【作者】 欧阳澍；

【导师】 陈晓红；

【作者基本信息】 中南大学 ， 管理科学与工程， 2011， 博士

【摘要】 低碳发展已经成为各国经济社会发展的主题,与之相适应的经济制度特别是环境制度体系建设,也需要得以完善、丰富与发展。低碳发展、绿色发展也是我国“转方式、调结构、惠民生”的必然要求与具体途径。因此,如何结合我国承诺的减排义务和我国现实发展的国情与特点,制定和实施符合我国实际的环境制度体系,已成为我国经济社会发展的重点和着力点,也正成为我国制度经济学或法经济学理论研究与探讨的热点与难点。本文基于低碳发展的客观要求,把环境制度体系的构建作为研究讨论的核心问题,以新制度经济学、法经济学、外部性理论和公共强制理论为基本理论来展开分析研究。本文在对低碳发展的环境制度架构设计的基础、分类设计的依据、制度体系的性质定位、制度的可能性边界、制度设计的原则等基础性问题进行研究的基础上,结合我国低碳发展环境制度设计的前提依据,对制度体系的架构、存在的问题及其完善对策提出了系统的研究设想。本文认为：(1)我国构建有关环境制度应当把握三个层次的制度架构：第一层次为基本的制度环境,它是制定规则的规则,是具有普遍约束力的一套政治、经济、社会、法律的基本规则；第二层次为治理机制,包括各种法律和制度,它是在宪法秩序下约束特定行为模式和关系的规则；第三层次为短期资源分配制度。它是赋予宪法秩序和制度安排的合法性的基础,源于意识形态的习俗和伦理道德原则。制度构建的要求是：确定集体选择条件的基本原则,构建环境制度所依赖的宪法秩序；健全约束特定行为模式和关系的规则,做好具体制度安排；丰富规范性行为准则,保障环境制度架构的合法性基础。(2)低碳发展的环境制度安排应明确制度架构的分类设计依据。公共经济学关于公共物品的分类讨论以及对各类公共物品的性质探讨为我们环境制度架构所依据的分类设计提供了思想指导。基于低碳发展的环境制度架构所要给予的公共提供,应当既包含纯公共物品的提供,也包含可收费物品的混合提供。本文初步分析了制度设计的目的和调整模式。结合市场“失灵”及其纠正机制探讨了环境制度调节对象的特点,提出充分运用国家管制措施对市场手段本身不能有效解决的问题加以纠正,从而提高制度效率和确保资源合理分配。(3)基于对詹科夫等人提出了公共强制理论的分析,提出了环境制度设计的五种选择情形：由政府直接提供、采用间接方式提供、政府监管型、私人诉讼的独立执法制度安排和市场竞争的私人秩序。(4)分析了国外基于低碳发展环境制度建设的实际情况,总结归纳我国低碳发展环境制度架构所可以借鉴的经验。本文认为,环境法律调整机制由单一的政府管制必须走向多远化,市场调节机制应纳入环境法律调整基础；在环境管理机制上,注重政府职能的整合、与跨部门的协调以及独立机构的监督；注重由管理型立法向促进型的转变,实行政府间和政府与民众间国际国内两方面的合作。(5)通过低碳发展国际制度安排的演进,在明确低碳发展实质要求基础上,结合我国环境库茨涅茨倒U型曲线和我国承诺的义务与我国中长期节能减排的重点目标和领域,研究了我国环境制度架构设计的基本前提,明确了制度设计的目标,并以此对实施阶段进行了预测。(6)本文系统提出了我国环境制度构建的原则体系。该原则体系是由可持续发展理念框架下的一般原则和一系列特殊原则构成的,一般原则体现了对公平、平等、自由和效率理念的核心要求,特殊原则则主要包括：以生态效益为优先的协调发展原则,以环境民主为基础的公众参与原则,以预防为主的谨慎行事原则,以及环境激励、国家干预和环境责任原则。以此为根据,进而对我国环境资源产权制度安排、环境治理和管理机制以及制度层级上的安排进行分析与构想,通过分析我国当前环境制度架构的不足,明确提出：一要补充实体法律制度,包括：颁布实施《气候变化法》；在《可再生能源法》的基础上,颁布实施新的《绿色能源与安全保障法》；进一步完善《循环经济促进法草案》,颁布实施《循环经济促进法》；等等。二要完善碳排放制度的民法安排；三要完善环境治理机制。(7)本文以碳税制度和碳排放权交易制度的构建为例进行了实证分析。其中碳税制度的研究主要是通过运用庇古税的基本原则和萨缪尔森准则与最优税制理论,对我国具体环境法律制度的构建进行了案例研究。认为我国碳税制度应当具备降低温室气体排放,促进清洁生产和基于国家财政支付功能的税收调节等多方面的功能,认为可以通过选择合理的调节机制综合优化碳税制度对国民生产总值、总投资、总消费以及能源强度和碳排放的影响。结合一般税收制度的不足,认为通过税种制度内政策安排、税收体系内的综合平衡、相关补贴制度安排一系列协调性政策的完善,能够实现碳税制度实施效果上的统筹和平衡。碳排放权交易制度则是根据国外已有研究模型架构经验,结合我国实际情况,重构了我国碳排放权交易制度的分析路径,系统地分析了碳排放权交易制度对我国的影响,并以此为基础对我国碳排放交易权的架构提出了设计。更多还原

【Abstract】 As low-carbon development becomes the mainstream of economic and social development of all nations, the corresponding economic systems, especially the environmental institutional system need to be enriched and further developed. Low-carbon development or green development is an inevitable path to the realization of the triple goals of "changing the pattern of economic growth, adjusting industrial structure and improving people’s well-being". How to formulate and implement a China-specific environmental institutional system by taking into consideration of China’s commitment to emission reduction and of China’s national conditions, it has become a focus of the economic and social development of the nation as well as a heated topic and a knotty problem in the fields of institutional economics and legal economics. Based on the objective requirements of low carbon development, this dissertation focuses on the structuring of the environmental institutional system through analyzing instruments like new institutional economics,-legal economics, externality theory and the theory of public enforcement of law. Based on the structuring of the environment institutional system of low-carbon development, the grounds for classification design, its definition, Possibility Frontier, and design principles, this dissertation puts forward a systematic research vision for the system structure, its existing problems and countermeasures to improve it.The following is the main content of this dissertation:(1) The structuring of the environment institutional system in China should have three tiers:firstly, the constitutional order, that is, the rules of rule-making, which are political, economic, social, and legal ground rules with general binding force; set of; secondly, institutional arrangement including various laws and institutions, which are rules under the constitutional order that restrict specific behavioral patterns and relations; thirdly, the prescriptive code of conduct, which originated from ethical and moral principles of the ideology, constitutes the basis of legitimacy for the constitutional order and the institutional arrangement. The requirements for institutional structuring are as follows:identifying the basic principles of collective choice, building the constitutional order on which the environment institution can rely, improving the rules that restrict specific behavioral patterns and relations by putting in place specific institutional arrangements, and enriching the prescriptive code of conduct so as to protect the basis of legitimacy for the environment system architecture legitimacy.(2) The institutional arrangement for low-carbon development should have a clear classification design of the system structure. Public Economics’discussion on the classification of public goods and the nature of public goods has provided an ideological guidance to the classification design of the system structure. Public provision provided by low carbon-based environment system structure should include both pure public goods and, but also billable items. This dissertation preliminarily analyzes the purpose of the system design and its adjustment mode. By analyzing market "failure" and its corrective mechanism, the dissertation explores the characteristics of the object of the environment institutional system; it advocates for making full use of means of national control measures--to address questions that cannot be effectively addressed by market, thereby improving system efficiency and ensuring rational allocation of resources.(3) Based on the analysis of the theory of public enforcement of law proposed by Djankov, the dissertation suggests five options for environment institutional system design:direct government provision, indirect government provision, and government supervision, independent law enforcement system arrangement of private litigation and private order of market competition.(4) it analyzes of the actual situation of the low-carbon-based institutional development and what experiences and lessons China can draw from.(5) By analyzing the evolution of the international institutional arrangement for low carbon development and the substantive requirements for low carbon development, the dissertation also studies the basic premise for China’s environment institutional structure design by combining the inverted U-shaped China’s environmental Kuznets curve, its commitment obligation and its medium and long-term energy saving targets. Building on the above, the dissertation further analyses and envisions the property right institutional arrangement, environmental governance and management mechanisms as well as upper- institutional arrangement of China’s environmental resources. Through analyzing the inadequacy of the current environment institutional structure, the author proposes:first the substantive legal system should be expanded by means include:promulgation and implementation of "climate change law", promulgation and implementation of new "Green Energy and Safety Act" on the basis of the "Renewable Energy Law", further improvement of the "Draft of Circular Economy Promotion Law", promulgation and implementation of "climate change law", in the promulgated and implemented the "Circular Economy Promotion Law "; second, we must improve the system of civil law arrangements of carbon emissions; and third we should improve the environmental governance.(6) This dissertation proposes the basic principles for the environmental institutional system of China. This principle system consists of a series of specific principles under the concept of sustainable development, namely, the coordination principle that prioritizes eco-efficiency, the principles of public participation that is based on environment democracy, the prevention-oriented principle of caution and the principles of environmental incentives, state intervention and environmental responsibility.This dissertation argues that environment’s legal regulation mechanism must diversify from being singly regulated by the government. The market regulation should be incorporated into the environmental legal regulation basis. As regards environmental management mechanism, the government should focus on the integration of government functions, inter-departmental coordination and supervision of the independent body. It should also pay close attention to the transformation from management-oriented legislation to promotion-oriented legislation and encourage both intergovernmental cooperation and cooperation between the government and civil society. (7) Based on the basic principles of Pigovian tax, the Samuelson Rule and the Optimal Tax Theory, this dissertation build a case study on the carbon tax system for the construction of China’s environmental legal system. It argues that China’s carbon tax system should have multiple functions like reducing greenhouse gas emissions, promoting clean production and regulating tax based on national financial payment function. It believes that through a rational regulating mechanism, a comprehensively optimized carbon tax system can impact on the gross national product, total investment, total consumption, energy intensity and carbon emissions. By pinpointing the inadequacy of the common tax system, this dissertation believe that by improving coordinating policies in China, the co-ordination and balance of carbon tax system can be achieved. These policies include:policy arrangements within the tax system, the overall balance within the tax system, related subsidies institutional arrangements and carbon funds and so on.更多还原