农地整理项目建后管护模式的绩效及其影响机理研究：“结构—行为—绩效”的范式

In recent years, several kinds of supervision and maintenance modes after engineering transfer of rural land consolidation, have emerged around the country. The Structure-Conduct-Performance paradigm, will be employed to study the performance of supervision and maintenance modes of rural land consolidation, as well as the influence mechanism. In this research, institution constitution theory will be firstly applied to analyze the institutional structure of supervision and maintenance modes. And then theory of planning behavior will be used to explore the farmers’ participating behavior characteristics, under the constraint of supervision and maintenance modes. After that, farmers’ satisfaction model will be proposed to evaluate the subjective performance of supervision and maintenance modes of rural land consolidation, in the view of farmers. Moreover, transaction cost theory will be employed to clarify the influence mechanism of performance of supervision and maintenance from transaction cost resulted by participating behavior. Finally, policy suggestion will be advised, including improving the institutional structure of supervision and maintenance modes, and incentives measurement for farmers. The aim of this research is to reveal the interrelationship among institutional structure, farmers’ participating, and performance of supervision and maintenance. Meanwhile, a robust analysis framework is expected to explain influence mechanism of performance of supervision and maintenance, from the point of view of transaction cost theory. The research achievement will enrich the theory study of performance of supervision and maintenance after engineering transfer, even life-cycle management system of rural land consolidation, and will be supportive to reform practice of supervision and maintenance institution after engineering transfer of rural land consolidation.

针对当前农地整理项目建后存在多种管护模式的现实问题，本课题采用“结构—行为—绩效”分析范式对农地整理项目建后管护模式的绩效及其影响机理开展理论研究。课题首先运用制度构成理论分析管护模式的制度结构，其次运用计划行为理论分析管护模式的制度约束下农民参与管护的行为机理，然后建立农民满意度模型分析农地整理项目的管护绩效，并运用交易费用理论分析农民参与管护产生的交易费用对管护绩效的影响机理，最后提出优化农地整理项目建后管护模式的制度结构、激励农民参与建后管护的政策建言。课题研究的目的在于揭示不同管护模式下制度结构、农民参与以及管护绩效的相互作用机理，并试图从交易费用视角出发对管护绩效影响机理提出富有阐释力的理论解说。课题的研究成果有助于进一步完善农地整理项目建后管护模式的绩效研究，为构建农地整理项目全过程管理的理论体系做出学术贡献，同时也可作为农地整理项目建后管护制度改革的重要导向和决策依据。

目前中国大部分地区的农地整理项目依然陷入农村基础设施供给“重建轻管”“产权不明”的传统困境，在此背景下对建后管护的农民参与、管护绩效的模式差异、管护绩效的影响机理、建后管护的制度安排等系列问题开展研究，具有现实紧迫性。研究结果表明：（1）正式制度和非正式制度共同强化了农民参与建后管护的意愿，而农民的管护行为较多受到外部环境的影响；农民的管护意愿对管护行为具有一定的指引作用，对他人的监督难度是影响意愿——行为转化的显著因素；（2）不同模式的管护绩效差异取决于农地整理项目建后管护的交易费用，可以从以下三方面考察和比较：专用性资产表现为农户对农地及相关工程设施的依赖程度；交易的不确定性表现为建后管护的制度环境及其认知程度、信息沟通情况；交易频率表现为管护行为发生的次数；（3）管护绩效的影响机理可以从不同视角得到全面阐释：借助SCP范式厘清结构、行为、绩效三者之间的内在逻辑，分析管护组织和管护制度在实现管护行为有序化方面的积极作用，研究结构和行为对规范利益相关者间的经济关系、提升管护绩效的有效程度；借助绩效棱柱模型构建公共部门绩效管理模型，用“组织战略、业务流程、组织能力、利益相关者贡献、利益相关者满意”表示影响绩效的关键要素，强调利益相关主体的价值取向、绩效贡献和主观满意程度；借助威廉姆森“维度论”分析框架阐述管护绩效的影响因素，验证了实物资产专用性、人力资产专用性、交易不确定性、交易频率等维度要素的显著影响；（4）在正式制度方面，建议指导制定管护契约强化正式制度的激励与约束，争取将管护经费列入政府预算；在非正式制度方面，建议利用媒介引导社会风俗，号召精英分子投入管护，实现非正式制度与正式制度的耦合。上述研究有利于增强农民参与管护的积极性和主动性，以实现破解当前管护困境、提高农地整理项目建后管护绩效的最终目标。