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1、Effects of cooperative procurement procedures on construction project performance : A conceptual framework合作采购程序对建设项目绩效的影响：一个概念框架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，我们开发了一个可测试的整体采购框架，探讨广泛采购的相关因素如何影响项目的性能标准。在一个全面的文献回顾的基础上，我们提出了主张和建议合作采购程序（联合规范，选择招标，评标中的软参数，联合分包商的选择，激励为基础的支付方式，协作工具，和承包商的自我控制）一般都有对项目绩效的正面影响（成本，时间，质量，环境影响，工作环境，创新）。此外，我们建议这些关系被合作气氛（即合作伙伴之间的信任和承诺）和整体项目的特点（即项目在复杂性，个性化，不确定性，价值/大小和时间
6、压力等方面是怎么样的）所主导。在我们贡献的基础上，未来的研究可以测试框架经验，进一步加大有关如何采购的因素可能会影响项目绩效的知识体系。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).由于建设项目和（或）他们的成果，严重影响着我们的现代社会，因此一个运转良好的建筑行业的重要性是无庸置疑的。然而，建筑业已在许多国家被批评为效率低下的成果，如时间和成本超支，生产效率低，质量差，客户满
10、意度不足。因此，从业者，研究者，乃至整个社会都呼吁从态度，行为和程序进行改变，以促进项目的成功和提高最终产品的质量。业主是在在这样的变化下作为变革代表者被提出的。与采购客户交易的方式所确定的责任和权限在整个施工过程中将影响项目参与者之间的一体化合作的程度。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.由于传统的采购程序会导致敌对的关系，并在购买过程的各个阶段中存在许多问题，因此传统的采购程序是一个重要的改进方面，可以大大有助于项目的成功。虽然采购程序需要进行调整，以促进不同项目的绩效目标的实现，但是客户倾向
14、于选择那些具有很好知识体系和方便使用的采购程序，而不在意项目之间的不同。对于即将实施的新的采购程序，客户需要的是如何使用它的信心和对其产生的结果有积极向上的态度。因此，实践的变化，关键在于认识不同的新的采购程序如何实际工作以及影响项目绩效。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.即使采购程序有关的问题似乎对于项目的成功具有重要意义，但早期对这一课题的研究是有限的。只重点对一个或几个采购的相关因素所影响一些项目的成果进行了一些调查。例如，评标如何影响成本和进度，科技的使用如何影响成本和时间，以及如何合作工具的使用会影响合作的成功。为了实现成功的管理建设项目，一个具有整体性和系统性的采购程序是至关重要的。因此，本研究的目的是建
20、立在一个测试的整体采购框架上，探讨广泛的采购的相关因素如何影响项目的性能标准。这样，将有助于采购从详细的角度与整体的角度来看，某些性能标准对具体程序的影响。通过这个框架以及在未来的实证调查，将有可能分析是否以及如何不同的因素和标准进行相互影响。为了达到这个目的，将做一份能反映建设项目绩效的采购相关的成功因素和成功的标准的全面文献回顾。2. Success criteria reflecting project performance2. 反映项目绩效的成功标准“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).“成功的标准是判断一个项目的成功和失败的基准”。传统上，研究人员和机构都关注成本，时间和质量这三个成功的标准。这个“铁三角”，侧重于短期方面的绩效与客户的切身相关的项目的成功。由于可持续发展正变得越来越重要的，持续成功的项目是从企业的角度来说是重要的。从长期竞争优势和可持续发展考虑，“铁三角”太有限，必须考虑到所有利益相关者。因此，本文已经确定了三个额外的绩效方面持续成功的关键：对环境的影响，工作环境以及创新。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.在最近几年，自从建筑业被认为是产生环境问题的主要贡献者之一，对环境的影响已成为关键的问题。在现代建筑行业，对环境的影响，因此需要一系列的标准，以确保可持续发展。环境影响可能包括排放，能源消耗和相关的施工过程和最终产品的有毒物质。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.劳动密集的建筑行业有工作环境的不良记录，一般在健康和安全方面面临危险的工作场所。在今天的知识密集的社会更加重视人力资源的需要，吸引聪明而富有创造力的年轻人，所以迫切需要发展和维持长期的竞争优势。由于安全的工作环境是可持续发展的要求，在我们的框架准则中它是成功的关键。工作环境可能包括事故次数和病假天数。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).传统上，建筑业一直被视为一个低技术的行业，和其他行业相比很少有创新。然而，近年来，无论对从业者和学者来说，建设创新已得到越来越多
32、的兴趣。创新是一个重要的成功标准，加强双方长期的竞争优势和可持续发展。创新可能包括新的方法/过程（工艺创新）和新材料与技术在最终产品中的使用（产品创新）。3. Procurement related success factors3.采购相关成功因素“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统的投入，导致该项目的成功”。正如较早的项目管理研究采购方法，对项目绩效的影响缺乏全面的观点。然而，基于交易成本经济学（TCE）和工业购买行为的文献，Eriksson和Eriksson和Nilsson已经开发出系统性和整体性的概念模型，对客户的采购程序，在购买过程的各个阶段，从产品的设计和绩效评估结束。如表1所示，所有采购相关的选择将影响重点治理形式是否将依靠竞争或
37、合作。选择在右列中的合作程序，而在竞争中列的替代品将导致在重点管理上的竞争形式建立一个合作的管理形式。在这两者之间的对立的立场是竞争性选择导致的管理形式，平衡竞争与合作。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.根据交易成本经济学（TCE），对传统的竞争采购，是适用于简单、标准化和不确定性低的项目。然而，大多数建设项目不是这样的。有一个对日益复杂，不确定性高和时
42、间压力大的建设项目，已使传统的采购程序和管理形成过时的趋势。因此，实现更大的灵活性，协调性，知识的变化，需要交流与合作通常需要具有挑战性的建设项目的特点。因为传统的竞争性采购程序在当今充满挑战的项目上产生的许多问题，所以本文开发的采购框架建议，将有更多的合作采购程序对项目绩效的许多方面有积极作用。在下一节中，右列在表1（联合规范，直接谈判，软参数，联合分包商的选择，激励为基础的支付，协作工具，以及供应商的自我控制）的替代品，因此主张要采购相关的成功因素，影响六种表现相关的成功标准。购买阶段竞争程序竞争中合作程序 合作程序设计由供应商或业主与责任方联合规范规范分担责任招标竞标（多方竞标）多方选择
43、性招标直接谈判（投标人）评标价格优先价格和软实力同等重要注重软实力分包商选择由承包商（或业主）同责任方联合选择分担责任的联合选择付款基于项目（固定款项）价格固定，利润共享包含奖励（共享利润）协作方式低协作中等高表现评价由业主由业主和供应商共同评价由供应商4. Procurement procedures effect on project performance4.采购程序对项目绩效的影响4.1. Design stage4.1.设计阶段4.1.1. Possible choices regarding the design stage.4.1.1关于设计阶段可能的选择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.在设计招标建造模式（DBB）中，业主负责项目的规范。在承包商采购前，业主与工程师进行详细设计工作，以发展为竞争性招标的坚实基础。在设计-建造模式（DB）中，承包商基于项目的简短的或粗略图纸进行详细设计后很早就开始采购。由于承包商的重点设计，这有利于高施工性的解决方案。缺点是减少业主在设计工作中的影响。这两个极端之间，设计在很大程度上依赖于业主或承包商，这有一种业主和承包商与工
48、程师一起合作发展的详细设计的替代品。这种方法被称为联合规范或并行工程，因为它使并行和集成设计和施工成为可能。4.1.2. Relationships between design stage choices and project performance4.1.2.设计阶段的选择和项目的绩效之间的关系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 perspective on design and construction (Rutten et al., 2009).Looking at DB-contracts, these have shown to provide bett
