基于交易成本的工程变更治理研究

发布时间：2018-12-18 08:23

【摘要】：工程变更在项目施工中是不可避免的,加之合同签订的不完全,导致承发包双方因工程变更而起的争议对工期、质量及价款产生影响,降低了合同的履行效率。工程变更争议产生的主要原因是由于工程变更的无约定或者约定不明导致变更发生之后的无章可循,为合同当事人的投机行为提供了可趁之机,承发包双方争相攫取工程变更可能带来的利益增值。然而,如果没有工程变更事项的存在,工程变更争议就不会发生。工程变更作为发包人完善设计、建成环境适应性项目的一种动态调整措施,不能因为其产生争议和不确定性而完全否定。鉴于此,本文从优化工程变更和提升工程变更事后谈判效率两个方面对降低工程变更交易成本进行了探索,一方面避免了说变就变的盲目变更,另一方面提升了不得不变更事项的解决效率。首先,对工程变更条款中缔约不明确而引起的争议进行去模糊研究。提出了工程量变化和施工方案变化两项常引起工程变更争议的事项,选取07版《标准施工招标文件》、13版《建设工程工程量清单计价规范》、99版FIDIC《施工合同条件》为对象,并结合实践中经常混淆的概念进行对比分析,界定了工程量变化与施工方案变化能依据工程变更条款进行补偿的前提条件,去除约定中的模糊不清,减少由此而导致的交易成本增加。其次,探索了工程变更合作谈判机制的激励因素,提出了风险分担和参照点合同诱至合作谈判的构想并给出了实践的指导建议。工程变更受承发包双方的主观和自然环境的影响大,合同不可能对所有可能的变更事项进行约定,工程变更中的模糊不可能完全去除。完全依赖合同约定并不能实现工程变更的有效控制,探索激励合同当事人按照合作精神进行工程变更事项的处理,是从根本解决工程变更交易成本高,履行效率低的问题。最后,从减少不必要变更的角度探索了优化工程变更的思路。一方面,建立工程变更内部控制路径,设计有效的变更控制路径,使承发包双方不得不遵照程序安分守己的履行合同。另一方面,提出了基于收益共享的变更控制策略,对发包人提出的由承包人施工的工程变更成本优化的节余部分和承包人提出合理化建议对工程成本的节省部分进行收益分享,激励承包人对工程变更实行主动控制,提高工程变更控制效率。综上所述,本文通过不完全合同理论剖析工程变更产生的本质原因,提出降低变更交易成本的举措,探索变更有效控制的实现路径,有利于降低工程变更的交易成本、提升工程变更的价值,最终实现合同履行效率的提升。
[Abstract]:Engineering change is inevitable in the construction of the project, coupled with the incomplete signing of the contract, which leads to the disputes between the contracting parties caused by the change of the project to have an impact on the duration, quality and price of the contract, thus reducing the performance efficiency of the contract. The main reason for the dispute over project change is that there is no rules to follow after the change occurs due to the lack of agreement or unclear agreement, which provides an opportunity for the speculative behavior of the parties to the contract. The contracting parties scramble to capture the potential value added of the project changes. However, without the existence of engineering change events, engineering change disputes will not occur. As a dynamic adjustment measure for the contractor to perfect the design and build the environmental adaptability project, the engineering change can not be completely denied because of its controversy and uncertainty. In view of this, this paper explores how to reduce the transaction cost of project change from two aspects: optimizing engineering change and improving the efficiency of post negotiation of project change. On the one hand, it avoids the blind change that changes with change. On the other hand, it improves the efficiency of solving things that have to be changed. First of all, the deblurring research is carried out on the disputes caused by unclear contracting in the project change clause. This paper puts forward two items that often cause disputes about project quantity change and construction project change, and selects 07 edition of "Standard Construction bidding document", 13 edition of "valuation Standard of Construction quantity list", 99 edition of FIDIC "Construction contract conditions" as the object. By comparing and analyzing the concept that is often confused in practice, the paper defines the precondition that the change of engineering quantity and the change of construction scheme can be compensated according to the terms of engineering change, and removes the ambiguity in the agreement. Reduce the resulting increase in transaction costs. Secondly, this paper explores the incentive factors of the cooperative negotiation mechanism of engineering change, puts forward the conception of risk sharing and reference point contract inducement to cooperative negotiation, and gives some practical guidance suggestions. The project change is greatly affected by the subjective and natural environment of the contracting parties. The contract cannot agree on all possible changes and the ambiguity in the project change cannot be completely removed. Depending on the contract agreement completely can not realize the effective control of the project change. To explore the incentive contract parties to deal with the project change according to the spirit of cooperation is to solve the problem of high transaction cost and low performance efficiency of the project change fundamentally. Finally, from the point of view of reducing unnecessary change, the idea of optimizing engineering change is explored. On the one hand, the internal control path of engineering change is established, and an effective change control path is designed so that both parties have to comply with the procedure to fulfill the contract. On the other hand, the change control strategy based on revenue sharing is put forward, and the profit sharing of the cost saving part of the project is carried out on the part of optimizing the cost of engineering change proposed by the contractor and the reasonable suggestion made by the contractor. Encourage the contractor to exercise active control over engineering changes and improve the efficiency of engineering change control. To sum up, this paper analyzes the essential reasons of engineering change through incomplete contract theory, puts forward the measures to reduce the transaction cost of the change, and explores the way to realize the effective control of the change, which is helpful to reduce the transaction cost of the project change. Improve the value of engineering changes, and ultimately achieve the efficiency of contract performance.
【学位授予单位】：天津理工大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：TU723.3

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