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Evaluation of the contract reliability for alternative infrastructure project delivery: a contract engineering

Bing WANG, Qingbin CUI, Shuibo ZHANG

《工程管理前沿（英文）》 2019年第6卷第2期页码 239-248 doi: 10.1007/s42524-019-0018-3

摘要： Governments at all levels are increasingly motivating the private sector to participate in infrastructure development using alternative project delivery methods to relieve financial burden. When designing contracts, governments usually offer incentives while requiring cost or time guarantee to balance project attractiveness to the private sector and fair protection of public interest. However, a practical and critical problem is how to properly design these provisions. Although previous studies have investigated the value of these provisions, a knowledge gap still exists with respect to methods of fairly and effectively designing such provisions. This study fills this gap by developing a methodology that analyzes the appropriateness of guarantee or warranty provisions for contracts. In this study, a contract reliability index is constructed, and a process of evaluating contract reliability is proposed. The New Mexico Highway 44 project, in which three warranty provision arrangements are investigated, is used as a case study to illustrate the analysis process. Results show that although a ceiling clause can effectively motivate the private sector to participate in the project, it sacrifices a significant amount of public benefits. By contrast, although a warranty option can protect public benefits, it cannot effectively incentivize the private sector. A combination of the ceiling clause and the warranty option will therefore result in improved contract provision design. The proposed methodology in this study is especially useful for governments in properly determining contract clauses in infrastructure development.

关键词： infrastructure development contract design contract reliability guarantee provision contract engineering

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The Supply Chain Contract Design under Cap-and-Trade Mechanism with Free Riding

Fu-qiang Wang,Jun Liu

《工程管理前沿（英文）》 2015年第2卷第3期页码 277-286 doi: 10.15302/J-FEM-2015049

摘要： This paper studies the influence of free riding on enterprise product pricing and carbon emissions reduction investment, as well as the contract design to achieve supply chain coordination under the carbon trading mechanism. First, we discuss the situation where carbon emissions reduction investment affects the product price and income. It demonstrates that the optimal investment of the upstream manufacturer increases with the degree of the free riding of the downstream manufacturer. The upstream manufacturer can improve their carbon reduction investment and the whole supply chain achieves Pareto improvement when the investment cost sharing contract is introduced. Nevertheless, under the cost-sharing contract the optimal investment of the decentralized supply chain is still lower than that of the centralized supply chain, and only in some particular cases can the two types of supply chain achieve equal total profits. Then, we preliminarily explore the situation where the product price and income is influenced by carbon emissions reduction investment. The consequences indicate that the optimal investment of the upstream manufacturers in this situation is less than the former one’s, and the transfer payment mechanism is able to improve the level of the supply chain overall carbon emissions-reduction. Moreover, compared to the former situation, the effects of free riding of the downstream manufacturer are even more serious. The conclusions can provide some intellectual support for manufacturing enterprises to make reasonable emissions reduction strategies and coordinate the supply chain existing in free riding.

关键词： carbon emissions reduction free riding supply chain contract design cap-and-trade

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Smart contract applications in the built environment: How prepared are Nigerian construction stakeholders

《工程管理前沿（英文）》 doi: 10.1007/s42524-023-0275-z

摘要： Studies have demonstrated that advanced technology, such as smart contract applications, can enhance both pre- and post-contract administration within the built environment sector. Smart contract technology, exemplifying blockchain technologies, has the potential to improve transparency, trust, and the security of data transactions within this sector. However, there is a dearth of academic literature concerning smart contract applications within the construction industries of developing countries, with a specific focus on Nigeria. Consequently, this study seeks to explore the relevance of smart contract technology and address the challenges impeding its adoption, offering strategies to mitigate the obstacles faced by smart contract applications. To investigate the stakeholders, this research conducted 14 virtual interview sessions to achieve data saturation. The interviewees encompassed project management practitioners, senior management personnel from construction companies, experts in construction dispute resolution, professionals in construction software, and representatives from government construction agencies. The data obtained from these interviews underwent thorough analysis employing a thematic approach. The study duly recognizes the significance of smart contract applications within the sector. Among the 12 identified barriers, issues such as identity theft and data leakage, communication and synchronization challenges, high computational expenses, lack of driving impetus, excessive electricity consumption, intricate implementation processes, absence of a universally applicable legal framework, and the lack of a localized legal framework were recurrent impediments affecting the adoption of smart contract applications within the sector. The study also delves into comprehensive measures to mitigate these barriers. In conclusion, this study critically evaluates the relevance of smart contract applications within the built environment, with a specific focus on promoting their usage. It may serve as a pioneering effort, especially within the context of Nigeria.

关键词： built environment industry digitalization Nigeria smart contract technological revolution

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Collaborative adoption of blockchain technology: A supply chain contract perspective

《工程管理前沿（英文）》页码 121-142 doi: 10.1007/s42524-022-0239-8

摘要： The outbreak of COVID-19 has significantly affected the development of enterprises. In the post-pandemic era, blockchain technology has become one of the important technologies to help enterprises quickly gain market competitiveness. The heavy investment required of supply chain stakeholders to employ blockchain technology has hindered its adoption and application. To tackle this issue, this study aims to facilitate the adoption of blockchain technology in a supply chain consisting of a core enterprise and a small/medium-sized enterprise through an effective supply chain contract. We analyze the performance of a cost-sharing (CS) contract and a revenue-sharing (RS) contract and propose a new hybrid CS-RS contract for better performance. We conduct comparative analyses of the three contracts and find that the hybrid CS-RS contract can more effectively incentivize both parties to reach the highest level of blockchain technology adoption and achieve supply chain coordination.

关键词： blockchain collaborative adoption cost sharing revenue sharing hybrid contract

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Optimal risk allocation in alliance infrastructure projects: A social preference perspective

Xiang DING, Qian LI

《工程管理前沿（英文）》 2022年第9卷第2期页码 326-336 doi: 10.1007/s42524-020-0145-x

摘要： The mechanism of risk allocation is designed to protect all stakeholders, and it is vital to project success. Qualitative and quantitative ways of optimizing risk allocation have been well documented in extant literature (e.g., allocation principles, models, and solutions), and the foci of existing research are usually the maximization of rational utility. Few research has focused on partners’ social preferences affecting the output of risk allocation. This study presents a quantitative approach based on modeling alliance member (AM)’s inequity aversion (IA) to analyze risk-sharing arrangements in an alliance project. Fehr and Schmidt’s inequity-aversion model is integrated into modeling partner’s utility. This paper derives results for an alliance leader (AL)’s optimal risk-sharing ratio and AM’s optimal risk-management effort simultaneously. The derivation is based on solving a restrained optimization problem using the conception and methods from Stackelberg game theory. Results show that an AM’s IA significantly affects risk allocation between AL and AM. Specifically, envious preference is positively related to AL’s optimal risk-sharing ratio, whereas guilty preference negatively affects AL’s optimal risk-sharing ratio. These findings will be of interest to academics and practitioners involved in designing alliance negotiations.

关键词： public project contract design risk sharing inequity aversion governance

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Blockchain-based smart contract for smart payment in construction: A focus on the payment freezing and

《工程管理前沿（英文）》 2022年第9卷第2期页码 177-195 doi: 10.1007/s42524-021-0184-y

摘要： Late payment, and indeed no payment, is a rampant and chronic problem that has plagued the global construction industry for too long. Recent development in blockchain technology, particularly its smart contract, seems to provide a new opportunity to improve this old problem. However, this opportunity is largely unexploited. This study aims to develop a blockchain-based smart contract (BBSC) system for smart payment in the construction industry by focusing on the fundamental cycle of payment freezing (sometimes also synonymously called payment guarantees) and disbursement application. Firstly, a BBSC framework, containing three processes of (a) initiation and configuration, (b) payment freezing, and (c) disbursement application, is developed. Next, based on the framework, the system architecture of the BBSC system, containing three layers of (1) Infrastructure as a Service (IaaS), (2) Blockchain as a Service (BaaS), and (3) Software as a Service (SaaS) is proposed and elaborated. Finally, based on the system architecture, a BBSC prototype system is developed using a real-life modular construction project as a case study. It was found that the prototype system can improve the certainty and efficiency of the progress payment, thereby enabling smart payment in construction transactions. Without advocating radical changes (e.g., the contractual relationships or the intermediate role of banks in modern construction projects), the prototype can be developed into a real-life BBSC system that can work compatibly with current advancements in the field. Future works are recommended to fine-tune the findings and translate and implement them in real-life applications.

关键词： blockchain construction project smart contract smart payment payment dispute

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合同管理是项目管理的核心——小浪底水利枢纽国际合同管理的经验与体会

张基尧

《中国工程科学》 2011年第13卷第4期页码 54-67

摘要：

小浪底水利枢纽是治理黄河的重要控制性工程，它以地质复杂、布置困难、技术要求高、管理难度大而得到我国水利水电行业的普遍关注，尤其是由于其全方位实施国际招标，成为我国水利工程第一个全面与国际接轨的项目。小浪底水利枢纽至今已建成并成功运行10年，发挥了巨大的社会、经济和生态效益。小浪底工程建设中三大国际承包联营体隶属的40多个国家和地区的承包商、分包商，与项目业主之间围绕合同管理，呈现出多方利益主体之间的博弈。小浪底建管局依靠各方支持，在团结全体建设者优质高效地建成小浪底工程的同时，妥善处理纷繁复杂的各种合同纠

关键词：项目管理合同管理小浪底水利枢纽

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现代工程项目三方合同系统研究

林基础,成虎

《中国工程科学》 2008年第10卷第11期页码 93-96

摘要：

对三方合同进行了系统的分析和研究，提出三方合同的概念、常见类型及其特征以及日后在三方合同研究工作中需要解决的问题。

关键词：现代工程项目三方合同常见类型合同特征系统研究

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伙伴合作模式工程合同的进化——新工程合同

刘正光

《中国工程科学》 2012年第14卷第12期页码 81-84

摘要：

随着社会的发展,工程行业变得十分复杂,因而传统的施工合同已经不能满足工程界日益多元化的发展。因此,英国土木工程师学会和业界经过广泛研究和讨论,一致同意要改善业界互相监视和不信任的现状,因而在1993年,推出新工程合同(NEC), 鼓励成立“团体精神”,即建立良好伙伴关系。经过近20年的应用,NEC成效卓越。香港特区政府也在2009年跟进,试验性地引用NEC。文章介绍了第一个引用NEC项目的经验,该项目成果证明NEC可节省工期和工程费用,减少合同争端,增加成本效益，因而大大增强了业界引用NEC的信心。

关键词：传统工程合同新工程合同新工程合同经验

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Digitalization for supply chain resilience and robustness: The roles of collaboration and formal contracts

《工程管理前沿（英文）》页码 5-19 doi: 10.1007/s42524-022-0229-x

摘要： Black swan events such as the coronavirus (COVID-19) outbreak cause substantial supply chain disruption risks to modern companies. In today’s turbulent and complex business environment, supply chain resilience and robustness as two critical capabilities for firms to cope with disruptions have won substantial attention from both the academia and industry. Accordingly, this study intends to explore how digitalization helps build supply chain resilience and robustness. Adopting organizational information processing theory, it proposes the mediating effect of supply chain collaboration and the moderating effect of formal contracts. Using survey data of Chinese manufacturing firms, the study applied structural equation modelling to test the research model. Results show that digitalization has a direct effect on supply chain resilience, and supply chain collaboration can directly facilitate both resilience and robustness. Our study also indicates a complementary mediating effect of supply chain collaboration on the relationship between digitalization and supply chain resilience and an indirect-only mediation effect on the relationship between digitalization and supply chain robustness. Findings reveal the differential roles of digitalization as a technical factor and supply chain collaboration as an organizational factor in managing supply chain disruptions. Paradoxically, formal contracts enhance the relationship between digitalization and supply chain resilience but weaken the relationship between supply chain collaboration and supply chain resilience. The validation of moderating effects determines the boundary conditions of digitalization and supply chain collaboration and provides insights into governing supply chain partners’ behavior. Overall, this study enhances the understanding on how to build a resilient and robust supply chain.

关键词： digitalization supply chain resilience robustness collaboration formal contract

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圣哥达山底隧道的风险、合同管理和融资

Davide Fabbri

《工程（英文）》 2019年第5卷第3期页码 379-383 doi: 10.1016/j.eng.2019.04.001

关键词：工程成就

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The outlook of blockchain technology for construction engineering management

Jun WANG, Peng WU, Xiangyu WANG, Wenchi SHOU

《工程管理前沿（英文）》 2017年第4卷第1期页码 67-75 doi: 10.15302/J-FEM-2017006

摘要： Current construction engineering management suffers numerous challenges in terms of the trust, information sharing, and process automation. Blockchain which is a decentralised transaction and data management technology, has attracted increasing interests from both academic and industrial aspects since 2008. However, most of the existing research and practices are focused on the blockchain itself (i.e. technical challenges and limitations) or its applications in the finance service sector (i.e. Bitcoin). This paper aims to investigate the potential of applying blockchain technology in the construction sector. Three types of blockchain-enabled applications are proposed to improve the current processes of contract management, supply chain management, and equipment leasing, respectively. Challenges of blockchain implementation are also discussed in this paper.

关键词： Blockchain contract management supply chain management equipment leasing

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Blockchain-driven supply chain finance solution for small and medium enterprises

Jian LI, Shichao ZHU, Wen ZHANG, Lean YU

《工程管理前沿（英文）》 2020年第7卷第4期页码 500-511 doi: 10.1007/s42524-020-0124-2

摘要： Blockchain has attracted much attention in recent years with the development of cryptocurrency and digital assets. As the underlying technology of cryptocurrency, blockchain has numerous benefits, such as de-centralization, collective maintenance, tamper-resistance, traceability, and anonymity. The potential of the blockchain technology (BT) is widely recognized in the financial field. Although some scholars have proposed the combination of blockchain and supply chain finance (SCF), the details of this combination is rarely mentioned. This study first analyzes the coupling between SCF and blockchain technology. Second, the conceptual framework of blockchain-driven SCF platform (BcSCFP) is presented. Third, the operation process of three SCF models on the BcSCFP is proposed. Finally, a case study combined with actual events is conducted. This paper has a positive practical significance in the operation and management of banks and loan enterprises.

关键词： blockchain technology supply chain finance risk management smart contract decentralization

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Blockchain application in healthcare service mode based on Health Data Bank

Jianxia GONG, Lindu ZHAO

《工程管理前沿（英文）》 2020年第7卷第4期页码 605-614 doi: 10.1007/s42524-020-0138-9

摘要： Blockchain is commonly considered a potential disruptive technology. Moreover, the healthcare industry has experienced rapid growth in the adoption of health information technology, such as electronic health records and electronic medical records. To guarantee data privacy and data security as well as to harness the value of health data, the concept of Health Data Bank (HDB) is proposed. In this study, HDB is defined as an integrated health data service institution, which bears no “ownership” of health data and operates health data under the principal–agent model. This study first comprehensively reviews the main characters of blockchain and identifies the blockchain-based healthcare industry projects and startups in the areas of health insurance, pharmacy, and medical treatment. Then, we analyze the fundamental principles of HDB and point out four challenges faced by HDB’s sustainable development: (1) privacy protection and interoperability of health data; (2) data rights; (3) health data supervision; (4) and willingness to share health data. We also analyze the important benefits of blockchain adoption in HDB. Furthermore, three application scenarios including distributed storage of health data, smart-contract-based healthcare service mode, and consensus-algorithm-based incentive policy are proposed to shed light on HDB-based healthcare service mode. In the end, this study offers insights into potential research directions and challenges.

关键词： Health Data Bank blockchain data assets smart contract incentive mechanism