农村环境综合整治PPP项目绩效评价及影响机理研究

Rural environmental governance is an important part of building a beautiful China.In recent years,a large number of farmer-favored resources was invested in rural environmental areas through Public-Private-Participation(PPP) projects. The performance of PPP projects on rural environmental governance has become a hot issue in practice, however, the corresponding academic research is extremely scarce. Considering the requirement of project sustainability and the multiple scenarios in improvement practice, this research try to answer two questions: “how to evaluate performance” and “what influences performance”. First of all, it focuses on the analysis of governance structure and subjects’ behaviors in the project, and scientifically defines performance connotation and its boundaries. Secondly, guided by the concept of sustainable development, it systematically constructs a multi-dimensional performance evaluation index system that can estimating social, economic, environmental and governance performance. Then it uses multi-level fuzzy comprehensive evaluation method to empirically measure the performance of rural sewage disposal project as well as garbage disposal project, and analyses their differences in the end. Furthermore, it quantitatively identifies the key factors affecting its performance, clarifies the impact mechanism and vulnerability of performance under different scenarios. Then the research deeply analyses the possible negative effects that may harm the sustainability of PPP project and puts forward preventive countermeasures. Meanwhile, it applies Q method and Quasi-Experiment to amend conclusions. Finally, from the perspective of institutional needs and cooperation promoting, the study established a performance-optimized mechanism of PPP project on comprehensive improvement of rural environment, which provides reference for Rural Revitalization.

农村环境是美丽中国的底色。近年来，诸多政策均要求农村环境综合整治需应用PPP（政府和社会资本合作）。而实践中PPP乱象频发且农村正处于转型期，如何客观评价农村环境综合整治PPP项目亟待破题。本课题结合案例分析与田野调查，应用可持续发展经济学和乡村地理学等交叉学科，综合考虑PPP可持续导向和农村环境综合整治多重情景，拟选农村生活污水及垃圾处理PPP项目开展以下研究：1）探寻农村环境综合整治PPP项目的治理结构和主体行为，科学界定其项目绩效内涵与边界；2）系统构建“经济-社会-环境-治理”多维度的绩效指标体系，采用AHP-FCE模型实证测算其项目绩效，并诊断各案例绩效差异表征与成因；3）定量识别影响其项目绩效的关键因子，揭示人口流动、政策不确定性等多重情景下其作用机理和脆弱性，防范可能诱发的负面效应；4）利用Q方法和准实验修正结论，从制度需求和主体合作等角度建立其项目绩效优化机制。

本项目依据地理学、经济学与公共管理等学科视角，立足于国情农情，基于PPP项目在农村环境领域广泛应用的研究背景，以区域性公共物品、新公共管理、利益相关者和全生命周期等为理论基础，结合东、中、西等典型实地调研案例，利用案例分析、演化博弈、全生命周期成本和情景预测等研究方法，依次回答了PPP模式是否适用于农村环境领域？其绩效改如何评价？具体作用机制有哪些等问题。本研究发现：（1）农村环境污染形势严峻且成因复杂，主要依靠政府项目制的治理模式推进，面临有效投入、应对主体和适用技术等短板，亟待完善或创新现有农村人居环境整治模式。（2）农村环境综合整治与PPP模式之间有较大矛盾冲突，且不同项目的治理类型及适用范围也不尽一致。（3）农村环境治理PPP模式中各行动者的诉求及行为较为复杂与多样，农民地位及作用极易被忽视，且对政府的治理能力提出了更高的要求。（4）PPP模式介入并未大幅度降低农村环境综合整治的成本，反而对外在环境稳定及制度配套等存在高度依赖，其中劳动力价格上升、人口流动是影响其成本有效性的关键因素，不同垃圾处理量和政府治理需求也是重要的影响因素。