【作者】 张颖；

【导师】 林木西；

【作者基本信息】 辽宁大学 ， 规制经济学， 2013， 博士

【摘要】 水是生命之源，是整个国民经济建设的命脉。随着经济的快速发展，社会对水资源的开发需求越来越旺盛，无限度地挖掘水资源的潜力和不合理地使用水资源，造成了大量的污染，破坏了生态环境。流域是属于水资源的自然特性的单元，流域水资源是一个完整的系统，所以本文用流域的视角来研究流域水污染的规制问题。在我国流域水污染中跨行政区划的流域污染是当前水危机中最严重的问题之一。长期流域水污染治理并没有让流域整体水质有大的改观，随着各行政区划经济发展对水资源依赖性的增加，跨行政区划的流域水污染问题反而日益激化，突发事件频出，这让环保部门处于被严厉问责的尴尬状态，社会公众因自身利益被动受损而处于“用水担忧”的状态。流域水污染是一种跨行政区划的外部性，外部性的问题的解决不能单纯地靠环境污染治理技术或者控制模型来解决，需要从造成外部性原因的社会政治和经济因素出发，对流域水污染的内在原因和现行的规制方案进行考察和分析，从而在尊重客观存在的各类制度禀赋的约束下去完善流域水污染规制中的规制原则、改革流域水污染规制结构和创新流域水污染规制工具，实现流域水污染规制效率的提高。本文从考察我国流域水污染基本状况出发，利用2001-2010年省级面板数据建立“最优污染规模”模型来对其的规制现状进行了的实证研究，探究流域水污染的影响因素。实证研究表明：省级政府对本区域的污染有显著影响，地理区位会影响省级政府的规制效率，因为上游地区规制强度低，所以有通过“搭便车”将污染转嫁给下游地区的倾向。随后，本文试图运用制度经济学、规制经济学、管理学、外部性理论和博弈论等相关理论来解析目前严重的流域水污染问题。以经济学中外部性理论和管理学中的科层制理论来分析流域水污染中规制主体内部的外部关系是如何形成、规制主体的外部效益是如何产生，规制客体内部的外部关系是如何形成，规制客体之间外部效益是如何产生。用博弈论工具来分析流域水污染中规制主体之间、规制客体之间、规制主体和规制客体之间是怎样根据现有政策来进行策略选择从而形成博弈后的稳定结果来解释流域水污染总是处于规制困境的原因。接着，本文研究了西方发达国家流域水污染的规制经验。流域水污染是一个世界性的问题，很多西方发达国家在工业发展历程中经历了严重的流域水污染问题，在治理过程中他们积累了大量政府规制污染的成功经验，借鉴其中符合我国现实的有益经验，可以缩短我国流域水污染规制探索的过程，节省规制成本，提高规制效益。美国、德国和日本都是在流域水污染中有着成功规制经验的国家，本文简明研究了三国的规制法律体系、规制结构、规制工具和规制改革，汲取他们成功的规制思路和规制模式为我国流域水污染规制提出相应的建议。最后，本文根据上述的分析提出了我国流域水污染规制改革的建议。从外部性理论的角度出发提出将外部关系和外部效益内部化的建议，提出实行垂直管理、建立绿色GDP核算考核指标，实行环境问责制来内部化规制主体的外部关系和外部效益；通过科层型协调机制、市场型协调机制、府际治理协调机制三种途径来实现府际间横向协调来消除地方政府间外部效益；通过界定权责、重塑组织结构来内部化职能部门的外部关系；通过企业自我规制来消除用水企业和用水个人之间的外部效益。通过从管理学角度而言，提出要吸取传统科层制的“价值理性”、西方现代科层制的“法理性”和后科层制的“善治”目标来构建适合我国规制结构依托的公共行政体制。从法经济学和制度经济学角度而言，提出要完善法律体系保障规制原则的实现。从行政学的角度，提出在环保部门实行“垂直”管理试点，并推行“大环保部”的建立，设立流域水环境委员会和流域法院。更多还原

【Abstract】 Water is the source of life, is the lifeblood of the whole national economicconstruction. With the rapid development of economy, social demand for thedevelopment of water resources is more and more strong, indefinitely to dig up thepotential of water resources and the unreasonable use of water resources, cause a lot ofpollution, damage the ecological environment. Due to the natural characteristics of waterresources in river basin as a unit, this paper studies focusing on the basic concept as“river basin water resources is a complete system”, then by the concept of system theoryto study the regulation of river basin water pollution problems. Across in the river basinwater pollution in our country the administrative divisions of river basin pollution is oneof the most serious problems in current water crisis. Long river basin water pollutiongovernance did not make the whole river basin water quality has big difference, as theincrease of the administrative area economy development on water resource dependence,across the administrative area of river basin water pollution is becoming more and moreintensified instead, emergency, which makes the environmental protection department inthe strict accountability embarrassing state, social public interests by its passive damageand is in a state of "concern" with water. Of basin water pollution is a kind ofadministrative divisions of externalities problem, this kind of problem can not simplyrely on technology or control model to solve the pollution of the environment governance,the solution of this problem needs from the external reason of social political andeconomic factors, the basin water pollution of the internal causes and the investigationand analysis about the current regulation scheme, to respect the objective existence ofeach kind of institution endowment constraints on perfecting the regulation of river basinwater pollution regulation principle, and also should think of the structure of the basinwater pollution regulation reform and innovation of river basin water pollution regulationtools, realization of river basin water pollution regulation efficiency.Starting from the basin water pollution in our country in this paper, the basicconditions, using the provincial panel data from2001to2010of the "best emissionlevels" model to the empirical research on the current situation of regulation, to explorethe influencing factors of river basin water pollution. Empirical study shows that the provincial government of the region has remarkable effect on pollution geographicallocation affect the efficiency of provincial government regulation, because upstreamregulation strength is low, so there are pollution by "free-rider" tendency to pass on to thedownstream area.Then, this paper tries to use of institutional economics, regulation economics,management, externality theory and game theory and other related theory to resolve theproblems of river basin water pollution serious. With externality theory in economics andmanagement of the bureaucracy theory to the analysis of river basin water pollutionregulation subject is how to form internal external relations, regulating body externalbenefit is how to produce, regulating object is how to form internal external relations,regulating object between external benefit is how to produce. Use the tools of gametheory to analysis of river basin water pollution regulation between the main body,regulating object and regulation between the subject and regulation object is how toaccording to the existing policy to select the strategy to form stable results after the gameto explain the reason for difficulties in river basin water pollution is always in regulation.Furthermore, this paper also studies the western experience of river basin waterpollution regulation in developed countries. River basin water pollution is a worldwideproblem, many western developed countries in the industrial development hasexperienced severe river basin water pollution problems, they have accumulated a largenumber of government regulation in the process of governance on the successfulexperience of pollution, draw lessons from the beneficial experience of which conformsto our country reality, can reduce the process of river basin water pollution regulationexploration in our country, saves the regulation cost, improve the efficiency of theregulation. The United States, Germany and Japan are succeed in the basin waterpollution and has the successful experience of regulation in the country, this articleoffers a concise research to the rules of the three countries the legal system, governancestructure, regulation tools and regulation reform, learn from their successful mode ofregulation and regulation for river basin water pollution regulation in China and then putforward the corresponding suggestion.Finally, this paper based on the analysis of the above suggestions proposedregulatory reform of river basin water pollution in China. From the perspective of externality theory put forward suggestions of internalization of external relations andexternal benefit, and forward to the vertical management and establish green GDPaccounting, assessment index of the internalization of environmental accountability toregulate body external relations and external benefits; Type through hierarchicalcoordination mechanism, the market-oriented coordination mechanism, the coordinationlevel governments governance mechanism three ways to implement horizontalcoordination between governments to eliminate external benefit between localgovernments; By defining the responsibilities, reshaping organization structure tofunctions of the internalization of external relations; Through the enterprise selfregulation to eliminate external benefit between enterprises and in the use of waterpeople. Through from the perspective of management, to learn the traditionalbureaucracy "value rationality", the western modern bureaucracy " jurisprudence " andafter the bureaucracy of the goal to build a "good governance" is suitable for regulatingstructure based on public administration system of our country. From the point of themethod of economics and institutional economics, this paper puts forward to perfect thelegal system to ensure the implementation of the regulation principles. From theperspective of administrative science,"vertical" in the environmental protectiondepartment shall put forward management pilot, and promote the establishment of the"big environment", set up the river basin water environment committee and basin incourt.更多还原