摘要
美国退出《京都议定书》并不意味着其气候政策立场的倒退,而是美国构建新气候政策的起点。2001-2008年,美国国内围绕新气候政策展开激烈的辩论。辩论的焦点是气候政策工具的选择问题。气候政策工具将构成美国未来气候政策的核心与基础。在诸多政策工具中,以市场为基础的限量排放与交易制度和征收碳税制度成为优先选项。
支持联盟框架认为,公共政策领域特定子系统中行为体具有不同的政策信仰系统,并据此形成支持联盟对决策过程发挥重要影响。本文以2001-2008年间国会气候变化政策工具听证会发言文本为数据材料,藉由支持联盟框架这一理论工具,对证人及发言议员表述中的政策倾向加以分析。得出如下结论:在气候变化政策工具子系统中存在五个支持联盟;限量排放与交易制度联盟占据显著优势;碳税制度联盟极其微弱;不同联盟成员政策表述中的支持倾向受其所属机构利益目标的驱动;支持联盟已经推动美国气候政策逐步发生变化;美国气候政策的最终改变还需要子系统外部政治与经济因素的催化。
U.S. climate policy change has significant impact on the future international cooperation regime of addressing climate change. Since 2001, the United States has been experienced a fierce debate on the climate policy options. The great consensus is using market-based strategies to achieve greenhouse gas emissions reductions. Pricing carbon through a cap-and-trade program or a tax on emissions is thought to be one of the most cost-effective approaches.
The Advocacy Coalition Framework (ACF) developed by Hank Jenkins-Smith and Paul Sabatier focus on the role of the policy beliefs of advocacy groups, policymakers and other interested individuals in the process of public policy shaping. This dissertation utilizes the ACF and Congressional hearings on climate policy tools to examine how and why U.S. climate change policy was developing between 2001 and 2008.
The results of this study revealed that there are five advocacy coalitions within the climate policy options subsystem;the advocacy coalition of cap-and-trade has more advantages over the advocacy coalition of carbn tax;the major driving force behind advocating activities is the material or purposive incentives;federal climate policy shifts need the social and economic changes external to the climate policy options subsystem.
引文
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②Ibid.,p.154.
③Ibid.,p.159.
④Zafonte M, Sabatier P.,“Short-Term Versus Long-Term Coalitions in the Policy Process: Automotive Pollution Control, 1963-1989”, Policy Studies Journal 32: pp.75-107.
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③Ibid.
④Ibid.pp.158-159.
①Ibid.pp.179-180.
②Milward, H.B. and G.L. Wamsley,.“Policy Subsystems, Networks and the Tools of Public Management”, in K.I. Hanf and Th.A.J. Toonen. Policy Implementation in Federal and UnitarySystems,( Dordrecht: Nijhoff,1985).
③保罗·A·萨巴蒂尔编:《政策过程理论》(彭宗超等译),北京·生活·读书·新知三联书店,2004年版,第157页。
①Public Policy: An Evolutionary Approach, James P. Lester, Joseph Stewart, Wadsworth Publishing, 1996.
②保罗·A·萨巴蒂尔编:《政策过程理论》(彭宗超等译),北京·生活·读书·新知三联书店,2004年版,第186页。
③Ibid.
①C.Weible & P.Sabatier,”A Guide to the Advocacy Coalition Framenwork”,in Handbook of Public Policy Analysis: Theory, Politics, and Methods (Marcel Dekker,2005), p.183.
②保罗·A·萨巴蒂尔编:《政策过程理论》(彭宗超等译),北京·生活·读书·新知三联书店,2004年版,第157页。
③P.Sabatier et al. Policy Change and Learning: An Advocacy Coaltion Approach (Westview Press,1993), p.227.
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⑤P.Sabatier et al., Policy Change and Learning: An Advocacy Coalition Approach (Westview Press,1993).
⑥M. Zafonte & P.Sabatier,“Short-term versus Long-term Coalitions in the Policy Process:Automotive Pollution Control,1963-1989,Policy Studies Journal,32(1), pp.75-107.
①Christopher J. Dolan,"Economic Policy and Decision-Making at the Intersection of International and Domestic Politics: The Advocacy Coalition Framework and the National Economic Council" Policy Studies Journal , 31 (2): pp. 209-236.
②M. Zafonte & P.Sabatier,“Short-term versus Long-term Coalitions in the Policy Process: Automotive Pollution Control,1963-1989, Policy Studies Journal,32(1), pp.75-107.
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①H. Jenkins-Smith & P.Sabatier,”Evaluating the Advocacy Coalitioon Framenwork”, Journal of Public Policy, vol 14, (April 1994), p.184.
①P.Sabatier & H.Jenkins-Smith,“The Advocacy Coalitioon Framenwork: An Assessment”, in P. Sabatier ed.,Theories of Public Process,(Westview Press, 1999), pp.117-166.
②H. Jenkins-Smith & P.Sabatier,“Evaluating the Advocacy Coalitioon Framenwork”, Journal of Public Policy, vol 14, (April 1994), pp.175-203.
①Ibid.p.187.
②M. Zafonte & P.Sabatier,“Short-term versus Long-term Coalitions in the Policy Process: Automotive Pollution Control,1963-1989, Policy Studies Journal,32(1), pp.75-107.
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②P.Sabatier & H.Jenkins-Smith,“The Advocacy Coalitioon Framenwork:An Asseaament”,in P. Sabatier ed.,Theories of Public Process(Westview Press,1999),p.139.
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②James Hanson, Global warming Twenty Years Later, http://www.columbia.edu/~jeh1/2008/TwentyYearsLater_20080623.pdf
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①D.Bodansky,“The United Nations Framework Convention on Climate Change : A Commnetary”,Yale Journal of International Laws, Vol. 18 ,p.451.无悔政策是一个易于造成混淆的概念,为了明确其含义,有学者建议将其改称为”值得就做”(worth doing anyway)的政策。所以,从福利经济学的角度看,正外部性大于实施总成本的所有战略或措施都可以称之为”无悔政策”。见C. J. Jepma, Mohan Munasinghe,Climate change policy (Cambridge University Press, 1998), p.218.
②Steinar Andresen et.al,“Leaders, Pusher and Laggards in the Making of the Climate Change”, Global Environmental Change 12 (2002).
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④Larry B. Parker et al.“Global Climate Change Policy: From "No Regrets" to S.Res. 98”http://ncseonline.org/NLE/CRSreports/climate/clim-17.cfm#_1_7
②Compendium: A Global Directory to Indicator Initiatives, http://www.iisd.org/measure/compendium/DisplayInitiative.aspx?id=487
③US Climate Policy: Evolution and Future Prospects”, National Climate Policies: Evolution, Drivers, and Future Prospects, S. Agrawala and S. Andresen (Eds.),Special Issue of Energy & Environment 2-3, pp. 117-137. 2001.
①Larry B. Parker et al.“Global Climate Change Policy: From "No Regrets" to S.Res. 98”http://ncseonline.org/NLE/CRSreports/climate/clim-17.cfm#_1_7http://ncseonline.org/NLE/CRSreports/climate/clim-17.cfm#_1_9
② Byrd-Hagel Resolution, http://www.nationalcenter.org/KyotoSenate.html
③“Republican Climatology in the Bush Leagues”, http://www.worldclimatereport.com/archive/previous_issues/vol4/v4n18/feature.htm
①“EPA Analysis of the Lieberman-Warner Climate Security Act of 2008”, http://www.epa.gov/climatechange/downloads/s2191_EPA_Analysis.pdf
②“APP Vision Statement,2006”, http://www.asiapacificpartnership.org/pdf/resources/vision.pdf
①Summary of The Lieberman-McCain Climate Stewardship Act, http://www.pewclimate.org/policy_center/analyses/s_139_summary.cfm
①此表改编自Summary of Market-Based Climate Change Bills Introduced in the 110th Congress, http://www.rff.org/News/Features/Documents/110th_Legislation_Table_Graph.pdf
①Barry Rabe,“Second Generation Climate Policies in the American States: Proliferation, Diffusion, and Regionalization,”Issues in Governance Studies (Brookings Institution), vol. 6 (August 2006): pp.1-9.
②“Clean Car Standards - Pavley, Assembly Bill 1493”, http://www.arb.ca.gov/cc/ccms/ccms.htm
③Executive Order S-3-05, http://gov.ca.gov/index.php?/print-version/executive-order/1861/
①AB 32 Scoping Plan, http://www.arb.ca.gov/cc/scopingplan/scopingplan.htm
②About RGGI, http://rggi.org/about
①“Facts on policy: the CalifoniaEconomy”, http://www.hoover.org/research/factsonpolicy/facts/35975159.html
①Barry Rabe,“Second Generation Climate Policies in the American States: Proliferation, Diffusion, and Regionalization,”Issues in Governance Studies (Brookings Institution), vol. 6 (August 2006): p.8.
②“Learning from State Action on Climate Change”, http://www.pewclimate.org/docUploads/States%20Brief%20(May%202008).pdf
③Stern Review on the Economics of Climate Change, http://www.hm-treasury.gov.uk/stern_review_report.htm
④Robert N. Stavins ,“Addressing Climate Change with a Comprehensive U.S. Cap-and-Trade System”, p.299. http://belfercenter.ksg.harvard.edu/files/Stavins_Climate_Change.pdf
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②Dale Jorgenson et al.,“Cap and Trade Climate Policy and U.S. Economic Adjustments”, Journal of Policy Modeling,xxx(2009)xxx-xxx.
③Trevor Houser et al., Leveling the Carbon Playing Field: International Competition and Us Climate Policy Design (Peterson Institute, 2008)
④Ibid.,p.299.
⑤Lee Lane et al.,“A New Direction for U.S. Climate Policy: Credible Alternatives to kyoto”, http://www.aei.org/docLib/20070201_EPOPosted_g.pdf
⑥The Real Climate Debate: To Cap or to Tax?,http://www.nytimes.com/2007/11/02/us/politics/04web-redburn.html?_r=1
⑦Tom Tietenberg,“The Evolution of Emissions Trading”, http://www.aeaweb.org/annual_mtg_papers/2008/2008_90.pdf
⑧Abyd Karmali et. al.,“ICAO Exploring Development of a Trading Scheme for Emissions from Aviation”, http://www.icfi.com/Markets/Energy/doc_files/aviation-emissions-trading.pdf
①Cap and trade, Rehabilitated: Using Tradable Permits to Control U.S. Greenhouse Gases, Nathaniel O.
Keohane,Review of Environmental Economics and Policy, volume 3, issue 1, Winter 2009,p.43 ②How Does Emissions Trading Save Money? , http://www.er.uqam.ca/nobel/oei/emissions/en/context1.html
①Robert N. Stavins, A U.S. Cap-and-Trade System to Address Global Climate Change, http://www.brookings.edu/~/media/Files/rc/papers/2007/10climate_stavins/10_climate_stavins.pdf
②Ibid.
③所谓存贷是指,减排实体根据具体情况在本年度提前支取、使用分配给自己的下一年度的排放权,也可以将排放权存至下一年度使用。
①Cap and Trade, Rehabilitated: Using Tradable Permits to Control U.S. Greenhouse Gases, Nathaniel O. Keohane,Review of Environmental Economics and Policy, volume 3, issue 1, Winter 2009, p.50.
②Robert N. Starvins,“Addressing Climate Change with a Comprehensive U.S. Cap-and-Trade System”, Oxford Review of Economic Policy, V.24, No.2, 2008, p.300.
③Acid Rain Program 2007 Progress Report,http://www.epa.gov/airmarkt/progress/arp07.html
①Emission Trading System ,http://ec.europa.eu/environment/climat/emission/citl_en.htm
①T. H. Tietenberg, Emissions Trading:Principles and Practice(RFF Press, 2006).
②The World Bank Carbon Finance Web Site, http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/ENVIRONMENT/EXTCARBONFINANCE/0,,menuPK:4125909~pagePK:64168427~piPK:64168435~theSitePK:4125853,00.html
③Kenneth P. green et.al.,“Climate Chang :Caps vs. Taxes”, www.aei.org/publication26286/.p2
④Ibid.
⑤“Cap and Trade in America: US Climate Policy at a Crossroads”, p.22. https://www.dws-investments.com/EN/docs/market-insight/web_2.0_Cap_and_Trade_article.pdf Energy and Climate Change。通过安全阀机制,市场参与者可以从市场获得排放权,也可以从政府以发售价格购买排放权。政府获得了可对该制度从量和价两方面加以调控的工具。可参见Jacoby, D.H. & Ellerman, A.D., The Safety Valve and Climate Policy, Energy Policy 32 (2004) .
①Issues in the Design of a Cap-and-Trade for Carbon Emissins, p.3. http://www.cbo.gov/doc.cfm?index=4861&type=0
②Ibid.
③“Cap and Trade in America: US Climate Policy at a Crossroads”, p.22. https://www.dws-investments.com/EN/docs/market-insight/web_2.0_Cap_and_Trade_article.pdf
④Alex Lechich, The Inconvenient Truth About Environmental Cap-and Trade, Programs(Amazon,2007).
①《IPCC第四次评估报告》中的《决策者摘要》认为,二氧化碳排放的社会成本约为12美元/吨。
②Joseph E. Aldy et al., A Tax-based Approach to Slowing Global Climate Change, http://www.rff.org/RFF/Documents/RFF-DP-08-26.pdf
③Lane, Lee, Strategic Options for Bush Administration Climate Policy (AEI Press,2006).
④“Design Issues for Market-based Greenhouse Gas Reduction Strategies”, p.21. http://energycommission.org/files/contentFiles/CERA_SR_022106_full_report_440cc38ead7ad.pdf,
⑤根据美国环境保护署的定义,基准线系指在没有政策干预情形下的通常温室气体排放水平。在评估减排活动的效果时需要确定基准线。见http://www.epa.gov/climatechange/glossary.html
⑥Reuven S. Avi-Yonah et al.,”Combating Clobal Climate Change: Why a Carbon Tax Is a Better Response to Global Warming Than Cap and Trade”, Standford Environmental Law Journal, Vol. 28:3, pp.40-41.
①在欧洲排放交易体系实施的第一阶段(2005年1月-2007年12月),排放权中的95%采取免费发放形式。
②Reuven S. Avi-Yonah et al.,”Combating Clobal Climate Change: Why a Carbon Tax Is a Better Response to Global Warming Than Cap and Trade”, Standford Environmental Law Journal, Vol. 28:3, pp.42-43.
③Robert N. Stavins, A U.S. Cap-and-Trade System to Address Global Climate Change,p.52. http://www.brookings.edu/~/media/Files/rc/papers/2007/10climate_stavins/10_climate_stavins.pdf
④Reuven S. Avi-Yonah et al.,”Combating Clobal Climate Change: Why a Carbon Tax Is a Better Response to Global Warming Than Cap and Trade”, Standford Environmental Law Journal, Vol. 28:3, p.46.
⑤Robert N. Stavins, A U.S. Cap-and-Trade System to Address Global Climate Change, p.53. http://www.brookings.edu/~/media/Files/rc/papers/2007/10climate_stavins/10_climate_stavins.pdf
①The Reality Of Carbon Taxes In The 21st Century, pp.50-51, Western Newspaper Publishing , Janet E. Milne et.al http://www.vermontlaw.edu/Documents/020309-carbonTaxPaper(0).pdf
②“Sweden's Carbon-Tax Solution to Climate Change Puts it Top of the Green List”, http://www.guardian.co.uk/environment/2008/apr/29/climatechange.carbonemissions
③“Climate Change Agreements: The Climate Change Levy”, http://www.defra.gov.uk/environment/climatechange/uk/business/cca/levy.htm
④“Climate Change Levy”, http://www.carbontrust.co.uk/climatechange/policy/ccl.htm
⑤Janet E. Milne, The Reality Of Carbon Taxes In the 21st Century (Western Newspaper Publishing , 2008), pp.53-55., http://www.vermontlaw.edu/Documents/020309-carbonTaxPaper(0).pdf
①Gilbert E.Metcalf,“Design a Carbon Tax to Reduce U.S. Greenhouse Gas Emissions”, Review of Environmental Economics and Policy, Volume 3, Issue 1, Winter 2009, p.77.
②Robert N. Stavins, A U.S. Cap-and-Trade System to Address Global Climate Change, p.53. http://www.brookings.edu/~/media/Files/rc/papers/2007/10climate_stavins/10_climate_stavins.pdf
③Svante mandell,“Optimal Mix of Emissions Taxes and Cap-and-Trade”, Journal of Environmental Economics and Management , 56 (2008),p.132.
④Ibid., pp.131-132.
①Roberts, M.J., and Spence, M,“Effluent Charges and Licenses Under Uncertainty,”Journal of Public Economics, 1976, Vol.5, pp.193-208.
①Eli Kintisch,“Senate Resolution Backs Mandatory Emission Limits”, Science, vol 309, 1 July 2005, p.32.
①Low Carbon Economy Act of 2007, http://energy.senate.gov/public/_files/END07842_xml1.pdf
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①Our Report: A Call for Action, http://www.us-cap.org/about/report.asp
①Stern Review on the Economics of Climate Change, http://www.hm-treasury.gov.uk/sternreview_index.htm
①Al Gore, An Inconvenient Truth: The Planetary Emergency of Global Warming and What We Can Do About It (Rodale Books, 2006).
①Bali Breakthrough Launches Climate Talks, http://feeds.reuters.com/~r/reuters/topNews/~3/200584171/idUSL1412327320071215
①H.R.6, http://frwebgate.access.gpo.gov/cgi-bin/getdoc.cgi?dbname=110_cong_bills&docid=f:h6enr.txt.pdf
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