【作者】 李霄鹏；

【导师】 丁荣贵；

【作者基本信息】 山东大学 ， 管理科学与工程， 2012， 博士

【摘要】 近年来对高速铁路项目建设的投资越来越多,但是随着高速铁路的发展,我国高铁建设项目中出现的问题也层出不穷,高速铁路在建设中会出现诸如土地拆迁、重要设备不足、利益相关方不合作、资金准备不足、设计没有达到相关技术标准、频繁图纸更改、项目启动后无法及时进行等诸多问题,这些问题的发生往往导致项目延期乃至失败。为了提高高铁建设项目成功率需要防范和控制高铁建设项目风险,对高铁建设项目的风险防范成为了研究的重点。以往文献研究着重于从高铁建设项目风险因素的识别、风险的预防和评估及风险防范监控措施等进行研究,但是随着高铁建设项目规模的扩大和投资额的增多,很多大项目尤其是多企业合作的复杂项目,由于涉及到多个利益相关方,对这些利益相关方的协调和关系处理会对项目成功有很大影响。而高铁建设项目中利益相关方的责任和需求的明确是通过建设项目合同体现的,因此对高铁建设项目合同的管理和风险防控可以有效地防范高铁建设项目风险。以往对建设项目合同的研究多是从建设合同种类选择、合同风险评估、组织内部合同管理、合同招投标、签订履行、合同索赔、合同模式选择、合同条款设置、建设合同法律及实务等方面对建设项目合同进行研究的,这些研究分别立足于不同的视角对建设项目合同进行了研究,在建设合同领域做出了突出的贡献,这些研究同样也可以在高铁建设项目实践中得到应用。但是,这些研究都是对建设项目内部单个合同角度或从企业角度对建设项目合同管理的研究,而随着大型项目的增多,对高铁建设项目内部子合同及子合同共同组成的合同群组的研究还没有进行。本文集中于对高铁建设项目内部子合同及由子合同组成的合同群组的研究,提出了合同群的概念,并通过问卷调查及文献研究,归类总结了高铁建设项目合同群要素的具体组成部分,运用因子分析和结构方程方法,分析了高铁建设项目合同群关联要素对建设项目成功所造成的影响。本文的主要研究内容分为以下三个组成部分：第一部分,即论文的第一章和第二章,对目前关于建设项目研究、建设项目合同研究及建设项目成功标准的研究的相关文献进行了回顾和总结。分析了现有研究的局限,及目前的高铁建设项目运作中存在的各种问题,并对相关文献进行评述,提出了高铁建设项目合同群研究的重要性。第二部分,即论文第三章和第四章,对高铁建设项目合同群的概念进行了界定,并对高铁建设项目合同群关联要素的组成进行了分析。合同群概念是本文新提出的,与以往的研究不同,本文立足于系统整体的视角将一个复杂项目内的多个合同看作一个整体的合同群进行研究,并研究合同群内部各个子合同之间的变动情况及该变动对整个合同群乃至整个项目的影响。第四章通过之前的文献分析,并选取了377份高铁合同进行分析,以及与高铁合同管理有关人员进行访谈得到高铁合同群指标体系,在此基础上通过因子分析方法讲高铁建设项目合同群的15个指标分为五个基本要素：合同主体要素、合同文本要素、合同界面关系要素、合同管理要素和法律环境要素。第三部分,即论文第五章、第六章和第七章,在前几章的基础上,提出了高铁建设项目合同群关联要素对项目成功影响的理论模型,并运用结构方程建模方法对收集到的数据进行验证和分析,得出了高铁建设项目合同群内合同主体要素、合同文本要素、界面关系要素、合同管理要素和法律环境要素五大要素之间的相互影响关系及对项目成功的影响关系。本文基于合同群的视角对高铁建设项目合同管理进行研究,借助建设合同理论、项目成功理论、因子分析矩阵、结构方程方法等,研究建设项目合同群的定义,以及合同群内部子要素对高铁建设项目成功的影响关系,得到以下结论：第一,构建高铁建设项目合同群的相关概念并对合同群内涵进行分析,合同群就是对现有的和将来新产生的合同进行集群的一种集合,这些子合同基于项目的战略目标而集合起来,同项目内外部的环境相联系,通过一系列的变革,以期创造出超过集群个体合同总和的总体利益。合同群是由若干个子合同组成的群组,它相对于内部的子合同而言是一个系统,在系统内部的子合同之间并不是独立存在的,这些合同是互相关联的,项目的利益相关方之间的关系通过子合同为载体并通过合同与合同之间的关系作用于合同群从而体现在项目的运作之中。通过协调合同群内部子合同之间的关系,能够获得单项合同所无法获得的整体效益。第二,通过对高铁合同群内部的指标系统进行因子分析,将高铁合同群要素分为五大类,其中主体资源、主体资质、主体资金分为一类,可将其命名为合同主体要素。合同一般性条款、具体条款、后义务条款分为一类,可将其命名为合同文本要素。履约时间技术价格之间的关系、各合同签约主体之间权利责任关系、项目利益相关方关系分为一类,可将其命名为合同界面关系要素。项目控制、合同索赔、项目设施配置分为一类,可将其命名为合同管理要素。工程所在国法律环境情况、所在国法律差异及变动、所在国特殊法律条款规定分为一类,可将其命名为法律环境要素。第三,构建合同群关联要素对高铁建设项目影响的结构方程初始模型,并根据调查得到的数据对结构方程模型进行分析,结论表明,高铁建设项目合同群内五个要素：合同主体要素、合同文本要素、界面关系要素、合同管理要素和法律环境要素五个要素都有着相互影响关系,每个要素的变动都会对其他要素产生影响。并且这五个要素都与项目成功有着正相关关系,每个要素的变动不仅会影响到其他要素,并且最终会对项目成功产生一定程度的影响。本文以“高铁建设项目合同”为研究对象,以基于系统观点的合同群为研究视角,突破了原有的对于单个合同或单个组织内部合同管理的研究,提出了多个利益相关方协作的高铁项目合同群内部关联要素对项目成功的影响关系模型,主要的研究创新在于以下几点：第一,基于合同群的视角对高铁建设项目进行研究。尽管目前关于建设项目合同管理的研究逐渐增多,但是大多研究都针对某个利益相关方签订的单个建设项目合同进行研究,对在一个高铁项目内部涉及到不同利益相关方的合同作为整体进行的研究还为数较少。本文构建了合同群的概念,合同群具有系统性和整体性。合同群以复杂性理论为基础,深人研究项目群内部的复杂关系。合同群的复杂性既体现于它的利益相关方关系的复杂,也体现于合同群内部各子合同之间的相互关系的复杂。第二,提炼并验证了合同群关联要素对高铁建设项目影响的关系。本文以“合同群”为研究对象,设计了对高铁建设项目合同群对项目成功影响的关系模型,将合同群内部的指标体系识别为五个要素,即合同主体要素、合同内部要素、合同界面关系要素、合同管理要素和法律环境要素。并分析了这五个要素相互之间的影响关系及其对高铁建设项目成功的影响关系,实现了用一个统一的框架来研究并识别合同群内部多个关联要素对项目成功的影响关系,完善了建设项目合同管理理论。第三,针对特定的高速铁路建设项目进行研究,可以应用于高铁建设项目实践中。将对合同群关联要素的研究成果应用到具体的高铁建设项目项目实践中,本文研究突破了原有以立足于单个合同的合同管理范畴,对高铁的合同管理,合同招投标,合同订立和合同履行都有很大的实践应用价值。而合同群理论的提出与完善也有利于对多企业复杂项目内部如何进行合同管理研究的进一步开展,不仅具有重要的理论意义和现实意义,而且具有长远的研究价值和广阔的探索空间,希望今后继续对上述问题做进一步探讨。更多还原

【Abstract】 In recent years there are more investments in high-speed rail projects.But with the development of high-speed railway, there are more problems in China’s high-speed rail construction projects,such as land demolition,lack of critical equipment,uncooperative stakeholders,lack of funds, did not meet the relevant technical standards, frequent drawings change, and so on.These occuring problems often lead to project delay and even failure.In order to improve the success rate of high-speed railway construction project to prevent and control high-speed railway construction project risks, high-speed railway construction project risk prevention has become the focus of the study.The previous literature focuses on the identification of risk factors from the high-speed railway construction project, the prevention and assessment of the risk and risk prevention control measures, but with the expansion of high-speed railway construction project and the increase of investment, many large projects, especially complex projects of multi-enterprise cooperation, as it relates to multiple stakeholders, the successfully coordinate and good stakeholder relationships would have a significant impact to project sucess.The responsibilities and needs of stakeholders in the high-speed railway construction project is reflected through the construction project contract, so the research about high-speed railway construction project contract management and risk control can effectively guard against the risk of construction projects.Past research on a construction project contract focus on selecting from the construction of the type of contractcontract risk assessment within the organization contract management, contract bidding, signed to fulfill the contract claims, contract mode selection, setting the terms of the contract, construction contract practice in terms of construction project contracts, these studies were based on different perspectives to study construction project contract, and had made outstanding contributions in the field of construction contracts, they can also be applied in the high-speed railway construction project study and project practice.However, these studies are building in a single contract point of view or fro m a business perspective within the study on management of construction project s. With the increase of large-scale projects, the study on sub-contracts and the c ontract group of the high-speed railway construction project has not begun. This paper focuses on the high-speed railway construction project sub-contracts and su b-contract groups, proposed the concept of the contract cluster, and through a qu estionnaire survey and literature, summarized and classified the elements of high-speed railway construction project contract cluster. By factor analysis and structu ral equation methods, and analyzes, we analyzed the impact of the construction p roject contract group associated with elements of construction projects success. T he main content is divided into three parts:The first part is Chapter1and Chapter2.This essay studied the current rese arch on construction project, construction project contract research and constructio n project success criteria which were reviewed and summarized. We analyzed the existing limitations, and the various problems during the current high-speed rail construction projects operation, and reviewed the relevant literature, based on this we proposed the importance of high-speed railway construction project contract cluster research.The second part is chapter3and chapter4, we proposed the concept of hig h-speed railway construction project contract cluster, and analyzed the compositio n of the high-speed railway construction project contract cluster related elements. The concept of contract cluster is newly proposed in this article, unlike previou s studies, this article consider multiple contracts within the complex project base d on the perspective of the overall system and studied sub-contract changes and its’impact on the entire project. Chapter4analyzed the previous literature, and selected200high-speed rail contract, as well as interviews with high-speed rail c ontract management staff to get high-speed rail contract cluster index system. On the basis of the factor analysis method the project contract group of15indicat ors were divided into five basic elements:the principal elements of the contract, the terms of the contract element, the relationship between elements of the cont ract interface, the contract management element and legal environmental elements.The three part is chapter5,chapter6and Chapte7.Based on the research bef ore we proposed theoretical model of the high-speed railway construction project contract cluster impacting the success of the project. By the use of structural e quation methods to validate and analysis the collected data, the relationships amo ng the five elements of contract cluster and the impact on the project success w ere given.Based on the contract cluster perspective on high-speed railway construction project contract management, with the construction contract theory, the theory of project success, the factor analysis matrix, structural equation methods, the essay studied the definition of the construction project contract cluster. Within the influ ence of sub-elements of the contract cluster on high rail construction projects su ccessful relationship, the following conclusions were obtained:First, building related concepts of high-speed railway construction project con tract cluster and the contract cluster connotation analysis, the contract cluster is t he new defined organizational structure framework on the existing and future con tract of the contract cluster. These contracts are based on the organization’s strate gic objective, through a series of changes to create interest more than sum of cl usters of individual contract with the organization of internal and external enviro nment. The contract cluster is a group composed of a number of sub-contracts, which is a system relative to the internal sub-contracts. The sub-contract within t he system is not independent existence, but they are interrelated. The relationship between the stakeholders can through sub-contract as the carrier and by the rela tionship among the contract and the contract contracts cluster, which can reflect t he operation of the project. Through the coordination of the relationship between the contract groups within the sub-contract, the overall effectiveness of a single contract can not compared are obtained.Second, by the factor analysis of the indicators within the contract cluster o f high-speed rail system, the high-speed rail contract cluster elements are divided into five categories. The main resource, the main qualification, the main capital are divided into a class, which can be named as the contract subject elements. The general terms, specific terms and the terms of the post-commencement oblig ations are divided into a class, which can be named as the contract text element s. The contract intent relations, stakeholder relations are divided into a class, whi ch can be named as the contract interface relationship between elements. The pr oject control management, and related facilities are divided into a class, which c an be named as the elements of contract management. The macro-legal environm ent, the specific details of the terms are divided into a class, which can be nam ed as legal environmental factors.Third, building the initial structural equation model of the associated element s of the contract cluster on high-speed railway construction project, and using str uctural equation modeling to analyze with surveyed data. The conclusion shows f ive contract elements of that high-speed railway construction project:have mut ual influencing relationships, the changes of each element will have an impact o n other elements. And the changes of each element will not only affect other el ements, and will ultimately produce a positive correlation to project success.This essay studied the "High-speed railway construction project contract", with the contract cluster based on the systems theory as a research perspective, which breached the original contract management research within a single contrac t or a single organization, and proposed the model of association factors among multi-stakeholder collaboration high-speed rail project contract cluster impact on t he success of the project. The main innovation lies on the following:First, study the high-speed railway construction project based on the perspective of the contract cluster. Although the research on the construction project contract management gradually increased, but most of studies are about the single constr uction project contract, the study about contract cluster related to different stakeh olders within a high-speed rail project contract as a whole are smaller. This essa y constructed the concept of contract cluster, which is systematic and holistic. C ontract cluster based on complexity theory deeply studied the complex relationshi p among the project group. The complexity of the contract group is not only ref lected by its structure, but also reflects the relationship between the contract gro ups within each unit.Second, this essay refine and validate the impact of the associated elements of the contract cluster on high-speed railway construction project. With "contract cluster" for the study, we designed the relational model of the impact on the su ccess of the project on high-speed railway construction project contract cluster. T he contract cluster within the index system is identified into five elements. We a nalyzed the affect among these five elements on high-speed rail construction proj ects, with a unified framework to study and identify the multiple associated elem ents within the contract group relationship to the success of the project and impr oved the construction project contract management theory.Third, study the specific high-speed railway construction project, which can b e applied to high-speed railway construction project in practice, breaker the origi nal study based on the individual contracts. It also have great practical value on contract management areas, high-speed rail contract management, contract biddin g and performance of the contract. Contract cluster theory also has important ref erence on research about the complex projects of multi-enterprise contract manag ement, which not only has important theoretical and practical significance, but al so has long-term research value and broad exploration of space. I hope it can be further explored in the future on these issues.更多还原