EPC总承包模式被广泛地应用在国际工程承包市场。根据EPC合同,总承包商需承担来自国际工程环境、EPC业务、利益相关方等层面的绝大多数风险。我国国际总承包商以施工企业为主,实施EPC项目的经验与能力还存在薄弱,亟需提升风险管理水平。现有研究提倡伙伴关系在风险管理中的应用,但多偏向于概念和对策层面,缺乏从我国施工企业的特定视角,对其内在机理的定量化揭示。因此,本研究结合现代组织理论、接口管理与伙伴关系理论,构建了基于伙伴关系的国际EPC项目风险管理模型,将伙伴关系、资源转化过程(接口管理、组织能力与合同管理)、风险管理和项目绩效纳入系统性分析框架,以揭示伙伴关系对风险管理的作用路径与履约现状,并提出对应的管理策略。本研究有助于从理论层面提升多组织动态风险管理研究,并从实践层面为我国施工企业提供指导。实证研究采取定量和定性相结合的三角测量法,包括问卷、专家访谈与案例分析等。采用偏最小平方法结构方程(PLS-SEM)对模型进行了检验,揭示了:伙伴关系对接口管理、接口管理对风险管理具有正向促进作用,伙伴关系有助于降低合作风险管理障碍,提高接口方协同效率,加强风险管理各环节的表现;伙伴关系对组织能力,组织能力对接口管理、合同管理与风险管理具有正向促进作用,伙伴关系能够加强信息、资源共享与学习创新,持续提升总承包商管理风险的各项能力;伙伴关系对合同管理、合同管理对风险管理具有正向促进作用,伙伴关系有助于改善合同信息传递、分析与执行和变更与索赔,进而有效应对各项履约风险;伙伴关系、风险管理对项目绩效具有正向促进作用,伙伴关系除了通过风险管理产生间接作用,还能直接提升项目绩效。调研结果还表明:我国施工企业在国际EPC项目履约中面临较大风险(21项中高等风险),其中南亚地域、高等收入地区和矿山开发行业的风险更大;总承包商最关键的合作伙伴为业主和设计方,伙伴关系要素可聚为“互信共享”、“目标与态度”、“沟通与交流”与“合作行为”,各要素的应用仍有较大提升空间;我国施工企业的国际EPC项目绩效有待提升,尤其是成本控制方面,应关注项目内在流程与外部环境,提升项目价值创造能力。基于以上,提出国际EPC项目风险管理提升策略:树立主动的管理意识,加强对关键风险的管理;构建基于伙伴关系的风险管理流程机制;提高接口管理效率,促进风险信息与资源流动;加强组织能力建设,持续提高风险管理水平;提升合同履约意识,加强合同风险防范与应
Engineering-Procurement-Construction (EPC) method has been widely adopted in international construction market. According to the EPC contract, contractors are responsible for almost all the risks arinsing from the international engineering environment, EPC task and stakeholder aspects. Most Chinese contractors are construction companies, which are still weak in the experience and abilities of delievering international EPC projects, therefore it is urgent for them to improve their capabilities of risk management. Exsisted studies tend to advocate the application of partnering, however most researches focus on conceptual and countermeasure levels, lacking of revealing the in-depth mechanism with quantitative methods from the specific perspective of Chinese construction companies.Therefore, this research establishes a conceptual nodel for risk management in interanational EPC projects based on modern organization theory, interface management and partnering theory, whice provides a systematic analysis framework integrating factors of partnering application, resource-transferring processes (interface management, organization capabilities, and contract management), risk management, and project performance. The establishment of the model helps to reveal the critical pathes between partnering and risk management, and adds the understanding the current staues of international EPC project delivery, which theoretically lifts the research on muitip-organizational dynamic risk management to the state of art, and practically guides Chinese construction companies to compete in the international EPC market.The empirical research applies the triangulation method combining quantitative with qualitative methods, including questionnaire, expert interviews and case analysis. The validation of the conceptual model by PLS-SEM reveals that: Partnering has a positive effect on interface management and so is interface management on risk management, which indicates partnering helps reduce the obstacles of cooperative risk management, improve the efficiency of collaboration among interface stakeholders, thereby strengthens the performance of risk management; Partnering exerts a positive impact on organizational capabilities and so is organizational capabilities on interface management, contract management and risk management, which illustrates partnering can strengthen the sharing of information and resources, and inter-organizational learning, to continuously enhance the contractors’ capabilities to manage risks; Partnering can positively promote contract management, and the same relationships exsist between contract management and risk management, showing that partnering helps improve the information transmission, analysis, implementation, change and claim management of contract; Partnering and risk management have a positive effect on project performance, where partnering not only has an indirect effect through managing risks, but also directly improves project performance. The survey results also show that, Chinese construction companies are facing critical risks in international EPC projects (21 medium or high risks), and the risks are even higner in the South Asia region, high-income areas and mineral development industry; For contactors, the most important partners are clients and designers, and partnering factors can been clasffied into “mutual trust and sharing”, “goals and attitude”, “communication and exchange” and “cooperative behavior”, where is still improvement space for the application of them; The project performance of Chinese construction companies remains to be improved, especially in the aspect of cost control, thus more attention should be paid to the internal processes and external environment, so as to continiously add value to the international EPC project.According to these insights, this research puts forward some strategies for risk management in international EPC projects: strengthening the management of critical risks by advocating positive approaches; establishing the coorperatve mechanism in risk management based on partnering application; improving the interface management of stakeholder for collaborative risk management; enhancing contractors’ organization capabilities to continuously improve the efficience of risk management; improving the awareness of contract and strengthening risk prevention and control by contract.