大型公共项目可持续性的评价分析研究
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摘要
大型公共项目是改善国民生活质量的重要手段，承担着为整个社会生产和提供公共物品和服务的重要任务，是建筑行业中的标杆项目。我国顺应国际潮流和现实需要，将可持续发展作为建筑业的发展目标和方向，但当前相关的实践情况却并不乐观。大型公共项目，特别是非经营性大型公共项目在可持续性上的表现不尽如人意，在决策、投资、建设和使用的过程中陆续出现一些问题。因此，如何科学地评判大型公共项目的可持续性，改善和提高项目的可持续性也就成为一个亟待解决的问题。对这一问题的回答将有助于提升整个建筑业的可持续性表现，有助于集约和合理利用公共资源，进而为当前和谐社会和“两型”社会的建设过程贡献力量。
本文选取投资额度巨大、社会影响深远、行业示范性强的大型公共项目为研究对象，在考虑利益相关者诉求的基础上，将大型公共项目的全寿命周期分为决策、设计、建设、运营和退出使用等五个阶段，从六个维度即经济维度、环境维度、社会维度、资源利用维度、健康与安全维度以及项目治理维度，结合大型公共项目的可持续性在各个维度中的特点对其进行计量，并对其可持续性的改善进行相关探讨。本文研究内容的实施严格以提出研究问题的逻辑为思维指导，按照“选题动机——大型公共项目全寿命周期的可持续性是什么——如何在全寿命周期中评价和改善大型公共项目的可持续性——总结”的思路开展研究。
在理论方面，以全寿命周期理论和生物学中的共生理论为指导，提出“需求—过程—结果”的分析模式以及“需求—目标—约束”的大型公共项目可持续性发展和实现的内在机制，并应用解析结构模型ISM的方法，对可持续性六个维度的内在关系进行探索和分析，发现项目治理和资源利用有着最为基础和重要的作用，在维度体系中二者的驱动力达到40%，依赖性仅为8%；经济维度、环境维度和社会维度受其他维度的影响较大，依赖性总和达到72%，而它们对其他维度的作用并不十分显著，三者的驱动力总和也仅为44%；而健康与安全对其他维度的驱动作用和受其他维度的影响程度相当。同时，大型公共项目的可持续性在决策阶段侧重实现决策的公开透明和科学合理，在设计阶段侧重实现可持续性的设计，在建设阶段满足可持续建造和绿色施工的要求，在运营阶段的工作需要满足可持续生产的要求，侧重于绿色建筑的范畴，退出使用阶段的工作在实现绿色施工的基础上，强调循环再生型回收方式的使用。
在评价方法和模型方面，本文通过计算各维度可持续性评价结果的算术平均值之和来评价大型公共项目整体的可持续性，并将可持续性的六个维度分为了定量维度和定性维度。对于定量维度，应用项目财务净现值率评价经济维度的可持续性，选用生态足迹分析法评价环境维度的可持续性。对于定性维度，本文建立了各维度可持续性的评价指标体系，并选用不同的综合评价方法将定性问题进行定量化转换：在使用熵权法计算指标权重的基础上，应用灰色聚类分析评价社会维度的可持续性，应用云模型评价资源利用维度的可持续性，选择模糊综合评价法评价健康与安全维度的可持续性，使用可拓综合评价法评价项目治理维度的可持续性。这些评价方法和模型组成了本文大型公共项目可持续性的综合评价体系。
在应用方面，本文在对大型公共项目各维度和整体可持续性的评价方法建模的同时，针对影响可持续性的因素进行了一些假设，通过公式推导和理论分析检验了这些假设的真伪。在此基础上，再结合现实情况和问题，本文针对大型公共项目可持续性的各维度提出了可持续性改善的具体途径，并从外部环境方面提出了改善大型公共项目整体可持续性的方法。
最后，通过对广州某亚运项目的案例研究，展示了大型公共项目可持续性综合评价体系的使用方法，表明了它们能够比较客观地反应评价对象的情况。同时本文应用大型公共项目可持续性的改善途径，针对该项目提出了具体的可持续性改善办法。案例研究结果显示，该亚运项目的可持续性通过改善措施得到了显著的提高。案例研究是对本文理论、模型和分析的证明。
基于上述的研究内容和结果，本文发现，以共生理论为支撑的大型公共项目可持续性的内在机制提供了基础，评价维度的内在关系有助于利益相关者更好地把握工作重点，而大型公共项目可持续性的综合评价体系和改善途径是评价和改善大型公共项目可持续性的科学、有效的工具。本文在理论上探索了大型公共项目可持续性的内涵和构成，在实践上提供了可操作性较强的大型公共项目可持续性的评价与改善的方法。
Large-scaled public projects is an important security to provide public services andimprove the quality of life, undertaking the vital task of providing and producing public goodsand services for the whole society, which is the benchmarking project in the constructionindustry. However, large-scaled public projects, especially non-operating large-scaled publicprojects is not well performed on sustainability, which has been found in a number ofnegative phenomena and problems in the process of decision-making, investment,construction and implement. Meanwhile, in order to follow the international trend and matchthe reality, China has a long history to put the sustainable development as the goal anddirection of the construction industry, but the current practice is not optimistic. Therefore, ithas become a serious problem about how to evaluate the sustainability performance ofconstruction projects and to further improve it through the weak links. The answer to thisquestion will help to improve the sustainability performance of the entire constructionindustry, helping intensive and rational use of public resources and energy, and thus tocontribute to building a harmonious society and the current "two-oriented" social process.
Based on the background above and current situation, this thesis selected the large-scaledpublic projects which have a huge amount of investment, far-reaching social impact, strongindustry demonstration as the subject for the study, on the basis of taking full account of thedemands of stakeholders, devide the life cycle of large-scaled public projects into five stagesincluding decision-making, design, construction, operation and decommissioning,measuresustainanbility from economic dimension, environmental dimension, socialdimension, resource utilization dimension, health and safety dimension, and projectgovernance dimension combined with the characteristics of the sustainability of large-scaledpublic projects as a whole, explore ways of improving the weaknesses that affect thesustainability performance, and finally achieve the research aim of evaluating and improvingsustainability performance of large-scaled public buildings in the whole life cycle. Thecontents of this theis are strictly instructed by the logic of raising the research questions,which is "topics motivation—what the sustainability performance of the large-scaled publicprojects in the whole life cycle is—how to evaluate and improve the sustainabilityperformance of the large-scaled public projects in the whole life cycle—research summary ".
In theory, guided by the whole life cycle theory and ecology symbiosis theory, this thesisproposed "demand-process-result "analysis mode and the" demand-target-constraints "internal mechanism for the large-scaled public projects sustainable development and implement, further applied analytical structural model ISM (Interpretive Structural Modelling)method to explore and analyze the internal relationship of the six dimensions, and found that:project management and resource utilization has the most basic and important role, theirdriving force in the dimension system is up to40%, while dependence only8%; economic,environmental and social dimensions are greatly influenced by other dimensions, reaching72%of total dependence, and their effects on other dimensions are not very significant, the sumof the three drivers is only44%; while the role of the health and safety dimension has abalanced combination of driving force and dependence. Meanwhile, the sustainability oflarge-scaled pulic projects has different focus in each stage of its life cycle: reasonabledecision in decision-making stage, sustainable design in design stage, sustainableconstructionin construction stage, green building in operation stage, and recycle and reuse indecommissioning stage.
In model establishing, this thesis calculated the sustainability of large-scaled publicprojects through adding the arithmetic mean values of sustainability of the six dimensions,divided the dimensions into quantitative dimensions and qualitative ones. For quantitativedimensions, intuitive mathematical methods and models were used to assess theirsustainability performance: project financial NPV rate was applied to evaluate thesustainability performance of the economic dimension; ecological footprint analysis wasapplied to evaluate the sustainability performance of the environmental dimension. For thequalitative dimensions, the thesis established indicator system and used comprehensiveevaluation method to convert qualitative issues into quantitative ones: based on thecalculation of the index weight by entropy method, applied grey clustering to analyze andevaluate of the sustainability performance of the social dimension, the cloud model toevaluate the resource utilization dimension, fuzzy comprehensive evaluation method in healthand safety dimension, and extensive comprehensive evaluation methods to access thesustainability performance of the project governance dimension. These evaluation methodsand models consist of sustainability evaluation system on large-scaled public projects in thisresearch.
In application, based on the assessment model of sustainability dimensions of large-scaled public project, this thesis presented hypothesis that affects the sustainabilityperformance in each dimension, and verified them through theoretical analysis and formulaauthenticity. Coping with current situation and exsiting problems, the thesis proposed detaildmethods of improving the sustainability performance of each dimension and as a whole. Thisprovides some practical help to improve the sustainability of large public projects.
Through the case study of the project in Guangzhou for the2010Asian Games, thispaper demonstrates the use method of large-scale public project sustainability evaluationsystem, proves that they can truly and objectively evaluate the object reaction. And to someextent, it verifies the exploration of improvement methods, which proved the theory, modelsand analysis of this thesis.
Based on the above research and results, this thesis argues that internal mechanism ofsustainability performance of large-scaled public projects supported by the symbiotic theoryprovides a basis, and inherent relationship of sustainability dimensions help stakeholders tobetter understand the priorities, while the large-scaled public project sustainabilitycomprehensive evaluation system is the effective tool to evaluate and improve thesustainability of large-scaled public projects. Conclusions of this research theoretically enrichthe knowledge body in related fields and provide a method for the evaluation andimprovement of the sustainability performance of large-scaled public projects in practice.
本文选取投资额度巨大、社会影响深远、行业示范性强的大型公共项目为研究对象，在考虑利益相关者诉求的基础上，将大型公共项目的全寿命周期分为决策、设计、建设、运营和退出使用等五个阶段，从六个维度即经济维度、环境维度、社会维度、资源利用维度、健康与安全维度以及项目治理维度，结合大型公共项目的可持续性在各个维度中的特点对其进行计量，并对其可持续性的改善进行相关探讨。本文研究内容的实施严格以提出研究问题的逻辑为思维指导，按照“选题动机——大型公共项目全寿命周期的可持续性是什么——如何在全寿命周期中评价和改善大型公共项目的可持续性——总结”的思路开展研究。
在理论方面，以全寿命周期理论和生物学中的共生理论为指导，提出“需求—过程—结果”的分析模式以及“需求—目标—约束”的大型公共项目可持续性发展和实现的内在机制，并应用解析结构模型ISM的方法，对可持续性六个维度的内在关系进行探索和分析，发现项目治理和资源利用有着最为基础和重要的作用，在维度体系中二者的驱动力达到40%，依赖性仅为8%；经济维度、环境维度和社会维度受其他维度的影响较大，依赖性总和达到72%，而它们对其他维度的作用并不十分显著，三者的驱动力总和也仅为44%；而健康与安全对其他维度的驱动作用和受其他维度的影响程度相当。同时，大型公共项目的可持续性在决策阶段侧重实现决策的公开透明和科学合理，在设计阶段侧重实现可持续性的设计，在建设阶段满足可持续建造和绿色施工的要求，在运营阶段的工作需要满足可持续生产的要求，侧重于绿色建筑的范畴，退出使用阶段的工作在实现绿色施工的基础上，强调循环再生型回收方式的使用。
在评价方法和模型方面，本文通过计算各维度可持续性评价结果的算术平均值之和来评价大型公共项目整体的可持续性，并将可持续性的六个维度分为了定量维度和定性维度。对于定量维度，应用项目财务净现值率评价经济维度的可持续性，选用生态足迹分析法评价环境维度的可持续性。对于定性维度，本文建立了各维度可持续性的评价指标体系，并选用不同的综合评价方法将定性问题进行定量化转换：在使用熵权法计算指标权重的基础上，应用灰色聚类分析评价社会维度的可持续性，应用云模型评价资源利用维度的可持续性，选择模糊综合评价法评价健康与安全维度的可持续性，使用可拓综合评价法评价项目治理维度的可持续性。这些评价方法和模型组成了本文大型公共项目可持续性的综合评价体系。
在应用方面，本文在对大型公共项目各维度和整体可持续性的评价方法建模的同时，针对影响可持续性的因素进行了一些假设，通过公式推导和理论分析检验了这些假设的真伪。在此基础上，再结合现实情况和问题，本文针对大型公共项目可持续性的各维度提出了可持续性改善的具体途径，并从外部环境方面提出了改善大型公共项目整体可持续性的方法。
最后，通过对广州某亚运项目的案例研究，展示了大型公共项目可持续性综合评价体系的使用方法，表明了它们能够比较客观地反应评价对象的情况。同时本文应用大型公共项目可持续性的改善途径，针对该项目提出了具体的可持续性改善办法。案例研究结果显示，该亚运项目的可持续性通过改善措施得到了显著的提高。案例研究是对本文理论、模型和分析的证明。
基于上述的研究内容和结果，本文发现，以共生理论为支撑的大型公共项目可持续性的内在机制提供了基础，评价维度的内在关系有助于利益相关者更好地把握工作重点，而大型公共项目可持续性的综合评价体系和改善途径是评价和改善大型公共项目可持续性的科学、有效的工具。本文在理论上探索了大型公共项目可持续性的内涵和构成，在实践上提供了可操作性较强的大型公共项目可持续性的评价与改善的方法。
Large-scaled public projects is an important security to provide public services andimprove the quality of life, undertaking the vital task of providing and producing public goodsand services for the whole society, which is the benchmarking project in the constructionindustry. However, large-scaled public projects, especially non-operating large-scaled publicprojects is not well performed on sustainability, which has been found in a number ofnegative phenomena and problems in the process of decision-making, investment,construction and implement. Meanwhile, in order to follow the international trend and matchthe reality, China has a long history to put the sustainable development as the goal anddirection of the construction industry, but the current practice is not optimistic. Therefore, ithas become a serious problem about how to evaluate the sustainability performance ofconstruction projects and to further improve it through the weak links. The answer to thisquestion will help to improve the sustainability performance of the entire constructionindustry, helping intensive and rational use of public resources and energy, and thus tocontribute to building a harmonious society and the current "two-oriented" social process.
Based on the background above and current situation, this thesis selected the large-scaledpublic projects which have a huge amount of investment, far-reaching social impact, strongindustry demonstration as the subject for the study, on the basis of taking full account of thedemands of stakeholders, devide the life cycle of large-scaled public projects into five stagesincluding decision-making, design, construction, operation and decommissioning,measuresustainanbility from economic dimension, environmental dimension, socialdimension, resource utilization dimension, health and safety dimension, and projectgovernance dimension combined with the characteristics of the sustainability of large-scaledpublic projects as a whole, explore ways of improving the weaknesses that affect thesustainability performance, and finally achieve the research aim of evaluating and improvingsustainability performance of large-scaled public buildings in the whole life cycle. Thecontents of this theis are strictly instructed by the logic of raising the research questions,which is "topics motivation—what the sustainability performance of the large-scaled publicprojects in the whole life cycle is—how to evaluate and improve the sustainabilityperformance of the large-scaled public projects in the whole life cycle—research summary ".
In theory, guided by the whole life cycle theory and ecology symbiosis theory, this thesisproposed "demand-process-result "analysis mode and the" demand-target-constraints "internal mechanism for the large-scaled public projects sustainable development and implement, further applied analytical structural model ISM (Interpretive Structural Modelling)method to explore and analyze the internal relationship of the six dimensions, and found that:project management and resource utilization has the most basic and important role, theirdriving force in the dimension system is up to40%, while dependence only8%; economic,environmental and social dimensions are greatly influenced by other dimensions, reaching72%of total dependence, and their effects on other dimensions are not very significant, the sumof the three drivers is only44%; while the role of the health and safety dimension has abalanced combination of driving force and dependence. Meanwhile, the sustainability oflarge-scaled pulic projects has different focus in each stage of its life cycle: reasonabledecision in decision-making stage, sustainable design in design stage, sustainableconstructionin construction stage, green building in operation stage, and recycle and reuse indecommissioning stage.
In model establishing, this thesis calculated the sustainability of large-scaled publicprojects through adding the arithmetic mean values of sustainability of the six dimensions,divided the dimensions into quantitative dimensions and qualitative ones. For quantitativedimensions, intuitive mathematical methods and models were used to assess theirsustainability performance: project financial NPV rate was applied to evaluate thesustainability performance of the economic dimension; ecological footprint analysis wasapplied to evaluate the sustainability performance of the environmental dimension. For thequalitative dimensions, the thesis established indicator system and used comprehensiveevaluation method to convert qualitative issues into quantitative ones: based on thecalculation of the index weight by entropy method, applied grey clustering to analyze andevaluate of the sustainability performance of the social dimension, the cloud model toevaluate the resource utilization dimension, fuzzy comprehensive evaluation method in healthand safety dimension, and extensive comprehensive evaluation methods to access thesustainability performance of the project governance dimension. These evaluation methodsand models consist of sustainability evaluation system on large-scaled public projects in thisresearch.
In application, based on the assessment model of sustainability dimensions of large-scaled public project, this thesis presented hypothesis that affects the sustainabilityperformance in each dimension, and verified them through theoretical analysis and formulaauthenticity. Coping with current situation and exsiting problems, the thesis proposed detaildmethods of improving the sustainability performance of each dimension and as a whole. Thisprovides some practical help to improve the sustainability of large public projects.
Through the case study of the project in Guangzhou for the2010Asian Games, thispaper demonstrates the use method of large-scale public project sustainability evaluationsystem, proves that they can truly and objectively evaluate the object reaction. And to someextent, it verifies the exploration of improvement methods, which proved the theory, modelsand analysis of this thesis.
Based on the above research and results, this thesis argues that internal mechanism ofsustainability performance of large-scaled public projects supported by the symbiotic theoryprovides a basis, and inherent relationship of sustainability dimensions help stakeholders tobetter understand the priorities, while the large-scaled public project sustainabilitycomprehensive evaluation system is the effective tool to evaluate and improve thesustainability of large-scaled public projects. Conclusions of this research theoretically enrichthe knowledge body in related fields and provide a method for the evaluation andimprovement of the sustainability performance of large-scaled public projects in practice.
引文
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