政策工具视角下上海生活垃圾分类政策文本量化

A quantitative analysis of Shanghai municipal solid waste classification policies from the perspective of policy instruments

上海作为中国生活垃圾分类的先行城市,在生活垃圾分类政策的实践中具有代表性和典型性。本文基于政策工具理论,采用内容分析法,以31份上海生活垃圾分类政策文本为样本进行定量研究,从政策工具和生活垃圾分类活动两个维度构建了分析框架,按照定义分析单元、政策工具编码、频数统计分析等步骤,对政策文本进行计量和分析。结果发现:①上海生活垃圾分类政策具有政府重视程度高、多部门合作、注重政府引导等特点,有助于上海在垃圾分类的政策执行中缓解政策执行惰性、减轻部门壁垒、推动社会主体积极参与。②现阶段政策工具的设计与运用还存在不足,一方面,政策工具的结构不均衡,环境型政策工具过溢、供给型政策工具不足、需求型政策工具短缺,不利于垃圾分类政策的可持续执行,同时其下各类子工具的不合理使用导致政策资源浪费;另一方面,垃圾分类活动中政策工具的运用缺少侧重,难以与当下的垃圾分类现实相配套。并据此提出了加大需求型政策工具的运用、注重政策工具在各个阶段合理使用等政策建议。

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.