【作者】 周义；

【导师】 张维麟； 任宏；

【作者基本信息】 重庆大学 ， 管理科学与工程， 2014， 博士

【摘要】 “巨工程项目”是指那些规模特别庞大、特别复杂而且社会影响巨大的建设项目。一方面，这些巨工程项目为满足人类生存和发展的需要，解决日趋复杂的社会问题，带动产业结构优化和升级，促进科技突破性发展，提升国家核心竞争力而存在，具有重要战略性地位和意义，另一方面，巨工程项目的兴建，也使得相当一部分人原有的生活体系、社会网络遭到破坏，陷入新的贫困和发展困境；同时，巨工程项目引发的社会资源和利益再分配也导致出现新的区域发展不平衡、不协调。传统的观点认为，巨工程项目对所影响区域，特别是区域中人的发展造成的负面冲击影响是应付的代价和牺牲，可以被忽略。然而，无数事实已证明，这种“以物为中心，忽略项目与人相互关联的”巨工程项目观往往对巨工程项目自身的可持续发展造成严重障碍，并衍生其他严重的社会问题。当前，我国社会经济发展的宏观背景已发生重大变化：市场机制已成为调节相关行为主体的基本机制；可持续发展理念为人们广为接受，被视为是协调发展与资源环境矛盾、实现人类永续发展的唯一选择；建设一个更加公平、和谐的社会已经成为发展的基本目标。在这样的背景下，如何从工程哲学的高度更为全面、科学地认识巨工程项目的经济效应和社会责任，探讨将巨工程项目的冲击影响转变为可持续发展的契机，并对所涉及的公平补偿、区域协调、社会公平等问题进行深入地剖析，实现巨工程项目管理从“以物为中心”向“以人为中心”理念的转变和巨工程项目综合效应的最大化，无疑是一个值得研究的重要问题。本文以具体的巨工程项目——南水北调中线工程为研究的切入点，在实地调查获取的数据基础上，从巨工程项目社会责任的视角，综合运用福利经济学、项目管理学、计量经济学、公共管理学、博弈论等理论和方法，从如下方面对上述问题进行了系统的研究。1.提出和建构了“冲击—能力补偿—内生发展”的理论分析框架。本文认为，为人的可持续内生发展创造空间和提供支持，促进社会更加和谐，为社会的可持续发展创造更多可能正是巨工程项目建设的根本目的之一，也是巨工程项目社会责任、社会效应的主要体现。然而，由于巨工程项目的建设冲击，必将激烈、快速地降低相当部分非自愿移民群体的多重核心福利水平，这些核心福利维度，既包括经济福利，也包括许多重要的非经济福利，它们共同构成了非自愿移民群体可持续发展能力的基础。因此，相当部分非自愿移民群体之所以长久、持续的陷入贫困漩涡而无法自拔，其本质是因为巨工程项目的冲击使他们持续发展能力遭到严重的贬损。传统的，单纯输血式的一次性经济补偿只能短时间提升非自愿移民受损的经济福利，并不能使他们真正获得可持续的内生发展，所以效果往往差强人意。要使非自愿移民群体摆脱贫困，获得更好的发展，只有全面补偿和提升他们在巨工程项目冲击中受损的多重福利，即进行“能力补偿”才能真正使他们获得持续的内生发展。2.基于阿马蒂亚森（Amartya Sen）的可行福利理论，从理论和实证两方面系统研究了巨工程项目冲击影响下非自愿移民群体多维福利的水平变化和结构分化。首先，在系统梳理和对比主观福利理论、客观福利理论、阿罗的不可能定律、可行能力福利理论等不同福利流派思想特点和异同的基础上，论证了阿马蒂亚森的以“功能”与“能力”概念为理论基石，通过相互关联的功能性活动集合来测度的可行福利理论分析框架为何能更适合本研究的特点。而后，根据阿特金森（Atkinson）的不平等测度原理、塞斯（S.Seth）的双参数构造理论等重构了多维福利测度模型，论证了集合次序对模型构造的重要意义，建构了新的具有“分布不均衡敏感”、“路径独立”特点的测度模型WZ和新的具有“分布不均衡敏感”、“交联敏感”特点的测度模型W1Z。进而，基于对南水北调中线迁徙区域移民群体的调查数据，实证定量研究了非自愿移民群体多维福利水平变化和福利分布结构变化的特点。3.基于共赢的能力补偿。在探讨工程移民群体的能力补偿优化问题时，应以利益相关方共赢为目标，在保持社会整体福利优化的基础上进行讨论。因此，本文首先根据利益相关理论，对与补偿紧密关联的利益相关者进行界定和分类，然后基于社会整体福利优化的角度，从静态和动态两方面就补偿优化问题进行了理论探讨，并结合我国现实国情和非自愿移民群体特点，研究了如何对非自愿移民进行多维度的能力补偿，以及如何将这种能力补偿转化将为其内生可持续发展的具体对策和措施。4.巨工程项目利益相关方的行为博弈、协调及管理体制改进。巨工程项目是涉及经济、社会、资源和环境等诸多方面的系统工程，在工程的规划、建设、实施和运营中，涉及到的利益攸关方众多。另一方面，多维的能力补偿方案，必将导致原有利益分配格局的改变，使得利益相关方之间进行利益再分配与再调整的博弈；重构巨工程项目的利益分享新机制。本文建构了市场机制下资源利益获取集团、资源利益输出集团、中央政府三个利益相关相关方静态和动态博弈模型，分析了博弈中各利益相关方的博弈行为，而后，基于参与式管理相关理论，建构了巨工程项目协商参与式管理基本模型框架，讨论了基于协商参与式的利益协调和管理机制创新问题。更多还原

【Abstract】 "Giant project" refers to those particularly large scale, particularly complex andenormous social impact of the project. On the one hand, These giant projects to meet theneeds of human survival and development, to solve the increasingly complex socialissues, promote the optimization and upgrading of industrial structure, promotetechnological breakthrough to enhance the core competitiveness of the nationalexistence, has an important strategic position and significance. On the other hand, Sincethe construction of the giant project, but also makes a considerable part of the originalpeople living system, the social system is destroyed, poverty and development into anew dilemma; Meanwhile, the giant project triggered the redistribution of socialresources and interests also led to the emergence of new regional developmentunbalanced, uncoordinated.The traditional view is that the giant project on the affected area, particularly theimpact of the negative impact caused by the development of regional human sacrifice isthe price and payable, can be ignored. However, many facts have proved that the"making object in the center, ignoring interrelated projects and people," the giantproject concept is often a serious obstacle to the sustainable development of the giantproject itself and derivatives other serious social problems. Currently, China’s social andeconomic development of the macro context has changed significantly: the marketmechanism has become a basic mechanism for regulating the relevant actors;sustainable development concept is widely accepted, is regarded as the coordinateddevelopment of the environment and resource conflicts, human beings can achieve theonly choice for sustainable development; building a more equitable and harmonioussociety has become a basic objective of development. In this context, how to more fullyfrom the height of philosophical, scientific understanding of the economic effects of thegiant projects and social responsibility, to explore the effects of the giant impactsustainable development projects into an opportunity, and fair compensation, regionalcoordination, to study the issue of social justice, etc., to achieve the giant projectmanagement from the "object-centric" to "people-centered" philosophy of change is animportant issue worthy of study.In this paper, the giant concrete projects-North Water Transfer Project as astarting point the study, the data obtained on the basis of field surveys, the giant projectfrom the perspective of social responsibility, the integrated use of Welfare Economics, Project Management, Econometrics, Public Administration Science, Game Theory andother theories and methods from the following aspects of these issues have been studiedsystem.1. Proposed and constructed a "Shock-Ability-Endogenous Development"theory analysis framework. This paper argues that human create space for sustainableendogenous development and to provide support and promote social harmony andcreate more likely it is one of the fundamental purpose of the giant construction projectsfor the sustainable development of society, but also the giant project of socialresponsibility, social effects mainly reflected. However, due to the impact of the giantconstruction projects, will intense, rapid reduction in the level of benefits aconsiderable part of the multi-core engineering involuntary immigrant groups, thesecore welfare, both economic benefits, but also includes many important non-economicbenefits, which together form the basis of involuntary immigrant groups engineeringsustainable development capacity. Thus, a considerable part of the reason for theinvoluntary immigrant groups long, sustained poverty whirlpool and can not extricatethemselves, the nature of the project because of the impact of huge ability to makethem sustainable development was severely derogatory. Traditional, simple transfusion-style short-time economic compensation can only enhance the involuntaryresettlement damaged economic welfare, does not make them truly achieve sustainableendogenous development, so the results are often unsatisfactory. To make involuntaryimmigrant groups out of poverty, access to better development, only a comprehensivecompensation and enhance their impact damaged the giant project in multiple benefits,namely " the ability to compensate," so that they can really achieve sustainedendogenous development.2. Based on Amartya Sen’s Viable Welfare Theory, both from the theoretical andempirical aspects of the system to study the impact of the giant project engineeringinvoluntary immigrant groups under welfare changes. First, on the basis of SubjectiveWelfare Theory, Objective Welfare Theory, Arrow’s Impossible Welfare benefits,Amartya Sen’s Viable Welfare Theory, proved to Amartya Sen’s "feature "and" ability"concept is the cornerstone of the theory to measure through functional activitiesinterrelated set of feasible multidimensional welfare theoretical framework to better fitthe characteristics of why this study. Then, based on the principle of Atkinson’sinequality measure, Seth’s two-parameter constructor theory reconstructed welfaremeasure model, demonstrate the importance of the collection order for the modelstructure, with construction of a new "uneven distribution sensitive","path independent" measure model and new features with the "uneven distribution ofsensitive,""cross-linked sensitive" measure model characteristics. Furthermore, basedon survey data migration to North Water Transfer area immigrant groups, empiricalquantitative study of involuntary multidimensional welfare level changes and thedistribution of welfare changes in structural engineering characteristics of immigrantgroups.3. Based on the ability to compensate for the best overall social welfareoptimization. In discussing the ability to compensate for engineering optimizationproblems immigrant groups should be win-win for the target stakeholders to discussmaintaining optimal overall social welfare on the basis of. Therefore, this paper basedon stakeholder theory, and compensation is closely related to the interests ofstakeholders to define and classify, and then based on the best overall social welfarepoint of view, from both the static and dynamic aspects of the optimization problemdiscussed on compensation theory, and then combined the actual situation in ourcountry and involuntary immigrant groups engineering features, the ability tocompensate for how to study the works of involuntary immigrants multi-dimensional,and how this will be its ability to compensate for the conversion of specific policies andmeasures for sustainable endogenous development.4. Behavior giant project stakeholders game, coordination and managementsystem improvements. Giant project is a systems engineering project involving manyaspects of economic, social, and environmental resources in the planning, construction,implementation and operation of the project, involving many stakeholders. On the otherhand, the ability to multi-dimensional compensation scheme will lead to changes in thepattern of the original distribution of benefits, so as to perform the redistribution andre-adjustment of interest among stakeholders game; reconstruction interests of giantprojects to share new mechanism. This paper constructs the resources to obtain benefitsunder the market mechanism group, resource interests output group, the centralgovernment of the three stakeholders stakeholders static and dynamic game model toanalyze the game behavior of all stakeholders in the game, and then, based on the theoryof participatory management construct a giant project management basic model ofparticipatory consultation framework to discuss the benefits of coordination andconsultation mechanisms for innovation in participatory management based.更多还原