【作者】 蒋再文；

【导师】 张宗益；

【作者基本信息】 重庆大学 ， 技术经济及管理， 2015， 博士

【摘要】 高速公路项目管理模式是一种基于政府制度安排下的高速公路项目利益相关者的关系总和,它决定了高速公路项目在全寿命周期内各利益相关者在资产形成、经营、占有、处置中的责任与权益。我国高速公路已发展近30年,其管理模式一般从融资模式和交易模式两方面进行研究。从融资模式来看,高速公路投资模式由政府单一投资已发展到以项目法人特许经营的BT(Build-Transfer)、BOT(Build-Operate-Transfer)管理模式,投资主体和筹资渠道越来越多元化。从交易模式来看,高速公路项目有传统的DBB(Design-Bid-Build)模式、施工总承包模式、设计采购施工总承包EPC(Engineering-Procurement-Construction)模式,还有专业化项目管理公司来组织实施项目建设与投资管理的“代建制”模式。各种融资和交易模式决定了高速公路项目的治理结构和管理机制,进而决定着高速公路项目管理目标的实现。在高速公路迅猛发展的同时,各种问题也层出不穷,如管理粗放、项目投资成本超预期、建设工期前松后紧、部分项目工程质量低劣、运营与建设脱节增大营运养护成本降低投资收益、权利寻租滋生腐败等。这些问题不仅引发了许多学者的研究,更激起了实务界探索新型管理模式的兴趣,如重庆高速公路集团有限公司近年探索的一种新的高速公路项目管理模式----“BOT+EPC”模式,本文将之命名为合建总承包(Combined Construction General Contractor)模式(简称CCGC模式)。合建总承包模式是一种以价值创新为核心理念的项目管理模式。这种模式将投资人与承包商融为一体,把项目的融资模式和交易模式结构一体化。项目采取设计施工总承包方式一次发包交易给总承包商,总承包商同时也是获取高速公路特许经营权的股东之一,在项目全寿命周期内与其它股东共同承担项目的投资收益与管理风险,这种管理模式给高速公路项目管理带来了一种全新的治理结构和管理机制。本文遵循“从实践中归纳科学问题?开展理论分析?再回归实践应用”的研究路径,以高速公路项目管理模式的价值创新为落脚点和研究主线,研究合建总承包模式的作用机理及运行机制。首先,理论重构项目管理模式的内涵,识别高速公路项目管理的价值链。然后,借助TCE(交易成本经济学)和MDT(机制设计理论)分析合建总承包模式的作用机理,构建项目管理模式评价指标体系,运用模糊综合评判和数据包络方法(FCA-DEA)评价项目管理模式的优劣,识别合建总承包制的比较优势,揭示合建总承包模式的作用机理。最后,基于合建总承包模式的基本理念和原则,总结归纳出其在治理结构和组织形式、激励和管控机制以及核心能力方面的运作机制。本文主要创新性工作归纳如下三个层面:(1)重构了高速公路项目建设管理模式,从价值链分析的新视角,剖析其运行过程及比较不同管理模式的优劣。第一,将重庆高速公路集团有限公司探索的“BOT+EPC”管理模式命名为合建总承包(Combined Construction General Contractor)模式(简称CCGC模式),从理论和实践层面更全面、严谨地诠释和论证该创新模式的来龙去脉。第二,引入价值链分析框架,构建高速公路项目建设管理的价值链模型,剖析传统建设管理模式与合建总承包模式的差异及其优劣。第三,以价值创新为主线,将价值链的主要流程活动和辅助活动进行整合和内部化,构建包括承包单位、监理单位、设计单位、政府等利益相关者的价值链平台,实现多边主体共同创造和分配价值的态势。(2)引入TCE和MDT,构建相应的理论模型,深刻揭示合建总承包模式的内在规律和基本原理。第一,将高速公路项目建设的价值链活动按项目生命周期划分为筹建准备、设计、施工、验收、运营的五个阶段,深入剖析合建总承包模式与传统的DBB模式的交易成本,通过研究分析揭示了合建总承包模式通过规模效应和活动内部化等方式有效地降低了交易成本和提高交易效率的新规律。第二,借助管理会计的方法,识别了价值链活动中的交易成本项目,实证测量交易成本,并以交易效率的综合指标来比较合建总承包模式与传统DBB模式的优劣,并运用规范的多案例比较研究方法,实证相关结论。第三,运用机制设计理论,构建一个承包商努力水平与业主利益一致的效用函数模型,并探讨不同假设条件下的业主和承包商的努力水平及其管理含义。该项研究工作论证了合建总承包模式的机制设计能够规避诸多不合理的寻租行为,激励总承包商更积极地降低成本、优化资源配置、实现价值创新的新原理。(3)系统地构建了评价合建总承包这一新管理模式的指标体系,提出该模式实施的新机制和新方法。第一,构建了合适评价高速公路项目建设管理优劣的指标体系,采用调查问卷方法收集相应的数据,应用FCA-DEA综合分析方法,选用不同模式的高速公路项目案例来评价项目管理模式的优劣。第二,归纳和演绎实施合建总承包模式的新机制和新方法,重点剖析了合建总承包模式应遵循的价值创新理念,设计科学的治理结构和组织结构、制定合理的激励机制和管控机制、培养项目参建主体的核心能力等。该项研究工作以期能够升华国内高速公路项目管理模式的创新性做法和经验,以及更好地保障合建总承包模式的实施和落地。更多还原

【Abstract】 Highway project management model is the sum of a relationship of highway projects stakeholders based on the government institutional arrangements, it determines the highway project stakeholders’ responsibilities and rights in capital formation, operation, possession, disposal in the whole life cycle. China’s highway has developed nearly 30 years, its management mode studied generally from two aspects including financing mode and transaction mode. From the perspective of financing mode, single investment by the government has developed to the project legal Franchise including BT(Build-Transfer)、BOT(Build-Operate-Transfer)management mode, investors and financing channels are increasingly diversified. From the perspective of trading patterns, highway projects have traditional DBB(Design- Bid- Build) mode, Construction general contracting mode, the Design Procurement Construction general contracting mode of EPC(Engineering Procurement Construction), and professional project management company to organize the implementation of project Construction and investment management model of "agent". Various financing and trading patterns determine the governance structure and management mechanism of highway projects, and then determines the realization of the highway project management goals.While the rapid development of highway, various problems are endless, such as rough management, project Investment costs than expected, construction period is slack at the beginning and has to speed up towards the end, the poor quality of part of the projects, operation and construction come apart each other which will increase the operating maintenance cost and reduce investment income, power rent-seeking gives rise to corruption. These problems not only led to many researchers, but also aroused the interest of practitioners to explore new management model. For example, Chongqing Highway Group Co., Ltd has been exploring a new pattern of highway project management in recent years(BOT + EPC mode), This paper named combined construction general contractor mode(called “CCGC” mode for short).CCGC mode is a kind of project management pattern take value innovation as the core concept. This model integrates investors and contractors, and makes project financing mode and trading structure all in one. The project use the way of design and construction general contracting, contract to the general contractor at all, general contractor is also one of shareholders who have franchise rights of highway, and shares the incomes from investment and management risks with other shareholders during the life cycle of the project, this management model has brought a new governance structure and management mechanisms to the highway project management.This paper follows the research path of "Generalize scientific issues from practice → Carry out theoretical analysis → And then return to the practical application", take value innovation of highway project management model as the purpose and main line, study on the mechanism and operation mechanism of CCGC mode. Firstly, reconstruction of the theoretical model of project management, and recognition value chain of highway project management. Then, mechanism mode of CCGC is analysis by TCE(transaction cost economics) and MDT(mechanism design theory), construct project management model evaluation system. Fuzzy comprehensive evaluation and data envelopment analysis ways are used to evaluate the merits of project management, to identify comparative advantages of CCGC mode, revealing the action mechanism of CCGC mode. Finally, based on the basic concepts and principles of CCGC mode, summarized its operating mechanism in the governance structure and organization, motivation and control mechanisms and core competencies.The main innovation of our work includes the following three aspects:(1) Reconstruction of the highway construction project management, from the new perspective of the value chain analysis, analyze its operation and pros and cons compare to different management models. Firstly, The “BOT+EPC” mode explored by Chongqing highway group Co., Ltd is named as “CCGC” mode, interpret and demonstrate the ins and outs of this innovative model more comprehensive and rigorous. Secondly, the introduction of value chain analysis framework, building value chain model highway construction project management, construction management and analysis the differences and the pros and cons between the traditional general contractor and CCGC mode. Thirdly, take value innovation as the main line, integration and internalization of the main process activities and support activities of the value chain, build the value chain platform including the contractor, supervision units, design units, government and other stakeholders to achieve trend value of multilateral body work together to create and distribute.(2) TCE and MDT is introduced, construct the corresponding theoretical model, profoundly reveals the inherent law and the basic principles of CCGC mode.Firstly, the value chain activities of highway construction projects is divided into five stages including preparation, design, construction, inspection and operation by project life cycle, in-depth analysis of transaction costs between CCGC model and the traditional model of DBB, it reveals the new law of CCGC mode reduce transaction costs and improve transaction efficiency through economies of scale and internalizing activities. Secondly, identify transaction costs projects in the value chain activities with the management accounting methods, measuring transaction costs use empirical method, and comprehensive indexes of transaction efficiency to compare the merits between CCGC model and the traditional model of DBB, and obtain empirical conclusions use comparative multiple case study method for the specification. Thirdly, use of mechanism design theory, trying to build a utility function model level of contractor effect consistent with the interest of the owner, and to explore the level of effort and its management implications of owners and contractors in different assumptions. The study demonstrates the mechanisms designed of CCGC mode could avoid many unreasonable rent-seeking behavior, and new principle of incentive general contractor to reduce costs more aggressively, optimize the allocation of resources to achieve a value innovation.(3) Index system is system constructed to evaluate this new management model, new mechanisms and new ways to implement the model are proposed. Firstly, construct a index system proper for evaluate the merits of the highway project management, using the relevant data collect by questionnaire method, application a comprehensive analysis method named FCA-DEA, use of different modes of highway projects case to assess the merits of the project management model. Secondly, induction and deduction of new mechanisms and new methods of CCGC mode, analyzes the ideas of value innovative to be followed by CCGC mode, design scientific governance structure and organizational, to develop a reasonable incentive and control mechanisms, training core competencies of the program participation body. The research work commit to sublimate innovative approaches and experience of national highway project management, and better security in implementation and application of CCGC mode.更多还原