【作者】 姜林；

【导师】 林木西；

【作者基本信息】 辽宁大学 ， 政府经济学， 2011， 博士

【摘要】 1972年可持续发展概念在联合国人类环境研讨会上的首次提出,标志着环境问题正式进入世界民众的视野,而近四十年世界经济高速发展过程中由于环境污染而引发的一幕幕悲剧,又使人们不得不承认环境问题已成为阻碍世界经济长期繁荣的罪魁祸首,因此环境问题的解决必将成为世界各国所面临的共同课题。理论研究与实践经验都已证实,仅仅依靠市场这只看不见的手,环境问题将难以解决；因此,为实现社会整体福利的最大化,政府这只看得见的手理应发挥其应有的功能,即政府需实施环境规制,以达到环境保护与经济发展双赢的目标。然而,由于环境规制过程中政府失灵现象的时有发生,又使人们逐渐意识到政府在解决环境问题时并非总是万能的。因此,为实现环境规制的既定目标,对中国政府环境规制的效率进行评价已势在必行。本文在阐述环境规制、效率、环境规制效率、环境规制效率评价等相关理论概念内涵的基础上,对中国环境规制效率评价的指标体系进行了设计：首先,介绍中国环境规制效率评价指标体系设计的短期与长期目标；其次,阐述中国环境规制效率评价指标体系设计的思路；再次,指明中国环境规制效率评价指标体系设计的原则；最后,对中国环境规制效率评价指标体系进行设计,包括对环境规制成本的人力投入指标、物力投入指标、财力投入指标的设计和对环境规制收益的污染控制指标、环境质量指标的设计。接下来,本章通过将DEA模型方法与其它环境规制效率评价方法相比较,得出DEA模型方法所具有的优势；再通过将SE-DEA模型方法与DEA模型方法相比较,得出SE-DEA模型方法所具有的优势；最终,确定选取SE-DEA模型对中国环境规制效率进行评价。对中国环境规制效率评价的实证分析包括基于国家层面的中国环境规制效率的评价和基于区域层面的中国环境规制效率的评价两部分。基于国家层面的中国环境规制效率的评价结果为：2000-2009年间,虽然伴随着中国政府在环境规制方面的人力、物力与财力等投入的逐年提高,环境规制的收益即污染控制能力与环境质量也在逐年的提高,但是环境规制的效率并没有得到根本性的提高；而基于区域层面的中国环境规制效率的评价结果为：2003-2009年间不同地方政府环境规制的效率并不相同,一些省份的环境规制效率表现为高效稳定或逐年上升的趋势如天津、上海、海南、甘肃、宁夏、福建、广东和四川,其中天津、上海、福建与广东四省市实现了政府环境规制与市场经济发展的双赢,而其它省份的环境规制效率表现为低效稳定、逐年下降或无规律波动的趋势。接下来,基于规制者、被规制者与公众三个能动参与方的视角分析中国环境规制效率低下的原因和介绍主要发达国家提高环境规制效率的主要做法,并从中得到有益的启发,最终提出提高中国环境规制效率的政策建议：(1)针对规制者的对策。如健全政府环境规制的法律体系,建立绝对独立的环境规制机构,建立行政区内的环境规制协调机构,创建跨行政区的环境规制机制,政府环境规制工具的再设计,完善环境规制标准体系,实现政府环境规制效率评价的无障碍化,完善公共资金的投入机制,健全环境规制的事中监督体系与事后惩罚体系等。(2)针对被规制者的对策。如培养排污企业环境治理的意愿与能力,提高排污企业对环境规制政策的认同度等。(3)针对公众参与方的对策。如建立有效的公众参与机制,增强公众的环境监督意愿等。总之,在规制效率的成本收益分析理论下,本文采用规范分析与实证分析相结合、定性分析与定量分析相结合、宏观分析与中观分析相结合的分析方法,对中国环境规制的效率问题进行了深入的分析,其研究范式适用于社会性规制的各个领域。更多还原

【Abstract】 The concept of sustainable development was first proposed in human environment workshop of UN in 1972. It shows that environmental problem was strongly emphasized by the world. In the recent 40 years of world rapid development, environment pollution triggers too much tragedies so that the public has to reach the consistent conclusion the environment problem has been the culprit of economic long prosper development. So the solution of environment problem has been becoming the common subject of the world.It is proved by the theory researches and practical experiences that the environment problem can not be solved only by the invisible hand of market. So for achieving the maximum social welfare, the visible hand of government should play its functions, that environment regulation, to realize the double-win target, not only protecting the environment but also developing economy. However, because of frequent government failure in environment regulation, the people gradually find that the government is not always omnipotent in solution. So for the existing target of environment regulation, we must evaluate the efficiency of environment regulation of China.The paper elaborates the definitions of environment regulation, efficiency, efficiency of environment regulation, efficiency evaluation of environment regulation, and then designs the index system of efficiency evaluation of environment regulation of china:first, the short and long target of index system of efficiency evaluation of environment regulation is introduced; second, we state the train of thought of index system of efficiency evaluation of environment regulation and third manifest the principles of index system of efficiency evaluation of environment regulation; in the end, we design the index system of efficiency evaluation of environment regulation, including the index of environment regulation cost, that is, human input index, material input index and capital input index, and the index of environment regulation benefits, that is, pollution control index and environment quality. Following, the paper compares DEA model method with other methods of efficiency evaluation of environment regulation, and gets the advantages of DEA model. And then discovers the virtues of SE-DEA model in comparison with DEA model. At the end, SE-DEA model is chosen for measuring the efficiency of environment regulation.The positive of efficiency evaluation of environment regulation of China is divided into two parts:one is based on the national level and the other is grounded on the regional level. The evaluation result of efficiency of environment regulation based on the national level is that in 2000-2009, efficiency of environment regulation is not improved fundamentally, though the input of human, material and capital rising yearly and the benefits from the ability of pollution control and environment quality enhancing annually. Whereas, the evaluation result of efficiency of environment regulation based on the regional level is that in 2003-2009, the efficiency of environment regulation of local government is different; some of provinces show the efficient and steady or annual rising trend, including Hainan, Gansu, Ningxia, and Sichuan, among which Tianjin, Shanghai, Fujian and Guangdong achieve the double-win target with government environment regulation and market economic development. And efficiency of environment regulation of other provinces represents low efficiency and annual declining or non-regular trend.Following, we analyze the reasons of inefficiency of environment regulation based on the regulator, the regulated and public and introduce the main practice of improvement of efficiency of environment regulation in prime developed countries, which make us attain the enlightenments and then we propose the policy suggestions:1) for the regulator:they should strengthen the law system of environment regulation, build absolute independent environment regulatory institutions, set cross-administrative-district environment regulatory coordinating organizations, create cross-administrative-district environment regulatory system, re-design the tools of environment regulation, improve the standard system of environment regulation, realize avyanadhana of efficiency evaluation of environment regulation, enhance the input system of public funds and reinforce the supervisory system in process and punishment system in disposal; 2) for the regulated:they should strengthen the environment management will and capability and increase the approval degree of environment regulatory policies; 3) for public, they should be organized by efficient participation system and enhance the public will of supervisory environment regulation.Conclusion, with the theory of cost-benefit analysis of regulatory efficiency, the paper deeply researches the efficiency of environment regulation of China, using not only normative analysis and positive analysis, but also qualitative analysis and quantitative analysis, as well as macro analysis and industrial analysis. The paradigm of research can be applied in all kinds of fields.更多还原