引入第三方評估，促進(jìn)生態(tài)治理現(xiàn)代化

文/吳平

位于昆明市郊滇池湖畔對外免費開放的環(huán)湖濕地生態(tài)公園

當(dāng)前，我國正處于大力推進(jìn)生態(tài)文明建設(shè)的關(guān)鍵時期。實現(xiàn)生態(tài)文明領(lǐng)域國家治理體系和治理能力現(xiàn)代化，必須客觀評估各地生態(tài)文明發(fā)展水平，總結(jié)成功經(jīng)驗，尋找關(guān)鍵制約因素，從而有效推進(jìn)生態(tài)文明建設(shè)。評估生態(tài)治理的效果和水平，不僅要關(guān)注生態(tài)環(huán)境領(lǐng)域本身，還要統(tǒng)籌生態(tài)環(huán)境與經(jīng)濟、政治、文化、社會等多個領(lǐng)域的關(guān)系，建立科學(xué)的評價指標(biāo)體系。生態(tài)文明領(lǐng)域的治理體系和治理能力是評估中兩個尤為重要而不可分割的部分。

Currently, China is in a critical period of vigorously promoting ecological civilization construction. To modernize the state governance system of and ability in ecological civilization, it is necessary to objectively evaluate the development level of ecological civilization, draw on successful experience and find the key restrictions, so as to effectively promote the ecological process. To evaluate the effect and level of ecological governance, we should not only pay attention to ecological environment, but also associate it with economic, political, cultural, social and other aspects to establish a proper evaluation system with scientific indicators.The governance system and governance capability are two important and inseparable parts of the evaluation of ecological civilization.

生態(tài)治理體系評估要因地制宜因時而變

評估生態(tài)治理體系的完善程度，需要統(tǒng)籌經(jīng)濟、政治、文化、社會及生態(tài)建設(shè)各個領(lǐng)域，綜合考量生態(tài)治理的各個環(huán)節(jié)及參與治理的各個主體。因此，其評估體系不僅需要具有長期遵守的原則標(biāo)準(zhǔn)，還需要動態(tài)調(diào)整的靈活機制，因地制宜、因時而變。

Evaluation of Ecological Governance System

The evaluation of the degree of ecological governance system integrates economical, political, cultural, social, ecological construction, and other fields, and comprehensively considers various links and subjects in-volved. Therefore, its evaluation requires not only long-term principles and standards to follow, but also a dynamic and flexible mechanism to allow adjustments according to local conditions, times and changes.

首先，需系統(tǒng)評估生態(tài)治理制度體系的完備程度。盡管我們已經(jīng)在綠色發(fā)展、生態(tài)環(huán)境保護(hù)方面建立了諸多相關(guān)制度，但仍尚待完善：源頭上缺乏有效防范制度，自然資源資產(chǎn)的產(chǎn)權(quán)制度尚未完全建立；過程中缺乏嚴(yán)密監(jiān)管制度，污染物排放許可制亟待健全；結(jié)果上缺乏嚴(yán)厲的責(zé)任追究和賠償制度。

First, the readiness of systems concerning ecological governance should be evaluated. Although a number of systems in green development and ecological environmental protection have been adopted, they have yet to be improved more systematically and comprehensively: there is a lack of effective preventive system on the top and an incomplete property rights system of natural resources; there is a lack of strict supervision in the process and underdeveloped pollutant discharge permit system; there is a lack of system for strict accountability and compensation at the end.

其次，生態(tài)治理的標(biāo)準(zhǔn)化建設(shè)程度評估是生態(tài)治理體系評估的重中之重。在生態(tài)治理領(lǐng)域，只有具備了統(tǒng)一且行之有效的標(biāo)準(zhǔn)體系，生態(tài)治理決策和管理過程才有規(guī)可依。從生態(tài)目標(biāo)的設(shè)定、治理內(nèi)容的具體化到治理效果的評估，每個環(huán)節(jié)都需要標(biāo)準(zhǔn)化的流程，需要建立可依據(jù)、可量化、可執(zhí)行的指標(biāo)體系。指標(biāo)體系作為一個參照系統(tǒng)，涵蓋能耗、水耗、地耗、污染物排放、環(huán)境質(zhì)量等標(biāo)準(zhǔn)，具有層次清晰、可定量評價、可獲取性強等特征。

Second, the assessment of the degree of standardization of ecological governance is the top priority during the evaluation of ecological governance system. Only by setting up a group of unified and effective standards, can there be rules to abide by when it comes to decision-making and management during the process. From the setting of ecological goals,the specification of content, to the assessment of effects, standardized processes and a reliable, quantitative, executable system of indicators are needed. Indicator system is a reference system covering energy consumption, water consumption, land consumption, pollutant emissions, environmental quality, and other standards. Moreover, the indicator system should be distinctively classified, quantitative, and accessible.

生態(tài)治理能力評估不僅要重結(jié)果還要看過程

生態(tài)治理能力是生態(tài)治理體系在具體實踐中的體現(xiàn)，生態(tài)治理能力評估可以分為結(jié)果評估、過程評估和主體評估三個層面。

Evaluation of Ecological Governance Capability

The ecological governance capability is reflected in the practices of ecological governance system. The evaluation of ecological governance capability includes three parts: result evaluation, process evaluation and subject evaluation.

第一，治理結(jié)果評估。以往的治理結(jié)果評估，一般僅包括工業(yè)廢水排放達(dá)標(biāo)率、生活垃圾無害化處理率等具體的環(huán)境和經(jīng)濟指標(biāo)，而常常忽視了生態(tài)治理的目標(biāo)應(yīng)是“人與自然”的和諧共存、協(xié)同發(fā)展。在治理結(jié)果評估中，應(yīng)重視公眾滿意度這一評價指標(biāo)，重點考察公眾的生態(tài)環(huán)境滿意度、污染治理滿意度和政府生態(tài)治理效率滿意度。同時，要豐富公眾的參與方式，充分結(jié)合傳統(tǒng)問卷調(diào)查與網(wǎng)絡(luò)平臺調(diào)查，調(diào)查過程中兼顧被調(diào)查群體的全面性，力求最大限度地反映不同利益群體的訴求。

First, the governance result evaluation. In the past, the evaluation of governance results generally includes only environmental and economic indicators such as industrial wastewater discharge rate and household garbage biosafety disposal rate. What has been overlooked is that the goal of ecological governance is to achieve harmonious coexistence and synergic development between “human and nature”. During the evaluation of governance results, we should highlight the indicator of public satisfaction, focusing on public satisfaction on ecological environment,pollution control and government efficiency. At the same time, the way to involve public participation should be enriched, combining traditional questionnaire and online platform. The participants into research should be as inclusive as possible to demonstrate different interests of different groups as much as possible.

第二，治理過程評估。生態(tài)治理能力的研究長期流于治理結(jié)果層面，對于治理過程則關(guān)注不足。但生態(tài)治理是一個動態(tài)的系統(tǒng)發(fā)展過程，過程與結(jié)果在動態(tài)系統(tǒng)中是統(tǒng)一的。生態(tài)治理過程可以分為兩大類，一是對既有資源開采過度和環(huán)境污染問題的治理；二是對生產(chǎn)和生活消費過程中新增生態(tài)問題的治理。前者可視為存量治理，后者可相應(yīng)地視為增量治理。

Second, the governance process evaluation. The study of ecological governance capability has long focused on the results and neglected the governance process. Since ecological governance is a dynamic preocess, the process and results are dynamically unified. Ecological governance process can be divided into two categories: one is the management of over-exploitation of existing resources and pollution problems; the other is the management of emerging problems during production and consumption.The former can be regarded as stock governance and the later, increment governance.

存量治理的過程評估相對簡單，評價指標(biāo)包括生態(tài)治理資金投入、生態(tài)治理決策的民主程度等。民主程度可以通過相關(guān)領(lǐng)導(dǎo)干部選拔任用是否經(jīng)過民主推薦和公開考察，決策的形成是否經(jīng)過利益相關(guān)主體的多方磋商以及信息是否公開透明來體現(xiàn)。民主程度的高低，關(guān)乎治理過程的程序正義，也是提升政府主導(dǎo)下多元主體生態(tài)治理模式公信力的關(guān)鍵。

The process evaluation of stock governance is relatively simple. Its indicators include the investment into ecological governance, the degree of democracy in decision-making and so on. The degree of democracy embodies in democratic nomination and public inspection of related leaders, consultation with multiple stakeholders in decision-making,and information transparency. The level of democracy is closely related to procedural justice, and is the key to enhance the credibility of multisubject ecological governance led by government.

而增量治理的過程評估，除了需要進(jìn)行存量治理評估之外，還需要走進(jìn)生產(chǎn)生活的一線進(jìn)行考察評估，全面了解現(xiàn)實存在的新增生態(tài)問題，把握其現(xiàn)狀及治理力度。對生產(chǎn)過程治理進(jìn)行評估，可以在重點企業(yè)中引入產(chǎn)品生命周期評價和物質(zhì)流分析等方法，從而清楚地了解各個生產(chǎn)環(huán)節(jié)的投入產(chǎn)出狀況及其環(huán)境影響；對生活消費過程治理進(jìn)行評估，則應(yīng)以社區(qū)為單位，全面地評估垃圾分類回收、建設(shè)節(jié)能社區(qū)等生態(tài)建設(shè)舉措的貫徹落實情況，從而全面地掌握基層社區(qū)的生態(tài)文明現(xiàn)狀以及民眾的生態(tài)訴求。

The process evaluation of increment governance involves not only the elements of stock governance, but also field inspection during production and living to get a comprehensive understanding of emerging ecological problems, their current status and managing intensity. During the evaluation of production process, product life cycle assessment and material flow analysis can be adopted for key enterprises to clearly understand the input-output and environmental impact of various links in the production chain. Meanwhile, the evaluation of living and consumption processes should contain a comprehensive assessment of waste separation and recycling, energy conservation, and other ecological practices by communities, so as to comprehensively grasp the ecological civilization and public demands of grassroots communities.

第三，治理主體評估。傳統(tǒng)的生態(tài)治理模式為政府自上而下的管制模式。治理能力現(xiàn)代化評估最重要的方面應(yīng)該是對黨和政府這一治理主體的治理能力的評估。對黨和政府治理能力現(xiàn)代化水平的評估主要是制度設(shè)計能力、監(jiān)管能力、危機應(yīng)對能力等。但生態(tài)環(huán)境具有公共產(chǎn)品屬性，生態(tài)治理也是關(guān)乎國計民生的重大議題，因此，生態(tài)治理的過程中需要有居民、企業(yè)、非政府組織、媒體等多元利益主體的廣泛和深入?yún)⑴c，應(yīng)逐漸將各治理主體納入評估體系。

Third, the governing subjects evaluation. Previous ecological governance followed a top-down mode managed by the government.Since ecological environment features public goods and ecological governance is related to the national economy and the people’s livelihood, the process of ecological governance need wide and in-depth participation of residents, companies,non-governmental organizations, media and other stakeholders.

The most important aspect of the evaluation of modern governance is the assessment of governance capabilities of the Party and the government.The evaluation of the modern governance capabilities of the Party and the government includes the assessment of their system design ability, supervision ability, and the emergency handling ability. Meanwhile, the role and influence of other governing subjects cannot be ignored. Instead, they should be standardized and incorporated into the evaluation system.

第三方評估避免政府既當(dāng)“運動員”又當(dāng)“裁判員”

第三方評估，即由獨立于政府及其部門之外的第三方對生態(tài)治理體系和治理能力進(jìn)行評估。作為一種必要而有效的外部制衡機制，第三方評估由于較好地體現(xiàn)了其獨立性與專業(yè)性的優(yōu)勢，避免政府部門既當(dāng)“運動員”又當(dāng)“裁判員”的弊端，彌補了政府自我評估的缺陷，所得出的科學(xué)客觀的判斷結(jié)論更有可信度、說服力，可以增強社會監(jiān)督力量，提升政府的公信力。

Third-party Evaluation

Third-party evaluation draws on agencies independent of the government and official authorities to assess the ecological governance system and governance capacity. As a necessary and effective external mechanism for checks and balances, third-party evaluation has independence and professional advantages to avoid drawbacks of governmental departments who act both as “athletes” and “referees”. It makes up for the defects of government self-assessment with scientific, objective, reliable,and convincing conclusions and judgments which can enhance the power of social supervision as well as the credibility of the government.

進(jìn)入夏季，鄭州市西流湖公園和連接湖水的賈魯河水系連續(xù)發(fā)生水體污染事件，圖為工作人員在撈取河道漂浮垃圾

一是堅持評估機構(gòu)的獨立性。評估主體的中立角色是保證結(jié)果公正的最基本前提。評估主體如與公共權(quán)力融合緊密，則政府難避作秀詬病。

First, independence of the third parties must be maintained. The neutrality of evaluator is the basic prerequisite to ensure the fairness of the results. If the evaluator is related to public power closely, government will be criticized for attitudinizing.

二是確保評估的專業(yè)性。第三方評估機構(gòu)應(yīng)是生態(tài)文明建設(shè)領(lǐng)域的專業(yè)機構(gòu)。構(gòu)建評估指標(biāo)體系、確立評估標(biāo)準(zhǔn)以及確定評估實施方案，每個評估的關(guān)鍵環(huán)節(jié)都具有很高的專業(yè)技術(shù)含量。評估指標(biāo)和方法、數(shù)據(jù)來源、結(jié)果必須具有可檢驗性，對評估信息事前公示，對評估結(jié)果事后公布，公開接受社會各界的品評和檢驗，建立開放和接受監(jiān)督的評估系統(tǒng)。

Second, the third parties must be professional. Third-party evaluation agencies not only have to be independent, but also be specialized in ecological civilization construction. The establishment of indicators, criteria and implementation plan, and other the key steps of evaluation are professionally demanding. Indicators and methods, data sources, and results must be verifiable. The information to be evaluated should be publicized in advance and the results of evaluation are publicized afterwards, open to public review and scrutiny, to ensure an open and evaluation system under supervision.

三是要使評估結(jié)果能得到有效的運用，決不能讓第三方評估報告“束之高閣”，要與問責(zé)機制、干部考核等直接掛鉤、密切結(jié)合，最大限度地解決職責(zé)不清、推諉扯皮、工作不落實等問題。對于評估中發(fā)現(xiàn)的問題，專業(yè)的評估機構(gòu)可給予精準(zhǔn)導(dǎo)向，提出“對癥下藥”的解決方案，更加準(zhǔn)確明確、清晰有度地落實部門責(zé)任。（作者單位：國務(wù)院發(fā)展研究中心資源與環(huán)境政策研究所）

Third, the evaluation results and reports should be effectively used, instead of being cast aside. They should be closely tied to accountability mechanism and cadre appraisal system, to solve issues such as unclear responsibilities and duties, buck-passing, and inaction to the greatest extent. For problems found during the evaluation, the third parties may give precise guidance and corresponding solutions where departmental responsibilities and duties are specified and assigned.