外文翻譯--論工程項(xiàng)目代建制存在的風(fēng)險(xiǎn)及其防范

1、<p><b>　　中文3510字</b></p><p>　　論工程項(xiàng)目代建制存在的風(fēng)險(xiǎn)及其防范</p><p><b>　　一、簡(jiǎn)介</b></p><p>　　代建制是指政府通過(guò)招標(biāo)的方式，選擇社會(huì)專(zhuān)業(yè)化的項(xiàng)目管理單位（即代建單位）負(fù)責(zé)項(xiàng)目的投資管理和建設(shè)組織實(shí)施工作，項(xiàng)目建成后交付使用單位的制度。代建期間

2、代建單位按照合同約定代行項(xiàng)目建設(shè)的投資主體職責(zé)，因此代建制是一種代理關(guān)系。</p><p>　　二、中國(guó)代建制改革的背景 </p><p>　　政府投資工程采用代建制方式可以克服“投、建、管、用”四位一體的政府投資工程管理模式所帶來(lái)的非專(zhuān)業(yè)化、低效率、低質(zhì)量等弊端，通過(guò)專(zhuān)業(yè)化、集中化和市場(chǎng)化的管理，實(shí)現(xiàn)投資控制，保證質(zhì)量和工期，同時(shí)有利于從體制上鏟除腐敗的土壤。因此我國(guó)將它確定為政府投資工

3、程建設(shè)管理的改革方向。但代建制是有相應(yīng)的配套制度作保障的，如果制度不配套，依然會(huì)存在風(fēng)險(xiǎn)。理論上由于代建單位是“代業(yè)主”，受到嚴(yán)格的代建合同約束，且有工程節(jié)余分成與履約保函的激勵(lì)和約束，因此代建制應(yīng)該不會(huì)有太大的風(fēng)險(xiǎn)。但如果封頂價(jià)格（即工程預(yù)算價(jià)格）與市場(chǎng)形成的工程成本價(jià)相差太大（兩者之差設(shè)為R，即工程節(jié)余），則可能誘使代建單位與施工、監(jiān)理、材料供應(yīng)等單位串通，以虛假招標(biāo)、偷工減料、虛報(bào)價(jià)量或進(jìn)行不正當(dāng)?shù)暮贤兏?，將本?yīng)由納稅人獲得的工

4、程節(jié)約R非法據(jù)為己有；或者是代建單位與工程預(yù)算的編制和審批單位串謀，提高封頂價(jià)格以進(jìn)一步增大R獲取非法收益；同時(shí)，如果R比較容易攫取，則圍繞代建單位選擇的招標(biāo)等問(wèn)題，還可能產(chǎn)生與其它招標(biāo)活動(dòng)類(lèi)似的腐敗問(wèn)題。我們認(rèn)為這就是代建制的主要風(fēng)險(xiǎn)之所在。 </p><p>　　我國(guó)代建制配套制度的現(xiàn)狀及面臨的風(fēng)險(xiǎn) </p><p>　　政府工程造價(jià)管理制度不完善</p><p&g

5、t;　　我國(guó)目前的政府投資工程的造價(jià)管理既有中央和地方發(fā)改委系統(tǒng)和財(cái)政系統(tǒng)的分級(jí)管理，又有從中央部委到地方政府的專(zhuān)業(yè)工程造價(jià)機(jī)構(gòu)（工程造價(jià)管理站等）的管理，是一種全方位的管理，但也是多頭、分散的管理，因此不能有效降低工期與投資的不確定性，容易造成失控。同時(shí)我國(guó)還沒(méi)有完全擺脫過(guò)去全國(guó)采用統(tǒng)一的標(biāo)準(zhǔn)概預(yù)算定額的工程造價(jià)編制方法的影響，有的建筑施工企業(yè)因此缺少系統(tǒng)的企業(yè)內(nèi)部造價(jià)估算定額體系，對(duì)自己的生產(chǎn)成本不太了解等等。因此我國(guó)現(xiàn)行的政府工程

6、造價(jià)管理的市場(chǎng)化程度比較低，工程預(yù)算容易大幅度偏離市場(chǎng)形成的工程成本價(jià)，這就可能使R很大而誘發(fā)串謀風(fēng)險(xiǎn)。</p><p>　?。ǘ?zhuān)業(yè)人士管理制度不健全 </p><p>　　我國(guó)還沒(méi)有對(duì)建筑業(yè)各類(lèi)專(zhuān)業(yè)人士建立一套有效的約束機(jī)制，以使其保持敬業(yè)、嚴(yán)謹(jǐn)、清廉、公允的職業(yè)操守。如建筑法規(guī)約束，專(zhuān)業(yè)人士組織、專(zhuān)業(yè)人士工作條例、職業(yè)道德標(biāo)準(zhǔn)的約束以及市場(chǎng)機(jī)制、信譽(yù)約束等方面，都沒(méi)有達(dá)到完善的程度

7、。以監(jiān)理工程師為例，我國(guó)與工程監(jiān)理相關(guān)的法規(guī)散見(jiàn)于《建筑法》、《工程建設(shè)監(jiān)理規(guī)定》等法規(guī)中，沒(méi)有統(tǒng)一的監(jiān)理法規(guī)，尤其沒(méi)有針對(duì)政府工程制訂相關(guān)的規(guī)定；現(xiàn)有的監(jiān)理法規(guī)重點(diǎn)對(duì)監(jiān)理單位進(jìn)行了約束，但懲罰較少落實(shí)到監(jiān)理工程師個(gè)人頭上；監(jiān)理工程師的行業(yè)管理弱化，缺乏對(duì)從業(yè)人員有效的約束與監(jiān)督機(jī)制等。這些使監(jiān)理工程師容易被收買(mǎi)而喪失獨(dú)立“執(zhí)法”的能力，從而容易使監(jiān)理制形同虛設(shè)。 在專(zhuān)業(yè)人士管理制度不健全的情況下，代建單位非法謀取R的行為不容易受到各類(lèi)

8、專(zhuān)業(yè)人士的抵制。 </p><p>　?。ㄈ┪慈鎸?shí)行工程擔(dān)保與保險(xiǎn)制度 </p><p>　　我國(guó)沒(méi)有對(duì)政府投資工程建立強(qiáng)制性的履約保證制度，而是賦予業(yè)主自愿執(zhí)行履約保證制度與否的選擇權(quán)，形成了一個(gè)很大的制度缺陷，使我國(guó)政府投資工程的履約情況不理想。雖然目前正在推行工程擔(dān)保制度，但部分工程擔(dān)保流于形式，且承保主體單一，擔(dān)保人的潛在風(fēng)險(xiǎn)高，反擔(dān)保形式單一等等。因此我國(guó)離國(guó)際慣例中主要依靠

9、工程擔(dān)保來(lái)防范工程風(fēng)險(xiǎn)的要求還有很大的差距。雖然實(shí)行代建制時(shí)一般要求代建單位提供履約保函，但同樣會(huì)遇到上述問(wèn)題。 我國(guó)的工程保險(xiǎn)制度也尚在試點(diǎn)中，深圳、上海、北京等地方已開(kāi)始推行工程設(shè)計(jì)保險(xiǎn)，深圳市還對(duì)政府投資工程實(shí)行了強(qiáng)制保險(xiǎn)制度。但總體上我國(guó)工程保險(xiǎn)方面的法律法規(guī)還不完善，其它條件也不完全具備，因此目前還不能在全國(guó)范圍內(nèi)強(qiáng)制實(shí)行工程保險(xiǎn)制度。這樣保險(xiǎn)人對(duì)被保險(xiǎn)的代建單位、施工、監(jiān)理單位以及各類(lèi)專(zhuān)業(yè)人士的監(jiān)督作用就不能體現(xiàn)出來(lái)。如果沒(méi)

10、有工程擔(dān)保與保險(xiǎn)等相應(yīng)的配套措施作保障，代建單位將可能將很容易實(shí)現(xiàn)其非法謀取R的目的。 </p><p>　?。ㄋ模┊a(chǎn)權(quán)約束沒(méi)有完全形成 </p><p>　　雖然我國(guó)目前建筑業(yè)的承包商已是以私有產(chǎn)權(quán)為主，但國(guó)有產(chǎn)權(quán)的建筑企業(yè)以其技術(shù)、資金和管理實(shí)力依然在政府投資工程建設(shè)領(lǐng)域占主導(dǎo)地位；造價(jià)單位、監(jiān)理單位以及其它中介機(jī)構(gòu)很多還是政府部門(mén)的附屬物或掛靠的事業(yè)單位，有的即使脫鉤，也是明脫暗不脫

11、；有能力作為代建單位的多半也是以國(guó)有產(chǎn)權(quán)為主的建筑企業(yè)或其它機(jī)構(gòu)。在這種產(chǎn)權(quán)制度下，國(guó)有產(chǎn)權(quán)為主的代建單位以及承包商容易出現(xiàn)國(guó)有企業(yè)固有的代理經(jīng)營(yíng)風(fēng)險(xiǎn)，如其經(jīng)營(yíng)者非法牟利，獲取R乃至其它好處后，將代建單位以及承包商的風(fēng)險(xiǎn)轉(zhuǎn)移給納稅人。掛靠的造價(jià)單位、監(jiān)理單位以及其它中介機(jī)構(gòu)可能缺乏獨(dú)立性和公正性，不能充分發(fā)揮中介機(jī)構(gòu)在政府投資工程建設(shè)中應(yīng)有的作用。 </p><p>　　（五）政府監(jiān)管制度不嚴(yán)密 </p&g

12、t;<p>　　目前我國(guó)還沒(méi)有完善的政府工程預(yù)算審核制度，合同變更審查制度，索賠與反索賠審查制度，超預(yù)算支付審查制度，嚴(yán)格的竣工驗(yàn)收和后評(píng)價(jià)制度，以及嚴(yán)格的工程項(xiàng)目審計(jì)制度，責(zé)任追究制度等。例如，就索賠與反索賠審查制度而言，由于我國(guó)索賠與反索賠尚沒(méi)有完全開(kāi)展，因此就談不上這一項(xiàng)制度；竣工驗(yàn)收很多是走過(guò)場(chǎng)；基本沒(méi)有開(kāi)展政府投資工程項(xiàng)目的后評(píng)價(jià)工作；同時(shí)缺乏有效的輿論監(jiān)督，舉報(bào)制度不完善等等。這些監(jiān)管制度的缺失，使我國(guó)的政府投

13、資工程實(shí)行代建制后容易出現(xiàn)代建單位、施工、監(jiān)理單位以及中介機(jī)構(gòu)和各類(lèi)專(zhuān)業(yè)人士共同串謀分享R的風(fēng)險(xiǎn)。 此外，我國(guó)現(xiàn)有的工程項(xiàng)目管理公司不但在技術(shù)水平上還是管理水平上，以及數(shù)量上，都難以滿(mǎn)足大范圍推行代建制的要求。 總之，我國(guó)當(dāng)前尚未完全具備實(shí)行代建制的配套條件，如果在目前的情況下大面積推行代建制，則其優(yōu)點(diǎn)可能難以充分發(fā)揮。 </p><p>　　四、我國(guó)代建制風(fēng)險(xiǎn)的防范對(duì)策 </p><p>

14、;　　要防范代建制的風(fēng)險(xiǎn)，就應(yīng)完善代建制的配套制度： </p><p>　?。ㄒ唬┻M(jìn)一步完善政府投資工程的造價(jià)管理制度 </p><p>　　嚴(yán)格的工程造價(jià)管理制度可以盡量縮小R，從而降低代建單位與施工、監(jiān)理單位以及中介機(jī)構(gòu)和各類(lèi)專(zhuān)業(yè)人士共同串謀的積極性，這是防范代建制風(fēng)險(xiǎn)的關(guān)鍵所在。我國(guó)可以借鑒美國(guó)的做法，專(zhuān)門(mén)制定政府投資工程的“造價(jià)/工期計(jì)劃與控制規(guī)范”，按照全面造價(jià)管理的方法去管理政

15、府投資工程的造價(jià)；在工程造價(jià)信息發(fā)布方面充分發(fā)揮政府的作用和開(kāi)放民間造價(jià)信息發(fā)布渠道，使政府投資工程在制定工程預(yù)算時(shí)的參考數(shù)據(jù)更貼近市場(chǎng)；加強(qiáng)招標(biāo)監(jiān)督，建立和健全工程造價(jià)變更和工程結(jié)算以及超預(yù)算支付審查制度等等。 </p><p>　?。ǘ┻M(jìn)一步完善專(zhuān)業(yè)人士管理制度和施工監(jiān)理制度 </p><p>　　完善的專(zhuān)業(yè)人士管理制度可以使其保持敬業(yè)、嚴(yán)謹(jǐn)、清廉、公允的職業(yè)操守，如使監(jiān)理工程師在監(jiān)

16、理“執(zhí)法”中保持獨(dú)立與公正，讓代建單位與施工單位或其他單位的串謀行為不能得逞。我國(guó)可以借鑒香港的“認(rèn)可人士”制度，從加強(qiáng)各類(lèi)專(zhuān)業(yè)人士的管理人手，嚴(yán)格落實(shí)監(jiān)理制，實(shí)行“誰(shuí)簽字，誰(shuí)負(fù)責(zé)”、“認(rèn)人不認(rèn)單位”等制度，要求各類(lèi)專(zhuān)業(yè)人士通過(guò)負(fù)責(zé)任的簽字來(lái)保證整個(gè)工程的施工是嚴(yán)格按照招標(biāo)合同以及政府的相關(guān)法規(guī)進(jìn)行的。 </p><p>　?。ㄈ┻M(jìn)行產(chǎn)權(quán)改革，在此基礎(chǔ)上強(qiáng)制實(shí)行工程擔(dān)保與保險(xiǎn)制度 </p><

17、;p>　　為了增強(qiáng)產(chǎn)權(quán)約束，我國(guó)在實(shí)行代建制時(shí)，應(yīng)盡量選擇以私有產(chǎn)權(quán)為主體且產(chǎn)權(quán)明晰的單位作為代建單位，同時(shí)進(jìn)一步進(jìn)行國(guó)有建筑企業(yè)和掛靠的造價(jià)單位、監(jiān)理單位以及其它中介機(jī)構(gòu)的產(chǎn)權(quán)改革，并培育足夠多的合格項(xiàng)目管理公司。在強(qiáng)化產(chǎn)權(quán)約束的基礎(chǔ)上，強(qiáng)制實(shí)行工程擔(dān)保與保險(xiǎn)制度，以充分發(fā)揮后者在代建制中的重要作用。我國(guó)可以引進(jìn)法國(guó)的工程竣工十年責(zé)任險(xiǎn)，并強(qiáng)制代建單位購(gòu)買(mǎi)，以增強(qiáng)對(duì)代建單位的約束。 </p><p>　　

18、（四）健全和完善代建制的各項(xiàng)政府監(jiān)管制度 </p><p>　　我國(guó)應(yīng)進(jìn)一步完善政府工程的預(yù)算審核制度，招標(biāo)投標(biāo)監(jiān)督制度，合同變更審查制度，索賠與反索賠審查制度，超預(yù)算支付審查制度，嚴(yán)格的竣工驗(yàn)收和后評(píng)價(jià)制度，以及嚴(yán)格的工程項(xiàng)目審計(jì)制度，責(zé)任追究制度和輿論監(jiān)督與舉報(bào)制度；同時(shí)建立和完善代建單位以及承包商、供應(yīng)商的資質(zhì)管理制度，實(shí)行代建單位、施工、監(jiān)理單位以及中介機(jī)構(gòu)和各類(lèi)專(zhuān)業(yè)人士的“黑名單”制度、準(zhǔn)人與禁人制度；

19、強(qiáng)化各類(lèi)專(zhuān)業(yè)人士的建筑法規(guī)約束，專(zhuān)業(yè)人士組織、專(zhuān)業(yè)人士工作條例、職業(yè)道德標(biāo)準(zhǔn)的約束以及市場(chǎng)機(jī)制、信譽(yù)約束等等。這樣可以盡量降低代建制的風(fēng)險(xiǎn)。 </p><p><b>　　五、結(jié)束語(yǔ) </b></p><p>　　我國(guó)已將代建制作為政府投資工程建設(shè)管理的改革方向，一些地方的代建制試點(diǎn)也證明了該制度的優(yōu)點(diǎn)。但代建制并非沒(méi)有風(fēng)險(xiǎn)，如果在其配套制度不健全的情況下冒然大范圍地

20、采用，其弊端將會(huì)不斷顯現(xiàn)。不過(guò)總體而言，代建制的優(yōu)點(diǎn)是不言而喻的，我們所要做的是盡可能認(rèn)識(shí)其可能的風(fēng)險(xiǎn)并進(jìn)行相應(yīng)的制度完善與創(chuàng)新，以充分發(fā)揮其在政府投資工程建設(shè)管理中的作用。</p><p>　　Agent theory of project risk and its prevention</p><p>　　1 Introduction</p><p>　　Org

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23、ruction of the investment main body responsibility, so th</p><p>　　2The background of China's reform of agent</p><p>　　Government investment project adopts agent method can overcome the &quo

24、t;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 ma

25、rket 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 directio&

26、lt;/p><p>　　3 the acting system supporting system in our country the status quo and facing the risk</p><p>　　3.1the government, the project cost management system is not perfect</p><p>

27、;　　The 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 ministri

28、es 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 can't

29、 effectively reduce the time limit for a project and the uncertaint</p><p>　　3.2professional management system is not sound</p><p>　　Our country has not yet been to the construction of various t

30、ypes 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 et

31、hical 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", "

32、engineering co</p><p>　　3.3failed to fully implement engineering guarantee and insurance system</p><p>　　Our country did not establish a mandatory performance guarantee system of government inve

33、stment 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 carryi

34、ng 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 fo</p><p>　　3.4pro

35、perty rights constraints, not fully formed</p><p>　　predominantly private property rights, but the state-owned property right of construction enterprises with technology, capital and management strength is s

36、till 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

37、 bright and dark not to take off; Enterprises have the ability as a mostly is mainly state-owned property right of constructi</p><p>　　3.5 imprecise government regulation system</p><p>　　At pres

38、ent 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 o

39、f 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 fu

40、lly developed, and the result is far from this one sy</p><p>　　4agent risk prevention countermeasures in our country</p><p>　　To prevent the risk of acting system, should perfect the supporting

41、system of agent:</p><p>　　4.1 to further improve the cost management system of government investment project</p><p>　　Strict engineering cost management system can be minimized R, thus reducing

42、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

43、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 comprehen</p

44、><p>　　4.2to further improve the system of professional management and construction supervision system</p><p>　　Perfect professional management system to keep it professional ethics, rigorous, hone

45、st, 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 succ

46、eed. Can draw lessons from Hong Kong's "recognition" system in our country, from strengthen the management of all kinds of professional staff, strictly implement the supervision system, implement "who

47、sign</p><p>　　4.3property right reform, on the basis of enforcing engineering guarantee and insurance system</p><p>　　To strengthen property rights constraints, when acting system is implemented

48、 in our country, should choose as far as possible in units of private property rights as the main body and property right clarity as the construction unit, at the same time further state-owned construction enterprises an

49、d the cost of call unit, supervision unit, and other intermediary institutions of property rights reform, and cultivating enough qualified project management company. On the basis of strengthening propert</p><

50、p>　　4.4improve and perfect acting system of the government regulation system</p><p>　　Our country should further improve the system for engineering budget audit supervision system, bidding and tendering c

51、ontract 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 sys

52、tem and the system of supervision by public opinion and report; At the same time establish and improve the qualifications of the construction units and contractor</p><p>　　5the conclusion</p><p>

53、;　　Has been acting system in our country as the reform direction of the government investment project construction management, some parts of the pilot acting system proved the advantages of the system. Agent are not with

54、out risks, if in the case of its supporting system is not sound converse widespread adoption, its defects will be constantly emerging. But overall, the advantage of agent is self-evident, we need to do is try to know the