中国战略环境评价的有效性研究

发布时间：2018-05-24 12:24

本文选题：战略环境评价 + 有效性　；参考：《南开大学》2013年博士论文

【摘要】：社会经济的快速发展给自然生态环境带来前所未有的压力,环境污染、生态退化、资源短缺等环境资源问题日益突出。保护资源环境,实现可持续发展,需要转变末端治理的方式,从决策源头识别可能的资源环境问题。战略环境评价(Strategic Environmental Assessment, SEA)作为一项从决策源头预防环境污染和生态破坏的主要决策辅助制度,被认为是落实科学发展观、建设生态文明、实现经济转型的重要手段,在协调经济发展与环境保护方面有着重要的作用。作为一项新生事物,目前中国SEA的研究和实践仍处于初始阶段,面临诸多问题与挑战,随着SEA研究和实践的深入,其在理论、技术方法、管理体制等方面存在的一些问题逐渐暴露出来,实施的有效性问题开始受到关注,其功能发挥的制约因素也是令人关注的问题之一。学术界与实践工作者对于其在决策和规划制定过程中的价值与效果的认同度不尽相同,甚至有认为SEA的推行并不成功,多数成为规划的通行证,流于形式。SEA的有效性自提出以来一直是环境影响评价领域研究的薄弱环节,国际上以“质量、程序”为核心的研究重点忽略了SEA的功能价值、效果等方面。而对SEA的有效性评估的研究至今没有形成比较清晰的研究框架,这也使得SEA尽管在宣传导向上已形成了一定的影响,但对于一个国家或社会规划决策的实践导向却较为有限。SEA自身制度的有效性、实施效果以及有效性影响因素机理等问题,直接决定着其存在的价值性,也在一定程度上决定着SEA发展的前景与方向。在前期研究成果的基础上,本论文在如下四方面进行了拓展研究：第一,对SEA有效性所蕴含的深层次内容进行解析,深入剖析SEA有效性的理论内涵、制度系统以及功能定位。认为SEA制度系统的演变由制度变迁系统、制度实施系统和制度创新系统三个子系统啮合而成；提出SEA的“功能”理解应包括三个层次的内涵：一是其本身所具有的功能：二是对SEA功能的定位(需求),即人们对其发挥各种功能的需求和重视程度,是SEA被赋予的功能；三是SEA功能的发挥,即其所具有功能的最终的发挥效果和作用。第二,基于SEA的“制度环境—理论研究—管理系统—应用实践”分析框架,从两个角度对SEA的运行现状与效果开展研究：(1)中国SEA的有效性剖析。通过对SEA制度的理论研究和实践进展进行系统梳理、总结的基础上,从制度环境、管理机制等方面对中国SEA的运行现状效果进行剖析；(2)对中国SEA实施有效性的问题和发展瓶颈进行诊断。在上述分析的基础上,从理论研究、制度建设、部门协调合作、管理机制、公众参与以及能力建设等方面对中国SEA的问题和瓶颈进行分析诊断。第三,以SEA有效性影响因素为出发点,在已有的单一学科研究成果的基础上,根据国内外相关文献研究和梳理,提出了影响因素的理论分析和研究假设,在此基础上,针对SEA相关专业人员进行问卷调查分析,探讨影响SEA有效性的因素以及不同因素间的影响机理。通过主成分分析法,判定影响中国SEA的八个公因子,即部门决策机制的合理性、数据信息的可靠性、管理方式的有效性、法律规章的有效性、公众参与的有效性、决策者的环境意愿、技术方法的有效性、评价机构的能力建设等。并通过路径分析回归统计方法,探讨不同影响公因子间的关系。第四,构建我国SEA有效性评估的整合框架模型,进行实证检验。从国家地区背景层面以及具体操作层面,尝试性构建了SEA"理想的有效性评估框架”。并结合中国当前的实际情况特点以及后续研究的开展,构建适用于我国SEA发展的“有效性评估三角框架”,按照“环境影响评价的政策法律支持→具体过程(操作与应用)→实施结果→实旌效果→目标的实现程度”的评估方法,分析SEA的有效陛。在此基础上最终构建了一套由4个一级指标、11个二级指标、15个三级指标组成的中国SEA有效性评估指标体系。采用模糊数学综合评判法对滨海新区SEA的有效性进行定量的综合评价和实证研究。通过本论文的研究,建立科学的、动态的中国SEA有效性评估的指标计算模型和测度体系,丰富和发展了SEA有效性定量评估的理论和方法,在一定程度上,为SEA的应用发展及有效性定量研究开辟了新的思路和方法。为中国SEA作的完善提供科学的决策支持。
[Abstract]:The rapid development of social economy has brought unprecedented pressure on natural and ecological environment, environmental pollution, ecological degradation, resource shortage and other environmental resources problems become increasingly prominent. Protection of resources and environment, the realization of sustainable development, the need to change the way of terminal treatment, from the source of decision-making to identify possible resources and environment problems. Strategic Environmental Assessment (Strategi C Environmental Assessment, SEA, as a major decision supporting system to prevent environmental pollution and ecological damage from the source of decision, is considered to be an important means to implement Scientific Outlook on Development, build ecological civilization and realize economic transformation, and play an important role in coordinating economic development and environmental protection.
As a new thing, the research and practice of SEA in China is still in the initial stage, facing many problems and challenges. With the deepening of the research and practice of SEA, some problems in theory, technology and management system are gradually exposed, and the effective problems of the implementation have begun to be paid attention to, and the constraints of its function play a great role. It is also one of the issues of concern. Academic and practical workers differ in their recognition of value and effect in the process of decision-making and planning. Even it is considered that the implementation of SEA is not successful, most of which become a passport for planning, and the validity of form.SEA has been the field of environmental impact assessment since its validity. In the weak link, the research focused on the core of "quality and procedure" in the world has neglected the function value and effect of SEA, and the research on the effectiveness evaluation of SEA has not formed a relatively clear research framework so far, which makes SEA have formed a certain influence on the direction of publicity, but for a country or society. The practical orientation of the planning decision, but the effectiveness of the limited.SEA itself, the effect of implementation and the mechanism of effect factors, directly determine the value of its existence, and to a certain extent, determine the prospect and direction of the development of SEA.
On the basis of previous research results, this thesis has expanded research in the following four aspects:
First, we analyze the deep content contained in the SEA effectiveness, deeply analyze the theoretical connotation of the SEA effectiveness, the system system and the function orientation, and think that the evolution of the system of the SEA system is meshed by the three subsystems of the system change system, the system implementation system and the system innovation system, and the understanding of the "function" of the SEA should include three The connotation of the level: one is its own function: two is the positioning (demand) of SEA function, that is, people's needs and attention to its functions, the function given by SEA; the three is the function of SEA, that is, the ultimate function and function of its function.
Second, based on SEA's "institutional environment theoretical research management system application practice" analysis framework, the current situation and effect of SEA operation are studied from two angles: (1) analysis of the effectiveness of SEA in China. Based on the systematic review of the theoretical research and practice progress of the SEA system, the system environment and the management machine are summarized. The effect of the operation status of SEA in China is analyzed. (2) the problems and bottlenecks of China's SEA implementation are diagnosed. On the basis of the above analysis, the problems and bottlenecks of China SEA are analyzed from the aspects of theoretical research, system construction, department coordination and cooperation, management mechanism, public participation and capacity building. Diagnosis.
Third, taking the influence factors of SEA effectiveness as the starting point, on the basis of the existing research results of the single subject and based on the relevant literature at home and abroad, the theoretical analysis and research hypothesis of the influencing factors are put forward. On this basis, the factors affecting the effectiveness of the SEA related professionals are analyzed and the factors affecting the effectiveness of SEA are discussed. Through the principal component analysis, the eight public factors affecting China's SEA are judged, that is, the rationality of the department decision mechanism, the reliability of the data, the effectiveness of the management mode, the validity of the laws and regulations, the effectiveness of the public participation, the environmental will of the decision-makers, the effectiveness of the technical methods, and the ability of the evaluation institutions. Through the path analysis regression statistics method, we discuss the relationship between different factors.
Fourth, build an integrated framework model of SEA effectiveness evaluation in China and carry out an empirical test. From the national background level and the specific operation level, it tries to construct the "ideal effectiveness evaluation framework" of SEA, and combines the current actual situation characteristics of China and the development of follow-up research to build the "effective" for the development of SEA in China. On the basis of the evaluation method of "the policy and legal support of environmental impact assessment", "the specific process (operation and application), the implementation result, the actual effect and the realization degree of the target", the effective majesty of SEA is analyzed. On this basis, a set of 4 first grade indexes, 11 two grade indexes and 15 three grade indexes are constructed. The effectiveness evaluation index system of China SEA is adopted. The fuzzy mathematics comprehensive evaluation method is used to conduct quantitative comprehensive evaluation and empirical research on the effectiveness of SEA in Binhai New Area.
Through the research of this paper, a scientific and dynamic index calculation model and measurement system for the evaluation of SEA effectiveness in China has been established, and the theory and method of quantitative evaluation of SEA effectiveness have been enriched and developed. To a certain extent, new ideas and methods for the application development and quantitative research of SEA are opened up, and the improvement of China's SEA is provided. Scientific decision support.
【学位授予单位】：南开大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F124.5

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