农村生活垃圾集中处理农户合作行为研究

发布时间：2018-05-22 14:22

  本文选题：农村生活垃圾 + 集中处理　； 参考：《西北农林科技大学》2016年博士论文

【摘要】：随着农村经济的快速发展和城镇化水平的不断提高,农村地区生活垃圾处理问题日益受到各界广泛关注。我国农村人口占全国人口总数达45%,农村垃圾产生量为年均1.5亿吨左右,其中只有50%的垃圾得到处理,而未经处理的垃圾则随意堆放,垃圾污染状况日益严重。据住房和城乡建设部初步统计,截至2013年底,全国58.8万个行政村中,对生活垃圾进行处理的有21.8万个,仅占37%。农村垃圾治理面临着极其艰巨的任务。农村生活垃圾的随意排放导致乡村自然环境受到较大影响,而且对居民身体健康、生态环境的持续发展造成巨大威胁,不利于农村居民生活质量的改善和农村地区资源环境与经济的协调发展。2016年中央一号文件指出,继续推进农村环境综合整治,开展农村人居环境治理。实施农村生活垃圾治理5年专项行动,采取城镇管网延伸、集中处理和分散处理等多种方式,加快农村生活垃圾处理和改厕。农村生活垃圾集中处理不但有利于垃圾综合治理、减少处置费用,还可以提高垃圾资源化水平,从而达到垃圾减量化、资源循环化的终极目标。在理论上,西方学者提出了形形色色的治理理论,这就需要结合我国农村社区的实际情况,对这些新理论进行分析和甄别,用以解决我国农村生活垃圾处理问题。而在我国,随着政府职能从经济建设型政府向公共服务型政府的转变,有些地方已对农村生活垃圾集中处理处理机制与环境管理模式进行了创新性的实验,需要对这些实践探索进行理论反思和论证。目前,国内学术界关于农村生活垃圾集中处理的理论成果多数基于西方发达国家的背景,或是参考城市生活垃圾处理模式设计农村生活垃圾集中处理机制,如何针对我国农村社区生活垃圾产生特点及其处理所面临的问题寻找解决途径和对策,形成农村生活垃圾集中处理处理机制的相关理论和创新方案,是农村环境管理与公共政策研究的当务之急。因此,本研究基于集体行动视角,在对环境公共服务及农户合作行为等相关文献进行全面分析的前提下,研究农户层面生活垃圾集中处理合作的困境、农户参与行为、合作供给的效果评价以及合作制度的创新,为促进农村环境改善与环境公共物品供给模式创新提供理论与实证依据。首先,系统梳理公共物品、集体行动以及农户行为等参考文献,分析我国农村生活垃圾处理状况,考察调研区农户参与生活垃圾集中处理的现状。其次,针对生活垃圾集中处理存在的现实问题,分析农村生活垃圾处理合作供给中农户的意愿与行为,从农户意愿与行为悖离的角度,探求导致集体行动困境的成因。研究发现,合作困境主要是由社会环境与农户自身因素导致。因此,从农户所处社会环境视角,分析公共空间、社会资本对农户参与生活垃圾集中处理合作行为的影响,分析农户参与生活垃圾集体行动的合作行为。在此基础上,从农户自身异质性的视角,采用logit模型测度社会资本异质性、人力资本异质性、偏好异质性等因素对生活垃圾集中处理农户合作行为的影响。构建农户合作参与农村生活垃圾集中处理效果的综合评价指标体系,采用模糊综合评价法分析生活垃圾集中处理农户合作的效果,最后提出提高农户合作行为、促进农村生活垃圾集中处理合作供给制度创新的政策建议,为政府环境公共政策创新提供决策参考。本文研究的主要结论如下:第一,农村生活垃圾集中处理是解决农村环境公共物品集体行动困境的有效方式。农村生活垃圾的集中处理,是一种与农民生产生活休戚相关的小规模公共物品,具有非排他性与非竞争性等特征。由于政府供给低效率与市场供给缺乏动力等原因,合作供给模式不仅在实现上成为可能,而且由于是一种自下而上的自主行为,在效率上能有效克服交易成本过高或供给不足的问题,很适合于农村公共产品的供给。值得注意的是这种模式容易发生“集体行动的困境”。实现农村人居环境协同治理,需要农户、社区与政府的共同参与,实现个体利益与集体利益的兼容,而农村生活垃圾集中处理正是实现集体行动的理想模式。因此,探究农户合作行为,分析农户在组织发起以及合作过程中的参与逻辑就成为促成生活垃圾集中处理合作供给的关键。第二,意愿与行为的悖离往往导致农村环境治理集体行动的困境。实证分析结果表明集体与个体之间的利益扭曲是导致集体行动困境的根本原因。从不同影响因素的重要程度与相互作用关系来看,农户认知和农户个人特征是表层、中层影响因素,社会因素是悖离的深层影响因素。对于这种层次结构的形成原因,主要是由于生活垃圾的集中处理作为准公共物品,根据农户的“理性”,往往采取“搭便车”的策略以获取收益最大化。因而在悖离的表层及中层因素中,其最直接的影响因素即为根据自身状况和自身特征所考虑的经济因素。生活垃圾的集中处理本质上是以一定场域为基础的农户公共物品的合作供给行为,其动态均衡是个体因素与农户决策社会环境因素相互作用的结果。农户意愿与行为的悖离正是由于合作行为的关键环境变量,农户交往的横向结构关系以及纵向治理关系改变导致,是社会转型期国家、集体以及个人关系结构嬗变的结果。第三,小范围、高频、半开放的公共空间对农户生活垃圾集中处理合作供给的形成具有积极影响。实证分析结果表明,小范围、半开放以及高频空间对农户合作意愿的产生以及合作行为的实现具有重要的支撑性作用;社会资本在公共空间引致农户合作行为的过程中具有中介作用,社会资本其本质是通过社会中个人和组织的网络构建及长期的信任规范约束来实现个人或组织的效益目标。证实了乡村公共空间——社会资本——集体行动这一链条机制的存在。而当前政府、市场、社会彼此之间良性互动是农村自主性公共空间发展的有效途径。农村社区生活垃圾集中处理存在内源性激励强度不足的问题,外源性激励制度的引进成为一种必要,即需要依靠正式制度安排和社区非正式制度安排实现农村集体行动的成本分担与收益分享、对合作行为给予鼓励以及对机会主义行为给予惩罚。第四,异质性对农户参与生活垃圾集中处理的影响主要体现在农户基于自身资源禀赋、偏好、人力资本以及社会资本异质性,对集体行动参与的成本——收益进行评估,并将个体的异质性嵌入群体的社会结构中,从而形成共享的或互补的利益格局促使集体行动的不断持续。因而,农户合作行为是个人特征、社区因素、制度环境以及社会资本等个体与环境约束相互作用的结果。从农户异质性视角探讨集体行动的农户参与逻辑,研究结果发现资源禀赋异质性与农户的参与行为负相关;人力资本异质性对农户的合作参与行为影响并不显著;社会资本异质性各维度中,网络异质性与农户的合作参与行为正相关,而信任异质性与农户的合作参与行为负相关。此外,性别、村中职务及垃圾处理的及时程度均对农户的生活垃圾合作参与行为产生显著影响。第五,对农户合作参与农村生活垃圾集中处理效果的分析结果表明,村庄的自然条件、经济水平与社会资本是生活垃圾集中处理效果的外部主要影响因素。环保意识与集体行动的参与水平是保障农村生活垃圾治理效果的关键因素,而受教育程度的提升与家庭经济状况的改善有利于提高农户的参与水平。总体而言,垃圾处理清洁程度仍需提高,加强对环境的治理力度是下一步的努力方向。不同治理主体之间由于资源因素、信息沟通、利益纽带不同而导致行动的组织成本较高,不同主体决策目标的差异导致治理行为中资源配置方式与组织效率的下降,从而一定程度上降低了集体行动的效果。因此,应从供给决策、资金筹集和合作维持三个方面构建提高农村生活垃圾集中处理供给效果的政策保障机制。
[Abstract]:With the rapid development of the rural economy and the continuous improvement of the level of urbanization, the problem of garbage disposal in rural areas is increasingly concerned by all walks of life. China's rural population accounts for 45% of the total population of the country, and the amount of rural garbage is about 1.5 million tons per year, of which only 50% of the garbage is treated, while the untreated garbage is randomly stacked. According to the preliminary statistics of the Ministry of housing and urban and rural construction, as of the end of 2013, 218 thousand of the 588 thousand administrative villages in the country have been treated for domestic waste, and only 37%. rural garbage disposal is facing extremely arduous tasks. The free discharge of rural domestic waste leads to the greater impact of the rural natural environment. Moreover, it poses a great threat to the health of the residents and the sustainable development of the ecological environment. It is not conducive to the improvement of the quality of life of the rural residents and the coordinated development of the resources, environment and economy in rural areas. It is pointed out in the central No. 1 document of.2016 that the comprehensive renovation of the rural environment and the management of the rural residential environment should be continued. In the 5 year special action, a variety of ways, such as urban pipe network extension, centralized treatment and dispersion treatment, are adopted to accelerate the treatment of rural domestic waste and change the toilet. The centralized treatment of rural domestic garbage can not only benefit the comprehensive treatment of garbage, reduce the cost of disposal, but also improve the level of garbage resources, thus achieving the ultimate waste reduction and the ultimate recycling of resources. In theory, western scholars have put forward a variety of governance theories, which need to be analyzed and discriminated against the actual situation of rural communities in China to solve the problem of rural domestic waste treatment in our country. In China, with the government function from the economic construction government to the public service government, the government functions in China. In some places, some innovative experiments have been carried out on the centralized disposal and environmental management mode of rural domestic waste, and the theoretical reflection and demonstration of these practical exploration are needed. At present, most of the theoretical results about the centralized treatment of rural domestic waste are based on the background of the western developed countries, or the reference to urban students. The mode of living garbage disposal is designed to design the centralized disposal mechanism of rural domestic waste, and how to find solutions and Countermeasures against the problems faced by the rural community living garbage in our country and the countermeasures to form the centralized disposal mechanism of rural domestic waste, which is the study of rural environmental management and public policy. Therefore, based on the collective action perspective, this study is based on the comprehensive analysis of the relevant literature on environmental public services and farmers' cooperative behavior, and studies the dilemma of the centralized disposal of domestic waste at the peasant household level, the participation of farmers, the evaluation of the effect of Cooperative Supply and the innovation of the cooperative system, in order to promote the Rural ring. The improvement of environment and the innovation of environmental public goods supply model provide theoretical and empirical basis. First, it systematically combs the reference documents of public goods, collective action and farmers' behavior, analyzes the status of rural household garbage disposal in China, and inspects the present situation of farmers' participation in the concentration of domestic garbage in the investigation area. Secondly, the centralized disposal of domestic waste is carried out. In the real problem, we analyze the farmers' will and behavior in the cooperative supply of rural domestic waste, and find out the causes of the dilemma of collective action from the angle of farmers' willingness and behavior. The research finds that the cooperation dilemma is mainly caused by the social environment and the farmers' own factors. Therefore, the analysis of the public from the perspective of the social environment of the peasant household is to analyze the public. On the basis of the heterogeneity of farmers, logit model is used to measure the heterogeneity of social capital, heterogeneity of human capital and preference heterogeneity to the collection of domestic garbage on the basis of the heterogeneity of farmers. The comprehensive evaluation index system of farmers' cooperative participation in the centralized treatment of rural domestic waste is constructed, and the effect of living garbage concentrating on the cooperation of farmers is analyzed by the fuzzy comprehensive evaluation method. Finally, it is proposed to improve the cooperative behavior of farmers and promote the centralized treatment of rural domestic waste by the cooperative supply system. The new policy recommendations provide a reference for the government's environmental public policy innovation. The main conclusions of this paper are as follows: first, the centralized treatment of rural domestic waste is an effective way to solve the dilemma of collective action of rural environmental public goods. The centralized treatment of rural domestic waste is a small scale that is closely related to the production and life of farmers. Public goods have the characteristics of non exclusiveness and non competition. Because of the low efficiency of government supply and the lack of power of the market supply, the cooperative supply mode is not only possible in the realization, but also because it is a bottom-up act of autonomy, which can effectively overcome the problem of high transaction cost or insufficient supply in efficiency. It is important to pay attention to the supply of rural public goods. It is worth noting that this model is easy to take place "the dilemma of collective action". To realize the cooperative governance of rural human living environment, it is necessary for farmers, community and government to participate together to realize the compatibility of individual interests and collective interests, and the centralized treatment of rural domestic waste is an ideal model for the realization of collective action. Therefore, exploring the cooperative behavior of farmers, analyzing the participation logic in the process of organization and cooperation, is the key to promote the centralized management of the supply of domestic waste. Second, the contradiction between willingness and behavior often leads to the dilemma of collective action in rural environmental governance. The results of empirical analysis show the interest distortion between the collective and the individual. It is the fundamental cause of the dilemma of collective action. From the perspective of the importance and interaction of different factors, the cognition of farmers and the individual characteristics of farmers are surface, middle level, and social factors are the deep influence factors. The primary cause of the formation of this hierarchy is mainly due to the centralized disposal of domestic waste. For the quasi public goods, the "hitchhiker" strategy is often adopted to maximize the income of the farmers. Therefore, the most direct influencing factors are the economic factors which are considered according to their own conditions and their own characteristics in the contrary surface and middle level factors. The concentration treatment of the domestic waste is essentially a certain field. The dynamic equilibrium is the result of the interaction between the individual factors and the social environmental factors of the farmers. The contradiction between the farmers' willingness and behavior is due to the key environmental variables of the cooperative behavior, the horizontal structure relationship of the peasant household and the change of the vertical governance relationship, which is the social transformation period. Third, small scope, high frequency and semi open public space have a positive impact on the formation of Cooperative Supply for household garbage disposal. The results of empirical analysis show that small scope, semi open and high frequency space for farmers' cooperative willingness to produce and the realization of cooperative behavior are achieved. The social capital plays an intermediary role in the process of the cooperative behavior of farmers in public space. The essence of social capital is to realize the benefit goal of individual or organization through the network construction of individual and organization in the society and the long-term trust regulation, which proves the rural public space - social capital - The mechanism of collective action is a chain mechanism. And the current government, the market, the social interaction between each other is an effective way for the development of the rural autonomous public space. The centralized treatment of rural community living garbage has the problem of insufficient endogenous incentive intensity. The introduction of exogenous incentive system is necessary, that is, it needs to rely on the formal system. Degree arrangement and informal community system arrangement to share the cost sharing and income sharing in rural collective action, encourage the cooperative behavior and punish the opportunism. Fourth, the influence of heterogeneity on the centralized disposal of household garbage is mainly reflected in the peasant household's natural resource endowment, preference, human capital and society. With the heterogeneity of capital, it evaluates the cost and income of collective action, and embeds individual heterogeneity into the social structure of the group, thus forming a shared or complementary interest pattern that encourages the continuous continuation of collective action. Therefore, the cooperative behavior of farmers is a personal characteristic, community factor, institutional environment and social capital. The result of the interaction between the body and the environment constraints. From the perspective of farmers' heterogeneity, the paper explores the logic of farmers' participation in collective action. The results show that the heterogeneity of resource endowment is negatively related to the participation behavior of farmers; the heterogeneity of human capital has no significant influence on the cooperative participation behavior of the farmers; the heterogeneity of the social capital heterogeneity and the network heterogeneity The behavior of farmers' cooperation and participation is positively related, and the heterogeneity of trust is negatively related to the cooperative participation of farmers. In addition, gender, the timely degree of village duties and garbage disposal have a significant impact on the cooperative participation of farmers' living garbage. Fifth, the result of farmers' cooperative participation in the centralized treatment of rural household garbage disposal results. The natural conditions of the village, the economic level and the social capital are the main external factors of the concentrated treatment effect of the living garbage. The awareness of the environmental protection and the participation level of the collective action are the key factors to guarantee the effect of the rural domestic waste treatment, and the promotion of education and the improvement of the family economic conditions are beneficial to the improvement of the participation of the farmers. Level. In general, the cleaning degree of garbage disposal still needs to be improved, and the strengthening of environmental governance is the next step. The organizational cost of the action is higher because of the resource factors, information communication, and the different interest ties. The difference of the decision goals of different subjects leads to the allocation of resources in the governance behavior. With the decline of organizational efficiency, the effect of collective action is reduced to a certain extent. Therefore, we should construct policy guarantee mechanism to improve the supply effect of rural domestic waste centralized treatment from three aspects: supply decision, fund raising and cooperation maintenance.
【学位授予单位】：西北农林科技大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：X799.3;F323.6
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本文编号：1922445