邻避设施决策中公众参与的作用机理与行为分析研究
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摘要
邻避设施是一种具有负外部性的公共设施，如垃圾处理站、核电设施等，由于其收益为全社会所共享，负外部性的成本却主要由附近居民所承担，从而引起当地公众的群体反对或冲突。在后现代化社会的大背景下，随着公众环境意识、权利意识的不断提升，邻避设施决策已成为世界各国在工业化、城市化进程中的普遍困境与难题。公众参与作为一种自下而上的决策方式，成为破解邻避设施决策难题的重要路径之一。对于正处于快速城市化进程的中国而言，迫切需要建立一套行之有效的公众参与机制，以实现邻避设施决策过程中公平与效率的均衡。
通过文献综述、案例分析等方式，在识别邻避设施的内涵、分类和特征以及邻避冲突的形成原因和治理路径的基础上，构建了邻避设施决策中公众参与的行为框架，涵盖了公众参与的思想、社会和制度基础，利益相关者的识别及其诉求分析，以及决策模式和公众参与模式的互动与融合。在所构建行为框架的基础上，从过程层面和结果层面归纳了邻避设施决策中公众参与的绩效，包括提升决策质量、获得利益相关者支持、强化管理机构责任感、解决争议、获得心理收益、强化民主、社会学习和积累社会资本等，并进行了实证分析。然后，从主体、客体和环境三个维度识别了公众参与的关键成功因素，应用德尔菲法对其进行了调整，并通过因子分析将关键成功因素分为“决策模式”、“社会环境”、“参与过程”和“参与主体”四个因子。基于上述研究过程，构建了邻避设施决策中公众参与的结构方程模型，从关键成功因素与公众参与绩效的关系方面揭示了邻避设施决策中公众参与的作用机理。
根据所构建结构方程模型，可以发现“参与主体”对于“公众参与绩效”影响最大，基于理性视角提出了公众个体参与行为的期望效用函数，在此基础上，借鉴赫希曼的“退出-呼吁”理论，分析了其中的无差别曲线、感应曲线以及忠诚、成本等因素的影响。由于概念模型中未对积极参与和消极参与进行有效区分，分别构建了政府与公众的博弈模型以及公众群体内部的博弈模型，通过求解验证了邻避设施决策中的“公众参与困境”。结合奥尔森的―选择性激励‖理论，构建了选择性激励条件下邻避设施决策中公众参与的演化博弈模型，讨论了其演化稳定均衡点。研究结论为邻避设施决策中公众参与的机制设计提供了理论基础。
NIMBY(Not-In-My-Back-Yard) facilities, such as refuse deports, nuclear powerfacilities, are public infrastructures with negative externalities. For the reason that thebenefits are enjoyed by the whole society, whereas the costs are mostly paid bynearby citizens, the sitting of these facilities always lead to rejections and conflicts.On the background of post-modern society, people’s environmental awareness andright consciousness are constantly rising, which makes NIMBY facilitiesdecision-making a worldwide dilemma in the process of industrialization andurbanization. Public participation is a process that stakeholders or interestedindividual, group or organization influence and share the control right of thedecision-making and resources that have effect on them. As a bottom-updecision-making approach, public participation becomes one of the significant waysof governing NIMBY facilities dilemma. Consequently, in order to fulfill the balanceof efficiency and fairness in NIMBY facilities decision-making process, establishingan efficient public participation mechanism is imperative for the rapidly urbanizingChina.
Through literature review and case study, after identifying the connotation,classification and features of NIMBY facilities and the causes and governance pathsof NIMBY conflicts, a behavioral framework of public participation in NIMBYfacilities decision-making is built, covering the ideological, social and institutionalfoundation of public participation, the identification and demand analysis ofstockholders, and the interaction and integration of decision patterns andparticipation patterns.
Based on the behavioral framework, the performance of the public participation inNIMBY facilities decision-making is concluded from both process level and outcomelevel, including improving decision-making quality, obtaining stockholders’ support,strengthening accountability, dispute resolution, gaining psychological benefits,strengthening democracy, education, and accumulating social capital etc., then anempirical analysis based on questionnaire survey is conducted. Next, key successfactors of public participation are recognized from three levels by applying literaturereview: subject level, object level and environment level. Then adjustment is made byDelphi Method. After that, principal component analysis is used to divide the keysuccess factors into four aspects:―decision-making patterns",―social environment", ―participation processes" and―participation subjects". Finally, based on the analysisabove, the relationship between key success factors and public participationperformance is revealed by Structural Equation Modeling (SEM).According to the result of SEM,―participation subjects" have the most significanteffect on―participation performance". With the introduction of Hirschman’s“Dropout-Appeal” Model and on the basis of discussion about participation expectedutility function, the conceptual model of individual behavior choice in NIMBYfacilities decision-making is built, and the indifference curve of not participationbehavior, reaction curve, and the influence of loyalty and cost factors is analyzed. Dueto the lack of the distinction between positive participation and negative participationin the conceptual model, Game Theory is applied to verify the―public participationdilemma" in NIMBY facilities decision-making. Combined with Olsen's―selectiveincentives" theory, an evolutionary game model of public participation in NIMBYfacilities decision-making under selective incentives is built.
通过文献综述、案例分析等方式，在识别邻避设施的内涵、分类和特征以及邻避冲突的形成原因和治理路径的基础上，构建了邻避设施决策中公众参与的行为框架，涵盖了公众参与的思想、社会和制度基础，利益相关者的识别及其诉求分析，以及决策模式和公众参与模式的互动与融合。在所构建行为框架的基础上，从过程层面和结果层面归纳了邻避设施决策中公众参与的绩效，包括提升决策质量、获得利益相关者支持、强化管理机构责任感、解决争议、获得心理收益、强化民主、社会学习和积累社会资本等，并进行了实证分析。然后，从主体、客体和环境三个维度识别了公众参与的关键成功因素，应用德尔菲法对其进行了调整，并通过因子分析将关键成功因素分为“决策模式”、“社会环境”、“参与过程”和“参与主体”四个因子。基于上述研究过程，构建了邻避设施决策中公众参与的结构方程模型，从关键成功因素与公众参与绩效的关系方面揭示了邻避设施决策中公众参与的作用机理。
根据所构建结构方程模型，可以发现“参与主体”对于“公众参与绩效”影响最大，基于理性视角提出了公众个体参与行为的期望效用函数，在此基础上，借鉴赫希曼的“退出-呼吁”理论，分析了其中的无差别曲线、感应曲线以及忠诚、成本等因素的影响。由于概念模型中未对积极参与和消极参与进行有效区分，分别构建了政府与公众的博弈模型以及公众群体内部的博弈模型，通过求解验证了邻避设施决策中的“公众参与困境”。结合奥尔森的―选择性激励‖理论，构建了选择性激励条件下邻避设施决策中公众参与的演化博弈模型，讨论了其演化稳定均衡点。研究结论为邻避设施决策中公众参与的机制设计提供了理论基础。
NIMBY(Not-In-My-Back-Yard) facilities, such as refuse deports, nuclear powerfacilities, are public infrastructures with negative externalities. For the reason that thebenefits are enjoyed by the whole society, whereas the costs are mostly paid bynearby citizens, the sitting of these facilities always lead to rejections and conflicts.On the background of post-modern society, people’s environmental awareness andright consciousness are constantly rising, which makes NIMBY facilitiesdecision-making a worldwide dilemma in the process of industrialization andurbanization. Public participation is a process that stakeholders or interestedindividual, group or organization influence and share the control right of thedecision-making and resources that have effect on them. As a bottom-updecision-making approach, public participation becomes one of the significant waysof governing NIMBY facilities dilemma. Consequently, in order to fulfill the balanceof efficiency and fairness in NIMBY facilities decision-making process, establishingan efficient public participation mechanism is imperative for the rapidly urbanizingChina.
Through literature review and case study, after identifying the connotation,classification and features of NIMBY facilities and the causes and governance pathsof NIMBY conflicts, a behavioral framework of public participation in NIMBYfacilities decision-making is built, covering the ideological, social and institutionalfoundation of public participation, the identification and demand analysis ofstockholders, and the interaction and integration of decision patterns andparticipation patterns.
Based on the behavioral framework, the performance of the public participation inNIMBY facilities decision-making is concluded from both process level and outcomelevel, including improving decision-making quality, obtaining stockholders’ support,strengthening accountability, dispute resolution, gaining psychological benefits,strengthening democracy, education, and accumulating social capital etc., then anempirical analysis based on questionnaire survey is conducted. Next, key successfactors of public participation are recognized from three levels by applying literaturereview: subject level, object level and environment level. Then adjustment is made byDelphi Method. After that, principal component analysis is used to divide the keysuccess factors into four aspects:―decision-making patterns",―social environment", ―participation processes" and―participation subjects". Finally, based on the analysisabove, the relationship between key success factors and public participationperformance is revealed by Structural Equation Modeling (SEM).According to the result of SEM,―participation subjects" have the most significanteffect on―participation performance". With the introduction of Hirschman’s“Dropout-Appeal” Model and on the basis of discussion about participation expectedutility function, the conceptual model of individual behavior choice in NIMBYfacilities decision-making is built, and the indifference curve of not participationbehavior, reaction curve, and the influence of loyalty and cost factors is analyzed. Dueto the lack of the distinction between positive participation and negative participationin the conceptual model, Game Theory is applied to verify the―public participationdilemma" in NIMBY facilities decision-making. Combined with Olsen's―selectiveincentives" theory, an evolutionary game model of public participation in NIMBYfacilities decision-making under selective incentives is built.
引文
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