【作者】 王喜军；

【导师】 王孟钧；

【作者基本信息】 中南大学 ， 土木工程规划与管理， 2009， 博士

【摘要】 BOT模式作为一种新型的融资和建设管理模式,引起了国内外公共和私人投资者的极大兴趣。一些大型建筑企业已经开始以其雄厚的财力、人力和物力,先进的技术、装备和管理,参与BOT项目的运作,以提升企业的核心竞争力。然而,由于BOT项目的运作可变因素多,程序复杂,风险管理难度大,再加上我国引入BOT模式的时间不长,大型建筑企业缺乏运作BOT项目的经验。因此,迫切需要科学的理论体系和方法来指导,带动和促进更多的BOT项目融资与建设实践,从而进一步提高我国基础设施建设的运作效率和管理水平。本文基于企业能力理论和可持续发展理论,分析了BOT项目运作能力的影响因素,构建了大型建筑企业运作BOT项目的能力模型；从大型建筑企业运作BOT项目的战略资源入手,探讨了企业战略资源的协同与整合,以及资源与环境的匹配,剖析了基本能力的构成与形成机理；在分析大型建筑企业运作BOT项目关键能力构成的基础上,基于路径依赖理论,探讨关键能力形成的路径依赖和途径,并运用协同学理论,研究关键能力的跃迁机理与提升途径；基于可持续发展理论,提出了项目可持续能力和企业可持续能力的概念,基于两者的内在关系,研究了大型建筑企业BOT项目运作的项目可持续能力和企业可持续能力的实现途径；结合某大型建筑企业运作BOT项目的成功案例,从BOT项目运作的基础工作、运作实施及项目可持续三个层面实证分析了BOT项目的运作过程,表明某大型建筑企业具备并逐步提升其运作BOT项目基本能力、关键能力和可持续能力,为大型建筑企业成功运作BOT项目提供了依据和参考。本文的创新点在于：分析大型建筑企业运作BOT项目的问题和瓶颈,提出了运作BOT项目能力分析和实证研究的新思路；创新性地提出了大型建筑企业运作BOT项目的能力层次模型,将运作能力分为基本能力、关键能力和可持续能力三个层次,与企业能力体系结构中的各层级能力相对应,构建了大型建筑企业运作BOT项目能力分析的研究框架；研究了大型建筑企业运作BOT项目的能力成长路径,即：通过企业战略资源的协同与整合以及资源与环境的匹配形成基本能力→通过组织学习、知识整合和管理创新三个环节形成大型建筑企业运作BOT项目的关键能力→通过知识创新、积累和转化,BOT项目的可持续发展和企业的可持续发展交叉联系,形成大型建筑企业运作BOT项目的可持续能力；创新性地揭示了BOT项目可持续能力与企业可持续能力的内在关系,为提升我国大型建筑企业的持续竞争优势提供了理论依据。面对全球性的金融危机,我国政府已作出了进一步扩大内需、保持经济平稳较快发展的重大决策,将会吸引更多的外国资本及民间资本进入基础设施建设。因此,大型建筑企业应抓住这个有利时机,培育运作BOT项目的能力,积极参与BOT项目投资。运作BOT项目能力的培育和建设,必将有助于大型建筑企业优化企业内外部的资源配置,提高建筑企业的战略管理水平,获取持续的竞争优势。更多还原

【Abstract】 As new financing and project management mode, BOT project has brought increasing interest of public and private investors abroad and at home.Taking advantage of abundant financial,human and substance resources,advanced technology, equipments and management abilities, some great construction corporations have began the practice of BOT project to form their core competition abilities and to enhance the comprehensive strengths.However, there are great variable influence factors on BOT projects,complex practice procedures and hard risk management tasks,which are quite new to construction corporations at home,so they have less experience on the practice of BOT project.It is urgent to put forward scientific theory system and methods to promote and facilitate the financing and construction practices of BOT preject, thereby to enhance the efficiency and effectiveness of project management in the construction of infrastructure projects.Based on enterprise competence theory and sustainable development theory, this paper discussed the influence factors of BOT projects practice abilities and built the ability model of BOT project practice. Beginning with the research of strategy resource, this paper analyzed the process of synergy and conformity of strategy resources and the matching of resources and environments to study the forming mechanism of basic abilities.Base on the analysis of the conformation of key abilities of BOT project practice,this paper made use of path dependence theory to discuss the forming process of key abilities and made use of synergetics theory to research their transition and promotion mechanism. Based on sustainable development theory, this paper put forward the conception of project sustainability ability and corporation sustainability ability, analyzed their internal relationship and the achievement of the sustainability abilities of BOT project practice and corporation sustainability ability. In the last, this paper made empirical analysis by taking a successful BOT project as a real example and analyzed the basic work, practice and its sustainment to validate the scientific and effectiveness of academic analysis and theory research on BOT project practice abilities.The innovation of this paper lies on:firstly, according to the enterprise management theory and project management theory, this paper discuss the key issues of BOT project practice by great construction corporations, put forward a new thought for the research of BOT project practice abilities.Secondly, this paper put forward the ability hiberarchy model of BOT project practice and formed the whole research frame of BOT project practice ability, in which the abilities are divided to basic abilities,key abilities and sustainability abilities, corresponding to the hiberarchy model of enterprise competence.Thirdly, this paper exposed the growth path of the BOT project practice abilities, that is from strategy resources to basic abilities by collaborating and conforming of strategy resource and the matching of resources and environments, then from basic abilities to key abilities by organization learning, knowledge integration and management innovation, then to sustainability abilities by interaction of project sustainable development and corporation sustainable development. It revealed innovationally the interrelationship between BOT project sustainability abilities and corporation sustainability abilities, which provided theorial basis for construction corporations to gain sustainable competition advantages.Facing the global finance crisis, decisions has been made to increase the demands at home and keep the economy developing smoothly and rapidly, which will attract more foreign or private capital to infrastructure projects.So, great construction corporations should take the favorable opportunity to develop the BOT project practice abilities and to invest the BOT project, which can optimize the configuring of strategy resources and promote the financial efficiency and strategy management level of construction corporations,and win the sustainable competition advantage.更多还原