中国对外援助工程的风险管理模式及其政策研究

【作者】 俞子荣；

【导师】 张杰；

【作者基本信息】 对外经济贸易大学 ， 工商管理， 2003， 硕士

【摘要】 工程项目管理中实际结果与预期结果间的不确定性称为工程风险。 对外援助工程是跨国工程建设和管理中的一个特殊领域。它以政府行为为主导，在工程风险的深度和广度上更具纷繁复杂的特点。因此，通过有效的风险管理控制和分散工程风险就成为援外事业健康发展的必然要求。 根据“风险管理系统”理论，风险管理是包括风险识别、风险分类、风险分析、风险态度和风险应对等五个阶段在内的管理系统，并最终落实在风险应对上。风险应对包括风险自留、风险降低、风险转移和风险回避四种基本形式。对风险应对的四种基本形式进行不同的组合就形成了不同的风险管理模式。 本文全面回顾了中国50年来援外工程风险管理模式的发展和延革，重点分析介绍1997年以来对外援助工程新型风险管理模式的建立和发展。新型风险管理模式以合同价款调整机制、工程保险制度和预备费包干制等三项制度为主体，建立起了政府、企业和保险人合理分担风险的机制。但是，新型风险管理模式在运行的过程中也面临新的问题和挑战，在结构、体系和运作上仍然存在着很多有待改进的薄弱环节。 本文从政府作为援外工程的行政管理者和“代业主”的特殊视角，全面审视援外工程风险管理模式的宏观管理和微观运作，研究提出了进一步改进援外工程风险管理模式运作并引入制度创新的政策建议。更多还原

【Abstract】 The uncertainty between the reality and the expected results of engineering project management is so-called as the Engineering Risk.The Governmental-aided Engineering Project is a special field in term of the trans-national project construction and management, which is dominated by the governmental behavior and has a more complicated feature of engineering risks in depth and width. So, controlling and diverting engineering risks through effective risk management is certainly demanded for promoting the further development of governmental aid career.In accordance with the theory of RISK MANAGEMENT SYSTEM, risk management is a systematic mechanism composed of five steps, which are risk judgment, risk classification, risk analysis, risk attitude and risk resolution. And the final purpose of risk management is risk resolution. Risk resolution has four basic forms including risk assumption, risk reduction, risk diversion and risk evasion. Different combinations of these four basic forms create the different models of risk management.This article comprehensively reviews the 50-years-long change and development of the risk management models of Chinese Governmental-aided Engineering Projects, and mainly analyzes and introduces the establishment and development of the NEW RISK MANAGEMENT MODEL of Chinese Governmental-aided Engineering Projects since 1997. The new risk management model with the principle part composed of three institutions, which are contract-price adjustment, engineering insurance and total responsibility of pre-reservation expenses, establishes a mechanism to reasonably divert and assume the engineering risks between the government, enterprises and insurance companies. But the new risk management model also faces some new problems and challenges, and has some weaknesses to be improved in term of structure, system and practice.In specific view of the Government as both the administrator and formal owner of the Governmental-aided Engineering Projects, this article comprehensively goes over the macro-management and micro-practice of the risk management model of the Government-aided Engineering Projects and put forward some policy suggestions to further improve practice of the risk management model and introduce creative institutions.更多还原