政府代建制项目治理结构研究
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摘要
中国近十年公共项目投资额出现大幅增长,特别是对于教育、卫生等事业的建设项目,以及公、检、法、司等办公设施项目,投资建设的需求在不断增加。传统上,这些公共项目主要由政府投资建设和监管使用,政府既负责投资审批,又直接管理项目施工建设,经常产生“超预算、超标准、超进度”及建设工程质量等诸多问题。为了治理公共项目,国内在2003年开始推行“代建制”,政府委托专业的项目管理公司(或代建单位),代理完成项目业主的管理职能。
为了更好的完善和推行作为治理手段的项目代建制,需要深入研究其自身的治理规律,因此,本研究提出三个拟解决的关键问题为：在中国当前的情景下,代建制项目的治理属性和特点是什么?如何从项目治理的本质来划分代建制项目的治理结构?代建制项目各种治理结构的特性是什么?
为解决以上关键问题,本研究在对代建制和项目治理研究现状综述的基础上,使用文本分析法剖析了治理的概念内涵,提出从治理活动入手分析代建制项目治理特性的思路,并给出治理活动的属性描述。
本论文采用案例研究的方法,以国内各地,特别是沿海发达地区代建制项目案例和相关法律法规为研究对象,从本研究归纳的15个治理环节出发,收集代建制项目特征和治理活动的信息,并对这些信息进行编码以构建统计数据库,使用SPSS统计软件的交叉列联和多选项分析,从案例信息数据中得到研究结果。
案例研究的结果表明,最终识别出代建制项目治理活动203个,涵盖研究设计中提出的15个治理环节。在统计分析的结果上,得到代建制项目治理活动识别案例研究的结论如下：
首先,针对“代建人选择”和“代建人招标”,开展的项目治理活动最多,选择代理人是代建制项目治理中最为重要的对象。代建制项目治理强调组织监督作用,重点通过治理资金使用和施工组织管理来避免“三超”。
其次,代建制项目治理活动涉及到的主体最多是代建人、发改委和使用人,治理还需要财政主管部门、代建主管机构、行业主管部门、建设管理部门、审计部门等参与。
再次,代建制项目中的治理活动主要集中在系统治理、任务治理和利益相关者治理三个内容,主要表现为“控制”和“检查与平衡”两个方面,侧重于对代建制项目管理的过程控制和指导。
在案例研究识别出来的治理活动的基础上,从治理关系的广度、层级度和深度三个变量出发,构建出代建制项目治理强度的测量模型,将治理强度定义为在0-1之间分布的数值,并划分为强、中、弱三种治理强度。
通过研究发现：代建制项目的弱治理结构包含的主要利益相关者为发改委、使用人和代建人,主要针对监督组织设计、代建人选择、代建人招标活动、资金申请和使用等4个治理环节；
代建制项目的中治理结构是在弱治理结构的基础上,引入行业、财政、建设主管部门、以及代建管理机构等利益相关者,针对管理制度构建等8个治理环节开展治理活动；
代建制代建制项目的强治理结构是在中治理结构的基础上,引入审计、监察等顶层治理主体,针对所有的15个治理环节开展治理活动。
针对不同治理强度的代建制项目治理结构,在分析治理主体间治理活动特性的基础上,研究中发现：
在代建制项目弱治理结构中,发改委和使用人对代建人的关系是弱治理的主要关系,代建人是唯一的核心被治理主体,利益相关者治理和任务治理是主体间的主要治理内容,对制度设计的依赖性不强,治理活动主要通过市场化合同或主体的自我治理来完成。对主要被治理者的治理活动突出表现为检查,发改委和使用人间主要是协调关系,以共同实现对代理人的检查治理。
在代建制项目的中治理结构中,代建人、使用人和监理是三个核心的被治理主体,顶层治理主体通过使用人和监理,对代建人形成多条间接治理路径,尤其突显出使用人的重要中介作用。系统治理是顶层治理主体对被治理者的首要治理内容,表明制度设计是“中治理结构”的主要治理手段,对主要被治理者的治理活动突出表现为控制和协调,要求市场化合同治理和管理制度化治理相结合。
在代建制项目强治理结构中,代建人、使用人、监理、发改委、财政主管部门、建设主管部门和行业主管部门是七个核心被治理主体。顶层治理主体可以通过发改委、财政、建设和行业主管部门、使用人等中介环节,对代建人形成多条间接治理路径。强治理结构的首要治理活动内容是系统治理,强调合同治理、制度治理和网络治理的结合。强治理结构对主要被治理者的治理活动突出表现为控制、协调和检查,并且随着治理层级的变换有所改变。
Chinese investment in public projects in recent decades has increased greatly, especially for the projects of education, health and other construction projects, as well as public, prosecutors, law, the Secretary and other office facilities projects, investment and construction demand continues to increase. Traditionally, these public projects are invested by the government and regulators, the government is responsible for investment approval, the direct management of project construction, which often results in over-budget, over-standard, over-progress. In order to governaning public construction projects, China launched an Constructon-Agent System(CAS) in2003, the Government commissioned a professional project management company (or Agent Unit) to complete the project management on behalf of the owners.
In order to better improve and implement the Construction-Agent System as instruments of governance, it is necessary to study governance rules, therefore, this research proposes three key issues to be resolved as follows:In the current scenario, what are the attributes and characteristics of the agent system project governance? How to divide the governance structure of the agent system project from the nature of the project governance? What are the characteristics of the agent system project governance structure?
To solve the above key issues, this research reviewed the literatures on the agent system and project management, using text analysis method to analyse the connotation of the concept of governance, came up the idea of analyzing the agent system project management features proposed to start from the governance activities, and described the governance activity property.
The dissertation used a case study approach, in particular, collected the information of agent system project cases of developed coastal areas and the relevant laws and regulations as the research object. The study concludes15governance aspects, collects information of agent system project characteristics and governance activities, encodes the information to build a statistical database, using the SPSS statistical software and multi-option analysis, obtains the findings from the case data.
The case study results show that eventually203governance activities are identified in the agent system projects, covering the15governance aspects of study design. On the results of statistical analyzes, the conclusions of identifying the agent system project governance activities from the case study are as follows:
Conclusion1:There are most project governance activities in selection of construction agent and construction agent bidding. Selecting agents is the most important object in the agent system project governance. Agent system project governance emphasis on organizational oversight, avoid the "three excesses" through the governance of the use of funds and construction organization and management.
Conclusion II:Goverance activities of agent system project related to the construction agent, Development and Reform Commission, and the owners, also related to the finance department, agent in charge of institutions, industry management department, construction management department, audit department.
Conclusion III:Governance activities in the agent system project focused on system management, task management, and stakeholder governance, mainly embody two aspects of the "control" and "checks and balances", focusing on the agent system project management process control and guidance.
On the basis of case studies to identify the governance activities, starting from the breadth of the governance relationship, the level and depth of three variables, construct the measurement model of the agent system project governance strength, governance strength is defined as the distribution of between0-1value, and is divided into strong, median, weak governance strength.
The study found:weak governance structure of the agent system project, includes key stakeholders, such as the Development and Reform Commission, owners and construction agent, and concerns four governance dimensions including the supervision and organization design, agent selection, agent tender activities, applications for funding and the use.
Moderate governance structure of the agent system projects is on the basis of weak governance structure, introduces industry management department, finance management department, construction authorities, and construction agent management department, to carry out governance activities in8governance dimensions such as management system construction.
Strong governance structure of the Agent System Agent System project is on the basis of moderate governance structure, introduces audit, inspection and other top-level governance body, to carry out governance activities for all15governance dimesions.
According to agent system project governance structure for the different strength of governance, based on the governance characteristics of the analysis of governance body, the study found:
Weak governance structure of agent system project, the relationship of the Development and Reform Commission and the owners to the construction agent is the main relationship of weak governance, construction agent is only the core of the governance body, stakeholder governance and task governance is the main control of the main content. The dependenance on system design is not strong. Governance activities are mainly through self-governance or market contract governance. Governance activities primarily embody performance checks. Development and Reform Commission and the owners have relations to coordinate the construction agent.
Median governance structure of agent system has three core governance body, namely construction agent, owner and supervisor. The top-level governance body is through the owners and supervisor to form a number of indirect control path, in particular, to highlight the important intermediary role of owners. System governance is a top-level governance body content of the primary management of the governed, show that the design of the system the main instruments of governanceis in median governance structure, governance activities mainly embody governed control and coordination, and require the combination of contract governance and institutionalizing governance.
In the strong governance structure of Construcion-Agent system projects, construction agent, owner, supervisor, development and Reform Commission, the finance management departments, construction administrative departments and departments in charge of industry are the seven core body. Top management main body is through development and Reform Commission, the finance management departments, construction administrative departments to form a plurality of indirect governance path. Strong management structure of the primary management activities is a system management, emphasizing the contract management, system management and network governance. Strong governance structure on main governed administrative activity of the outstanding performance for the control, coordination and inspection, and with management level transform change.
为了更好的完善和推行作为治理手段的项目代建制,需要深入研究其自身的治理规律,因此,本研究提出三个拟解决的关键问题为：在中国当前的情景下,代建制项目的治理属性和特点是什么?如何从项目治理的本质来划分代建制项目的治理结构?代建制项目各种治理结构的特性是什么?
为解决以上关键问题,本研究在对代建制和项目治理研究现状综述的基础上,使用文本分析法剖析了治理的概念内涵,提出从治理活动入手分析代建制项目治理特性的思路,并给出治理活动的属性描述。
本论文采用案例研究的方法,以国内各地,特别是沿海发达地区代建制项目案例和相关法律法规为研究对象,从本研究归纳的15个治理环节出发,收集代建制项目特征和治理活动的信息,并对这些信息进行编码以构建统计数据库,使用SPSS统计软件的交叉列联和多选项分析,从案例信息数据中得到研究结果。
案例研究的结果表明,最终识别出代建制项目治理活动203个,涵盖研究设计中提出的15个治理环节。在统计分析的结果上,得到代建制项目治理活动识别案例研究的结论如下：
首先,针对“代建人选择”和“代建人招标”,开展的项目治理活动最多,选择代理人是代建制项目治理中最为重要的对象。代建制项目治理强调组织监督作用,重点通过治理资金使用和施工组织管理来避免“三超”。
其次,代建制项目治理活动涉及到的主体最多是代建人、发改委和使用人,治理还需要财政主管部门、代建主管机构、行业主管部门、建设管理部门、审计部门等参与。
再次,代建制项目中的治理活动主要集中在系统治理、任务治理和利益相关者治理三个内容,主要表现为“控制”和“检查与平衡”两个方面,侧重于对代建制项目管理的过程控制和指导。
在案例研究识别出来的治理活动的基础上,从治理关系的广度、层级度和深度三个变量出发,构建出代建制项目治理强度的测量模型,将治理强度定义为在0-1之间分布的数值,并划分为强、中、弱三种治理强度。
通过研究发现：代建制项目的弱治理结构包含的主要利益相关者为发改委、使用人和代建人,主要针对监督组织设计、代建人选择、代建人招标活动、资金申请和使用等4个治理环节；
代建制项目的中治理结构是在弱治理结构的基础上,引入行业、财政、建设主管部门、以及代建管理机构等利益相关者,针对管理制度构建等8个治理环节开展治理活动；
代建制代建制项目的强治理结构是在中治理结构的基础上,引入审计、监察等顶层治理主体,针对所有的15个治理环节开展治理活动。
针对不同治理强度的代建制项目治理结构,在分析治理主体间治理活动特性的基础上,研究中发现：
在代建制项目弱治理结构中,发改委和使用人对代建人的关系是弱治理的主要关系,代建人是唯一的核心被治理主体,利益相关者治理和任务治理是主体间的主要治理内容,对制度设计的依赖性不强,治理活动主要通过市场化合同或主体的自我治理来完成。对主要被治理者的治理活动突出表现为检查,发改委和使用人间主要是协调关系,以共同实现对代理人的检查治理。
在代建制项目的中治理结构中,代建人、使用人和监理是三个核心的被治理主体,顶层治理主体通过使用人和监理,对代建人形成多条间接治理路径,尤其突显出使用人的重要中介作用。系统治理是顶层治理主体对被治理者的首要治理内容,表明制度设计是“中治理结构”的主要治理手段,对主要被治理者的治理活动突出表现为控制和协调,要求市场化合同治理和管理制度化治理相结合。
在代建制项目强治理结构中,代建人、使用人、监理、发改委、财政主管部门、建设主管部门和行业主管部门是七个核心被治理主体。顶层治理主体可以通过发改委、财政、建设和行业主管部门、使用人等中介环节,对代建人形成多条间接治理路径。强治理结构的首要治理活动内容是系统治理,强调合同治理、制度治理和网络治理的结合。强治理结构对主要被治理者的治理活动突出表现为控制、协调和检查,并且随着治理层级的变换有所改变。
Chinese investment in public projects in recent decades has increased greatly, especially for the projects of education, health and other construction projects, as well as public, prosecutors, law, the Secretary and other office facilities projects, investment and construction demand continues to increase. Traditionally, these public projects are invested by the government and regulators, the government is responsible for investment approval, the direct management of project construction, which often results in over-budget, over-standard, over-progress. In order to governaning public construction projects, China launched an Constructon-Agent System(CAS) in2003, the Government commissioned a professional project management company (or Agent Unit) to complete the project management on behalf of the owners.
In order to better improve and implement the Construction-Agent System as instruments of governance, it is necessary to study governance rules, therefore, this research proposes three key issues to be resolved as follows:In the current scenario, what are the attributes and characteristics of the agent system project governance? How to divide the governance structure of the agent system project from the nature of the project governance? What are the characteristics of the agent system project governance structure?
To solve the above key issues, this research reviewed the literatures on the agent system and project management, using text analysis method to analyse the connotation of the concept of governance, came up the idea of analyzing the agent system project management features proposed to start from the governance activities, and described the governance activity property.
The dissertation used a case study approach, in particular, collected the information of agent system project cases of developed coastal areas and the relevant laws and regulations as the research object. The study concludes15governance aspects, collects information of agent system project characteristics and governance activities, encodes the information to build a statistical database, using the SPSS statistical software and multi-option analysis, obtains the findings from the case data.
The case study results show that eventually203governance activities are identified in the agent system projects, covering the15governance aspects of study design. On the results of statistical analyzes, the conclusions of identifying the agent system project governance activities from the case study are as follows:
Conclusion1:There are most project governance activities in selection of construction agent and construction agent bidding. Selecting agents is the most important object in the agent system project governance. Agent system project governance emphasis on organizational oversight, avoid the "three excesses" through the governance of the use of funds and construction organization and management.
Conclusion II:Goverance activities of agent system project related to the construction agent, Development and Reform Commission, and the owners, also related to the finance department, agent in charge of institutions, industry management department, construction management department, audit department.
Conclusion III:Governance activities in the agent system project focused on system management, task management, and stakeholder governance, mainly embody two aspects of the "control" and "checks and balances", focusing on the agent system project management process control and guidance.
On the basis of case studies to identify the governance activities, starting from the breadth of the governance relationship, the level and depth of three variables, construct the measurement model of the agent system project governance strength, governance strength is defined as the distribution of between0-1value, and is divided into strong, median, weak governance strength.
The study found:weak governance structure of the agent system project, includes key stakeholders, such as the Development and Reform Commission, owners and construction agent, and concerns four governance dimensions including the supervision and organization design, agent selection, agent tender activities, applications for funding and the use.
Moderate governance structure of the agent system projects is on the basis of weak governance structure, introduces industry management department, finance management department, construction authorities, and construction agent management department, to carry out governance activities in8governance dimensions such as management system construction.
Strong governance structure of the Agent System Agent System project is on the basis of moderate governance structure, introduces audit, inspection and other top-level governance body, to carry out governance activities for all15governance dimesions.
According to agent system project governance structure for the different strength of governance, based on the governance characteristics of the analysis of governance body, the study found:
Weak governance structure of agent system project, the relationship of the Development and Reform Commission and the owners to the construction agent is the main relationship of weak governance, construction agent is only the core of the governance body, stakeholder governance and task governance is the main control of the main content. The dependenance on system design is not strong. Governance activities are mainly through self-governance or market contract governance. Governance activities primarily embody performance checks. Development and Reform Commission and the owners have relations to coordinate the construction agent.
Median governance structure of agent system has three core governance body, namely construction agent, owner and supervisor. The top-level governance body is through the owners and supervisor to form a number of indirect control path, in particular, to highlight the important intermediary role of owners. System governance is a top-level governance body content of the primary management of the governed, show that the design of the system the main instruments of governanceis in median governance structure, governance activities mainly embody governed control and coordination, and require the combination of contract governance and institutionalizing governance.
In the strong governance structure of Construcion-Agent system projects, construction agent, owner, supervisor, development and Reform Commission, the finance management departments, construction administrative departments and departments in charge of industry are the seven core body. Top management main body is through development and Reform Commission, the finance management departments, construction administrative departments to form a plurality of indirect governance path. Strong management structure of the primary management activities is a system management, emphasizing the contract management, system management and network governance. Strong governance structure on main governed administrative activity of the outstanding performance for the control, coordination and inspection, and with management level transform change.
引文
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