面向绩效的市政公用事业网络策略与治理工具耦合机制研究

China's municipal public utilities governance networks are facing institution and planning uncertainties, which cause the public services failure during the market-oriented supply process. How to improve the network performance is a key research question. Thus, this project addresses to make a coupling between network strategies and governance tools. The following research will be included in this project: (1) A case database will be built. This case database will include many public utility networks, which are supplied by the cooperation between public and private sectors. The network's structures will be discussed by the Social Network Analysis (SNA). This project takes the structures as the networks' institutional background. (2) The concepts of network strategies and governance tools will be redefined. Then, a framework about the ternary relationship among network strategy, governance tool and network performance will be constructed by the method of grounded theory. (3) After investigating the above cases and designing questionnaires, this project will use the fuzzy-set Qualitative Comparative Analysis (fsQCA) method to measure the coupling relationship between network strategies and governance tools. The results will identify combinations with conditions (sufficient or necessary) to produce an network performance. (4) At last, this project will use the method of SNA (2-mode) to suggest coupling mechanisms of network strategies and governance tools under different network structures. This project explores the ternary relationship among network strategies, governance tools and network performance, which is different from the original research about the relation between institution and performance. The research findings can contribute to improve the level of governance and develop the new urbanization.

当前我国市政公用事业在采用市场化供给的治理网络中，面临制度和计划不确定性导致服务供给失效，如何提升市政公用事业的网络绩效是亟待解决的关键问题。为此，本项目以网络策略与治理工具如何耦合来提升网络绩效为研究目标，拟开展如下研究：①建立市场化供给的市政公用事业案例库，采用社会网络分析法明晰各案例的网络结构，并将其视为服务供给的制度背景；②在重新识别网络策略、治理工具概念的基础上，采用扎根理论构建“网络策略-治理工具-网络绩效”分析框架；③通过对案例的调研，开发量表，采用模糊定性比较方法检验网络策略与治理工具间的耦合关系，识别网络绩效高或低的充分或必要条件组合。④针对市政公用事业采用市场化供给时差异化的网络结构安排，采用社会网络分析“2-模网”方法，提出不同制度情境下网络策略与治理工具耦合机制建议。该研究突破了原有的仅对制度与绩效二元关系探讨，可为国家治理能力现代化和新型城镇化建设提供决策支持。

当前我国市政基础设施市场化供给中，面临制度和计划不确定性导致服务供给失效，如何提升基础设施的网络绩效是亟待解决的关键问题。为此，本项目开展的研究如下：第一，已建立了一套市政基础设施市场化供给的案例库，包括供排水、供气、垃圾收集与处理等行业，涉及全国各地30个项目。本课题已对每个项目的主体、供给方式、绩效等信息进行了收集。第二，通过对网络治理、合作治理等概念的区分，重新识别了网络治理、治理工具等核心概念的内涵与特征，为后续的研究提供了基础性的概念界定。第三，系统性研究了市政基础设施的治理对绩效的影响，包括从宏观治理环境、中观政府政策和微观契约合同三个层次来研究行动者的行为及其绩效。在实证对象上，以全世界和中国的基础设施PPP项目为样本，进行了多层次、多国别的研究。第四，通过对市政基础设施的治理策略进行梳理，探究了政府执行政策的能力、制度环境和社会经济环境三者间的组合，以中国30个省、自治区和直辖市为案例样本，探究了不同策略组合对基础设施执行效果的影响。第五，为提升基础设施项目执行效果，不同治理工具的组合使用相当关键，本课题以全国28个PPP项目为例进行了实证研究，发现基于过程管理的工具与基于项目管理的工具需要结合，才能提升项目绩效。最后，探讨了中国在抗击新冠肺炎过程中，通过私人部门领导的公私合作网络结构，可以达到很好的效果。上述研究，可以为我国新型城镇化建设，以及基础设施与公共服务供给提供政策启示。