合同柔性视角下工程项目发承包方信任对合作的影响研究

发布时间：2019-03-08 07:55

【摘要】：工程项目的主要参与者——发包人与承包人之间常被认定为是缺乏效率的、刚性的契约关系。发包人为了防止承包人道德风险和机会主义事件的产生,在加大己方控制权的同时,一味地把风险转移给承包人;承包人为了生存先是勉强地接受合同,然后试图在施工过程中以变更、调价、索赔等手段获得更高的结算价款,双方的对抗性思维造成履约过程中无休止的责任推诿进而引发纠纷,致使工期延误、投资失控,甚或工程质量低劣,导致承发包双方自身利益受损。解决这一困境的有效出路就是:发承包双方从互惠的角度出发,进行积极的合作,变双方的对抗性关系为伙伴关系。学者们强调了合作对实现目标的重要作用,若合作可以保持下去,那么发包人与承包人就可共担更大的风险从而现实共同的目标,并且项目中利益相关者的合作关系将替代对抗性关系的传统格局,在这种环境下,各方的共同目标更容易实现。在此背景下,信任在理论中已被认为是促进合作的有效手段,信任是诱导伙伴关系模式效应显现的关键治理因子,通过信任能形成良好的合作氛围。但是现有学者对于信任与合作并未进行深入探讨,并未揭示出信任影响合作的机理,也就无法有效激励发承包双方基于信任的合作行为的产生。本论文在研究中发现,发包方目前最为常用的风险应对机制之一的合同柔性,是对谈判和合理风险分担的有效表现。由于合同柔性的嵌入是在合同双方保持良好互信的前提条件下展开的,并且合同柔性即应对不确定性时的事后调整机制可推动项目合作,因此合同柔性是信任影响合作中的一个重要中介变量。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,探究信任、合同柔性与合作之间的关系,在以下几方面进行了深入的探讨:(1)基于治理理论,在对已有文献进行梳理的基础上,挖掘出信任、合同柔性对合作改善的影响机制,构建了信任、合同柔性与合作之间的关联模型,提出了本文研究的理论假设。本文提出了以合同柔性为信任与合作之间作用关系的中间变量,将信任划分为基于理性的能力信任、基于感性的直觉信任与基于交往行为的关系信任三个维度进行探讨。(2)利用专家访谈和小组讨论,对于项目组织中信任、合同柔性与合作进行了操作化定义,并建立了上述三项构念的测量量表。通过问卷调查,对测量量表的信度与效度进行了检验。(3)利用结构方程模型,分析了收集的220份有效样本数据,检验本文提出的研究假设,并验证了信任、合同柔性、合作之间的作用路径,计算出其路径系数,从而揭示了三者之间的作用机理。(4)基于已验证的研究假设,本文提出了提高双方信任、改善合作的策略集。
[Abstract]:The contract relationship between the contractor and the contractor, which is the main participant in the project, is often considered to be inefficient and rigid. In order to prevent the occurrence of moral hazard and opportunism, the contractor transfers the risks to the contractor at the same time of increasing the control of his own side in order to prevent the occurrence of the moral hazard and opportunism of the contractor. In order to survive, the contractor reluctantly accepts the contract and then attempts to obtain a higher settlement price by means of changes, price adjustments, claims, etc., during the construction process. The adversarial thinking of both sides leads to endless responsibility prevarication in the process of performance, which leads to disputes, resulting in delays in the construction period, out of control of investment, or even poor quality of the project, resulting in damage to the self-interests of the contracting parties. The effective way to solve this dilemma is: from the perspective of mutual benefit, the two parties should cooperate actively and change the antagonistic relationship between the two sides into a partnership. Scholars have emphasized the important role of cooperation in achieving the objectives, and that if the cooperation can be maintained, the contractor and the contractor can share greater risks and thus achieve the common goal, And the cooperation of stakeholders in the project will replace the traditional pattern of confrontational relationships, in which the common goals of all parties will be more easily achieved. In this context, trust has been regarded as an effective means of promoting cooperation in theory. Trust is the key governance factor to induce the effect of partnership model, and a good atmosphere of cooperation can be formed through trust. However, the existing scholars have not carried out in-depth discussion on trust and cooperation, have not revealed the mechanism of trust affecting cooperation, and cannot effectively stimulate the emergence of trust-based cooperation between the two parties. In this paper, it is found that the contract flexibility, which is one of the most commonly used risk coping mechanisms, is an effective expression of negotiation and reasonable risk sharing. Since the embedding of contract flexibility is carried out under the premise of good mutual trust between the two parties of the contract, and the flexibility of the contract is an ex post adjustment mechanism to deal with uncertainty, the project cooperation can be promoted. Therefore, contract flexibility is an important intermediary variable in trust influence cooperation. In view of this, this paper explores the relationship between trust, contract flexibility and cooperation by means of literature research, theoretical deduction, questionnaire investigation and empirical analysis, and makes an in-depth discussion on the following aspects: (1) based on governance theory, this paper explores the relationship between trust, contract flexibility and cooperation. On the basis of combing the existing literature, this paper explores the influence mechanism of trust and contract flexibility on the improvement of cooperation, constructs the correlation model between trust, contract flexibility and cooperation, and puts forward the theoretical assumptions of this paper. In this paper, contract flexibility is put forward as the intermediate variable of the relationship between trust and cooperation, and trust is divided into ability trust based on rationality, The three dimensions of perceptual intuitive trust and relational trust based on communicative behavior are discussed. (2) using expert interview and group discussion, the operational definitions of trust, contract flexibility and cooperation in project organization are given. And set up the scale of measurement of the above three constructs. Through a questionnaire survey, the reliability and validity of the measurement scale were tested. (3) 220 valid sample data collected were analyzed by using structural equation model, and the research hypotheses proposed in this paper were tested, and the trust and contract flexibility were verified. The interaction path between cooperation is calculated, and the mechanism of action among them is revealed. (4) based on the proven research hypothesis, this paper proposes a set of strategies to enhance mutual trust and improve cooperation.
【学位授予单位】：天津大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：TU723.1;F426.92

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