资工程的造价；在工程造价信息发布方面充分发挥政府的作用和开放民间造价信息发布渠道，使政府投资工程在制定工程预算时的参考数据更贴近市场；加强招标监督，建立和健全工程造价变更和工程结算以及超预算支付审查制度等等。 （二）进一步完善专业人士管理制度和施工监理制度 完善的专业人士管理制度可以使其保持敬业、严谨、清廉、公允的职业操守，如使监理工程师在监理“执法”中保持独立与公正，让代建单位与施工单位或其他单位的串谋行为不能得逞。我国可以借鉴香港的“认可人士”制度，从加强各类专业人士的管理人手，严格落实监理制，实行“谁签字，谁负责”、“认人不认单位”等制度，要求各类专业人士通过负责任的签字来保证整个工程的施工是严格按照招标合同以及政府的相关法规进行的。 （三）进行产权改革，在此基础上强制实行工程担保与保险制度 为了增强产权约束，我国在实行代建制时，应尽量选择以私有产权为主体且产权明晰的单位作为代建单位，同时进一步进行国有建筑企业和挂靠的造价单位、监理单位以及其它中介机构的产权改革，并培育足够多的合格项目管理公司。在强化产权约束的基础上，强制实行工程担保与保险制度，以充分发挥后者在代建制中的重要作用。我国可以引进法国的工程竣工十年责任险，并强制代建单位购买，以增强对代建单位的约束。 （四）健全和完善代建制的各项政府监管制度 我国应进一步完善政府工程的预算审核制度，招标投标监督制度，合同变更审查制度，索赔与反索赔审查制度，超预算支付审查制度，严格的竣工验收和后评价制度，以及严格的工程项目审计制度，责任追究制度和舆论监督与举报制度；同时建立和完善代建单位以及承包商、供应商的资质管理制度，实行代建单位、施工、监理单位以及中介机构和各类专业人士的“黑名单”制度、准人与禁人制度；强化各类专业人士的建筑法规约束，专业人士组织、专业人士工作条例、职业道德标准的约束以及市场机制、信誉约束等等。这样可以尽量降低代建制的风险。 五、结束语 我国已将代建制作为政府投资工程建设管理的改革方向，一些地方的代建制试点也证明了该制度的优点。但代建制并非没有风险，如果在其配套制度不健全的情况下冒然大范围地采用，其弊端将会不断显现。不过总体而言，代建制的优点是不言而喻的，我们所要做的是尽可能认识其可能的风险并进行相应的制度完善与创新，以充分发挥其在政府投资工程建设管理中的作用。Agent theory of project risk and its prevention1 IntroductionOrganizational system refers to the government through the way of bidding, choose social specialized project management unit (that is, the construction unit) is responsible for carrying out the project investment management and construction organization work, delivery of the system of units used after the completion of the project.Construction during the construction entity shall, according to the contract prior to the project of the construction of the investment main body responsibility, so the agent is a kind of agency relationship.2The background of Chinas reform of agentGovernment investment project adopts agent method can overcome the investment, construction, pipe, with four one of the government investment project management mode of non-specialized, low efficiency and low quality defects, such as through specialization, centralization and market management, investment control, ensure the quality and time limit for a project, at the same time is conducive to rooting out corruption in the soil from the system.So China will determine it as the reform direction of the government investment project construction management. But there is a corresponding supporting agent system as guarantee, if the system does not form a complete set, will still be at risk. In theory because of the construction unit is the owner, strict construction contract constraint, and there are engineering savings into performance guarantee and the incentives and constraints, so the agent should not have too big risk.But if the cap (that is, the engineering budget price) and the market price formation of engineering cost price difference is too big (the difference between the two set to R, namely project savings), may induce the construction units and construction, supervision, material supply and other units collusion, to false tender, cut corners, false price quantity or unfair contract changes, this should be obtained by the taxpayers engineering R illegal saving are your own;Or the construction unit and project budget preparation and approval of the collusion, improve the cap price to obtain illegal income increasing R; At the same time, if R is easier to grab, enterprises around the choice of the tender, may also produce similar to other bidding activities of corruption. We think this is the main risk of agent.3 the acting system supporting system in our country the status quo and facing the risk3.1the government, the project cost management system is not perfectThe present government investment project cost management includes both the central and local development and reform commission (NDRC) hierarchical management system and financial system, and from the central ministries and commissions to professional engineering cost of local government agencies (management, project cost management, etc.) is a kind of comprehensive management, but also is long, decentralized management, so cant effectively reduce the time limit for a project and the uncertainty in investment, easy to cause out of control.At the same time, our country is still not fully get rid of the past national budget quota by unified standard engineering cost establishment method, the influence of some construction enterprises and lack of internal cost estimate quota system, dont know about their production cost and so on. Thus the governments of our current project cost management, low marketization, engineering budget significantly deviate from the market form of engineering cost, which could make the R great and induce risk of collusion.3.2professional management system is not soundOur country has not yet been to the construction of various types of professionals to establish a set of effective constraint mechanism, to keep it professional, rigorous, honest, fair ethics. Such as building rules, professional organizations, professional work regulations and ethical standards and market mechanism, credit constraints, etc., are not perfect.Supervision engineer, for example, our country engineering supervision related laws and regulations referring to the law, engineering construction supervision regulations and other laws and regulations, no unified supervision laws and regulations, especially for government project to formulate relevant regulations; Existing laws and regulations on the supervision of supervision unit, but less punishment to supervision engineer of your head; Supervision engineer of the industry management, the lack of workers, effective restriction and supervision mechanism, etc. These make the supervision engineer are easy to buy off and lose the ability of independent law enforcement, which makes the supervision system.3.3failed to fully implement engineering guarantee and insurance systemOur country did not establish a mandatory performance guarantee system of government investment project, it gives the owner voluntary performance guarantee system of choice, formed a huge system defects, and make our country government investment project performance is not ideal. Although is currently carrying out engineering guarantee system, but become a mere formality, part of the engineering guarantee and insurance subject single, the potential risk of the guarantor is high, the guarantee form a single, and so on. Therefore rely mainly on engineering guarantee in from international practice in our country, to guard against the requirements of the project risk and very big disparity. Although tried acting system generally require construction units to provide performance guarantee, but will have the same problem.Engineering insurance system is also in our country is still in the pilot, shenzhen, Shanghai, Beijing and other places have begun to introduce engineering insurance, shenzhen also implement the compulsory insurance system of government investment project. But on the whole the laws and regulations of the engineering insurance in our country is not perfect, also does not include all the other conditions, so it is not enforced engineering insurance system across the country. So the insurer to the insureds construction unit, construction, supervision unit and all kinds of professional supervision function will not be able to show up.If there is no engineering guarantee and insurance and other relevant supporting measures for security, construction unit will likely will easily achieve its illegal for the purpose of R.3.4property rights constraints, not fully formedpredominantly private property rights, but the state-owned property right of construction enterprises with technology, capital and management strength is still dominant in the field of government investment project construction; Cost per unit, supervision unit, and many other agencies or government departments appendages or affiliated institutions, some even decoupling, is bright and dark not to take off; Enterprises have the ability as a mostly is mainly state-owned property right of construction enterprises or other organizations. Under this kind of property right system, state-owned property right of construction units and contractors prone to agent business risks inherent in the state-owned enterprises, as the operator illegal profit, for R and other benefits, the construction unit and the contractors risk transfer to the taxpayer. Cost of call unit, supervision unit, and other intermediary agencies may lack independence and impartiality, can not give full play to the intermediary agencies in the governments role in the construction of investment.3.5 imprecise government regulation systemAt present our country still did not improve the system of government project budget audit, contract variation censorship, claim and counterclaim censorship, pay over censorship, after the completion inspection and acceptance of and strict evaluation system, and strict project auditing system, responsibility system, and so on. For example, in terms of claim and counterclaim censorship, because our country claim and counterclaim is still not fully developed, and the result is far from this one system; Completion inspection and acceptance lot is through the motions; Basic not to carry out the government investment project post-evaluation work; Lack of effective supervision by public opinion at the same time, the report system is imperfect, and so on. The lack of the supervision system, make our country government investment project agent after easily out of modern building, construction and supervision units and intermediary institutions and all kinds of professional collude together to share the risk of R.In addition, the existing engineering project management company in China not only on the technical level and management level, and quantity, are difficult to meet the requirements of the widespread implementation of agent.All in all, the current has not been fully are the matching conditions of the agent, if in the present case of widespread implementation of agent, give full play to its advantages may seem.4agent risk prevention countermeasures in our countryTo prevent the risk of acting system, should perfect the supporting system of agent:4.1 to further improve the cost management system of government investment projectStrict engineering cost management system can be minimized R, thus reducing construction, supervision unit and construction units and intermediary institutions and the enthusiasm of all kinds of professional collude together, this is the key to preventing agent risk. The practice of our country can draw lessons from the United States, the government investment project designed specifically specifications cost/time limit for a project plan and control, in accordance with the method of comprehensive cost management to management of government investment project cost; In the aspect of the project cost information release open give full play to the role of the government and the private cost information release channel, make the government investment project reference data when making engineering budget is more close to the market; Strengthening bidding supervision, establish and improve the project cost change and project settlement and censorship over budget payment, and so on.4.2to further improve the system of professional management and construction supervision systemPerfect professional management system to keep it professional ethics, rigorous, honest, fair, such as the supervision of the supervision engineer in independence and justice in the law enforcement, let the construction unit and construction unit or other units collusion behavior can not succeed. Can draw lessons from Hong Kongs recognition system in our country, from strengthen the management of all kinds of professional staff, strictly implement the supervision system, implement who signed, who is in charge of, people dont recognize the unit and so on the system, for all kinds of professionals by the signature of the responsible to ensure that the construction of the whole project is in strict accordance with the tender and contract and government regulations.4.3property right reform, on the basis of enforci