多主体伙伴治理的旧城再生研究
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摘要
房地产导向的传统旧城改造虽然对于重塑城市空间、改善硬件设施、提高土地利用率等方面效果显著，而且从某种程度上也能促进旧城的经济增长和竞争力提升。但与此同时，也造成对城市原有文脉、社会网络和经济多样性的破坏，使处于弱势的居民从地理、社会心理和利益分享上均遭到排斥和隔离，从而使得旧城改造成为现阶段各种社会矛盾的交汇点。对我国旧城改造现状的剖析，寻找更加合理和可持续的旧城改造机制成为一个迫切的问题。
旧城改造是一个复杂大系统。通过西方国家与我国旧城改造历程的对比研究发现，模式改进和制度建设是一个相互作用和不断修正的过程，应综合考虑二者以构建一种新的机制来解决我国的旧城改造问题。因此，基于多元民主、公共选择、新公共服务、治理和机制设计等理论基础和我国旧城改造的现实需求，本文一方面构建了多主体伙伴治理的旧城再生理论框架，利用合作博弈理论对伙伴关系的合作形成机理进行了探讨，设计了旧城再生综合评价ANP模型以解决项目方案的评价决策；另一方面，提出了多主体伙伴治理旧城再生的内部实现机制、多主体参与的制度保障和构建服务型政府等相关制度建议。
研究的主要创新点如下：
①提出了多主体伙伴治理的旧城再生理论框架。在对其利益相关者的利益诉求和角色定位剖析的基础上，对其必要性、本质和特点进行了深入探讨，提出了其组织实施的关键要素、组织架构和治理流程。
②建立了多主体伙伴治理旧城再生的合作博弈模型以分析伙伴关系的合作形成机理。谈判集解分析认为谈判能力越强获利会越多，而获利越多则越有维持伙伴合作关系的动力，因此提出社区需要以组织而不是个人的形式参与旧城再生；应该有专业的非政府组织加入伙伴关系以帮助社区组织和协调各参与主体之间的关系；处于谈判强势的地方政府和开发商应该更加关注伙伴合作的维护，并付出一定的代价用于这种合作维护，以保障自身长远利益的获取；以及再生方案所体现出的潜在收益是促成各方合作的关键等四个合作形成条件。通过Shapley值分析，提出了理论利益分配模式，指出了现实利益分配的不合理之处，并对利益分配进行了风险修正。通过合作博弈的效用转移分析，指出在利益分配中应遵循从合作中获益较多的一方应对在合作中获益较少的一方给予一定补偿的原则，以建立一个为各方所接受的利益平衡机制，从而促成参与各方的伙伴合作。
③建立了旧城再生综合评价ANP模型，将可持续性、竞争力和文化传承作为三大准则纳入同一个评价体系之下，利用非线性规划、PS和DEMATEL法对传统的ANP法进行改进，并通过算例分析验证了方法的可行性。对比传统的以投资收益为首要决策因素的项目决策，可发现本模型具有以下优点：克服了单一决策指标的不足，使得优选的项目方案更能体现社会公平，有利于城市的可持续发展；模型考虑了旧城再生所包含要素之间的相互影响关系，使其更贴近现实；通过对传统ANP方法的改进，使模型更加科学合理，在操作上更为简便和条理清晰。
The traditional property-led urban renewal has a significant effect on reshaping theurban space, improving the physical environment, improving the land utilitilation andgrowing the local economy and competitiveness. Meanwhile, there are many negativesocial and economic consequences, such as destruction of existing social networks,cultural inheritance and diversity of the local economy. The vulnerable local residentsare suffering from being geographically, social-psychologically excluded and couldn’tshare the urban renewal benefits. Therefore, urban renewal becomes the focus of manysocial conflicts nowadays. Thus, developing a new mechanism of renewing thedepriving urban area which can leads to a more justice and sustainable future becomesan important and urgent issue to China.
Urban renewal is a complex mega system. By the comparative study of westernand Chinese history of urban renewal, we found that improving the renewal mode andthe relevant laws and regulations is a process of interaction and revising. And it isnecessary to rebuild a new mechanism which includes both mode and laws andregulations to solve the problem of Chinese urban renewal. Thus, based on the PluralistDemocracy theory, Public Choice theory, New Public Management theory, StakeholderGovernance theory and Mechanism Design theory, we developed a new mechanismwhich includes two parts. On one hand, we developed the theoretical framework ofmulti-stakeholder partnership governance urban regeneration，analyzed the allocation ofinterest and cooperation mechanism based on the cooperative game theory, designed theurban regeneration project comprehensive evaluation ANP model to meet the needs ofproject plan evaluation and chosen. On the other hand, the relevant laws and regulationswere discussed in this paper, which include the partnership internal implementationregulations, the laws about the participation of multi-stakeholder, and the suggestions ofhow to build a service-oriented government.
Generally speaking, the thesis has the following three innovations:
①By breaking the established research framework, this paper brought up themode of multi-stakeholder partnership governance urban regeneration. Based on theanalysis of interests and behavior patterns of the stakeholders, the necessity, nature andcharacters of this new mode were discussed, and the key factors in practice, theorganizational framework and procedures of implementation were also designed.
②The multi-stakeholder partnership governance urban regeneration cooperativegame model was established to explain the cooperative formation mechanismpartnerships. By solving the cooperative game model with bargaining set, fourconclusions were made: communities should be invoved in the urban regeneration withthe form of community organizations rather than individuals; professional NGOs shouldbe involved in the partnership to help the community organizations and smooth therelationship between partners; the powerful local governments and developers shouldpay more attention to keep the partnership work and pay for it in order to get morelong-term interests; regeneration programme should be profitable to attract thestakeholsers join the partnership. The allocation of benefits in the partnership is decidedthrough the Shapley value and unreasonableness of the real distribution was pointed out,the distribution also be amended in consideration of risks. The analysis of cooperativegame transfer utility indicated that the one who gets more profit should transfer someprofit the one who gets less to establish a balanced mechanism which is acceptable to allpartners. Thus, the stakeholders would be willing to join the partnership.
③The urban regeneration comprehensive evaluation ANP model was built andfirstly combined the sustainability, competitiveness and cultural inheritance as a threefundamental criteria. The traditional analytic network process method was improved bythe Nonlinear Programming, Pattern Search and DEMATEL methods. The numericalanalysis indicates that the proposed method is feasible. Comparing to the traditionalmethod which take the profit-cost as the priority factor of decision-making, thedeveloped method is more comprehensive and systematic, which can lead a more equalsociety and sustainable future of the regenerated areas. By taking into account of theinteractions between the elements contained in the urban regeneration, the proposedmodel is more in line with reality. By integrating the ANP method with other methodsthe proposed method is more scientific, reasonable and easier to realize than thetraditional one.
旧城改造是一个复杂大系统。通过西方国家与我国旧城改造历程的对比研究发现，模式改进和制度建设是一个相互作用和不断修正的过程，应综合考虑二者以构建一种新的机制来解决我国的旧城改造问题。因此，基于多元民主、公共选择、新公共服务、治理和机制设计等理论基础和我国旧城改造的现实需求，本文一方面构建了多主体伙伴治理的旧城再生理论框架，利用合作博弈理论对伙伴关系的合作形成机理进行了探讨，设计了旧城再生综合评价ANP模型以解决项目方案的评价决策；另一方面，提出了多主体伙伴治理旧城再生的内部实现机制、多主体参与的制度保障和构建服务型政府等相关制度建议。
研究的主要创新点如下：
①提出了多主体伙伴治理的旧城再生理论框架。在对其利益相关者的利益诉求和角色定位剖析的基础上，对其必要性、本质和特点进行了深入探讨，提出了其组织实施的关键要素、组织架构和治理流程。
②建立了多主体伙伴治理旧城再生的合作博弈模型以分析伙伴关系的合作形成机理。谈判集解分析认为谈判能力越强获利会越多，而获利越多则越有维持伙伴合作关系的动力，因此提出社区需要以组织而不是个人的形式参与旧城再生；应该有专业的非政府组织加入伙伴关系以帮助社区组织和协调各参与主体之间的关系；处于谈判强势的地方政府和开发商应该更加关注伙伴合作的维护，并付出一定的代价用于这种合作维护，以保障自身长远利益的获取；以及再生方案所体现出的潜在收益是促成各方合作的关键等四个合作形成条件。通过Shapley值分析，提出了理论利益分配模式，指出了现实利益分配的不合理之处，并对利益分配进行了风险修正。通过合作博弈的效用转移分析，指出在利益分配中应遵循从合作中获益较多的一方应对在合作中获益较少的一方给予一定补偿的原则，以建立一个为各方所接受的利益平衡机制，从而促成参与各方的伙伴合作。
③建立了旧城再生综合评价ANP模型，将可持续性、竞争力和文化传承作为三大准则纳入同一个评价体系之下，利用非线性规划、PS和DEMATEL法对传统的ANP法进行改进，并通过算例分析验证了方法的可行性。对比传统的以投资收益为首要决策因素的项目决策，可发现本模型具有以下优点：克服了单一决策指标的不足，使得优选的项目方案更能体现社会公平，有利于城市的可持续发展；模型考虑了旧城再生所包含要素之间的相互影响关系，使其更贴近现实；通过对传统ANP方法的改进，使模型更加科学合理，在操作上更为简便和条理清晰。
The traditional property-led urban renewal has a significant effect on reshaping theurban space, improving the physical environment, improving the land utilitilation andgrowing the local economy and competitiveness. Meanwhile, there are many negativesocial and economic consequences, such as destruction of existing social networks,cultural inheritance and diversity of the local economy. The vulnerable local residentsare suffering from being geographically, social-psychologically excluded and couldn’tshare the urban renewal benefits. Therefore, urban renewal becomes the focus of manysocial conflicts nowadays. Thus, developing a new mechanism of renewing thedepriving urban area which can leads to a more justice and sustainable future becomesan important and urgent issue to China.
Urban renewal is a complex mega system. By the comparative study of westernand Chinese history of urban renewal, we found that improving the renewal mode andthe relevant laws and regulations is a process of interaction and revising. And it isnecessary to rebuild a new mechanism which includes both mode and laws andregulations to solve the problem of Chinese urban renewal. Thus, based on the PluralistDemocracy theory, Public Choice theory, New Public Management theory, StakeholderGovernance theory and Mechanism Design theory, we developed a new mechanismwhich includes two parts. On one hand, we developed the theoretical framework ofmulti-stakeholder partnership governance urban regeneration，analyzed the allocation ofinterest and cooperation mechanism based on the cooperative game theory, designed theurban regeneration project comprehensive evaluation ANP model to meet the needs ofproject plan evaluation and chosen. On the other hand, the relevant laws and regulationswere discussed in this paper, which include the partnership internal implementationregulations, the laws about the participation of multi-stakeholder, and the suggestions ofhow to build a service-oriented government.
Generally speaking, the thesis has the following three innovations:
①By breaking the established research framework, this paper brought up themode of multi-stakeholder partnership governance urban regeneration. Based on theanalysis of interests and behavior patterns of the stakeholders, the necessity, nature andcharacters of this new mode were discussed, and the key factors in practice, theorganizational framework and procedures of implementation were also designed.
②The multi-stakeholder partnership governance urban regeneration cooperativegame model was established to explain the cooperative formation mechanismpartnerships. By solving the cooperative game model with bargaining set, fourconclusions were made: communities should be invoved in the urban regeneration withthe form of community organizations rather than individuals; professional NGOs shouldbe involved in the partnership to help the community organizations and smooth therelationship between partners; the powerful local governments and developers shouldpay more attention to keep the partnership work and pay for it in order to get morelong-term interests; regeneration programme should be profitable to attract thestakeholsers join the partnership. The allocation of benefits in the partnership is decidedthrough the Shapley value and unreasonableness of the real distribution was pointed out,the distribution also be amended in consideration of risks. The analysis of cooperativegame transfer utility indicated that the one who gets more profit should transfer someprofit the one who gets less to establish a balanced mechanism which is acceptable to allpartners. Thus, the stakeholders would be willing to join the partnership.
③The urban regeneration comprehensive evaluation ANP model was built andfirstly combined the sustainability, competitiveness and cultural inheritance as a threefundamental criteria. The traditional analytic network process method was improved bythe Nonlinear Programming, Pattern Search and DEMATEL methods. The numericalanalysis indicates that the proposed method is feasible. Comparing to the traditionalmethod which take the profit-cost as the priority factor of decision-making, thedeveloped method is more comprehensive and systematic, which can lead a more equalsociety and sustainable future of the regenerated areas. By taking into account of theinteractions between the elements contained in the urban regeneration, the proposedmodel is more in line with reality. By integrating the ANP method with other methodsthe proposed method is more scientific, reasonable and easier to realize than thetraditional one.
引文
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