我国环境行政许可制度研究

发布时间：2018-08-02 14:50

【摘要】：从世界各国的环境立法来看，许可证制度是防范环境风险的一项“支柱性”法律制度。由于这一制度便于把影响环境的各种开发建设活动、排污行为纳入国家统一管理的轨道，并严格限制在国家规定的范围内，使政府能够有效进行环境管理，因而其在现代环境法上得到广泛运用。目前，我国学界对环境行政许可的研究尚存在两个明显不足：一是许多学者偏重于从行政法上的理论、原则与制度来研究环境行政许可问题，而对环境法上的理论、原则与制度有所忽视，这种状况日益使人误认为环境行政许可属于行政法学的研究领域，而非环境法学的研究领域；二是偏重于对环评审批、排污许可、温室气体排放许可等单项环境行政许可进行研究，而对环境行政许可制度的整体性研究较为薄弱，从而难以反映出我国环境行政许可制度的全貌及存在的各种弊端。针对上述现状，本文从环境法学与行政法学交叉学科的角度（并且主要是从环境法学的角度），来对我国环境行政许可制度作整体性研究。本文的目的，在于以环境行政许可的基本理论为指引，从环境行政许可的项目设定、运行制度、矫正机制三个层面来系统剖析我国环境行政许可制度存在的种种弊端，进而提出制度改进的具体建议。也就是说，在研究的路径上，本文以改进中国的环境行政许可制度为导向。为此，除引言和结语外，本文共分为以下四章：第一章：环境行政许可的基本理论。在本章中，笔者从五个方面论述了环境行政许可的基本理论：（1）梳理了目前学界对环境行政许可的定义，剖析了其存在的缺陷并提出了环境行政许可的新定义；（2）基于“现代环境法是污染防治法、自然保护法与能源法三者有机融合的混合体”这一观点，将环境行政许可从实体内容上分为八类（污染防治类许可、自然资源保护类许可、特殊区域环境保护类许可、动物福利类许可、城乡景观美化类许可、物质循环管理类许可、能源类许可、为环境保护提供社会化服务的专业机构和专业人员资质、资格类许可），从而进一步澄清了环境行政许可的范围；（3）概述了环境行政许可的四大理论基础（公共信托理论、外部性理论、环境产权理论、利益团体政治理论），在此基础上，分析了环境行政许可的三大功能（控制环境风险、配置环境资源、提供环保公信力证明）和五个特点（风险品性、科技背景、利益权衡、代际平衡、国际关联）；（4）根据当今国际社会对环境法原则的认识，并参酌欧盟、美国等先进国家的做法，指出环境行政许可制度建构必须遵循八项环境法原则（预防原则、谨慎行事原则、科技促进原则、合理开发利用原则、污染者负担原则、公众参与原则、协同合作原则、国家环境资源主权与不损害国外环境原则），并阐述了这八项原则对环境行政许可制度建构的基本要求；（5）剖析了环境行政许可在现实生活中的三大负面效应（干扰市场机制、增加办事成本、诱发行政腐败），进而指出，在“对哪些事项可以设定环境行政许可”这一问题上，立法者应当坚持市场机制优先原则，即只有在运用税收、补贴、抵押金、环境标准、环境信息、环境行政合同、行业组织自律、事后监督等工具无法实现环境保护之目的时，或者运用这些工具违背社会公平时，才可以考虑设定环境行政许可项目。第二章：环境行政许可的项目设定。我国环境行政许可制度，在立法上首先表现为数量众多的环境行政许可项目，因此，探讨我国环境行政许可制度存在的问题，应当先从环境行政许可的项目设定入手。在我国立法上，具体的环境行政许可项目通常由单行环境法律、法规设定。由于我国是一个单一制国家，中央立法对地方立法有很大的约束力和示范效应，加之环境问题反映的是人与自然的关系，通常不以人为的行政区域为疆界，因而我国的环境行政许可项目主要是由中央立法设定。《行政许可法》规定，在中央立法的层面上，只有法律、行政法规和国务院决定才能设定行政许可项目，国务院部门规章和其他规范性文件一律不得设定。基于此，笔者用了近半年的时间，全面清理了我国现行有效的法律、行政法规和国务院决定设定的所有环境行政许可项目（清理工作严格遵循第一章中笔者对环境行政许可的定义和分类），并在本文附录中以表格的形式分类列出了所清理出的环境行政许可项目（共511项）。在此基础上，笔者在本章中首先叙述了我国中央立法设定的环境行政许可项目的基本情况，然后根据环境行政许可的基本理论，剖析了我国立法在环境行政许可项目设定上存在的五大问题（滥设环境行政许可项目、环境行政许可项目要素不明确、环境行政许可体制繁杂、环境行政许可项目设定滞后、环境行政许可项目相互冲突或关系不明确），并提出了完善环境行政许可项目设定的相关立法建议。第三章：环境行政许可的运行制度。总体而言，一项环境行政许可的运行过程可分为两个阶段：一是该环境行政许可的实施，包括许可的申请、受理、审查与决定等；二是该环境行政许可的转让（其实质是环境许可证上权利的转让，当然，并非所有环境行政许可都可以转让，行政法理论认为，“对物的许可”可以转让，而“对人的许可”则不能转让）。从实践来看，在环境行政许可的运行过程中，有四个方面的法律问题值得探讨：（1）环境行政许可实施中的裁量权问题。环境问题通常具有地域性和空间性，加之环境行政许可具有利益权衡之特色，且频频决策于科技未知之中，因而在环境行政许可的实施上，立法者往往赋予许可机关以广泛裁量权，以实现环境管制的因地制宜。虽然裁量权有助于提升环境管制的效率并促进环境管制创新，但也容易被滥用而破坏环境正义，尤其是环境行政许可具有明显的风险品性，一旦决策失误，往往引发生态灾难，因此，如何约束和控制环境行政许可裁量权的滥用，是环境行政许可实施中的关键问题，也是现代环境法面临的一个重要课题。（2）环境行政许可实施中的公众参与问题。尽管环境行政许可具有浓厚的科技背景，被部分论者认为适合专家政治，但是，环境行政许可亦时常涉及广度利益冲突，在性质上必须借助公众参与程序来调和利益冲突，以增强决策的正当性。对于环境行政许可的公众参与问题，目前学界主要限于探讨环评审批的公众参与。虽然在所有环境行政许可项目中，环评审批的公众参与最为复杂和重要，但是，环境行政许可项目众多，各环境行政许可项目所需要的公众参与往往繁简不一、互有差异，因此，仍有必要对环境行政许可的公众参与问题作整体性研究，找出我国环境行政许可公众参与制度所存在的普遍性问题，进而求得一条有效的立法途径，以全面推进环境行政许可的公众参与。（3）环境行政许可实施中的加快程序问题。许可加快程序是行政许可实施中的一种重要程序，目的是提高行政效率。就环境行政许可而言，目前主要是许多地方政府依据《行政许可法》所规定的“统一办理制度”（即“一家承办、转告相关、并联审批、限时完成”），对开发建设领域的大量环境行政许可项目实施统一办理。从实践来看，这种审批模式不仅达不到提高审批效率之目的，反而不利于环境行政许可的正确实施，进而对生态环境构成严重威胁。为此，有必要借鉴先进国家的经验，探索一种适合于开发建设领域的新的许可加快程序，以实现生态利益与审批效率的有机平衡。（4）环境行政许可转让中的行政干预问题。立法者建立环境行政许可转让制度的目的，在于利用市场机制来促进环境资源的优化配置，，从而实现以低成本达成环境保护之目的。环境行政许可转让本质上是一种私法关系，然而，市场不是万能的，在某些时候市场也可能“失灵”，需要国家的适度干预，行政干预则是其中最重要的一个方面。但是，当行政干预措施的运用超过必要限度时，不仅会扰乱市场交易机制，还可能出现权力寻租、交易成本增加、效率低下等问题。我国是一个行政权强大的国度，在目前的环境行政许可转让制度中，存在大量非正当的行政干预措施，亟需从立法上加以改进。本章从上述四个方面剖析了我国环境行政许可运行制度存在的问题，并提出了制度改进的具体建议。第四章：环境行政许可的矫正机制。所谓环境行政许可的矫正机制，是指对行政相对人、行政主体违反环境行政许可制度的行为进行矫正的法律机制。离开了矫正机制，环境行政许可制度所设定的各项环境义务就只是“环境道德”的宣示，难以实现环境行政许可应有之功能。近年来，我国进行了大量环境立法，设定了大量环境行政许可项目，但许多地区仍然走不出“越治越污染”的怪圈，其中一个很重要的原因，就是矫正机制不到位，导致环境行政许可制度得不到正确实施。在结构上，环境行政许可的矫正机制分为环境行政许可的后续监管机制与法律责任机制两大部分。后续监管机制的目的在于发现、认定环境行政许可领域的违法行为；法律责任机制的目的在于纠正违法行为并惩罚违法者。无论是后续监管机制还是法律责任机制，均涉及两类主体：行政相对人和行政主体（包括行政机关和行政人员）。从实践来看，我国环境行政许可矫正机制存在诸多问题：环境行政许可间接侵权的法律责任不明确；被许可人的环境信息公开义务缺失；环境行政处罚力度偏软；监管机关的执法裁量权过于宽泛；“限期补办许可”制度未能与其他责任制度有机衔接；相对人的“治理、恢复、补救”责任有所遗漏；行政机关和行政人员（尤其是行政首长）不正确履行环境行政许可职责的法律责任不到位；公众参与环境行政许可监督的机制不健全；与环境行政许可有关的行政强制制度不完善；等等。为此，在本章中，笔者首先从立法上梳理了我国环境行政许可矫正机制的现状，然后从相对人违反环境行政许可制度的矫正机制、行政主体不正确履行环境行政许可职责的矫正机制两个层面，剖析了我国环境行政许可矫正机制存在的问题，进而提出了制度改进的相关建议。在本章中，笔者结合新近出台的《行政强制法》，就完善与环境行政许可有关的行政强制制度问题作了相应的研究。
[Abstract]:From the environmental legislation of all countries in the world, the license system is a "pillar" legal system to prevent environmental risks. As this system facilitates the development and construction activities that affect the environment, pollutant discharge is incorporated into the track of the national unified management, and the government is strictly limited in the scope of the state to enable the government to carry out the environment effectively. Therefore, management has been widely applied in modern environmental law.
At present, there are two obvious deficiencies in the study of environmental administrative license in China's academic circles. One is that many scholars tend to study environmental administrative licensing from the theory, principle and system of administrative law, and ignore the theory, principle and system of environmental law. This situation makes people mistakenly think that environmental administrative permission belongs to the administration. The research field of law is not the research field of environmental law; the two is to study the environmental administrative license, such as the examination and approval of the EIA, the license of pollutant discharge, the license of greenhouse gas emission and so on, and the overall study of the environmental administrative licensing system is relatively weak, thus it is difficult to reflect the whole appearance and existence of the environmental administrative licensing system in our country. All sorts of malpractices.
In view of the above situation, from the angle of the interdisciplinary of environmental law and administrative law (and mainly from the perspective of environmental law), this paper makes a comprehensive study of the environmental administrative licensing system in China. The purpose of this article is to take the basic theory of environmental administrative license as the guide, from the project setting, operation system and correction of environmental administrative license. The mechanism of the three aspects of the systematic analysis of the shortcomings of the environmental administrative licensing system in China, and then put forward specific suggestions for the improvement of the system. That is to say, on the path of research, this article is directed by improving the environmental administrative licensing system in China. In addition to the introduction and conclusion, this paper is divided into the following four chapters:
The first chapter is the basic theory of environmental administrative license. In this chapter, the author expounds the basic theory of environmental administrative license from five aspects: (1) combing the current definition of environmental administrative license, analyzing its defects and putting forward the new definition of environmental administrative license; (2) based on "modern environmental law is the pollution control law," The view of the organic integration of the natural protection law and the energy law of the three is divided into eight categories (pollution prevention and control license, natural resource protection license, special regional environmental protection license, animal welfare license, urban and rural landscaping license, material circulation management license, energy permit) In addition, the scope of environmental administrative licensing is clarified further. (3) the four theoretical foundations of environmental administrative licensing (public trust theory, externality theory, environmental property theory, and political theory of interest groups) are summarized. The three functions of environmental administrative licensing (controlling environmental risks, configuring environmental resources, providing proof of environmental credibility) and five characteristics (risk character, scientific and technological background, balance of interests, intergenerational balance, International Association) are analyzed. (4) according to the understanding of the principles of environmental law in the international community, and the practice of the EU and the United States, and other advanced countries The construction of environmental administrative licensing system must follow the eight principles of environmental law (precautionary principle, prudent principle, scientific and technological promotion principle, rational exploitation and utilization principle, polluter burden principle, public participation principle, cooperative cooperation principle, national environmental resources sovereignty and non damage to foreign environment principle), and expounds the eight principles to environmental administration. The basic requirements for the construction of licensing system; (5) analyze the three negative effects of environmental administrative license in real life (interference market mechanism, increase administrative cost and induce administrative corruption), and then point out that the legislator should adhere to the principle of market mechanism priority on the issue of "what to set environmental administrative license", that is, only It is possible to consider setting environmental administrative licensing items when the tools of tax, subsidy, mortgage, environmental standards, environmental information, environmental administrative contracts, self-discipline of the industry organization, post supervision and so on are unable to achieve the purpose of environmental protection, or when these tools are used against social fairness.
The second chapter: the project setting of environmental administrative license. China's environmental administrative licensing system is first represented by a large number of environmental administrative licensing projects. Therefore, it is necessary to start with the project setting of environmental administrative licensing first. In our country, specific environmental administration permits. As a single country, the central legislation has a great binding force and demonstration effect on local legislation, and the environmental problems reflect the relationship between human and nature, which usually does not take human territory as boundary, so the environmental administrative licensing projects in our country are mainly from the state. As stipulated in the central legislation, the administrative licensing law stipulates that only laws, administrative regulations and the decision of the State Council can set administrative licensing items at the level of the central legislation, and the department regulations of the State Council and other normative documents shall not be set. Based on this, the author has spent nearly half a year to clean up the current effective laws and administration in our country. The regulations and all environmental administrative licensing items decided by the State Council (clean work strictly follows the definition and classification of environmental administrative license in the first chapter), and lists the environmental administrative licensing items (511 items) in the form of tabular form in the appendix of this article. On this basis, the author first describes in this chapter The basic situation of the environmental administrative licensing project set by China's central legislation is given. Then, according to the basic theory of environmental administrative license, the five major problems in the setting of environmental administrative licensing items in our country are analyzed (the abuse of environmental administrative licensing items, the unclear elements of environmental administrative license items, and the complex environmental administrative licensing system). The setting of environmental administrative licensing projects is lagging behind, the environmental administrative licensing projects are conflicting with each other or the relationship is not clear, and the relevant legislative proposals for improving the setting of environmental administrative licensing projects are proposed.
The third chapter is the operation system of environmental administrative license. In general, the operation process of an environmental administrative license can be divided into two stages: first, the implementation of the environmental administrative license, including the application, acceptance, examination and decision of the license, and the two is the transfer of the environmental administrative license (the essence is the transfer of rights on the environmental license, of course, Not all environmental administrative permits can be transferred. The theory of administrative law holds that the "permission for things" can be transferred, while the "permission for people" can not be transferred. In practice, there are four legal problems in the operation of environmental administrative license. (1) the issue of discretion in the implementation of environmental administrative licensing. The problem is usually regional and spatial, and the environmental administrative license has the characteristic of benefit balance, and it is frequently made in the unknown science and technology. Therefore, in the implementation of the environmental administrative license, the legislators often give the licensing authority a wide discretion to realize the environmental regulation. Although the discretion helps to improve the environment management. The efficiency of the system and the promotion of environmental control innovation, but also easy to be abused to destroy the environmental justice, especially the environmental administrative license has obvious risk character. Once the decision is wrong, it often causes the ecological disaster. Therefore, how to restrain and control the abuse of environmental administrative license is the key problem in the implementation of environmental administrative license. An important topic in modern environmental law. (2) public participation in the implementation of environmental administrative licensing. Although environmental administrative licensing has strong scientific and technological background, it is considered to be suitable for expert politics by some critics, but environmental administrative licensing also often involves the conflict of breadth of interest, which must be reconciled by the public participation procedure in nature. In order to enhance the legitimacy of the decision-making, the public participation in environmental administrative licensing is mainly limited to the public participation in the examination and approval of environmental assessment. Although the public participation in the review and approval of environmental assessment is the most complex and important in all environmental administrative licensing projects, there are numerous environmental administrative licensing projects and environmental administrative licensing items. Therefore, it is necessary to make a holistic study on public participation in environmental administrative licensing, and to find out the universal problems existing in the public participation system of environmental administrative licensing in China, and to find an effective way to promote environmental administrative licensing in an all-round way. Participation. (3) the problem of expedited procedures in the implementation of environmental administrative licensing. Licensing expedited procedures is an important procedure in the implementation of administrative licensing. The purpose is to improve administrative efficiency. As far as environmental administrative licensing is concerned, at present, many local governments are mainly based on the "unified management system" stipulated in the administrative licensing law (i.e., "one host," Relevant, parallel examination and approval, time limit completion "), the implementation of a large number of environmental administrative licensing projects in the development and construction field. In practice, this examination and approval model not only does not achieve the purpose of improving the efficiency of examination and approval, but is not conducive to the correct implementation of environmental administrative license, and constitutes a serious threat to the ecological environment. Therefore, it is necessary to learn from this. The experience of advanced countries explores a new licensing expedited procedure suitable for the field of development and construction to achieve an organic balance between ecological interests and the efficiency of approval. (4) administrative intervention in the transfer of environmental administrative licensing. The aim of the legislator to establish a system of environmental administrative license transfer is to use the market mechanism to promote the advantages of environmental resources. In order to achieve the goal of environmental protection at low cost, the transfer of environmental administrative license is essentially a kind of private law relationship. However, the market is not omnipotent, and in some cases the market may be "malfunction", and the state's moderate intervention is needed. Administrative intervention is one of the most important aspects. However, when administrative intervention measures are taken When the necessary limit is used, it will not only disturb the market transaction mechanism, but also may appear the problems of rent-seeking power, the increase of transaction cost and low efficiency. China is a country with strong administrative power. In the present system of administrative licensing transfer, there are a lot of improper administrative intervention measures, which need to be improved from legislation. This paper analyzes the problems existing in the operation system of environmental administrative licensing in China from the above four aspects, and puts forward some concrete suggestions for the improvement of the system.
The fourth chapter: the correction mechanism of environmental administrative license. The correction mechanism of the so-called environmental administrative license refers to the legal mechanism that rectifies the actions of the administrative relative and the administrative subject in violation of the environmental administrative licensing system. It is difficult to realize the function of environmental administrative license. In recent years, a large number of environmental legislation has been carried out in China, and a large number of environmental administrative licensing projects have been set up, but many areas still can not go out of the "more pollution and more pollution" circle. One of the most important reasons is that the system of corrective machines is not in place and the system of environmental administrative licensing is not correct. On the structure, the correction mechanism of environmental administrative license is divided into two parts: the follow-up supervision mechanism and the legal responsibility mechanism of environmental administrative license. The purpose of the follow-up supervision mechanism is to find out the illegal behavior in the field of environmental administrative license; the purpose of the legal responsibility mechanism is to correct the illegal behavior and punish the offenders. The follow-up supervision mechanism or legal responsibility mechanism involves two kinds of subjects: the administrative relative and the administrative body (including the administrative and administrative personnel). In practice, there are many problems in the environmental administrative licensing correction mechanism in our country: the legal liability of the indirect infringement of environmental administrative license is not clear; the environmental information of the licensee is open. There is a lack of service; the administrative penalties for environment are weak; the discretion of the supervisory organs is too broad; "the deadline is to be replaced."
【学位授予单位】：西南政法大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：D922.1;D922.6

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