【作者】 李善波；

【导师】 王慧敏；

【作者基本信息】 河海大学 ， 管理科学与工程， 2012， 博士

【摘要】 政府公共投资项目普遍存在着一些负面现象：投资失控、决策失误、制度失效以及主体行为失范等。不按规则办事的现象屡见不鲜；在国外行之有效的制度引入到国内以后往往出现“水土不服”。由此引发的问题是：公共项目主体行为失范和制度失效的微观机制是什么；这些看似不同的现象背后是否存在统一的因果逻辑。本文认为，系统结构决定系统行为，公共项目特有的治理结构决定了特有的主体行为和绩效。弄清了公共项目治理结构也就找到了解答公共项目普遍性疑难问题的钥匙。公共项目治理结构及治理机制是本文研究的核心。主要利用实证研究方法，通过对我国公共项目运作现实的深入分析和归纳概括，提炼出我国公共项目治理要素，从契约理论的视角，揭示了现实中运行着的公共项目治理结构，构建出互联契约治理结构框架；以微观个体为分析单位，建立了互联契约理论模型；在此基础上，根据治理结构框架和互联契约理论对公共项目治理机制以及公共项目主体行为失范和制度失效现象的微观机制作出了逻辑一致的解释；最后针对公共项目治理结构缺陷，提出完善治理结构的路径。论文还深入研究了公共项目和公共项目组织的基本属性。主要结论有：公共项目治理结构表现为多种契约互联的契约形态；“权威治理与合同治理共存、正式契约与非正式契约互联”构成公共项目治理结构基本框架；权威治理和合同治理是公共项目的两种最主要的治理方式；公共项目合同治理的“跨越难题”和权威治理的“约束难题”是公共项目的两大症结。互联契约理论具有较广泛的适用性和较强的解释力，可以作为解释公共项目现象的一个普适性理论工具。公共项目负面现象大多数是由冲突性互联契约所使然。公共项目的投资具有公共资源属性、产出具有公共物品属性。公共资源所有权的公共性与控制权的私人性之间的分立，产生公私利益冲突。公共项目组织是一种独特的复合型契约组织；项目组织边界跨越许多单个组织而形成项目组织空间。项目参与者在项目组织空间内代表项目的利益而在项目组织空间外代表原组织的利益和个体利益。更多还原

【Abstract】 There are some negative phenomenon generally existed in public projects: theinvestment out of control, faulty decision, institution invalidation and anomie ofsubject behavior, etc. It is un-seldom for people beyond discipline duringimplementing. Some effective systems abroad could not acclimatize to the situation ofChina after introduced. Challenges from this phenomenon are as following: what isthe microscopic mechanism of subject behavior anomie and system failure inpublic project, whether does there exist unified causal logic behind theseseemingly different phenomenon. According to this paper, system structuredetermines system behavior, and specific governance structure of public projectdetermines the special subject behavior and performance. Public projectgovernance structure is the key point to solve those complicated universalproblems of public project. Public project governance structure and governancemechanism are the research cores in this dissertation.Through empirical research, analyzing and inducing operation procedure ofpublic project in our country, governance elements of public project are proposed;from the perspective of contract theory, this research reveals implementing governancestructure of public project, and constructs inter-connected contract governancestructure framework; regarding micro individual as analysis unit, inter-connectedcontract theory model has been established. On this basis, the research gives aconsistent logic illustration to governance mechanism, institution invalidation andanomie of subject behavior of public project, according to inter-connectedcontract theory and governance structure framework. Finally, solutions to thegovernance structure defects are put forward. The research of this dissertation alsodeeply exploits base attributes of public project and public project organization.The main conclusions are as following:Public project governance structure appears multi-inter-connected contractperformance;"coexistence between Authority governance and contractgovernance, inter-connection between formal contract and informal contract ",which constitute the basic framework of public project governance structure.Authority governance and contract governance are two main governance patternsin public project. Restricting to contract governance and to authority governanceare two major sticking points in the public project. Inter-connected contract theoryhas a wide range of applicability and strong explanatory power, which could beconducted as a universal theory tool to explain the public project phenomenon.Most negative phenomenon of public projects is caused by contract conflictions.Public project investment has an attribute of public resource, which output hasan attribute of public goods. Publicity of public resource ownership and privacy ofcontrol right conflict each other on interests. Public project organization is aunique compound-contracts organization; Project organization boundary spansmany individual organizations to form project organization space. Projectparticipants represent the project interests when they are within the projectorganization space, on coincide, which represent the original individual interestswhen they are outside the project organization space.更多还原