引入第三方评估，促进生态治理现代化

文/吴平

位于昆明市郊滇池湖畔对外免费开放的环湖湿地生态公园

当前，我国正处于大力推进生态文明建设的关键时期。实现生态文明领域国家治理体系和治理能力现代化，必须客观评估各地生态文明发展水平，总结成功经验，寻找关键制约因素，从而有效推进生态文明建设。评估生态治理的效果和水平，不仅要关注生态环境领域本身，还要统筹生态环境与经济、政治、文化、社会等多个领域的关系，建立科学的评价指标体系。生态文明领域的治理体系和治理能力是评估中两个尤为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.

生态治理体系评估要因地制宜因时而变

评估生态治理体系的完善程度，需要统筹经济、政治、文化、社会及生态建设各个领域，综合考量生态治理的各个环节及参与治理的各个主体。因此，其评估体系不仅需要具有长期遵守的原则标准，还需要动态调整的灵活机制，因地制宜、因时而变。

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，需系统评估生态治理制度体系的完备程度。尽管我们已经在绿色发展、生态环境保护方面建立了诸多相关制度，但仍尚待完善：源头上缺乏有效防范制度，自然资源资产的产权制度尚未完全建立；过程中缺乏严密监管制度，污染物排放许可制亟待健全；结果上缺乏严厉的责任追究和赔偿制度。

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，生态治理的标准化建设程度评估是生态治理体系评估的重中之重。在生态治理领域，只有具备了统一且行之有效的标准体系，生态治理决策和管理过程才有规可依。从生态目标的设定、治理内容的具体化到治理效果的评估，每个环节都需要标准化的流程，需要建立可依据、可量化、可执行的指标体系。指标体系作为一个参照系统，涵盖能耗、水耗、地耗、污染物排放、环境质量等标准，具有层次清晰、可定量评价、可获取性强等特征。

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.

生态治理能力评估不仅要重结果还要看过程

生态治理能力是生态治理体系在具体实践中的体现，生态治理能力评估可以分为结果评估、过程评估和主体评估三个层面。

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，治理结果评估。以往的治理结果评估，一般仅包括工业废水排放达标率、生活垃圾无害化处理率等具体的环境和经济指标，而常常忽视了生态治理的目标应是“人与自然”的和谐共存、协同发展。在治理结果评估中，应重视公众满意度这一评价指标，重点考察公众的生态环境满意度、污染治理满意度和政府生态治理效率满意度。同时，要丰富公众的参与方式，充分结合传统问卷调查与网络平台调查，调查过程中兼顾被调查群体的全面性，力求最大限度地反映不同利益群体的诉求。

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，治理过程评估。生态治理能力的研究长期流于治理结果层面，对于治理过程则关注不足。但生态治理是一个动态的系统发展过程，过程与结果在动态系统中是统一的。生态治理过程可以分为两大类，一是对既有资源开采过度和环境污染问题的治理；二是对生产和生活消费过程中新增生态问题的治理。前者可视为存量治理，后者可相应地视为增量治理。

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.

存量治理的过程评估相对简单，评价指标包括生态治理资金投入、生态治理决策的民主程度等。民主程度可以通过相关领导干部选拔任用是否经过民主推荐和公开考察，决策的形成是否经过利益相关主体的多方磋商以及信息是否公开透明来体现。民主程度的高低，关乎治理过程的程序正义，也是提升政府主导下多元主体生态治理模式公信力的关键。

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.

而增量治理的过程评估，除了需要进行存量治理评估之外，还需要走进生产生活的一线进行考察评估，全面了解现实存在的新增生态问题，把握其现状及治理力度。对生产过程治理进行评估，可以在重点企业中引入产品生命周期评价和物质流分析等方法，从而清楚地了解各个生产环节的投入产出状况及其环境影响；对生活消费过程治理进行评估，则应以社区为单位，全面地评估垃圾分类回收、建设节能社区等生态建设举措的贯彻落实情况，从而全面地掌握基层社区的生态文明现状以及民众的生态诉求。

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，治理主体评估。传统的生态治理模式为政府自上而下的管制模式。治理能力现代化评估最重要的方面应该是对党和政府这一治理主体的治理能力的评估。对党和政府治理能力现代化水平的评估主要是制度设计能力、监管能力、危机应对能力等。但生态环境具有公共产品属性，生态治理也是关乎国计民生的重大议题，因此，生态治理的过程中需要有居民、企业、非政府组织、媒体等多元利益主体的广泛和深入参与，应逐渐将各治理主体纳入评估体系。

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.

第三方评估避免政府既当“运动员”又当“裁判员”

第三方评估，即由独立于政府及其部门之外的第三方对生态治理体系和治理能力进行评估。作为一种必要而有效的外部制衡机制，第三方评估由于较好地体现了其独立性与专业性的优势，避免政府部门既当“运动员”又当“裁判员”的弊端，弥补了政府自我评估的缺陷，所得出的科学客观的判断结论更有可信度、说服力，可以增强社会监督力量，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.

进入夏季，郑州市西流湖公园和连接湖水的贾鲁河水系连续发生水体污染事件，图为工作人员在捞取河道漂浮垃圾

一是坚持评估机构的独立性。评估主体的中立角色是保证结果公正的最基本前提。评估主体如与公共权力融合紧密，则政府难避作秀诟病。

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.

二是确保评估的专业性。第三方评估机构应是生态文明建设领域的专业机构。构建评估指标体系、确立评估标准以及确定评估实施方案，每个评估的关键环节都具有很高的专业技术含量。评估指标和方法、数据来源、结果必须具有可检验性，对评估信息事前公示，对评估结果事后公布，公开接受社会各界的品评和检验，建立开放和接受监督的评估系统。

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.

三是要使评估结果能得到有效的运用，决不能让第三方评估报告“束之高阁”，要与问责机制、干部考核等直接挂钩、密切结合，最大限度地解决职责不清、推诿扯皮、工作不落实等问题。对于评估中发现的问题，专业的评估机构可给予精准导向，提出“对症下药”的解决方案，更加准确明确、清晰有度地落实部门责任。（作者单位：国务院发展研究中心资源与环境政策研究所）

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.