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分类号:F062.4 密级:
天津理工大学研究生学位论文
承包商视角下业主风险再分配
的应对研究
(申请硕士学位)
学科专业:技术经济及管理
研究方向:投资决策与工程造价管理
作者姓名:
指导教师:XX 副教授
2011 年 1 月
![](https://csdnimg.cn/release/download_crawler_static/74782752/bg2.jpg)
Thesis Submitted to Tianjin University of Technology for
the Master’s Degree
Research on Contractor’s Dealing with
the Risks Reallocated by the Owner
By
XX
Supervisor
Associate Prof. XX
Jan.2011
![](https://csdnimg.cn/release/download_crawler_static/74782752/bg3.jpg)
独创性声明
本人声明所呈交的学位论文是本人在导师指导下进行的研究工作和取
得的研究成果,除了文中特别加以标注和致谢之处外,论文中不包含其他
人已经发表或撰写过的研究成果,也不包含为获得 天津理工大学 或
其他教育机构的学位或证书而使用过的材料。与我一同工作的同志对本研
究所做的任何贡献均已在论文中作了明确的说明并表示了谢意。
学位论文作者签名: 签字日期: 年 月 日
学位论文版权使用授权书
本学位论文作者完全了解 天津理工大学 有关保留、使用学位论文
的规定。特授权 天津理工大学 可以将学位论文的全部或部分内容编入
有关数据库进行检索,并采用影印、缩印或扫描等复制手段保存、汇编,
以供查阅和借阅。同意学校向国家有关部门或机构送交论文的复本和电子
文件。
(保密的学位论文在解密后适用本授权说明)
学位论文作者签名: 导师签名:
签字日期: 年 月 日 签字日期: 年 月 日
![](https://csdnimg.cn/release/download_crawler_static/74782752/bg4.jpg)
摘要
本研究通过对目前建筑市场承发包现状的分析,发现在工程承发包阶段,业主处于
优势地位,其可以将大量的风险再分配给承包商,而承包商由于自身的风险管理水平相
对比较低下,对业主再分配的风险应对不利,最终导致工程出现许多纰漏,因此本文研
究承包商应如何应对业主再分配的风险。
首先本研究通过对可预见性风险分担原理、可管理性风险分担原理、法经济学风险
分担原理的分析,确定风险分担的原则,结合 99 版施工合同范本和 07 版标准施工招标
文件确定业主和承包商之间最佳的风险分担内容,也就是业主风险再分配之前合理的风
险分担方式。
其次基于风险管理的过程分析,本研究通过合同文本调研的方式,识别出业主再分
配的风险内容,之后就不同风险因素对承包商的重要程度进行评价,为风险的应对做好
铺垫。
根据合同管理理论,将风险应对分为三个阶段,招投标阶段、谈判阶段和实施阶段。
招投标阶段,承包商主要的应对措施为识别出业主再分配的风险,并决定是否要回避风
险,放弃工程;另外承包商一方面通过计算风险费用应对风险,另一方面通过不平衡报
价减少自己的损失,同时规避掉一定的风险。谈判阶段主要是对业主未在合同中约定的
风险进行明确,而实施阶段则根据具体风险的情况,通过不同的措施进行应对。
关键词:再分配风险 风险应对 合同
![](https://csdnimg.cn/release/download_crawler_static/74782752/bg5.jpg)
Abstract
Through the analysis on the contracting situations in construction market, it is discovered
that in contracting stage, the owner stands on a dominant position. The owner could
re-allocation large amount of risks to contractor. However, as the contractor usually has a low
managing level and he could not deal the risks re-allocated to him well, a lot of construction
issues exposed. Therefore, this thesis selects to make research on the risks re-allocated to
contractor by the owner.
Firstly, through the analysis on the predictable risk sharing principle, manageable risk
sharing principle and legal economy risk sharing principle, the risk allocation principle is set.
Combining the 99 version construction textbook and 07 version standard bidding documents,
the best risk sharing model between the contractor and owner is proposed. It is also the
premise for owner’s risk re-allocation.
Secondly, based on risk management theory, the re-allocated risks are identified through
the way of real contract research; the interior. Then the re-allocated risks are evaluated for
importance degree to the contractor through questionnaire research. It makes a good
preparation for the risk counteracting.
According to contract management theory, risk counteracting process is divided into
three stages: tendering stage, negotiation stage and implementation stage. In tendering stage,
the main counteracting measures are to identify the risks re-allocated by the owner, make
analysis on the risk combinations and therefore decide if the contractor should give up the
project so as to avoid the risks. In negotiation stage, the main counteracting measure is to
clearly define the risks that should be undertaken by the owner. In implementing stage, the
main counteracting measure is decided on particular conditions.
Key words:Reallocated risk,Risk counteracting,Contract
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