农村生活垃圾合作治理机制：公共空间与社会资本的联立考察

Littering carelessly has seriously influence rural households’ living quality and sustainable economic development. Therefore, public space and social capital is introduced into rural solid waste cooperative governance research. Since it not only develop collective action theory, but also a new perspective on the formation of cooperative governance mechanism at the grassroots level. Based on the analysis of public space and social capital multidimensional characteristics and measures, this project explores the interaction mechanism of public space, social capital and rural solid waste co-governance. The key issues of this project is to address "key public formation", "cost sharing" and "governance performance evaluation" in the process of rural solid waste cooperative management. Agent-based method is applied to analyze the role of actors’ interaction as well as rules of system in the formation of key public in the initiation stage of the cooperative governance. Moreover, structural equation model is utilized to explore the path and structural relationships among public space, social capital and its interaction in the process of cooperatives’ organization and implementation. Besides, Heckman-Porbit model is constructed to address cooperative organization pattern selection and the cost sharing problem. Finally, The paper analyzes the relationship among the government, the community and the farmers by using the hierarchical linear model to analyze the cooperative mechanism and the coupling relationship of the cooperative management of the public goods supply efficiency, and explores the incentive and restraints that satisfy the cooperative governance of rural solid waste conditions, and put forward the incentive suggestions to promote rural solid waste cooperative governance.

农村生活垃圾随意堆放对居民生活质量与农村经济可持续发展产生严重影响。本项目运用农户调查资料和典型案例，构建公共空间、社会资本测度指标体系，探讨公共空间、社会资本与农村生活垃圾合作治理的互动关系及影响机理，试图解决农村生活垃圾合作治理过程中“关键大众形成”、“成本分摊”和“治理绩效评价”等关键问题。拟采用基于主体建模法分析合作治理发起阶段行为主体互动、制度规则对关键大众形成的影响；利用结构方程模型探讨组织实施过程中公共空间、社会资本及其交互作用对农户合作治理参与行为的作用机理、路径及效应；构建Heckman-Probit模型对合作组织模式选择与成本分摊进行实证分析。采用公共品供给效率双层因素模型测度合作治理绩效，利用分层线性模型分析政府、社区和农户等不同层次因素影响合作治理的作用机制与耦合关系，探索满足农村生活垃圾合作治理的激励约束相容条件，提出促进农村生活垃圾合作治理的激励机制。

随着农村经济的快速发展和城镇化水平的不断提高，农村地区生活垃圾处理问题日益受到各界广泛关注。本项目基于江苏、河南、陕西三省农户调研数据和典型案例，构建公共空间、社会资本测度指标体系，探讨公共空间、 社会资本与农村生活垃圾合作治理的互动关系及影响机理，试图解决农村生活垃圾合作治理过程中集体行动困境克服与合作治理生成等关键问题。主要结论如下：农村生活垃圾集中处理是解决农村环境公共物品集体行动困境的有效方式。而意愿与行为的悖离往往导致农村环境治理集体行动的困境。集体与个体之间的利益扭曲是导致集体行动困境的根本原因。对公共空间、社会资本与集体行动关系的实证分析表明，小范围、高频、半开放的公共空间对农户生活垃圾集中处理合作供给的形成具有积极影响。实证分析结果表明，小范围、半开放以及高频空间对农户合作意愿的产生以及合作行为的实现具有重要的支撑性作用；社会资本在公共空间引致农户合作行为的过程中具有中介作用。证实了乡村公共空间——社会资本——集体行动这一链条机制的存在。异质性对农户参与生活垃圾集中处理的影响主要体现在农户基于自身资源禀赋、偏好、人力资本以及社会资本异质性，对集体行动参与的成本——收益进行评估，并将个体的异质性嵌入群体的社会结构中，从而形成共享的或互补的利益格局促使集体行动的不断持续。对农户合作参与农村生活垃圾集中处理效果的分析结果表明，村庄的自然条件、经济水平与社会资本是生活垃圾集中处理效果的外部主要影响因素。环保意识与集体行动的参与水平是保障农村生活垃圾治理效果的关键因素。因此，应从供给决策、资金筹集和合作维持三个方面构建提高农村生活垃圾集中处理供给效果的政策保障机制。