西方低碳城市治理机制研究
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摘要
伴随着全球环境保护的制度化趋势,建立公平有效的气候治理机制已成为当今世界政治、经济的主要研究课程之一。以低碳发展模式为前提的低碳治理机制成为近年来人们关注的重要课题。而其中低碳城市的治理成为应对气候变化、推行低碳实践过程中至关重要的一部分。由于气候政策和可持续发展在地方层面的显著协同效应,使得地方政府在低碳城市治理中逐渐成为扮演监管、提供和促进角色的主要推动力量。众多的西方国家近年来对低碳城市治理机制进行了一系列的探索,在控制碳排放,推行低碳发展等方面取得了瞩目的成功。深入研究分析西方政府对低碳城市治理的经验及教训,对国内城市的低碳城市建设、治理,有着重要的理论和实践价值。本文基于西方国家在低碳治理机制方面的研究和实践,对西方国家的低碳城市内部治理机制和外部合作机制,分别进行了综述和分析。
第一章,首先对低碳城市治理的研究背景和意义进行了阐述;然后结合大量国内外文献资料,分析了当前该研究领域内的现状,并指出目前研究存在的问题,以得出本文研究的选题依据和切入点;最后简要叙述了本文的研究内容、结构、创新点和不足之处。
第二章,基于目前的西方治理理论的发展,特别是近年来得到广泛研究、应用的多中心治理理论,从多中心治理理论的内涵出发,试图理清低碳城市治理的政治逻辑。如:低碳城市治理的一般原则,低碳城市治理的实施内容,以及低碳城市治理的国家特殊性。
第三章,首先对西方国家低碳概念的历史做了梳理,从低碳经济、低碳社会到低碳城市的发展脉络进行了解释剖析。然后,对西方国家的低碳城市治理的实践进展,以四个城市(或国家级地区,如苏格兰)为例,进行了研究
第四章,从地方政府对气候变化应对政策实施过程中,政府权力的广度和力度,区分了四种当地政府内部治理机制:示范机制、指导机制、支持机制和权威机制。对这四种机制的概念、应用细则以及实施方式等,以国内外地方政府实施的具体例证方式进行了分析。并对其应用效果和局限之处进行了评估。
第五章将地方政府作为全球气候治理系统中的一部分,从外部合作角度提供了两种不同类型的合作治理:横向合作和纵向合作。横向合作可以说是地方自治的一种表现形式,而纵向合作则是城市地方政府与国家政府合作,共同治理地方气候问题。本文亦将纵向合作(主要根据政府在其中扮演的角色和激励力度问题)分成三种机制,也从各国政府实施例证的方式进行了研究评估。
第六章对以上研究的要点进行了回顾,得出了本文在低碳城市发展治理机制研究的一般原则和逻辑。并在此基础上,结合我国政治、经济发展特点,以及我国生态环境现状,从政策角度,特别是对低碳城市治理以及规划政策制定等,提出了几点建议。
With the trend of institutionalization in global environment protection, it has become an important issue in politics and economics to establish a fair, reasonable and effective climate governance system in the world range. In the last decade, low-carbon governance system based on low-carbon developing mode has attracted more and more attention. Especially, governance for low-carbon city became the core concept in establishing the responding policy to climate change. Due to the remarkable synergistic effect of climate policy and sustainable development in local government terms, it is likely that local government began to play the main role in supervision, policy supply and encouragement. As a result, the research and practice in governance mechanism of low-carbon city has been in investigation for years in many western countries. A resounding success has been achieved in controlling carbon emission. Both in theoretical and practical terms, it is believed that we can benefit from the experiences and lessons of low-carbon city governance in western countries. In this thesis, based on the research and practice in low-carbon city governance of western countries, an overview and an analysis for both inner-city governance and inter-city collaboration mechanisms of low-carbon city governance in western countries were made. The thesis consists of six chapters:
Chapter One introduces the background of research about low-carbon city governance, both in theory and in practice. Referring to a large number of researches published in recent years, we try to overlook the current research field. Existence of shortcomings and inadequates of current research provide a basis for this thesis. At the end of this section, the chief content, structure, novelties and shortcomings of the thesis are presented.
Chapter Two mainly discusses the political logic in low-carbon city governance, including the general principle, the policies and the impact of national particularity in the viewpoint of Polycentric Governance Theory.
Chapter Three makes a main revision to the history of low carbon city governance in western countries. Development of concepts clarifying, including of low-carbon economy, low-carbon society and to low-carbon city, is presented. With introduction of four low-carbon cities in western countries, the development in low-carbon city practice is studied.
Chapter Four assorts four types of inner-city governance mechanisms for local government, based on both the range and extent of government’s power application in the process to take the responding policy to climate change. They were termed as self-governing, governing through enabling, governing by provision and governing by authority, respectively. By providing examples in the practicing process for local governments in western countries, these four governance mechanisms are analyzed. Their detailed application range and characteristics are also discussed. We also evaluate the effect and limit in the process of policy’s practice.
Chapter Five discusses two types of inter-city collaboration governance mechanisms in the viewpoint of outside-collaboration, in which the local government is treated as one part of the global climate governance system. They were named as horizontal and vertical collaboration, respectively. Horizontal collaboration is similar to self-governing of local government. In the mean time, vertical collaboration comprises climate governance within metro-regions and national networking. According to the role played by government, we also assort three types of mechanisms for vertical collaboration. A study and evaluation is made by analyzing several typical low-carbon cities in many counties.
Chapter Six is an analytical review on the research mentioned above. Several points are made about low-carbon city governance mechanism, and based on which, the thesis also provides a few suggestions to Chinese cities in terms of low-carbon city governance and policy establishing.
第一章,首先对低碳城市治理的研究背景和意义进行了阐述;然后结合大量国内外文献资料,分析了当前该研究领域内的现状,并指出目前研究存在的问题,以得出本文研究的选题依据和切入点;最后简要叙述了本文的研究内容、结构、创新点和不足之处。
第二章,基于目前的西方治理理论的发展,特别是近年来得到广泛研究、应用的多中心治理理论,从多中心治理理论的内涵出发,试图理清低碳城市治理的政治逻辑。如:低碳城市治理的一般原则,低碳城市治理的实施内容,以及低碳城市治理的国家特殊性。
第三章,首先对西方国家低碳概念的历史做了梳理,从低碳经济、低碳社会到低碳城市的发展脉络进行了解释剖析。然后,对西方国家的低碳城市治理的实践进展,以四个城市(或国家级地区,如苏格兰)为例,进行了研究
第四章,从地方政府对气候变化应对政策实施过程中,政府权力的广度和力度,区分了四种当地政府内部治理机制:示范机制、指导机制、支持机制和权威机制。对这四种机制的概念、应用细则以及实施方式等,以国内外地方政府实施的具体例证方式进行了分析。并对其应用效果和局限之处进行了评估。
第五章将地方政府作为全球气候治理系统中的一部分,从外部合作角度提供了两种不同类型的合作治理:横向合作和纵向合作。横向合作可以说是地方自治的一种表现形式,而纵向合作则是城市地方政府与国家政府合作,共同治理地方气候问题。本文亦将纵向合作(主要根据政府在其中扮演的角色和激励力度问题)分成三种机制,也从各国政府实施例证的方式进行了研究评估。
第六章对以上研究的要点进行了回顾,得出了本文在低碳城市发展治理机制研究的一般原则和逻辑。并在此基础上,结合我国政治、经济发展特点,以及我国生态环境现状,从政策角度,特别是对低碳城市治理以及规划政策制定等,提出了几点建议。
With the trend of institutionalization in global environment protection, it has become an important issue in politics and economics to establish a fair, reasonable and effective climate governance system in the world range. In the last decade, low-carbon governance system based on low-carbon developing mode has attracted more and more attention. Especially, governance for low-carbon city became the core concept in establishing the responding policy to climate change. Due to the remarkable synergistic effect of climate policy and sustainable development in local government terms, it is likely that local government began to play the main role in supervision, policy supply and encouragement. As a result, the research and practice in governance mechanism of low-carbon city has been in investigation for years in many western countries. A resounding success has been achieved in controlling carbon emission. Both in theoretical and practical terms, it is believed that we can benefit from the experiences and lessons of low-carbon city governance in western countries. In this thesis, based on the research and practice in low-carbon city governance of western countries, an overview and an analysis for both inner-city governance and inter-city collaboration mechanisms of low-carbon city governance in western countries were made. The thesis consists of six chapters:
Chapter One introduces the background of research about low-carbon city governance, both in theory and in practice. Referring to a large number of researches published in recent years, we try to overlook the current research field. Existence of shortcomings and inadequates of current research provide a basis for this thesis. At the end of this section, the chief content, structure, novelties and shortcomings of the thesis are presented.
Chapter Two mainly discusses the political logic in low-carbon city governance, including the general principle, the policies and the impact of national particularity in the viewpoint of Polycentric Governance Theory.
Chapter Three makes a main revision to the history of low carbon city governance in western countries. Development of concepts clarifying, including of low-carbon economy, low-carbon society and to low-carbon city, is presented. With introduction of four low-carbon cities in western countries, the development in low-carbon city practice is studied.
Chapter Four assorts four types of inner-city governance mechanisms for local government, based on both the range and extent of government’s power application in the process to take the responding policy to climate change. They were termed as self-governing, governing through enabling, governing by provision and governing by authority, respectively. By providing examples in the practicing process for local governments in western countries, these four governance mechanisms are analyzed. Their detailed application range and characteristics are also discussed. We also evaluate the effect and limit in the process of policy’s practice.
Chapter Five discusses two types of inter-city collaboration governance mechanisms in the viewpoint of outside-collaboration, in which the local government is treated as one part of the global climate governance system. They were named as horizontal and vertical collaboration, respectively. Horizontal collaboration is similar to self-governing of local government. In the mean time, vertical collaboration comprises climate governance within metro-regions and national networking. According to the role played by government, we also assort three types of mechanisms for vertical collaboration. A study and evaluation is made by analyzing several typical low-carbon cities in many counties.
Chapter Six is an analytical review on the research mentioned above. Several points are made about low-carbon city governance mechanism, and based on which, the thesis also provides a few suggestions to Chinese cities in terms of low-carbon city governance and policy establishing.
引文
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