【作者】 田华文；

【导师】 魏淑艳；

【作者基本信息】 东北大学 ， 行政管理， 2018， 博士

【摘要】 近年来我国各大城市正面临或即将面临垃圾围城的窘境,青岛市就是其中的代表。随着认识的不断深入,人们已经意识到城市生活垃圾治理问题的复杂性,不是单靠最末端技术及工艺的改进所能解决,而应是一个包含从源头到最终处置、需要调动社会各方力量参与的综合的治理过程。借助产品生命周期理论,把握“消费”这一关键节点,可以把城市生活垃圾治理分为前端治理和末端治理两个环节。围绕“减量化、资源化和无害化”的主要目标,城市生活垃圾前端治理的关键点是资源性垃圾的回收,末端治理的关键点是垃圾分类。本文研究的目的,是要解决青岛市的城市生活垃圾治理问题,上述两个关键点就是主要的研究对象。分析解决复杂的公共问题首先要有适宜的理论工具。20世纪80年代以来,政策网络作为一个新的研究领域进入人们视野,并迅速引发研究热潮。进入90年代,随着研究的不断深入,政策网络已不仅被作为政策分析的模型,更是可应对现代复杂社会的治理工具,是传统治理形式的理想替代。作为治理工具的政策网络被认为有善于解难题的优势,擅长于分析解决复杂公共问题。在西方理论的基础上,结合我国实际可概括网络治理的分析框架。基于分析问题的基本逻辑顺序,认知已存在的网络是分析研究的第一步;原始的网络并不会必然导向理想的结果,因此如何运用网络,尽大可能的发挥其优点,采取必要措施弥补其缺陷则是下一步的重要工作;根据渐进主义的逻辑,网络的完善应是渐进调适的过程,因此要不断检查网络以发现其不足。根据上述理念,政策网络治理的分析框架可包含3个环节:网络描述、网络管理以及网络检查。根据西方学者的研究,政策网络最基本的元素包括行动者、行动者之间的关系以及网络规则等,这也是认识及管理网络的主要维度。鉴于此,处于分析的方便上述每个环节都从3个分析维度入手,如网络描述包含行动者、行动者间的关系以及网络规则;网络管理包含管理者、行动者管理以及网络规则管理;网络检查包含管理者自查、行动者检查以及网络规则检查等。本文以案例研究为主要研究方法,使用网络分析的理念,借助上述分析框架对青岛市城市生活垃圾的治理状况进行分析,可以发现其存在的一些主要问题:治理网络本身存在重要行动者缺失,主要行动者动力不足以及受利益驱使过于明显等问题;网络管理的措施难以持续,网络检查环节缺失,等等;末端治理阶段则存在重要行动者持续动力不足;行动者之间缺乏深层次互动;网络规则过于依赖行政主导,网络管理和网络检查缺失等问题。对这些问题背后的原因进行分析,可发现前端治理阶段的问题是由制度设计不合理,社会的前端治理意识和环境意识不足,缺乏合理的网络设计以及政府支持力度不足等原因造成;末端治理阶段的问题可归咎于制度本身的缺陷,复杂的人口状况,既有的政府体制和行政传统,高昂的治理成本以及社会组织的发育不足等。对国(境)外的成功案例进行分析可得到解决问题的思路和启示。德国的前端治理和台北的末端治理都是经典的案例,使用网络治理的分析框架对两个案例进行详细拆解,可提炼出可资借鉴的经验。如德国的案例表明生产企业的参与,第三方机构,明确的责任和义务以及市场导向为主的规则是前端网络治理成功的关键:台北的案例则说明完善的制度设计、公众及社会组织的积极参与以及市场主导的网络规则等对成功的末端网络治理必不可少。基于以上经验和前述分析,可得到完善青岛市城市生活垃圾网络治理的对策建议。前端治理方面:成立第三方机构作为管理者;通过引入生产者责任延伸制度、押金返还制度等激活潜在的行动者;通过大力宣传和教育在全社会树立前端治理意识,提高公众的环境意识,大力扶持静脉产业等提高主要行动者的积极性;设计科学的网络规则等。末端治理方面明确政府作为管理者的地位;通过合理的收费制度,完善的奖惩制度和监督制度,加强政府自身建设,大力培育社会组织等措施提高各行动者的积极性;构建科学的网络规则,形成常态化的网络检查机制,等等。本文的创新之处:一是构建了网络治理的分析框架;二是在对垃圾治理环节进行科学划分的基础上提出前消费阶段的治理也即是前端治理的概念;三是提出了生产企业应参与城市生活垃圾治理的观点;四是基于案例研究设计和完善了适合青岛市的城市生活垃圾治理网络。本文的研究是国内政策网络及网络治理研究领域的一次大胆尝试,在厘清理论脉络的基础上提炼分析框架并用于解决实际问题,或可为国内同行在该领域的研究带来一些启示并起到抛砖引玉之效果;另一方面本文的研究结论可为青岛以及其他相类似的城市解决受困已久的垃圾围城问题提供思路,为治理模式的设计和相关政策的制定提供理论基础和智力支持。更多还原

【Abstract】 In recent years.China’s major cities are facing or about to face the dilemma of garbage siege.With a progressive awareness,people are realizing the problem of urban garbage management.It cannot be solved only by the improvement of terminal technology.Rather it should be comprehensive management process,from the very beginning to the end,mobilizing all possible forces.By virtue of the product life-cycle approach and making good use of "consumption" as a key factor,the municipal household waste governance can be divided into the front-end governance and the end of governance.Focusing on "Reduction,recycling and harmlessness",the key point of fore-end governance is the recycling of resource while the key point of terminal governance is garbage classification.The purpose of this paper is to solve the problem of municipal household waste governance in Qingdao.The two key points above are the main research object.To analyze and to solve the complicated public issues,we should firstly adopt a suitable theoretical tool.Since the 1980s.policy network as a new field of study attracted public attentions and led to a research boom.In the 90’s,with the deepening of research,policy network has not only been used as a model of policy analysis,but also as a governance tools to deal with the complex modern society.It is an ideal alternative of traditional governance.The policy network as a governance tool is considered to have an advantage of solving difficult problems and it is also good at analyzing and solving complex public problems.On the basis of the western theories and China’s practical situation we can summarize the analysis framework of network governance.According to the basic logic order of problem analysis,the first step is to recognize the existing networks.The original network will not necessarily lead to the desired result.So how to use the network,to make the most of it and to take necessary measures to make up for its disadvantages is the most important task to carry out.According to the logic of gradualism,the perfection of the network should be a process of gradual adjustment.So it is necessary to constantly check the network to find its deficiencies.According to the concepts above,the analysis framework of policy network governance contains three links:network description,network management and network checking.According to the study of Western scholars,the basic elements of policy network include actors,the relationship between actors,and network rules.This is also the main dimension of understanding and managing the network.Therefore,for the convenience of analysis,each of these links starts with three analytical dimensions:Network Description including actors,relationship between actors,and network regulations;Network Management including administrators,actor management and network regulation management;Network Checking including administrator self-check,actor check and network regulation check and so on.This paper takes case study as the main research method.With the above analysis framework and using the concept of network analysis,the paper analyzes the governance situation of municipal household waste in Qingdao and finds some of its main problems.In network governance itself,problems include the lack of key actors,and main actors short of drives and are driven too much by personal interests and so on.Network management measures are difficult to sustain and network check link missing are also main problems.At the end of the governance stage,there are also many problems such as the lack of sustained motivation of important actors,the lack of deep interaction between actors,network rules are too dependent on political dominance,lack of network management and network check and so on.Analyzing the reasons behind these problems we can find that in the front-end governance stage,the problems include unreasonable system design,lack of social awareness and environmental awareness in the front-end,lack of a reasonable network design and government support and other reasons.The problems at the end of governance can be attributed to the flaws of the system itself,complex demographic situation,existing government system and administrative traditions,high governance costs and the underdevelopment of social organizations and so on.An analysis of success foreign stories may provide a solution to the problem:Germany’s front-end governance and Taipei’s end of governance are classic cases.Studying the analysis framework of the network governance of the two cases in detail,we can draw some experience.The German case shows that the participation of production enterprises,third parties,clear responsibilities and obligations and market-oriented rules are the key to the success of front-end network governance.Taipei’s case illustrates that comprehensive institutional design,active participation of the public and social organizations,and market-led network rules are essential for successful end-of-network governance.Based on the above experience and analysis,we can get the countermeasures to improve the governance network of municipal household waste governance in Qingdao.In the front-end governance,we should set up a third party as a manager;activate potential actors by introducing a producer responsibility extension system and deposit return system.Through vigorously propaganda and education we can establish front-end governance awareness in the whole society,improve public awareness of the environment and vigorously support the vein industry to improve the enthusiasm of the main actors and design scientific network rules.At the end governance we should ensure government’s role as main manager.We should establish proper charging system as well as perfecting reward and supervision system.We should reinforce government’s self-construction,initiating social organizations to encourage the enthusiasm of the actors so as to build scientific network regulations,leading to a regular network checking system,and so on.The innovation of this paper includes four points.The first is to construct the Analytical Framework of Network Governance.The second is to put forward the concepts of governance in the former consumption stage,which is the concept of front-end governance based on a scientific division of the garbage control process.Three,put forward the view that production enterprises should take part in the treatment of municipal household waste.The last is to design and improve the governance network of household waste in Qingdao based on the cases.This paper is a brave attempt in domestic policy network and network governance research.On the one hand,on the basis of clarifying the theoretical context,it refines the analytical framework and try to solve practical problems.This might serve as an inspiration and bring up some better achievements from peers in this field in China.On the other hand,the conclusion of this paper can provide ideas for Qingdao and other similar cities to solve the long-troubled garbage siege problem,and provide theoretical basis and intellectual support for the design of governance model and the formulation of relevant policies.更多还原