中国环境政策工具的实施效果及其选择研究

【作者】 杨洪刚；

【导师】 竺乾威；

【作者基本信息】 复旦大学 ， 行政管理， 2009， 博士

【摘要】 改革开放以来,中国经济奇迹式的迅速增长,但中国环境恶化的趋势却愈加严重。针对日益恶化的环境状况,中国政府设计和实施了多种类型的环境政策工具来解决环境问题,试图实现中国可持续发展和建构“资源节约型和环境友好型”社会的战略目标。但问题是,中国政府设计和实施的各类环境政策工具在环境治理中的效果到底如何?又会有什么因素影响各类环境政策工具的有效性?面对各类环境政策工具的实际实施情况,中国政府应该如何从当前中国现有的环境政策工具箱中优化选择出有效的环境政策工具来治理环境?围绕上述问题,本文通过制度分析法、案例分析法、比较分析法、访谈法等研究方法做出分析和探讨,并得出如下的结论:改革开放三十年来,中国政府设计了各种类型的环境政策工具,这些环境政策工具主要可分为命令控制型环境政策工具、经济激励型环境政策工具和公众参与型环境政策工具三大类。虽然中国政府实施了上述各类环境政策工具,但这些环境政策工具的实施效果并没有完全达到其预期的政策目标。其中影响命令控制型环境政策工具有效性的主要因素有:(1)自身政策设计上的缺陷。(2)环境管理体制的约束。(3)政府治理目标多元化的约束。(4)政府环境管理能力的约束;影响经济激励型环境政策工具有效性的主要因素有:(1)自身设计上的缺陷。(2)市场机制的不成熟。(3)环境管理体制的约束。(4)缺乏基本的法律保障。(5)技术及其他因素的影响;影响公众参与型环境政策工具的主要因素有:(1)公众环保意识较低。(2)政府主导型环境管理体制的弊端;(3)公众参与缺乏相应的法律保障;(4)社会团体的力量比较薄弱:(5)公众获取信息的成本较大。任何环境政策工具都有其自身的优势和缺陷,任何环境政策工具的有效实施都必须满足一定的条件,因此,当前我国政府对环境政策工具的进行优化选择时,就要把影响环境政策工具有效实施的工具变量、目标变量和环境变量等因素结合起来考虑,在这样的考虑下选择出的各类环境政策工具,才有可能获得有效的实施结果。本论文一共七章:第一章为导论。主要就本论文的研究问题、研究意义,相关问题的研究现状、研究方法、思路和分析框架等主题作了阐释。第二章为政策工具的理论阐释。主要对政策工具的类型、政策工具的研究路径、政策工具选择的模型等内容作了理论上的介绍。第三章为环境治理和环境政策工具。这一章分为三节:第一节主要介绍了新中国在改革开放前后所呈现出来的环境问题;第二节则阐述了改革开放以来中国政府针对日趋恶化的环境问题所开展的环境治理实践活动;第三节主要讲述了当前中国环境政策工具的基本情况,主要包括工具的类型和工具的变迁两个方面的内容。第四章为命令控制型环境政策工具。这一章的基本逻辑为:理论依据——历史演进——实施效果——有效性的影响因素探讨。首先,本章对环境影响评价制度、总量控制与排污许可证制度、限期治理制度与关停闭转手段等具体的命令控制工具工具的历史演进情况分别作了阐述:其次,本章对命令控制工具中的各种具体工具的实施效果作了分析;第三,本章从总体上对影响命令-控制型环境政策工具有效性的因素作了分析和探讨。第五章和第六章分别为经济激励型环境政策工具和公众参与型环境政策工具。这两章的基本思路和第四章的基本逻辑是一样的。其中,第五章就经济激励手段中的排污收费制度和排污权交易制度的历史演进、实施效果和有效性的影响因素作了探讨;第六章就公众参与制度的历史演进、公众参与工具中的居民和环保NGO二大主体参与环境保护的实践效果以及公众参与制度有效性的影响因素作了分析。第七章为中国环境政策政策的优化选择。本章第一节对政府环境政策工具优化选择的方法作了阐述:第二节对各类环境政策工具的优越性和局限性等特性作了介绍:第三节就我国政府环境政策工具的优化选择机制作了分析和探讨。更多还原

【Abstract】 With the rapid development of economy, there’s an increasing number of serious problems about environmental deterioration. To be aimed at the current deteriorated situation with each passing day, the government has designed different kind of environmental policy tools to harness the environment since China’s reform and opening-up. It tried to restrain tendency of our environmental deterioration and improve our quality of environment by implementing the tools. However, how’s the practical effect of carrying out different kinds of environmental political tools designed by the government? What kind of factors affected the effectiveness of environmental policy tools in the environmental implementation? Under the existing restrictions, how can the government realize the optimized choice of implementing different types of environmental policy tools?Surrounding the above problems, this article will be analyzed through the way of cases ,the way of comparison and so on.From analyzing,we give the following conclusions in this paper: Since the period of reform and opening-up, the Chinese government has designed three types of envromental tools.These tools is:(l) command-and-control types of enviromental policiy tools.(2)economic incentive types of environmental policy tools. (3)public participation types of environmental policy tools.These tools has some bad practical effectiveness and good practical effectiveness in the periods of policy inplementation. The factos effecting the command-and control tools is (1)the limits of policy designs; (2)the system of envirment management; (3)the diversified aim of the government governance, (4)the environment management capability of govermnment.The factors effecting the economic incentive types of environmental policy tools is (1) the limits of policy designs,(2)the faultiness of maket system,(3)the system of envirmentl management,(4)the lack of law protectiom,(5) the limits of techniques.The factors effecting the public participation types of environmental policy tools.is that (l)the lack of enviromental protection idea,(2)the system of envirment management,(3)the lack of law protectiom,(4)the weakness of the social organization power,(5)the high costs getting the information. Any types of enviromental policy tools have advantages and weakness, and if any types of enviromental policy tools want to get good effevemeness in policiy implementation, these tools must satisfy some conditions that is the characteristicof enviromental tools; the aims of enviromental policy and the external enviroment in policy implementation. So if the Chinese government wants to get the good effect of envromental policy tools in policy implementation, it must consides those conditions. When enviromental polciy tools can satisfy those conditons ,the choice of environmental policy tools by the Chinese government is an optimal choice.This article will be analyzed through seven departments.As for the introduction part, we mainly elaborate the article from research problems, research significance and the current research situation, methods and analytical framework and so on.Chapter two is the theoretical elaboration of policy tools. It mainly made a theoretical conclusion aimed to the types of policy tools, the relationships between policy tools and policy effects, and the policy tools models we chose.Chaptert three is environmental governace and enviromental policy tools, which was divided into three parts. The first section mainly introduces the environmental problems in our transition period, especially in the period of reform and opening-up. The second section expounds what kind of responds the government made according to the increasingly deteriorated environmental problems since China’s reform and opening-up. The third section mainly explains the application situation of China’s environmental policy tools, including types instruction and tools transition.Chapter four is the environmental policy tools under command control. The basic thought of this chapter is: the discussion from history evolution to implementation effects to the reasons. Around this mind, this chapter makes analysis the types of specific command control tools involving evaluation systems of environmental effects, total quantity control and the sewage permit system, implementation within a prescribed limit of time, and closing and transition methods. On the basis of implementation effects of specific tools, this chapter on the overall makes discussion about influencing factors on the effectiveness of command-control environmental policy tools.Chapter five is economic incentive types of environmental policy tools, and Chapter six is public participation types of environmental policy tools. The train of thought of these two chapters is the same as Chapter four. Among them, Chapter five makes discussion on sewage charging system within the economic incentive methods and sewage emissions trading system. Chapter six makes a discussion among three main bodies: public participation citizens, environmental protection NGO and environmental protection society. The last sections of these two chapters make analysis on effectiveness factors between the economic incentive methods and public participation methods on the overall view.Chapter seven is the optimized choice of environmental policy in china. The first section makes an analysis on the methods of environmental policy choices made by the Chinese government; The second section makes an analysis on the advantages and the weakness of environmental policy tools. The last section makes an analysis on the optimized choice modes of enviromental policy tools made by the Chinese government.更多还原