合作采購程序?qū)ㄔO(shè)項(xiàng)目績效的影響：一個概念框架

1、effects of cooperative procurement procedures on construction project performance : a conceptual framework合作采購程序?qū)ㄔO(shè)項(xiàng)目績效的影響：一個概念框架abstract摘要in this paper, we develop a testable holistic procurement framework that examines how a broad range of procurement related factors affects project performance cr

2、iteria. based on a comprehensive literature review, we put forward propositions suggesting that cooperative procurement procedures (joint specification, selected tendering, soft parameters in bid evaluation, joint subcontractor selection, incentive-based payment, collaborative tools, and contractor

3、self-control) generally have a positive influence on project performance (cost,time, quality, environmental impact, work environment, and innovation). we additionally propose that these relationships are moderated or mediated by the collaborative climate (i.e. the trust and commitment among partners

4、) in the project and moderated by the overall project characteristics (i.e. how challenging the project is in terms of complexity, customization, uncertainty, value/size, and time pressure).based on our contribution, future research can test the framework empirically to further increase the knowledg

5、e about how procurement factors may influence project performance.在本文中，我們開發(fā)了一個可測試的整體采購框架，探討廣泛采購的相關(guān)因素如何影響項(xiàng)目的性能標(biāo)準(zhǔn)。在一個全面的文獻(xiàn)回顧的基礎(chǔ)上，我們提出了主張和建議合作采購程序（聯(lián)合規(guī)范，選擇招標(biāo)，評標(biāo)中的軟參數(shù)，聯(lián)合分包商的選擇，激勵為基礎(chǔ)的支付方式，協(xié)作工具，和承包商的自我控制）一般都有對項(xiàng)目績效的正面影響（成本，時間，質(zhì)量，環(huán)境影響，工作環(huán)境，創(chuàng)新）。此外，我們建議這些關(guān)系被合作氣氛（即合作伙伴之間的信任和承諾）和整體項(xiàng)目的特點(diǎn)（即項(xiàng)目在復(fù)雜性，個性化，不確定性，價值/大小和時間

6、壓力等方面是怎么樣的）所主導(dǎo)。在我們貢獻(xiàn)的基礎(chǔ)上，未來的研究可以測試框架經(jīng)驗(yàn)，進(jìn)一步加大有關(guān)如何采購的因素可能會影響項(xiàng)目績效的知識體系。1. introduction引言since construction projects and/or their outcomes heavily affect our modern society, the importance of a well-functioning construction industry is beyond doubt(cheung et al., 2001). in many countries the constructio

7、n industry has, however, attracted criticism for inefficiencies in outcomes such as time and cost overruns, low productivity, poor quality, and inadequate customer satisfaction(egan, 1998; sou, 2000; yasamis et al., 2002; chanet al., 2003). practitioners, researchers, and society at large have, ther

8、efore, called for a change in attitudes,behaviour, and procedures in order to increase the chances for project success and improved end products(dubois and gadde, 2002). the client is proposed to act as a change agent in such a change (egan, 1998; sou,2000). the way the client deals with procurement

9、 determines responsibilities and authorities in the entire construction process, affecting the degree of integration and cooperation among project participants (love et al.,1998; briscoe et al., 2004).由于建設(shè)項(xiàng)目和（或）他們的成果，嚴(yán)重影響著我們的現(xiàn)代社會，因此一個運(yùn)轉(zhuǎn)良好的建筑行業(yè)的重要性是無庸置疑的。然而，建筑業(yè)已在許多國家被批評為效率低下的成果，如時間和成本超支，生產(chǎn)效率低，質(zhì)量差，客戶滿

10、意度不足。因此，從業(yè)者，研究者，乃至整個社會都呼吁從態(tài)度，行為和程序進(jìn)行改變，以促進(jìn)項(xiàng)目的成功和提高最終產(chǎn)品的質(zhì)量。業(yè)主是在在這樣的變化下作為變革代表者被提出的。與采購客戶交易的方式所確定的責(zé)任和權(quán)限在整個施工過程中將影響項(xiàng)目參與者之間的一體化合作的程度。since traditional procurement procedures cause adversarial relationships and many problems in all stages of the buying process, this is a vital improvement area that can co

11、ntribute substantially to project success (cheung et al., 2003; eriksson and laan,2007). although procurement procedures need to be tailored to enhance the fulfillment of different project performance objectives (cox and thompson, 1997; wardaniet al., 2006), clients tend to choose those procurement

12、procedures that they have a good knowledge of and a habit of using, regardless of any differences between projects (love et al., 1998; eriksson, 2008b). for a new procurement procedure to be implemented, clients need to feel confident of how to use it and have positive attitudes towards its effect o

13、n outcomes (tysseland, 2008). hence, the key to a change of practice lies in an increased understanding of how different novel procurement procedures actually work and affect project performance.由于傳統(tǒng)的采購程序會導(dǎo)致敵對的關(guān)系，并在購買過程的各個階段中存在許多問題，因此傳統(tǒng)的采購程序是一個重要的改進(jìn)方面，可以大大有助于項(xiàng)目的成功。雖然采購程序需要進(jìn)行調(diào)整，以促進(jìn)不同項(xiàng)目的績效目標(biāo)的實(shí)現(xiàn)，但是客戶傾向

14、于選擇那些具有很好知識體系和方便使用的采購程序，而不在意項(xiàng)目之間的不同。對于即將實(shí)施的新的采購程序，客戶需要的是如何使用它的信心和對其產(chǎn)生的結(jié)果有積極向上的態(tài)度。因此，實(shí)踐的變化，關(guān)鍵在于認(rèn)識不同的新的采購程序如何實(shí)際工作以及影響項(xiàng)目績效。even though issues relating to procurement procedures seem highly important for accomplishing project success,earlier research on this topic is limited. the few conducted investiga

15、tions focused on how only one or a few procurement related factors affect a few project outcomes. examples are how bid evaluation affects cost and schedule growth (assaf and al-hejji, 2006; wardani et al., 2006),how technology usage (joint it-tools) affects cost and time performance (yang, 2007), an

16、d how the use of partnering tools affects partnering success (tang et al., 2006). in order to achieve successful governance of construction projects, a holistic and systemic approach to procurement procedures is crucial (cox and thompson, 1997; eriksson, 2008a;pesamaa et al., 2009). the purpose of t

17、his study is therefore to develop a testable holistic procurement framework that examines how a broad range of procurement related factors affects project performance criteria. by doing this,the paper will contribute with both a holistic perspective on procurement effects on performance and a detail

18、ed perspective, discussing specific procedures effect on certain performance criteria. by using this framework in future empirical investigations, it will be possible to analyse if and how different factors and criteria interact and affect one another. to fulfil the aim, a comprehensive literature r

19、eview of procurement related success factors and success criteria reflecting construction project performance is carried out.即使采購程序有關(guān)的問題似乎對于項(xiàng)目的成功具有重要意義，但早期對這一課題的研究是有限的。只重點(diǎn)對一個或幾個采購的相關(guān)因素所影響一些項(xiàng)目的成果進(jìn)行了一些調(diào)查。例如，評標(biāo)如何影響成本和進(jìn)度，科技的使用如何影響成本和時間，以及如何合作工具的使用會影響合作的成功。為了實(shí)現(xiàn)成功的管理建設(shè)項(xiàng)目，一個具有整體性和系統(tǒng)性的采購程序是至關(guān)重要的。因此，本研究的目的是建

20、立在一個測試的整體采購框架上，探討廣泛的采購的相關(guān)因素如何影響項(xiàng)目的性能標(biāo)準(zhǔn)。這樣，將有助于采購從詳細(xì)的角度與整體的角度來看，某些性能標(biāo)準(zhǔn)對具體程序的影響。通過這個框架以及在未來的實(shí)證調(diào)查，將有可能分析是否以及如何不同的因素和標(biāo)準(zhǔn)進(jìn)行相互影響。為了達(dá)到這個目的，將做一份能反映建設(shè)項(xiàng)目績效的采購相關(guān)的成功因素和成功的標(biāo)準(zhǔn)的全面文獻(xiàn)回顧。2. success criteria reflecting project performance2. 反映項(xiàng)目績效的成功標(biāo)準(zhǔn)“success criteria are the measures by which success and failure of a

21、 project will be judged” (cooke-davies, 2002, p.185). traditionally, researchers and organisations have focused on the three success criteria of cost, time, and quality (belassi and tukel, 1996; chua et al., 1997; swan andkhalfan, 2007). this “iron triangle” focuses on short-term aspects of performa

22、nce crucial for clients immediate project success. since sustainable development is becoming increasingly vital, consistently successful projects are important from a corporate perspective (cooke-davies,2002). for professional clients with concern for long-term competitive advantage and sustainable

23、development the iron triangle is therefore too limited; all stakeholdersobjectives must be considered (de wit, 1988). hence, this literature review has identified three additional performance aspects vital for sustainable success: environmental impact (chan and chan, 2004; swan and khalfan, 2007),wo

24、rk environment (chan and chan, 2004), and innovation(harty, 2008).“成功的標(biāo)準(zhǔn)是判斷一個項(xiàng)目的成功和失敗的基準(zhǔn)”。傳統(tǒng)上，研究人員和機(jī)構(gòu)都關(guān)注成本，時間和質(zhì)量這三個成功的標(biāo)準(zhǔn)。這個“鐵三角”，側(cè)重于短期方面的績效與客戶的切身相關(guān)的項(xiàng)目的成功。由于可持續(xù)發(fā)展正變得越來越重要的，持續(xù)成功的項(xiàng)目是從企業(yè)的角度來說是重要的。從長期競爭優(yōu)勢和可持續(xù)發(fā)展考慮，“鐵三角”太有限，必須考慮到所有利益相關(guān)者。因此，本文已經(jīng)確定了三個額外的績效方面持續(xù)成功的關(guān)鍵：對環(huán)境的影響，工作環(huán)境以及創(chuàng)新。environmental impact has be

25、come a critical issue in recent years since the construction industry is acknowledged as one of the major contributors to environmental problems (tam et al., 2006a,b). in the modern construction industry, environmental impact therefore needs to be included in the list of success criteria to assure s

26、ustainable development. environmental impact may include emissions, energy usage and toxic substances associated with the construction process and the final product.在最近幾年，自從建筑業(yè)被認(rèn)為是產(chǎn)生環(huán)境問題的主要貢獻(xiàn)者之一，對環(huán)境的影響已成為關(guān)鍵的問題。在現(xiàn)代建筑行業(yè)，對環(huán)境的影響，因此需要一系列的標(biāo)準(zhǔn)，以確?？沙掷m(xù)發(fā)展。環(huán)境影響可能包括排放，能源消耗和相關(guān)的施工過程和最終產(chǎn)品的有毒物質(zhì)。the labour-intensive

27、construction industry has a poor work environment record and is still generally a dangerous work place in terms of health and safety (ai lin teoet al., 2005; rwamamara, 2007; ling et al., 2009). in todays knowledge intensive society increased attention to human resources is required to attract the i

28、ntelligent and creative young people that the industry so badly needs for developing and sustaining long-term competitive advantage (green, 2002). since a safe work environment is a requirement for sustainable development (rajendranand gambatese, 2009), it is a critical success criterion in our fram

29、ework. work environment may include number of accidents and sick leave days.勞動密集的建筑行業(yè)有工作環(huán)境的不良記錄，一般在健康和安全方面面臨危險的工作場所。在今天的知識密集的社會更加重視人力資源的需要，吸引聰明而富有創(chuàng)造力的年輕人，所以迫切需要發(fā)展和維持長期的競爭優(yōu)勢。由于安全的工作環(huán)境是可持續(xù)發(fā)展的要求，在我們的框架準(zhǔn)則中它是成功的關(guān)鍵。工作環(huán)境可能包括事故次數(shù)和病假天數(shù)。traditionally, the construction sector has been seen as a low tech indust

30、ry, with little innovation compared to other industries (reichstein et al., 2005; harty, 2008). in recent years, however, innovation in construction has received increasing interest in an explicit manner, both among practitioners and academics (reichstein et al., 2005). innovation is a vital success

31、 criterion, enhancing both long-term competitive advantage and sustainable development. innovation may include both new methods/processes (process innovation) and new materials and technologies in the final product (product innovation).傳統(tǒng)上，建筑業(yè)一直被視為一個低技術(shù)的行業(yè)，和其他行業(yè)相比很少有創(chuàng)新。然而，近年來，無論對從業(yè)者和學(xué)者來說，建設(shè)創(chuàng)新已得到越來越多

32、的興趣。創(chuàng)新是一個重要的成功標(biāo)準(zhǔn)，加強(qiáng)雙方長期的競爭優(yōu)勢和可持續(xù)發(fā)展。創(chuàng)新可能包括新的方法/過程（工藝創(chuàng)新）和新材料與技術(shù)在最終產(chǎn)品中的使用（產(chǎn)品創(chuàng)新）。3. procurement related success factors3.采購相關(guān)成功因素“success factors are those inputs to the management system that lead to the success of the project” (cooke-davies, 2002, p. 185). as pointed out in the introduction,earlier pr

33、oject management research regarding procurement methods impact on project performance lacks a holistic view. however, based on transaction cost economics (tce) and industrial buying behaviour literature, eriksson (2008a,b) and eriksson and nilsson (2008) have developed a systemic and holistic concep

34、tual model regarding clients procurement procedures during all stages of the buying process, starting with the design of the product and ending with performance evaluation. as illustrated in table 1, all procurement related choices will affect whether the focus of the governance form will rely more

35、on competition or on cooperation. a cooperative governance form is established by choosing the cooperative procedures in the right column, whereas the alternatives in the competition column will result in a governance form focusing on competition. in between these opposing standpoints are coopetitiv

36、e choices which result in a governance form that balances competition and cooperation (eriksson, 2008a).“成功的因素是那些管理系統(tǒng)的投入，導(dǎo)致該項(xiàng)目的成功”。正如較早的項(xiàng)目管理研究采購方法，對項(xiàng)目績效的影響缺乏全面的觀點(diǎn)。然而，基于交易成本經(jīng)濟(jì)學(xué)（tce）和工業(yè)購買行為的文獻(xiàn)，eriksson和eriksson和nilsson已經(jīng)開發(fā)出系統(tǒng)性和整體性的概念模型，對客戶的采購程序，在購買過程的各個階段，從產(chǎn)品的設(shè)計和績效評估結(jié)束。如表1所示，所有采購相關(guān)的選擇將影響重點(diǎn)治理形式是否將依靠競爭或

37、合作。選擇在右列中的合作程序，而在競爭中列的替代品將導(dǎo)致在重點(diǎn)管理上的競爭形式建立一個合作的管理形式。在這兩者之間的對立的立場是競爭性選擇導(dǎo)致的管理形式，平衡競爭與合作。according to tce, traditional procurement focusing on competition is suitable for simple and standardised projects with low uncertainty (eriksson, 2008b). most construction projects are, however, not like that. ther

38、e is a trend towards increased complexity, uncertainty, and time pressure in construction projects, which has rendered traditional procurement procedures and governance forms obsolete (dubois and gadde, 2000; eriksson, 2008b).thus, a change towards increased flexibility, coordination,knowledge excha

39、nge, and cooperation is generally required for the challenging construction project characteristics(eriksson, 2008a; pesamaa et al., 2009; ruuska et al.,2009). because the traditional competitive procurement procedures generate many problems in todays challenging project contexts (eriksson and laan,

40、 2007), the procurement framework developed in this paper proposes that more cooperative procurement procedures will have positive effects on many aspects of project performance. in the next section, the alternatives in the right column of table 1 (joint specification, direct negotiation, soft param

41、eters, joint subcontractor selection, incentive-based payment, collaborative tools, and supplier self-control) are thus argued to be procurement related success factors,affecting the six performance related success criteria.根據(jù)交易成本經(jīng)濟(jì)學(xué)（tce），對傳統(tǒng)的競爭采購，是適用于簡單、標(biāo)準(zhǔn)化和不確定性低的項(xiàng)目。然而，大多數(shù)建設(shè)項(xiàng)目不是這樣的。有一個對日益復(fù)雜，不確定性高和時

42、間壓力大的建設(shè)項(xiàng)目，已使傳統(tǒng)的采購程序和管理形成過時的趨勢。因此，實(shí)現(xiàn)更大的靈活性，協(xié)調(diào)性，知識的變化，需要交流與合作通常需要具有挑戰(zhàn)性的建設(shè)項(xiàng)目的特點(diǎn)。因?yàn)閭鹘y(tǒng)的競爭性采購程序在當(dāng)今充滿挑戰(zhàn)的項(xiàng)目上產(chǎn)生的許多問題，所以本文開發(fā)的采購框架建議，將有更多的合作采購程序?qū)?xiàng)目績效的許多方面有積極作用。在下一節(jié)中，右列在表1（聯(lián)合規(guī)范，直接談判，軟參數(shù)，聯(lián)合分包商的選擇，激勵為基礎(chǔ)的支付，協(xié)作工具，以及供應(yīng)商的自我控制）的替代品，因此主張要采購相關(guān)的成功因素，影響六種表現(xiàn)相關(guān)的成功標(biāo)準(zhǔn)。購買階段競爭程序競爭中合作程序 合作程序設(shè)計由供應(yīng)商或業(yè)主與責(zé)任方聯(lián)合規(guī)范規(guī)范分擔(dān)責(zé)任招標(biāo)競標(biāo)（多方競標(biāo)）多方選擇

43、性招標(biāo)直接談判（投標(biāo)人）評標(biāo)價格優(yōu)先價格和軟實(shí)力同等重要注重軟實(shí)力分包商選擇由承包商（或業(yè)主）同責(zé)任方聯(lián)合選擇分擔(dān)責(zé)任的聯(lián)合選擇付款基于項(xiàng)目（固定款項(xiàng)）價格固定，利潤共享包含獎勵（共享利潤）協(xié)作方式低協(xié)作中等高表現(xiàn)評價由業(yè)主由業(yè)主和供應(yīng)商共同評價由供應(yīng)商4. procurement procedures effect on project performance4.采購程序?qū)?xiàng)目績效的影響4.1. design stage4.1.設(shè)計階段4.1.1. possible choices regarding the design stage.4.1.1關(guān)于設(shè)計階段可能的選擇in design-bi

44、d-build (dbb) contracts the client is responsible for the specification of the product. the client then performs detailed design work together with consultants before contractors are procured, in order to develop a solid base for competitive bidding (song et al., 2009). in design build(db) contracts

45、 contractors are procured very early based on the project brief or sketchy drawings, after which the contractor is responsible for detailed design. this facilitates solutions with high constructability, due to contractor focused design (tam, 2000). the drawback is diminished client influence in the

46、design work. between these extremes, where design relies heavily either on the client or the contractor, there are alternatives in which the client and the contractors together with consultants cooperate in developing the detailed design. this approach is called joint specification (eriksson and nil

47、sson, 2008) or concurrent engineering, since it makes parallel and integrated design and construction possible.在設(shè)計招標(biāo)建造模式（dbb）中，業(yè)主負(fù)責(zé)項(xiàng)目的規(guī)范。在承包商采購前，業(yè)主與工程師進(jìn)行詳細(xì)設(shè)計工作，以發(fā)展為競爭性招標(biāo)的堅(jiān)實(shí)基礎(chǔ)。在設(shè)計-建造模式（db）中，承包商基于項(xiàng)目的簡短的或粗略圖紙進(jìn)行詳細(xì)設(shè)計后很早就開始采購。由于承包商的重點(diǎn)設(shè)計，這有利于高施工性的解決方案。缺點(diǎn)是減少業(yè)主在設(shè)計工作中的影響。這兩個極端之間，設(shè)計在很大程度上依賴于業(yè)主或承包商，這有一種業(yè)主和承包商與工

48、程師一起合作發(fā)展的詳細(xì)設(shè)計的替代品。這種方法被稱為聯(lián)合規(guī)范或并行工程，因?yàn)樗共⑿泻图稍O(shè)計和施工成為可能。4.1.2. relationships between design stage choices and project performance4.1.2.設(shè)計階段的選擇和項(xiàng)目的績效之間的關(guān)系db and dbb-contracts have both benefits and draw backs.a high degree of specification prior to contractor procurement (i.e. dbb) results in a divorce

49、 between design and construction, since construction planning cannot affect design (pietroforte, 1997; dubois and gadde, 2002). this separation results in long project durations (pietroforte,1997) and decreased innovation due to lack of joint problem solving (korczynski, 1996) and lack of a holistic

50、 perspective on design and construction (rutten et al., 2009).looking at db-contracts, these have shown to provide better value for money and reduced project duration, compared to dbb-contracts (tam, 2000). other studies show that dbb-contracts have ensured quality better than dbcontracts (cheung et

51、 al., 2001). a complete design before construction also improves budget performance (chuaet al., 1997).db和dbb合同均有優(yōu)點(diǎn)和缺點(diǎn)。一個高水平的規(guī)范會在承包商采購之前會導(dǎo)致在設(shè)計和施工之間的分離結(jié)果，因?yàn)榻ㄔO(shè)規(guī)劃不能影響設(shè)計。這種分離會導(dǎo)致工期的延長和因?yàn)椴荒芄餐鉀Q問題而導(dǎo)致創(chuàng)新程度的下降，導(dǎo)致缺乏整體的對設(shè)計和施工的觀念。比較db合同，這些都表明在與dbb合同相比時其可以提高資金的價值并且縮短項(xiàng)目工期。其他的研究表明dbb合同保證質(zhì)量比db合同更可靠。施工前的一個完整的設(shè)計也提高了預(yù)算

52、執(zhí)行情況。the intermediate alternative, joint specification, aims to obtain the benefits of both db and dbb while avoiding their drawbacks. in order to decrease the risk of defective design, increased coordination and integration between designers and contractors is desireable. early involvement of contr

53、actors in concurrent engineering facilitates cost saving and shortened project duration due to increased build ability (rahman and kumaraswamy, 2004b; errasti et al., 2009; song et al., 2009), increased client satisfaction since the client maintains the possibilities to influence and control the des

54、ign work (pietroforte, 1997; eriksson, 2008a) and due to contractors improved understanding of client requirements (ahola et al., 2008), improved work environment through participatory health and safety design (weinstein et al., 2005; cameron and duff, 2007; rwamamara, 2007), and better environmenta

55、l performance(cole, 2000) and innovation (dulaimi et al., 2003; ling, 2003; caldwell et al., 2009) due to joint problem-solving in early stages. based on the above, we make the following propositions for the design stage:p1: the higher the level of integration between client and contractors in the d

56、esign stage, the better the project performance in terms of:a: cost.b: time.c: quality.d: environmental impact.e: work environment.f: innovation.中間的替代方案及聯(lián)合規(guī)范，旨在獲得db和dbb帶來的好處，而避免其缺點(diǎn)。為了減少設(shè)計缺陷的風(fēng)險，加強(qiáng)設(shè)計師和承包商之間的協(xié)調(diào)和整體性是可取的。在并行工程承包商的早期參與，有利于節(jié)省成本和縮短項(xiàng)目工期增加建設(shè)能力。盡管業(yè)主保持影響和控制的設(shè)計工作的可能性，還是要盡可能的滿足業(yè)主。通過安全和健康的設(shè)計來提高工作環(huán)

57、境。由于承建商更好地了解業(yè)主的需求，參與的健康和安全的設(shè)計，更好的環(huán)境以及創(chuàng)造性取決于將問題解決于問題初期。通過以上論證，我們可以得出以下在設(shè)計階段的命題：p1：業(yè)主和承包商在設(shè)計階段的整體性越高，工程在以下方面就表現(xiàn)的越好：a：成本。b：時間。c：質(zhì)量。d：對環(huán)境的影響。e：工作環(huán)境。f：創(chuàng)新。4.2. type of tendering4.2招標(biāo)類型4.2.1. possible choices regarding the type of tendering4.2.1.有關(guān)招標(biāo)類型可能的選擇public procurement acts require competitive tender

58、ing in which all contractors are welcome to submit bids. the purpose is of course to enhance competition and transparency. the drawback is that competitive tendering increasesthe risk of conflicts (kadefors, 2005) and hampers long term development in lasting relationships (ahola et al.,2008), since

59、actor constellations are changed in every project (dubois and gadde, 2000). hence, private sector clients often use selected tendering by pre-qualification of a limited number of trustworthy contractors, or even by negotiating directly with only one selected contractor(lam et al., 2001; eriksson, 2008b).公共采購行為要求競標(biāo)并歡迎所有的投標(biāo)商提交投標(biāo)競爭。當(dāng)然，目的是提高競爭力和透明度。缺點(diǎn)是競爭性招標(biāo)增加沖突