吉首大学学报(社会科学版) ›› 2025, Vol. 46 ›› Issue (1): 71-81.DOI: 10.13438/j.cnki.jdxb.2025.01.007

• 生态环境论坛 • 上一篇    下一篇

生态环境“首违不罚”的规制逻辑及困局破解

李爱年,万知涵   

  1. (湖南师范大学 法学院,湖南 长沙 410081)
  • 出版日期:2025-01-01 发布日期:2025-01-19
  • 作者简介:李爱年,女,博士,湖南师范大学教授,博士生导师。
  • 基金资助:
    国家社会科学基金一般青年项目(23CFX048)

The Regulatory Logic and Resolution to the Dilemma of "First-time Offense Exemption" in the Ecological Environment

LI Ainian,WAN Zhihan   

  1. (School of Law,Hunan Normal University,Changsha 410081,China)
  • Online:2025-01-01 Published:2025-01-19

摘要:2021年修订的《中华人民共和国行政处罚法》第33条第1款明文规定“初次违法且危害后果轻微并及时改正的,可以不予行政处罚”,学理上将其概括为“首违不罚”制度。为优化营商环境,贯彻生态保护优先理念,生态环境部2023年修改的《生态环境行政处罚办法》明确将“首违不罚”制度引入生态环境领域。作为缓解行政处罚重罚化趋向的新型制度创新,生态环境“首违不罚”在优化环境治理方式上具有显著优势。生态环境“首违不罚”具有自身独特的规制逻辑,包括以静态内涵、动态适用为主要特征的规范逻辑,以激励性预防为主体、威慑性预防为保障的实践逻辑。与之对应,生态环境“首违不罚”存在规范结构上的“前宽后窄”式缺陷,实践运行中威慑性预防效果不佳、激励性预防效果被俘获等困局。对此,有必要结合其规制逻辑及适用困局设置具有实操性、针对性的因应之策:一方面应以要件裁量基准、效果裁量构造为抓手,优化生态环境“首违不罚”的规范适用体系;另一方面,宜以生态环境领域多元责任体系、涉事企业内部管理型规制为切口,补强生态环境“首违不罚”的实践运行效果。

关键词: 生态环境, “首违不罚”, 行政处罚, 环境执法

Abstract: The revised "Administrative Penalty Law" of China in 2021 explicitly stipulates in Article 33,Paragraph 1,that "for a first-time offense with minor harmful consequences and prompt correction,an administrative penalty may be exempted." This is academically summarized as the "First-time Offense Exemption" system.To optimize the business environment and implement the concept of prioritizing ecological protection,the "Administrative Measures for Environmental Protection Penalties" revised in China in 2023 explicitly introduced the "First-time Offense Exemption" system into the field of ecological environment.As a new institutional innovation to alleviate the trend of heavy penalties in administrative penalties,the "First-time Offense Exemption" in the ecological environment has significant advantages in optimizing environmental governance methods.The "First-time Offense Exemption" in the ecological environment has its own unique regulatory logic,including a normative logic characterized by static connotation and dynamic application,and a practical logic with incentive-based prevention as the main body and deterrent-based prevention as a safeguard.Correspondingly,the "First-time Offense Exemption" in the ecological environment has structural defects in the normative structure of "broad in front and narrow in back|",and dilemmas in practice such as insufficient deterrent-based prevention effects and the capture of incentive-based prevention effects.In response,it is necessary to set practical and targeted strategies based on its regulatory logic and applicable dilemmas:on the one hand,the normative application system of "First-time Offense Exemption" in the ecological environment should be optimized by focusing on the criteria for discretionary requirements and the construction of discretionary effects;on the other hand,it is appropriate to strengthen the practical operation effects of "First-time Offense Exemption" in the ecological environment by starting with a diverse responsibility system in the ecological environment and internal management-type regulation of involved enterprises.

Key words: ecological environment, "First-time Offense Exemption", administrative penalty, environmental law enforcement

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