协作型战略环境评价理论与模式——基于利益相关者分析和协作机制的研究

Currently theoretical studies of the Strategic Environmental Assessment (SEA) focus on the empirical research and a summary of practical experiences, while lack of normative research to primitive problem such as "What should SEA be". Methodology of SEA is mainly in the concrete operational level, while lacks of suitable model exploration of the SEA from policy, planning ontology theory and combined with the planning department decision-making model and institutional mechanism. The result-forms of SEA are mostly fragmented, and to follow suit style of the main, while lacks of the independence and innovative yields combined with China's national conditions. This project aims to put forward a collaborative concept of SEA based on the rationality of communication, and discuss essence and content of SEA, from the multiple angles of the evaluation science, value theory, rational research, and build the theoretical framework and methodology for collaborative SEA system from the ontology and methodology. This study analyzes the main relationship between the stakeholders and the main in the SEA by the stakeholder analysis,game theory and Analysis－Deliberation Model, and builds different collaboration scenarios and collaboration mechanisms for the establishment of a collaborative mode of SEA binding mechanism design, institutional economics and collaboration. Finally, taking urban planning as an example, the study proposes the basic mode of collaborative environmental impact assessment for the urban planning, based on the collaboration mechanism between SEA and the urban planning by analysis of the relevant main collaboration, interest collaboration, process interaction and system bridging.

当前战略环境评价（SEA）理论研究多是实证性研究和实践经验总结，缺少对SEA"应该是什么"等"元问题"的规范性研究；SEA方法学研究是以具体的操作层面为主，缺少从政策学、规划学本体理论并结合规划部门决策模式与体制机制探索适宜的SEA模式；SEA成果是以碎片化、跟风式的形式为主，结合中国国情并具有独创性的成果不多。本课题将基于交流理性提出协作型SEA概念，从评价学、价值理论、理性研究等多角度研究SEA本质和内涵，从本体论和方法论构建协作型SEA的理论框架与方法学体系；通过利益相关者分析、博弈论研究SEA中的各利益主体和各主体间利益关系，结合机制设计、制度经济学、协同学等构建不同的协作博弈情景及机制，基于"分析- - 协商"政策模型建立协作型SEA模式；最后以城市规划为例，从相关主体协作、利益协同、过程互动、制度衔接等角度分析SEA与城市规划的协作机制，提出协作型的城市规划环境影响评价的基本模式。

我国战略环境评价（SEA）脱胎于项目环境影响评价（EIA），不可避免地沿袭了后者以工具理性和综合决策理性为主导的特性，且造成了SEA与作为其评价对象的规划和政策之间的沟通、交流不足，影响SEA的有效性。本研究重新审视了SEA的理性，探讨了理性（具体包含合理的价值观和合理的决策方式）指导下SEA的模式构建以及支持该模式应用的制度设计，藉此推动SEA理论和实践的发展，从根本上解释中国SEA实施面临的难题。研究认为：SEA在未来的发展中，需要将工具理性和价值理性统一起来，明确SEA进行理性评价时在价值观和决策方式方面的要求，进而构建SEA的分析-协商模式，强调SEA应坚持环境正义，在整个评价过程中倡导公正地对待环境的理念。