【作者】 李劲松；

【导师】 刘湘溶；

【作者基本信息】 湖南师范大学 ， 伦理学， 2013， 博士

【摘要】 环境经济政策是指按照市场经济规律的要求,运用价格、税收、财政、信贷、收费、保险等经济手段,调节或影响市场主体的行为,以实现经济建设与环境资源保护协调发展的政策手段。国内外的理论研究和实践经验均已表明,环境经济政策是将环境问题外部性内部化、实现环境正义最为有效的途径。本文以我国环境-资源-经济的平衡发展与环境-经济-社会综合效益的持续改善为研究目的,以哲学社会科学导向,以自然科学奠基,采用伦理学、经济学、政策学、政治学、行政学,以及环境学、生态学等多学科基础理论综合研究方法来审视环境经济政策伦理及其实践路径。其研究重点、研究结果与创新点如下：其一,阐明了环境经济政策的主要学理基础——环境经济学,以及环境经济政策的政策设计基础——循环经济政策。从环境正义、经济正义、公共选择理论及其人性范式角度对环境经济政策的学理基础和政策设计基础进行了伦理透视。环境经济学作为经济学等社会科学,以及环境学、生态学等自然科学概念的综合体系,其理论方法中蕴含着丰富的伦理价值。而我国当前的循环经济政策体系则为我国环境经济政策的制定和实施与各项伦理机制的运行提供了一个开放性的制度基座。其次,本文从环境经济政策的特点、属性与基本功能出发,包括环境经济政策的概念、模式及分类与环境行为调节与资金配置等基本功能,尝试揭示了环境经济政策伦理理论方法的若干基本规定、操作原则、具体道德规范和道德合理性。本文尝试以目的论和义务论伦理理论为阐述主线,揭示了目的论、义务论、环境伦理学与史怀泽“敬畏生命”的人道主义等伦理理论方法的历史源流及当代发展对建构我国环境经济政策伦理理论方法体系的启示,并尝试初步勾勒了我国环境经济政策伦理理论方法体系的大致框架和基本定位。在此基础上,本文突出环境经济政策伦理理论方法与环境伦理观的共同追求、操作原则,论述了五项具体的道德规范：善待地球,保护环境；环境正义,普遍公平；尊重生命,保护生物多样性；善待自然,节约资源；适度物质消费,倡导环境友好消费,为环境经济政策伦理理论方法体系的构建准备了一些必要的构件。再次,本文从三个方面分析了我国环境经济政策伦理理论方法体系的创生基础与有利条件,一是马克思主义尤其是中国化马克思主义价值哲学与应用规范伦理学提供的价值基础及实践理性的生成；二是社会现实基础和民族性及现代性的生成,三是物质技术基础与全球性的生成;且着重分析了环境经济政策伦理审视面临的挑战或不容忽视的七个问题：一是环境资源刚性约束加剧凸显环境承载能力的全面危机;二是条块分割体制难以协调与政策配套措施不完善导致政府失灵；三是市场经济体制和环境产权机制不完善导致市场失灵;四是公众与社会自组织参与欠缺导致社会失灵；五是科技发展水平与发达国家差距大；六是法律保障不完善；七是地区发展与居民收入差距大导致区域公平性与利益调整过程稳定性欠缺等。之后,在此基础上,论述了环境经济政策的利益均衡与决策机制、执行机制、评估与监督机制、教育机制4种保障环境经济政策公平有效的实施机制和策略,以保证环境经济政策能达到公平性、有效性、经济效率、合法性、合理性、可接受性和监督调控的可操作性和协调性等多项价值目标。最后,本文以生态补偿为视角,分析了我国环境经济政策伦理理论方法的具体实现形式,在可持续发展、环境正义和生态安全(尊重生态规律)的价值理念指导下,以马克思主义为指导,以我国国情为基础,借鉴康德义务论、罗尔斯的“作为公平的正义”原则、诺齐克的应得权利理论和阿马蒂亚·森的可行能力理论,阐述了我国生态补偿的概念、任务、补偿方式、补偿标准、补偿资金来源及道德合理性,剖析了生态补偿政策伦理内涵的实质与核心是对公民基本环境权的保障和对部分公民让渡出来的发展权的补偿,我国生态补偿的前提则是科学划定主体功能区,关键是合理制定保障措施。同时,以生态补偿的推进要求和资金链条为主线,阐述了建立和完善我国环境经济政策体系的基本思路应从环境公共财政和环境资源价值核算入手,大力推进环境经济政策体系建设,政府应积极介入因市场失灵而导致的各个环境领域,在环境公共财政、生态补偿、环境税费、绿色信贷、绿色保险等方面制定完善相关政策,同时摸索和推进排污权交易、排污许可证等市场交易型环境经济政策。生态补偿作为社会各界,尤其是生态脆弱的限制开发区与禁止开发区的弱势群体非常关注的一项环境经济政策,在我们当前的形势和国情下,在市场经济体制和环境产权机制不够完善的情况下,在一个相当长的时期内,国家是克服救治市场失灵的主要的生态补偿主体,故须以公正、和谐、生态(化)、效率为价值范导,落实环境公共财政转移支付制度,然后逐步实现生态补偿机制向更为全面平衡有效的政府补偿、市场补偿和社会补偿形式的平稳过渡。鉴于我国生态补偿的4项原则之一的“新帐旧账分治原则”规定,按照环境经济政策伦理的要求,旧账由国家补偿与修复的责任。以我国环境公共财政为主线,本文尝试剖析了环境公共财政政策实施中存在的问题与改革的机遇,为国家生态补偿政策和其它环境经济政策实施的资金瓶颈破解提供了政策建议；同时也以环境资金为切入口,对环境经济政策群的各项具体的政策要素进行了协调和串联,以促进各项环境经济政策在实践发展中不断根据不同发展时期与各个发展阶段的实际情况,合理适用各种伦理理论,适时调整政策要素结构与利益格局,不断调整利益关系,切实增进环境经济政策群实施机制的公平、正义与效率,为提升环境经济政策群立体交融与和谐联动的组合效应提出了适当的建议,以期在我国特有的国情下实现可持续发展,实现我国环境-资源-经济的平衡发展与环境-经济-社会综合效益的持续改善,达到经济发展和环境保护的动态平衡和双赢。更多还原

【Abstract】 Environmental economic policies belong to a type of policy means which apply economic means such as pricing, taxation, fiscal means, credit, charges and insurance etc. to adjust or affect behaviors of the market subjects to achieve coordinated development of economic development and environmental protection. Theoretic study and practical experience at home and abroad have proved that environmental economic policies are the most effective way of internizing the externality of environmental problems and thus realizing environmental justice. Aimed at the continuous improvement of balanced development of environment-resources-economy and the environmental-economic-social comprehensive benefit, this Dissertation, integrated with humanistic orientation and scientific foundation, have explored and integrated multi-disciplined basic theories and synthetic methodologies of ethics, environmental (ecological) sciences, economics, policy sciences, political sciences, public administration science etc. to study and examine environmental economic policies’ethics and its path to practice. The research results and innovation points of this Dissertation are as follows:First of all, the author thinks that environmental economics should be the main theoretical basis of environmental economic policy system, while the recycling economy policy system should be its policy design basis, therefore, the author firstly, from the angle of environmental justice, economic ethics and human nature paradigm to study the theoretic foundation and policy design basis. As a comprehensive system of economics and natural sciences including economics, environmental sciences and ecologic sciences etc., theories and methods of environmental economics contains rich ethical values, while at current development stage, the system of recycling policies has provided a open policy basis for formulation of current environmental economic policies and the operation of the environmental economic policies’ethic mechanisms.Secondly, from the characteristics, attributes, and the basic functions of environmental economic policies, including the concept, modes and classification of environmental economic policies, their behavioral adjustment function and fund allocation etc., this article has tried to reveal the basic rules, operation principles and the ethic codes and moral rationality of ethics of environmental economic policies. With the theories of teleology and deontology ethics as main line, this paper expounds the teleology, deontology, environmental ethics and Schweitzer’s humanitarian ethical theory methods, including their historical origin and the contemporary development of economic construction of our country environment policy ethics theory method system and reveals their constructive meaning and reference function to our country’s construction of our own environmental economic policies system, and preliminarily attempt to draw the outline of our country environmental economic policy ethics theory system’s general framework and basic positioning. On this basis, this paper highlight the environmental economic policy ethics theory method and common pursuit, and has expounded the operating principles of environment ethic, studied the five specific code of the ethics for environmental economic policies:firstly, be gentle with the earth, protect the environment; secondly, environmental justice and common equality; thirdly, respect life, and protect biodiversity; fourthly, treat nature kindly, save resources; fifthly, moderate material consumption, advocate environment-friendly consumption, thus prepared some necessary artifacts for the construction of environmental economic policies’ethics theoretic and methodological system.Thirdly, this paper deeply analyzes three aspects of the formation environment and basis of theories and methodologies of environmental economic policies in our country, the first one is the Marxism and normative ethics, especially Chinese Marxist value philosophy, which provides the value basis of and practical reason for generation of ethics of environmental economic policies; the second one, its social realistic foundation and the formation of nationality and modernity, the third one is material technology base and the formation of global nature; and comes to the seven challenges or disadvantages:the first is rigid constraint of the environmental resources comprehensive accommodating capacity highlights environmental crisis; the second, difficulties to coordinate with regional administrative segmented system and imperfect policy supporting measures led to government failure; the third, imperfection of the market economic system and environmental property right mechanism lead to market failure; the fourth, the lack of public and social self-organization participation cause social failure; the fifth, the development of science and technology level gap with the developed countries; the sixth, imperfect legal protection; the seventh, regional development and residents’ big income gap lead to lack of stability of regional fairness and benefit adjustment etc. Later, on this basis, discussed four kinds of fair and effective enforcement safeguard mechanism and environmental economic policy strategy, including benefit-balancing decision-making mechanism, the implementation mechanism, evaluation mechanism, education mechanism etc., to ensure the environmental economic policies to achieve multiple value targets as fairness and efficiency, economic efficiency and legitimacy and rationality, acceptability, operability of supervision regulation and coordination etc.Finally, in the perspective of ecological compensation, this paper has analyzed the concrete realization form of environmental economic policy ethics. We shall, in compliance with values of sustainable development concept, environmental justice and ecological security (i.e. respect ecological laws), under the guidance of Marxism and on the basis of the current national situation of our country, draw lessons from Kant’s deontology, John Rawls’s "justice as fairness" principle, Nozick’s theory of deserved rights and Sen’s theory of practical ability, this paper expounds the concepts, tasks and compensation funding sources, compensation standards, compensation fund sources, moral rationality of ecosystem service compensation, and clarified that the essence of the ethics of ecological compensation policies is to protect development right of the regions and citizens, and to offer compensation for the development right consigned by citizens. The premise of ecological compensation in China should be scientific demarcation of main function areas, the key is to establish reasonable safeguards. At the same time, in accordance with the advancing requirements of ecological compensation and capital chain as the main line, the general mindset of establishing and improving the environmental economic policy system of our country should start from the environmental public financing and environmental resources value accounting&verification, greatly promote the building of environmental economic policy system; it is advisable that the government should be actively and properly involved with various environmental fields with market failure, and keep on formulating and improving related policies in environmental public financing and fiscal system, ecological compensation, environmental taxes and fees, green credit, green insurance etc., and grope for and promote development of environmental economic policies of trading/market style, such as emissions trading, emission permits. As one of the research achievements of this paper, in view of ecological compensation in China, one of the four principles of ecological compensation as "the principle of separation of new debts/accounts and old ones", according to the requirements of the environmental economic policy ethics, compensation and repairs of old ecological debts to be responsible by the national compensation. Ecological compensation as a focus of concerns from all walks of life, especially un-privileged people and vulnerable groups in ecological fragile zones as restricted development zones and prohibited development zones. Under our current situation and national conditions, market economy system and environmental property right mechanism have not reached adequately mature and satisfied extent, in a considerably long period, the government is the main party to overcome the market failure, therefore, it is imperative to strictly enforce public fiscal transfer payment system of the environmental public financing under the value guidance of the justice, equality, harmony and ecologization and efficiency, thus push the current ecological compensation system to tide through the current relatively hard time, and then transform to a more complete and balanced pattern of government compensation, market compensation and social compensation. Therefore, in the chapter, with the environmental public financing as main line, the author analyzed existing problems and reform opportunity, in a fairly long period of time, the government should be the main party to overcome the market failure in advancement of ecological compensation mechanism, therefore, justice, equality, harmony, eco-orientation and efficiency should be the values for guiding environmental economic policies in our country, especially the implementation of the environmental public finance transfer payment system to realize the ecological compensation mechanism, as a transitional period to be developed into a more complete and balanced state with joint function of government compensation, market compensation and social compensation in the form of a smooth transition. Therefore, in this chapter, with environment public finances as the main line, this chapter analyzes the problems and reform opportunity that exist in the public finance policy, and thus provided policy reference for the problem "where can the money come from" when the government as the main party of ecological compensation. In the meantime, with environmental capital as starting point, the dissertation have coordinated and integrated various specific policy elements so as to promote environmental economic policies to develop per actual situation and practical stage, thus adjust policy elements structure and interests pattern, and continuously and dynamically adjust interests relationship to actually promote equality, justice and efficiency of the group of environmental public policies, and thus provided appropriate suggestions for merging and coordinated joint functioning, in expecation of reaching continuous enviromental-resources-economic balanced development and continuous improvement of enironmental-economical-social comprehensive effect to achieve a dynamic balance of economic development and environmental protection and a win-win situation.更多还原