政策工具视角下上海生活垃圾分类政策文本量化

doi:10.18402/resci.2021.11.07

Abstract

Abstract:

As a leading city in the classification of municipal solid waste in China, Shanghai is representative and typical in the practice of domestic waste classification policy. Based on the policy instruments theory, this study adopted the content analysis method and conducted a quantitative analysis on 31 municipal solid waste classification policies of Shanghai by building an analytical framework, defining the unit of analysis, encoding, and conducting statistical analysis. The sample policies were analyzed from two dimensions of basic policy instruments and waste classification activities. The study found that: (1) The municipal solid waste sorting policy in Shanghai is characterized by high level of government attention, multi-department cooperation and emphasis on government guidance, which are conducive to easing policy inertia, alleviating sectoral barriers and promoting active participation of social subjects in the policy implementation. (2) There are some shortcomings in the design and application of policy instruments. On the one hand, the structure of policy instruments is unbalanced, which is reflected in the over-supply of environmental policy instruments, insufficient supply-oriented policy instruments, and shortage of demand-oriented policy instruments, leading to unsustainable policy implementation. Unreasonable use of various sub-instruments leads to the waste of policy resources. On the other hand, policy instrument application without a clear focus cannot match with current situation of waste sorting. Based on these results, policy recommendations such as increasing the use of demand-oriented policy instruments and focusing on the rational use of policy instruments at all stages were put forward.

Key words: municipal solid waste classification policies, policy instruments, policy text, content analysis, quantitative analysis, Shanghai Municipality

SUN Yan, HU Ming, ZHANG Bei. A quantitative analysis of Shanghai municipal solid waste classification policies from the perspective of policy instruments[J].Resources Science, 2021, 43(11): 2224-2235.

Figures/Tables 7

Figure 1

Table 1

The list of municipal solid waste classification policy text of Shanghai

序号	政策名称	发布年月
1	《上海市生活垃圾计划管理办法》	2005.1
2	《上海市生活垃圾末端平均处置费管理暂行办法》	2005.4
3	关于对生活垃圾转运码头等作业场所委托监管的通知	2007.11
4	关于进一步开展本市居住区生活垃圾分类新方式试点工作的通知	2007.12
5	《上海市生活垃圾计量管理办法》	2008.6
6	关于进一步加强本市生活垃圾管理若干意见	2010.3
7	《上海市城市生活垃圾收运处置管理办法》	2010.12
8	关于开展生活垃圾分类减量试点工作的指导意见	2011.2
9	关于做好推进本市生活垃圾分类促进源头减量宣传工作的指导意见	2011.3
10	《上海市公园生活垃圾分类减量工作指导意见》	2012.6
11	关于做好2013年本市各级各类学校生活垃圾分类减量及宣传教育工作的通知	2013.6
12	《上海市促进生活垃圾分类减量办法》	2014.2
13	关于进一步加强本市生活垃圾焚烧飞灰环境管理的通知	2016.7
14	关于做好居住区生活垃圾分类减量工作的通知	2017.6
15	关于推进本市党政机关等公共机构生活垃圾分类工作的通知	2017.11
16	《关于建立完善本市生活垃圾全程分类体系的实施方案》	2018.2
17	关于建立健全本市生活垃圾可回收物回收体系实施意见	2018.3
18	《上海市生活垃圾分类达标、示范街道(镇、乡)考评办法》	2018.4
19	关于进一步加强医疗机构医疗废物和生活垃圾管理的通知	2018.8
20	关于进一步推进本市党政机关等公共机构单位生活垃圾分类工作的通知	2018.8
21	关于规范生活垃圾分类有害垃圾全程管理的通知	2018.10
22	《上海市生活垃圾管理条例》	2019.1
23	关于印发贯彻《上海市生活垃圾管理条例》推进全程分类体系建设实施意见的通知	2019.2
24	《上海市可回收物体系规划实施方案》	2019.4
25	《上海市生活垃圾定时定点分类投放制度实施导则》	2019.5
26	关于发挥本市社区治理和社会组织作用助推生活垃圾分类工作的指导意见	2019.5
27	《关于拒绝收运分类不符合标准生活垃圾的操作规程(暂行)》	2019.6
28	关于做好物业管理区域生活垃圾分类投放工作的通知	2019.6
29	《上海市单位生活垃圾处理费征收管理办法》	2019.7
30	《本市生活垃圾清运工作指导意见》	2019.8
31	关于进一步做好本市物业管理区域生活垃圾分类管理工作的通知	2019.8

Table 1

Table 2

Figure 2

Table 3

Two-dimensional distribution table of Shanghai municipal solid waste classification policy instruments

		投放	收集	运输	处置
供给型	基础设施	8-3-2,10-3-1,18-3-1-1-3,23- 3-1	4-3-2,4-5-3,5-4,10-3-2,12- 19,14-2-3,15-2-2,16-2-3-2, 16-3-3,17-3-1,18-3-1-1-3, 19-1-2,21-2,21-4,22-14,22-15, 22-26,23-3-2,24-2-1,25-3-2, 25-5-2-1,28-2-4,31-3	4-3-3,4-5-3,5-4,10-3-2,16 -2-3-2,16-3-3,17-3-1,18-3 -1-1-3,21-3,23-3-2,24-2- 1,25-5-2-1,30-3,31-2	5-4,6-3-2,13-1,16-2-4- 2,23-3-3
	科技支持	20-3-1,22-10,26-3-6	6-4-4,16-3-5,22-10,24-2-4,26-3-6	6-4-4,22-10,23-3-2, 30-3	6-4-4,16-3-5,20-3-1,22-10,26-3-6
	资金投入	8-5-3	7-4,8-5-3	7-4,8-5-3	2-6,2-7,2-8,6-4-1,7-4,22-13
	人力保障	1-4,4-5-1,8-3-3,8-3-4,10-3- 5,10-4-1,11-5,12-4,12-6, 12-17,14-3-1,18-3-1-2-2,22-5,22-25, 22-41,22-42,22-46,23-3-1,25-3-1,25-5-1-1, 26-3-3,26-5-4,28-3-1	4-5-1,5-2,7-5,12-4,12-6,16-2-3-1-2, 18-3-1-2-2,22-5,22-41,22-46,25-3-1, 26-5-4	3-3,4-5-1,5-2,5-8,12-4,12-6,16-2-3-1-2, 18-3-1-2-2,22-5,22-41,22-46	2-4,4-5-1,5-2,5-8,7-3,12-4,12-6, 22-5,22-41,22-46
	公共服务	19-3,22-23	7-20,7-21,10-3-3,19-3,27-1	7-20,7-21,10-3-3,19-3,27-1	7-20,19-3
环境型	目标规划	6-2-2,8-2,9-1,10-1,12-7,15-1-3,16-1-3, 20-2,22-11,22-12,23-1-2	6-2-2,8-2,10-1,16-1-3,17-2,20-2,22-11, 22-12,23-1-2,24-1	6-2-2,8-2,10-1,16-1-3,20-2,22-11, 22-12,23-1-2,24-1	6-2-2,10-1,12-7,15-1-3,16-1-3,20-2, 22-11,22-12,23-1-2
	法规管制	6-4-3,12-14,12-32,12-33,16-2-1-4,16-3-2, 22-54,22-56,22-57,22-62,23-2-2,27-3	6-4-3,7-11,7-22,7-26,12-32,12-33,16-3-2, 22-29,22-30,22-54,22-58,22-59,22-60, 22-62,23-2-2	5-10,6-3-2-4,6-4-3,7-11,7-22,7-26,12-32, 12-33,16-3-2,22-29,22-30,22-54 ,22-58,22-59,22-60,22-62,23-2-2	5-10,6-4-3,7-16,7-22,7-26,12-33,16-3-2, 22-33,22-34,22-54,22-56,22-59, 22-62,23-2-2,29-13
	监督考核	4-5-2,8-3-5,10-4-3,11-6,12-30,14-3-2 ,15-3-3,16-3-4,18-3-1-2-4,19-2,20-4-3, 22-45,22-48,22-53, 23-4-2,25-5-2-3,26-4-2,28-3-2	4-5-2,6-4-5,7-23,7-24,12-30,14-3-2,16-3-4, 17-4-2-2,18-3-1-2-4,20-4-3,22-45,22-48, 22-53,23-4-2,24-2-5-1,26-4-2,28-3-2	4-5-2,5-9,6-4-5,7-23,7-24,12-30, 14-3-2,16-2-3-1-3,16-3-4,18-3-1-2-4, 20-4-3,22-45,22-48,22-53,23-4-2 ,28-3-2,30-8	2-10,4-5-2,5-9,6-4-5,7-23,7-24,12-30, 13-5,16-3-4,20-4-3,22-45,22-48, 22-49,22-53,22-61,23-3-3,23-4-2
	宣传引导	4-5-3,4-5-4,6-4-6,8-5-4,9-2, 10-3-5,11-2,12-24,14-2-6,15-3-2,16-3-6, 18-3-1-1-4,19-1-3,20-4-4, 21-2,22-9,22-27,22-40,23-4-3, 25-5-1-4,25-5-2-2,26-3-4, 27-3,28-2-7,30-8	21-2,25-5-1-4	25-5-1-4,30-8	6-4-6,22-9,22-40
	经济杠杆	1-13,10-3-5,11-4,16-2-2-2,16-3-3,23-3-2, 23-5-3	21-3	21-3	4-5-3,6-4-2,7-17, 22-7,29-8,29-10
	源头减量	1-5,6-3-1,12-10,12-11,12-12,20-3-2,22- 17,22-19,22-21,22-22,23-4-1
需求型	政府采购	12-25,15-3-1,16-2-2-2,22-42, 25-6-2,26-4-3	7-9,17-3-2,22-28,22-42,24-2-5-2, 26-4-3	7-9,22-28,22-42,26-4-3	7-13,21-4,22-28,22-42,26-4-3
	回收补贴		17-3-3,24-2-2		12-28,16-3-3,22-52,23-5-1
	资源利用				6-3-2,10-3-3,13-7,16-3-3,20-3-3,20-3-4, 22-20,22-35,22-37,22-38,22-39,23-5-2

Table 3

Table 4

Table 5

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序号	政策名称	政策文本内容分析单元	编码
1	《上海市生活垃圾计划管理办法》	第四条实行市、区（县）、街道（镇）三级对生活垃圾计划管理,各级市容环境卫生管理部门是生活垃圾计划管理的责任主体。生活垃圾计划管理逐步向物业公司、辖区内企事业单位等生活垃圾产生源延伸,无法延伸的管理区域仍由居委会或村委会等承担	1-4
2		第五条鼓励单位、居民在消费时,对具有回收利用价值的废弃物进行分类回收,单位在生产、流通领域应采取适当的措施减少生活垃圾产生量,有效控制进入处理系统的生活垃圾排放量	1-5
3		第十三条市局依据各区（县）生活垃圾计划管理情况,根据《上海市单位生活垃圾处置费征收管理暂行办法》核定的基数,对生活垃圾排放总量平衡实施减量奖励与超量增收政策,基数内减量适量奖励,基数外溢出排放超量增收,奖励和增收措施逐层落实	1-13
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A quantitative analysis of Shanghai municipal solid waste classification policies from the perspective of policy instruments

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类型	工具名称	数量/条	占比/%	总占比/%
供给型	基础设施	34	40.00	36.17
	科技支持	8	9.41
	资金投入	7	8.24
	人力保障	30	35.29
	公共服务	6	7.06
环境型	目标规划	13	10.83	51.06
	法规管制	27	22.50
	监督考核	30	25.00
	宣传引导	25	20.83
	经济杠杆	14	11.67
	源头减量	11	9.17
需求型	政府采购	12	40.00	12.77
	回收补贴	6	20.00
	资源利用	12	40.00
合计		235		100.00

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