我国流域水污染问题的政府管制研究

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浙江财经学院硕士学位论文

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摘要

目前，我国流域水污染问题已经引起了社会的广泛关注，频繁发生的流域水污

染波及多个行政辖区，给涉水地方政府的经济发展、以及人们的生存安全造成影

响，更严重的是，由此导致各涉水地方政府间的利益摩擦和矛盾冲突，极大地损

害了社会和谐。加强对我国流域水污染问题的政府管制，已经成为国家和社会面

临的重大历史课题。

针对我国流域水污染问题的现状，本文运用新兴的管制经济学理论，结合以

晋升激励和财政分权为主要特征的中国式分权理论，以及政府治理模式的特点，

比较深入地研究了我国的流域水污染问题。本文对流域水污染问题的内涵、特征

进行了总结，并构建了我国流域水污染理论模型。通过对我国流域水污染政府管

制现状的研究，我们发现我国现行政府管制在调节流域水污染问题方面存在着许

多亟待解决的问题。考虑到流域水污染的特征，结合以晋升激励和财政分权为主

要内容的政府治理模式，本文分析了我国流域水污染问题形成的深层次原因，最

后，针对这些原因提出了加强我国流域水污染有效管制的对策建议。

具体来讲，本文首先对中国式分权理论与环境管制、经济增长与环境管制以及

流域水污染管制的相关文献进行了详细的综述，着重研究中国式分权理论对环境

管制的影响，并沿着文献的脉络，运用中国式分权理论对我国流域水污染问题的

政府管制进行了系统性研究。然后，本文从流域水污染的内涵入手，分析了流域

水污染具有“外部性非对称性”等五个方面的特征，运用博弈论构建了流域水污

染理论模型。接着，本文通过定量研究的方法分析了我国所面临的严重流域水污

染现状，并对我国流域水污染政府管制的现状以及存在的问题进行了深入的研究。

以晋升激励和财政分权为特征的政府治理模式对我国流域水环境管制产生了

许多负面影响，这构成了我国流域水污染问题的主要成因。具体分析，我国流域

水污染问题的成因主要有：流域水资源产权界定的不清晰导致了流域水污染“公

地悲剧”问题；流域水污染“外部性非对称性”的特点导致流域上游地方政府对

流域水污染管制的动力不足；中央对地方政府的考核机制过于偏重经济增长等方

面，导致地方政府缺乏有效的环境管制激励；流域地方政府在环境管制方面存在

严重的地方保护主义。为此，本文结合我国流域水污染现行政府管制存在的问题，

针对我国流域水污染问题的主要成因，提出了加强我国流域水污染有效管制的对

策建议，主要有以下五个方面：（1）完善流域水污染管制的法律体系；（2）组建

具有权威的流域管制机构；（3）理顺流域水污染管制的权责配置；（4）健全流域

水污染管制的监督机制；（5）形成有效的流域生态补偿机制。

浙江财经学院硕士学位论文

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本文可能在以下几个方面有所创新：

1．运用中国式分权理论对我国流域水污染问题进行了系统性研究。晋升激励

和财政分权下的环境管制研究成为目前学术研究的一个热点，但相关文献中较少

涉及中国式分权理论下流域水污染环境管制的内容。本文尝试运用中国式分权理

论，结合我国政府治理模式的特点，对流域水污染问题进行系统性研究，并提出

相应的政府管制建议。

2．运用博弈论构建了流域水污染理论模型。流域水污染理论模型揭示了在是

否存在有效政府管制两种状况下流域涉水地方政府的行为选择。如果存在有效的

政府管制，博弈过程中的协商合作成为各涉水地方政府的理性选择，并按照流域

整体利益最大化原则合理安排本辖区的水污染排放量，此时的流域水污染排放总

量低于缺乏管制的情况。如果缺乏有效政府管制，各自为政的不合作行为成为理

性选择，结果导致流域水环境的恶化。

3．运用新兴的管制经济学理论对我国流域管制机构和管制权责配置进行了前

瞻性研究。我国流域水污染管制权力过于分散，呈现“碎片化”状态，各部门和

机构权责不清，缺乏有效协调，最终导致流域水污染管制缺乏效率。本文运用新

兴的管制经济学理论，提出了整合和组建我国流域管制机构的整体思路，并对中

央和地方政府在流域水污染管制中的权责配置问题，提出了合理的建议。

关键词：流域水污染；政府管制；中国式分权；公地悲剧；流域生态补偿

浙江财经学院硕士学位论文

- III -

ABSTRACT

In recent years, trans-boundary water pollution in basin frequently occurs in China,

which has caused widespread concern in society. Trans-boundary water pollution in

basin not only affects economic development of the related local government and the

safety of people’s life in the basin, seriously, it also leads to the interest conflicts

between local governments, which greatly damage the social harmony. Strengthening

the government regulation of the trans-boundary water pollution in basin is becoming a

major historical issue faced by the government in China.

Viewing the actuality of the trans-boundary water pollution in China, the paper has

completed deep-seated study on the trans-boundary water pollution accidents in basin

occurred frequently, using the new theory of Regulation Economics, combining the

theory of Governance embedded in the governance mode of promotion incentives and

fiscal decentralization. This paper not only analyzes the connotation and character of the

trans-boundary water pollution in basin, but also, it try to innovate in the method of

study during building a model about the regulation of the trans-boundary water

pollution in basin using the game theory related. After studying the status of the

trans-boundary water pollution in basin, we find that there are many problems to be

solved in the regulation policies adopted now. More importantly, this paper analyses the

negative impact with Chinese style decentralization embedded the governance mode of

the Chinese government in trans-boundary water pollution in basin, which constitutes

the main reason of the trans-boundary water pollution in basin. And the reasons mainly

perform in the following four aspects: (1) The unclear definition of property rights of

water resources in basin; (2) The government in the upstream lacks of the motivation of

environment regulation. (3) The local government has a shortage of environment

regulation incentives; (4) The impact of local protectionism.

Viewing the character of “Asymmetric externalities” in the trans-boundary water

pollution in basin, combining the governance mode of promotion incentives and fiscal

decentralization, this paper analyzes the deep-seated reasons of trans-boundary water

pollution in basin. Then, we propose the effective suggestions strengthening the

government regulation of the trans-boundary water pollution in basin aiming the

deep-seated reasons: (1) Improve the legal system; (2) Set up the authoritative

regulatory agencies in basin; (3) Straighten out the powers and responsibilities of

regulation in basin; (4) Improve the supervision mechanism in basin; (5) Form an

浙江财经学院硕士学位论文

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effective mechanism for ecological compensation.

There are several probable innovations in this thesis:

1. This thesis makes a systemic study about the trans-boundary water pollution in

basin using the hot theory of Chinese style Decentralization. It is a hot issue to make a

study about the study the environment regulation embedded in the governance mode of

promotion incentives and fiscal decentralization. But until now, there is little literature

involves the environment regulation of the trans-boundary water pollution in basin

using the theory of Chinese style Decentralization. This thesis is a supplement.

2. The thesis tries to innovate in the method of study during building a model about

the regulation of the trans-boundary water pollution in basin using the game theory

related, to analyze the strategic behaviors of the local government in basin. The game

model explains that with the implementation of the effective government regulation,

coordination and cooperation between the local government can realize maximizing the

overall interests in basin. Conversely, it will lead to the deterioration of water

environment in basin.

3. The thesis tries to make a forward-looking study to the regulatory agencies and

the configuration of power and responsibility in basin, using the new theory of

Regulation Economics. The regulatory power in China is so dispersive that it shows a

state of fragmentation. The lack of coordination in regulatory department leads to the

inefficient in the trans-boundary water pollution in basin. Then, this thesis proposes

corresponding suggestion to solve the problem.

Keywords: Trans-boundary water pollution in basin; Government regulation; Chinese

style decentralization; The Tragedy of Commons; Ecological compensation in basin

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摘要：

浙江财经学院硕士学位论文-I-摘要目前，我国流域水污染问题已经引起了社会的广泛关注，频繁发生的流域水污染波及多个行政辖区，给涉水地方政府的经济发展、以及人们的生存安全造成影响，更严重的是，由此导致各涉水地方政府间的利益摩擦和矛盾冲突，极大地损害了社会和谐。加强对我国流域水污染问题的政府管制，已经成为国家和社会面临的重大历史课题。针对我国流域水污染问题的现状，本文运用新兴的管制经济学理论，结合以晋升激励和财政分权为主要特征的中国式分权理论，以及政府治理模式的特点，比较深入地研究了我国的流域水污染问题。本文对流域水污染问题的内涵、特征进行了总结，并构建了我国流域水污染理论模型。通过对我国流域水污染...

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