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题名: 利益相关者视角的污染地块管理研究:认知剖释、政策分析与可持续评价
作者: 李笑诺1
学位类别: 博士
答辩日期: 2017-05
授予单位: 中国科学院大学
授予地点: 北京
导师: 陈卫平
关键词: 污染地块管理,政策分析,公众认知,土地再利用,可持续评价 ; Contaminated site management, Policy analysis, Public perception, Land reuse, Sustainability analysis
其他题名: Study on Contaminated Site Management in the Perspective of Stakeholders: Perception Recognition, Policy Analysis and Sustainability Assessment
学位专业: 生态学
中文摘要: 近年来,日益突出的土壤污染已严重威胁到生态环境、人体健康和社会经 济的可持续发展,引起世界各国各阶层的广泛关注。其中,城市布局改造和产 业结构调整遗留下来的工业地块,由于存在环境污染、土地供需矛盾、社区衰 退和空间破碎等隐患,严重阻滞了城市发展的可持续性,成为当前土壤污染防 治的重点领域之一。我国目前仍处于污染地块管理的起步阶段,虽然在中央政 府决策部署和各地区、各部门的积极努力下,在法规标准制定、修复技术研发 和工程示范等方面已经开展了大量工作并取得了有效进展,但也必须意识到, 起步晚、污染状况复杂、管理体系不完善等诸多挑战,在很大程度上增加了开 展污染地块管理工作的难度。 本文从时间、区域和体系等多个维度对我国污染地块现行管理政策的历史 沿革及应用现状作了系统梳理;从行业专家的角度对典型城市的政策表现开展 了访谈调研和模糊综合评价模型的量化分析,识别了政策制定、政策落实和政 策结果等政策全生命周期各个阶段的薄弱环节,并探索了环境管理政策的定量 评估方法;从社区居民的角度开展问卷调查,掌握了社区居民对污染地块相关 管理工作的基本认知情况,并构建结构方程模型,深入分析了导致其认知水平 差异的影响因素;从可持续管理的角度系统解读了英国棕地可持续管理的理念、 方法,建立了棕地再利用的综合效益评价框架;最后针对我国污染地块管理面 临的挑战,提出了系统全面的土壤污染防治技术体系概念模型和配套落实的可 持续管理建议。主要研究结论为: (1)从中央层面和地方层面对我国污染地块管理主要政策的趋势演变、框 架体系特点和典型城市的政策响应态度、具体管理措施进行了系统分析。结果 表明,污染地块管理政策随环境热点问题具有明显的阶段性特点,表现为以原 则立法为核心的起步阶段(1979~1982年)、以土壤污染预防为核心的扩展阶段 (1983~2003年)、以污染土壤修复为核心的快速发展阶段(2004~2010年)和 以重金属污染防治及场地全过程管理为核心的高峰期(2011年至今)。随时间 发展和经验积累,涵盖污染预防、场地调查、风险评估、工程修复与验收的污 染地块管理体系日趋完善,但仍存在缺乏专项立法、行业市场无序、责任机制 不明确等问题,严重影响了场地管理的规范性。我国 31个省市地区(除港澳台) 在应对污染地块管理上共性与特性并存,虽然在政策发布和机制落实等方面存 在明显的地区差异,但在响应态度积极性、政策目标明确性、政策手段多样化 和部分政策机制强制执行等方面表现一致。由于地区政策是在中央思想指导下 因地制宜地具体细化,因此其表现出的政策薄弱环节与中央政策体系相似。 (2)对典型城市(成都、北京、长沙、重庆和上海)的利益方(研究人员、 政府部门和企业)就污染地块管理政策的全生命周期表现开展了面对面访谈和 模型量化评价。结果表明,各地区的污染地块管理存在区域差异但不明显,政 策综合表现的相对优劣排序依次为长沙、上海、成都、重庆和北京,各城市虽 然政策执行力度较大(1.403~1.733),但政策制定方面(0.325~0.352)的差强人 意导致政策结果(0.561~0.703)并不理想。与预期结果不同,重庆和北京作为 我国污染地块管理的领军城市,政策评估结果反而相对劣于其它三个城市。另 外,各地由于实践基础条件和评估者水平的差异,在不同的政策阶段和不同的 评估指标上表现出不同的优劣势,可作为完善本地区薄弱环节或为其他地区提 供有益借鉴的合理依据。例如北京和重庆等地完善的政策体系、长沙和重庆等 地明确的从业资质界定、上海等地丰富的实践修复经验等。 (3)对典型城市(上海、沈阳、广州、兰州、重庆、北京、武汉、株洲和 杭州)污染地块周边居民的土壤污染认知水平进行了系统调查和影响因素分析。 结果表明,九个城市公众的认知水平存在区域差异但不显著。受访居民已认识 到土壤污染的严重性和治理修复的必要性,但对土壤污染的关注 (9.41%~17.3%)普遍低于大气污染(22.63%~31.9%)、水污染(17.68%~25.69%)、 噪声污染(12.07%~21.30%)和废弃物污染(14.56%~21.40%)。加上环保部门 在信息公开、宣传教育和鼓励公众参与等方面的执行力度有限(分别为 5.9%~26.8%、7.5%~23.8%、7%~17.3%),严重影响了居民的了解意愿和参与积 极性,导致其表现出较低的认知水平。另外,对场地修复的支付意愿(零支付 39.9%~58.3%)、土地再利用偏好(公园与绿地占 38.33%~47.58%)和住房购买 意愿(37.9%~76.1%未明确表态)等问题的态度,反映了公众对平等享受社会 福利和城市功能的追求,可作为政府决策的重要依据。进一步筛选代表性样本 建立认知模型检验造成公众认知水平差异的影响因素。结果表明,在影响公民 认知的因素中,“政策了解及执行”因子对公众认知水平的影响最大为 21.476%, 与“政策满意”因子、“土壤污染及迁移”因子、“土壤污染危害”因子、“信息公开” 因子和“主观能动”因子等五个内部因子共同解释 56.786%的认知差异;“城市”、 “污染物类型”、“修复技术”、“修复时间”、“政策等级”、“距离”等六个外部因素 对公众土壤污染认知均产生了显著差异(p<0.05),有机污染、异位修复、距污 染地块居住距离近的居民认知水平普遍较高;信息公开、公众参与和土壤污染 认知等显变量是提高公众认知水平的关键。 (4)对棕地改造的城市公园开展了基于 SuRF-UK可持续管理体系的定性 评价和综合效益定量评价。结果表明,SuRF-UK框架不仅为开展可持续综合评 价提供了有效的技术指南,也是识别最大综合效益干预措施的可靠工具。以此 为评价手段,公园“软再利用”比“封顶长期监测”情景具有更好的环境、社会和 经济综合效益,共维系 50个“压力-机制-受体”可持续纽带,除能实现风险管控、 社区融合、休闲娱乐和生物多样性保护等既定项目目标,还能取得更广泛的水 土保持、资产升值、增加就业等额外效益。综合效益的定量评估并不存在绝对 可行或不可行的方法,除方法本身固有的属性特点外,评估方法的选取还受具 体项目背景、评估效益对象、数据收集、评估者知识背景、个人偏好等因素影 响。针对 PSRP项目背景,选取旅行成本法、成本效益分析开展 26个个体纽带 的货币量化,以多准则分析法代替不确定的定量评估对 24个个体纽带进行半定 量效益评估。尽管评估方法日趋完善和多样化,但由于大多数环境产品和服务 (如清洁空气)不能进行市场交易,不具有真实的市场价格,使得开展棕地“软 再利用”的经济效益评估十分复杂,存在一定的不确定性。 (5)系统梳理我国污染地块管理政策和利益相关者调研的研究结论,结果 表明,土壤污染问题的有效防治首先依赖于完善的法律法规技术体系的指导和 保障。基于此,提出了贯穿污染防治、污染调查、风险评估、治理修复、结果 验收和开发利用全过程的土壤污染防治技术体系概念模型。进一步围绕“土十 条”的工作指导思想,针对我国目前污染地块管理中存在的问题,阐述了切实 落实土壤污染防治技术体系、实现土地可持续利用的有效管理手段,包括加快 专门立法、健全法规标准、开展土壤调查及建立土壤信息数据库、明确各方责 任、公开信息及鼓励公众参与、发挥市场作用及拓宽融资渠道、建立优先修复 目录及分级分类管理、规范行业准入环境和开展土地再利用综合效益评价等九 个方面。
英文摘要: In recent years, the increasingly prominent soil pollution, which are gaining more and more wide concern internationally, have seriously threatened eco-environment, human health and socio-economic sustainable development. The contaminated site in city center caused by industrial restructure is one of the key fields in soil pollution prevention and control, due to its risks in environmental pollution, conflict of land supply and demand, community recession and urban spatial fragmentation. China is currently at the initial stage of contaminated site management. Great efforts have been made in terms of policy making, technology development, project demonstration and implementation led by the central government and facilitated by regions and departments in various level. However, challenges including late action, complicated pollution status, imperfect prevention and control system of soil pollution have greatly increased the difficulty in dealing with contaminated sites. This study systematically analyzed the history development and implementation status of contaminated site management policies in China in terms of timescale, geographical location and legal system; second, interview of policy performance in typical cities in the view of key stakeholders and quantitative analysis by Fuzzy Synthetic Evaluation were carried out for the purpose of identifying policy weakness and exploring environmental policy evaluation methodology; thirdly, questionnaire survey was implemented to community residents to understand their perception on contaminated site management, and structural equation modeling was further established to analyze the influencing factors of perception difference; fourthly, the concept and method of brownfield sustainability management in the UK were specifically introduced to support the development of overall benefit evaluation framework for brownfield reuse; at last, based on the existing challenges in contaminated site management in China, a conceptual model for technique system of soil pollution prevention and control was put forward supported by practical management measures. The main conclusions are: (1) Main contaminated site management policies in China were systematically analyzed at both central and local level to examine the evolvement trendy over time, features of legal system, response to central policies and specific management measures of case cities. The results show that the period soil policies are driven primarily by environmental crises, and can be grouped into four stages, namely the initial (from 1979 to 1982), extension (from 1983 to 2003), rapid (from 2004 to 2010) and peak developments (from 2011) focusing on principle regulation, pollution prevention, soil remediation, and heavy metal pollution and whole process management, respectively. With time going and experience accumulation, a system of contaminated site management covering pollution prevention, site investigation, risk evaluation, remediation project and validation is becoming more and more complete, while, issues such as lack of specific soil law, chaos industrial market and unclear responsibility greatly influence the management efficiency. There are similarity and individuality in dealing with contaminated site issues among 31 provinces and cities in China. On one hand, significant differences exist in policy formulation and mechanism implementation, on the other hand, similarities are exhibited in positive attitude, identified policy goal, various policy instruments and mandatory management mechanism. Considering that regional policies are detailed and specific in regional context, which are developed in accordance with policies of central government, therefore, there are barely difference in disadvantages and advantages. (2) Relative stakeholders (including professionals, government and enterprises) in Chengdu, Beijing, Changsha, Chongqing and Shanghai were interviewed face-to-face to quantify the policy performance covering policy formulation, policy implementation and policy outcome. The results show that regional differences in contaminated site management do exist but not significant. In general, the policy performance from relatively better to worse is sequentially followed by Changsha, Shanghai, Chengdu, Chongqing and Beijing. Though, policy implementation have a pleased performance (1.403~1.733), policy formulation is far from expectation (0.325~0.352) that ultimately results in undesirable policy outcome (0.561~0.703). Unexpectedly, as the leading cities in contaminated site management in China, Chongqing and Beijing are judged with a less-than-ideal performance than other three cities. Additionally, management measures and focus are geographically various due to different regional context and practical situation, for instance, the effective policy system of Beijing and Chongqing, the identified industrial qualification of Changsha and Chongqing, and the practical performance of Shanghai can provide useful guidance for future policy making and site management. However, it should also be recognized that there is yet a number of common ineffectiveness that widely discourage the local management of contaminated sites, such as responsibility and funding mechanism. (3) The residents near contaminated sites in typical cities (Shanghai, Shenyang, Guangzhou, Lanzhou, Chongqing, Beijing, Wuhan, Zhuzhou and Hangzhou) were investigated to understand their pollution perception and influencing factors. The results show that there is perception difference but not significant among nine cities. The respondents have generally realized the severity of soil pollution and necessity of site remediation, however, their attention to soil pollution is much lower than air pollution, water pollution, noise pollution and waste pollution. Additionally, their willing to know more and participation in decision making are highly affected due to poor influence of information disclosure (5.9%~26.8%), outreach and education (7.5%~23.8%) and public participation (7%~17.3%), which, ultimately, lead to poor public perception. The response including major unwillingness to pay for site remediation (39.9%~58.3%), and land reuse preference for green space (38.33%~47.58%) rather than living (0~3.61%) and agriculture (0.44%~5%) are useful for significant government decision. Representative samples were further screened to establish structural equation modeling to examine factors that influence regional perception difference. The results indicate that six internal factors including “policy making and implementation”, “policy satisfaction”, “soil pollution and relocation“, “soil pollution hazard”, “information disclosure” and “individual willingness” can totally explain 56.786% of perception variance, of which, “policy making and implementation” has the greatest influence of 21.476% on public perception. Six external factors including city, pollutant type, remediation technology, remediation time, regional policy response and living distance all had significant effects on public perception, which means, residents living close to sites contaminated by organic pollutants and remediated ex-situ have relatively higher soil perception. Therefore, the perception of these representative samples can provide useful evidence in decision making and are mainly affected by three manifest factors (information disclosure, public participation and pollution perception). (4) The innovative theory of brownfield soft reuse and sustainability assessment in the UK was introduced in this paper to understand the sustainability and resulting social, environmental and economic benefits created by a city park transformed from a former landfill site. The results show that SuRF-UK framework is not only a useful technical guidance for comprehensive qualitative sustainability assessment, but also, a reliable tool to identify intervention that can deliver the most and best benefits. Supported by this, the soft reuse of city park outperforms capping and monitoring intervention in comprehensive benefits with idenfication of 50 sustainability linkages. On one hand, the park has achieved the desires goals of risk management, community cohesion, recreation and biodiversity protection, on the other hand, more extra benefits including water conservation and prevention of soil erosion, uplift of property value and job opportunity are also delivered. There is no absolute good or bad methods for benefit evaluation, except for the inherent properties of valuation methods, the employment of methods are also largely influenced by specific project context, benefits to be measured, available information, knowledge and individual preference of evaluators. In the context of PSRP, travel cost method and cost benefit analysis are suitable for the evaluation of 26 individual linkages in monetary items, while, multi-criteria analysis is employed for semiquantitation. The truth is that, though, assessment methods are becoming more sophisticated and diversified, there are considerable environmental products or services (e.g. clean air) without an identified market price that disables the feasibility and reliability of financial evaluation on brownfield soft reuse. (5) The conclusions of policy analysis and stakeholder survey show that the effective prevention and control of soil pollution greatly depends on the guidance and regulation of a comprehensive policy system. In this sense, a conceptual model covering pollution prevention, site investigation, risk assessment, site remediation, remediation validation and land reuse is necessary for technique system of soil pollution prevention and control. In accordance with the core principle of Action Plan for Soil Pollution Prevention and Control, nine management measures are proposed to facilitate the implementation of technique system and land sustainability development, including soil legislation, complete regulation, soil environment investigation and information database, liability clarification, information disclosure and public participation, market function and financial channel, priority remediation and classified management, industrial access and land reuse valuation.
内容类型: 学位论文
URI标识: http://ir.rcees.ac.cn/handle/311016/38649
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