项目控制权与风险分担动态耦合对工程合同状态补偿影响研究

The universality of project risks will lead to the changes of contrat state inevitably, it makes the project owner to compensate the changed state with risks allocation. However, the compensation depends on the flexibility introduced into initial state of contract in advance. If it couldn't provide relevant control rights for the contractor, the dilimemma of risk lock-in will be inevitable. The key lies in study on the dynamic coupling mechanism of project control rights with risks allocation and the effection of coupling extent on contract flexibility.Based on these background, the contents including four parts. Firstly, it should identify and filter the core elements based on control right and risk allocation, and then establish the dynamic coupling concept model based on those elements. Secondly, it should develop a measurement scale for contract flexibility, and identify the key observable variables together with dimensions of contract flexibility. Thirdly, it analysis the effection between dynamic coupling of project control rights and risk allocation, contract flexibility, and contract state compensation with SEM. Finally,it accumulated a seed case base for contract state compensation, verified the contract state compensation strategy by multi-case study, and formulated related contract state compensation seletcion strategy matrix. The outcome of study could improve the reasearch about interaction of project governance mechanism for project governance, and establish the relation between the dynamic coupling and the state compensation. In practice, the outcome could provide the state compensation stategy selection for the project owners, and it will put forward decision making guideline for the owners to overcome dilemma of risk lock-in.

项目风险发生的普遍性扰动了合同状态，促使项目发包人利用风险分担实现合同状态补偿。但合同状态补偿取决于合同初始状态中对柔性的事前注入，若未能赋予项目承包人相应的控制权，极易导致发包人陷入风险锁定困局。破解的关键在于分析项目控制权与风险分担的动态耦合机理，以及二者的耦合度对合同柔性的影响。研究内容包括：⑴基于项目控制权和风险分担核心要素识别动态耦合要素和指标体系，构建动态耦合概念模型；⑵通过合同柔性测量量表开发确定其构成维度与相应的关键观测变量；⑶利用结构方程模型分析项目控制权与风险分担的动态耦合对合同柔性和合同状态补偿的作用机理；⑷构建种子案例库，采用多案例研究验证合同状态补偿策略，提出相应策略集。研究结果完善了项目治理理论中相关治理机制相互作用的研究，建立了项目控制权与风险分担动态耦合与合同状态补偿之间的关联，能为发包人提供合同状态补偿的策略选择，为发包人破解被风险锁定的困局提供决策支持。

在建设工程项目中，囿于发承包双方的有限理性，合同在实际执行期间极可能被合同文本中未明确界定的风险所扰动，导致发承包双方均陷入风险锁定困局。为破解这一矛盾，弥补风险扰动所造成的不利影响，保证项目的顺利实施，发包人和承包人必须对合同状态进行必要补偿。现有研究均表明，对合同实施状态进行补偿的重要前提是赋予合同一定的柔性，通过打开合同柔性的黑箱，才能够进一步考察合同柔性、合同补偿等之间的相互作用。为此，课题研究从：①构建建设工程合同柔性实现路径；②廓清基于柔性的建设工程合同补偿机制；③剖析基于合同补偿的承包人履约行为影响机理，等三个相互关联逐次递进的方面着手，讨论破解发承包双方风险锁定困局的可行策略方案。.首先对建设工程合同柔性实现路径进行了探讨，在充分考虑合同刚性和柔性合理均衡的基础上，课题打开了合同柔性“黑箱”，并进一步识别出了合同柔性的核心要素，并据此形成合同柔性测度指标。.随后，课题对基于柔性的建设工程合同补偿机制进行了重点研究，在明确了合同柔性实现路径的基础上，进一步探索了合同状态补偿的原则和可行路径。一是基于传统的合同管理范式，通过索赔、协商谈判等予以解决；二是基于承包人行为心理的新范式，通过确定承包人在合同补偿时的契约参照点，从更为深刻的层面解决这一问题。并基于此确定了合同状态补偿条款设计的基本原则。.最后，课题讨论了合同补偿对承包人履约行为的影响机理。一是从管理学层面，即建设工程合同中的契约治理和关系治理相互作用机制入手考虑其对承包人履约行为的影响，二是引入心理学研究范式，讨论契约参照点效应对承包人履约行为的影响。.上述研究成果将为建设工程项目合同的发承包双方跳出风险锁定怪圈，提高合同执行效率提供了有益的参考，能在管理范式上进一步丰富工程合同管理的方法和手段，期望能够为我国各类建设工程项目合同管理的顺利展开提供有益的方法论指导。