【作者】 张丽娟；

【导师】 赵惊涛；

【作者基本信息】 吉林大学 ， 经济法学， 2020， 博士

【摘要】 美国的环境保护工作起步较早且富有成效,经过多年的理论证成及实践检验,在环境行政执法方面逐步形成了一套完整且行之有效的环境行政执法合作机制。该机制的运行使美国突破了环境行政执法困境,实现了联邦与州环境执法机构的合作共治及环境执法机构与被监管者的利益共赢。我国目前所面临的环境执法困境与当年的美国类似,环境治理理念的转变及环境执法模式的演变过程等也与美国环境法的发展过程具有相似性,美国在环境行政执法中所积累的经验无疑对我国具有重要的借鉴意义。以美国环境行政执法合作机制为研究对象,系统分析该机制的生成基础、主体及运行,总结美国环境行政执法合作机制的经验,并立足于我国的具体国情和实际,提出借鉴美国经验的本土化路径。不仅可以丰富我国环境行政执法的理论体系,也可以促进我国环境行政执法困境的化解及环境治理体制的创新,兼具理论意义和应用价值。美国环境行政执法合作机制的构建旨在提高环境行政执法的效率,增强环境行政执法的效果;并以遵循环境结果与环境责任共担,构建良好的机制促进守法,执法机构与资源配置合理,执法手段与制度保障有效为基本原则;该机制具有环境秩序的维护、环境效率的提高和环境正义的实现等法律价值。美国环境行政执法合作机制的生成是一定经济、政治和社会因素综合作用的结果。社会经济发展对执法合作产生了巨大的影响,联邦制的政治体制需要执法合作,整个社会对于环境保护的重视推动了执法合作,这些都构成了美国环境行政执法合作机制生成的现实基础。同时,美国环境行政执法合作机制的生成受法经济学、法社会学和行政法学中相关理论的影响最大。美国在环境行政执法中,依据法经济学的博弈论构建多元化的执法合作手段,基于成本效益理论对执法合作的实效进行评估;根据法社会学中社会控制论进行执法合作主体的选择,根据社会利益论进行主体利益关系的调整;在行政法学方面,福利行政法观、利益代表模式、合作治理理论对执法合作都有较大的影响和促进。美国环境行政执法合作机制中的主体由监管者和被监管者构成。对于监管者而言,机构设置和公权力配置是其进行环境行政执法合作的基础。另外,由于在行政执法中,监管者与被监管者并非是平等的法律关系主体,因而更需要为被监管者设定相应的权利与义务,以缓解行政执法中的冲突。在美国,以庞德为代表的法学家提出了“社会控制理论与利益学说”,这种利益权衡思想成为美国环境行政执法合作机制中主体的利益导向,即通过平衡环境利益与经济利益、社会利益与个人利益,实现执法合作中各主体的利益共赢。在美国环境行政执法合作机制的运行上,环境执法机构通过对各种利益冲突的识别、平衡,最终实现社会福利的最大化,维护秩序、效率与正义。在联邦与州非对等的环境行政执法合作模式下,受联邦驱动,国家环保局与各州环保局基于经济利益与环境利益的考量和成本效益分析,通过订立环境绩效合作协议、启动环境保护资金援助和提供环境保护技术援助等方式进行合作。同时,为了提升执法合作的效果,联邦环境执法机构还注重对各州的环境行政执法进行监督与控制。在环境执法机构对被监管者进行环境行政执法的实践中,双方基于博弈分析和成本效益考量,以四位一体的“防损式”执法手段及基于和解的“降损式”执法手段为载体,在环境执法机构的主导下进行合作。并通过司法审查及公众监督提升执法中合作的实施效果,实现社会利益与个人利益的平衡。虽然政治制度和国情具有很大差异,但中美在环境行政执法理念和执法模式方面,具有一定的相似性。从执法理念的角度看,我国与美国环境行政执法理念的转变过程相似,即从单纯的监管走向合作;从执法模式的角度看,我国和美国环境行政执法模式也经历了大体类似的演变过程,即威慑型执法到合作型执法;从执法依据的法律渊源来看,虽然美国是判例法国家,但在环境行政执法中与我国相似,均以成文法为主要基础。这些都成为我国借鉴美国环境执法机构的合作共治模式、环境执法机构与被监管者的利益共赢模式的基础。因此,立足于我国与美国环境行政执法的异同、环境管理体制的区别及我国生态文明建设的现况,我国可通过设立中央与地方环境协调办公室、推进中央与地方的环境信息共享、应用灵活的环境保护资金援助手段、创新地方政府绿色GDP考核方式等加强中央与地方在环境行政执法中的协调与配合;通过环境行政执法预警制度、环境行政执法和解制度等的构建与实施,实现环境执法机构与被监管者的利益共赢。更多还原

【Abstract】 Environmental protection in the United States started earlier and has been fruitful.After years of theoretical and practical verification,a complete and effective cooperation mechanism of environmental administrative enforcement has been gradually formed.This effectiveoperation of this mechanism effectively solves the dilemma of environmental administrative enforcement in the United States,realizes the cooperative governance between the federal and state environmental enforcement agencies and achieves the mutual benefits between the environmental enforcement agencies and the regulated entities.The dilemma in environmental enforcement facing China is similar to that in the United States,and the transformation of environmental protection idea and the evolution of environmental enforcement mode are also similar to those in the United States.Undoubtedly,the experience accumulated by the United States in environmental administrative enforcement is of great significance for the resolution of the problem facing China.With the United States environmental administrative enforcement cooperation mechanism as the research object,by systematically analyzing its formation basis,essential components and operation mechanism,this paper puts forward the localization path for China to form its own environmental enforcement cooperation mechanism based on the specific situation and reality of China.It not only enriches the theoretical system of environmental administrative enforcement in China,but also promotes the breakthrough of the predicament of environmental administrative enforcement and the innovation of environmental governance system,which has both theoretical significance and application value.The construction of the cooperation mechanism of environmental administrative enforcement in the United States is designed to improve the efficiency and effectiveness of environmental administrative enforcement.Four principles should be followed in the construction of environmental administrative enforcement cooperation mechanism in the United States : environmental results and environmental responsibility should be shared;a good mechanism should be built to promote law abiding;enforcement agencies and resources should be allocated reasonably;enforcement means and systems should be guaranteed effectively.It has the legal value of maintaining environmental order,improving environmental efficiency and realizing environmental justice.The environmental administrative enforcement cooperation mechanism in the United States is caused by the interplay of economic,political and social factors.Social and economic development has a huge impact on enforcement cooperation.The federal political system needs enforcement cooperation,and the whole society’s attention to environmental protection also promotes enforcement cooperation.All these constitute the realistic basis of the environmental administrative enforcement cooperation mechanism in the United States.At the same time,the environmental enforcement cooperation mechanism in the United States benefits a lot from relevant theories in Law and Economics,Law and sociology and Administrative Law.In the process of environmental administrative enforcement in the United States,diversified cooperative means of enforcement is adopted based on the Game Theory of Law and Economics,the effectiveness of enforcement cooperation was evaluated based on the Benefit Theory,the subjects in cooperation mechanism are selected based on the Social Cybernetics of Law and sociology,and the interest relationship between the subjects are adjusted based on the Social Benefit theory.In the aspect of Administrative Law,the Welfare Administrative Law Concept,Interest Representative Mode and the theory of Cooperative Governance have great influence and promotion on enforcement cooperation.The cooperation mechanism of environmental administrative enforcement in the United States includes the regulator(environmental enforcement agency)and the regulated entity(pollutant discharge enterprise).For regulators,the establishment of institutions and the allocation of power are the basis of their cooperation in enforcement.In addition,because the relationship between the regulated entity and the supervisor is not equal,it is more necessary to set corresponding rights and obligations for regulated entity to alleviate the conflict during administrative enforcement.In the United States,the jurists represented by pound put forward the "Theory of Social Control and Interest theory",which became the interest orientation of the main body in the environmental administrative enforcement cooperation mechanism of the United States,that is,mutual benefits for the subjects in the process of enforcement cooperation are achieved by balancing the environmental interests and economic interests,public interests and individual interests.In terms of the operation of the cooperation mechanism of environmental administrative enforcement in the United States,the environmental administrative enforcement agencies ultimately maximize social welfare and maintain order,efficiency and justice by identifying and balancing various conflicts of interest.Under the non-reciprocal cooperation of environmental administrative enforcement between the federal and the state,driven by the federal government,the federal environmental protection agency and the state environmental protection agency cooperate under the Cost-Benefit Analysis by signing environmental performance cooperation agreements,launching environmental protection financial assistance and providing environmental protection technical assistance,and paying attention to the supervision and control of the state environmental administrative enforcement,so as to ensure the smooth cooperation to achieve the balance between economic interests and environmental interests.In the practice of environmental administrative enforcement by environmental enforcement agencies,the regulator and the regulated entity cooperate based on game analysis and cost-benefit considerations and with the four in one "Loss Prevention" enforcement means and the "Loss Reduction" enforcement means as the carrier.They improve the implementation effect of cooperation in enforcement through judicial review and public supervision and realize the balance between social interests and personal interests.Although the political system and specific national conditions are very different,China and the United States have certain similarities in terms of environmental administrative enforcement concepts and enforcement models.From the perspective of environmental administration idea,The process of environmental administrative enforcement in China and the United States is similar,that is,from simple supervision to cooperation;from the perspective of enforcement model,China’s and the United States’ environmental administrative enforcement model also experienced a similar evolution process,that is,Deterrence-Based enforcement Model to CooperationBased Model;from the perspective of the legal source of enforcement basis,although the precedent is the main legal source of the United States law,but in administrative enforcement,like China,takes codified law as the main basis.These have become the basis for our country to learn from the cooperative governance mode of American environmental enforcement agencies,and the win-win interests mode between enforcement agencies and the regulated entity.Therefore,based on the similarities and differences in environmental administrative enforcement between China and the United States,the differences in environmental management system and considering the current situation of China’s ecological civilization construction,China can strengthen the coordination and cooperation of central and local environment through the establishment of central and local environmental coordination office,the promotion of central and local environmental information sharing,the application of flexible environmental protection fund assistance assistant section,the innovation of green GDP assessment method of local government,etc.;And we can achieve win-win interests between the regulators and regulated entity through the establishment of environmental administrative enforcement early warning system,the construction of environmental administrative enforcement reconciliation system.更多还原