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论文编号：	3936
作者编号：	2220090825
上传时间：	2011/12/8 9:40:36
中文题目：	基于代建制的政府BT项目管理模式研究
英文题目：	The Research on Agent Construction System of Government BT Project Management Mode
指导老师：	焦媛媛
中文关键字：	代建制 BT模式 项目管理
英文关键字：	agent construction system; BT mode; project management
中文摘要：	随着经济快速发展和城市化进程的加快，作为政府投资的城市基础设施建设投资需求紧张和政府财政资金短缺的矛盾较为突出，为了缓解建设期财政资金的压力，近年来，众多城市均大规模的采用了BT模式进行城市基础设施和公用事业项目的建设，BT融资建设模式已广泛应用于我国城市基础设施建设，并取得了积极的成效。 BT（Build-Transfer）是政府或政府的授权机构通过合同约定，引入国内外资金或民间资金，由投资商负责拟建项目的融资和建设，政府在项目建成后进行回购的一种融资建设模式。通过信用再造，将政府直接投资的公益性基础设施项目转化为盈利性项目，并通过项目回购安排，保证了BT投资商的投资收益和资金的退出路径，提升了项目的信用水平。BT项目的交易结构安排，为社会资金进入基础设施建设领域创造了条件，为金融资本的进入提供了保障。 本文研究了将代建制融入BT模式的项目管理模式，这种模式已被许多投资商采纳运用。通过进一步研究，增进了对项目管理相关理论知识的了解、运用及探索、发展，特别是结合BT项目的特点，对项目成本管理、进度管理、质量管理、合同管理等方面的理念、工具、方法、技巧等进行充分地论证、创造性地运用。与传统的代建制模式相比，BT模式由工程发包转变成为一种招商行为，法律关系、责权关系、资金流向均有较大不同。作为一种新型的项目融资建设模式，我国城市基于代建制的BT模式不仅使规划建设的项目能够如期实施，而且保障了尽早完成，同时有效地缓解政府建设资金的压力，从而保证了社会经济利益的提早实现和社会利益的实现；同时还有利于引导民间资金，而且还吸纳外埠资金进入本地区项目建设中，促进地方的经济发展，同时有利于政府对财政政策的顺利调控和实施；运用金融手段面向市场招募有实力的大型企业参与市场竞争，有利于采用先进的技术和管理方法进行项目建设，有利于培养和引进施工建设领域的高端企业，有利于各项目标项目顺利实施完工；同时还有利于大型企业获得良好的信誉和资信，同时有利于他们组织大型工程施工的优势，发挥投资方的投资主动性和积极性，缩短建设周期，分解业主的项目管理压力；采用的固定总价合同可以锁定工程造价和工期，避免一系列原因造成的变更和延期，对于健全工程项目的风险约束机制、控制工程项目投资和工程项目质量、强化工程项目投资主体责任、提高工程项目投资资金的利用效益等方面起到积极的作用。 BT模式中融了入代建制的项目管理模式，已被许多投资方采纳运用。本论文通过分析政府的代建制BT项目管理模式，进一步了解和运用项目相关理论知识，同时还起到了探索和发展，同时还结合BT项目的特点，对项目进度管理、项目成本管理、项目合同管理、项目质量管理等方面的理念、技巧、方法等进行充分地创造性地运用和论证。 BT模式在实际项目中的应用是多样化的，每个项目根据其特点会略有不同，完全相同的BT模式项目是不存在的。但是BT模式项目的运行阶段大都相同，一般都包括项目发起、立项和前期准备，BT项目招投标和签订合同，组建BT项目公司，工程融资建设，移交和付款五个阶段。 在BT项目的第一个阶段，BT项目发起人首先要确定项目的技术方案和设计规模，并且要进行项目的可行性研究，同是还要完成项目的立项工作以及取得政府的授权，BT项目的招标的相关准备工作也在这一阶段完成。而这一切的工作都要根据项目实际情况和客观需要。有的BT项目的勘察和设计工作也在此阶段完成。 在BT项目的第二阶段，也就是招投标和签订合同阶段。BT项目发起人要在招标前拟定招标文件、确定评标标准，然后根据相关法律文件，按照招投标的相关规定进行招标、评标，在有人中标后与中标人谈判，最后签订BT模式投资建设合同。 在组建BT项目公司阶段， BT项目的主办人成为主体，主办人要根据BT模式投资建设合同的要求，首先需要在项目的所在地注册，成立专门的BT项目公司，这样才能实现融资，吸引其他的投资者。 在工程融资建设阶段， BT项目公司作为项目主体需要组织落实项目建设资金、土地及建设手续的审批、勘察设计的深化、施工及监理合同的签订等工作，并尽快组织开始施工。 在工程竣工后，需要对工程进行移交，这时BT项目发起人按照BT模式投资建设合同的约定进行款项支付，BT项目公司需要偿还贷款并进行清算等工作。如果一切顺利就可以向BT项目发起人或其指定的运营管理机构进行移交。如果此时尚在工程质量保证期内，那么BT项目公司在进行清算后，应该由BT项目主办人来承担质保责任。 代建制与BT方式的有效结合，即政府作为城市市政基础设施和纯公益性项目的最后“买单人”，在筹资建设项目方式上，打破了以往的直接进行工程实施各环节、全过程的微观管理控制方式，转而采用建设、移交方式，委托工程代建部门进行筹资建设，变直接的投资建设管理为间接的用货币到市场购买公共产品和服务。推行政府投资项目BT方式代建，缓解了政府筹资压力、节约了工程总投资、实现了工程领域资源配置兼顾效率与公平。
英文摘要：	With the rapid economic development and urbanization, the conflict between the needs of infrastructure construction investment and government financial shortage becomes severe. In order to release the pressure of construction finance, many cities recently adopt the BT mode in urban infrastructure and public utilities construction projects in a large scale. BT financing construction mode has been widely used in the infrastructure construction in our country which has achieved positive results. BT (Build-Transfer) mode is agreed upon in a contract by government and government authorized agencies. It is a financing construction mode that introduces foreign funds and private funds, the investor is responsible for the financing and construction of the proposed project, government will repurchase it after completion. Through credit recycling, it will transfer the welfare projects, which is directly founded by government, into profit projects, and it will ensure the profit and the capital exit path of BT investor through repurchasing that will help to enhance the credit level of the project. The deal structure arrangement of BT project will create the environment for social funds to enter the field of infrastructure construction as well as provides guarantee for financial entry. In this article, the BT project management mode is merged into the agent system that has been adopted by many investors already. Through further researches, further understanding, adaptation, discovery, development has been made towards the related theory. Especially by the combination of BT character, this article made fully demonstration and creative adaptation towards the concept, tools, methods of project cost management, schedule management, quality management and contract management. Compared with the traditional mode of construction agent system, BT mode has changed project procurement into an act to attract investment, which is largely different in terms of legal relationship, debtor-creditor relationship and fund flow. As a new project funding raising mode, China’s urban BT mode that is based on construction agent system can not only ensure the planed project to be constructed as scheduled, but also ensure a completion as early as possible, which effectively eased government’s construction fund pressure so as to benefit the society and economy earlier.Meanwhile it will help direct private funds and absorb capitals from other cities into local construction projects, which will promote local economic growth and help government control and conduct fiscal policies smoothly. Using financial instrument to attract powerful large enterprises into market competition will benefit project construction which adopts advanced technologies and management strategies; and the cultivation and introduction of high-end enterprises related to building constructions; and will facilitate the completion of each objective projects. It will also help large enterprises to have a good reputation and credibility, the advantage to organize large construction, and to make full use of investor’s initiative and enthusiasm, which can shorten construction cycle, which will ease proprietor’s managing pressure. Fixed price contract can lock the construction cost and time limit so as to avoid any change or delay caused by some reason, which is playing an active role in improving the risk constraint mechanism of the construction, controlling the investment and quality of the construction, strengthening the responsibility of the construction’s main investors, and improving the effective use of the construction’s capital, etc. BT mode has combined the management pattern of the mode of construction agent system, which has been adopted by many investors. Based on the analysis of the government’s BT project management pattern under the agent construction system, this paper has a deeper understanding and using theories and knowledge related to project management. Besides, it also discussed its exploration and development. What’s more, according to the characteristics of BT project, this paper is a creative application and demonstration of the ideas, skills, methods of project schedule management, cost management, contract management, and quality management, etc. Application of BT mode in real projects is various. Each project has a distinctive feature and there is no such thing as an exactly the same BT mode project. However, operating stages of each BT mode project are very much the same, including project establishment, approval and initiation of a project, preparation, bidding and contract signing, establishing a BT project company, fund raising, transfer and payment. In the first stage of a BT project, the sponsor should first determine the technical plan and the design scale and completes some feasibility study for this project. Meanwhile the sponsor should complete the approval and initiation of the project and obtain government’s authorization. Biding and relevant reparations should also be done at the same time. All these works should be done according to the actual condition and objective requirements. Part of the investigation and designing of a BT project is also done in this stage. In the second stage, namely bidding and contract signing, before starting the bidding, the sponsor will have to lay down some bidding documents, determine the evaluation criteria, and then begin the bidding and evaluating according to some relevant legal procedures. After the successful bidding, the sponsor should open a negotiation with the bid winner, followed by signing a BT mode investment and construction contract. In the incorporation stage, subject of this project is entrepreneurs who will first, according to the contract’s requirement, register at the project site, and establish a BT project company so as to complete fund raising and attract other investors. In the fund raising stage, the BT project company, as the subject of the project, will have to complete fund raising, obtaining an approval to land use and construction formalities, deepening the investigation and designing, signing contracts with construction party and construction supervisors, etc, and then start construction as soon as possible. Upon completion, the project needs to be transferred. Sponsor of this BT project will pay the amount of money that is agreed on in the contract. The BT project company will pay off the loans and close the account. If everything goes smoothly, the project can be transferred to the project sponsor or a designated operation management agency. If the date of quality guarantee is not due at that time, when the BT project company has closed the account, the entrepreneur should be responsible for its quality. The effective integration of agent construction system and BT mode means that the Government will be the underwriter of infrastructure construction and public welfare projects. In the way of financing construction projects, we have broken the previous micro management control of directly controlling all the aspects and stages during the process and using the construct-transfer method now. We invited agent construction section to do the financing and construction. Thus we can transfer the directly construction investment mode to the mode of purchasing public goods and services indirectly. By promoting BT mode, we can release the financing burden of government; save the total investment of the project; realize the effectiveness and fairness of resource allocation.
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