乡村公共服务市场化的非对称风险困境研究——以江西省婺源县为例

The Dilemma of Asymmetric Risk in Rural Public Service Marketization: A Case Study of Wuyuan County in Jiangxi Province

杨洁莹
南京市城市规划编制研究中心规划师,博士

张京祥
南京大学建筑与城市规划学院教授,博士生导师,博士

周子航
香港中文大学地理与资源管理学院博士研究生

摘要: 在乡村振兴过程中,越来越多的地方通过与企业合同契约的方式,推进乡村某些领域公共服务的市场化。然而在政企合作中也存在着潜在的结构性风险,如何构建乡村公共服务可持续治理模式成为难题。基于非对称风险理论视角,以江西省婺源县乡村垃圾市场化处理为案例,深入剖析乡村公共服务市场化下各主体的角色与面临的困境。由于公共服务市场化合同难以将权责一并打包给企业,导致市场风险向乡镇基层政府转化,加之村民主体性缺乏,整体表现为非对称性风险格局。因此,需要在乡村公共服务市场化的过程中构建风险—收益对称的格局,摆脱不平衡的“刚性兑付”,促进责任下放与风险转移同步推动,积极推动村民参与风险共担,激发村民在乡村振兴中的主体意识。

Abstract: In the process of rural revitalization, more and more local governments are promoting the marketization of public services in certain areas of rural areas through contracts with enterprises. However, there are potential structural risks in government-enterprise cooperation, and how to construct a sustainable governance model for rural public services has become a difficult problem. Based on the perspective of asymmetric risk theory, this article takes the marketization of rural waste treatment in Wuyuan County, Jiangxi Province as a case, and deeply analyzes the roles and difficulties faced by various entities under the marketization of rural public services. The article finds that it is difficult for public service marketization contracts to package rights and responsibilities to enterprises, which leads to the transformation of market risks to the township and township grassroots government. In addition, the village's lack of democracy is an asymmetric risk pattern as a whole. Therefore, it is necessary to build a risk-return symmetrical structure in the process of marketization of rural public services, get rid of the unbalanced "rigid payment", promote the simultaneous promotion of responsibility decentralization and risk transfer, actively promote villagers to participate in risk sharing, and inspire villagers in the countryside subject consciousness in revitalization.

关键词:乡村公共服务市场化;非对称风险;网络治理;风险分担;婺源县

Keyword: marketization of rural public services; asymmetric risk; governing by network; risk sharing; Wuyuan County

中图分类号:TU984

文献标识码: A

资金资助

国家自然科学基金项目 城市创新空间的生成机制与空间供给研究——基于长三角地区的实证 52078245

田华文. 从政策网络到网络化治理:一组概念辨析[J]. 北京行政学院学报,2017(2):49-56.
TIAN Huawen. From policy network to governing by network: discrimination of a set of concepts[J]. Journal of Beijing Administrative College, 2017(2): 49-56.
毛明明. 当代中国政府购买教育服务研究[D]. 昆明:云南大学,2016.
MAO Mingming. Research on government's purchasing of educational services in contemporary China[D]. Kunming: Yunnan University, 2016.
LERUTH L E. Public-private cooperation in infrastructure development: a principal-agent story of contingent liabilities, fiscal risks, and other (un)pleasant surprises[J]. Networks and Spatial Economics, 2012, 12(2): 223-237.
伊曼纽尔•S•萨瓦斯. 民营化与公私部门的伙伴关系[M]. 北京:中国人民大学出版社,2002.
SAVAS E S. Privatization and public-private partnerships[M]. Beijing: China Renmin University Press, 2002.
王俊豪,付金存. 公私合作制的本质特征与中国城市公用事业的政策选择[J]. 中国工业经济,2014(7):96-108.
WANG Junhao, FU Jincun. The essential characteristics of public-private partnerships and policy selections of Chinese city public utilities[J]. China Industrial Economics, 2014(7): 96-108.
YUAN J F, SKIBNIEWSKI M J, LI Q, et al. The driving factors of China's public-private partnership projects in metropolitian transportation systems: public sector's viewpoint[J]. Journal of Civil Engineering and Management, 2010, 16(1): 5-18.
白祖纲. 公私伙伴关系视野下的地方公共物品供给[D]. 苏州:苏州大学,2014.
BAI Zugang. The local public goods supply from vision of public-private partnerships[D]. Suzhou: Suzhou University, 2014.
JENSEN P H, STONECASH R E. Incentives and the efficiency of public sector-outsourcing contracts[J]. Journal of Economic Surveys, 2005, 19(5): 767-787.
BEL G, FAGEDA X, WARNER M E. Is private production of public services cheaper than public production? A meta-regression analysis of solid waste and water services[J]. Journal of Policy Analysis and Management, 2010, 29(3): 553-577.
吴柳芬,杨奕. 基层政府权责配置与农村垃圾治理的实践——以桂北M镇“清洁乡村”治理项目为例[J]. 南京工业大学学报(社会科学版),2018,17(3):32-41.
WU Liufen, YANG Yi. Practice of grassroots government power allocation and rural waste management: a case study on the management of "clean villages" item in town M of North Guangxi Province[J]. Journal of Nanjing University of Technology (Social Science Edition), 2018, 17(3): 32-41.
DENHARDT R B, DENHARDT J V. The new public service: serving rather than steering[J]. Public Administration Review, 2000, 60(6): 549-559.
CHRISTENSEN T, LAEGREID P. New public management: puzzles of democracy and the influence of citizens[J]. Journal of Political Philosophy, 2002, 10(3): 267-295.
ROMZEK B S, JOHNSTON J M. Effective contract implementation and management: a preliminary model[J]. Journal of Public Administration Research and Theory, 2002, 12(3): 423-453.
HEFETZ A, WARNER M. Privatization and its reverse: explaining the dynamics of the government contracting process[J]. Journal of Public Administration Research and Theory, 2004, 14(2): 171-190.
WARNER M, HEBDON R. Local government restructuring: privatization and its alternatives[J]. Journal of Policy Analysis and Management, 2001, 20(2): 315-336.
黄颖. 基于网络治理理论的城市基层社会管理创新研究[D]. 武汉:华中师范大学,2012.
HUANG Ying. The innovative research of city grassroots social management based on the network governance theory[D]. Wuhan: Central China Normal University, 2012.
谈毅,慕继丰. 论合同治理和关系治理的互补性与有效性[J]. 公共管理学报,2008(3):56-62.
TAN Yi, MU Jifeng. The complementarities and effectiveness of contractual governance, relational governance[J]. Journal of Public Management, 2008(3): 56-62.
莫里斯•科恩,于立深,周丽. 契约的基础[J]. 法制与社会发展,2005(1):147-158.
COHEN M, YU Lishen, ZHOU Li. The basis of contract[J]. Law and Social Development, 2005(1): 147-158.
纳西姆•尼古拉斯•塔勒布. 非对称风险[M]. 北京:中信出版集团,2019.
TALEB N N. Skin in the game: hidden asymmetries in daily life[M]. Beijing: Citic Press Group, 2019.
BECK U. World risk society[M]. Cambridge: Polity Press, 1999.
WILLIAMSON O E. The mechanisms of govern-ance[M]. Oxford: Oxford University Press, 1996.
袁乐翔. 两种问责机制下PPP项目再谈判效率及其福利分配研究[D]. 南昌:江西财经大学,2015.
YUAN Lexiang. A study of the efficiency and welfare distribution of the renegotiation in PPP project with two forms of accountability[D]. Nanchang: Jiangxi University of Finance and Economics, 2015.
DILGER R J, MOFFETT R R, STRUYK L. Privatization of municipal services in America's largest cities[J]. Public Administration Review, 1997, 57(1): 21-26.
欧纯智,贾康. 构建PPP伙伴关系的政府与社会资本委托—代理博弈的制度约束[J]. 经济与管理研究,2020,41(3):95-105.
OU Chunzhi, JIA Kang. The institution constraint of the public-private partnership principal-agent game[J]. Research on Economics and Management, 2020, 41(3): 95-105.
杜亚灵,尹贻林. 不完全契约视角下的工程项目风险分担框架研究[J]. 重庆大学学报(社会科学版),2012,18(1):65-70.
DU Yaling, YIN Yilin. Research on the risk allocation framework in constructionproject from the perspective of incomplete contract[J]. Journal of Chongqing University (Social Science Edition), 2012, 18(1): 65-70.
向静林,邱泽奇,张翔. 风险分担规则何以不确定——地方金融治理的社会学分析[J]. 社会学研究,2019,34(3):48-74.
XIANG Jinglin, QIU Zeqi, ZHANG Xiang. Why are risk sharing rules uncertain? A sociological study of local financial governance[J]. Sociological Studies, 2019, 34(3): 48-74.
向静林. 市场纠纷与政府介入——一个风险转化的解释框架[J]. 社会学研究,2016,31(4):27-51.
XIANG Jinglin. Market disputes and government intervention: a risk transformation framework[J]. Sociological Studies, 2016, 31(4): 27-51.
渠敬东,周飞舟,应星. 从总体支配到技术治理——基于中国30年改革经验的社会学分析[J]. 中国社会科学,2009(6):104-127.
QU Jingdong, ZHOU Feizhou, YING Xing. From macromanagement to micromanagement: reflectionson thirty years of reform from the sociological perspective[J]. Social Sciences in China, 2009(6): 104-127.
何艳玲,汪广龙. 不可退出的谈判:对中国科层组织“有效治理”现象的一种解释[J]. 管理世界,2012(12):61-72.
HE Yanlin, WANG Guanglong. Non-withdrawal negotiations: an explanation of the "effective governance" phenomenon of Chinese bureaucratic organizations[J]. Management World, 2012(12): 61-72.
夏光. 论环境权益的市场化代理制度[J]. 中国工业经济研究,1993(8):27-31.
XIA Guang. On the marketized agency system of environmental rights and interests[J]. China Industrial Economics, 1993(8): 27-31.
杨洁莹,张京祥. 基于法团主义视角的“资本下乡”利益格局检视与治理策略——江西省婺源县H村的实证研究[J]. 国际城市规划,2020,35(5):98-105.
YANG Jieying, ZHANG Jingxiang. Rethinking capital in rural governance from a corporatism perspective: empirical research in Village H, Jiangxi Province[J]. Urban Planning International, 2020, 35(5): 98-105.
张陶. 公共文化服务供给的PPP模式研究[D]. 徐州:中国矿业大学,2019.
ZHANG Tao. Study on the PPP model of the provision of public cultural service[D]. Xuzhou: China University of Mining and Technology, 2019.
BREWER B, HAYLLAR M R. Building public trust through public-private partnerships[J]. International Review of Administrative Sciences, 2005, 71(3): 475-492.
王春婷,尚虎平. 政府购买服务:风险生成与实质逻辑[J]. 南京社会科学,2020(5):59-67.
WANG Chunting, SHANG Huping. Government's contracting out public serices: risk generation and essential logic[J]. Nanjing Journal of Social Sciences, 2020(5): 59-67.
向静林. 市场治理的制度逻辑——基于风险转化的理论视角[J]. 社会学评论,2017,5(3):3-18.
XIANG Jinglin. Institutional logic of market governance: based on the theory of risk transforma-tion[J]. Sociological Review of China, 2017, 5(3): 3-18.
周小付,闫晓茗. PPP风险分担合同的地方善治效应:理论构建与政策建议[J]. 财政研究,2017(9):79-87.
ZHOU Xiaofu, YAN Xiaoming. The good governance effect of the PPP risk sharing: theory construction and policy suggestion[J]. Public Finance Research, 2017(9): 79-87.
HALE D R, SHRESTHA P P, GIBSON G E, et al. Empirical comparison of design/build and design/bid/build project delivery methods[J]. Journal of Construction Engineering and Management, 2009, 135(7): 579-587.
KONCHAR M, SANVIDO V. Comparison of U.S. project delivery systems[J]. Journal of Construction Engineering and Management, 1998, 124(6): 435-444.
黄腾,柯永建,李湛湛,等. 中外PPP模式的政府管理比较分析[J]. 项目管理技术,2009(1):9-13.
HUANG Teng, KE Yongjian, LI Zhanzhan, et al. Comparative analysis of government management in PPP modes in China and foreign countries[J]. Project Management Technology, 2009(1): 9-13.
周雪光. 基层政府间的“共谋现象”——一个政府行为的制度逻辑[J]. 社会学研究,2008(6):1-21.
ZHOU Xueguang. The "phenomena of collusion" among grassroots governments: the institutional logic of a government's behavior[J]. Sociological Studies, 2008(6): 1-21.
O'BRIEN K J, LI L. Suing the local state: administrative litigation in rural China[J]. The China Journal, 2004, 51: 75-96.
王春婷. 政府购买公共服务的风险识别与防范——基于剩余控制权合理配置的不完全合同理论[J]. 江海学刊,2019(3):240-246.
WANG Chunting. Identification and prevention of risks in government purchase of public services: incomplete contract theory based on the reasonable allocation of residual control rights[J]. Jianghai Academic Journal, 2019(3): 240-246.
奥利弗•哈特. 不完全合同、产权和企业理论[M]. 上海:格致出版社,2016.
HART O. Incomplete contracts, property rights and firm theory[M]. Shanghai: Gezhi Press, 2016.
曹军锋. 服务型政府建设中的城市公共服务市场化研究[D]. 兰州:西北师范大学,2011.
CAO Junfeng. City public service market research in the construction of service-oriented government[D]. Lanzhou: Northwest Normal University, 2011.
BROWN T L, POTOSKI M. Managing the public service market[J]. Public Administration Review, 2004, 64(6): 656-668.
宋世明. 美国政府公共服务市场化的基本经验教训[J]. 国家行政学院学报,2016(4):108-113.
SONG Shiming. The basic experience and lessons of the marketization of american government public service[J]. Journal of Chinese Academy of Governance, 2016(4): 108-113.
黄丽芬. 农村公共品供给方式与基层善治[J]. 华南农业大学学报(社会科学版),2019,18(1):99-107.
HUANG Lifeng. Rural public goods supply and grassroots good governance[J]. Journal of South China Agricultural University (Social Science Edition), 2019, 18(1): 99-107.
陈锋. 后税费时代农民权责失衡与治理性危机[J]. 中共福建省委党校学报,2012(8):42-48.
CHEN Feng. The imbalance of farmers' rights and responsibilities and governance crisis in the post-tax era[J]. Journal of Fujian Party School, 2012(8): 42-48.
BOVAIRD T. Public-private partnerships: from contested concepts to prevalent practice[J]. International Review of Administrative Sciences, 2004, 70(2): 199-215.
沈费伟,刘祖云. 发达国家乡村治理的典型模式与经验借鉴[J]. 农业经济问题,2016,37(9):93-102.
SHEN Feiwei, LIU Zuyun. Typical patterns and experience of rural governance in developed countries[J]. Issues in Agricultural Economy, 2016, 37(9): 93-102.
肖卫. 有限理性、契约与集体行动:中国农民合作的产生与效率研究[D]. 长沙:湖南农业大学,2011.
XIAO Wei. Bounded rationality, contract, and collective action: study on generation and efficiency of farmer cooperative in China[D]. Changsha: Hu'nan Agricultural University, 2011.
李松有. “结构—关系—主体”视角下农村贫困治理有效实现路径——基于广西15个县45个行政村878户农民调查研究[J]. 当代经济管理,2020,42(5):41-50.
LI Songyou. The path to effectively realize rural poverty governance from the perspective of "structure-relation-subject": based on a survey of 878 farmers in 45 administrative villages in 15 counties in Guangxi[J]. Contemporary Economic Management, 2020, 42(5): 41-50.

微信扫一扫
关注“上海城市规划”
公众号