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  • 學位論文

利用三方協議契約型式保證履約制度之研究

Research on the use of three-party agreement contract type to ensure compliance system

指導教授 : 曾惠斌

摘要


公共工程採購決標之後,首要的目標就是如期、如質完成履約,當得標廠商繳交履約保證金並完成簽約開始,採購機關、擔保銀行與廠商便須一同面對長達數年工期的風險,其中包括工程面相關風險,也包括非工程相關的風險,如氣候的風險、甚至大環境人力缺乏與物價波動的風險…等。不論契約內容規定這些風險責任為可歸責於廠商或非可歸責於廠商之因素,一旦公共工程因故中斷履約甚至終止,除了造成工程上的嚴重損失之外,其影響範圍將擴及全民如公眾安全、褔利及大眾使用等攸關全民之褔址,因此不得不謹慎探討保證履約機制是否有周全之保障。 本研究為了從不同角度去探討保證履約之問題,除了針對財務、法律及工程技術等三個不同面向進行探討之外,另外也蒐集國外保證履約機制作為研究之參考,範疇包括國內外履約保證制度之演變過程、履約保證金之額度差異、開立保證金之機構…等,期望從中剖析更全面的保證履約概念,進而探討目前國內可供改善與利用之法源及機制。 由於目前國內履約保證制度中,履約保證金為廠商最常出具之保證型式,但履約保證金的功能仍以補償機關因廠商不履約所衍生之損失為主,但10%的額度並無法保證足以補償所有損失。因此本研究利用106年立法院財委會通過三方合約之機制,希望藉由三方之照會協議,讓三方間資訊更為透明,除了讓更多透明資訊提供保障外,也有機會讓透明的資訊提早發現履約的問題並提早解決無法履約之危機。 觀察國內工程發生無法履約的案例,機關於廠商無法違約時,雖可沒收銀行連帶保證金,但面對後續重新發包的複雜作業與工程嚴重延誤的窘境,絶非原本訂定履約保證金之目的與精神。瀕臨違約的工程如同醫院的病人一樣,需要透過定期監控、多方診斷並對症下藥,如果工程共同體的機關與保證銀行,能夠提早發現履約困難的病因,合理協助廠商解決困難,對於機關與保證銀行來說,也是保障自身權益之最好方法,建立三方皆贏的履約保證制度,為本研究之目的。

並列摘要


After the public construction procurement is awarded, to complete the contract content on scheduled date and quality is the primary goal. When the successful tenderer paid the performance bond and signed the contract, the procurement authority, guaranty bank, the contractor will be facing the risk for several years. Risks during construction, including engineering-related risks and non-engineering-related risks, e.g., climate risks, the lack of human resources and fluctuations of price ... etc. Once the public construction is suspended or even terminated due to the risks mentioned above, regardless of whether it is attributable to the contractor or not, it will not only cause serious engineering losses, but also jeopardize the public welfare such as public safety, social profitability, and public access. Hence, it is necessary to explore whether the performance guarantee is well function. By sketching out a whole picture, this thesis aims at advancing the regulations and mechanisms of performance guarantee. The discussion centers on the development of the performance guarantee, the difference in the amount of performance bond and the guarantee institution with respect to financing, law and engineering technology by surveying several mechanisms in Taiwan and other countries. The performance bond is the most common type of performance guarantee for compensating the loss arising from the default. However, the amount of performance bond, which is 10% of the total contract price in general, is not able to cover all losses arising from default. Hence, it is worthy for this study to explore the mechanism of the Tripartite Contract adopted by the Finance Committee of the Legislative Yuan in 2017, which enhances the transparency between parties and offers an opportunity to prevent the default. The experiences of defaults by public construction contractor in Taiwan show that even though the performance bond may be forfeited by the government, the unwanted delays and difficulties of re-procurement is opposed to the purpose and the spirit of the performance guarantee. Like patients in the hospital, the potential default party should be monitored and diagnosed in the right way. The procurement authority and the guarantee bank's interest can be protected by finding out the cause of difficulties in the early phase of implementation, and by assisting the manufacturer to solve the problem. The purpose here is to propound a win-win-win performance guarantee mechanism.

參考文獻


一、中文部分
行政院公共工程委員會(2018),107 年政府採購執行情形報告,108年3月。
最高法院新聞稿(2013)102年4月3日,台北市政府工務局水利工程處與日盛國際商業銀行股份有限公司間請求給付履約保證金事件新聞稿。
押標金保證金暨其他擔保作業辦法(2013)。
行政院公共工程委員會(2019),108年度中央政府總預算案預算報告。

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