【作者】 鲜于玉莲；

【导师】 栾福茂；

【作者基本信息】 辽宁大学 ， 规制经济学， 2010， 博士

【摘要】 环境是自然界中人类、动物和植物赖以生存的基础,也是人类发展的重要条件。随着当代世界经济的迅速发展,人们大量地挖掘自然资源,破坏了生态环境,由此给全球带来了很多新的环境污染问题。环境污染问题虽然具有区域性、局部性、短期性等特点,但是解决环境污染问题需要从广泛性、整体性、长久性等维度进行综合思考。一直以来,各国政府从本国具体情况出发重视治理环境,环境得到了一定的保护和改善。但是越来越严重的跨区域、跨国界的环境污染问题引起了政府、学者、公众的共同关注,由此达成了共识,即只有各国政府和人民共同努力才能获得根本性的解决。众所周知,中国与世界各国合作,为环境建设做出了应有的贡献。尽管如此,中国环境规制中缺乏激励功能与约束功能,阻碍了环境问题解决和规制效率提高。中国能否建立起有效的环境规制体制,并发挥其激励与约束功能,是环境可持续发展的关键。基于以上观点,本文从规制经济学的视角,以中国环境规制体制为研究对象,综合运用新古典经济学与新制度经济学分析工具,构建了环境规制机构“模式—设置—职能—机制”为环境规制体制的分析框架,简称为MSFM。为了深入分析环境规制体制改革的必要性,首先,重点分析了环境规制中规制机构、被规制企业、公众等三方的搏弈关系;其次,设计了环境规制中三方博弈对污染影响模型,进一步证明了环境规制体制改革是三方博弈的必然结果。在此基础上,为了研究环境规制体制改革的可行性,深入进行了环境规制体制改革的短期和长期收益分析、环境规制体制改革的合理区域分析。很多研究结果表明规制失灵是各国政府规制机构改革的主要原因,目前中国的环境规制体制也滞后于现实社会的环境规制需求。为此,本文总结和分析了中国环境规制体制的变迁和现状,引用系统理论和规制理论找出环境规制体制目前存在的主要问题,并利用规制相关理论进行了较深入的原因分析。最后,为了提出适合中国的环境规制体制改革的对策,本文收集和归纳了世界上主要发达国家的环境规制体制文献,通过比较、总结、借鉴了主要发达国家环境规制体制建设的成功经验,提出了适合中国国情的环境规制体制改革的目标和对策。总之,本文在论证过程中,基于外部性理论、信息不对称理论,公共利益规制理论、规制俘虏理论、激励性规制理论作为环境规制的基本理论依据,运用了博弈论和成本收益分析等工具,并在对中国环境规制实践活动进行深入分析和外国环境规制经验的介绍和比较的基础上,提出了中国环境规制体制的改革思路和对策。本文研究的创新点主要有以下四个方面:第一,环境规制根据可预知和不可预知分为事前规制和事后规制两个研究视角。其中,一个视角是事前环境规制执行运行线;另一个视角是事后环境规制执行运行线,本文从两个视角展开了环境规制体制改革的研究。突破了以往从单一视角研究的思路,扩展了环境规制体制改革的研究视角。第二,设计了环境规制体制的三方博弈模型。详细分析了环境规制机构、被规制企业、公众、三方博弈关系,进一步分析了三方博弈对污染影响模型,证明环境规制体制改革是三方博弈的必然结果,为环境规制体制改革提供了理论依据。第三,环境规制体制改革是一个系统工程,政府既要考虑短期收益还要考虑长期收益,文中对改革的短期和长期收益进行了经济学分析,进一步证明了环境规制改革长期收益更有意义,为环境规制体制改革提供了可持续发展的理论依据。第四,本文着重分析了环境规制效率降低的两种可能,一方面规制者被俘虏和寻租的可能;另一方面被规制企业规避和抵制规制的可能。运用规制俘虏理论和激励性规制理论,针对中国环境规制效率低下的原因,提出了在中国环境规制体制改革中的总体思路和对策。更多还原

【Abstract】 The environment is the foundation on which the nature mankind, animal and plant rely for existence as well as the important condition by which the mankind develop. With the rapid development of contemporary economy, people excavate natural resources in large quantity, so ecoenvironment is damaged and as a result, brings the new pollution of the environment problem to the world. The pollution of the environment problem has some characteristics of being local, partial and short-term, which brings new reflection on solving environment problems from the extensive, whole, long-term aspects. The governments in all countries set out to value environment management from the native concrete circumstance and get a certain protection and improvement. But more and more serious pollution problems of the crossed district, international boundary have aroused the awareness of government, scholar, public and also reached a consensus, i.e. governments and people’s joint effort in all countries can definitely solve the problems fundamentally. Though China cooperates with international community and makes a contribution to the environment construction, because of the lack of stimulating and control function, solution to the environment problems and improvement of efficiency in rules and regulations are obstructed. Whether China can start to build up effective environment rules and regulations system or develop its stimulating and control function is the key to the sustainable development of environment.Hence, this paper sets up the environment rules and regulations organization "Model- Setting- Functions-Mechanism" as the analytical frame of environment rules and regulations system (short for MSFM). From the perspective of rules and regulations economics system, this research applies neoclassical economics and new system economics as analysis tool. In order to analyze the necessity of the reforms in the environment rules and regulations system, game theory and cost income are applied to carry on an environment rules and regulations research. Firstly, the relationship among the three squares’games, such as environment regulation institution, enterprises, and public is analyzed. Secondly, the three squares’games model to pollution influence in the environment regulations system is designed to prove that the reform in the environment rules and regulations system is the eventual result. On this foundation, in order to research the reform in the environment rules and regulations system, environment rules and regulations system reform of cost and income analysis, environment rules and regulations system reform of short- term and long- term income analysis, environment rules and regulations system reform in the reasonable district are all analyzed further. Being mainly coming from rules and regulations such as the reform of governments in all countries rules and regulations organization is out of order, currently the environment rules and regulations in China system falls behind the reality of environment rules and regulations society needs. Therefore, the change of Chinese environment rules and regulations are summed up. Further, the present condition of Chinese environment rules and regulations are analyzed and system theory, rules and regulations theory are quoted to find out the problems in the environment rules and regulations. The related theory of rules and regulations are applied to analyze the cause. To put forward the countermeasures of the environment rules and regulations system reform which is suitable for Chinese special feature, the paper collects and induces the environment rules and regulations system from cultural heritage of mainly developed countries in the world. This research puts forward suitable state of the nation of Chinese environment rules and regulations system reform of target and countermeasures by comparing, summing up and drawing lessons from the successful experience and actual action coming from the construction of the environment rules and regulations system in developed countries.In summary, this paper takes several theories including the external theory, information dissymmetry theory, public benefits rules and regulations theory, rules and regulations captive’s theory, and stimulating rules and regulations theory as theoretical foundation. It applies game theory and cost income as analysis tools to put forward the reform way of thinking and countermeasures of Chinese environment rules and regulations system on the basis of comparison of the introduction and analysis between Chinese practical activities and foreign experience in environment rules and regulationsThe contributions of this research are as follows:Firstly, the environment rules and regulations system is divided into two perspectives, i.e. rules and regulations before the event and rules and regulations after the event, according to being or not being known beforehand. One of the perspectives is the environment rules and regulations performance movement line before the event; another one is the environment rules and regulations performance movement line after the event. This paper focus on the reformative research on the environment rules and regulations system from two aspects, which improves the theory only based on one single perspective and broadens the research perspective of reform in the environment rules and regulations system.Secondly, three squares’games model in the environment regulations system is designed. Three squares’relationship, such as environment regulation institution, business enterprise, and public, is analyzed in details. Besides, three squares’game model about influence on pollution trends in environment regulations is also analyzed. This research proves that the reform of environment rules and regulations system is the eventual result of three squares’games and thus, theory basis about reform for the environment rules and regulations system is provided.Thirdly, the reform in the environment rules and regulations system is a system engineering. Therefore, the government has to consider both the short-term income and long-term income. This paper analyzes the reform in the short-term and long-term \income from economic perspective, and proves that the reform in environment rules and regulations in long-term income is more meaningful. It provides economic theory foundation for the reform in the environment rules and regulations system.Finally, this paper puts emphasis on the analysis of two kinds of possibility of inefficiency in the environment. On the one hand, the rules and regulations drive captive and look for the possibility for renting; on the other hand, enterprises are evaded by the rules and regulations and boycott the possibility of them. Aiming at the inefficiency in Chinese environment rules and regulations, this paper also applies captive theory and stimulating theory on the environment rules and regulations to put forward overall train of thought and reform in Chinese environment rules and regulations system.更多还原