社会资本视角下的城中村治理机制与模式选择研究——基于SES的分析框架

This project is based on the Social-Ecological Systems (SES) contrived by Elinor Ostrom and the concept of social capital to examine the categories, mechanisms, and models of urban village governance, providing a non-linear and multidisciplinary perspective to investigate the governance choice. The difficulty of urban village renewal program is how to avoid both the tragedy of the “common land” and that of the “private land”, in which collective action is hard to achieve. The goal of urban village governance is to integrate urban villages into the urban system, attaining the sustainable development of the community and the fulfillment of the citizenship of urban village residents. Therefore, the research follows the subsequent steps. (1)First of all, to dissection and analyze the institutional diversity, categories, governance models, institutional environment and their interplay of urban villages with the assistance of TPR. (2) On the premise of the first step, SES and IAD framework will be applied to investigate the social-cultural and natural aspects in the exact action situations, revealing the interacting mechanisms of government, market, and social capital. (3)Finally, by taking into consideration of key factors of the integration of urban villages and future trend, stakeholder theory will be employed to construct integration models of each distinctive urban village type. The result of this program will extend the public governance theory and practice. With a systematic demonstration of the diverse governing institutions, distinctive urban village categories, and the interplay of various factors influencing the self-organizing governing systems, this program will offer more reliable, feasible and pragmatic policy tools and governing models for local authorities to overcome the dilemma of urban village governance.

本项目拟基于社会—生态系统（SES）的分析框架,从社会资本角度出发，按照城中村类型-机制-模式的研究逻辑，以非线性复杂科学视角解析城中村治理的机制与模式选择。基于城中村更新改造项目的难点“公地悲剧”与“私地悲剧”并存困境下集体行动的达成问题，旨在实现城中村社会资本与城市系统的融合。本研究拟基于结构-过程的思维，1）运用门限面板回归模型(TPR)诊断其社会-生态环境条件，分析城中村与社会资本的结合度并对治理类型进行分类；2）基于IAD和SES的双重分析框架，探索城中村治理中社会资本，市场驱动和政府治理的融合互动机制；3）从利益相关者理论出发，确定社会融合的关键因素和努力方向，进而构建不同类型城中村治理的社会融合模式。研究成果有助于拓展公共治理理论和实践的研究视野，借助对多样性的治理制度、差异化的城中村类型和具体而微的影响变量之间的复杂自组织系统的展示，对城中村治理提供切合实际的路径治理策略。

项目按计划取得了预期成果，总结为以下五个方面：.1）成功基于IAD和SES的双重分析框架分析城中村的不同利益相关者，探索城中村治理中社会资本与市场驱动和政府治理的融合和互动机制，分析地方政府对城中村这种非正规城市空间的治理逻辑与政策执行空间，以及制度环境是如何影响居民参与社区治理的意愿；.2）成功构建城中村治理的社会融合模式。以社会资本的视角，从城中村的治理主体出发，探求城中村与城市系统实现融合的关键因素与路径接口，构建不同类型城中村治理的社会融合模式，提出不同经济、空间和社会包容性的规划策略，为城中村可持续转型提供路径；.3）从市场角度解释了城中村何以形成与存续，从政府角度为城中村问题提供解决方案与优化路径。从土地利用角度探究城中村的形成原因与演化过程，聚焦城中村集体土地征收过程中的利益分配情况，提出拆除重建之外的替代性治理方案：通过公私合作的综合城中村整治运营项目，释放新的城市空间，盘活存量用地，减轻城市贫困与住房压力，实现城中村治理过程中政府、市场和社会资本的协同合作。.4）分析了城中村的治理难点及城中村改造的社会经济影响。基于可持续城镇化的大框架下，从微观层面着重研究了城中村特殊的二元土地制度及城中村治理的挑战，城中村拆除重建模式对居民的居住影响、对周边房价影响等。.5）成功探讨了“市民化”的实现路径。以城中村流动人口为主体， 基于“流出地”和“流入地”两个体制背景，从经济融合，关系融合，文化融合和心理融合四个维度，从个人和制度层次，综合运用因子分析和多元回归分析方法探讨城中村人口的社会融合问题。