环境法立法后评估的法理研究

发布时间：2018-01-16 09:42

  本文关键词：环境法立法后评估的法理研究　出处：《中南财经政法大学》2017年博士论文　论文类型：学位论文

  更多相关文章： 环境法立法后评估 立法质量 指标体系 程序机制

【摘要】：新时期全面推进依法治国的首要任务是“科学立法”,要求立法必须符合法律所调整事态的客观规律,法律的制定应满足法律赖以存在的内外部条件。立法后评估是推进科学立法的重要形式,而环境保护的时代命题迫使法学研究应对环境立法有所贡献,但是学界对环境法立法后评估的研究还处在初级阶段。本文从法理学的角度切入,将法学理论应用于环境法立法后评估这一具体领域之中,论证环境法立法后评估的基础原理,除引言和结语之外,主体部分共包括六个部分,基本内容概括如下:第一章,环境法立法后评估的理论基础。立法后评估是环境法立法后评估的上位概念,构成本研究的起点和基础。在总结我国立法后评估的理论、制度和实践的基础上,可以将立法后评估界定为“立法实施一定阶段后,为检验立法的效果和质量并予以完善,由特定主体组织开展,有立法者、执法者和和利益相关者普遍参与其中,并按照特定程序规范实施的评估活动”。虽然立法后评估在人性基础、哲学基础和技术基础方面有其科学性,但在文化背景、适用条件和对象范围等方面却存在着固有的限度,这在《闲置土地处置办法实施后评估报告》中可以予以验证。基于环境法律关系的独特性,环境法立法后评估的特殊性体现在:评估视角上的内外结合,评估内容中将环境基线作为重要坐标,评估指标设置的综合性与互联性。为了准确地界定环境法立法后评估的概念,还应将之与容易混淆的环境影响评价、环境资源价值评估和西方的规制环境影响评估进行区别。第二章,环境法立法后评估的现实基础。国外的环境法评估制度和我国环境保护法修改中的立法评估实践构成了环境法立法后评估的现实基础。联合国千年生态系统评估中所秉持的生态互联的价值理念和所运用的资源价值评估方法,是环境法立法后评估重要的经验基础。由于环保理念成为社会共识基础,美国、欧盟国家的环境法评估已经融入规制环境影响评价、环境标准制定的制度体系之中,形成了对有重大环境影响的法律、政策和项目都需进行评估的常态化评估机制。相比而言,以环境法律、政策文本为中心维度的日本环境法评估制度,对于我国而言更容易借鉴。我国《环境保护法》修改中的立法评估在理念上经历了经济与环保的反复博弈,模式上主要是公众参与基础上的自评估,程序上融合了立法前评估与后评估。但我国环境法的立法评估缺乏独立和长效的机制,由此导致评估的专门化程度不高、第三方评估的发展滞后和评估所需的数据不全面等问题。第三章,环境法立法后评估的核心要素。本章主要从环境法立法后评估的主体、客体和内容这三个要素入手回答“环境法立法后评估是什么”的问题。根据立法后评估主体权利能力和行为能力的界定,环境法立法后评估应采用由制定环境法的人大或政府机关决策和指导,由上述机关内部机构或者独立第三方机构负责实施,并有局部环境利益相关者和自然环境中的社会公众广泛参与的主体模式。作为与环境法立法后评估的主体相对应而存在的后评估对象,环境法立法后评估客体要接受可行性标准的筛选,主要包括经济、技术和社会可行性等方面的分析论证。依据规范性法律文件效力等级、调整内容和评估需要的不同,环境法立法后评估客体可以分为形式体系、内容体系和类别体系三种不同的结构,在类别体系的划分中,具体包括整体性环境立法、单文本环境立法和个别环境制度。“整体性环境法立法后评估的应用──以武汉市政府环境立法文本为例”就属于整体性的环境法立法后评估类别。环境法立法后评估的客体具有目的定位上的独特性、整体上的可数量化和更适于成本效益分析等特征。在环境法立法后评估的内容上,可以划分为价值评估、文本质量评估和实施效果评估三个方面,分别对应了价值、制度和事实三个分析维度。第四章,环境法立法后评估的基本标准。立法后评估的标准是指在法律规范的背景之下,对诸多立法文件进行对比、核准和评价的过程中所遵循的方法、准则和尺度。评估标准的设置受制于评估方法的选择,而评估方法的选择又取决于法律世界观的定位,但是传统法学的基础理论和方法论在应对新形势下立法后评估活动时具有无法克服的局限,所以立法评估标准的设置需要综合应用法学、经济学、社会学等学科的方法论。与一般的立法后评估相比,环境法立法后评估应遵循一般的成本效益分析方法,同时兼采政策分析、价值分析和逻辑分析的方法,将定性分析融入定量分析之中。在正当性基础的论证上,将成本效益分析方法应用于环境法立法后评估,具有正义的伦理基础,也符合正义的评价标准。在构建环境法立法后评估标准体系时应遵循三个原则:统一环境基线、化约环境效益和整合评估方法,基于此,本文立足立法目的定位、立法文本质量和立法实际效果三个维度设置了环境法立法后评估一般指标体系(含11个一级指标),并分别选取了《中华人民共和国环境保护法》、《中华人民共和国水法》和《中华人民共和国水污染防治法》这三个单行法律文本作为对象,设置了环境法立法后评估具体指标体系,以《中华人民共和国环境保护法》为例,其中就设置了12个一级指标和41个二级指标,并对每个二级指标的涵义进行了解释。第五章,环境法立法后评估的运作程序。立法后评估是由一系列环节、步骤所组成的行为系统,其中程序的规范与否关系到立法后评估的客观与公正。通过对我国七部有关立法后评估的法律文本的分析,可以将立法后评估的程序要素概括为评估对象的选择、评估主体的确定、评估过程的控制和评估结论的回应。环境法立法后评估应对评估对象进行定期规划,实现对上升型、影响型、意见型、年限型四类评估对象的制度化安排。在评估主体方面,采取分小组评估的模式,即根据指标属性的分类和评估主体的社会分工,将评估主体划分为立法和执法主体组(权力组)、环境法学及相关学科专家组(专家组)和第三方评估团队组(技术组)。环境法立法后评估程序的过程控制包括形式上的期限控制和内容上的指标控制,期限控制要求评估程序在一定时限内完成以确保评估任务工作量的完成,而指标控制要求评估程序的开展能达到评估目的的要求。在程序结束阶段,评估主体形成对环境立法的总体看法、评价和立法建议,该评估结论的回应要求环境立法机关在规定时限内,根据评估结论对环境法律法规的修改、废止作出决定并给出相应的论证。第六章,环境法立法后评估的实际应用。本章主要选取《新环境保护法实施情况报告》、《湖北省湖泊保护条例》和武汉市政府的环境立法三个层面的研究样本,对前述相关理论的有效性进行了验证。由于理论和实践遵循着不同的逻辑,实践本身是行为与选择的综合体,而理论通过为实践者提供反思来施展影响力,囿于研究能力和资源的不足,本章实证部分的内容只应用了环境法立法后评估理论中的局部内容。《新环境保护法实施情况报告》反映出第三方评估主体的优势和在评估标准上的建设,但由于缺乏独立专门化评估机制导致了评估内容缺乏系统性和整体性、评估方法上侧重定性分析等问题。湖泊保护立法的后评估是对环境法立法后评估基本标准理论的应用,以《湖北省湖泊保护条例》为样本,通过构建具体的指标体系和数量模型,对收集的数据进行计算后得出评估结论,基本能够验证标准的科学性。武汉市政府环境立法的后评估是以立法文本为视角对武汉市政府的环境类规章进行整体性的评估,评估过程和结论以武汉市政府环境立法的问题和对策为中心。
[Abstract]:The new period to comprehensively promote the rule of law is the primary task of "scientific legislation", the legislature must accord with the rules of the legal adjustment of the situation, the law should meet the law for the existence of internal and external conditions. After legislation evaluation is an important form to promote the science of legislation, and the proposition of the era of environmental protection law of force in response to environmental legislation study on environmental law contribution, but the academic evaluation after legislation is still in the initial stage. This paper starts from the perspective of jurisprudence, the legal theory in environmental law after legislation evaluation in this specific field in the basic principle of environmental law demonstration evaluation after legislation, apart from the introduction and conclusion, the main part consists of six in part, the basic contents are as follows: the first chapter, the theoretical basis of environmental law after legislation evaluation. Evaluation of the legislation of environmental law is the evaluation after legislation concept, the Starting point and basic research. Evaluation of the summing up of our legislation theory, basic system and practice, can be defined as "the evaluation after legislation legislation to implement a certain stage, in order to test the effectiveness and quality of legislation and to be perfect, organized by a certain subject, legislators, law enforcement and stakeholders generally involved, and in accordance with the specific procedures implementation of the assessment activities. Although after legislation evaluation based on human nature, has its scientific philosophy and technology base, but in the cultural background, the applicable conditions and scope of aspects are inherent limits, which can be assessed in the validation report > way the disposal of idle land." after the implementation of the unique environmental legal relationship based on the particularity of the environmental law assessment after legislation embodied in: the combination of internal and external evaluation perspective, evaluation content in environment as an important base line Coordinate, comprehensive and connectivity evaluation index set. In order to accurately define the concept of environmental law system, also should be easily confused with the environmental impact assessment, environmental impact assessment of regulation of environmental resource value assessment and western difference. In the second chapter, the realistic foundation of environmental law. The legislative evaluation after legislation evaluation in the practice of changing environmental law review system in the foreign countries and China's environmental protection law constitutes the basis of environmental law after legislation evaluation. Methods to assess the value of the concept of ecological Internet uphold the UN Millennium Ecosystem Assessment in the use of resources and value, is the important basis of assessment of the experience of environmental law due to legislation. The concept of environmental protection has become a social consensus on the basis of the United States, the environment assessment of EU countries have been integrated into the regulation of environmental impact assessment system, environmental standards, the formation of a heavy Environmental impact of laws, policies and projects are required to evaluate the normalization of evaluation mechanism. In contrast, the environmental law and policy text as the core dimensions of the environmental law evaluation system in our country are more likely to learn. China's environmental protection law > < to amend the legislation assessment in the idea had been repeatedly game economy and environmental protection, is the main mode of public participation on the basis of self assessment, program evaluation and evaluation after fusion. But before the legislation of China's environmental law legislation and the lack of independent evaluation of long-term mechanism, which led to the evaluation of the specialization degree is not high, problems in the development of the third party evaluation lag and assessment the data is not comprehensive. In the third chapter, the core elements of environmental law legislation after the assessment of the subject. This chapter mainly from the environmental law system, the three elements of the object and the content of "environmental law evaluation after legislation What is the problem. According to the definition of assessment subject rights and capacity to act after legislation, environmental law should adopt the legislative assessment formulated by the NPC Environmental Law or governmental decision-making and guidance, the internal organs or institutions Du Lidi three party organization responsible for the implementation of the main mode, and has extensive public participation in local environmental interests and in the natural environment. As the main evaluation object evaluation and environmental legislation after the relative should exist, the object must accept the feasibility assessment screening standards of environmental legislation, mainly including economic, technical and social feasibility analysis and so on. On the basis of normative legal documents effectiveness level, adjust the content and to assess the different environmental law after legislation evaluation objects can be divided into the formal system, content system and category system of three kinds of different structure in the category system The division, including the overall environmental legislation, environmental legislation and individual single text environment system. Application of "holistic environmental law after legislation evaluation -- Taking Wuhan municipal government environmental legislative texts as an example" environmental law belongs to the category of evaluation of the legislation. The object of environmental law evaluation after legislation is unique to localization on the whole, the number of quantization and more suitable for cost benefit analysis and other features. In assessing the environmental legislation after the content, can be divided into three aspects: value evaluation, evaluation of text quality assessment and implementation effect, corresponding to the value of the system, and the fact that the three dimensions of analysis. In the fourth chapter, the basic standard environmental assessment after legislation. The legislative standards refers to the legal norms under the background, comparing many legislative documents, followed by the process of approval and evaluation method in the criterion and scale. The evaluation criteria set by the choice of assessment methods, positioning and the choice of assessment methods depends on the law of the world, but the basic theories and methods of the traditional law theory in the evaluation activities under the new situation after the legislation has not overcome the limitations, so the legislation evaluation criteria set needs comprehensive application of law, economics and society the discipline of methodology. Compared with the general evaluation after legislation, cost benefit analysis method should follow the general assessment of the environmental law, and adopt the policy analysis, value analysis and logical analysis method, the qualitative analysis into the quantitative analysis. Based on legitimacy argument, the cost benefit analysis method application in environmental law evaluation after legislation, has the ethical basis of justice, justice is also consistent with the evaluation criteria. In the construction of environmental law legislative evaluation standard system should abide by three Principle: the unification of the environmental baseline, about the environmental benefits and integrated evaluation method, based on this, this article based on the legislative objective orientation, evaluation index system of the three dimensions of legislative text quality and actual effect of legislation set up environmental law legislation (including 11 indicators), and respectively selected the People's Republic of China environmental protection law > > < > and < People's Republic of China water, People's Republic of China lake water pollution prevention law > three separate legal texts as the object, the evaluation index system of the specific environmental law legislation, in "People's Republic of China environmental protection law as an example, which is made up of 12 indexes and 41 level two indexes, and each of the two grade the meaning of index is explained. The fifth chapter, the evaluation procedure of environmental law legislation. After the evaluation after legislation is composed of a series of links, the behavior of a system consisting of the steps, program specification and Not related to the evaluation of the legislation of the objective and fair. Through the analysis of the legal text of China's seven Department of the relevant assessment after legislation, procedures can be summarized as the elements of evaluation after legislation evaluation object selection, evaluation and the determination of the main body, control and evaluation conclusion of evaluation process should be back. Environmental law evaluation after legislation to deal with the assessment object for regular planning, implementation of the rise, the influence of the institutional arrangement, opinion, life type four evaluation objects. In the assessment of the subject, take the group evaluation model, according to the index attribute classification and evaluation of the main social division of labor, the subject of evaluation is divided into legislative and law enforcement group (Power Group), environmental law and related disciplines expert group (Expert Group) and third party assessment team (Group) environmental law. The legislative assessment includes control form of the term control on content and procedure Index control, requirement evaluation procedures to ensure the completion of assessment tasks of work performed within a specified time period, and the index control requirements of assessment procedures carried out to achieve evaluation purpose requirements. In the end stage of procedure, evaluation of the main form of the overall environment of legislation law, evaluation and legislative proposals, the conclusions of the assessment in response to environmental requirements the legislative organ within the prescribed time limit, according to the evaluation conclusion amendments to environmental laws and regulations, the abolition of the decision and give the corresponding proof. In the sixth chapter, the practical application of environmental law after legislation evaluation. This chapter select < New Environmental Protection Law implementation report >, < the sample of the study lakes protection regulations of Hubei province and Wuhan. The municipal government's environmental legislation from three aspects, the validity of the theory is verified. The theory and practice follow different logic, practice itself is the behavior and Choose the complex, and the theory of reflection by providing for practitioners to exert influence, due to the lack of lack of capacity and resources, protection of local content. The new evaluation theory of environmental law in the implementation of the report reflects the main > third party assessment and evaluation standard of the advantages in construction of this chapter empirical part of the content only application of environmental law after the legislation, but due to the lack of independent specialized assessment mechanism resulted in assessing content lack of systematic and comprehensive evaluation method, qualitative analysis and so on. The upper heavy lake protection legislation after the evaluation is to assess the basic application of the standard theory of environmental law legislation, the protection of Hubei Province Ordinance > < lakes as samples, based on the index the number of system and model of concrete evaluation conclusion of the data collected for calculation, basic scientific verification standards. Wuhan municipal government environmental legislation after assessment The assessment is based on the legislative texts, and makes overall assessment of the environmental regulations of the Wuhan municipal government. The evaluation process and conclusion are centered on the problems and Countermeasures of Wuhan municipal government's environmental legislation.

【学位授予单位】：中南财经政法大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：D922.68
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本文编号：1432549