城市公共资源运营机制研究
摘要
城市是一个国家或区域经济、社会和文化发展的中心,是经济、文化等各种资源的集结点。城市以其独有的集聚效应、规模效应和相对较低的交易成本,吸引着大量的资源向城市集中,现代城市已经成为各种资源要素相互作用的综合体。实践证明,一座城市资源的运营效率高低,对于提升其综合竞争力具有重大作用。但是,我们也应看到,以往城市政府在提高城市综合竞争力方面,往往重视的是具有私人物品性质的城市资源运营的效率,而忽视了具有公共物品性质的城市公共资源的运营效率问题。国际公共管理学界直到20世纪80年代,才在研究城市政府治理模式时触及到城市公共资源的运营问题。之后,随着新制度经济学的发展,逐步将城市公共资源运营作为一个主题或是一个框架进行研究。同时·,在发达国家的实践过程中,政府也开始逐步认识到城市公共资源运营过程中存在的问题,并且提出城市公共资源运营不仅是运营主体的问题,而且涉及运营方式问题和内在规律性问题。
在我国,由于长期受计划经济体制的影响,对城市公共资源运营的研究起步较晚,虽然取得了一定成果,但大多数研究成果仅仅侧重于某一类公共资源的运营问题,在城市公共资源的运营主体、客体、目标、手段和方式等基本理论问题上研究成果不多,而且存在认识上的分歧和模糊,影响到理论的实用性。运营城市公共资源的实践在我国起始于城市化的提速时期,城市的快速发展对城市政府运营公共资源提出了客观要求；反过来,城市政府运营公共资源又进一步推动了城市化的深入发展。财政分权体制,也是促进城市政府加快公共资源运营的重要因素,即：财政分权体制造成地方财力难以满足城市建设和发展需求,迫使地方政府积极寻求“不花钱、少投入、多办事”的解决方案,于是运营城市公共资源成为地方政府的首选,逐步形成财政预算内资金“保工资、保运转、保民生”,公共资源运营收益搞建设的城市发展模式,这也形成了最初的城市公共资源运营目标：即“以城养城、以城建城”的运营目标。随着城市化进程的加快,城市之间竞争的加剧,以及城市化所带来的城市公共服务需求的增长,一些城市,特别是发达城市,公共资源运营的目标正在由单纯的筹集城建资金向提高城市竞争力、提升城市公共服务水平转变,城市政府运营公共资源目标的转变进一步推动了我国的城市化进程。由此,越来越多潜在的公共资源进入城市政府运营的视野。
运营城市公共资源已经成为城市政府治理的共同指向,虽然已经取得诸多成功的经验,但也暴露出很多问题,如运营主体的单一性、运营对象的单一性、运营模式的单一性,以及运营收益的单一性问题等,亟需在理论上突破,发挥对实践的指导作用。为此,加强对城市公共资源运营问题的研究,尽快建立和完善适应我国城市发展所需要的公共资源运营理论,具有重要的理论价值和现实意义。基于此种情况,本文尝试着从城市公共资源的界定、属性等基本理论出发,在深入分析我国公共资源运营现状和问题的基础上,借鉴国外经验,对城市公共资源运营机制进行了研究和探索,希冀提出公共资源运营的一般公理和具体模式,以指导和服务于城市政府运营公共资源的实践。
一
要研究城市公共资源运营机制,首先要对城市公共资源有一个准确的界定,回答什么是城市公共资源、有什么特性等基本理论等问题；只有这样,才能基于不同的公共资源提出合理化、科学化的运营策略。这不仅是理论研究的起点,也是实践工作的切入点。基于这种考虑,笔者从城市公共资源内涵的界定、特性和外延三个不同角度进行了深入探讨。
其一,关于城市公共资源的界定问题。综观西方经济学界,主要从物品的经济属性(即排他性、竞争性)、使用属性(即排他性和共用性)、产权属性三个角度对公共资源进行界定。也产生了三个不同的公共资源范畴：一是基于物品的经济属性,将经济物品分为纯公共物品、私人物品、俱乐部物品和公共资源四大类,其中,公共资源被定位于“存在消费的非排他性,但同时又存在消费竞争性的资源”。二是基于物品的使用属性,将经济物品分为公益物品、私益物品、收费物品和公共池塘资源四大类,其中,公共资源(又被称为公共池塘资源),被界定为“一种人们所共同使用但却分别享用的公共物品”。三是基于产权属性,将公共资源界定为公共所有的资源。上述三种不同界定的公共资源定位,对于理论研究起了重要作用。但是,在城市化快速发展的今天,这三种界定标准与我国城市政府实际所运营的公共资源存在着较大差异,一是没有考虑由于“拥挤问题”和“政府规制”而造成的不同类型资源相互转化的客观因素,进而造成公共资源的理论界定与客观的现实差异；二是忽视了我国产权因素和政府规制的特殊性,从目前情况看,我国政府手中所拥有的主要公共资源,并非单纯是西方所讲的公共池塘资源,更多的是基于我国独特的历史背景和发展轨迹形成的政府产权资源以及由于政府规制而形成的资源。鉴于此,为了研究更贴切于实际,笔者从更为宽泛的角度,将城市公共资源界定为：“具有公共物品性质的资源”、政府拥有产权的资源和政府规制所形成的资源。其目的是全面考虑影响公共资源类型的内在因素和外在因素,以实现对公共资源概括的主客观统一,从而增强理论在实践中的应用性。
其二,关于城市公共资源特性问题。城市公共资源与一般公共资源相比较,除了具有一般公共资源“非排他性”、“外部性”特征外,由于城市特性的存在,城市公共资源又同时具备其自身的特性。表现为：一是受益范围的有限性。其受益范围基本上被限定在城市区域之内。二是空间的高度密集性和使用的高效性。由于人口和经济活动的高度集中,使城市公共资源在空间的密集程度和使用效率上都要高于其他公共资源。三是城市公共资源的空间集聚效应带来的城市公共资源的衍生。随着城市化的发展和人口与资源的集聚,原来不认为是城市公共资源的物品价值逐步体现出来,新的公共资源不断地产生。四是存在拥挤效应和溢出效应。同时,伴随着城市化进程的加快,城市公共资源又呈现出新的特征,笔者将这些新的特征归纳为“四性、一理论”,即时点性、范围性、协同性、附加性和城市公共资源的“漂移”理论。其中,时点性说明公共资源是具有一定时间概念的,某一物品原来不是公共资源,但随着城市化发展和市民的需求变化逐步变成有价值的资源。时点性提示我们在公共资源运营中要以动态的眼光去看资源。范围性说明公共资源是具有一定空间概念的,某一物品对于城市的特定区域不具有资源的价值,而对于整个城市来说却具有更大的价值,即特定区域内的“成本——收益”与更大区域的“成本——收益”配比之间的不一致。范围性提示我们在公共资源运营中,政府应当站在更大空间范围上看待城市公共资源运营的效益问题。协同性说明公共资源的价值体现具有一定的集成协同概念,单一的公共资源可能价值体现不高,而多种资源的集成协同则体现出资源的整体价值。协同性提示我们,政府在运营公共资源的过程中要善于运用“短板理论”,发挥资金的使用效率,增强资源的整体效应。附加性说明公共资源运营所带来的价值并非单纯是自身价值的提升,更重要的是其对城市相关产业的辐射性和带动性。美国的圣安东尼奥“河流改变城市”、巴塞罗纳老工业建筑的空间再生产等经验已充分说明这一点。城市公共资源的“漂移”理论,则是对公共资源效应外溢的一种理论延伸,目前还没有得到理论界、尤其是实践工作的重视。笔者从多年工作实践出发,在总结一系列公共资源效应溢出现象的基础上,客观地提出了“城市公共资源的效应外溢直接导致特定城市公共资源的所有者——城市政府不完全占有或使用公共资源的结果”,并将这一结果形象地描述为城市公共资源的“漂移”,以此阐述和建立了城市公共资源漂移理论。同时指出,随着城市化的发展,这种“漂移”所涉及的范围不断扩大。作为处于竞争发展中的城市政府,应当高度重视公共资源的“漂移”问题,创造条件促进公共资源的“漂入”,采取措施减少公共资源的“漂出”,实现公共资源运营效益的最大化。
其三,关于城市公共资源的外延问题。在城市公共资源的实践中,长期以来,受到传统观念的影响,一直将城市公共资源作为一个封闭的概念体系来看待。但实际上,随着城市化的发展,城市公共资源不再是简单的自然资源或有形资源的代名词,而是包括有形资源和无形资源在内、范围极其宽广的资源集成。现代城市公共资源已经被扩展到理念资源、规划资源、愿景资源和美誉资源等更广阔的领域。原来被忽视或没有被认识的资源,诸如：城市空间、城市环境、城市规划、城市色彩等等,已逐渐进入人们的视野,变为可用的资源；甚至原来作为政府“包袱”的城市废弃物也可以变为城市政府可运营的资源。总之,城市公共资源并非限定的,只要城市政府用发展的眼光去发现,可运营的城市公共资源的范围是非常广阔的。
二
城市公共资源界定与视野问题的研究,解决了城市政府运营的对象和范围问题。而提高城市公共资源运营的效率,还要进一步研究由谁运营城市公共资源的问题,即运营的主体问题,也就是体制问题。从理论研究的角度看,对于城市公共资源运营的体制问题,国内外分别提出了科层制政府运营、市场治理和多中心治理三种不同的模式,但每种模式都存在各自优点和缺陷,似乎都不可能单独依赖于一种模式而提高运营的效率。在我国,由于受经济体制变迁的原因,运营主体的单一性也是摆在我们面前的重要问题。同时,由于缺乏对政府、市场和其他组织的明确定位和有效的外部约束,现实中,政府的“错位”和行为扭曲问题、市场主体的参与缺失问题、非营利组织参与的动力不足问题,以及城市政府部门的博弈与利益寻租问题还不同程度存在,影响着城市公共资源运营效率水平的提高。结合上述问题,借鉴国外城市“共同沟”经验,本文从政府、市场、非营利组织单一运营的“失灵”出发,在分析政府、市场和非营利组织效率边界的基础上,提出多主体分类运营公共资源理论框架,指出要构建多主体运营公共资源的体制,需要进一步对市场、非营利组织和公益性事业单位进行职能和身份定位,并根据不同的方式、制度安排和政策激励协调主体之间的利益关系。同时,为了消除公共资源消费上的“公地悲剧”,需要政府在公共资源的消费上作出时间调节、资格调节和收费调节的制度安排,以实现公共资源使用效率的最大化。
三
要提高城市公共资源的运营效率,需要解决的第三个方面的问题是如何运营城市公共资源的问题,即运营机制的问题。实践中,如何采取有效的措施调动政府、企业和非营利组织等多元化主体参与公共资源运营,提高公共资源运营的效率,一直是地方政府迫切需要解决的问题。近几年来,各地城市政府运营公共资源实践中取得大量成功的经验,也暴露出诸如把运营城市公共资源简单化、粗线条化和运营手段单一化等问题,“千城一面”、不切实际的“跟风”行为,不同程度地造成资源运营效率低下,需要从运营模式、方法和手段上进行创新。根据不同资源属性的差异,提出了公共资源运营的五种不同模式：即政府资源出让模式、公共资源建设项目投融资运营模式、资源置换模式、政府购买公共服务和物品模式,以及授权委托模式,并对每种模式的特点、适用对象进行了描述,结合实践案例对每种模式的运营机制和运营效果进行了详细的介绍。考虑不同类型、不同规模城市发展目标的差异,同时考虑到城市公共资源的复杂性,笔者认为,在城市公共资源的运营模式选择上需要根据不同资源的性质,结合城市化发展和城市公共服务需要,坚持以最小的投入取得最大的经济社会效益原则,对不同的公共资源采取不同的运营方式。
实证分析是本文的特点,通过实证分析,不仅可以检验理论的合理性,也可以更好地指导实践。但本文也存在许多不足之处,比如,尚缺乏对城市公共资源运营理论体系更为深入的研究,这需要在今后的研究中加以弥补。城市公共资源运营的绩效评价,也需要引起关注,加以深入研究。再比如,在城市经济和社会发展的进程中,城市公共资源和市场资源作为城市资源的两大子系统,其作用的领域和运营的机制存在着一定的差别。如何发挥政策的引导作用,统筹运营公共资源和市场资源,以提高城市资源在城市化发展中的整体效率,也需要在今后加以深入的研究。
City is a national or regional economic, social and cultural development center, and it's the assembly points of economic, cultural and other resources. With its unique agglomerative effect, scale effect and relatively low transaction costs, the city attracts a large number of resources to concentrate to the urban areas, and the modern city has become a complex where various elements interact with each other. Practice has proved that a city's operational efficiency level of resources plays a significant role for enhancing its overall competitiveness. However, we should also see that, in the past, in promoting the city's comprehensive competitiveness, the city governments often pay high attention to the operational efficiency of urban resources with private goods nature, but neglect the operational efficiency of public resources with public goods nature. Until the 80's of 20th century, the issues of urban public resources operation were revealed in the research of the urban governance mode by the international public management scholars. Later, with the development of new institutional economics, those issues has been studied as an independent subject or a framework. Meanwhile, in the practice of developed countries, the governments also began to gradually realize the problems in the process of urban public resources operation, and opposed that urban public resources operation was not only the problem of operating subjects, but also involved the problem of operating ways and inherent regularity. In China, under the long-term impact of the planned economy system, research of urban public resources operation started relatively late. Although it has yielded some results, most of the research only focused on a certain type of operational issues of public resources. There were still differences in opinions and vague in statement on the basic theoretical problems of urban public resources including the operating subjects, objects, objectives, means and ways etc., which influenced the practicality of the theory.
In our country, the practice of urban public resources operation began in the period of acceleration of urbanization. The rapid urban development proposed objective requirements for city government to operate urban public resources; in turn, the city governments'operation of public resources promoted the further development of urbanization. The fiscal decentralization system was another factor which promoted the city governments to speeden operation of urban public resources. That is, local government spending pressure caused by the fiscal decentralization system has forced the local government actively seek the solution of "more outcomes with no spending or less investment". Therefore, to operate the urban public resources has become the first choice of local government. An urban development pattern has been gradually developed, that is to "ensure wages, operation and people's livelihood" with budgeted funds, while to make urban construction with operating income of urban public resources. And the premier goal of urban public resources operation has formed, that is to finance to keep and construct the city depending on unban public resources. With the acceleration of urbanization process, intensifying urban competition, and growth in demand for urban public services brought by urbanization, the goal of urban public resources operation of developed urban areas has been changing from simply raising funds to improving the city competitiveness and urban public service. The change of city governments'operation goal of public resources has further promoted the process of urbanization in China. Therefore, more and more public resources have gradually come into the city governments'vision.
To operate the urban public resources has become the common goal to city governance. The governments have achieved a lot of successful experience in practice, but a lot of problems have been exposed, such as unicity problem of the operating subjects, objects, modes as well as operating income, which need to be solved in theory and better guide the practice. Therefore, to enhance the research of urban public resources operation, establish and improve the theory of public resources operation adapting the urban development has important theoretical and practical significance. Based on the above discussion, the paper tries to carry on research and exploration of operating mechanism of unban public resources from defination and characteristics of urban public resources and other basic theories, based on in-depth analysis of the operational status and problems of public resources in our country, as well as foreign experiences, hoping to propose some strategies to better serve the city governments' practice of public resources operation.
One
To research the operating mechanism of urban public resources, the city managers first should have an accurate defination of urban public resources, and address the basic theoretical problems such as what urban public resources are, and what characteristics they have etc. Only by this way, can the managers make rational and scientific operation strategy based on different public resources. This is not only the starting point of theory, but also the entry point of practical work. Based on this consideration, the author carries on research in depth from three different perspectives, including the definition, characteristics and extension of urban public resources.
First is about the definition of urban public resources. Looking at the western economic circles, they mainly define the public resources from three perspectives:the economic attributes (i.e. exclusiveness and competitiveness), the use attributes(i.e. exclusiveness and interoperability) and property attributes of goods. And three different definitions of public resources have been formed:First is based on the economic attributes of goods, dividing economic goods into four categories, including pure public goods, private goods, club goods and public resources, of which public resources are defined as "resources with both consumer non-exclusiveness and consumer competitiveness". Second is based on the use attributes of goods, dividing the economic goods into also four categories, including public goods, private goods, toll goods and common-pool resources, of which public resources (also known as common-pool resources) are defined as "public goods which are commonly used but respectively enjoyed by people". Third is based on property attributes of goods, defining the public resources as public-owned resources. The three different definitions of public resources have played significant role for theoretical research. However, in today's rapid urbanization, there are great differences between the public resources defined according to the three standards and operated by the government in reality. One reason is lacking of investigation over the objective factors such as mutual transformation among different types of resources caused by the "congestion problem" and "government regulation", thus caused differences between the theoretical definition and objective reality of public resources; Another reason is ignoring the specificity of property rights and government regulation in our country. From the current situation, most of the public resources owned by the government in our country are not purely the common-pool resources in the West, but most time the government property rights resources and government regulation resources formed under the special historical background and development process. In view of this, in order to make the study more practical, from the broader perspective, the author innovatively defines the urban public resources as "resources with public goods nature", resources which the government has property rights and resources formed with government regulation. The aim is to fully consider the internal factors and external factors which impact the public resource types, and achieve the unity of subjective and objective summary of public resources, thereby enhance the applicability of theory in practice.
Second is about the characteristics of urban public resources. Because of the existence of city characteristics, compared with the general public resources, urban public resources also have their own characteristics in addition to the "non-exclusive" and "external" characteristics of general public resource. The performances are as follows:First is the limited range of benefits. The range of benefits is limited largely within the urban areas. Second is the high space intensity and use efficiency. Due to the high concentration of population and economic activity, the space intensity and utilization efficiency of urban public resources are higher than other public resources. Third is the derivative of urban public resources brought by urban space agglomerative effect of urban public resources. With the development of urbanization and concentration of population and resources, the existing urban public resources keep extending in quantity continuously, and new urban resources continue to be produced with urban economic and social development. What has not considered as goods value of urban public resources is gradually reflected. Fourth, there is crowding effect and spillover effects. Meanwhile, along with the accelerated process of urbanization, urban public resources presents new features. Based on years of practical work, the author summarizes these new features as "four characteristics and one theory", i.e. time nature, scope nature, cooperativity, additivity and "drift" theory of urban public resources. The time nature states that public resources is a concept within certain time. An article may be not public resource, but with the development of urbanization and the changing needs of the people, it gradually becomes a kind of valuable resource. The time nature indicates that we should see the resources with a dynamic vision when operating the public resources. The scope nature states that public resources is a concept of certain space. An article may be not valuable for a specific area of the city, but for the whole city it may have greater value, that is, the inconsistency of "cost—benefit" ratio between a particular region and a wider region. The scope nature indicates that the government should see the effectiveness of public resources operation on a larger spatial extent while operating the public resources. Cooperativity reflects that the value of public resources has a cooperative and integrative concept. The value of a single public resource may be not high, but the cooperation and integration of a variety of resources can reflect the overall value of resources. Cooperativity indicates that the government should be adept at the "short plate theory", play the use efficiency of funds, and enhance the overall effect of resources while operating the public resources. Additivity notes that the value arising from the public resources operation is not purely the promotion of its own value, but more importantly the driving force for the relative industry development. The experiences of "river changed the city" in San Antonio, United States, and the space reproduction of old industrial buildings in Barcelona have fully illustrated this point. The "drift" theory of urban public resources is the theoretical extension of the spillover effect of public resources, which has not been attached importance by the theory community, in particular in practical work. With years of practice, based on the conclusion of a series of spillover effect phenomenon of public resources, the author objectively puts forward the point of view—"spillover effect of urban public resources directly leads to the result that the particular owner of urban public resources - the city government-does not fully occupy or use the public resources", and describes the result as the "drift" of urban public resources, thus innovatively expounds and establishes the urban public resources drift theory. The author also points out that, with the development of urbanization, the scope of this kind of "drift" has expanded. The competitive city governments should be attached great importance to "drift" problem of public resources, create conditions for the "drift in" of public resources, and take measures to reduce "drift out" of public resources, thus achieve maximum operational efficiency of public resources.
Third is about the extension of urban public resources. In the long term practice of urban public resources, under the influence of the traditional concepts, the urban public resources have been taken as a fixed concept of system. But in fact, with the development of urbanization, urban public resources are no longer simply a synonym of natural resources or tangible resources, but a very broad range of resource integration including both tangible and intangible resources. Modern urban public resources have been extended to a wider field including the conceptive resources, planning resources, vision resources and reputation resources etc. Resources which have been ignored or not recognized such as urban space, urban public infrastructure, urban environment, urban planning and urban color, etc., have been gradually coming into people's vision, and changing into available resources. Even as urban waste which has been seen as the "burden" of governments can also change into resources which can be operated by the city governments. In short, the urban public resources are not limited, and as long as the city governments observe with the vision of development, the scope of urban public resources which can be operated is very broad.
Two
The research of positioning and vision of urban public resources solved the problems of the city governments' operational objects and scope. However, to improve the operational efficiency of urban public resources, the issue who operate the urban public resources should be further studied, that is the operating subjects issue, as well as the institutional issue. From the perspective of theoretical research, on the issue of urban public resources operational system, three different modes were proposed by domestic and international theorists, including bureaucracy government-run, market management and multi-center governance. It seems impossible to improve operational efficiency relying on a single mode, for various modes have their advantages and disadvantages. In China, due to the changes in economic system, the unicity problem of operating subjects is also an important issue we are facing. Meanwhile, due to the absence of a clear positioning and effective external constraint to government, market and other organizations, inefficient operation of urban public resources and other issues have not been fundamentally resolved. In reality, problems such as the government's "misplaced" and behavioral distortions, market players' lack of participation, inadequate power of non-profit organizations, and the gaming and interests rent-seeking among city government departments also widely exist, affecting the improvement of operational efficiency of urban public resources. Taking consideration of these problems, in reference to "utility tunnel" of foreign cities, from the "failure" of single operation of government, market and non-profit organizations, on the basis of analyzing the efficiency border of government, market and non-profit organizations, the paper raises the main theoretical framework of classified public resources operation with multi-subjets, and points out that in order to build the public resources operating system with multi-subjets, we need to further identify the function and position of markets, non-profit organizations and public institutions, and coordinate interests relationship among different operating subjets according to different methods, institutional arrangements and encouraging policies. Meanwhile, in order to eliminate the "tragedy of the commons" in consumption of public resources, the government need to made institutional arrangements of time, qualifications and fee adjustment in consumption of public resources, to improve even maximize the use efficiency of public resources.
Three
To improve the operational efficiency of urban public resources, we need to address the third aspect of the problem, that is how to operate urban public resources, mean the operating mechanism. In practice, how to take effective measures to mobilize the multiple operating subjects including governments, enterprises and non-profit organizations to participate in public resources operation and improve operational efficiency of public resources operation, has been the problem which local governments need to address urgently. In recent years, the city governments have achieved plenty of successful experience in the practice of public resources operation, but issues such as simplification, broad-brush changing and single operating means of urban public resources operation, lack of innovation in operating mechanism, "thousands of cities resembling" and impractical herd behavior etc. also have been exposed, which have caused low operational efficiency in different degrees, needing to innovate from operating modes, methods and means. According to different characteristics of different resources, the author proposes five different operating modes of public resources:the mode of government resources transfer, the mode of investment and financing management of public resources construction projects, the mode of resources replacement, the mode of government purchases of public services and goods, and the mode of authorization. Also, the author makes description of the characteristics and adoptable objects of each mode to a certain extent, and describes the operating mechanism and operational effects of each mode in detail with cases in practice. Taking into account of different development goals in cities of the different types and scale, as well as the complexity of urban public resources, the author believes that the choice of operating modes of urban public resources shoule depend on the different nature of resources and requirement for urban development and urban public service, adhere to the principle of maximizing the social benefits with the minimum investment, and take different operating ways to different public resources. In practice, various modes can be comprehensively used in project operation area, and new modes can also be innovated based on the basic modes.
The paper has an obvious feature of empirical analysis, which can not only test the feasibility of the theory, but also better guide the practice. However, the paper also has many shortcomings, such as lack of in-depth study of theoretical system of urban public resources operation, which needs to be remedied in further research. We also need to attach great importance to and do further research for the performance evaluation of urban public resources operation. Additionally, in the process of urban economic and social development, as two sub-systems of urban resources, the urban public resources and market resources have certain differences in functioning field and operating mechanism. How to play the leading role of policies and conduct coordinated operation of urban public resources and market resources, to improve the overall efficiency of urban public resources in the development of urbanization, also need to be further explored in the future.
在我国,由于长期受计划经济体制的影响,对城市公共资源运营的研究起步较晚,虽然取得了一定成果,但大多数研究成果仅仅侧重于某一类公共资源的运营问题,在城市公共资源的运营主体、客体、目标、手段和方式等基本理论问题上研究成果不多,而且存在认识上的分歧和模糊,影响到理论的实用性。运营城市公共资源的实践在我国起始于城市化的提速时期,城市的快速发展对城市政府运营公共资源提出了客观要求；反过来,城市政府运营公共资源又进一步推动了城市化的深入发展。财政分权体制,也是促进城市政府加快公共资源运营的重要因素,即：财政分权体制造成地方财力难以满足城市建设和发展需求,迫使地方政府积极寻求“不花钱、少投入、多办事”的解决方案,于是运营城市公共资源成为地方政府的首选,逐步形成财政预算内资金“保工资、保运转、保民生”,公共资源运营收益搞建设的城市发展模式,这也形成了最初的城市公共资源运营目标：即“以城养城、以城建城”的运营目标。随着城市化进程的加快,城市之间竞争的加剧,以及城市化所带来的城市公共服务需求的增长,一些城市,特别是发达城市,公共资源运营的目标正在由单纯的筹集城建资金向提高城市竞争力、提升城市公共服务水平转变,城市政府运营公共资源目标的转变进一步推动了我国的城市化进程。由此,越来越多潜在的公共资源进入城市政府运营的视野。
运营城市公共资源已经成为城市政府治理的共同指向,虽然已经取得诸多成功的经验,但也暴露出很多问题,如运营主体的单一性、运营对象的单一性、运营模式的单一性,以及运营收益的单一性问题等,亟需在理论上突破,发挥对实践的指导作用。为此,加强对城市公共资源运营问题的研究,尽快建立和完善适应我国城市发展所需要的公共资源运营理论,具有重要的理论价值和现实意义。基于此种情况,本文尝试着从城市公共资源的界定、属性等基本理论出发,在深入分析我国公共资源运营现状和问题的基础上,借鉴国外经验,对城市公共资源运营机制进行了研究和探索,希冀提出公共资源运营的一般公理和具体模式,以指导和服务于城市政府运营公共资源的实践。
一
要研究城市公共资源运营机制,首先要对城市公共资源有一个准确的界定,回答什么是城市公共资源、有什么特性等基本理论等问题；只有这样,才能基于不同的公共资源提出合理化、科学化的运营策略。这不仅是理论研究的起点,也是实践工作的切入点。基于这种考虑,笔者从城市公共资源内涵的界定、特性和外延三个不同角度进行了深入探讨。
其一,关于城市公共资源的界定问题。综观西方经济学界,主要从物品的经济属性(即排他性、竞争性)、使用属性(即排他性和共用性)、产权属性三个角度对公共资源进行界定。也产生了三个不同的公共资源范畴：一是基于物品的经济属性,将经济物品分为纯公共物品、私人物品、俱乐部物品和公共资源四大类,其中,公共资源被定位于“存在消费的非排他性,但同时又存在消费竞争性的资源”。二是基于物品的使用属性,将经济物品分为公益物品、私益物品、收费物品和公共池塘资源四大类,其中,公共资源(又被称为公共池塘资源),被界定为“一种人们所共同使用但却分别享用的公共物品”。三是基于产权属性,将公共资源界定为公共所有的资源。上述三种不同界定的公共资源定位,对于理论研究起了重要作用。但是,在城市化快速发展的今天,这三种界定标准与我国城市政府实际所运营的公共资源存在着较大差异,一是没有考虑由于“拥挤问题”和“政府规制”而造成的不同类型资源相互转化的客观因素,进而造成公共资源的理论界定与客观的现实差异；二是忽视了我国产权因素和政府规制的特殊性,从目前情况看,我国政府手中所拥有的主要公共资源,并非单纯是西方所讲的公共池塘资源,更多的是基于我国独特的历史背景和发展轨迹形成的政府产权资源以及由于政府规制而形成的资源。鉴于此,为了研究更贴切于实际,笔者从更为宽泛的角度,将城市公共资源界定为：“具有公共物品性质的资源”、政府拥有产权的资源和政府规制所形成的资源。其目的是全面考虑影响公共资源类型的内在因素和外在因素,以实现对公共资源概括的主客观统一,从而增强理论在实践中的应用性。
其二,关于城市公共资源特性问题。城市公共资源与一般公共资源相比较,除了具有一般公共资源“非排他性”、“外部性”特征外,由于城市特性的存在,城市公共资源又同时具备其自身的特性。表现为：一是受益范围的有限性。其受益范围基本上被限定在城市区域之内。二是空间的高度密集性和使用的高效性。由于人口和经济活动的高度集中,使城市公共资源在空间的密集程度和使用效率上都要高于其他公共资源。三是城市公共资源的空间集聚效应带来的城市公共资源的衍生。随着城市化的发展和人口与资源的集聚,原来不认为是城市公共资源的物品价值逐步体现出来,新的公共资源不断地产生。四是存在拥挤效应和溢出效应。同时,伴随着城市化进程的加快,城市公共资源又呈现出新的特征,笔者将这些新的特征归纳为“四性、一理论”,即时点性、范围性、协同性、附加性和城市公共资源的“漂移”理论。其中,时点性说明公共资源是具有一定时间概念的,某一物品原来不是公共资源,但随着城市化发展和市民的需求变化逐步变成有价值的资源。时点性提示我们在公共资源运营中要以动态的眼光去看资源。范围性说明公共资源是具有一定空间概念的,某一物品对于城市的特定区域不具有资源的价值,而对于整个城市来说却具有更大的价值,即特定区域内的“成本——收益”与更大区域的“成本——收益”配比之间的不一致。范围性提示我们在公共资源运营中,政府应当站在更大空间范围上看待城市公共资源运营的效益问题。协同性说明公共资源的价值体现具有一定的集成协同概念,单一的公共资源可能价值体现不高,而多种资源的集成协同则体现出资源的整体价值。协同性提示我们,政府在运营公共资源的过程中要善于运用“短板理论”,发挥资金的使用效率,增强资源的整体效应。附加性说明公共资源运营所带来的价值并非单纯是自身价值的提升,更重要的是其对城市相关产业的辐射性和带动性。美国的圣安东尼奥“河流改变城市”、巴塞罗纳老工业建筑的空间再生产等经验已充分说明这一点。城市公共资源的“漂移”理论,则是对公共资源效应外溢的一种理论延伸,目前还没有得到理论界、尤其是实践工作的重视。笔者从多年工作实践出发,在总结一系列公共资源效应溢出现象的基础上,客观地提出了“城市公共资源的效应外溢直接导致特定城市公共资源的所有者——城市政府不完全占有或使用公共资源的结果”,并将这一结果形象地描述为城市公共资源的“漂移”,以此阐述和建立了城市公共资源漂移理论。同时指出,随着城市化的发展,这种“漂移”所涉及的范围不断扩大。作为处于竞争发展中的城市政府,应当高度重视公共资源的“漂移”问题,创造条件促进公共资源的“漂入”,采取措施减少公共资源的“漂出”,实现公共资源运营效益的最大化。
其三,关于城市公共资源的外延问题。在城市公共资源的实践中,长期以来,受到传统观念的影响,一直将城市公共资源作为一个封闭的概念体系来看待。但实际上,随着城市化的发展,城市公共资源不再是简单的自然资源或有形资源的代名词,而是包括有形资源和无形资源在内、范围极其宽广的资源集成。现代城市公共资源已经被扩展到理念资源、规划资源、愿景资源和美誉资源等更广阔的领域。原来被忽视或没有被认识的资源,诸如：城市空间、城市环境、城市规划、城市色彩等等,已逐渐进入人们的视野,变为可用的资源；甚至原来作为政府“包袱”的城市废弃物也可以变为城市政府可运营的资源。总之,城市公共资源并非限定的,只要城市政府用发展的眼光去发现,可运营的城市公共资源的范围是非常广阔的。
二
城市公共资源界定与视野问题的研究,解决了城市政府运营的对象和范围问题。而提高城市公共资源运营的效率,还要进一步研究由谁运营城市公共资源的问题,即运营的主体问题,也就是体制问题。从理论研究的角度看,对于城市公共资源运营的体制问题,国内外分别提出了科层制政府运营、市场治理和多中心治理三种不同的模式,但每种模式都存在各自优点和缺陷,似乎都不可能单独依赖于一种模式而提高运营的效率。在我国,由于受经济体制变迁的原因,运营主体的单一性也是摆在我们面前的重要问题。同时,由于缺乏对政府、市场和其他组织的明确定位和有效的外部约束,现实中,政府的“错位”和行为扭曲问题、市场主体的参与缺失问题、非营利组织参与的动力不足问题,以及城市政府部门的博弈与利益寻租问题还不同程度存在,影响着城市公共资源运营效率水平的提高。结合上述问题,借鉴国外城市“共同沟”经验,本文从政府、市场、非营利组织单一运营的“失灵”出发,在分析政府、市场和非营利组织效率边界的基础上,提出多主体分类运营公共资源理论框架,指出要构建多主体运营公共资源的体制,需要进一步对市场、非营利组织和公益性事业单位进行职能和身份定位,并根据不同的方式、制度安排和政策激励协调主体之间的利益关系。同时,为了消除公共资源消费上的“公地悲剧”,需要政府在公共资源的消费上作出时间调节、资格调节和收费调节的制度安排,以实现公共资源使用效率的最大化。
三
要提高城市公共资源的运营效率,需要解决的第三个方面的问题是如何运营城市公共资源的问题,即运营机制的问题。实践中,如何采取有效的措施调动政府、企业和非营利组织等多元化主体参与公共资源运营,提高公共资源运营的效率,一直是地方政府迫切需要解决的问题。近几年来,各地城市政府运营公共资源实践中取得大量成功的经验,也暴露出诸如把运营城市公共资源简单化、粗线条化和运营手段单一化等问题,“千城一面”、不切实际的“跟风”行为,不同程度地造成资源运营效率低下,需要从运营模式、方法和手段上进行创新。根据不同资源属性的差异,提出了公共资源运营的五种不同模式：即政府资源出让模式、公共资源建设项目投融资运营模式、资源置换模式、政府购买公共服务和物品模式,以及授权委托模式,并对每种模式的特点、适用对象进行了描述,结合实践案例对每种模式的运营机制和运营效果进行了详细的介绍。考虑不同类型、不同规模城市发展目标的差异,同时考虑到城市公共资源的复杂性,笔者认为,在城市公共资源的运营模式选择上需要根据不同资源的性质,结合城市化发展和城市公共服务需要,坚持以最小的投入取得最大的经济社会效益原则,对不同的公共资源采取不同的运营方式。
实证分析是本文的特点,通过实证分析,不仅可以检验理论的合理性,也可以更好地指导实践。但本文也存在许多不足之处,比如,尚缺乏对城市公共资源运营理论体系更为深入的研究,这需要在今后的研究中加以弥补。城市公共资源运营的绩效评价,也需要引起关注,加以深入研究。再比如,在城市经济和社会发展的进程中,城市公共资源和市场资源作为城市资源的两大子系统,其作用的领域和运营的机制存在着一定的差别。如何发挥政策的引导作用,统筹运营公共资源和市场资源,以提高城市资源在城市化发展中的整体效率,也需要在今后加以深入的研究。
City is a national or regional economic, social and cultural development center, and it's the assembly points of economic, cultural and other resources. With its unique agglomerative effect, scale effect and relatively low transaction costs, the city attracts a large number of resources to concentrate to the urban areas, and the modern city has become a complex where various elements interact with each other. Practice has proved that a city's operational efficiency level of resources plays a significant role for enhancing its overall competitiveness. However, we should also see that, in the past, in promoting the city's comprehensive competitiveness, the city governments often pay high attention to the operational efficiency of urban resources with private goods nature, but neglect the operational efficiency of public resources with public goods nature. Until the 80's of 20th century, the issues of urban public resources operation were revealed in the research of the urban governance mode by the international public management scholars. Later, with the development of new institutional economics, those issues has been studied as an independent subject or a framework. Meanwhile, in the practice of developed countries, the governments also began to gradually realize the problems in the process of urban public resources operation, and opposed that urban public resources operation was not only the problem of operating subjects, but also involved the problem of operating ways and inherent regularity. In China, under the long-term impact of the planned economy system, research of urban public resources operation started relatively late. Although it has yielded some results, most of the research only focused on a certain type of operational issues of public resources. There were still differences in opinions and vague in statement on the basic theoretical problems of urban public resources including the operating subjects, objects, objectives, means and ways etc., which influenced the practicality of the theory.
In our country, the practice of urban public resources operation began in the period of acceleration of urbanization. The rapid urban development proposed objective requirements for city government to operate urban public resources; in turn, the city governments'operation of public resources promoted the further development of urbanization. The fiscal decentralization system was another factor which promoted the city governments to speeden operation of urban public resources. That is, local government spending pressure caused by the fiscal decentralization system has forced the local government actively seek the solution of "more outcomes with no spending or less investment". Therefore, to operate the urban public resources has become the first choice of local government. An urban development pattern has been gradually developed, that is to "ensure wages, operation and people's livelihood" with budgeted funds, while to make urban construction with operating income of urban public resources. And the premier goal of urban public resources operation has formed, that is to finance to keep and construct the city depending on unban public resources. With the acceleration of urbanization process, intensifying urban competition, and growth in demand for urban public services brought by urbanization, the goal of urban public resources operation of developed urban areas has been changing from simply raising funds to improving the city competitiveness and urban public service. The change of city governments'operation goal of public resources has further promoted the process of urbanization in China. Therefore, more and more public resources have gradually come into the city governments'vision.
To operate the urban public resources has become the common goal to city governance. The governments have achieved a lot of successful experience in practice, but a lot of problems have been exposed, such as unicity problem of the operating subjects, objects, modes as well as operating income, which need to be solved in theory and better guide the practice. Therefore, to enhance the research of urban public resources operation, establish and improve the theory of public resources operation adapting the urban development has important theoretical and practical significance. Based on the above discussion, the paper tries to carry on research and exploration of operating mechanism of unban public resources from defination and characteristics of urban public resources and other basic theories, based on in-depth analysis of the operational status and problems of public resources in our country, as well as foreign experiences, hoping to propose some strategies to better serve the city governments' practice of public resources operation.
One
To research the operating mechanism of urban public resources, the city managers first should have an accurate defination of urban public resources, and address the basic theoretical problems such as what urban public resources are, and what characteristics they have etc. Only by this way, can the managers make rational and scientific operation strategy based on different public resources. This is not only the starting point of theory, but also the entry point of practical work. Based on this consideration, the author carries on research in depth from three different perspectives, including the definition, characteristics and extension of urban public resources.
First is about the definition of urban public resources. Looking at the western economic circles, they mainly define the public resources from three perspectives:the economic attributes (i.e. exclusiveness and competitiveness), the use attributes(i.e. exclusiveness and interoperability) and property attributes of goods. And three different definitions of public resources have been formed:First is based on the economic attributes of goods, dividing economic goods into four categories, including pure public goods, private goods, club goods and public resources, of which public resources are defined as "resources with both consumer non-exclusiveness and consumer competitiveness". Second is based on the use attributes of goods, dividing the economic goods into also four categories, including public goods, private goods, toll goods and common-pool resources, of which public resources (also known as common-pool resources) are defined as "public goods which are commonly used but respectively enjoyed by people". Third is based on property attributes of goods, defining the public resources as public-owned resources. The three different definitions of public resources have played significant role for theoretical research. However, in today's rapid urbanization, there are great differences between the public resources defined according to the three standards and operated by the government in reality. One reason is lacking of investigation over the objective factors such as mutual transformation among different types of resources caused by the "congestion problem" and "government regulation", thus caused differences between the theoretical definition and objective reality of public resources; Another reason is ignoring the specificity of property rights and government regulation in our country. From the current situation, most of the public resources owned by the government in our country are not purely the common-pool resources in the West, but most time the government property rights resources and government regulation resources formed under the special historical background and development process. In view of this, in order to make the study more practical, from the broader perspective, the author innovatively defines the urban public resources as "resources with public goods nature", resources which the government has property rights and resources formed with government regulation. The aim is to fully consider the internal factors and external factors which impact the public resource types, and achieve the unity of subjective and objective summary of public resources, thereby enhance the applicability of theory in practice.
Second is about the characteristics of urban public resources. Because of the existence of city characteristics, compared with the general public resources, urban public resources also have their own characteristics in addition to the "non-exclusive" and "external" characteristics of general public resource. The performances are as follows:First is the limited range of benefits. The range of benefits is limited largely within the urban areas. Second is the high space intensity and use efficiency. Due to the high concentration of population and economic activity, the space intensity and utilization efficiency of urban public resources are higher than other public resources. Third is the derivative of urban public resources brought by urban space agglomerative effect of urban public resources. With the development of urbanization and concentration of population and resources, the existing urban public resources keep extending in quantity continuously, and new urban resources continue to be produced with urban economic and social development. What has not considered as goods value of urban public resources is gradually reflected. Fourth, there is crowding effect and spillover effects. Meanwhile, along with the accelerated process of urbanization, urban public resources presents new features. Based on years of practical work, the author summarizes these new features as "four characteristics and one theory", i.e. time nature, scope nature, cooperativity, additivity and "drift" theory of urban public resources. The time nature states that public resources is a concept within certain time. An article may be not public resource, but with the development of urbanization and the changing needs of the people, it gradually becomes a kind of valuable resource. The time nature indicates that we should see the resources with a dynamic vision when operating the public resources. The scope nature states that public resources is a concept of certain space. An article may be not valuable for a specific area of the city, but for the whole city it may have greater value, that is, the inconsistency of "cost—benefit" ratio between a particular region and a wider region. The scope nature indicates that the government should see the effectiveness of public resources operation on a larger spatial extent while operating the public resources. Cooperativity reflects that the value of public resources has a cooperative and integrative concept. The value of a single public resource may be not high, but the cooperation and integration of a variety of resources can reflect the overall value of resources. Cooperativity indicates that the government should be adept at the "short plate theory", play the use efficiency of funds, and enhance the overall effect of resources while operating the public resources. Additivity notes that the value arising from the public resources operation is not purely the promotion of its own value, but more importantly the driving force for the relative industry development. The experiences of "river changed the city" in San Antonio, United States, and the space reproduction of old industrial buildings in Barcelona have fully illustrated this point. The "drift" theory of urban public resources is the theoretical extension of the spillover effect of public resources, which has not been attached importance by the theory community, in particular in practical work. With years of practice, based on the conclusion of a series of spillover effect phenomenon of public resources, the author objectively puts forward the point of view—"spillover effect of urban public resources directly leads to the result that the particular owner of urban public resources - the city government-does not fully occupy or use the public resources", and describes the result as the "drift" of urban public resources, thus innovatively expounds and establishes the urban public resources drift theory. The author also points out that, with the development of urbanization, the scope of this kind of "drift" has expanded. The competitive city governments should be attached great importance to "drift" problem of public resources, create conditions for the "drift in" of public resources, and take measures to reduce "drift out" of public resources, thus achieve maximum operational efficiency of public resources.
Third is about the extension of urban public resources. In the long term practice of urban public resources, under the influence of the traditional concepts, the urban public resources have been taken as a fixed concept of system. But in fact, with the development of urbanization, urban public resources are no longer simply a synonym of natural resources or tangible resources, but a very broad range of resource integration including both tangible and intangible resources. Modern urban public resources have been extended to a wider field including the conceptive resources, planning resources, vision resources and reputation resources etc. Resources which have been ignored or not recognized such as urban space, urban public infrastructure, urban environment, urban planning and urban color, etc., have been gradually coming into people's vision, and changing into available resources. Even as urban waste which has been seen as the "burden" of governments can also change into resources which can be operated by the city governments. In short, the urban public resources are not limited, and as long as the city governments observe with the vision of development, the scope of urban public resources which can be operated is very broad.
Two
The research of positioning and vision of urban public resources solved the problems of the city governments' operational objects and scope. However, to improve the operational efficiency of urban public resources, the issue who operate the urban public resources should be further studied, that is the operating subjects issue, as well as the institutional issue. From the perspective of theoretical research, on the issue of urban public resources operational system, three different modes were proposed by domestic and international theorists, including bureaucracy government-run, market management and multi-center governance. It seems impossible to improve operational efficiency relying on a single mode, for various modes have their advantages and disadvantages. In China, due to the changes in economic system, the unicity problem of operating subjects is also an important issue we are facing. Meanwhile, due to the absence of a clear positioning and effective external constraint to government, market and other organizations, inefficient operation of urban public resources and other issues have not been fundamentally resolved. In reality, problems such as the government's "misplaced" and behavioral distortions, market players' lack of participation, inadequate power of non-profit organizations, and the gaming and interests rent-seeking among city government departments also widely exist, affecting the improvement of operational efficiency of urban public resources. Taking consideration of these problems, in reference to "utility tunnel" of foreign cities, from the "failure" of single operation of government, market and non-profit organizations, on the basis of analyzing the efficiency border of government, market and non-profit organizations, the paper raises the main theoretical framework of classified public resources operation with multi-subjets, and points out that in order to build the public resources operating system with multi-subjets, we need to further identify the function and position of markets, non-profit organizations and public institutions, and coordinate interests relationship among different operating subjets according to different methods, institutional arrangements and encouraging policies. Meanwhile, in order to eliminate the "tragedy of the commons" in consumption of public resources, the government need to made institutional arrangements of time, qualifications and fee adjustment in consumption of public resources, to improve even maximize the use efficiency of public resources.
Three
To improve the operational efficiency of urban public resources, we need to address the third aspect of the problem, that is how to operate urban public resources, mean the operating mechanism. In practice, how to take effective measures to mobilize the multiple operating subjects including governments, enterprises and non-profit organizations to participate in public resources operation and improve operational efficiency of public resources operation, has been the problem which local governments need to address urgently. In recent years, the city governments have achieved plenty of successful experience in the practice of public resources operation, but issues such as simplification, broad-brush changing and single operating means of urban public resources operation, lack of innovation in operating mechanism, "thousands of cities resembling" and impractical herd behavior etc. also have been exposed, which have caused low operational efficiency in different degrees, needing to innovate from operating modes, methods and means. According to different characteristics of different resources, the author proposes five different operating modes of public resources:the mode of government resources transfer, the mode of investment and financing management of public resources construction projects, the mode of resources replacement, the mode of government purchases of public services and goods, and the mode of authorization. Also, the author makes description of the characteristics and adoptable objects of each mode to a certain extent, and describes the operating mechanism and operational effects of each mode in detail with cases in practice. Taking into account of different development goals in cities of the different types and scale, as well as the complexity of urban public resources, the author believes that the choice of operating modes of urban public resources shoule depend on the different nature of resources and requirement for urban development and urban public service, adhere to the principle of maximizing the social benefits with the minimum investment, and take different operating ways to different public resources. In practice, various modes can be comprehensively used in project operation area, and new modes can also be innovated based on the basic modes.
The paper has an obvious feature of empirical analysis, which can not only test the feasibility of the theory, but also better guide the practice. However, the paper also has many shortcomings, such as lack of in-depth study of theoretical system of urban public resources operation, which needs to be remedied in further research. We also need to attach great importance to and do further research for the performance evaluation of urban public resources operation. Additionally, in the process of urban economic and social development, as two sub-systems of urban resources, the urban public resources and market resources have certain differences in functioning field and operating mechanism. How to play the leading role of policies and conduct coordinated operation of urban public resources and market resources, to improve the overall efficiency of urban public resources in the development of urbanization, also need to be further explored in the future.
引文
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④科层制是基于“烟囱工业时代”的特征对政治、经济和社会体制所做出的概括和总结,“是一个自成方圆的独立体系——一种社会组织的特殊形式”,它是建立在组织内部的等级制权威关系之上的,政府规制是科层制的最重要体现。
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