本文選題：戰(zhàn)略環(huán)境評(píng)價(jià) + 有效性�。� 參考：《南開大學(xué)》2013年博士論文

【摘要】：社會(huì)經(jīng)濟(jì)的快速發(fā)展給自然生態(tài)環(huán)境帶來前所未有的壓力,環(huán)境污染、生態(tài)退化、資源短缺等環(huán)境資源問題日益突出。保護(hù)資源環(huán)境,實(shí)現(xiàn)可持續(xù)發(fā)展,需要轉(zhuǎn)變末端治理的方式,從決策源頭識(shí)別可能的資源環(huán)境問題。戰(zhàn)略環(huán)境評(píng)價(jià)(Strategic Environmental Assessment, SEA)作為一項(xiàng)從決策源頭預(yù)防環(huán)境污染和生態(tài)破壞的主要決策輔助制度,被認(rèn)為是落實(shí)科學(xué)發(fā)展觀、建設(shè)生態(tài)文明、實(shí)現(xiàn)經(jīng)濟(jì)轉(zhuǎn)型的重要手段,在協(xié)調(diào)經(jīng)濟(jì)發(fā)展與環(huán)境保護(hù)方面有著重要的作用。 作為一項(xiàng)新生事物,目前中國SEA的研究和實(shí)踐仍處于初始階段,面臨諸多問題與挑戰(zhàn),隨著SEA研究和實(shí)踐的深入,其在理論、技術(shù)方法、管理體制等方面存在的一些問題逐漸暴露出來,實(shí)施的有效性問題開始受到關(guān)注,其功能發(fā)揮的制約因素也是令人關(guān)注的問題之一。學(xué)術(shù)界與實(shí)踐工作者對(duì)于其在決策和規(guī)劃制定過程中的價(jià)值與效果的認(rèn)同度不盡相同,甚至有認(rèn)為SEA的推行并不成功,多數(shù)成為規(guī)劃的通行證,流于形式。SEA的有效性自提出以來一直是環(huán)境影響評(píng)價(jià)領(lǐng)域研究的薄弱環(huán)節(jié),國際上以“質(zhì)量、程序”為核心的研究重點(diǎn)忽略了SEA的功能價(jià)值、效果等方面。而對(duì)SEA的有效性評(píng)估的研究至今沒有形成比較清晰的研究框架,這也使得SEA盡管在宣傳導(dǎo)向上已形成了一定的影響,但對(duì)于一個(gè)國家或社會(huì)規(guī)劃決策的實(shí)踐導(dǎo)向卻較為有限。SEA自身制度的有效性、實(shí)施效果以及有效性影響因素機(jī)理等問題,直接決定著其存在的價(jià)值性,也在一定程度上決定著SEA發(fā)展的前景與方向。 在前期研究成果的基礎(chǔ)上,本論文在如下四方面進(jìn)行了拓展研究： 第一,對(duì)SEA有效性所蘊(yùn)含的深層次內(nèi)容進(jìn)行解析,深入剖析SEA有效性的理論內(nèi)涵、制度系統(tǒng)以及功能定位。認(rèn)為SEA制度系統(tǒng)的演變由制度變遷系統(tǒng)、制度實(shí)施系統(tǒng)和制度創(chuàng)新系統(tǒng)三個(gè)子系統(tǒng)嚙合而成；提出SEA的“功能”理解應(yīng)包括三個(gè)層次的內(nèi)涵：一是其本身所具有的功能：二是對(duì)SEA功能的定位(需求),即人們對(duì)其發(fā)揮各種功能的需求和重視程度,是SEA被賦予的功能；三是SEA功能的發(fā)揮,即其所具有功能的最終的發(fā)揮效果和作用。 第二,基于SEA的“制度環(huán)境—理論研究—管理系統(tǒng)—應(yīng)用實(shí)踐”分析框架,從兩個(gè)角度對(duì)SEA的運(yùn)行現(xiàn)狀與效果開展研究：(1)中國SEA的有效性剖析。通過對(duì)SEA制度的理論研究和實(shí)踐進(jìn)展進(jìn)行系統(tǒng)梳理、總結(jié)的基礎(chǔ)上,從制度環(huán)境、管理機(jī)制等方面對(duì)中國SEA的運(yùn)行現(xiàn)狀效果進(jìn)行剖析；(2)對(duì)中國SEA實(shí)施有效性的問題和發(fā)展瓶頸進(jìn)行診斷。在上述分析的基礎(chǔ)上,從理論研究、制度建設(shè)、部門協(xié)調(diào)合作、管理機(jī)制、公眾參與以及能力建設(shè)等方面對(duì)中國SEA的問題和瓶頸進(jìn)行分析診斷。 第三,以SEA有效性影響因素為出發(fā)點(diǎn),在已有的單一學(xué)科研究成果的基礎(chǔ)上,根據(jù)國內(nèi)外相關(guān)文獻(xiàn)研究和梳理,提出了影響因素的理論分析和研究假設(shè),在此基礎(chǔ)上,針對(duì)SEA相關(guān)專業(yè)人員進(jìn)行問卷調(diào)查分析,探討影響SEA有效性的因素以及不同因素間的影響機(jī)理。通過主成分分析法,判定影響中國SEA的八個(gè)公因子,即部門決策機(jī)制的合理性、數(shù)據(jù)信息的可靠性、管理方式的有效性、法律規(guī)章的有效性、公眾參與的有效性、決策者的環(huán)境意愿、技術(shù)方法的有效性、評(píng)價(jià)機(jī)構(gòu)的能力建設(shè)等。并通過路徑分析回歸統(tǒng)計(jì)方法,探討不同影響公因子間的關(guān)系。 第四,構(gòu)建我國SEA有效性評(píng)估的整合框架模型,進(jìn)行實(shí)證檢驗(yàn)。從國家地區(qū)背景層面以及具體操作層面,嘗試性構(gòu)建了SEA"理想的有效性評(píng)估框架”。并結(jié)合中國當(dāng)前的實(shí)際情況特點(diǎn)以及后續(xù)研究的開展,構(gòu)建適用于我國SEA發(fā)展的“有效性評(píng)估三角框架”,按照“環(huán)境影響評(píng)價(jià)的政策法律支持→具體過程(操作與應(yīng)用)→實(shí)施結(jié)果→實(shí)旌效果→目標(biāo)的實(shí)現(xiàn)程度”的評(píng)估方法,分析SEA的有效陛。在此基礎(chǔ)上最終構(gòu)建了一套由4個(gè)一級(jí)指標(biāo)、11個(gè)二級(jí)指標(biāo)、15個(gè)三級(jí)指標(biāo)組成的中國SEA有效性評(píng)估指標(biāo)體系。采用模糊數(shù)學(xué)綜合評(píng)判法對(duì)濱海新區(qū)SEA的有效性進(jìn)行定量的綜合評(píng)價(jià)和實(shí)證研究。 通過本論文的研究,建立科學(xué)的、動(dòng)態(tài)的中國SEA有效性評(píng)估的指標(biāo)計(jì)算模型和測度體系,豐富和發(fā)展了SEA有效性定量評(píng)估的理論和方法,在一定程度上,為SEA的應(yīng)用發(fā)展及有效性定量研究開辟了新的思路和方法。為中國SEA作的完善提供科學(xué)的決策支持。
[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.
【學(xué)位授予單位】：南開大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2013
【分類號(hào)】：F124.5

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