风险分担对工程项目管理绩效的作用机理研究
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摘要
目前，我国建筑业仍处于高增长时期，全社会固定资产投资规模近十年来持续保持高增长态势，与之伴行另一现象则表现为业主与承包商之间的工程合同纠纷频发，极大地制约了建设工程的项目管理绩效改善。其原因，在很大程度上可以归结为业主与承包商之间未能合理地分担工程项目风险，而其根源则在于工程项目合同风险对于项目管理绩效的作用机理未能得到明确地揭示，对于建筑工程交易市场中处于垄断地位的业主合理分担工程项目风险的激励与实践指引不足。有鉴于此，本文通过文献研究、理论推演、问卷调查与实证分析等方法，来探索风险分担与工程项目管理绩效之间的关系，揭示其内在的作用机理。本文主要在以下几方面进行了深入地探讨：
1.基于系统梳理工程项目风险分担的研究成果，以契约经济学、项目治理等理论为基石分析并重构了工程项目风险分担的理论框架，将风险分担的事前约定与事后治理有机结合，构建了一个包括缔约阶段的初始风险分担与履约阶段的风险再分担的理论模型，完善了工程项目风险分担的基本理论框架。
2.基于契约经济学的不完全合同理论，具体分析了初始合同与再谈判过程中的合同效率实现机制，并基于风险分担作为交易合同安排核心要素的逻辑将初始合同、再谈判及合同效率分别映射于初始风险分担、风险再分担与项目管理绩效，构建了风险分担之于工程项目管理绩效的关联模型，在风险分担与项目管理绩效相互关系的已有研究成果的基础上，提出了本文研究的理论假设。
3.基于文献归纳与理论演绎，并充分借助专家经验，对于初始风险分担、风险再分担与工程项目管理绩效进行了操作化定义，开发了上述核心概念的测量量表，并基于收集的实践样本项目数据，对于测量量表进行了信度与效度检验。
4.基于本文收集的154个样本项目实践数据，运用结构方程模型方法，对本文提出的研究假设进行检验，揭示了初始风险分担→风险再分担→工程项目管理绩效的作用机理，并进一步分析了上述核心变量不同构面之间的具体作用路径。
The construction industry in China is still in a period of high growth at present.The growth of total investment in fixed assets continues to maintain a high level at thelast decade, while another accompanied phenomenon is the frequent occurrence of theengineering contract disputes between owners and contractors, which restricts theimprovement of project management performance (PMP) of construction projectsseriously. The reason can be attributed in large extent to improper risk allocation (RA)between owner(s) and contractor(s), but its theoretical origin lies in the actionmechanism of RA on PMP has not been clearly revealed, which leads to lack ofincentive and practice guidelines of proper RA for the owners in a monopoly positionof the construction market. Therefore, this dissertation tries to explore the relationshipbetween RA and PMP so as to reveal their internal mechanism through literature study,theoretical deduction, questionnaire surveying and empirical analyzing. In thisdissertation, some aspects are studied thoroughly as follows.
1. Based on systematically analyzing achievements in project risk allocation, thetheoretical framework of the project risk allocation is reconstructed by the theories ofcontract economics and project governance. Through combining "ex-ante agreement"and "ex-post governance" of risk allocation, the theoretical model includes initial riskallocation at contracting and risk reallocation at contract performance stage isconstructed, which helps to improve the basic theoretical framework of project riskallocation.
2. From perspective of incomplete contract theory, the mechanism of theefficiency realizing during initial contract negotiation and renegotiation process isanalyzed. Through mapping the initial contract, re-negotiations and contractefficiencies to the initial risk allocation, risk reallocation and PMP with the logic thatrisk allocation was considered as the core element of trading contract, the correlationmodel between risk allocation and PMP was constructed, and then, this dissertationproposes the theoretical hypothesis on the basis of the existing study of the relation ofrisk allocation and project management performance.
3. On the basis of literature review, theory deduction and fully use of theexpertise, the operating definition of initial risk allocation, risk reallocation and PMPis given, according to which the measurement scale of the core concept is developed. After that，the reliability and validity of the measurement scale is tested through thecollected samples data.
4. With154samples collected from the project and structural equation modelingapproach employed, this dissertation tests the proposed hypothesis which reveals themechanism of the initial risk allocation→risk reallocation→project managementperformance, and further analyses the specific path between the different dimensionsof the core variables above.
1.基于系统梳理工程项目风险分担的研究成果，以契约经济学、项目治理等理论为基石分析并重构了工程项目风险分担的理论框架，将风险分担的事前约定与事后治理有机结合，构建了一个包括缔约阶段的初始风险分担与履约阶段的风险再分担的理论模型，完善了工程项目风险分担的基本理论框架。
2.基于契约经济学的不完全合同理论，具体分析了初始合同与再谈判过程中的合同效率实现机制，并基于风险分担作为交易合同安排核心要素的逻辑将初始合同、再谈判及合同效率分别映射于初始风险分担、风险再分担与项目管理绩效，构建了风险分担之于工程项目管理绩效的关联模型，在风险分担与项目管理绩效相互关系的已有研究成果的基础上，提出了本文研究的理论假设。
3.基于文献归纳与理论演绎，并充分借助专家经验，对于初始风险分担、风险再分担与工程项目管理绩效进行了操作化定义，开发了上述核心概念的测量量表，并基于收集的实践样本项目数据，对于测量量表进行了信度与效度检验。
4.基于本文收集的154个样本项目实践数据，运用结构方程模型方法，对本文提出的研究假设进行检验，揭示了初始风险分担→风险再分担→工程项目管理绩效的作用机理，并进一步分析了上述核心变量不同构面之间的具体作用路径。
The construction industry in China is still in a period of high growth at present.The growth of total investment in fixed assets continues to maintain a high level at thelast decade, while another accompanied phenomenon is the frequent occurrence of theengineering contract disputes between owners and contractors, which restricts theimprovement of project management performance (PMP) of construction projectsseriously. The reason can be attributed in large extent to improper risk allocation (RA)between owner(s) and contractor(s), but its theoretical origin lies in the actionmechanism of RA on PMP has not been clearly revealed, which leads to lack ofincentive and practice guidelines of proper RA for the owners in a monopoly positionof the construction market. Therefore, this dissertation tries to explore the relationshipbetween RA and PMP so as to reveal their internal mechanism through literature study,theoretical deduction, questionnaire surveying and empirical analyzing. In thisdissertation, some aspects are studied thoroughly as follows.
1. Based on systematically analyzing achievements in project risk allocation, thetheoretical framework of the project risk allocation is reconstructed by the theories ofcontract economics and project governance. Through combining "ex-ante agreement"and "ex-post governance" of risk allocation, the theoretical model includes initial riskallocation at contracting and risk reallocation at contract performance stage isconstructed, which helps to improve the basic theoretical framework of project riskallocation.
2. From perspective of incomplete contract theory, the mechanism of theefficiency realizing during initial contract negotiation and renegotiation process isanalyzed. Through mapping the initial contract, re-negotiations and contractefficiencies to the initial risk allocation, risk reallocation and PMP with the logic thatrisk allocation was considered as the core element of trading contract, the correlationmodel between risk allocation and PMP was constructed, and then, this dissertationproposes the theoretical hypothesis on the basis of the existing study of the relation ofrisk allocation and project management performance.
3. On the basis of literature review, theory deduction and fully use of theexpertise, the operating definition of initial risk allocation, risk reallocation and PMPis given, according to which the measurement scale of the core concept is developed. After that，the reliability and validity of the measurement scale is tested through thecollected samples data.
4. With154samples collected from the project and structural equation modelingapproach employed, this dissertation tests the proposed hypothesis which reveals themechanism of the initial risk allocation→risk reallocation→project managementperformance, and further analyses the specific path between the different dimensionsof the core variables above.
引文
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