【作者】 杭正芳；

【导师】 周民良； 李同昇；

【作者基本信息】 西北大学 ， 人文地理学， 2013， 博士

【摘要】 邻避设施,是指一些有污染威胁的公共设施,是城市公共设施中重要的组成部分。近年来,随着中国经济的快速发展和整体经济规模的迅速扩张,各地承受的生态破坏和环境污染日趋严重,由邻避设施引发的矛盾已经成为普通而公开的现象。如何减少邻避设施的负外部性,实现成本-效益对等,找到缓解矛盾冲突的途径是实现社会可持续发展的重要课题。垃圾填埋场通过对资源回收以后无法使用的垃圾进行填埋,清洁人们的居住环境,防止病毒、细菌的滋生和扩散,是现代人类社会不可或缺的垃圾处理设施。但因其“制造麻烦”和“讨人嫌”而成为给周边地区带来环境风险继而引发社会问题的典型的邻避设施。本文以西安市江村沟垃圾填埋场为案例,通过对纳入公众参与的垃圾处理设施的区位分析,研究邻避设施从“邻避”转为“迎臂”的机制。试图通过西安市实证研究和案例分析,系统研究以垃圾填埋场为代表的邻避设施及其社会影响问题,为邻避设施区位选择提供理论支撑,为邻避设施建设达到环境、社会、经济效益的统一提供政策建议和决策参考。基于人文—经济地理学理论,综合运用文献评述、专家咨询、结构化问卷调查、访谈式重点调查、现场踏勘、GIS分析方法,以西安市垃圾填埋场为例,研究邻避设施的区位选择与社会影响。首先概观西安市垃圾处理的整体情况,结合西安市区特性把握西安市垃圾的产生和处理现状以及垃圾填埋场建设情况,继而指出垃圾填埋场建设存在的主要问题;其次从垃圾填埋场的影响因素出发,明确垃圾填埋场区位选择的主导因素及影响机理；第三,通过对满足法律和物理条件的地区进行三次筛选和建设候补地的比选建立垃圾填埋场区位选择的合理程序；第四,回溯西安市江村沟垃圾填埋场区位选择过程,运用本文提出的垃圾填埋场区位选择的方法和程序对西安市垃圾填埋场区位选择进行反评估,探讨基于区域和谐视角的垃圾填埋场区位选择问题；第五,阐述垃圾处理设施的环境风险和社会影响,分析社会、经济效益关系等在垃圾处理场区位选择中的作用效应。进而通过建立垃圾填埋场区位选择的公众“容许率”模型,明确居民和专家对垃圾填埋场的厌恶感与距离的关系；最后,提出垃圾填埋场区位选择在法律建设、区位选择程序、补偿机制、畅通信息渠道、公众参与对象以及环评中公众参与等方面的对策建议。论文主要研究结论如下：(1)明确主导因素及影响机理是以垃圾填埋场为代表的邻避设施区位选择的首要条件。垃圾填埋设施区位选择的主导因素包括环境、社会、经济三个方而,环境方面的因素包括①水文②地质、地形③气候④生物多样性(动植物、生态系统)；社会方面的因素包括①居民的风险认知②居民的厌恶感③与居民的沟通：经济方面的因素包括①垃圾运输距离②场地征用费③居民拆迁费④填埋场的建设费用。(2)合理的区位选择对于消除民众对垃圾填埋场建设的疑虑和担心,实现环境、经济和社会效益至关重要。垃圾填埋场合理的区位选择程序要按照法律规定、物理条件、规避设施等进行三次筛选,排出候补地区优先顺序,在此基础上,对区位选择阶段地下水污染的风险进行评价,最后使用层次分析法确定最佳候补地区。(3)根据垃圾填埋场区位选择程序与方法对西安市垃圾填埋场区位选择进行反评估,通过三次筛选及运用AHP综合评价后,得到垃圾填埋场候补地区排列顺序为江村沟、小沟、月登阁。(4)与居民达成共识的条件是“传达和共享正确的信息”以及“提供达成共识的场所”。垃圾填埋场区位选择过程中的公众参与是提供正确信息并进行沟通的有效方式。公众参与涉及到参与对象、参与程度等。在垃圾填埋场区位选择过程中,适时、适当的召开说明会并公开相关信息非常重要。通过互联网等方式开设专家解释和说明的窗口或者就设施建设设置一些问答栏目等是即时传递正确信息和为公众提供表达诉求渠道的有效手段。(5)垃圾处理设施既伴随环境风险,同时也会带来社会影响。在对垃圾处理场的风险认知方面,居民对填埋场的风险认知最影响是否赞同填埋场所选地区；在垃圾处理场伴随的社会影响方面,土地利用变化和资产价值变化是评价社会影响的两个因素,在垃圾填埋场周边建造福利设施以及建立一定的经济补偿机制是区位选择时与居民沟通并达成共识的有效手段。(6)定量描述垃圾处理设施距离和居民容许率的关系对于把握设施区位选择时的利害关系者、限定补偿对象是有用的。通过对西安市区居民和专家进行意识调查明确了两者对于垃圾处理设施的容许距离。由于居民对垃圾中转站的作用不了解、加之未考虑收集搬运费用等项目建设成本等原因,其对垃圾处理设施设置距离的想法未免偏颇。而从专家方面来看垃圾处理设施配置的决定因素除了邻避效应以外,还包括空气污染等环境因素、收集搬运费用等经济因素,不愿建在自家门口的心理人皆有之,但是考虑到技术、经济、环境等各方面条件时,专家对于垃圾处理设施的意识更趋于理性、也更具备可行性。本文属跨学科研究,力图整合多学科理论和方法交叉创新。创新之处主要体现在：①系统提出了基于环境风险考量和纳入公众参与的垃圾填埋场区位选择程序和方法：②运用合理的区位选择程序对典型建设项目进行反评估,验证了基于环境风险考量的垃圾填埋场区位选择程序与方法的有效性；③通过居民对垃圾填埋场厌恶感与距离之间关系的研究,为判断邻避设施区位选择的社会影响和定量把握其影响范围提供了依据。更多还原

【Abstract】 NIMBY facilities, though pose some threat of pollution, are an important of city public facilities. In recent years, with China’s rapid economic development and the rapid expansion of the overall economic scale, a number of regions are faced with more and more serious ecological destruction and environmental pollution and the contradictions caused by NIMBY facilities have become a common and open phenomenon. Therefore, it is an important task to reduce the negative externality of NIMBY facilities, realize cost-benefit equivalence and find ways to ease the contradictions so as to realize the sustainable development of society. Landfills are indispensable in modern human society as they bury unusable garbage after resource recovery, clean people’s living environment and prevent the breeding and diffusion of viruses and bacteria. But as they "make trouble" and are a nuisance, they bring environmental risks to the surrounding areas, they are typical of NIMBY facilities causing social problems.Taking Jiang Cun Gou Landfill in Xi’an City as the case, this thesis studies the mechanism of changing NIMBY facilities from "NIMBY" to "YIMBY" by analyzing the location selection of garbage disposal facilities with public participation. Through research and case analysis of Xi’an City, this thesis attempts to give a systematic research to NIMBY facilities representative of landfills as their social influence so as to provide not only theoretical support to location selection of NIMBY facilities but also policy suggestions and reference to achieve the unity of environmental, social and economic benefits for the construction of NIMBY facilities.The thesis analyzes the location choice and social influence of NIMBY facilities based on humanistic economic geography, an integrated use of literature review, expert consultation, a structured questionnaire, interview-fashioned key investigation, site reconnaissance and the GIS method by taking the landfill of Xi’an city as an example. First, influential factors of landfills are listed to clarify the dominant factors and influential mechanism landfill location choice; Second, a reasonable procedure of landfill location choice is established through three selections among sites meeting legal and physical conditions and comparison of alternate areas of landfills; Third, main existing problems are pointed out in the construction of landfills based on the overall situation of waste treatment in Xi’an City, combined with the characteristics of garbage producing and processing as well as the construction of landfills in Xi’an city; The Fourth part offers the environmental risks and social impact of waste treatment facilities and analyzes the effect of social and economic benefit in the location choice of garbage disposal fields. And then, through the establishment of public "allowable rate" model of landfill location choice, the relationship between the disgust of residents and experts and the distance of landfills is pointed out; The fifth part reviews the process of Jiang Cun Gou Landfill of Xi’an City being selected as the location, applies landfill location selection methods and procedures proposed in this paper to back assess the location selection of landfills n Xi’an City and discusses landfill location selection from the perspective of regional harmony; Finally, the thesis proposes countermeasures and suggestions towards landfill location selection in legal construction, location selection procedures, compensation mechanism, smooth information channels, public participation in EIA and other aspects. The main research methods include literature retrieval, expert consultation method, GIS method, interview and structured questionnaire and interview-fashioned key investigation. The main conclusions are as follows:(1) It must be clarified that the dominant factors and influential mechanism are the primary conditions in the location selection of NIMBY facilities representative of landfills. The dominant factors include three aspects in environment, society and economy. The environmental factors include hydrology, geology, topography, climate and biodiversity (animals and plants, the ecosystem); social factors include risk perception and disgust of residents and communication with them; economic factors include the garbage transport distance, cost of site acquisition and the relocation of residents and the construction cost of landfills.(2) To dispel doubts and worries from the public and to realize the joint profits of environment, economy and society, the choice of a landfill’s location is crucial. The process of choosing the site of a landfill is to sift through potential areas three times according to the law, physical conditions and NIMBY in order to give priority of the most appropriate alternative areas. Based on the results, we should assess the risk of groundwater pollution of these areas. Finally, AHP is adopted to decide the best alternative area.(3) Anti-evaluation of the location selection of landfills is applied to location selection in Xi’an. After three rounds of location selection and risk assessment of groundwater pollution, AHP is used to evaluate the appropriate alternative areas in Xi’an, namely, Jiangcun Gou, Xiao Gou and Yue Deng Ge.(4) The condition of reaching a consensus with the public is to convey and share the accurate information and provide an opportunity for better communication. Public participation is an effective way in the process of location selection. Public participation involves participants and the degree of participating. It’s important to hold explanation sessions and announce related information in time. To deliver the accurate information, achieve better commutation and provide an opportunity for the public to express their opinions, we should open some expert columns as well as Q&A columns on the Internet and other publications.(5) Waste disposal facilities lead to environmental risks and social influence. In terms of risk awareness of disposal facilities, the risk awareness of landfill from the public plays the most important part in selecting the location of alternative areas. In terms of social influence of landfills, changes in land utilization and assets value are the two factors which influence society. Therefore, the construction of welfare facilities around the site and financial compensation are the effective ways to reach an agreement with the residents when it comes to choose the location of a landfill.(6) It is useful to describe quantitatively the distance of waste disposal and the approval rate of residents in terms of balancing interests and defining compensation objects. Through making research, we have found out the allowable distance of waste disposal facilities between the residents and experts in Xi’an. Due to the unawareness of the function of the waste disposal facilities as well as collection, transportation and other project construction costs, some residents may have judgments on the distance of waste disposal facilities. However, professionals believe that beside NIMBY effect, there are environmental factors, like pollution and economical factor, like transportation cost. Everyone hopes that these waste disposal facilities were not constructed in his or her back yard. Experts will take technology, economy and environment into consideration. Their viewpoints are more sensible and feasible.This thesis is a cross-disciplinary research. It tries to make some new points by integrating multi-disciplinary theories and methods. Innovation is mainly reflected in:a. Based on the analysis of previous researches, this thesis proposes a new strategy in terms of selecting the location of landfills. For the first time, it takes environmental risk and public participation into consideration.b. It uses reasonable location selection process to anti-evaluate construction projects in Xi’an.c. This thesis adopts a whole new research on the relationship between the antipathy from the residents and the distance of a landfill.更多还原