关系治理与契约治理动态关系及其对工程项目绩效的作用机制研究

While the techniques and tools from the traditional project management theory prompting to enhance the project performance are not as significant as that they are before, project governance has gradually become a new important approach to improve the project performance and a new paradigm of project research.The aim of this study is that under a multiple perspective of the transaction cost theory and the relational contract theory, it explores the dynamics of relational governace and contractual governance mechanism in the construciton project, also to find the its impact on project performace with the gradual development of the construction project transaction. In order to achieve our aims, we select the relationship between the owner and the contractor in the transaction of the construction project as the analysis unit. And using a longitudinal case study method, we firstly explore the interplay of the internal norms and the external behaviors of relational governance, and their different forms in different development phase of the construction project transaction. we also analyse the interplay of the contract incentive and contract adaptability with the gradual development of the construction project transaction. The next important task is investigating the different development paths of relational and contractual governance mechanisms in our study when the key factors, such as, uncertainty, asset specificity, complexity, the characteristics of the both owner and contractor are changing. And the different development characteristics of relational and contractual mechanisms mean that their dynamic interplay does not follow consistent patterns. The dynamic interplay will be one of the three functions, substitutes, complements, and both coexist. And we also estimate the interplay of relational and contractual mechanisms how to effect the construction project performance. The expected results of this study will deepen the understanding of the operation law of relational and contractual governance in construction project, provide the measures and recommendations for improving construction project performance by the hybrid governance mechanisms and enrich the experiential evidence of inter-organization relationship governance.

传统项目管理理论对项目绩效改善的日渐乏力，促使项目治理成为改善项目绩效的新途径和新的项目研究范式。本项目融合交易成本理论和关系契约理论，借鉴和吸收关系治理与契约治理在组织间关系中的研究成果，以工程项目交易中业主和承包商间关系为分析单元，采用纵向案例研究方法，考察随着工程项目交易的逐步开展，关系治理、契约治理的形成机制和影响因素，特别是关系治理与契约治理之间动态关系以及其对工程项目绩效的作用机制。本项目重点考察随着工程项目交易的进行，受资产专用性、不确定性、复杂性，以及双方关系特征的影响，关系治理的内在规则与外在行为的具体表现与交互作用，契约治理的契约激励与契约适应的交互作用，关系治理与契约治理间关系（替代、互补、替代与互补共存）的动态变化。本项目将深化对两种治理机制在项目实践中运作规律的认识，为通过复合治理机制改善项目绩效提供措施与建议，并丰富组织间关系研究领域的中国证据。

本项目从工程项目关系治理、契约治理形成机制分析、工程项目关系治理与契约治理动态关系分析、构建和检验关系治理与契约治理动态关系对工程项目管理绩效作用机制理论模型和关系治理与契约治理复合治理机制对工程项目管理绩效作用效果分析等四个方面展开研究。形成的主要研究成果包括：（1）工程项目关系治理、契约治理形成机制理论模型构建与验证。研究发现：项目不确定性与两种治理机制之间并不存在显著的相关关系，而是项目不确定性显著增强了资产专用性与两种治理机制之间的正向关系。本研究在工程项目领域内验证了交易成本经济学的核心假设，并为工程项目领域内的关系治理和契约治理的构建与实施提供了建议；（2）工程项目关系治理与契约治理动态关系模型构建与验证。研究认为前期经历对关系治理与契约治理间关系有直接影响，本研究创新性地提出关系与契约治理之间关系的互补还是替代，会受到前期合作经历的影响;（3）业主与承包商间初始信任及其前因研究。初始信任是业主与承包商关系构建和维持的基础。研究聚焦于工程项目招投标阶段影响业主与承包商初始信任前因及其影响作用，并检验了力量投入、财务状况、技术能力、管理能力、社会声誉等因素对初始信任的影响，研究发现力量投入是对初始信任影响最大的因素，而社会声誉的影响则不如预期;（4）构建和检验关系治理与契约治理对工程项目管理绩效作用机制的理论模型。基于社会学和经济学视角构建关系治理与契约治理对工程项目管理绩效作用机制的理论模型。研究发现信任、项目不确定性、资产专用性和项目复杂性是影响关系治理与契约治理的核心要素。同时发现关系治理与契约治理双强的治理模式对工程项目管理绩效具有积极影响。本研究深化对两种治理机制在项目实践中运作规律的认识，为通过复合治理机制改善项目管理绩效提供措施与建议，并丰富组织间关系研究领域的中国证据。