中国规制政策的影响评价研究
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摘要
1969年美国制定了《国家环境政策法》(NEPA),经过30多年的实践,规制影响评价制度在美国已形成了较为成熟的理论分析框架,并在规制实践中得到了较为广泛的应用。同时,越来越多的国家也开始对本国的相关规制政策实施规制影响评价分析,并在提高规制政策效率和提高规制政策工具选择的质量方面取得了较好的效果。中国做为发展中国家,在提高政府规制政策制定和实施的效率方面还远远不够,国外尤其是西方发达国家的规制影响评价实践已经证明其是解决这一问题的一种行之有效的工具.因此,探索如何在借鉴国外规制影响评价经验的基础上构建符合中国国情的具有现实操作性的规制影响评价制度,是对改进我国规制政策效率的一项有益的尝试。
本文共分为七章。第一章是导论,提出了本文的研究意义、国内外相关文献综述、研究目的和方法、本文的思路与框架以及可能的创新和不足之处;第二章从政府规制理论和公共管理理论的角度说明规制影响评价的理论基础与现实意义,然后对规制影响评价的主要内容如对象、原则、程序和方法等问题进行解释,建立一个关于规制影响评价的基本分析框架,从而为本文对规制影响评价的分析奠定了一个良好的理论基础:第三章评价了中国在政府规制中实施规制影响评价的现状,指出中国规制影响评价的实施主要体现在环境规制评价方面,规制影响评价的实施范围也比较狭窄,和发达国家相比,在实施效果上亦有较大差距。同时,指出中国引入规制影响评价的必要性以及现实中存在的障碍,并提出应采取哪些措施以保障规制影响评价制度在中国得以顺利的实施。并认为我国应努力构建符合中国国情的规制影响评价制度,且不能仅仅局限于环境规制影响评价方面,还应扩大到所有对社会政治、经济、环境、可持续力有影响的领域,从而提升规制影响评价的作用和水平;第四章对世界上一些发达国家和发展中国家现有的规制影响评价实践进行了介绍和评价,试图从中找出中国引入规制影响评价的可行性依据,以及值得我们吸取的有关经验或教训;第五章在借鉴国外规制影响评价经验的基础上,结合我国现实约束条件,尝试构建一个适合中国国情的规制影响评价制度。其中,最关键的问题是规制影响评价指标的选取和指标权重的确定。我们对规制影响的评价从成本(投入)和收益(产出)两个方面进行制度设计,其中投入中又分为人力、物力、财力三个方面来分类,产出方面则按照经济、社会、环境三方面的影响来设置指标;第六章是对中国环境规制政策影响评价的实证分析。本章的目的是根据我国环境特点,运用上一章所构建的规制影响评价框架去构建环境规制影响评价指标体系,进而对我国环境规制领域中的规制政策工具进行影响评价,从而为我国引入和完善规制影响评价制度提出政策性建议,同时也可以检验前面所提出的规制影响评价指标体系的可行性和可操作性;第七章是全文的结论与展望。
总体来看,本文在政府规制理论、公共管理理论和美国、欧盟、OECD国家或地区的经验基础之上,结合中国的具体情况,采用了历史分析与比较分析相结合、规范分析与实证分析相结合、定性分析与定量分析相结合的分析方法,设计出了规制政策影响评价指标体系的一般性框架。在实证方面,本文运用规范分析的方法对井冈山市2008年的环境规制政策影响进行系统评价,对我国规制影响评价的构建提出了建议。
American formulated National Environmental Policy Act in 1969, after 30 years of practice, Regulatory Impact Assessment system of American has formed a comparatively mature theoretical analysis framework and have been used in a wide range. At the same time, more and more countries began to use the Regulatory Impact Assessment system to analysis regulation policy of their countries and have a good effect in improving the efficiency of regulation policy and improving the quality of tool for regulatory selection. As a developing country, China is not good enough in improving the efficiency of regulation policy formulation and implementation. The experience of practicing of some countries has proved that the RIA is an effective tool to solve this problem, especially in the western developed countries. Therefore, how to construct the framework that is realistic, operational and conform to China's national conditions of RIA based on the experience of foreign countries is a beneficial attempt for China to improve the efficiency of regulation policy of our country.
The paper is divided into seven sections. Chapter one is the general, provides an introduction to the research significance, the domestic and foreign relevant literatures review, research purpose and methods, the idea and framework, major creativity and deficiency of this paper. Chapter two explains theoretical foundation and realistic significance of RIA based on the theory of government regulation and public administrations, explains the main contents of RIA, such as object, principles and methods, and establishes a basic analysis framework in order to lay a good foundation for RIA analysis. Chapter three evaluates the current implementation of RIA of Chinese government, the implementation of China's RIA mainly embodies in Environmental Regulation Assessment, the scope of implementation of RIA is narrow, compared with developed countries, the effect also have a large gap. This chapter also points out the necessity of introducing RIA and obstacles exist in reality, and provides that what measures should be taken to guarantee the system of RIA can be implemented smoothly in China. China should construct the system of Regulation Impact Assessment which conforms to China's national conditions, not only confine to Environmental Regulation Analysis, and should be extended to all influential fields, such as society, politics, economy, environment, and improve the level of Regulation Impact Assessment. Chapter four provides an introduction and appraisal to the existing RIA practice of some developed countries in the world, find out the feasibility of China implement RIA and the relevant experience which China should learn from. Chapter five constructs a system of RIA suited to China's national conditions based on the experience of foreign countries and current limited conditions of China. The key problem is how to choose the indicators of RIA and determine appropriate proportion among indicators in the framework. We design the framework of Impact Assessment from two aspects which are the costs (input) and benefits (output) of the evaluation, input including human, material and financial resources, output is in accordance with the economic, social and environmental influence to set indicators. This framework can be considered the general framework designed as different regulation policy impact assessment systems. Chapter six uses empirical analysis method to analyze China environmental regulation policies impact assessment. The object of this chapter is to use the framework last chapter referred to construct environmental regulation impact assessment indicators system according to the characteristics of environment of our country, and then evaluate regulation policy tools in the field of china environmental regulation, and provide some constructive suggestion for our country about introducing and complete the system of RIA, also can test the feasibility and operability of the mentioned framework of RIA. The last chapter is the conclusion and prospect.
Overall, according to the specific conditions of China, the paper designs a general framework of regulation policy impact analysis indicators system based on the theory of government regulation and public management and the experience of the United states, the European Union and the OECD countries or regions by many kinds of methods such as historical analysis, comparative analysis, normative analysis, empirical analysis, qualitative analysis, quantitative analysis. In the empirical aspect, the paper completely evaluates impact of 2008 environment regulation policies of JingGangShang city, and gives some suggestion for Regulation Impact Assessment of China.
本文共分为七章。第一章是导论,提出了本文的研究意义、国内外相关文献综述、研究目的和方法、本文的思路与框架以及可能的创新和不足之处;第二章从政府规制理论和公共管理理论的角度说明规制影响评价的理论基础与现实意义,然后对规制影响评价的主要内容如对象、原则、程序和方法等问题进行解释,建立一个关于规制影响评价的基本分析框架,从而为本文对规制影响评价的分析奠定了一个良好的理论基础:第三章评价了中国在政府规制中实施规制影响评价的现状,指出中国规制影响评价的实施主要体现在环境规制评价方面,规制影响评价的实施范围也比较狭窄,和发达国家相比,在实施效果上亦有较大差距。同时,指出中国引入规制影响评价的必要性以及现实中存在的障碍,并提出应采取哪些措施以保障规制影响评价制度在中国得以顺利的实施。并认为我国应努力构建符合中国国情的规制影响评价制度,且不能仅仅局限于环境规制影响评价方面,还应扩大到所有对社会政治、经济、环境、可持续力有影响的领域,从而提升规制影响评价的作用和水平;第四章对世界上一些发达国家和发展中国家现有的规制影响评价实践进行了介绍和评价,试图从中找出中国引入规制影响评价的可行性依据,以及值得我们吸取的有关经验或教训;第五章在借鉴国外规制影响评价经验的基础上,结合我国现实约束条件,尝试构建一个适合中国国情的规制影响评价制度。其中,最关键的问题是规制影响评价指标的选取和指标权重的确定。我们对规制影响的评价从成本(投入)和收益(产出)两个方面进行制度设计,其中投入中又分为人力、物力、财力三个方面来分类,产出方面则按照经济、社会、环境三方面的影响来设置指标;第六章是对中国环境规制政策影响评价的实证分析。本章的目的是根据我国环境特点,运用上一章所构建的规制影响评价框架去构建环境规制影响评价指标体系,进而对我国环境规制领域中的规制政策工具进行影响评价,从而为我国引入和完善规制影响评价制度提出政策性建议,同时也可以检验前面所提出的规制影响评价指标体系的可行性和可操作性;第七章是全文的结论与展望。
总体来看,本文在政府规制理论、公共管理理论和美国、欧盟、OECD国家或地区的经验基础之上,结合中国的具体情况,采用了历史分析与比较分析相结合、规范分析与实证分析相结合、定性分析与定量分析相结合的分析方法,设计出了规制政策影响评价指标体系的一般性框架。在实证方面,本文运用规范分析的方法对井冈山市2008年的环境规制政策影响进行系统评价,对我国规制影响评价的构建提出了建议。
American formulated National Environmental Policy Act in 1969, after 30 years of practice, Regulatory Impact Assessment system of American has formed a comparatively mature theoretical analysis framework and have been used in a wide range. At the same time, more and more countries began to use the Regulatory Impact Assessment system to analysis regulation policy of their countries and have a good effect in improving the efficiency of regulation policy and improving the quality of tool for regulatory selection. As a developing country, China is not good enough in improving the efficiency of regulation policy formulation and implementation. The experience of practicing of some countries has proved that the RIA is an effective tool to solve this problem, especially in the western developed countries. Therefore, how to construct the framework that is realistic, operational and conform to China's national conditions of RIA based on the experience of foreign countries is a beneficial attempt for China to improve the efficiency of regulation policy of our country.
The paper is divided into seven sections. Chapter one is the general, provides an introduction to the research significance, the domestic and foreign relevant literatures review, research purpose and methods, the idea and framework, major creativity and deficiency of this paper. Chapter two explains theoretical foundation and realistic significance of RIA based on the theory of government regulation and public administrations, explains the main contents of RIA, such as object, principles and methods, and establishes a basic analysis framework in order to lay a good foundation for RIA analysis. Chapter three evaluates the current implementation of RIA of Chinese government, the implementation of China's RIA mainly embodies in Environmental Regulation Assessment, the scope of implementation of RIA is narrow, compared with developed countries, the effect also have a large gap. This chapter also points out the necessity of introducing RIA and obstacles exist in reality, and provides that what measures should be taken to guarantee the system of RIA can be implemented smoothly in China. China should construct the system of Regulation Impact Assessment which conforms to China's national conditions, not only confine to Environmental Regulation Analysis, and should be extended to all influential fields, such as society, politics, economy, environment, and improve the level of Regulation Impact Assessment. Chapter four provides an introduction and appraisal to the existing RIA practice of some developed countries in the world, find out the feasibility of China implement RIA and the relevant experience which China should learn from. Chapter five constructs a system of RIA suited to China's national conditions based on the experience of foreign countries and current limited conditions of China. The key problem is how to choose the indicators of RIA and determine appropriate proportion among indicators in the framework. We design the framework of Impact Assessment from two aspects which are the costs (input) and benefits (output) of the evaluation, input including human, material and financial resources, output is in accordance with the economic, social and environmental influence to set indicators. This framework can be considered the general framework designed as different regulation policy impact assessment systems. Chapter six uses empirical analysis method to analyze China environmental regulation policies impact assessment. The object of this chapter is to use the framework last chapter referred to construct environmental regulation impact assessment indicators system according to the characteristics of environment of our country, and then evaluate regulation policy tools in the field of china environmental regulation, and provide some constructive suggestion for our country about introducing and complete the system of RIA, also can test the feasibility and operability of the mentioned framework of RIA. The last chapter is the conclusion and prospect.
Overall, according to the specific conditions of China, the paper designs a general framework of regulation policy impact analysis indicators system based on the theory of government regulation and public management and the experience of the United states, the European Union and the OECD countries or regions by many kinds of methods such as historical analysis, comparative analysis, normative analysis, empirical analysis, qualitative analysis, quantitative analysis. In the empirical aspect, the paper completely evaluates impact of 2008 environment regulation policies of JingGangShang city, and gives some suggestion for Regulation Impact Assessment of China.
引文
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