Patterns of Exit Stratagem in Public Engineering Contract Termination

在執行公共工程中，履約過程時常出現各種風險，例如廠商履約能力不佳、蓄意不履約、財務發生困難、設計變更爭議或其他因素造成廠商不願繼續進場施作，而使契約內原本應負擔之風險擴大，所以，採購機關除了依規定執行外，當契約執行中之風險已大到難以控制、無法降低或工程保險之承保範圍外，或是不願承保時，可能必須用契約終止方式，以終止風險；但契約即使終止，也有可能尚未達到終止風險之目的。合適的「退場機制」運用在契約終止之執行上，可以協助達成「風險終止」之目的。所謂「風險終止（Risk Termination）」，即是將契約執行中之風險阻斷或凍結，防止災害的擴大及衍生。 本研究以探討公共工程風險，以及如果要中途終止風險之情境及方式，來研議「公共工程之退場機制」，且依據相關法令及擷取臺北市政府93年以後之案例計20個，分析並找出契約終止而風險未終止以致無法順利退場之問題及風險影響因子，研析出退場機制之現況問題，依其課題建構有效退場機制之因應對策，藉由辦理契約終止之程序，達到風險終止目的，並建議納入公共工程契約內，提供政府機構參考，使採購機關對風險之防範有更佳的途徑。While undertaking public engineering projects, various risks may arise, for instance: incompetence of the contractor, deliberate breaking of the contract, unforeseen financial difficulties, disputes regarding design modification, or other factors which make contractors unwilling to continue working on the project, which cause risks that were originally covered by the contract to be increased. Thus, choosing a strategy, other than continued operation at a time when the risk involved and continuing contract operation is difficult to control, is necessary. If it is impossible to decrease the scope of engineering insurance coverage, or the company is unwilling to insure, contract termination is a possible choice, which could end risk; but contracts, if terminated, could have yet to achieve the goal of risk termination. Appropriate exit stratagems utilize contract termination, and thus assist in achieving the goal of risk termination. So called ‘Risk Termination’, is namely when the risk of contract operation becomes blocked or frozen, thus preventing a disaster from doing further damage. This paper explores public engineering risks, and, circumstances which, if arising, would cause one to want to stop risk halfway, in which case ‘Public Engineering Exit Stratagems’ could be used. Furthermore, on the basis of related laws, and by selecting 20 documented post-2004 Taipei City Government cases, this paper analyzes terminated contracts: ones not terminated by risk, so that smoothly exiting becomes problematical and risk influence is a factor. Therefore, it has been found that current exit stratagem, according to textbook constructs, is an effective exit strategy, and, although necessitating contract termination, achieves the goal of risk termination. Additionally, it is advocated that in public engineering contracts, there should be provision for observance by government organizations, allowing companies to be on their guard and understand the risk involved in their actions.謝誌..............................................................................................................................一 中文摘要......................................................................................................................二 Abstract........................................................................................................................三 章節目錄......................................................................................................................四 圖目錄..........................................................................................................................七 表目錄..........................................................................................................................八 第一章 緒論 1.1研究動機與目的..................................................................................................1 1.1.1研究動機.......................................................................................................1 1.1.2研究目的.......................................................................................................2 1.2研究範圍與內容..................................................................................................3 1.2.1研究範圍.......................................................................................................3 1.2.2研究內容.......................................................................................................3 1.3研究方法與流程..................................................................................................4 1.3.1研究方法.......................................................................................................4 1.3.2研究流程.......................................................................................................5 第二章 文獻回顧 2.1公共工程之論述..................................................................................................6 2.1.1公共工程之定義...........................................................................................6 2.1.2公共工程制度...............................................................................................6 2.2公共工程與風險管理..........................................................................................8 2.2.1風險之定義與分類.......................................................................................8 2.2.2公共工程之風險...........................................................................................8 2.2.3公共工程之風險管理.................................................................................10 2.3相關法令對契約終止之規定............................................................................12 2.3.1民法.............................................................................................................12 2.3.2政府採購法.................................................................................................12 2.3.3工程採購契約要項.....................................................................................14 2.3.4政府採購法施行細則.................................................................................14 2.4工程契約範本對契約終止之規定....................................................................15 2.4.1工程採購契約範本.....................................................................................15 2.4.2臺北市政府工程採購契約範本.................................................................17 2.4.3FIDIC施工契約條款...................................................................................20 2.4.4FIDIC簡明契約...........................................................................................24 第三章 公共工程契約與法律關係概述 3.1公共工程契約之法律概述................................................................................28 3.1.1承攬之概念.................................................................................................28 3.1.2契約之成立.................................................................................................28 3.1.3公共工程契約之性質.................................................................................28 3.2公共工程契約終止之法律意義........................................................................30 3.2.1契約解除及契約終止之區別.....................................................................30 3.2.2契約終止之意義及效力.............................................................................30 3.2.3公共工程契約終止之執行情形.................................................................33 3.3公共工程契約終止之損害賠償........................................................................36 3.3.1損害賠償之概念.........................................................................................36 3.3.2損害賠償之方法.........................................................................................36 3.3.3損害賠償之範圍.........................................................................................36 3.4小結....................................................................................................................38 第四章 契約終止之案例調查與分析 4.1案例說明…………............................................................................................39 4.1.1案例之風險管理說明.................................................................................39 4.1.2基本資料.....................................................................................................40 4.2案例調查與分析................................................................................................42 4.2.1案例執行情形與探討.................................................................................42 4.2.2契約終止原因.............................................................................................62 4.2.3現況執行及結果.........................................................................................65 4.3風險終止退場機制之檢討................................................................................67 4.3.1案例風險分析與評估.................................................................................67 4.3.2工地接管風險與評估.................................................................................69 4.3.3風險處置.....................................................................................................72 4.3.4風險終止退場機制之檢討.........................................................................73 4.4小結....................................................................................................................76 第五章 公共工程契約終止退場機制之建立 5.1退場機制之課題與解決對策............................................................................77 5.1.1課題分析.....................................................................................................77 5.1.2解決對策.....................................................................................................80 5.2契約終止之風險終止退場機制作業流程........................................................84 5.2.1可歸責乙方因素處理模式建立.................................................................84 5.2.2不可歸責雙方因素處理模式建立.............................................................85 5.2.3可歸責甲方因素處理模式建立.................................................................86 5.3小結....................................................................................................................87 第六章 結論與建議 6.1結論....................................................................................................................88 6.2建議....................................................................................................................89 6.3後續研究建議....................................................................................................91 參考文獻......................................................................................................................92 圖目錄 圖1.1 「公共工程契約終止之退場機制模式研究」研究流程圖...........................5 圖2.1 風險管理架構圖..............................................................................................10 圖3.1 公共工程終止契約之法律關係......................................................................33 圖4.1工程預算金額比率圖........................................................................................40 圖4.2工程類別比率圖...............................................................................................41 圖4.3 契約終止原因比率圖......................................................................................64 圖4.4 契約終止與風險終止關係圖..........................................................................67 圖4.5 公共工程契約終止風險處置程序圖.......................................................... ...73 圖4.6 機關與廠商風險影響因子對應圖..................................................................74 圖4.7 「工地接管」工程部分處理程序圖.................................................................75 圖4.8「工地接管」財務部分處理程序圖................................................................75 圖5.1 可歸責乙方因素退場機制處理流程圖..........................................................84圖5.2 不可歸責雙方因素退場機制處理流程圖......................................................85 圖5.3 可歸責甲方因素退場機制處理流程圖..........................................................86 表目錄 表4.1 案例執行情形與探討結果表..........................................................................42 表4.2 契約終止原因分配表......................................................................................64 表4.3 現行退場機制產生爭議結果表......................................................................66 表4.4 案例風險影響因子與等級評估彙整..............................................................68 表4.5 案例風險影響因子與評估關係表..................................................................69 表4.6 公共工程契約終止之退場處理事項（工程部分）......................................71 表4.7 公共工程契約終止之退場處理事項（財務部分）......................................72 表4.8 案例風險影響因子與等級評估檢視表..........................................................7