【作者】 李蓉；

【导师】 渠美；

【作者基本信息】 西北农林科技大学 ， 农林经济管理， 2022， 硕士

【摘要】 随着农户收入增加及生活水平的逐年提升,农村生活垃圾年产生及处理量急剧增加,垃圾种类和分布也变得愈加复杂多样。垃圾分类问题依然是制约农村经济社会发展的短板,不仅对人的身体健康造成危害,而且也成为了生态环境污染的主要因素,阻碍了美丽乡村建设的步伐。为此政府出台了一系列惠农支农政策来试图解决农村生活垃圾分类治理问题,但在政策落实及实际操作过程中仍然存在着垃圾处理方式粗糙,农户实际分类自觉性差,参与度不高等相关问题。究其原因,一方面由于农村生活垃圾分类作为一种小规模公共产品,其投入量相对于城市地区十分有限,而与其他公共产品相比,又处在显著的劣势地位,长期以来忽视了农村人居环境污染问题,同时政府投入的专项环保资金非常有限,导致农村公共产品短缺,农村环境污染加剧。另一方面从理性小农角度出发,农户往往强调个人利益而忽视群体利益,在垃圾分类问题上无法实现个人选择和集体利益的统一。在社会资本存量丰富的中国农村,农户个人行为决策往往会受到周围圈子的影响。同时政府可以将外部社会成本或收益内化到个人的边际成本上来解决公共物品的外部性问题,实现效用的最大化,形成有效集体行动,最终实现垃圾分类治理的目标。因此,本文以社会资本,环境规制作为切入点,探究二者及其交互项对农户生活垃圾分类行为的影响。本文在分析和研究社会资本、农户行为、集体行动,环境规制相关理论的基础上,利用陕西省996户农户调研数据,通过文献分析法,实地调查法及计量分析等方法相结合,分析研究区生活垃圾分类现状,利用因子分析法建立了社会资本和环境规制指标体系,构建了社会资本,环境规制对农户生活垃圾分类影响的理论分析框架,将社会资本提取为社会信任、社会网络,社会规范,环境规制提取为引导规制、激励规制,约束规制,利用Ordered probit模型实证检验社会资本和环境规制对农户生活垃圾分类行为产生影响的内在逻辑和作用路径,验证了环境规制在社会资本和农户垃圾分类行为之间的调节作用,并且进行了稳健性检验,同时基于收入水平的差异性及是否为试点区域进行分群回归,探讨社会资本和环境规制分维度对农户生活垃圾分类行为的差异性影响,在此基础上提出健全农村生活垃圾分类治理机制的政策建议,并指出本研究的不足与展望。本文研究结论如下:(1)当前调研区生活垃圾分类处理能力还有待提高:调研区域中70个村子的分类制度规则,治理模式,基础设施投入及垃圾分类处理各个环节等都存在显著的差异,试点区域的12个村子通过完善的宣传,有力的监督管理机制,紧密的政企合作形成了贯穿垃圾分类整个环节完善的处理体系,农户的垃圾分类意识较高,有较强的垃圾分类认知,同时对生活垃圾分类的细分程度更高,而非试点区域的58个村子中仅有5个村子实施了垃圾分类,基础设施配备较少,没有健全的监督管理机制,农户的环保意识和垃圾分类认知较低,主体行动力较差,因此整体来说当前调研区域农户的垃圾分类参与度和细分程度还有较大提升空间。(2)社会资本对农户生活垃圾分类行为存在正向影响。社会资本总量在1%的统计水平下显著正向影响农户生活垃圾分类行为,不同维度的社会资本均显著正向影响农户生活垃圾分类行为,不同维度社会资本的影响强度略有差异。相较于社会信任,社会网络,社会规范的影响略小,此外在控制变量中农户性别、年龄显著负向影响农户生活垃圾分类行为,农户受教育程度,家庭收入,环境容忍度,环保意识均正向影响农户生活垃圾分类行为。(3)环境规制显著正向影响农户生活垃圾分类行为,环境规制总量在1%的统计水平下显著正向影响农户生活垃圾分类行为,分维度来讲,激励规制和约束规制1%的统计水平下显著的影响农户生活垃圾分类行为,引导规制正向影响农户生活垃圾分类行为,在5%的统计水平下显著。此外在控制变量中农户性别、年龄、对农户生活垃圾分类行为有显著负向影响,农户受教育程度,家庭收入,环境容忍度,环保意识均正向影响农户生活垃圾分类行为。(4)环境规制在社会资本和农户生活垃圾分类行为关系中存在正向调节作用。社会资本和环境规制二者之间的交互项通过了1%统计水平下的显著性检验,分维度来讲,激励规制,约束规制及引导规制与社会资本的交互项对农户生活垃圾分类行为的影响促进作用不存在较大差异,环境规制变量在与社会资本分维度交互回归时,环境规制变量在社会信任、社会规范、社会网络对农户生活垃圾分类行为的影响中均存在显著正向调节作用,且环境规制对社会资本调节作用排序依次为社会信任>社会规范>社会网络。(5)不同收入水平下的分群回归。社会资本的社会信任、社会规范在收入这一约束条件下对农户生活垃圾分类行为呈现出差异化影响路径。社会网络在高收入,低收入组进行分群回归时不存在显著差异。环境规制的约束规制对高、低收入组农户的垃圾分类行为决策的影响路径存在显著差异,而激励规制,引导规制对垃圾分类行为决策的影响在高、低收入组中不存在显著差异。(6)是否为试点区域的分群回归。社会资本中的社会信任对试点、非试点区域农户的分类行为的影响路径不存在差异化。社会网络,社会规范对试点、非试点区域农户分类行为存在显著性差异。环境规制的激励规制、约束规制对试点、非试点区域农户的分类行为决策的影响存在显著差异,而引导规制对试点、非试点区域农户垃圾分类行为决策影响不存在显著差异。更多还原

【Abstract】 As income and living standard of farmers significantly increased,and the rural domestic waste increased dramatically,category is also becoming more complicated,not only cause harm to people’s health,but also become the main factor of ecological environment pollution.Although governments have introduced a series of policies to deal with problems in current domestic waste classification treatment.However,in the process of policy implementation and actual operation,there are still some problems related to coarse garbage treatment methods,weak awareness of farmers in actual classification.For two reasons,on the one hand,due to the rural domestic waste classification as a small public goods,compared with urban areas,the investment is very limited,and compared with other public goods,is another obvious disadvantage,for a long time,because of ignoring the rural residential environment pollution,environmental protection fund government spending is very limited at the same time,causing the shortage of rural public products,Environmental pollution in rural areas has worsened.On the other hand,from the perspective of rational farmers,they tend to emphasize individual interests while ignoring collective interests,which makes it impossible to realize the unity of individual choice and collective interests in waste classification.In China’s rural areas,where social capital is abundant,individual behavior decisions are often influenced by their surrounding circles.At the same time,the government can give full play to the role of environmental regulation,and convert the income or cost of the external environment into the marginal cost of individuals,so as to solve the externality problem of domesic waste classification treatment and finally realize the goal of waste classification treatment.Therefore,this paper takes social capital and environmental regulation as the entry point to explore the impact of the them and their interaction items on household waste classification behavior of farmers.Based on the theoretical analysis of social capital,farmers behavior,collective action,environmental regulation,using the Shaanxi 996 farmer households survey data,through literature analysis,field survey and quantitative analysis methods such as combination of analysis of present situation of consumer waste classification in the study area,using the factor analysis method to establish the index system of social capital and environmental regulation,The theoretical analysis framework of the impact of social capital and environmental regulation on household waste classification was established,and the farmer’s social capital was extracted into social trust,social network and social norms.Environmental regulation can be divided into guiding regulation,incentive regulation and constraint regulation.Using Ordered Probit model to empirically test the internal logic and action path of the influence of social capital and environmental regulation on household waste classification behavior of farmers,verify the moderating effect of environmental regulation on social capital and household waste classification behavior,and carry out the robustness test.At the same time,based on income level differences and whether as a pilot area for clustering regression,explore the social capital and environmental regulation points dimension of farmer behavior influence the difference of the living garbage classification,based on this,advances the optimization of rural living garbage classification governance mechanism of policy Suggestions,and points out the deficiency and prospect of this study.The research conclusions of this paper are as follows:(1)The classification and treatment capacity of research area still needs to be improved: Research rules of classification system in the region in 70 villages,governance model,infrastructure and investment,etc.There are significant differences,the pilot area of 12 village through propaganda,powerful supervision and management mechanism,strong enterprise cooperation formed through garbage sorting whole link complete processing system,farmer’s awareness of garbage classification is higher,has the strong cognitive they sort the garbage,At the same time,household garbage classification has a higher degree of subdivision,while only 5 villages out of 58 villages in the non-pilot area have implemented garbage classification,with less infrastructure and no sound supervision and management mechanism.Farmers have low awareness of environmental protection and garbage classification,and their main action power is poor.Therefore,on the whole,there is still much room for improvement in the participation and subdivision degree of garbage classification of farmers in the current research region.(2)Social capital has a positive impact on household garbage sorting behavior of farmers.At the statistical level of 1%,total social capital has a significant positive impact on household garbage classification behavior of farmers.Total social capital of different dimensions has a significant impact on household garbage classification behavior of rural households,and the impact intensity of social capital of different dimensions is slightly different.Compared with social trust,social network and social norms have a slightly smaller impact.In addition,among the control variables,gender and age of farmers have a significant negative impact on household garbage sorting behavior.Farmers’ education level,family income,environmental tolerance and environmental awareness all have a positive impact on household garbage sorting behavior.(3)Environmental regulation has a significant positive impact on household garbage classification level of farmers.Incentive regulation and constraint regulation have a significant impact on household garbage classification level of farmers at the statistical level of 1%.Guide regulation has a significant positive impact on household garbage classification level of farmers at the statistical level of 5%.In addition,among the control variables,the gender and age of farmers have a significant negative impact on household garbage classification behavior of farmers,while the education level,family income,environmental tolerance and environmental awareness of farmers all have a positive impact on household garbage classification behavior of farmers.(4)Environmental regulation has a positive moderating effect on the relationship between social capital and household waste sorting behavior.The interaction between the social capital and environmental regulation both items passed under the 1% level of statistical significance test,fractal,incentive regulation,constraints,regulation and guide the regulation and the interaction of the social capital of farmers living garbage classification behavior promoting effect does not exist bigger difference,the influence of environmental regulation variable dimension of social capital and the return to interact,The variables of environmental regulation have a significant positive moderating effect on the impact of social trust,social norm and social network on household waste sorting behavior,and the moderating effect of environmental regulation on social capital is in the order of social trust>social norm>social network.(5)Cluster regression under different income levels.Social trust and social norms of social capital show the influence path of travel alienation under the constraint of income.There was no significant difference between high income group and low income group in social network clustering regression.There is a significant difference in the impact path of environmental regulation constraint on the behavior decision-making of garbage classification between the high and low income groups,while there is no significant difference in the impact of incentive regulation and guidance regulation on the behavior decision-making of garbage classification between the high and low income groups.(6)Whether it is cluster regression of the pilot area.There is no difference in the influence path of social trust in social capital on the classified behavior of farmers in pilot and non-pilot regions.Social network and social norms have significant differences in the classified behaviors of farmers in pilot and non-pilot regions.There are significant differences in the influence of incentive regulation and constraint regulation on the classification behavior decision-making of farmers in pilot and non-pilot regions,while there is no significant difference in the influence of guide regulation on the classification behavior decision-making of farmers in pilot and non-pilot regions.更多还原