高铁建设项目合同群关联要素对项目成功的影响分析

发布时间：2018-06-16 10:47

本文选题：高铁建设项目 + 合同群　；参考：《山东大学》2012年博士论文

【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。
[Abstract]:In recent years, more and more investment has been invested in the construction of high speed railway projects, but with the development of high-speed railway, the problems appearing in the construction of high speed railway are emerging in endlessly. In the construction of high speed railway, such as land removal, insufficient important equipment, non cooperation of stakeholders, insufficient fund preparation, and lack of relevant technical standards for the design of high speed railway. In order to improve the success rate of high speed railway construction projects, it is necessary to prevent and control the risk of high speed railway construction projects, and the risk prevention of high speed railway construction projects has become the focus of research. It focuses on the identification of risk factors from high speed rail construction projects, risk prevention and assessment and risk prevention and control measures. However, with the expansion of the scale of high speed railway construction projects and the increase of investment, many large projects, especially complex projects of multi enterprise cooperation, are involved in these stakeholders. The coordination and relationship handling will have a great impact on the success of the project, and the responsibility and demand of the stakeholders in the high speed railway construction project are clearly embodied through the construction project contract. Therefore, the management and risk prevention of the high speed railway construction project contract can effectively prevent the risk of the construction of the high speed rail.
The previous research on construction project contract is mainly based on the selection of contract types, contract risk assessment, internal contract management, contract bidding, signing and performance, contract claim, contract mode selection, contract terms setting, construction contract law and practice. The same perspective on the construction project contract has been studied and made outstanding contributions in the field of construction contract. These studies can also be applied to the practice of high speed railway construction projects.
However, these studies are the research of the construction project contract management from the single contract angle of the construction project or from the enterprise angle. With the increase of large projects, the research on the contract group of the sub contract and the sub contract in the high speed railway construction project has not been carried out. This paper focuses on the internal Zi He of the high speed railway construction project. With the study of the contract group composed of the sub contract, the concept of the contract group is put forward, and the specific components of the elements of the contract group of the high speed railway construction project are summed up through the questionnaire investigation and the literature research, and the factor analysis and the structural equation method are used to analyze the successful construction of the construction project of the high speed railway construction project contract group. The main research contents of this paper are divided into three parts:
The first chapter, the first chapter and the second chapter, reviews and summarizes the relevant literature on the research of construction project research, construction project contract research and construction project success standard, analyzes the limitations of the existing research, and the existing problems in the current high speed railway construction projects, and carries out the related literature. The importance of the research on the contract group of high-speed rail construction projects is put forward.
The second part, the third chapter and the fourth chapter, defines the concept of the contract group of the high speed railway construction project, and analyzes the composition of the related elements of the contract group in the high speed railway construction project. The concept of the contract group is proposed in this paper. The contract is considered as a whole group of contracts, and studies the changes between the sub contracts within the contract group and the impact of the change on the whole contract group and the whole project. The fourth chapter, through the previous literature analysis, and the analysis of 377 high speed rail contracts, and the interview with the personnel of the high speed rail contract management. The index system of the high speed rail contract group is discussed. On this basis, the 15 indexes of the contract group of high speed railway construction project are divided into five basic elements by factor analysis method: the main elements of the contract, the text elements of the contract, the factors of the contract interface relations, the factors of contract management and the legal environment.
The third part, the fifth chapter, the sixth chapter and the seventh chapter, on the basis of the previous chapters, puts forward the theoretical model of the impact of the association elements of the contract group on the construction of the high speed railway construction project, and uses the method of structural equation modeling to verify and analyze the collected data, and obtains the main elements of the contract in the high speed railway construction project. The relationship between the elements of the contract text, the elements of the interface relations, the elements of the contract management and the five elements of the legal environment and the influence on the success of the project.
Based on the perspective of contract group, this paper studies the contract management of high speed railway construction project. With the help of construction contract theory, project success theory, factor analysis matrix, structural equation method and so on, this paper studies the definition of construction project contract group and the relationship between the sub elements of the contract Group on the success of the high speed railway construction project, and obtains the following conclusions:
First, construct the related concepts of the high speed railway construction project contract group and analyze the connotation of the contract group. The contract group is a collection of the existing and future new contracts. These sub contracts are set up based on the strategic objectives of the project, and are connected with the environment and the environment inside and outside the project, through a series of changes. The contract group is a group consisting of several sub contracts, which is a system relative to the internal subcontracts, and the subcontracts within the system are not independent. These contracts are interrelated, and the relationship between the stakeholders of the project passes through subcontracts. The relationship between the contract and the contract is used as the carrier and the contract group is embodied in the operation of the project. By coordinating the relationship between the subcontracts within the contract group, the overall benefit that the single contract can not be obtained can be obtained.
Second, through the factor analysis of the index system within the high speed rail contract group, the elements of the high speed rail contract group are divided into five categories, in which the main body resources, the main body qualifications and the main funds are divided into one category, which can be named as the main elements of the contract. The general terms, the specific terms and the post obligation clauses can be divided into one category, which can be named as the contract text. Factors. The relationship between the performance time and the price of the contract, the relationship between the rights and responsibilities of the contract signing subjects, the relation of the stakeholders of the project is divided into one category, which can be named as the elements of the contract interface relations. The project control, the contract claim, the allocation of the project facilities are divided into one category, which can be named as the elements of the contract management. Circumstances, the legal differences and changes in the host country can be divided into one category and the legal environment elements.
Third, construct the initial model of the structural equation of the association factors of the contract group to the construction of the high speed railway construction project, and analyze the structural equation model according to the data obtained by the investigation. The conclusion shows that the five elements in the contract group of the high speed railway construction project are the main elements of the contract, the elements of the contract text, the elements of the interface relations, the factors of contract management and the legal ring. The five elements of the boundary elements have mutual influence, and the change of each element will affect the other elements. And the five elements have a positive correlation with the success of the project. The changes of each element will not only affect the other elements, but also have a certain degree of impact on the success of the project.
Taking the "high speed railway construction project contract" as the research object, this paper takes the system view contract group as the research perspective, breaks through the original research on the individual contract or the internal contract management of the individual organization, and puts forward the influence relation model of the internal association elements of the high speed railway project contract group of multiple stakeholders on the success of the project. The main research innovation lies in the following points:
First, based on the perspective of the contract group, the high speed rail construction project is studied. Although the research on the contract management of the construction projects is increasing gradually, most of the studies are aimed at a single construction project contract signed by a certain stakeholder, and the contract involving different stakeholders within a high speed rail project. The concept of the contract group is set up in this paper. The contract group is systematic and integral. The contract group is based on the complexity theory and deeply studies the complex relationship within the project group. The complexity of the contract group is reflected not only in the complexity of its stakeholder relationship but also in the subcontracts within the contract group. The complexity of the relationship between them.
Second, the relationship between the association elements of the contract group and the impact of the high speed rail construction project is extracted and verified. This paper, taking the "contract group" as the research object, designs the relationship model of the impact of the contract group on the success of the high speed railway construction project, and identifies the index system within the contract group as five elements, that is, the main elements of the contract, the internal elements of the contract, and the internal elements of the contract. The elements of the relationship with the interface, the factors of contract management and the factors of the legal environment, and the relationship between the five factors and the influence on the success of the construction project of the high speed railway are analyzed, and a unified framework is realized to study and identify the influence of several related elements within the contract group on the success of the project, and the construction item has been perfected. The theory of contract management.
Third, the research on specific high-speed railway construction projects can be applied to the practice of high speed railway construction projects. The research results of the related elements of the contract group are applied to the concrete project practice of the high speed railway construction project. This study breaks through the original contract management category based on a single contract and the contract management of the high speed rail. Bidding, contract conclusion and contract performance have great practical application value. The proposal and improvement of contract group theory also help to carry out further research on how to carry out contract management in complex projects of multi enterprise. It not only has important theoretical and practical significance, but also has long-term research value and broad exploration. Cable space, I hope to continue to explore the above issues in the future.
【学位授予单位】：山东大学
【学位级别】：博士
【学位授予年份】：2012
【分类号】：F532;F284

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