全球气候治理中的公私合作关系
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摘要
气候变化是当今全球治理议程中最受关注的议题之一。《京都议定书》生效期间，签约国中途退出或无法完成减排承诺的情况时有发生，而在尚未受到其强制约束的地方，却出现了自愿的气候治理实践。本文力求对“哪些行为体如何推动了气候公共物品（以下简称“公益”）的可持续提供”问题进行考察。
在提供气候公益的过程中，集体合作的实现方式随时代而变。面对即将到来的“绿色工业革命”，人类需要以前所未有的创新方式化解经济增长与可持续发展之间的矛盾。在这一过程中，全球治理呈现出自上而下和自下而上两种轨迹相互构建的二元治理范式，行为体也呈现多中心性与动态的公私属性。其中，在自下而上的制度变迁进程中，出现了包含公益市场化机制的公私合作制。这些机制通过微观的投融资创新对行为体之间关系进行主动管理，因此被称为诱导性的制度变迁机制。国际关系与管理学交叉融合而形成的公私合作关系视角，对全球公益提供过程中的问题解决和国际社会无政府文化的攀升，具有重要的推动作用。
基于此，本文提出以下研究假设：均衡的公私合作关系是公益可持续提供的源泉。由于致力于摆脱公共治理困境的创新行动能够带来足以使“搭便车”行为的负面影响忽略不计的收益规模，因此，推动公益问题解决的方案往往以对等生产方式自发地展开。对等生产区别于公司等级式生产和市场激励性生产，是以概念和方法创新为导向、大量人员彼此协作完成有潜在附加值的项目生产范式。公益的可持续提供有赖于收益的公平分配和有效的补偿机制，需要公共行为体充分吸纳私有行为体对等生产的研发成果，并通过公共政策或治理机制，为私有行为体提供节省成本的管理平台，将公私合作达成的均衡状态以标准的形式固化下来，从而以可操作的方式推动公私行为体能力建设和公共治理成熟度的提高。
本文以碳市场的构建和中美地方气候治理实践为例，验证了以上假设。
Climate change is one of the signature issues in the current global governance agenda. During the valid period of the Kyoto Protocol, there are countries denying, quitting or breaking promises of greenhouse gases (GHGs) emissions. However, in places where there are no binding obligations for carbon mitigation, there are voluntary climate governance practices. This dissertation examines “Who are providing climate public goods, and how they could make it sustainable?”
During the process of climate governance, manners of collective cooperation are changing according to the times. Facing the challenge of the approaching “green industrial revolution”, human beings need unprecedentedly innovative ways to resolve the conflicts between economic growth and sustainable development. A dual‐track governance paradigm emerges in the global governance—one is bottom‐up, the other top‐down, and actors in this paradigm are demonstrating polycentricity and dynamic features of the public and private. In the bottom‐up institutional changes track, public‐private partnerships (PPPs), including public goods marketalization mechanisms, are created and experimented, actively managing the relations between actors through microcosmic financing initiatives, and are thus called indusive institutional changes mechanisms. The PPPs perspective with an interdisciplinary crossing between international relations (IR) and management, is greatly promoting the problem‐solving of global public goods provision and the upgrading of anarchic cultures of the international society.
On the basis of that assumption, this dissertation hypothesizes that equilibrium of public‐private partnerships (PPPs) is the key for sustainable provisions of public goods. Innovative actions aiming at breaking away public governance dilemma can bring benefits scales large enough to overshade the negative losses of free‐riding, so projects of public provision problem‐solving are often carried out in a peer‐production way. Different from hierarchical production in firms and incentive production in markets, peer production is oriented in innovation of concepts and methods, with numerous persons coordinating with each other to accomplish projects goals with potential additional values. Sustainability of that voluntariness requires fair allocation of benefits and effective compensation mechanisms, in which public actors fully absorb private actors’ R&D outcomes, and provide managerial platform reducing costs for the private with public policies and governance mechanisms. PPPs are effective in consolidating standards of equilibrium of public‐private cooperations, so as to build capacities of actors in an operational way, improving the maturity of public governance.
This dissertation verifies that hypothesis by taking the construction of carbon market and local climate governance practices of the U.S. and China as examples.
在提供气候公益的过程中，集体合作的实现方式随时代而变。面对即将到来的“绿色工业革命”，人类需要以前所未有的创新方式化解经济增长与可持续发展之间的矛盾。在这一过程中，全球治理呈现出自上而下和自下而上两种轨迹相互构建的二元治理范式，行为体也呈现多中心性与动态的公私属性。其中，在自下而上的制度变迁进程中，出现了包含公益市场化机制的公私合作制。这些机制通过微观的投融资创新对行为体之间关系进行主动管理，因此被称为诱导性的制度变迁机制。国际关系与管理学交叉融合而形成的公私合作关系视角，对全球公益提供过程中的问题解决和国际社会无政府文化的攀升，具有重要的推动作用。
基于此，本文提出以下研究假设：均衡的公私合作关系是公益可持续提供的源泉。由于致力于摆脱公共治理困境的创新行动能够带来足以使“搭便车”行为的负面影响忽略不计的收益规模，因此，推动公益问题解决的方案往往以对等生产方式自发地展开。对等生产区别于公司等级式生产和市场激励性生产，是以概念和方法创新为导向、大量人员彼此协作完成有潜在附加值的项目生产范式。公益的可持续提供有赖于收益的公平分配和有效的补偿机制，需要公共行为体充分吸纳私有行为体对等生产的研发成果，并通过公共政策或治理机制，为私有行为体提供节省成本的管理平台，将公私合作达成的均衡状态以标准的形式固化下来，从而以可操作的方式推动公私行为体能力建设和公共治理成熟度的提高。
本文以碳市场的构建和中美地方气候治理实践为例，验证了以上假设。
Climate change is one of the signature issues in the current global governance agenda. During the valid period of the Kyoto Protocol, there are countries denying, quitting or breaking promises of greenhouse gases (GHGs) emissions. However, in places where there are no binding obligations for carbon mitigation, there are voluntary climate governance practices. This dissertation examines “Who are providing climate public goods, and how they could make it sustainable?”
During the process of climate governance, manners of collective cooperation are changing according to the times. Facing the challenge of the approaching “green industrial revolution”, human beings need unprecedentedly innovative ways to resolve the conflicts between economic growth and sustainable development. A dual‐track governance paradigm emerges in the global governance—one is bottom‐up, the other top‐down, and actors in this paradigm are demonstrating polycentricity and dynamic features of the public and private. In the bottom‐up institutional changes track, public‐private partnerships (PPPs), including public goods marketalization mechanisms, are created and experimented, actively managing the relations between actors through microcosmic financing initiatives, and are thus called indusive institutional changes mechanisms. The PPPs perspective with an interdisciplinary crossing between international relations (IR) and management, is greatly promoting the problem‐solving of global public goods provision and the upgrading of anarchic cultures of the international society.
On the basis of that assumption, this dissertation hypothesizes that equilibrium of public‐private partnerships (PPPs) is the key for sustainable provisions of public goods. Innovative actions aiming at breaking away public governance dilemma can bring benefits scales large enough to overshade the negative losses of free‐riding, so projects of public provision problem‐solving are often carried out in a peer‐production way. Different from hierarchical production in firms and incentive production in markets, peer production is oriented in innovation of concepts and methods, with numerous persons coordinating with each other to accomplish projects goals with potential additional values. Sustainability of that voluntariness requires fair allocation of benefits and effective compensation mechanisms, in which public actors fully absorb private actors’ R&D outcomes, and provide managerial platform reducing costs for the private with public policies and governance mechanisms. PPPs are effective in consolidating standards of equilibrium of public‐private cooperations, so as to build capacities of actors in an operational way, improving the maturity of public governance.
This dissertation verifies that hypothesis by taking the construction of carbon market and local climate governance practices of the U.S. and China as examples.
引文
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1Judith Richter,’We the Peoples’ Or ‘We the Corporations’? Critical Reflections on UN-Business ‘Partnerships’,Geneva: International Baby Food Action Network (IBFAN)-Geneva Infant Feeding Association (GIFA), January2003, pp.7-62.
2Naomi Oreskes, Erik M. Conway, Merchants of Doubt: How a Handful of Scientists Obscured the Truth onIssues from Tobacco Smoke to Global Warming,(New York, Berlin, London, Sydney: Bloomsbury Press,2010);Judith Richter,’We the Peoples’ Or ‘We the Corporations’? Critical Reflections on UN-Business ‘Partnerships’,pp.9,10,19,50-51; Michael Blanding, The Coke Machine: The Dirty Truth behind the World’s Favorite Soft Drink,(New York: Avery, Penguin Group (USA) Inc.,2010).
3Margaret Gibelman, Harold Demone,“Purchase of Service Forging Public-Private Partnerships in the HumanServices”, Urban and Social Change Review, Vol.16(1),1983, pp.21-26; Tony Bovaird,“Public and PrivatePartnerships for Financing Urban Programme”, in Edgar A. Rose (ed.) New Roles for Old Cities: Anglo-AmericanPolicy Perspectives on Declining Urban Regions,(Aldershot: Gower Press,1986).
4Matthew Flinder,“The Politics of Public–Private Partnerships”, Political Studies Association, Vol.7,2005,pp.215-239.英国剧作家马洛（Christopher Marlowe）在1592年出版的《浮士德博士悲剧》（The Tragical Historyof Doctor Faustus）中描写的德国学者浮士德博士，为了追求无限的知识以征服自然，以自己的灵魂换取役使魔鬼24年的权力，条件是期满后被魔鬼劫往地狱。
5Robert O. Keohane, After Hegemony: Collaboration and Discord in the World Political Economy,(Princeton:Princeton University Press,1984), p.94.
1John G. Ruggie,“The United Nations and Globalization: Patterns and Limits of Institutional Adaptation”, GlobalGovernance, Vol.9(3),2003, p.310; Ian Hurd,“Labor Standards through International Organizations: The GlobalCompact in Comparative Perspective”, Journal of Corporate Citizenship, Vol.11,2003, p.108; Robert O. Keohane,“Accountability in World Politics”, Scandinavian Political Studies, Vol.29(2),2006, pp.82,84.
2David Osborne, Ted Gaebler, Reinventing Government: How the Entrepreneurial Spirit is Transforming thePublic Sector,(New York: Plume,1993).
1Peter Kettner and Lawrence Martin,“Making Decisions about Purchase of Service Contracting”, in HaroldDemone and Margaret Gibelone (eds.) Services for Sale: Purchasing Health and Human Services,(Newark, NJ:Rutgers University Press,1989); David Parker and Keith Hartley,“The Economics of Partnership Sourcing VersusAdversarial Competition: A Critique”, European Journal of Purchasing and Supply Management, Vol.3(2),1997,
2pp.115-125.David Parker and Keith Hartley,“The Economics of Partnership Sourcing Versus Adversarial Competition: ACritique”, European Journal of Purchasing and Supply Management, Vol.3(2),1997, pp.115-125.
3Elke L ffler, Accountability Management in Intergovernmental Partnerships, Public Management Committee,Organisation for Economic Co-operation and Development (OECD), March25,1999,http://www1.worldbank.org/publicsector/civilservice/12e93914.pdf,2013年2月8日登录.
4Robert O. Keohane,“Accountability in World Politics”, Scandinavian Political Studies, Vol.29(2),2006, p.84.
5准市场机制指以实现公益为目的的全球公私合作机制。Tony Bovaird,“Public-Private Partnerships: FromContested Concepts to Prevalent Practice”, International Review of Administrative Sciences, Vol.70(2),2004,p.206.
6Frank Welsh, The Profit of the State: Nationalised Industries and Public Enterprises,(London: Maurice TempleSmith,1982), p.4.
7Roger Wettenhall,“The Rhetoric and Reality of Public-Private Partnerships”, Public Organization Review: AGlobal Journal, Vol.3,2003, pp.92-93,99.
1Joop F. M. Koppenjan,“The Formation of Public-Private Partnerships: Lessons from Nine TransportInfrastructure Projects in the Netherlands”, Public Administration, Vol.83, No.1,2005, pp.135-157.
2Thomas M. Franck, The Power of Legitimacy among Nations,(New York: Oxford University Press,1990).
3Thomas Risse,‘‘’Let’s Argue!’ Communicative Action in International Relations”, International Organization,Vol.54,2000, pp.1-39; Jeffrey T. Checkel,“Why Comply? Social Learning and European Identity Change”,
4International Organization, Vol.55,2001, pp.553-558.John G. Ruggie,“The United Nations and Globalization: Patterns and Limits of Institutional Adaptation”, GlobalGovernance, Vol.9,2003, p.310; John G. Ruggie,“Reconstituting the Global Public Domain: Issues, Actors, andPractices”, European Journal of International Relations, Vol.10,2004, pp.499-531.
5Martha Finnemore and Kathryn Sikkink,“International Norm Dynamics and Political Change”, InternationalOrganization, Vol.52,1998, pp.887-917.
1Margaret Keck and Kathryn Sikkink, Activists Beyond Borders: Advocacy Networks in International Politics,(Ithaca, NY: Cornell University Press,1998), pp.8-14; Thomas Risse, Steve C. Ropp and Kathryn Sikkink, ThePower of Human Rights: International Norms and Domestic Change,(Cambridge: Cambridge University Press,1999).
2Jan Kooiman, ed., Modern Governance,(London: Sage,1993); Rod Rhodes, Understanding Governance: PolicyNetworks, Governance, Reflexivity and Accountability,(Buckingham: Open University Press,1997); Gerry Stoker,“Governance as Theory: Five Propositions”, International Social Science Journal,1998, pp.17-28; Jon Pierre, B.Guy Peters, Governance, Politics and the State,(Houndmills, UK: Macmillan,2000).
1Marco Sch ferhoff, Sabine Campe and Christopher Kaan,“Transnational Public-Private Partnerships inInternational Relations: Making Sense of Concepts, Research Frameworks, and Results”, International StudiesReview, Vol.11,2009, p.463.
2Abram Chayes and Antonia H. Chayes, The New Sovereignty: Compliance with International RegulatoryAgreements, Cambridge,(MA: Harvard University Press,1995), pp.8-21.
3John G. Ruggie,“The United Nations and Globalization: Patterns and Limits of Institutional Adaptation”, GlobalGovernance, Vol.9(3),2003, p.310.
1Chris Argyris and Donald A. Schon, Organizational Learning,(Reading, Massachusetts: Addison-Wesley,1980),pp.20-26.此处借用组织学习理论中的双环学习（double-loop learning）模型，说明公共治理规范在国家、次国家、地方层面的传播过程中，经历的是双向互构、而非单向适应（single-loop learning）的进程。单向适应的规范传播方式，被称为“简单学习（simple learning）”，而双向互构的规范传播方式，则被称为“复杂学习”。
2Faranak Miraftab,“Public-Private Partnerships: The Trojan Horse of Neoliberal Development?” Journal ofPlanning Education and Research, Vol.24,2004: p.98.
3Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),p.325.
4Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),pp.328-331.
5Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),pp.332-335.
6Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),pp.370-372.
7Martha Finnemore,“International Organizations as Teachers of Norms: The United Nations Educational,Scientific, and Cultural Organization and Science Policy”, International Organization, Vol.47(4),1993, pp.565-597.
1Jeffrey Checkel,“Why Comply? Social Learning and European Identity Change”, International Organization,Vol.55,2001.pp.553-588.
2Amitav Acharya,“How Ideas Spread: Whose Norms Matter? Norm Localization and Institutional Change inAsian Regionalism”, International Organization, Vol.58, Spring2004, pp.239-275.
3Janet Newman, Modernising Governance: New Labour, Policy and Society,(London: Sage.Newman,2001); SueGoss, Making Local Governance Work: Networks, Relationships and the Management of Change,(Houndmills,UK: Palgrave,2001), pp.114,165; Alex Matheson, Hae-Sang Kwon,“Public Management in Flux: Trends andDifferences across OECD Countries?” in Tony Bovaird and Elke L ffler (eds.), Public Management andGovernance,(London: Routledge,2003).
4Bovaird Tony and Sudi Sharifi,“Partnerships and Networks as Self-organizing Systems: A Case Study of RuralAction for the Environment”, in A. Halachmi and P. Boorsma (eds.) Inter and Intra Government Arrangements forProductivity: A Principal–Agent Approach,(Dordrecht: Kluwer,1998).
1Hans J. Morgenthau, Politics among Nations: The Struggle for Power and Peace (7thEdition), revised byKenneth W. Thompson and W. David Clinton,(Boston, MA: McGraw-Hill Companies, Inc.,2006), pp.4-16,25-26,204-208,425.
2John J. Mearsheimer,“The False Promise of International Institutions”, International Security, Vol.19(31),Winter1994-1995, pp.5-49.
1[美]罗伯特·基欧汉：《霸权之后：世界政治经济中的合作与纷争》（苏长和、信强、何曜译），上海：上海世纪出版集团，2006年1月第1版，第3-5页。
2Oran R. Young,“International Regimes: Problems of Concept Formation”, World Politics, Vol.32(3), April1980,pp.337.
3[美]罗伯特·吉尔平：《全球政治经济学：解读国际经济秩序》（杨宇光、杨炯译），上海：上海世纪出版
4集团，2006年1月第1版。Richard N. Cooper, The Economics of Interdependence: Economic Policy in the Atlantic Community,(New York:
5McGraw-Hill,1968), p.262.Anne-Marie Slaughter,“The Real New World Order”, Foreign Affairs, Vol.76(5), September/October1997,pp.183-197.
6[美]罗伯特·基欧汉：《霸权之后：世界政治经济中的合作与纷争》（苏长和、信强、何曜译），上海：上海世纪出版集团，2006年1月第1版，第361-362页。
7[美]亚历山大·温特：《国际政治的社会理论》（秦亚青译），上海：上海世纪出版集团，2008年1月第1版，第21‐29页。
1[美]亚历山大·温特：《国际政治的社会理论》（秦亚青译），上海：上海世纪出版集团，2008年1月第1版，第253‐254页。
2J. Samuel Barkin,“Realist Constructivism”, International Studies Review, Vol.5,2003, pp.324-342.
1Ronald H. Coase,“The Problem of Social Cost”, Journal of Law and Economics, October1960.
2Arthur C. Pigou, The Economics of Welfare,(London: Macmillan,1920).
1Ronald H. Coase,“The Problem of Social Cost”, Journal of Law and Economics, October1960.
2Tom D. Crocker,“The Structuring ofAtmospheric Pollution Control Systems”, in Harold Wolozin, ed., TheEconomics of Air Pollution,(New York: W. W. Norton,1966).
3John Harkness Dales, Pollution, Property, and Price,(Toronto, Canada: University of Toronto Press,1968).
4Kenneth J. Arrow,“The Organization of Economic Activity: Issues Pertinent to the Choice of Market versusNon-Market Allocation”, in The Analysis and Evaluation of Public Expenditures: The PPB System, Joint EconomicCommittee of Congress,(Washington, D.C.: U.S. Government Printing Office,1969), pp.47-64.
5“影子价格”指商业活动中，管理者为获取额外一单位既定资源所愿付出的最高价格。William DavidMontgomery,“Markets in Licenses and Efficient Pollution Control Programs”, Journal of Economic Theory, Vol.5
(3), Dec.1972, pp.395-418.
1Thomas H. Tietenberg, Lynne Lewis, Environment and Natural Resources Economics,(Boston, New York, etc.:Pearson Education, Inc.,1981,1985,1996,2009,2012); Thomas H. Tietenberg, Emissions Trading: An Exercise inReforming Pollution Policy,(Washington, DC: Resources for the Future,1985); Thomas H. Tietenberg,“AcidRain Reduction Credits”, Challenge, Vol.32(2),1989, pp.25-29; Thomas H. Tietenberg,“Economic Instrumentsfor Environmental Regulation”, Oxford Review Economics Policy, Vol.6(1),1990, pp.17-33; Thomas H.Tietenberg,“Implementation Issues for Global Tradable Permits” In: Van Ierland, E.C.(Ed.), InternationalEnvironmental Economics: Theories, Models, and Applications to Climate Change: International Trade andAcidification,(New York: Elsevier,1994), pp.119-149; Thomas H. Tietenberg,“Tradable Permits for PollutionControl When Emission Location Matters: What Have We Learned?” Environmental and Resource Economics,Vol.5(2).1995, pp.95-113.
2叶卫华：《全球负外部性的治理——大国合作》，江西财经大学2010年博士学位论文，第48页。
3沈满洪：《论环境经济手段》，载《经济研究》1997年第10期，第54-61页。
1Inge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the
21stCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: BuildingCoalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.
2Esmond Samuel de Beer, ed., The Diary of John Evelyn (III),(Oxford: Oxford University Press,1955), p.495.
3Robert Angus Smith, Air and Rain: The Beginnings of A Chemical Climatology,(London: Longmans, Green andCo.,1872).
4Svante Oden,“TheAcidity Problem: An Outline of Concepts”, Water, Air and Soil Pollution, Vol.6, Issue2-4,September-November,1976, pp.137-166.
1任仁：《酸雨》，载《化学与社会》1996年第7期，第1，4-5页。
2杨令侠：《加拿大与美国关于酸雨的环境外交》，载《南开学报（哲学社会科学版）》2002年第3期，第119页。1955年，美国国会通过了《空气污染管制法》（Air Pollution Control Act），成为其国内首个致力于为空气污染防治的科学研究提供资助的法案。1963年，致力于空气污染防治的《清洁空气法案》（CleanAirAct, CAA）获国会通过，该法案要求在美国公共卫生署（U.S. Public Health Service）推行一项对空气污染检测和控制技术进行研究的联邦项目。1967年，致力于拓展联邦政府空气防治行动的《空气质量法案》（AirQuality Act）获得通过，一系列防治州际公共交通对空气污染影响的措施得以实施，并首次开展空气污染物排放清单的制作，对全国性环境监测技术研究和固定污染源进行实地考察。1971年，美国成立了联邦环保署（EPA）。参见US Environmental ProtectionAgency (EPA), History of the Clean Air Act, last updated onFebruary17,2012, http://epa.gov/air/caa/caa_history.html,2013年3月10日登录.
31971年，美国环保署首次制定的二氧化硫环境空气质量标准，1974年和2010年进行过两次修订。1971年首次制定的标准规定：一级标准年平均和24小时平均浓度限值分别为80微克/立方米和365微克/立方米；二级标准年平均和3小时平均浓度限值分别为60微克/立方米和1300微克/立方米。1974年废除了二级标准的年平均浓度限值，2010年又在一级标准中废除了年平均和24小时平均浓度限值，增加1小时平均浓度限值为200微克/立方米。据此，美国现行二氧化硫环境空气质量标准为：一级标准1小时平均浓度限值为200微克/立方米；二级标准3小时平均浓度限值为1300微克/立方米。参见曹俊：《美国：十次修订标准为哪般？》，载《中国环境报》2011年11月29日第4版。
4Denny Ellerman, et al., Markets for Clean Air,(Cambridge: Cambridge University Press,2000).
1Thomas Tietenberg,“Economic Instruments for Environmental Regulation”, Oxford Review of Economic Policy,Vol.16,1991, pp.25-148; Thomas Tietenberg,“Ethical Influences on the Evolution of the US Tradable PermitApproach to Air Pollution Control”, Ecological Economics, Vol.24,1998, pp.241-257.
2江伟钰、陈方林主编：《资源环境法词典》，北京：中国法制出版社，2005年6月第1版，第355-356页。
3U.S. EPA, Appendix S to Part51—Emission Offset Interpretative Ruling: Emissions Offset Interpretive Ruling,
40CFR Ch. I (7-1-12Edition),1976, pp.528-549.
4U.S. EPA,“Title IV-Acid Deposition Control:42USC§7651. Findings and Purposes”, The1990Clean Air ActAmendments, last updated on December19,2008, http://epa.gov/oar/caa/title4.html,2013年3月18日登录.
5U.S. EPA,“Monitoring of Acid Rain Program in Canada” in “Title IV-Acid Deposition Control:42USC§7651.Findings and Purposes”, The1990Clean Air Act Amendments.
6杨令侠：《加拿大与美国关于酸雨的环境外交》，载《南开学报（哲学社会科学版）》2002年第3期，第122页。
1U.S. EPA,“What EPA Is Doing?” Acid Rain, last updated on Dec.4,2012, seehttp://www.epa.gov/acidrain/reducing/index.html,2013年3月13日登录; U.S. EPA,“Title IV-Acid DepositionControl”, Clean Air Act, http://epa.gov/oar/caa/title4.html,2013年3月18日登录.
2蒙少东：《美国的酸雨计划及效果对我国环保管理的启迪》，载《华侨大学学报（哲社版）》1999年增刊，第50‐52页。
3北京环境交易所：《排污权交易成功典例：美国酸雨计划》，2008年7月31日文，http://www.cbeex.com.cn/article/zlzx/qtxx/200808/20080800003391.shtml，2013年3月19日登录。
4王俊英：《二氧化硫排污权交易市场体系研究——以青岛市为例》，中国海洋大学2007年博士论文，第68-69页。
5Inge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the21stCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: BuildingCoalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.
1J. Mario Molina, Frank S. Rowland,“Stratospheric Sink for Chlorofluoromethanes: Chlorine Atom-CatalysedDestruction of Ozone”, Nature, Vol.249, June28,1974, pp.810-812.
2United Nations Environmental Programme (UNEP), World Plan of Action on the Ozone Layer: EnvironmentalAssessment, UNEP: Compendium of Legislative Authority (1972-1977),1977.
3UNEP, Handbook for the Vienna Convention for the Protection of the Ozone Layer (1985)(Ninth Edition2012),(Ozone Secretariat of UNEP,2012), pp.3-16.
4J. C. Farman, B. G. Gardiner, J. D. Shanklin,“Large Losses of Total Ozone in Antarctica Reveal SeasonalClOx/NOxInteraction”, Nature, Vol.315, May1985, pp.207-210.
5UNEP, The Montreal Protocol on Substances that Deplete the Ozone Layer as Either Adjusted and/or Amendedin London1990, Copenhagen1992, Vienna1995, Montreal1997, Beijing1999,(Ozone Secretariat of UNEP,2000), http://www.unep.org/ozone/pdfs/Montreal-Protocol2000.pdf,2013年2月27日登录.
61. Article2B: Halons and Group II of Annex A;2. Article2A: Chlorofluorocarbons (CFCs) and Group I ofAnnex A (CFC-11, CFC-12, CFC-113, CFC-114and CFC-115), Article2C: Other Fully Halogenated CFCs andGroup I of Annex B (CFC-13, CFC-111, CFC-112, CFC-211, CFC-212, CFC-213, CFC-214, CFC-215, CFC-216,CFC-217), Article2D: Carbon Tetrachloride and Group II of Annex B, Article2E:1,1,1-Trichloroethane(MethylChloroform) and Group III of Annex B;3. Article2F: Hydrochlorofluorocarbons (HCFCs) and Group I of AnnexC;4. Article2G and Group II of Annex C, Hydrobromofluorocarbons and Group II of Annex C (HBFCs);5.Article2H: Methyl Bromide and Annex E, in UNEP, Handbook for the Montreal Protocol on Substances thatDeplete the Ozone Layer (1987)(Ninth Edition2012), pp.6-7,8-9,11-12,25,30,32-39,40-41,42-44.
1UNEP, Handbook for the Montreal Protocol on Substances that Deplete the Ozone Layer(1987)(Ninth Edition2012), pp.320-430.
2Annex V, Initiative List of Measures that Might Be Taken by A Meeting of the Parties in Respect ofNon-compliance with the Protocol, in UNEP, Handbook for the Montreal Protocol on Substances that Deplete theOzone Layer(1987)(Ninth Edition2012), p.586.
3Cesare P. R. Romano, The Peaceful Settlement of International Environmental Disputes: A Pragmatic Approach,
4(The Hague, Boston: Kluwer Law International,2000), p.78.Paul C. Szasz, ed., Administrative and Expert Monitoring of International Treaties,(Ardsley, New York:Transnational Publishers,1999), p.127.
5Article5: Special Situation of Developing Countries, p.15; Article10: Financial Mechanism, in UNEP,Handbook for the Montreal Protocol on Substances that Deplete the Ozone Layer(1987)(Ninth Edition2012),pp.19-21.
2国家环境保护总局政策法规司编：《中国缔结和签署的国际环境条约集》，北京：学苑出版社，1999年版，第65页。
3David G. Victor, Kal Raustiala, Eugene B. Skolnikoff, The Implementation and Effectiveness of InternationalCommitments: Theory and Practice,(Laxenburg, Austria: International Institute for Applied Systems Analysis,Cambridge, Mass.: MIT Press,1998), p.145.
1David G. Victor, Kal Raustiala, Eugene B. Skolnikoff, The Implementation and Effectiveness of InternationalCommitments: Theory and Practice,(Laxenburg, Austria: International Institute for Applied Systems Analysis,Cambridge, Mass.: MIT Press,1998), p.67.
2Global Environment Facility (GEF),“What Is the GEF”, About GEF, http://www.thegef.org/gef/whatisgef,2013年2月26日登录.
3[美]戴维·奥斯本，特德·盖布勒：《改革政府——企业精神如何改革着公共部门》（上海市政协编译组、东方编译所编译），上海：上海译文出版社，1996年版，第22页。
4Anita Margrethe Halvorssen, Equality among Unequal in International Environmental Law: Differential
5Treatment for Developing Countries,(Boulder, Colorado: Westview Press,1999), p.172.UNEP, Handbook for the Vienna Convention for the Protection of the Ozone Layer (1985)(Ninth Edition2012),(Ozone Secretariat of UNEP,2012), p.59; UNEP, Handbook for the Montreal Protocol on Substances that Depletethe Ozone Layer(1987)(Ninth Edition2012), p.650.
6Paul C. Szasz, ed., Administrative and Expert Monitoring of International Treaties,(Ardsley, New York:Transnational Publishers,1999), p.130.
1Revenue Reconciliation Act of1989: Explanation of Provisions Approved by the Committee, on October3,1989,Vol.4; Thomas Tietenberg,“Ethical Influences on the Evolution of the US Tradable Permit Approach to Air
2Pollution Control”, Ecological Economics, Vol.24,1998, p.245.U.S. Environmental Protection Agency, Regulatory Impact Analysis: Protection of Stratospheric Ozone (VolumeII),(Washington, D.C.: EPA, December1987), Appendix M.
3UNEP, Action on Ozone (2000Edition),(Ozone Secretariat of UNEP,2000), p.11.
4Martha M. Hamilton,“EPA Asks DuPont Co. to Make CFCs in ‘95: Environmentalists Criticize Agency's Move”,The Washington Post, December18,1993, p.Ci.
1Cass Peterson,“McDonald's Repackaging Sandwiches to Guard Ozone”, Washington Post, August5,1987.
2Elizebeth Cook, et al., eds., Ozone Protection in the United States: Elements of Success,(World ResourcesInstitute (WRI), November1996), pp.4,24-25; Foodservice&Packaging Institute, Inc., Fully HalogenatedChlorofluorocarbon Voluntary Phase-out Program, April12,1988.
3Elinor Ostrom, Governing the Commons: The Evolution of Institutions for Collective Action,(Cambridge, NewYork, Melbourne, Madrid, Cape Town: Cambridge University Press,1990), p.15.
1David G. Victor, Kal Raustiala, Eugene B. Skolnikoff, The Implementation and Effectiveness of InternationalCommitments: Theory and Practice,(Laxenburg, Austria: International Institute for Applied Systems Analysis,Cambridge, Mass.: MIT Press,1998), p.107.
2“规模匹配”原则在这里指根据环境危害的具体情形和治理需求确定相应的规模层次及适用法规。Bryan G.Norton, Searching for Sustainability: Interdisciplinary Essays in the Philosophy of Conservation Biology,
(Cambridge: Cambridge University Press,2002); Henry H. Butler&Jonathan R. Macey,“Externalities and theMatching Principle: The Case for Reallocating Environmental Regulatory Authority”, Yale Journal of Regulation,Vol.14,1996, pp.23-66.
3Elizabeth Cook, et al., eds., Ozone Protection in the United States: Elements of Success,(World ResourcesInstitute (WRI), November1996), pp.1-7.
1Inge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the21stCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: Building
2Coalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.Jack Hirshleifer,“From Weakest-Link to Best Shot: The Voluntary Provision of Public Goods”, Public Choice41(3),1983, pp.371-386；《世界银行全球发展融资（2001）》将weakest-link译为“弱关联”，将best-shot译为“最佳聚焦”，笔者将其译法略作调整，将weakest-link译为“最矮堤坝型”，将weighed sum译为“加权综合型”，以便于理解。
1UNEP, Status of Ratification,(Ozone Secretariat, February21,2013),http://montreal-protocol.org/new_site/en/treaty_ratification_status.php,2013年3月29日登录.
2Cass R. Sunstein,“Of Montreal and Kyoto: A Tale of Two Protocols”, Harvard Environmental Law Review,Vol.31,2007, pp.1-65.
3[英]安东尼·吉登斯：《气候变化的政治》（曹荣湘译），北京：社会科学文献出版社，2009年12月第1版，第18页。
4[英]安东尼·吉登斯：《气候变化的政治》（曹荣湘译），北京：社会科学文献出版社，2009年12月第1版，第18-19页。
5Donella H. Meadows, et al., Limits to Growth: A Report for the Club of Rome’s Project on the Predicament ofMankind,(New York: Mew American Library,1972).
6Freeman J. Dyson,“Can We Control the Carbon Dioxide in the Atmosphere?” Energy, Vol.2,1977, pp.287-291.
7United Nations, Our Common Future: Report of the World Commission on Environment and Development(WCED), Oxford: Oxford University Press,1987.
1欧洲共同体官方出版局：《欧洲共同体条约集》（戴炳然译），上海：复旦大学出版社，1993年版，第371-372页。
2雷剑锋：《欧盟多层治理与政策》，北京：世界知识出版社，2011年1月第1版，第156页。
3European Commission,“The EU Emissions Trading System (EU ETS)”, Climate Action, January4,2013,http://ec.europa.eu/clima/policies/ets/index_en.htm,2013年3月30日登录.
1《京都议定书》中文文本第三条，参见《联合国气候变化框架公约》官方网站http://unfccc.int/resource/docs/convkp/kpchinese.pdf.
2Katherine Hamilton, et al., State of the Voluntary Carbon Market2007: Picking Up Steam,(New York andWashington D.C.: Ecosystem Marketplace&New Carbon Finance,2007), pp.5,10.
3Katherine Hamilton, et al., State of the Voluntary Carbon Market2007: Picking Up Steam,(New York andWashington D.C.: Ecosystem Marketplace&New Carbon Finance,2007), p.11.
1[英]安东尼·吉登斯：《气候变化的政治》（曹荣湘译），北京：社会科学文献出版社，2009年12月第1版，第220-221页。
2George Pring,“The United States Perspective”, in Peter D. Cameron and Donald N. Zillman (eds.), Kyoto: FromPrinciples to Practice,(The Hague: Kluwer Law International,2001), pp.194,216,217; Marvin Soroos,“Scienceand International Climate Change Policy”, in Neil E. Harrison and Gary C. Bryner (eds.), Science and Politics inthe International Environment,(Lanham: Rowman&Littlefield Publishers,2004), p.101.
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012).
2武曙红、宋维明：《自愿林业碳市场对CDMA林业碳市场的影响》，载《林业科学》2010年第2期，第145页。
3Katherine Hamilton, et al., Fortifying the Foundation: State of the Voluntary Carbon Markets2009,(New Yorkand Washington D.C.: Ecosystem Marketplace&New Carbon Finance,2009), pp.i~iii.2007年场外交易市场的碳交易额为4,210万吨二氧化碳当量（tCO2e），是2006年的3倍，芝加哥交易市场碳交易额为2.290千万tCO2e，全年的自愿碳市场交易总额高于6.5千万tCO2e。2008年，自愿碳市场交易额又较2007年增长了87%，达到1.23亿tCO2e，交易额价值7.05亿美元。
4Katherine Hamilton, et al., Fortifying the Foundation: State of the Voluntary Carbon Markets2009,(New Yorkand Washington D.C.: Ecosystem Marketplace&New Carbon Finance,2009), pp.i~iii.
1Ecosystem Marketplace and Bloomberg New Energy Finance, State of the Voluntary Carbon Markets Report2010,http://www.globe-net.com/articles/2010/june/15/state-of-the-voluntary-carbon-markets-report-2010-.aspx?sub=11.
2Open Congress, American Clean Energy and Security Act (H. R.2454), July7,2009,http://www.opencongress.org/bill/111-h2454/text,2013年2月9日登录.
1Isnge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the21tCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: Building2Coalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.
2International Energy Agency (IEA), World Energy Outlook: Executive Summery,(France, London: InternationalEnergy Agency,2011), p.2.
3Jack Hirshleifer,“From Weakest-Link to Best Shot: The Voluntary Provision of Public Goods”, Public Choice41(3),1983, p.371.
1James Bradfield Moody, Bianca Nogrady, The Sixth Wave: How to Succeed in a Resource-Limited World,(Sydney: Vintage Books,2010).
1薄燕：《全球气候变化问题上的中美欧三边关系》，载《现代国际关系》2010年第4期，第15页。
1UNFCCC, Appendix2of the Copenhagen Accord: Nationally Appropriate Mitigation Actions by DevelopingCountry Parties to the Copenhagen Accord,(Bonn: UNFCCC,2010), http://unfccc.int/home/items/5265.php,2013年3月30日登录.
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.9.
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.41.
1John G. Rowland, A Connecticut Report on Climate Change: Leading by Example: Connecticut Collaborates toReduce Greenhouse Gas Emissions,http://ctclimatechange.com/wp-content/uploads/2009/03/2002_Governors_Letter.pdf,2011年11月10日登录.
2Charles Holt, et al., Auction Design for Selling CO2Emission Allowances Under the Regional Greenhouse GasInitiative (Final Report), October2007, http://www.rggi.org/docs/rggi_auction_final.pdf,2013年4月3日登录.
3RGGI, Design Elements for Regional Allowance Auctions under the Regional Greenhouse Gas Initiative, March17,2008, http://www.rggi.org/docs/20080317auction_design.pdf,2013年4月3日登录.
4庄彦，蒋莉萍，马莉：《美国区域温室气体减排行动的运作机制及其对电力市场的影响》，载《能源技术经济》2010年第22卷第8期，第33页。
1Paul M. Bernstein, et al., Economic Consequences of Northeastern State Proposals to Limit Greenhouse GasEmissions from The Electricity Sector (RGGI),(MA: Charles River Associates Incorporated, July20,2004),http://www.accf.org/wp-content/uploads/2004/07/rcgiConsequences.pdf,2013年3月22日.
2Barry G. Rabe, Statehouse and Greenhouse: The Emerging Politics of American Climate Change Policy,(Washington D.C.: Brookings Institution Press,2004), p.30.
1Mark A. Boyer,“Global Climate Change and Local Action: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, pp.79-107.
2Committee on the Environment and the Northeast International Committee on Energy of the Conference of NewEngland Governors and Eastern Canadian Premiers (NEG/ECP), Climate Change Action Plan2001, August2001,see www.iclei.org/documents/USA/NEG-ECP_CCAP.pdf,2011年11月8日登录..
3Tremaine Foundation, Environment Program: Climate Change,http://www.tremainefoundation.org/Content/Environment_Programs.asp,2011年11月9日登录.
4Riley E. Dunlap,Aaron M. McCright,“AWidenning Gap: Republican and Democratic Views on ClimateChange”, Environment, Vol.50, No.5, September/October2008, pp.26-35.
1Governor’s Steering Committee. Leading by Example: Connecticut Collaborates to Reduce Greenhouse GasEmissions,(Rockefeller Brothers Fund, Inc.,2003).
2RGGI, Inc., Regional Green House Emissions: An Initiative of the Northeast and Mid-Atlantic States of the US,http://www.rggi.org/home,2011年11月10日登录.
3Mark A. Boyer,“Global Climate Change and Local Action: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, p.92,96.
4United States Environment ProtectionAgency, Co-Benefits RiskAssessment (COBRA) Screening Model:AScreening Tool That Estimates Health Effects, State and Local Climate and Energy Program,http://www.epa.gov/statelocalclimate/resources/cobra.html,2011年11月10日登录.
1Suzanne Goldenberg, US Climate Agency Declares CO2Public Danger: Environmental Protection AgencyDeclaration Allows It to Impose Emissions Cuts without Agreement of Reluctant Senate, Dec.7,2009,http://www.guardian.co.uk/environment/2009/dec/07/us-climate-carbon-emissions-danger,2011年11月10日登录.
2Mark A. Boyer,“Global Climate Change and LocalAction: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, p.92.
3Mark A. Boyer,“Global Climate Change and Local Action: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, p.93.
1Brendan Koerner,“Where to Hide From Mother Nature--Wyoming? Nope. West Virginia? ThinkAgain.” Slate,September15,2005, http://www.slate.com/id/2126321/,2012年9月3日登录.
2The CT Governor’s Steering Committee on Climate Change (GSC),“InitialActions and ClimateAction Map”,Connecticut Climate Change, updated on June28th,2011,http://ctclimatechange.com/index.php/towns/climate-action-map-testing/,2012年9月3日登录.
3Mark A. Boyer,“Global Climate Change and LocalAction: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, pp.95-96.
1Barry G. Rabe,“States on Steroids: The Intergovernmental Odyssey ofAmerican Climate Policy,” Review ofPolicy Research, Vol.25(2),2008, pp.105-128.
1Gerry Bemis and JenniferAllen, Inventory of California Greenhouse Gas Emissions and Sinks:1990to2002Update, prepared in support of the2005Integrated Energy Policy Report, California Energy Commission, Dec.2006.
2A. J. Haagen-Smit,“Chemistry and Physiology of Los Angelos Smog”, Industrial and Engineering Chemistry,Vol.44, No.6, pp.1342-1346.
3W. Michael Hanemann, How California Came to Pass AB32, the Global Warming Solutions Act of2006(Working Paper No.1040),(California Agricultural Experiment Station Giannini Foundation of AgriculturalEconomics, University of California: eScholarship, March2007), pp.3-8.
1Mary E. Hogan,“California Climate Change Initiatives Leading the West and the Nation”, Natural Resourcesand Environment,2008, Vol.22(3).
2Lance Davis, Douglass C. North,“Institutional Change andAmerican Economic Growth: AFirst Step towards aTheory of Institutional Innovation”, The Journal of Economic History, Vol.30(1), March1970, pp.131-149.
3California Environmental ProtectionAgency&CaliforniaAir Resources Board, Climate Change EmissionControl Regulations: Fact Sheet, Dec.10,2004, www.arb.ca.gov/cc/factsheets/cc_newfs.pdf.
1U.S. EPA,“State Standards”(Sec.209), Clean Air Act, February24,2004, pp.254-255.
2Mary E. Hogan,“California Climate Change Initiatives Leading the West and the Nation”, Natural Resourcesand Environment,2008, Vol.22(3).
3Vehicle Emission Control Center, EPA Grants California GHG Waiver, July3,2009,http://www.vecc-mep.org.cn/eng/news/news_detail.jsp?newsid=33711#,2011年11月11日登录.
4Center for Climate and Energy Solutions, Vehicle Greenhouse Gas Emissions Standards Has Adopted CA VehicleStandards. US Climate Policy Maps, http://www.pewclimate.org/sites/default/modules/usmap/pdf.php?file=5905.
1Arnold Schwarzenegger, Executive Order S-3-05, Executive Department, State of California, June2005,http://www.dot.ca.gov/hq/energy/ExecOrderS-3-05.htm,2013年4月4日登录.
2Amy Lynd Luers, et al., Our Changing Climate: Assessing the Risk to California,(California EnergyCommission’s Public Interest Energy Research (PIER)&California Climate Change Center, California EnergyCommission-500-2006-077, July2006), http://meteora.ucsd.edu/cap/pdffiles/CA_climate_Scenarios.pdf.
3W. Michael Hanemann, How California Came to Pass AB32, the Global Warming Solutions Act of2006(Working Paper No.1040), pp.21-23.
1California Environmental Protection Agency, Assembly Bill No.32: California Global Warming Solutions Act of2006, September27,2006,http://www.leginfo.ca.gov/pub/05-06/bill/asm/ab_0001-0050/ab_32_bill_20060927_chaptered.pdf; Air ResourcesBoard, California Energy Commission, Environmental Defense: History of California’s Involvement in AirPollution and Climate Change, March18,2010, http://www.climatechange.ca.gov/background/history.html,2010年4月14日登录.
2王玉英：《美国加州首个碳排放拍卖会成交2.86亿美元》，新华社洛杉矶2012年11月19日电。
1Mary E. Hogan,“California Climate Change Initiatives Leading the West and the Nation”, Natural Resourcesand Environment,2008, Vol.22(3), p.16.
2David Vogel,“Trading Up and Governing Across: Transnational Governance and Environmental Protection”,Journal of European Public Policy4, December1997, pp.556-571.
3W. Michael Hanemann, How California Came to Pass AB32, the Global Warming Solutions Act of2006(Working Paper No.1040), p.25.
1庄贵阳：《后京都时代国际气候治理与中国的战略选择》，载《世界经济与政治》2008年第8期，第6页。
2Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community” in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.22.
3Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community”, in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.25.
1Kentaro Tamural, Eric Zusman,“The Politics of Climate Policy in China: Interests, Institutions and Ideas”,
2Institute for Global Environmental Strategies (IGES) Working Paper-CC-2011-07, Nov.2011, p.6.Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community”, in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.30.
3Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community”, in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.31.
4国家发展和改革委员会应对气候变化司《：中国代表团团长刘江部长于1999年在气候变化公约第五届缔约方会议上的发言》，中国气候变化信息网“公约进程”2002年7月18日电，http://www.ccchina.gov.cn/cn/NewsInfo.asp?NewsId=3876,2012年12月17日登录。
1张卫华：《中国第一个CDM项目前生今世》，载《经济》2007年第7期，第22-25页。
2Kentaro Tamural, Eric Zusman,“The Politics of Climate Policy in China: Interests, Institutions and Ideas”,Institute for Global Environmental Strategies (IGES) Working Paper-CC-2011-07, Nov.2011, p.11.
3苏民：《千家企业节能行动成效显著》，载《经济日报》2009年12月17日讯。
1发改委、科技部、外交部、财政部（2005年第37号令）：《清洁发展机制项目运行管理办法》第二十四条。
2Kentaro Takahashi, Market Mechanisms Country Fact Sheet: People’s Republic of China,(Institute for GlobalEnvironmental Strategies (IGES), May2011), pp.1-8.
3Miriam Schr der,“Varieties of Carbon Governance: Utilizing the Clean Development Mechanism for ChinesePriorities”, The Journal of Environment and Development,2009, Vol.18(4), pp.379-380.
4Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012).
1Olivia Boyd, Tan Copsey,“What’s in the Five-Year Plan?” in “China’s Green Revolution: Energy, Environmentand the12th Five-Year Plan”, Chinadialogue, April2011, p.13.
2Olivia Boyd, Tan Copsey,“What’s in the Five-Year Plan?” in “China’s Green Revolution: Energy, Environmentand the12th Five-Year Plan”, Chinadialogue,p.14.
1非言：《新能源规划“三国演义”》，载《太阳能》2012年第4期，第53-54页。
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.75.
3迟本坤：《低碳经济视角下新能源CDM项目的国际合作问题研究》，吉林大学2011年博士学位论文，第38页。
4Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.49.
5施罗德在同行团体互评（peer group assessment）研究方法的基础上，还借鉴了世界观察研究所（theWorldwatch Institute）研究员马天瑞（Eric Martinot）1998年测量可再生能源市场转型的项目评估模型，参见Eric Martinot, Monitoring and Evaluation of Market Development in World Bank-GEF Climate Change Projects:Framework and Guidelines, Climate Change Series (Paper No.066), December1998, pp.1-57.
1宁夏、甘肃、湖南和云南四省CDM中心推动开发的项目数与全省CDM项目总数之间的比值到2010年变化为：56%，19%，34%和1%，这一数字也在一定程度上支持了作者对湖南后来居上和宁夏发展放缓的判断。参见Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:
2Palgrave Macmillan,2012), pp.74,96-97.Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), pp.136-137,140.
3宁夏回族自治区统计局、宁夏回族自治区第六次人口普查工作领导小组办公室：《宁夏回族自治区2010年第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月10日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804334.htm，2012年12月2日登录。
1崔柳：《宁夏自治区低碳经济发展的现实路径探讨》，载《社科纵横》2010年第4期，第34-36页。
2高慎盈、黄玮、吕林荫：《“西海固”告诉我们》，摘自《解放日报》2004年6月4日文，载《乡镇论坛》2004年第14期，第14-15页。
3崔柳：《宁夏自治区低碳经济发展的现实路径探讨》，载《社科纵横》2010年第4期，第35页。
4张吉生：《早动手早受益——宁夏开发CDM项目的经验和体会》，载《中国科技投资》2006年第7期，第34-35页。
5王天津：《建设富有宁夏特色的碳汇功能区》，载《中央民族大学学报（社会科学版）》2009年第1期，第70页。
1宁夏CDM环保服务中心：《宁夏CDM环保服务中心简介》，宁夏清洁发展机制环保服务中心官方网站，参见http://www.kp-cdm.com/Category/Intro，2012年12月1日登录；苗昆：《CDM盛宴》，载《环境经济》2008年第2期，第14页。
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.98,102.
3白景辉、高莉：《中加CDM合作宁夏项目进展顺利》，载《宁夏日报》2004年9月9日文；张吉生：《宁夏在发展CDM项目方面的经验》，新疆，2005年9月14日。
1佚名：《宁夏联手CDM抢先机必先获利》，载《资源节约与环保》2005年第4期，第36页；张吉生：《早动手早受益——宁夏开发CDM项目的经验和体会》，载《中国科技投资》2006年第7期，第34-35页。
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), pp.103-105.
1Joseph A. Schumpeter, The Theory of Economic Development,(Cambridge, MA: Harvard University Press,1912/1961), p.66; Joseph A. Schumpeter, Business Cycles,(New York: McGraw-Hill,1939); P. N. Golder and G. J.Tellis,“Will it Ever Fly? Modelling the Takeoff of Really New Consumer Durables,” Marketing Science, Vol.16,pp.256-270; G. J. Tellis, S. Stremersch and E. Yin,“The International Takeoff of New Products: The Role ofEconomics, Culture, and Country Innovativeness,” Marketing Science, Vol.22,2002, pp.188-208; A. B. Jaffe, R. G.Newell and R. N. Stavins,“Environmental Policy and Technological Change,” Environmental and ResourceEconomics, Vol.22,2002, pp.41-69.
2UNECE, Guidelines on Best Practice in Business Advisory, Counselling and Information Services,(New Yorkand Geneva: United Nations Economic Commissions for Europe,2002), p.9; OECD, Boosting Business AdvisoryServices,(Paris: OECD,1995), p.19; OECD, Innovation and Knowledge-Intensive Service Activities,(Paris:OECD,2006).
3Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.136.
1马金花：《宁夏CDM项目融资的问题与对策》，载《财会月刊》2012年第6期，第29-31页。
2湖南省人民政府：《湖南在中国的位置》，参见http://www.hunan.gov.cn/hngk/zrdl/dlqk/，2012年12月4日登录。
3湖南省第六次全国人口普查领导小组办公室、湖南省统计局：《湖南省第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月13日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804328.htm，2012年12月3日登录。
4湖南省人民政府：《湖南人口》，参见http://www.hunan.gov.cn/hngk/hnrk/，2012年12月4日登录。
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), pp.136-137.
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.129.
3Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.109.
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.104.
2John D. Donahue, Richard J. Zeckhauser, Collaborative Governance: Private Roles for Public Goals inTurbulent Times,(New Jersay: Princeton Univesity,2011).
1潘家华、陈迎：《碳预算方案：一个公平可持续的国际气候制度框架》，载《中国社会科学》2009年第5期，第38-89页；潘家华：《碳预算方案的国际认同及其推进建议》，载中国全球变化研究信息中心（CICGCS）官方网站，2010年1月19日，http://www.globalchange.ac.cn/Linkages/Carbon_budget.pdf，2012年8月21日登录。
1Thomas Risse, Stephen C. Ropp and Kathryn Sikkink, eds., The Power of Human Rights: International Normsand Domestic Change,(Cambridge: Cambridge University Press,1999).
2Thomas Risse, Stephen C. Ropp and Kathryn Sikkink, eds., The Power of Human Rights: International Normsand Domestic Change,(Cambridge: Cambridge University Press,1999), pp.17-38.
1James Bradfield Moody, Bianca Nogrady, The Sixth Wave: How to Succeed in a Resource-Limited World,(Random House Australia,2010).
2详细讨论参见Barry G. Rabe,“States on Steroids: The Intergovernmental Odyssey ofAmerican Climate Policy,”
3Review of Policy Research, Vol.25(2),2008, pp.105-128.Brigid Laffan,“From Policy Entrepreneur to Policy Manager: The Challenge Facing the European Commission”,Journal of European Public Policy, Vol.4, Sep.3,1997, pp.422-438.
4Colin Coulson-Thomas, Knowledge Entrepreneur: How Your Business Can Create, Manage and Profit fromIntellectual Capital, London, Sterling, V.A.: Cogan Page Limited,2003; Emanuel Adler, Peter M. Haas,“Conclusion: Epistemic Communities, World Order, and the Creation of A Reflective Research Program”,International Organization, Vol.46, Issue1, Winter1992, pp.367-390.
1Brigid Laffan,“From Policy Entrepreneur to Policy Manager: The Challenge Facing the European Commission”,Journal of European Public Policy, Vol.4, Sep.3,1997, pp.422-438.
2国际科学院委员会（InterAcademy Council, IAC）：《国际科学院委员会报告建议IPCC（政府间气候变化专门委员会）管理结构根本性改革》，InterAcademy Council News,2010年8月30日，http://reviewipcc.interacademycouncil.net/ReportNewsReleaseChinese.pdf。
3笔者于2012年10月参加了由中科院、达沃斯世界资源论坛（World Resources Forum，以下简称“WRF”）、瑞士工程院、瑞士人文与科学院与瑞士联邦材料科技实验室合办北京举行的“2012年世界资源论坛”国际会议（WRF2012），会上有来自55个国家的300多名参会者和UNFCCC、IPCC、UNEP、UNDP的官员参会，与会各方围绕“绿色经济”的挑战和实现路径进行了深入研讨。
1Thomas Hale, Charles Roger, Domestic Politics and Participation in Transnational Climate Governance: TheCrucial Case of China, Research Center for Chinese Politics and Business (RCCPB) Working Paper#23(RCCPB’s Initiative on China and Global Governance),(Indiana University, Research Center for Chinese Politics&Business, March2012).
2刘仰：《超越利益集团：对宋朝史无前例的狠毒解剖》，北京：中国书店，2011年9月第1版。
3David Mowery, Nathan Rosenberg,“The Influence of Market Demand upon Innovation: A Critical Review ofSome Recent Empirical Studies,” Research Policy, Volume8, Issue2, April1979, pp.102-153.
4Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.156.
1Chris Argyris and Donald A. Schon, Organizational Learning,(Reading, Mass.: Addison-Wesley,1980), pp.20-26.
2Jack Levy,“Learning and Foreign Policy: Sweeping A Landmine”, International Organization, Vol.48(2)(Spring,1994), p.286.
1A. Draude, How to Capture Non-Western Forms of Governance, in Favour of An Equivalence FunctionalistObservation of Governance in Areas of Limited Statehood, SFB-Governance Working paper Series,(Berlin, DFGResearch Center (SFB),700Governance in Areas of Limited Statehood,2007).
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.176.
1厉以宁：《和尚与挑水》，载《才智》2005年第8期，第47页。
1Todd Sandler, Global Challenges: An Approach to Environmental, Political and Economic Problems,(Cambridge: Cambridge University Press,1997), pp.26-50; Todd Sandler and Danial G. Arce M.,“Pure PublicGoods versus Commons”, Land Economics79(3),2003, pp.355-368; Todd Sandler, Global Collective Action,(Cambridge: Cambridge University Press,2004).
2Paul A. Samuelson,“The Pure Theory of Public Expenditure”, The Review of Economics and Statistics, Vol.36(4), November1954, pp.387-389.
1Office of Government Commerce, Green Public Private Partnerships,(Norwich: OGC,2002).
1Ulrich Beck, World Risk Society,(London: Polity Press&Blackwell Publishers Ltd.,1999).
1B. G. Norton, Searching for Sustainability: Interdisciplinary Essays in the Philosophy of Conservation Biology,(Cambridge: Cambridge University Press,2002); Henry H. Butler&Jonathan R. Macey,“Externalities and theMatching Principle: The Case for Reallocating Environmental Regulatory Authority”, Yale Journal of Regulation,Vol.14,1996, pp.23-66.
2Inge Kaul, Pedro Concei o, Katell Le Goulven, Ronald U. Mendoza, Providing Global Public Goods:Managing Globalization,(Oxford, New York, etc.: Oxford University Press,2003), p.xiii.
1Ulrich Beck, World Risk Society,(London: Polity Press&Blackwell Publishers Ltd.,1999).
1Michael Zürn,“Intra-German Trade:An Early East-West Regime”, in Volker Rittberger, ed., InternationalRegimes in East-West Politics, London: Print Publishers Ltd.,1990, pp.151-188; Lisa Martin,“Interests, Powerand Multilateralism”, International Organization, Vol.46, No.4,1992, pp.765-792.
2王正毅著：《国际政治经济学通论》，北京：北京大学出版社，2010年版，第296页；[美]莉萨·马丁，贝思·西蒙斯编：《国际制度》（黄仁伟等译），上海：上海世纪出版集团，2006年版，第46-47页。
1陈刚著：《京都议定书与国际气候合作》，北京：新华出版社，第113‐120页。
2Scott V. Valentine, The Wicked Problem of Climate Change and the Yellow Brick Road between the US andChina, International Studies Association (ISA)2011: Global Governance-Political Authority in Transition,2011,pp.22-28.
3王正毅著：《国际政治经济学通论》，北京：北京大学出版社，2010年版，第294页。
4Scott V. Valentine, The Wicked Problem of Climate Change and the Yellow Brick Road between the U.S. andChina, pp.28-30,31,32.
1Robert D. Putnam,“Diplomacy and Domestic Politics: The Logic of Two-Level Games”, InternationalOrganization, Vol.42, No.3(1988), pp.427-460; Mark A. Boyer,“Issue Definition and Two-Level Negotiations: AnApplication to the American Foreign Policy Process”, Diplomacy&Statecraft, Vol.11, No.2(July2000),pp.185-212.
1Richard B. Stewart,“Pyramids of Sacrifice: Problems of Federalism in Mandating State Implementation ofNational Environmental Policy”, Yale Law Journal, Vol.86,1977, pp.1196-1272;
2Wallace E. Oates and Robert M. Schwab,“Economic Competition among Jurisdictions: Efficiency Enhancing orDistortion Inducing?” Journal of Public Economics, Vol.35,1988, pp.333-354; John A. List and Shelby Gerking,“Regulatory Federalism and Environmental Protection in the United States”, Journal of Regional Science, Vol.40,2000, pp.453-471; Daniel L. Millimet,“Assessing the Empirical Impact of Environmental Federalism”, Journal ofRegional Science, Vol.43, No.4,2003, pp.711-733.
3B. G. Norton, Searching for Sustainability: Interdisciplinary Essays in the Philosophy of Conservation Biology,(Cambridge: Cambridge University Press,2002); Henry H. Butler&Jonathan R. Macey,“Externalities and theMatching Principle: The Case for Reallocating Environmental Regulatory Authority”, Yale Journal of Regulation,Vol.14,1996, pp.23-66.
1Mariam Sch der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave McMillan,2012), pp.173-201.
1Todd Stern,“Quantified Economy-Wide Emissions Targets for2020of the United States”,(Office of the SpecialEnvoy for Climate Change, United States Department of State, January28,2010),http://unfccc.int/files/meetings/cop_15/copenhagen_accord/application/pdf/unitedstatescphaccord_app.1.pdf.
2[英]迈克尔·博兰尼：《自由的逻辑》（冯银江、李雪茹译），长春：吉林人民出版社，2002年版，第168-170页。
1Naomi Oresky&Erik M. Conway, Merchants of Doubt: How A Handful of Scientists Obscured the Truth onIssues from Tobacco Smoke to Global Warming,(New York, Berlin, London, Sydney: Bloomsbury Press,2010).
2California Environmental ProtectionAgency&CaliforniaAir Resources Board, Climate Change EmissionControl Regulations: Fact Sheet, December10,2004, www.arb.ca.gov/cc/factsheets/cc_newfs.pdf,2013年5月23日登录.
1Yochai Benkler, The Penguin and the Leviathan: How Cooperation Triumphs over Self-Interest,(New York:Crown Business,2011), pp.19,236,238-247.
2Yochai Benkler, The Penguin and the Leviathan: How Cooperation Triumphs over Self-Interest,(New York:Crown Business,2011), p.246,
1Ricardo Hausmann, Dani Rodrik, Andrés Velasco,“Growth Diagnostics”, revised March2005,http://www.hks.harvard.edu/fs/rhausma/new/growthdiag.pdf,2013年4月19日登录.
2林毅夫：《新结构经济学：反思经济发展与政策的理论框架》（苏剑译），北京：北京大学出版社，2012年9月第1版。
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[66][美]詹姆斯·罗斯瑙主编：《没有政府的治理：世界政治中的秩序与变革》（张胜军、刘小林译），南昌：江西人民出版社，2001年9月版。
[67]张海滨：《环境与国际关系：全球环境问题的理性思考》，上海：上海人民出版社，2008年3月第1版。
[68]张海滨：《气候变化与中国国家安全》，北京：时事出版社，2010年3月第1版。
[69]张焕波：《中国、美国和欧盟气候政策分析》，北京：社会科学文献出版社，2010年5月第1版。
[70]朱宪辰主编：《自主治理与扩展秩序：对话奥斯特罗姆》，杭州：浙江大学出版社，2012年版。
[71]庄贵阳，朱仙丽，赵行姝：《全球环境与气候治理》（王逸舟主编：《国际关系学前沿教材丛书》），杭州：浙江人民出版社，2009年5月第1版。
[1]薄燕：《国际环境正义与国际环境机制：问题、理论和个案》，载《欧洲研究》2004年第3期。
[2]薄燕：《“京都进程”的领导者：为什么是欧盟不是美国？》，载《国际论坛》2008年9月第5期。
[3]薄燕：《全球气候变化问题上的中美欧三边关系》，载《现代国际关系》2010年第4期。
[4]蔡拓、王南林：《全球治理:适应全球化的新的合作模式》，载《南开学报（哲学社会科学版）》2004年第2期。
[5]段茂盛：《清洁发展机制国际制度的现状和走向》，载《气候变化研究进展》2006年第2卷第6期。
[6]陈万灵、潘加矿：《广东构建碳交易市场的定位与对策》，载《广东经济》2010年第2期。
[7]非言：《新能源规划“三国演义”》，载《太阳能》2012年第4期。
[8]甘钧先：《地方自主减排的范例——美国加州的气候治理及其对中国的启示》，载《国际论坛》2010年5月第3期。
[9]胡振、刘华、刘佳丽：《英国私人主动融资（PFI）项目的政府管制体系研究》，载《建筑经济》2006年10月总第288期。
[10]厉以宁：《和尚与挑水》，载《才智》2005年第8期。
[11]林毅夫：《关于制度变迁的经济学理论：诱致性变迁与强制性变迁》，载《财产权利与制度变迁》，上海人民出版社、上海三联书店，1994年版。
[12][美]罗纳德·科斯：《<社会成本问题>的注释》，载[美]罗纳德·科斯：《论生产的制度结构》（盛洪等译），上海人民出版社，1994年第1版。
[13]马海涛，李伯涛，龙军：《环境保护的分权理论及其实践》，载《地方财政研究》2009年第9期。
[14]马金花：《宁夏CDM项目融资的问题与对策》，载《财会月刊》2012年第6期。
[15]毛寿龙：《公共事务的制度基础》，载[美]埃莉诺·奥斯特罗姆著：《公共事物的治理之道》（毛寿龙译），中文版译序。
[16]蒙少东：《美国的酸雨计划及效果对我国环保管理的启迪》，载《华侨大学学报（哲社版）》1999年增刊。
[17]孟强：《当代社会理论的实践转向：起源、问题与出路》，载《浙江社会科学》2010年第10期。
[18]苗昆：《CDM盛宴》，载《环境经济》2008年第2期。
[19]秦亚青：《多边主义研究:理论与方法》，载《世界经济与政治》2001年第10期。
[20]秦亚青：《关系本位与过程建构：将中国理念植入国际关系理论》，载《中国社会科学》2009年第3期。
[21]秦亚青：《权力·制度·文化——国际政治学的三种理论体系》，载《世界经济与政治》2002年第6期。
[22]任仁：《酸雨》，载《化学与社会》1996年第7期。
[23]沈满洪：《论环境经济手段》，载《经济研究》1997年第10期。
[24]沈满洪、谢慧明：《公共物品问题及其解决思路——公共物品理论文献综述》，载《浙江大学学报（人文社会科学版）》2009年第6期。
[25]苏长和：《国内、国际相互转型的政治经济学——兼论中国国内变迁与国际体系的关系（1978～2007）》，载《世界经济与政治》2007年第11期。
[26]苏长和：《合约、国家理论与世界秩序》，载《外交评论》2007年4月总第95期。
[27]苏长和：《中国地方政府与次区域合作：动力、行为及机制》，载《世界经济与政治》2010年第5期。
[28]田春秀，李丽平：《中国CDM项目实施技术转让的政策研究》，载《环境保护》2008年第3期。
[29]万霞：《国际法中的“软法”现象探析》，载《外交学院学报》2005年第1期（总第80期）。
[30]王天津：《建设富有宁夏特色的碳汇功能区》，载《中央民族大学学报（社会科学版）》2009年第1期。
[31]魏崇辉：《当代中国政治语境下的治理理论研究——一个分析框架构建的尝试》，载《政治与法律》2009年第4期。
[32]魏崇辉：《权力的文化网络与现代国家的成长——以杜赞奇的解说为切入点》，载《长江论坛》2009年第4期。
[33]魏崇辉：《治理理论有效适用与当代中国民主政治发展》，载《东岳论丛》2008年第11期。
[34]吴志军，朱旭：《新多边主义视野下的全球治理》，载《南开学报（哲学社会科学版）》2012年第3期。
[35]武曙红、宋维明：《自愿林业碳市场对CDMA林业碳市场的影响》，载《林业科学》2010年第2期。
[36]杨光斌：《诺斯制度变迁理论的贡献与问题》，载《华中师范大学学报(人文社会科学版)》2007年5月第3期。
[37]杨令侠：《加拿大与美国关于酸雨的环境外交》，载《南开学报（哲学社会科学版）》2002年第3期。
[38]杨雪冬：《制度移植与本土实践：以立法听证为个案的研究》，载《华中师范大学学报》2005年第6期。
[39]张磊：《淘金碳交易》，载《中国经贸》2010年第1期。
[40]张吉生：《早动手早受益——宁夏开发CDM项目的经验和体会》，载《中国科技投资》2006年第7期。
[41]张卫华：《中国第一个CDM项目的前世今生》，载《经济》2007年7月第15期。
[42]张胜军：《全球治理的最新发展和理论动态》，载《国外理论动态》2012年第10期。
[43]张宇燕：《经济学与常识：从“三个和尚没水吃”谈起》，载《读书》1989年第11期。
[44]赵顺龙、周一帆、曹逸之：《诺斯制度变迁理论的演变》，载《南京工业大学学报（社会科学版）》2008年第4期。
[45]中国国家发展和改革委员会编制：《中国应对气候变化的政策与行动2010年度报告》（2010年11月）。
[46]周宏春：《世界碳交易市场的发展与启示》，载《中国软科学》2009年第12期。
[47]周业安：《中国制度变迁的演进论解释》，载《经济研究》2000年第5期。
[48]朱立群，聂文娟：《国际关系理论研究的实践转向》，载《世界经济与政治》2010年第8期。
[49]庄贵阳：《后京都时代国际气候治理与中国的战略选择》，载《世界经济与政治》2008年第8期。
[1]薄燕：《国际谈判与国内政治：对美国与<京都议定书>的双层博弈分析》，复旦大学2003年博士学位论文。
[2]马骏：《国际碳排放权交易市场运行机制的经济学分析和我国参与世界碳市场构建》，中国人民大学2008年硕士学位论文。
[3]王俊英：《二氧化硫排污权交易市场体系研究——以青岛市为例》，中国海洋大学2007年博士学位论文。
[4]叶卫华：《全球负外部性的治理——大国合作》，江西财经大学2010年博士学位论文。
[1]发改委、科技部、外交部、财政部（2005年第37号令）：《清洁发展机制项目运行管理办法》第二十四条。
[2]国家计委、电力部、交通部：《关于试办外商投资特许权项目审批管理有关问题的通知》第四、五条，1995年8月21日颁发。
[3]国务院：《能源发展“十二五”规划》，载《国务院关于印发能源发展“十二五”规划的通知（国发[2013]2号）》，2013年1月1日，http://www.gov.cn/zwgk/2013-01/23/content_2318554.htm。
[4]《联合国气候变化框架公约》京都议定书（中文版），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/convkp/kpchinese.pdf。
[5]《联合国气候变化框架公约》哥本哈根协议（中文版），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/2009/cop15/chi/11a01c.pdf。
[6]《联合国气候变化框架公约》坎昆协议（中文版），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/2010/cop16/chi/07a01c.pdf#page=2；http://unfccc.int/resource/docs/2010/cmp6/chi/12a01c.pdf#page=。
[7]《联合国气候框架公约》缔约方会议第十五届会议通过的《关于发展中国家减少毁林和森林退化所致排放量相关活动、森林保护和可持续管理的作用，以及提高森林碳储量的方法学指导意见》决议（4/CP.15），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/2009/cop15/chi/11a01c.pdf。
[1]白景辉、高莉：《中加CDM合作宁夏项目进展顺利》，载《宁夏日报》2004年9月9日文。
[2]北京环境交易所：《排污权交易成功典例：美国酸雨计划》，2008年7月31日文，http://www.cbeex.com.cn/article/zlzx/qtxx/200808/20080800003391.shtml。
[3]曹俊：《美国：十次修订标准为哪般？》，载《中国环境报》2011年11月29日第4版。
[4]发改委应对气候变化司：《中国代表团团长刘江部长于1999年在气候变化公约第五届缔约方会议上的发言》，中国气候变化信息网“公约进程”2002年7月18日电，http://www.ccchina.gov.cn/cn/NewsInfo.asp?NewsId=3876。
[5]高慎盈、黄玮、吕林荫：《“西海固”告诉我们》，摘自《解放日报》2004年6月4日文，载《乡镇论坛》2004年第14期。
[6]国际科学院委员会（InterAcademy Council, IAC）：《国际科学院委员会报告建议IPCC（政府间气候变化专门委员会）管理结构根本性改革》，InterAcademyCouncil News,2010年8月30日，http://reviewipcc.interacademycouncil.net/ReportNewsReleaseChinese.pdf。
[7]湖南省第六次全国人口普查领导小组办公室、湖南省统计局：《湖南省第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月13日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804328.htm。
[8]湖南省科技厅、湖南湘科清洁发展有限责任公司：《湖南省CDM项目服务中心简介》，湖南省CDM项目服务中心暨湖南湘科清洁发展有限责任公司官方网站，参见http://www.hncdm.com/AboutCenter.html（中文版）,http://en.hncdm.com/Aboutus.html（英文版）。
[9]湖南省科技厅CDM服务中心：《诚聘优秀人才》，湖南省CDM项目服务中心、湖南湘科科技发展有限责任公司官方网站“招贤纳士”栏目2011年4月25日，http://www.hncdm.com/InfoContent17/&id=9f10f54c-d4ea-4883-84cb-6e1216748c32&comp_stats=comp-FrontInfo_listMultiPage-zxns01.html。
[10]湖南省科技厅CDM服务中心：《湖南省清洁发展机制培训资料》，2005年12月9日。
[11]湖南省科技厅CDM服务中心：《在线留言》，湖南省CDM项目服务中心、湖南湘科科技发展有限责任公司官方网站“招贤纳士”栏目2009年11月30日-2010年5月16日，http://www.hncdm.com/MessageBoard.html。
[12]湖南省人民政府：《湖南人口》，参见http://www.hunan.gov.cn/hngk/hnrk/。
[13]湖南省人民政府：《湖南在中国的位置》，参见http://www.hunan.gov.cn/hngk/zrdl/dlqk/。
[14]湖南省人民政府：《省情介绍》，参见http://www.hunan.gov.cn/hngk/sqjs/。
[15]湖南省湘科应对气候变化研究中心：《湖南省湘科应对气候变化研究中心诚聘优秀人才》，湖南省CDM项目服务中心、湖南湘科科技发展有限责任公司官方网站“招贤纳士”栏目2012年8月14日，http://www.hncdm.com/InfoContent17/&id=8a6c18ec-1ea9-4828-98cc-4cc45439e3f8&comp_stats=comp-FrontInfo_listMultiPage-zxns01.html。
[16]宁夏CDM环保服务中心：《宁夏CDM环保服务中心简介》，宁夏清洁发展机制环保服务中心官方网站，参见http://www.kp-cdm.com/Category/Intro。
[17]宁夏回族自治区统计局、宁夏回族自治区第六次人口普查工作领导小组办公室：《宁夏回族自治区2010年第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月10日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804334.htm。
[18]清华大学就业指导中心：《湖南省CDM（清洁发展机制）项目服务中心招聘》，清华大学毕业生就业信息网“就业招聘信息”栏目2007年11月7日，http://career.tsinghua.edu.cn/docinfo/career/jyzpxx/zpxxDetail.jsp?nf=2008&id=2007001075。
[19]苏民：《千家企业节能行动成效显著》，载《经济日报》2009年12月17日讯。
[20]王玉英：《美国加州首个碳排放拍卖会成交2.86亿美元》，新华社洛杉矶2012年11月19日电。
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4Matthew Flinder,“The Politics of Public–Private Partnerships”, Political Studies Association, Vol.7,2005,pp.215-239.英国剧作家马洛（Christopher Marlowe）在1592年出版的《浮士德博士悲剧》（The Tragical Historyof Doctor Faustus）中描写的德国学者浮士德博士，为了追求无限的知识以征服自然，以自己的灵魂换取役使魔鬼24年的权力，条件是期满后被魔鬼劫往地狱。
5Robert O. Keohane, After Hegemony: Collaboration and Discord in the World Political Economy,(Princeton:Princeton University Press,1984), p.94.
1John G. Ruggie,“The United Nations and Globalization: Patterns and Limits of Institutional Adaptation”, GlobalGovernance, Vol.9(3),2003, p.310; Ian Hurd,“Labor Standards through International Organizations: The GlobalCompact in Comparative Perspective”, Journal of Corporate Citizenship, Vol.11,2003, p.108; Robert O. Keohane,“Accountability in World Politics”, Scandinavian Political Studies, Vol.29(2),2006, pp.82,84.
2David Osborne, Ted Gaebler, Reinventing Government: How the Entrepreneurial Spirit is Transforming thePublic Sector,(New York: Plume,1993).
1Peter Kettner and Lawrence Martin,“Making Decisions about Purchase of Service Contracting”, in HaroldDemone and Margaret Gibelone (eds.) Services for Sale: Purchasing Health and Human Services,(Newark, NJ:Rutgers University Press,1989); David Parker and Keith Hartley,“The Economics of Partnership Sourcing VersusAdversarial Competition: A Critique”, European Journal of Purchasing and Supply Management, Vol.3(2),1997,
2pp.115-125.David Parker and Keith Hartley,“The Economics of Partnership Sourcing Versus Adversarial Competition: ACritique”, European Journal of Purchasing and Supply Management, Vol.3(2),1997, pp.115-125.
3Elke L ffler, Accountability Management in Intergovernmental Partnerships, Public Management Committee,Organisation for Economic Co-operation and Development (OECD), March25,1999,http://www1.worldbank.org/publicsector/civilservice/12e93914.pdf,2013年2月8日登录.
4Robert O. Keohane,“Accountability in World Politics”, Scandinavian Political Studies, Vol.29(2),2006, p.84.
5准市场机制指以实现公益为目的的全球公私合作机制。Tony Bovaird,“Public-Private Partnerships: FromContested Concepts to Prevalent Practice”, International Review of Administrative Sciences, Vol.70(2),2004,p.206.
6Frank Welsh, The Profit of the State: Nationalised Industries and Public Enterprises,(London: Maurice TempleSmith,1982), p.4.
7Roger Wettenhall,“The Rhetoric and Reality of Public-Private Partnerships”, Public Organization Review: AGlobal Journal, Vol.3,2003, pp.92-93,99.
1Joop F. M. Koppenjan,“The Formation of Public-Private Partnerships: Lessons from Nine TransportInfrastructure Projects in the Netherlands”, Public Administration, Vol.83, No.1,2005, pp.135-157.
2Thomas M. Franck, The Power of Legitimacy among Nations,(New York: Oxford University Press,1990).
3Thomas Risse,‘‘’Let’s Argue!’ Communicative Action in International Relations”, International Organization,Vol.54,2000, pp.1-39; Jeffrey T. Checkel,“Why Comply? Social Learning and European Identity Change”,
4International Organization, Vol.55,2001, pp.553-558.John G. Ruggie,“The United Nations and Globalization: Patterns and Limits of Institutional Adaptation”, GlobalGovernance, Vol.9,2003, p.310; John G. Ruggie,“Reconstituting the Global Public Domain: Issues, Actors, andPractices”, European Journal of International Relations, Vol.10,2004, pp.499-531.
5Martha Finnemore and Kathryn Sikkink,“International Norm Dynamics and Political Change”, InternationalOrganization, Vol.52,1998, pp.887-917.
1Margaret Keck and Kathryn Sikkink, Activists Beyond Borders: Advocacy Networks in International Politics,(Ithaca, NY: Cornell University Press,1998), pp.8-14; Thomas Risse, Steve C. Ropp and Kathryn Sikkink, ThePower of Human Rights: International Norms and Domestic Change,(Cambridge: Cambridge University Press,1999).
2Jan Kooiman, ed., Modern Governance,(London: Sage,1993); Rod Rhodes, Understanding Governance: PolicyNetworks, Governance, Reflexivity and Accountability,(Buckingham: Open University Press,1997); Gerry Stoker,“Governance as Theory: Five Propositions”, International Social Science Journal,1998, pp.17-28; Jon Pierre, B.Guy Peters, Governance, Politics and the State,(Houndmills, UK: Macmillan,2000).
1Marco Sch ferhoff, Sabine Campe and Christopher Kaan,“Transnational Public-Private Partnerships inInternational Relations: Making Sense of Concepts, Research Frameworks, and Results”, International StudiesReview, Vol.11,2009, p.463.
2Abram Chayes and Antonia H. Chayes, The New Sovereignty: Compliance with International RegulatoryAgreements, Cambridge,(MA: Harvard University Press,1995), pp.8-21.
3John G. Ruggie,“The United Nations and Globalization: Patterns and Limits of Institutional Adaptation”, GlobalGovernance, Vol.9(3),2003, p.310.
1Chris Argyris and Donald A. Schon, Organizational Learning,(Reading, Massachusetts: Addison-Wesley,1980),pp.20-26.此处借用组织学习理论中的双环学习（double-loop learning）模型，说明公共治理规范在国家、次国家、地方层面的传播过程中，经历的是双向互构、而非单向适应（single-loop learning）的进程。单向适应的规范传播方式，被称为“简单学习（simple learning）”，而双向互构的规范传播方式，则被称为“复杂学习”。
2Faranak Miraftab,“Public-Private Partnerships: The Trojan Horse of Neoliberal Development?” Journal ofPlanning Education and Research, Vol.24,2004: p.98.
3Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),p.325.
4Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),pp.328-331.
5Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),pp.332-335.
6Alexander Wendt, Social Theory of International Politics,(Cambridge: Cambridge University Press,1999),pp.370-372.
7Martha Finnemore,“International Organizations as Teachers of Norms: The United Nations Educational,Scientific, and Cultural Organization and Science Policy”, International Organization, Vol.47(4),1993, pp.565-597.
1Jeffrey Checkel,“Why Comply? Social Learning and European Identity Change”, International Organization,Vol.55,2001.pp.553-588.
2Amitav Acharya,“How Ideas Spread: Whose Norms Matter? Norm Localization and Institutional Change inAsian Regionalism”, International Organization, Vol.58, Spring2004, pp.239-275.
3Janet Newman, Modernising Governance: New Labour, Policy and Society,(London: Sage.Newman,2001); SueGoss, Making Local Governance Work: Networks, Relationships and the Management of Change,(Houndmills,UK: Palgrave,2001), pp.114,165; Alex Matheson, Hae-Sang Kwon,“Public Management in Flux: Trends andDifferences across OECD Countries?” in Tony Bovaird and Elke L ffler (eds.), Public Management andGovernance,(London: Routledge,2003).
4Bovaird Tony and Sudi Sharifi,“Partnerships and Networks as Self-organizing Systems: A Case Study of RuralAction for the Environment”, in A. Halachmi and P. Boorsma (eds.) Inter and Intra Government Arrangements forProductivity: A Principal–Agent Approach,(Dordrecht: Kluwer,1998).
1Hans J. Morgenthau, Politics among Nations: The Struggle for Power and Peace (7thEdition), revised byKenneth W. Thompson and W. David Clinton,(Boston, MA: McGraw-Hill Companies, Inc.,2006), pp.4-16,25-26,204-208,425.
2John J. Mearsheimer,“The False Promise of International Institutions”, International Security, Vol.19(31),Winter1994-1995, pp.5-49.
1[美]罗伯特·基欧汉：《霸权之后：世界政治经济中的合作与纷争》（苏长和、信强、何曜译），上海：上海世纪出版集团，2006年1月第1版，第3-5页。
2Oran R. Young,“International Regimes: Problems of Concept Formation”, World Politics, Vol.32(3), April1980,pp.337.
3[美]罗伯特·吉尔平：《全球政治经济学：解读国际经济秩序》（杨宇光、杨炯译），上海：上海世纪出版
4集团，2006年1月第1版。Richard N. Cooper, The Economics of Interdependence: Economic Policy in the Atlantic Community,(New York:
5McGraw-Hill,1968), p.262.Anne-Marie Slaughter,“The Real New World Order”, Foreign Affairs, Vol.76(5), September/October1997,pp.183-197.
6[美]罗伯特·基欧汉：《霸权之后：世界政治经济中的合作与纷争》（苏长和、信强、何曜译），上海：上海世纪出版集团，2006年1月第1版，第361-362页。
7[美]亚历山大·温特：《国际政治的社会理论》（秦亚青译），上海：上海世纪出版集团，2008年1月第1版，第21‐29页。
1[美]亚历山大·温特：《国际政治的社会理论》（秦亚青译），上海：上海世纪出版集团，2008年1月第1版，第253‐254页。
2J. Samuel Barkin,“Realist Constructivism”, International Studies Review, Vol.5,2003, pp.324-342.
1Ronald H. Coase,“The Problem of Social Cost”, Journal of Law and Economics, October1960.
2Arthur C. Pigou, The Economics of Welfare,(London: Macmillan,1920).
1Ronald H. Coase,“The Problem of Social Cost”, Journal of Law and Economics, October1960.
2Tom D. Crocker,“The Structuring ofAtmospheric Pollution Control Systems”, in Harold Wolozin, ed., TheEconomics of Air Pollution,(New York: W. W. Norton,1966).
3John Harkness Dales, Pollution, Property, and Price,(Toronto, Canada: University of Toronto Press,1968).
4Kenneth J. Arrow,“The Organization of Economic Activity: Issues Pertinent to the Choice of Market versusNon-Market Allocation”, in The Analysis and Evaluation of Public Expenditures: The PPB System, Joint EconomicCommittee of Congress,(Washington, D.C.: U.S. Government Printing Office,1969), pp.47-64.
5“影子价格”指商业活动中，管理者为获取额外一单位既定资源所愿付出的最高价格。William DavidMontgomery,“Markets in Licenses and Efficient Pollution Control Programs”, Journal of Economic Theory, Vol.5
(3), Dec.1972, pp.395-418.
1Thomas H. Tietenberg, Lynne Lewis, Environment and Natural Resources Economics,(Boston, New York, etc.:Pearson Education, Inc.,1981,1985,1996,2009,2012); Thomas H. Tietenberg, Emissions Trading: An Exercise inReforming Pollution Policy,(Washington, DC: Resources for the Future,1985); Thomas H. Tietenberg,“AcidRain Reduction Credits”, Challenge, Vol.32(2),1989, pp.25-29; Thomas H. Tietenberg,“Economic Instrumentsfor Environmental Regulation”, Oxford Review Economics Policy, Vol.6(1),1990, pp.17-33; Thomas H.Tietenberg,“Implementation Issues for Global Tradable Permits” In: Van Ierland, E.C.(Ed.), InternationalEnvironmental Economics: Theories, Models, and Applications to Climate Change: International Trade andAcidification,(New York: Elsevier,1994), pp.119-149; Thomas H. Tietenberg,“Tradable Permits for PollutionControl When Emission Location Matters: What Have We Learned?” Environmental and Resource Economics,Vol.5(2).1995, pp.95-113.
2叶卫华：《全球负外部性的治理——大国合作》，江西财经大学2010年博士学位论文，第48页。
3沈满洪：《论环境经济手段》，载《经济研究》1997年第10期，第54-61页。
1Inge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the
21stCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: BuildingCoalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.
2Esmond Samuel de Beer, ed., The Diary of John Evelyn (III),(Oxford: Oxford University Press,1955), p.495.
3Robert Angus Smith, Air and Rain: The Beginnings of A Chemical Climatology,(London: Longmans, Green andCo.,1872).
4Svante Oden,“TheAcidity Problem: An Outline of Concepts”, Water, Air and Soil Pollution, Vol.6, Issue2-4,September-November,1976, pp.137-166.
1任仁：《酸雨》，载《化学与社会》1996年第7期，第1，4-5页。
2杨令侠：《加拿大与美国关于酸雨的环境外交》，载《南开学报（哲学社会科学版）》2002年第3期，第119页。1955年，美国国会通过了《空气污染管制法》（Air Pollution Control Act），成为其国内首个致力于为空气污染防治的科学研究提供资助的法案。1963年，致力于空气污染防治的《清洁空气法案》（CleanAirAct, CAA）获国会通过，该法案要求在美国公共卫生署（U.S. Public Health Service）推行一项对空气污染检测和控制技术进行研究的联邦项目。1967年，致力于拓展联邦政府空气防治行动的《空气质量法案》（AirQuality Act）获得通过，一系列防治州际公共交通对空气污染影响的措施得以实施，并首次开展空气污染物排放清单的制作，对全国性环境监测技术研究和固定污染源进行实地考察。1971年，美国成立了联邦环保署（EPA）。参见US Environmental ProtectionAgency (EPA), History of the Clean Air Act, last updated onFebruary17,2012, http://epa.gov/air/caa/caa_history.html,2013年3月10日登录.
31971年，美国环保署首次制定的二氧化硫环境空气质量标准，1974年和2010年进行过两次修订。1971年首次制定的标准规定：一级标准年平均和24小时平均浓度限值分别为80微克/立方米和365微克/立方米；二级标准年平均和3小时平均浓度限值分别为60微克/立方米和1300微克/立方米。1974年废除了二级标准的年平均浓度限值，2010年又在一级标准中废除了年平均和24小时平均浓度限值，增加1小时平均浓度限值为200微克/立方米。据此，美国现行二氧化硫环境空气质量标准为：一级标准1小时平均浓度限值为200微克/立方米；二级标准3小时平均浓度限值为1300微克/立方米。参见曹俊：《美国：十次修订标准为哪般？》，载《中国环境报》2011年11月29日第4版。
4Denny Ellerman, et al., Markets for Clean Air,(Cambridge: Cambridge University Press,2000).
1Thomas Tietenberg,“Economic Instruments for Environmental Regulation”, Oxford Review of Economic Policy,Vol.16,1991, pp.25-148; Thomas Tietenberg,“Ethical Influences on the Evolution of the US Tradable PermitApproach to Air Pollution Control”, Ecological Economics, Vol.24,1998, pp.241-257.
2江伟钰、陈方林主编：《资源环境法词典》，北京：中国法制出版社，2005年6月第1版，第355-356页。
3U.S. EPA, Appendix S to Part51—Emission Offset Interpretative Ruling: Emissions Offset Interpretive Ruling,
40CFR Ch. I (7-1-12Edition),1976, pp.528-549.
4U.S. EPA,“Title IV-Acid Deposition Control:42USC§7651. Findings and Purposes”, The1990Clean Air ActAmendments, last updated on December19,2008, http://epa.gov/oar/caa/title4.html,2013年3月18日登录.
5U.S. EPA,“Monitoring of Acid Rain Program in Canada” in “Title IV-Acid Deposition Control:42USC§7651.Findings and Purposes”, The1990Clean Air Act Amendments.
6杨令侠：《加拿大与美国关于酸雨的环境外交》，载《南开学报（哲学社会科学版）》2002年第3期，第122页。
1U.S. EPA,“What EPA Is Doing?” Acid Rain, last updated on Dec.4,2012, seehttp://www.epa.gov/acidrain/reducing/index.html,2013年3月13日登录; U.S. EPA,“Title IV-Acid DepositionControl”, Clean Air Act, http://epa.gov/oar/caa/title4.html,2013年3月18日登录.
2蒙少东：《美国的酸雨计划及效果对我国环保管理的启迪》，载《华侨大学学报（哲社版）》1999年增刊，第50‐52页。
3北京环境交易所：《排污权交易成功典例：美国酸雨计划》，2008年7月31日文，http://www.cbeex.com.cn/article/zlzx/qtxx/200808/20080800003391.shtml，2013年3月19日登录。
4王俊英：《二氧化硫排污权交易市场体系研究——以青岛市为例》，中国海洋大学2007年博士论文，第68-69页。
5Inge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the21stCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: BuildingCoalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.
1J. Mario Molina, Frank S. Rowland,“Stratospheric Sink for Chlorofluoromethanes: Chlorine Atom-CatalysedDestruction of Ozone”, Nature, Vol.249, June28,1974, pp.810-812.
2United Nations Environmental Programme (UNEP), World Plan of Action on the Ozone Layer: EnvironmentalAssessment, UNEP: Compendium of Legislative Authority (1972-1977),1977.
3UNEP, Handbook for the Vienna Convention for the Protection of the Ozone Layer (1985)(Ninth Edition2012),(Ozone Secretariat of UNEP,2012), pp.3-16.
4J. C. Farman, B. G. Gardiner, J. D. Shanklin,“Large Losses of Total Ozone in Antarctica Reveal SeasonalClOx/NOxInteraction”, Nature, Vol.315, May1985, pp.207-210.
5UNEP, The Montreal Protocol on Substances that Deplete the Ozone Layer as Either Adjusted and/or Amendedin London1990, Copenhagen1992, Vienna1995, Montreal1997, Beijing1999,(Ozone Secretariat of UNEP,2000), http://www.unep.org/ozone/pdfs/Montreal-Protocol2000.pdf,2013年2月27日登录.
61. Article2B: Halons and Group II of Annex A;2. Article2A: Chlorofluorocarbons (CFCs) and Group I ofAnnex A (CFC-11, CFC-12, CFC-113, CFC-114and CFC-115), Article2C: Other Fully Halogenated CFCs andGroup I of Annex B (CFC-13, CFC-111, CFC-112, CFC-211, CFC-212, CFC-213, CFC-214, CFC-215, CFC-216,CFC-217), Article2D: Carbon Tetrachloride and Group II of Annex B, Article2E:1,1,1-Trichloroethane(MethylChloroform) and Group III of Annex B;3. Article2F: Hydrochlorofluorocarbons (HCFCs) and Group I of AnnexC;4. Article2G and Group II of Annex C, Hydrobromofluorocarbons and Group II of Annex C (HBFCs);5.Article2H: Methyl Bromide and Annex E, in UNEP, Handbook for the Montreal Protocol on Substances thatDeplete the Ozone Layer (1987)(Ninth Edition2012), pp.6-7,8-9,11-12,25,30,32-39,40-41,42-44.
1UNEP, Handbook for the Montreal Protocol on Substances that Deplete the Ozone Layer(1987)(Ninth Edition2012), pp.320-430.
2Annex V, Initiative List of Measures that Might Be Taken by A Meeting of the Parties in Respect ofNon-compliance with the Protocol, in UNEP, Handbook for the Montreal Protocol on Substances that Deplete theOzone Layer(1987)(Ninth Edition2012), p.586.
3Cesare P. R. Romano, The Peaceful Settlement of International Environmental Disputes: A Pragmatic Approach,
4(The Hague, Boston: Kluwer Law International,2000), p.78.Paul C. Szasz, ed., Administrative and Expert Monitoring of International Treaties,(Ardsley, New York:Transnational Publishers,1999), p.127.
5Article5: Special Situation of Developing Countries, p.15; Article10: Financial Mechanism, in UNEP,Handbook for the Montreal Protocol on Substances that Deplete the Ozone Layer(1987)(Ninth Edition2012),pp.19-21.
2国家环境保护总局政策法规司编：《中国缔结和签署的国际环境条约集》，北京：学苑出版社，1999年版，第65页。
3David G. Victor, Kal Raustiala, Eugene B. Skolnikoff, The Implementation and Effectiveness of InternationalCommitments: Theory and Practice,(Laxenburg, Austria: International Institute for Applied Systems Analysis,Cambridge, Mass.: MIT Press,1998), p.145.
1David G. Victor, Kal Raustiala, Eugene B. Skolnikoff, The Implementation and Effectiveness of InternationalCommitments: Theory and Practice,(Laxenburg, Austria: International Institute for Applied Systems Analysis,Cambridge, Mass.: MIT Press,1998), p.67.
2Global Environment Facility (GEF),“What Is the GEF”, About GEF, http://www.thegef.org/gef/whatisgef,2013年2月26日登录.
3[美]戴维·奥斯本，特德·盖布勒：《改革政府——企业精神如何改革着公共部门》（上海市政协编译组、东方编译所编译），上海：上海译文出版社，1996年版，第22页。
4Anita Margrethe Halvorssen, Equality among Unequal in International Environmental Law: Differential
5Treatment for Developing Countries,(Boulder, Colorado: Westview Press,1999), p.172.UNEP, Handbook for the Vienna Convention for the Protection of the Ozone Layer (1985)(Ninth Edition2012),(Ozone Secretariat of UNEP,2012), p.59; UNEP, Handbook for the Montreal Protocol on Substances that Depletethe Ozone Layer(1987)(Ninth Edition2012), p.650.
6Paul C. Szasz, ed., Administrative and Expert Monitoring of International Treaties,(Ardsley, New York:Transnational Publishers,1999), p.130.
1Revenue Reconciliation Act of1989: Explanation of Provisions Approved by the Committee, on October3,1989,Vol.4; Thomas Tietenberg,“Ethical Influences on the Evolution of the US Tradable Permit Approach to Air
2Pollution Control”, Ecological Economics, Vol.24,1998, p.245.U.S. Environmental Protection Agency, Regulatory Impact Analysis: Protection of Stratospheric Ozone (VolumeII),(Washington, D.C.: EPA, December1987), Appendix M.
3UNEP, Action on Ozone (2000Edition),(Ozone Secretariat of UNEP,2000), p.11.
4Martha M. Hamilton,“EPA Asks DuPont Co. to Make CFCs in ‘95: Environmentalists Criticize Agency's Move”,The Washington Post, December18,1993, p.Ci.
1Cass Peterson,“McDonald's Repackaging Sandwiches to Guard Ozone”, Washington Post, August5,1987.
2Elizebeth Cook, et al., eds., Ozone Protection in the United States: Elements of Success,(World ResourcesInstitute (WRI), November1996), pp.4,24-25; Foodservice&Packaging Institute, Inc., Fully HalogenatedChlorofluorocarbon Voluntary Phase-out Program, April12,1988.
3Elinor Ostrom, Governing the Commons: The Evolution of Institutions for Collective Action,(Cambridge, NewYork, Melbourne, Madrid, Cape Town: Cambridge University Press,1990), p.15.
1David G. Victor, Kal Raustiala, Eugene B. Skolnikoff, The Implementation and Effectiveness of InternationalCommitments: Theory and Practice,(Laxenburg, Austria: International Institute for Applied Systems Analysis,Cambridge, Mass.: MIT Press,1998), p.107.
2“规模匹配”原则在这里指根据环境危害的具体情形和治理需求确定相应的规模层次及适用法规。Bryan G.Norton, Searching for Sustainability: Interdisciplinary Essays in the Philosophy of Conservation Biology,
(Cambridge: Cambridge University Press,2002); Henry H. Butler&Jonathan R. Macey,“Externalities and theMatching Principle: The Case for Reallocating Environmental Regulatory Authority”, Yale Journal of Regulation,Vol.14,1996, pp.23-66.
3Elizabeth Cook, et al., eds., Ozone Protection in the United States: Elements of Success,(World ResourcesInstitute (WRI), November1996), pp.1-7.
1Inge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the21stCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: Building
2Coalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.Jack Hirshleifer,“From Weakest-Link to Best Shot: The Voluntary Provision of Public Goods”, Public Choice41(3),1983, pp.371-386；《世界银行全球发展融资（2001）》将weakest-link译为“弱关联”，将best-shot译为“最佳聚焦”，笔者将其译法略作调整，将weakest-link译为“最矮堤坝型”，将weighed sum译为“加权综合型”，以便于理解。
1UNEP, Status of Ratification,(Ozone Secretariat, February21,2013),http://montreal-protocol.org/new_site/en/treaty_ratification_status.php,2013年3月29日登录.
2Cass R. Sunstein,“Of Montreal and Kyoto: A Tale of Two Protocols”, Harvard Environmental Law Review,Vol.31,2007, pp.1-65.
3[英]安东尼·吉登斯：《气候变化的政治》（曹荣湘译），北京：社会科学文献出版社，2009年12月第1版，第18页。
4[英]安东尼·吉登斯：《气候变化的政治》（曹荣湘译），北京：社会科学文献出版社，2009年12月第1版，第18-19页。
5Donella H. Meadows, et al., Limits to Growth: A Report for the Club of Rome’s Project on the Predicament ofMankind,(New York: Mew American Library,1972).
6Freeman J. Dyson,“Can We Control the Carbon Dioxide in the Atmosphere?” Energy, Vol.2,1977, pp.287-291.
7United Nations, Our Common Future: Report of the World Commission on Environment and Development(WCED), Oxford: Oxford University Press,1987.
1欧洲共同体官方出版局：《欧洲共同体条约集》（戴炳然译），上海：复旦大学出版社，1993年版，第371-372页。
2雷剑锋：《欧盟多层治理与政策》，北京：世界知识出版社，2011年1月第1版，第156页。
3European Commission,“The EU Emissions Trading System (EU ETS)”, Climate Action, January4,2013,http://ec.europa.eu/clima/policies/ets/index_en.htm,2013年3月30日登录.
1《京都议定书》中文文本第三条，参见《联合国气候变化框架公约》官方网站http://unfccc.int/resource/docs/convkp/kpchinese.pdf.
2Katherine Hamilton, et al., State of the Voluntary Carbon Market2007: Picking Up Steam,(New York andWashington D.C.: Ecosystem Marketplace&New Carbon Finance,2007), pp.5,10.
3Katherine Hamilton, et al., State of the Voluntary Carbon Market2007: Picking Up Steam,(New York andWashington D.C.: Ecosystem Marketplace&New Carbon Finance,2007), p.11.
1[英]安东尼·吉登斯：《气候变化的政治》（曹荣湘译），北京：社会科学文献出版社，2009年12月第1版，第220-221页。
2George Pring,“The United States Perspective”, in Peter D. Cameron and Donald N. Zillman (eds.), Kyoto: FromPrinciples to Practice,(The Hague: Kluwer Law International,2001), pp.194,216,217; Marvin Soroos,“Scienceand International Climate Change Policy”, in Neil E. Harrison and Gary C. Bryner (eds.), Science and Politics inthe International Environment,(Lanham: Rowman&Littlefield Publishers,2004), p.101.
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012).
2武曙红、宋维明：《自愿林业碳市场对CDMA林业碳市场的影响》，载《林业科学》2010年第2期，第145页。
3Katherine Hamilton, et al., Fortifying the Foundation: State of the Voluntary Carbon Markets2009,(New Yorkand Washington D.C.: Ecosystem Marketplace&New Carbon Finance,2009), pp.i~iii.2007年场外交易市场的碳交易额为4,210万吨二氧化碳当量（tCO2e），是2006年的3倍，芝加哥交易市场碳交易额为2.290千万tCO2e，全年的自愿碳市场交易总额高于6.5千万tCO2e。2008年，自愿碳市场交易额又较2007年增长了87%，达到1.23亿tCO2e，交易额价值7.05亿美元。
4Katherine Hamilton, et al., Fortifying the Foundation: State of the Voluntary Carbon Markets2009,(New Yorkand Washington D.C.: Ecosystem Marketplace&New Carbon Finance,2009), pp.i~iii.
1Ecosystem Marketplace and Bloomberg New Energy Finance, State of the Voluntary Carbon Markets Report2010,http://www.globe-net.com/articles/2010/june/15/state-of-the-voluntary-carbon-markets-report-2010-.aspx?sub=11.
2Open Congress, American Clean Energy and Security Act (H. R.2454), July7,2009,http://www.opencongress.org/bill/111-h2454/text,2013年2月9日登录.
1Isnge Kaul, Isabelle Grunberg and Marc A. Stern, eds., Global Public Goods: International Cooperation in the21tCentury, New York: Oxford University Press,1999; World Bank, Global Development Finance: Building2Coalitions for Effective Development Finance (Vols.1-2), Washington, D.C.: World Bank,2001.
2International Energy Agency (IEA), World Energy Outlook: Executive Summery,(France, London: InternationalEnergy Agency,2011), p.2.
3Jack Hirshleifer,“From Weakest-Link to Best Shot: The Voluntary Provision of Public Goods”, Public Choice41(3),1983, p.371.
1James Bradfield Moody, Bianca Nogrady, The Sixth Wave: How to Succeed in a Resource-Limited World,(Sydney: Vintage Books,2010).
1薄燕：《全球气候变化问题上的中美欧三边关系》，载《现代国际关系》2010年第4期，第15页。
1UNFCCC, Appendix2of the Copenhagen Accord: Nationally Appropriate Mitigation Actions by DevelopingCountry Parties to the Copenhagen Accord,(Bonn: UNFCCC,2010), http://unfccc.int/home/items/5265.php,2013年3月30日登录.
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.9.
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.41.
1John G. Rowland, A Connecticut Report on Climate Change: Leading by Example: Connecticut Collaborates toReduce Greenhouse Gas Emissions,http://ctclimatechange.com/wp-content/uploads/2009/03/2002_Governors_Letter.pdf,2011年11月10日登录.
2Charles Holt, et al., Auction Design for Selling CO2Emission Allowances Under the Regional Greenhouse GasInitiative (Final Report), October2007, http://www.rggi.org/docs/rggi_auction_final.pdf,2013年4月3日登录.
3RGGI, Design Elements for Regional Allowance Auctions under the Regional Greenhouse Gas Initiative, March17,2008, http://www.rggi.org/docs/20080317auction_design.pdf,2013年4月3日登录.
4庄彦，蒋莉萍，马莉：《美国区域温室气体减排行动的运作机制及其对电力市场的影响》，载《能源技术经济》2010年第22卷第8期，第33页。
1Paul M. Bernstein, et al., Economic Consequences of Northeastern State Proposals to Limit Greenhouse GasEmissions from The Electricity Sector (RGGI),(MA: Charles River Associates Incorporated, July20,2004),http://www.accf.org/wp-content/uploads/2004/07/rcgiConsequences.pdf,2013年3月22日.
2Barry G. Rabe, Statehouse and Greenhouse: The Emerging Politics of American Climate Change Policy,(Washington D.C.: Brookings Institution Press,2004), p.30.
1Mark A. Boyer,“Global Climate Change and Local Action: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, pp.79-107.
2Committee on the Environment and the Northeast International Committee on Energy of the Conference of NewEngland Governors and Eastern Canadian Premiers (NEG/ECP), Climate Change Action Plan2001, August2001,see www.iclei.org/documents/USA/NEG-ECP_CCAP.pdf,2011年11月8日登录..
3Tremaine Foundation, Environment Program: Climate Change,http://www.tremainefoundation.org/Content/Environment_Programs.asp,2011年11月9日登录.
4Riley E. Dunlap,Aaron M. McCright,“AWidenning Gap: Republican and Democratic Views on ClimateChange”, Environment, Vol.50, No.5, September/October2008, pp.26-35.
1Governor’s Steering Committee. Leading by Example: Connecticut Collaborates to Reduce Greenhouse GasEmissions,(Rockefeller Brothers Fund, Inc.,2003).
2RGGI, Inc., Regional Green House Emissions: An Initiative of the Northeast and Mid-Atlantic States of the US,http://www.rggi.org/home,2011年11月10日登录.
3Mark A. Boyer,“Global Climate Change and Local Action: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, p.92,96.
4United States Environment ProtectionAgency, Co-Benefits RiskAssessment (COBRA) Screening Model:AScreening Tool That Estimates Health Effects, State and Local Climate and Energy Program,http://www.epa.gov/statelocalclimate/resources/cobra.html,2011年11月10日登录.
1Suzanne Goldenberg, US Climate Agency Declares CO2Public Danger: Environmental Protection AgencyDeclaration Allows It to Impose Emissions Cuts without Agreement of Reluctant Senate, Dec.7,2009,http://www.guardian.co.uk/environment/2009/dec/07/us-climate-carbon-emissions-danger,2011年11月10日登录.
2Mark A. Boyer,“Global Climate Change and LocalAction: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, p.92.
3Mark A. Boyer,“Global Climate Change and Local Action: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, p.93.
1Brendan Koerner,“Where to Hide From Mother Nature--Wyoming? Nope. West Virginia? ThinkAgain.” Slate,September15,2005, http://www.slate.com/id/2126321/,2012年9月3日登录.
2The CT Governor’s Steering Committee on Climate Change (GSC),“InitialActions and ClimateAction Map”,Connecticut Climate Change, updated on June28th,2011,http://ctclimatechange.com/index.php/towns/climate-action-map-testing/,2012年9月3日登录.
3Mark A. Boyer,“Global Climate Change and LocalAction: Understanding the Connecticut Policy Trajectory”,International Studies Perspective, Vol.14,2013, pp.95-96.
1Barry G. Rabe,“States on Steroids: The Intergovernmental Odyssey ofAmerican Climate Policy,” Review ofPolicy Research, Vol.25(2),2008, pp.105-128.
1Gerry Bemis and JenniferAllen, Inventory of California Greenhouse Gas Emissions and Sinks:1990to2002Update, prepared in support of the2005Integrated Energy Policy Report, California Energy Commission, Dec.2006.
2A. J. Haagen-Smit,“Chemistry and Physiology of Los Angelos Smog”, Industrial and Engineering Chemistry,Vol.44, No.6, pp.1342-1346.
3W. Michael Hanemann, How California Came to Pass AB32, the Global Warming Solutions Act of2006(Working Paper No.1040),(California Agricultural Experiment Station Giannini Foundation of AgriculturalEconomics, University of California: eScholarship, March2007), pp.3-8.
1Mary E. Hogan,“California Climate Change Initiatives Leading the West and the Nation”, Natural Resourcesand Environment,2008, Vol.22(3).
2Lance Davis, Douglass C. North,“Institutional Change andAmerican Economic Growth: AFirst Step towards aTheory of Institutional Innovation”, The Journal of Economic History, Vol.30(1), March1970, pp.131-149.
3California Environmental ProtectionAgency&CaliforniaAir Resources Board, Climate Change EmissionControl Regulations: Fact Sheet, Dec.10,2004, www.arb.ca.gov/cc/factsheets/cc_newfs.pdf.
1U.S. EPA,“State Standards”(Sec.209), Clean Air Act, February24,2004, pp.254-255.
2Mary E. Hogan,“California Climate Change Initiatives Leading the West and the Nation”, Natural Resourcesand Environment,2008, Vol.22(3).
3Vehicle Emission Control Center, EPA Grants California GHG Waiver, July3,2009,http://www.vecc-mep.org.cn/eng/news/news_detail.jsp?newsid=33711#,2011年11月11日登录.
4Center for Climate and Energy Solutions, Vehicle Greenhouse Gas Emissions Standards Has Adopted CA VehicleStandards. US Climate Policy Maps, http://www.pewclimate.org/sites/default/modules/usmap/pdf.php?file=5905.
1Arnold Schwarzenegger, Executive Order S-3-05, Executive Department, State of California, June2005,http://www.dot.ca.gov/hq/energy/ExecOrderS-3-05.htm,2013年4月4日登录.
2Amy Lynd Luers, et al., Our Changing Climate: Assessing the Risk to California,(California EnergyCommission’s Public Interest Energy Research (PIER)&California Climate Change Center, California EnergyCommission-500-2006-077, July2006), http://meteora.ucsd.edu/cap/pdffiles/CA_climate_Scenarios.pdf.
3W. Michael Hanemann, How California Came to Pass AB32, the Global Warming Solutions Act of2006(Working Paper No.1040), pp.21-23.
1California Environmental Protection Agency, Assembly Bill No.32: California Global Warming Solutions Act of2006, September27,2006,http://www.leginfo.ca.gov/pub/05-06/bill/asm/ab_0001-0050/ab_32_bill_20060927_chaptered.pdf; Air ResourcesBoard, California Energy Commission, Environmental Defense: History of California’s Involvement in AirPollution and Climate Change, March18,2010, http://www.climatechange.ca.gov/background/history.html,2010年4月14日登录.
2王玉英：《美国加州首个碳排放拍卖会成交2.86亿美元》，新华社洛杉矶2012年11月19日电。
1Mary E. Hogan,“California Climate Change Initiatives Leading the West and the Nation”, Natural Resourcesand Environment,2008, Vol.22(3), p.16.
2David Vogel,“Trading Up and Governing Across: Transnational Governance and Environmental Protection”,Journal of European Public Policy4, December1997, pp.556-571.
3W. Michael Hanemann, How California Came to Pass AB32, the Global Warming Solutions Act of2006(Working Paper No.1040), p.25.
1庄贵阳：《后京都时代国际气候治理与中国的战略选择》，载《世界经济与政治》2008年第8期，第6页。
2Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community” in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.22.
3Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community”, in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.25.
1Kentaro Tamural, Eric Zusman,“The Politics of Climate Policy in China: Interests, Institutions and Ideas”,
2Institute for Global Environmental Strategies (IGES) Working Paper-CC-2011-07, Nov.2011, p.6.Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community”, in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.30.
3Elizabeth Economy,“Chinese Policy-making and Global Climate Change: Two-Front Diplomacy and theInternational Community”, in Elizabeth Economy and Miranda Schreurs, eds., The Internationalization ofEnvironmental Protection,(Cambridge: Cambridge University Press,1997), p.31.
4国家发展和改革委员会应对气候变化司《：中国代表团团长刘江部长于1999年在气候变化公约第五届缔约方会议上的发言》，中国气候变化信息网“公约进程”2002年7月18日电，http://www.ccchina.gov.cn/cn/NewsInfo.asp?NewsId=3876,2012年12月17日登录。
1张卫华：《中国第一个CDM项目前生今世》，载《经济》2007年第7期，第22-25页。
2Kentaro Tamural, Eric Zusman,“The Politics of Climate Policy in China: Interests, Institutions and Ideas”,Institute for Global Environmental Strategies (IGES) Working Paper-CC-2011-07, Nov.2011, p.11.
3苏民：《千家企业节能行动成效显著》，载《经济日报》2009年12月17日讯。
1发改委、科技部、外交部、财政部（2005年第37号令）：《清洁发展机制项目运行管理办法》第二十四条。
2Kentaro Takahashi, Market Mechanisms Country Fact Sheet: People’s Republic of China,(Institute for GlobalEnvironmental Strategies (IGES), May2011), pp.1-8.
3Miriam Schr der,“Varieties of Carbon Governance: Utilizing the Clean Development Mechanism for ChinesePriorities”, The Journal of Environment and Development,2009, Vol.18(4), pp.379-380.
4Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012).
1Olivia Boyd, Tan Copsey,“What’s in the Five-Year Plan?” in “China’s Green Revolution: Energy, Environmentand the12th Five-Year Plan”, Chinadialogue, April2011, p.13.
2Olivia Boyd, Tan Copsey,“What’s in the Five-Year Plan?” in “China’s Green Revolution: Energy, Environmentand the12th Five-Year Plan”, Chinadialogue,p.14.
1非言：《新能源规划“三国演义”》，载《太阳能》2012年第4期，第53-54页。
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.75.
3迟本坤：《低碳经济视角下新能源CDM项目的国际合作问题研究》，吉林大学2011年博士学位论文，第38页。
4Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.49.
5施罗德在同行团体互评（peer group assessment）研究方法的基础上，还借鉴了世界观察研究所（theWorldwatch Institute）研究员马天瑞（Eric Martinot）1998年测量可再生能源市场转型的项目评估模型，参见Eric Martinot, Monitoring and Evaluation of Market Development in World Bank-GEF Climate Change Projects:Framework and Guidelines, Climate Change Series (Paper No.066), December1998, pp.1-57.
1宁夏、甘肃、湖南和云南四省CDM中心推动开发的项目数与全省CDM项目总数之间的比值到2010年变化为：56%，19%，34%和1%，这一数字也在一定程度上支持了作者对湖南后来居上和宁夏发展放缓的判断。参见Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:
2Palgrave Macmillan,2012), pp.74,96-97.Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), pp.136-137,140.
3宁夏回族自治区统计局、宁夏回族自治区第六次人口普查工作领导小组办公室：《宁夏回族自治区2010年第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月10日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804334.htm，2012年12月2日登录。
1崔柳：《宁夏自治区低碳经济发展的现实路径探讨》，载《社科纵横》2010年第4期，第34-36页。
2高慎盈、黄玮、吕林荫：《“西海固”告诉我们》，摘自《解放日报》2004年6月4日文，载《乡镇论坛》2004年第14期，第14-15页。
3崔柳：《宁夏自治区低碳经济发展的现实路径探讨》，载《社科纵横》2010年第4期，第35页。
4张吉生：《早动手早受益——宁夏开发CDM项目的经验和体会》，载《中国科技投资》2006年第7期，第34-35页。
5王天津：《建设富有宁夏特色的碳汇功能区》，载《中央民族大学学报（社会科学版）》2009年第1期，第70页。
1宁夏CDM环保服务中心：《宁夏CDM环保服务中心简介》，宁夏清洁发展机制环保服务中心官方网站，参见http://www.kp-cdm.com/Category/Intro，2012年12月1日登录；苗昆：《CDM盛宴》，载《环境经济》2008年第2期，第14页。
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.98,102.
3白景辉、高莉：《中加CDM合作宁夏项目进展顺利》，载《宁夏日报》2004年9月9日文；张吉生：《宁夏在发展CDM项目方面的经验》，新疆，2005年9月14日。
1佚名：《宁夏联手CDM抢先机必先获利》，载《资源节约与环保》2005年第4期，第36页；张吉生：《早动手早受益——宁夏开发CDM项目的经验和体会》，载《中国科技投资》2006年第7期，第34-35页。
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), pp.103-105.
1Joseph A. Schumpeter, The Theory of Economic Development,(Cambridge, MA: Harvard University Press,1912/1961), p.66; Joseph A. Schumpeter, Business Cycles,(New York: McGraw-Hill,1939); P. N. Golder and G. J.Tellis,“Will it Ever Fly? Modelling the Takeoff of Really New Consumer Durables,” Marketing Science, Vol.16,pp.256-270; G. J. Tellis, S. Stremersch and E. Yin,“The International Takeoff of New Products: The Role ofEconomics, Culture, and Country Innovativeness,” Marketing Science, Vol.22,2002, pp.188-208; A. B. Jaffe, R. G.Newell and R. N. Stavins,“Environmental Policy and Technological Change,” Environmental and ResourceEconomics, Vol.22,2002, pp.41-69.
2UNECE, Guidelines on Best Practice in Business Advisory, Counselling and Information Services,(New Yorkand Geneva: United Nations Economic Commissions for Europe,2002), p.9; OECD, Boosting Business AdvisoryServices,(Paris: OECD,1995), p.19; OECD, Innovation and Knowledge-Intensive Service Activities,(Paris:OECD,2006).
3Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.136.
1马金花：《宁夏CDM项目融资的问题与对策》，载《财会月刊》2012年第6期，第29-31页。
2湖南省人民政府：《湖南在中国的位置》，参见http://www.hunan.gov.cn/hngk/zrdl/dlqk/，2012年12月4日登录。
3湖南省第六次全国人口普查领导小组办公室、湖南省统计局：《湖南省第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月13日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804328.htm，2012年12月3日登录。
4湖南省人民政府：《湖南人口》，参见http://www.hunan.gov.cn/hngk/hnrk/，2012年12月4日登录。
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), pp.136-137.
2Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.129.
3Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.109.
1Miriam Schr der, Local Climate Governance in China: Hybrid Actors and Market Mechanisms,(New York:Palgrave Macmillan,2012), p.104.
2John D. Donahue, Richard J. Zeckhauser, Collaborative Governance: Private Roles for Public Goals inTurbulent Times,(New Jersay: Princeton Univesity,2011).
1潘家华、陈迎：《碳预算方案：一个公平可持续的国际气候制度框架》，载《中国社会科学》2009年第5期，第38-89页；潘家华：《碳预算方案的国际认同及其推进建议》，载中国全球变化研究信息中心（CICGCS）官方网站，2010年1月19日，http://www.globalchange.ac.cn/Linkages/Carbon_budget.pdf，2012年8月21日登录。
1Thomas Risse, Stephen C. Ropp and Kathryn Sikkink, eds., The Power of Human Rights: International Normsand Domestic Change,(Cambridge: Cambridge University Press,1999).
2Thomas Risse, Stephen C. Ropp and Kathryn Sikkink, eds., The Power of Human Rights: International Normsand Domestic Change,(Cambridge: Cambridge University Press,1999), pp.17-38.
1James Bradfield Moody, Bianca Nogrady, The Sixth Wave: How to Succeed in a Resource-Limited World,(Random House Australia,2010).
2详细讨论参见Barry G. Rabe,“States on Steroids: The Intergovernmental Odyssey ofAmerican Climate Policy,”
3Review of Policy Research, Vol.25(2),2008, pp.105-128.Brigid Laffan,“From Policy Entrepreneur to Policy Manager: The Challenge Facing the European Commission”,Journal of European Public Policy, Vol.4, Sep.3,1997, pp.422-438.
4Colin Coulson-Thomas, Knowledge Entrepreneur: How Your Business Can Create, Manage and Profit fromIntellectual Capital, London, Sterling, V.A.: Cogan Page Limited,2003; Emanuel Adler, Peter M. Haas,“Conclusion: Epistemic Communities, World Order, and the Creation of A Reflective Research Program”,International Organization, Vol.46, Issue1, Winter1992, pp.367-390.
1Brigid Laffan,“From Policy Entrepreneur to Policy Manager: The Challenge Facing the European Commission”,Journal of European Public Policy, Vol.4, Sep.3,1997, pp.422-438.
2国际科学院委员会（InterAcademy Council, IAC）：《国际科学院委员会报告建议IPCC（政府间气候变化专门委员会）管理结构根本性改革》，InterAcademy Council News,2010年8月30日，http://reviewipcc.interacademycouncil.net/ReportNewsReleaseChinese.pdf。
3笔者于2012年10月参加了由中科院、达沃斯世界资源论坛（World Resources Forum，以下简称“WRF”）、瑞士工程院、瑞士人文与科学院与瑞士联邦材料科技实验室合办北京举行的“2012年世界资源论坛”国际会议（WRF2012），会上有来自55个国家的300多名参会者和UNFCCC、IPCC、UNEP、UNDP的官员参会，与会各方围绕“绿色经济”的挑战和实现路径进行了深入研讨。
1Thomas Hale, Charles Roger, Domestic Politics and Participation in Transnational Climate Governance: TheCrucial Case of China, Research Center for Chinese Politics and Business (RCCPB) Working Paper#23(RCCPB’s Initiative on China and Global Governance),(Indiana University, Research Center for Chinese Politics&Business, March2012).
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2王正毅著：《国际政治经济学通论》，北京：北京大学出版社，2010年版，第296页；[美]莉萨·马丁，贝思·西蒙斯编：《国际制度》（黄仁伟等译），上海：上海世纪出版集团，2006年版，第46-47页。
1陈刚著：《京都议定书与国际气候合作》，北京：新华出版社，第113‐120页。
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2[英]迈克尔·博兰尼：《自由的逻辑》（冯银江、李雪茹译），长春：吉林人民出版社，2002年版，第168-170页。
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1Ricardo Hausmann, Dani Rodrik, Andrés Velasco,“Growth Diagnostics”, revised March2005,http://www.hks.harvard.edu/fs/rhausma/new/growthdiag.pdf,2013年4月19日登录.
2林毅夫：《新结构经济学：反思经济发展与政策的理论框架》（苏剑译），北京：北京大学出版社，2012年9月第1版。
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[69]张焕波：《中国、美国和欧盟气候政策分析》，北京：社会科学文献出版社，2010年5月第1版。
[70]朱宪辰主编：《自主治理与扩展秩序：对话奥斯特罗姆》，杭州：浙江大学出版社，2012年版。
[71]庄贵阳，朱仙丽，赵行姝：《全球环境与气候治理》（王逸舟主编：《国际关系学前沿教材丛书》），杭州：浙江人民出版社，2009年5月第1版。
[1]薄燕：《国际环境正义与国际环境机制：问题、理论和个案》，载《欧洲研究》2004年第3期。
[2]薄燕：《“京都进程”的领导者：为什么是欧盟不是美国？》，载《国际论坛》2008年9月第5期。
[3]薄燕：《全球气候变化问题上的中美欧三边关系》，载《现代国际关系》2010年第4期。
[4]蔡拓、王南林：《全球治理:适应全球化的新的合作模式》，载《南开学报（哲学社会科学版）》2004年第2期。
[5]段茂盛：《清洁发展机制国际制度的现状和走向》，载《气候变化研究进展》2006年第2卷第6期。
[6]陈万灵、潘加矿：《广东构建碳交易市场的定位与对策》，载《广东经济》2010年第2期。
[7]非言：《新能源规划“三国演义”》，载《太阳能》2012年第4期。
[8]甘钧先：《地方自主减排的范例——美国加州的气候治理及其对中国的启示》，载《国际论坛》2010年5月第3期。
[9]胡振、刘华、刘佳丽：《英国私人主动融资（PFI）项目的政府管制体系研究》，载《建筑经济》2006年10月总第288期。
[10]厉以宁：《和尚与挑水》，载《才智》2005年第8期。
[11]林毅夫：《关于制度变迁的经济学理论：诱致性变迁与强制性变迁》，载《财产权利与制度变迁》，上海人民出版社、上海三联书店，1994年版。
[12][美]罗纳德·科斯：《<社会成本问题>的注释》，载[美]罗纳德·科斯：《论生产的制度结构》（盛洪等译），上海人民出版社，1994年第1版。
[13]马海涛，李伯涛，龙军：《环境保护的分权理论及其实践》，载《地方财政研究》2009年第9期。
[14]马金花：《宁夏CDM项目融资的问题与对策》，载《财会月刊》2012年第6期。
[15]毛寿龙：《公共事务的制度基础》，载[美]埃莉诺·奥斯特罗姆著：《公共事物的治理之道》（毛寿龙译），中文版译序。
[16]蒙少东：《美国的酸雨计划及效果对我国环保管理的启迪》，载《华侨大学学报（哲社版）》1999年增刊。
[17]孟强：《当代社会理论的实践转向：起源、问题与出路》，载《浙江社会科学》2010年第10期。
[18]苗昆：《CDM盛宴》，载《环境经济》2008年第2期。
[19]秦亚青：《多边主义研究:理论与方法》，载《世界经济与政治》2001年第10期。
[20]秦亚青：《关系本位与过程建构：将中国理念植入国际关系理论》，载《中国社会科学》2009年第3期。
[21]秦亚青：《权力·制度·文化——国际政治学的三种理论体系》，载《世界经济与政治》2002年第6期。
[22]任仁：《酸雨》，载《化学与社会》1996年第7期。
[23]沈满洪：《论环境经济手段》，载《经济研究》1997年第10期。
[24]沈满洪、谢慧明：《公共物品问题及其解决思路——公共物品理论文献综述》，载《浙江大学学报（人文社会科学版）》2009年第6期。
[25]苏长和：《国内、国际相互转型的政治经济学——兼论中国国内变迁与国际体系的关系（1978～2007）》，载《世界经济与政治》2007年第11期。
[26]苏长和：《合约、国家理论与世界秩序》，载《外交评论》2007年4月总第95期。
[27]苏长和：《中国地方政府与次区域合作：动力、行为及机制》，载《世界经济与政治》2010年第5期。
[28]田春秀，李丽平：《中国CDM项目实施技术转让的政策研究》，载《环境保护》2008年第3期。
[29]万霞：《国际法中的“软法”现象探析》，载《外交学院学报》2005年第1期（总第80期）。
[30]王天津：《建设富有宁夏特色的碳汇功能区》，载《中央民族大学学报（社会科学版）》2009年第1期。
[31]魏崇辉：《当代中国政治语境下的治理理论研究——一个分析框架构建的尝试》，载《政治与法律》2009年第4期。
[32]魏崇辉：《权力的文化网络与现代国家的成长——以杜赞奇的解说为切入点》，载《长江论坛》2009年第4期。
[33]魏崇辉：《治理理论有效适用与当代中国民主政治发展》，载《东岳论丛》2008年第11期。
[34]吴志军，朱旭：《新多边主义视野下的全球治理》，载《南开学报（哲学社会科学版）》2012年第3期。
[35]武曙红、宋维明：《自愿林业碳市场对CDMA林业碳市场的影响》，载《林业科学》2010年第2期。
[36]杨光斌：《诺斯制度变迁理论的贡献与问题》，载《华中师范大学学报(人文社会科学版)》2007年5月第3期。
[37]杨令侠：《加拿大与美国关于酸雨的环境外交》，载《南开学报（哲学社会科学版）》2002年第3期。
[38]杨雪冬：《制度移植与本土实践：以立法听证为个案的研究》，载《华中师范大学学报》2005年第6期。
[39]张磊：《淘金碳交易》，载《中国经贸》2010年第1期。
[40]张吉生：《早动手早受益——宁夏开发CDM项目的经验和体会》，载《中国科技投资》2006年第7期。
[41]张卫华：《中国第一个CDM项目的前世今生》，载《经济》2007年7月第15期。
[42]张胜军：《全球治理的最新发展和理论动态》，载《国外理论动态》2012年第10期。
[43]张宇燕：《经济学与常识：从“三个和尚没水吃”谈起》，载《读书》1989年第11期。
[44]赵顺龙、周一帆、曹逸之：《诺斯制度变迁理论的演变》，载《南京工业大学学报（社会科学版）》2008年第4期。
[45]中国国家发展和改革委员会编制：《中国应对气候变化的政策与行动2010年度报告》（2010年11月）。
[46]周宏春：《世界碳交易市场的发展与启示》，载《中国软科学》2009年第12期。
[47]周业安：《中国制度变迁的演进论解释》，载《经济研究》2000年第5期。
[48]朱立群，聂文娟：《国际关系理论研究的实践转向》，载《世界经济与政治》2010年第8期。
[49]庄贵阳：《后京都时代国际气候治理与中国的战略选择》，载《世界经济与政治》2008年第8期。
[1]薄燕：《国际谈判与国内政治：对美国与<京都议定书>的双层博弈分析》，复旦大学2003年博士学位论文。
[2]马骏：《国际碳排放权交易市场运行机制的经济学分析和我国参与世界碳市场构建》，中国人民大学2008年硕士学位论文。
[3]王俊英：《二氧化硫排污权交易市场体系研究——以青岛市为例》，中国海洋大学2007年博士学位论文。
[4]叶卫华：《全球负外部性的治理——大国合作》，江西财经大学2010年博士学位论文。
[1]发改委、科技部、外交部、财政部（2005年第37号令）：《清洁发展机制项目运行管理办法》第二十四条。
[2]国家计委、电力部、交通部：《关于试办外商投资特许权项目审批管理有关问题的通知》第四、五条，1995年8月21日颁发。
[3]国务院：《能源发展“十二五”规划》，载《国务院关于印发能源发展“十二五”规划的通知（国发[2013]2号）》，2013年1月1日，http://www.gov.cn/zwgk/2013-01/23/content_2318554.htm。
[4]《联合国气候变化框架公约》京都议定书（中文版），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/convkp/kpchinese.pdf。
[5]《联合国气候变化框架公约》哥本哈根协议（中文版），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/2009/cop15/chi/11a01c.pdf。
[6]《联合国气候变化框架公约》坎昆协议（中文版），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/2010/cop16/chi/07a01c.pdf#page=2；http://unfccc.int/resource/docs/2010/cmp6/chi/12a01c.pdf#page=。
[7]《联合国气候框架公约》缔约方会议第十五届会议通过的《关于发展中国家减少毁林和森林退化所致排放量相关活动、森林保护和可持续管理的作用，以及提高森林碳储量的方法学指导意见》决议（4/CP.15），摘自《联合国气候变化框架公约》官方网站，http://unfccc.int/resource/docs/2009/cop15/chi/11a01c.pdf。
[1]白景辉、高莉：《中加CDM合作宁夏项目进展顺利》，载《宁夏日报》2004年9月9日文。
[2]北京环境交易所：《排污权交易成功典例：美国酸雨计划》，2008年7月31日文，http://www.cbeex.com.cn/article/zlzx/qtxx/200808/20080800003391.shtml。
[3]曹俊：《美国：十次修订标准为哪般？》，载《中国环境报》2011年11月29日第4版。
[4]发改委应对气候变化司：《中国代表团团长刘江部长于1999年在气候变化公约第五届缔约方会议上的发言》，中国气候变化信息网“公约进程”2002年7月18日电，http://www.ccchina.gov.cn/cn/NewsInfo.asp?NewsId=3876。
[5]高慎盈、黄玮、吕林荫：《“西海固”告诉我们》，摘自《解放日报》2004年6月4日文，载《乡镇论坛》2004年第14期。
[6]国际科学院委员会（InterAcademy Council, IAC）：《国际科学院委员会报告建议IPCC（政府间气候变化专门委员会）管理结构根本性改革》，InterAcademyCouncil News,2010年8月30日，http://reviewipcc.interacademycouncil.net/ReportNewsReleaseChinese.pdf。
[7]湖南省第六次全国人口普查领导小组办公室、湖南省统计局：《湖南省第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月13日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804328.htm。
[8]湖南省科技厅、湖南湘科清洁发展有限责任公司：《湖南省CDM项目服务中心简介》，湖南省CDM项目服务中心暨湖南湘科清洁发展有限责任公司官方网站，参见http://www.hncdm.com/AboutCenter.html（中文版）,http://en.hncdm.com/Aboutus.html（英文版）。
[9]湖南省科技厅CDM服务中心：《诚聘优秀人才》，湖南省CDM项目服务中心、湖南湘科科技发展有限责任公司官方网站“招贤纳士”栏目2011年4月25日，http://www.hncdm.com/InfoContent17/&id=9f10f54c-d4ea-4883-84cb-6e1216748c32&comp_stats=comp-FrontInfo_listMultiPage-zxns01.html。
[10]湖南省科技厅CDM服务中心：《湖南省清洁发展机制培训资料》，2005年12月9日。
[11]湖南省科技厅CDM服务中心：《在线留言》，湖南省CDM项目服务中心、湖南湘科科技发展有限责任公司官方网站“招贤纳士”栏目2009年11月30日-2010年5月16日，http://www.hncdm.com/MessageBoard.html。
[12]湖南省人民政府：《湖南人口》，参见http://www.hunan.gov.cn/hngk/hnrk/。
[13]湖南省人民政府：《湖南在中国的位置》，参见http://www.hunan.gov.cn/hngk/zrdl/dlqk/。
[14]湖南省人民政府：《省情介绍》，参见http://www.hunan.gov.cn/hngk/sqjs/。
[15]湖南省湘科应对气候变化研究中心：《湖南省湘科应对气候变化研究中心诚聘优秀人才》，湖南省CDM项目服务中心、湖南湘科科技发展有限责任公司官方网站“招贤纳士”栏目2012年8月14日，http://www.hncdm.com/InfoContent17/&id=8a6c18ec-1ea9-4828-98cc-4cc45439e3f8&comp_stats=comp-FrontInfo_listMultiPage-zxns01.html。
[16]宁夏CDM环保服务中心：《宁夏CDM环保服务中心简介》，宁夏清洁发展机制环保服务中心官方网站，参见http://www.kp-cdm.com/Category/Intro。
[17]宁夏回族自治区统计局、宁夏回族自治区第六次人口普查工作领导小组办公室：《宁夏回族自治区2010年第六次全国人口普查主要数据公报》，中华人民共和国国家统计局官方网站，2011年5月10日，参见http://www.stats.gov.cn/tjgb/rkpcgb/dfrkpcgb/t20120228_402804334.htm。
[18]清华大学就业指导中心：《湖南省CDM（清洁发展机制）项目服务中心招聘》，清华大学毕业生就业信息网“就业招聘信息”栏目2007年11月7日，http://career.tsinghua.edu.cn/docinfo/career/jyzpxx/zpxxDetail.jsp?nf=2008&id=2007001075。
[19]苏民：《千家企业节能行动成效显著》，载《经济日报》2009年12月17日讯。
[20]王玉英：《美国加州首个碳排放拍卖会成交2.86亿美元》，新华社洛杉矶2012年11月19日电。
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