考核式监管的运行与困境:基于主要污染物总量减排考核的分析

The Process and Dilemma of Assessment-style Regulation in China: A Case Study of the Target Assessment on Pollutant Emission Reduction

西方发达国家监管体系的建构主要围绕监管规则制定的问题,与此不同,我国的监管建设面对巨大的执行挑战。这使得我国的监管过程高度依赖以"考核"为核心的行政手段。基于对主要污染物减排运作过程的勾勒,本文认为,依靠国家内部的考核体系来实现监管目标成为中国监管体系发展的重要特征,减排考核依赖于国家内部的控制体系,而非国家对于企业的日常监管体系。这部分地缓解了环保日常监管能力的不足,使中国环境治理走了一条与西方监管相当不同的道路,同时也隐藏了一系列棘手的难题。因此,依靠社会问责而非国家内部考核体系强化监管执行,并推动监管体系从"督政"到"督企"的转变,是我国监管体系建设的重要任务。

The main challenge for the regulatory state building in China is how to enforce the regulatory rules,thus the regulation heavily relies on the target assessment from above to monitor the rule enforcement. With the case study on the pollutant emission reduction,this article argues that the environmental regulation in China resorts to the target assessment within the state to achieve the goals of social and economic regulation,which is labelled as 'Assessment-style Regulation'. It helps to monitor the local officials,but also produces negative incentives and undermines the daily regulation. Therefore,it is suggested that the social accountability instead of target assessment should be the main method to monitoring the officials to enforce the regulatory rules. Accordingly,the priority of regulatory state building in China is to improve monitoring on the pollutant source instead of strengthening the target assessment.