工程项目交易方式有效域研究

Taking large-sized new construction projects as the research object, this study will investigate the effective domain of construction project delivery methods for the owners. Extant research either focuses on the influence of project delivery methods on some specific performance indicators, or investigates the factors and methods influencing the decision making on selecting project delivery methods. However, there exists inconsistent evidence. Moreover, little of the extant research has incorporated project characteristics, project delivery methods and performance into a single analytical framework. Taking the analytical angle of the New Institutional Economics, this study will take the integrated optimization of production cost and transaction cost as the core goal of a construction project, 1) to analyze the complex relationships between the production cost and transaction cost, 2) to investigate the alignment patterns between the characteristics of the project delivery methods, the project participants, and the construction project through the two levels of owner’s project management and project team’s task implementation, and 3) to examine the influence of the other project goals, including time, quality, health, safety, environment and so forth, on the alignment patterns, as well as their boundary conditions. The expected research outcomes will make contribution to providing deeper insight into the very nature of project delivery methods, broadening extant application area of New Institutional Economics, providing the owners with scientific guidance in choosing appropriate project delivery method based on the overall consideration of project characteristics, project environment and project goals, and improving the efficiency of construction project implementation.

本课题将以新建大中型工程项目为研究对象，探究业主方工程项目交易方式选择的有效域问题。现有研究或关注工程项目交易方式对某个项目目标的影响，或关注交易方式选择的影响因素和方法，但不少研究结论相互矛盾，更未将交易方式与项目特征、多目标优化问题及所处制度环境纳入同一分析框架。本课题从新制度经济学视角，以工程项目建设阶段交易成本和生产成本综合最优为核心目标，探究交易成本与生产成本之间的复杂互动关系；分为业主项目管理和工作任务实施两个层面，揭示交易方式与项目主体和客体特征的匹配性规律；进而明晰工期、质量、健康、安全和环境等其他项目目标对此匹配规律的修正以及制度环境作为影响因素的交易方式选择的边界条件。预期研究成果将深化对工程项目交易方式本质属性的理论认知，拓展新制度经济学相关理论的应用领域；为业主针对具体项目特征和环境、综合权衡主要项目目标科学选择最优交易方式提供规范型理论指导，提高工程项目实施效率。

本课题探究大中型工程建设项目中，业主方如何选择的交易方式能够实现其成本目标。为回答这一问题，首先，本课题开发了调查问卷量表和机器编码模型来测量合约治理中的交易成本，并基于调查问卷测量关系治理中的交易成本。除了探究交易成本，本课题还对生产成本进行了探究，将生产成本分为外包成本和自营成本，并识别了影响其大小的因素。其次，本课题识别了业主方实现其成本目标所采用交易方式的情境因素，并进一步探究了能够实现项目成本目标的交易方式与项目特征的匹配性规律。最后，为了探究本课题的研究结果的边界条件，进一步探究了制度属性和项目工期、QHSE等目标对业主选择项目交易方式时的影响。课题开展期间，课题组共发表14篇与课题直接相关的学术论文，构建了工程合同数据库，发布了全球FIDIC合同范本使用情况分析报告。本课题研究成果深化了对工程项目交易过程中关键成本的认识，对交易方式与项目特征匹配以实现项目目标的路径进行了探讨，并揭示了研究成果中受制度环境、项目目标等影响的边界条件，为提高工程项目管理水平、降低工程项目成本提供坚实的理论基础和科学方法。