【作者】 张新；

【导师】 刘惠荣；

【作者基本信息】 中国海洋大学 ， 环境与资源保护法学， 2013， 博士

【摘要】 在国家权力中，行政权既是最动态、最有力的，也是对政治、经济、社会和公民民主权利和切身利益影响最直接、最关键的。因此，行政权也最容易对公民权利和利益造成损害，最容易被滥用和产生腐败。要使行政执法达到预期的目标，预防和制止行政权力的滥用和腐败，监督便是一种必不可少的手段。对行政行为进行专门督察，应当是健全行政监察体制、完善对行政执法内部监督机制的一个值得研究的问题。这些年来，随着“蓝色经济”理念的逐步推进，人们对海洋的探索不断深入，对海洋资源开发利用的动机不断加强，而可持续发展的思想却往往是最容易被忽略的。同时，现行行政管理体制桎梏于行政区划的隶属观念，而缺乏国际上领先的“基于生态系统的管理”理念，没有打破行政隶属观念。例如，在蓝色经济区建设中，各地还是按照各自的地域概念以行政区划为界构建各自的“规划”。海洋管理部门在地方利益和部门利益的驱使下，其行政行为必然存在严重的本位主义，而背离海洋整体利益保护的可持续性。而海洋资源的丰富性也给海洋管理部门和个人以寻租的极大可能，在个人利益的驱动下，近年来出现了不少贪污受贿、失职、渎职等问题。针对上述问题，2013年十二届全国人大第一次会议决定对国家海洋管理和执法体制进行改革，组建更高级别的海洋事务专门机构，重组国家海洋局，将渔政执法、海关缉私海上执法、公安边防海上执法的职能划归国家海洋局，国家海洋局以中国海警局名义对外维权执法。由此可见，规范海洋行政管理和执法，加强海洋督察力度，确保海洋行政管理、海洋法律法规的正确实施的重要意义就愈加突出。因此，能否建立起一个统一、高效的海洋督察体系，依法独立地对有关行政机关在执行落实国家有关法律、法规、规章、政策等方面进行监督检查，督促有关行政机关依法履行职责并及时纠正其违法行为，具有重要的现实意义。正因为如此，本文拟采用文献分析法和比较分析法，运用行政督察理论、组织网络理论、制度理论及政策执行理论，根据中国海洋行政管理的实际情况，在剖析中国海洋行政管理体制及其运行状况，以及国外督察制度的设计及其实践的基础上，探究海洋督察概念、内在本质、运行特征和机制，分析海洋督察制度体系建立的依据，构建中国海洋督察制度体系的框架。为实现这一目标，本文拟在研究相关理论的基础上开展下述几个方面的研究。一是剖析中国海洋行政管理体制及其运行状况。在新的海洋秩序和海洋制度建立的基础上，海洋行政管理的重要性日趋凸显，确保海洋环境和资源的可持续利用及协调发展成为海洋行政管理的基本目标。为了实现这一目标，各个国家均采取了不同的管理模式。中国作为一个传统的注重内陆的国家，开始逐步从闭关锁国的内陆大国向海洋大国挺进，在这一过程中，随着海洋事务的逐步推进和涉海利益的日趋复杂，海洋行政管理体制也随之演变，运行中也出现了各种问题。为了解决这些问题，有必要系统深入地剖析其管理体制及运行状况。二是中国海洋行政立法与行政督察。行政立法是依法治国的现代行政机关的最高指导准则，需要遵守其基本立法原则，而在行政过程中，强化行政督察的功能，成为现代行政中的重要课题。加强对行政行为的督查，是依法行政的重要环节，也是依法行政的必然要求。在海洋行政立法和督查制度的拟定及实施过程中，还遇到诸多困难和问题。因此，有必要予以系统研究，以期为海洋督察制度的制定奠定基础。三是国内外行政督察制度及其实践。尽管中国监察制度历史悠久，但现代国家制度的建立并不久远，而行政监察专员制度就是在西方古老的监督理论下结合我国现实的制度构建而成的，所以很有必要考察国外行业督察体制和机构。在此基础上，剖析中国现代国家制度建立下的行业督察（重点剖析国家土地督察、环境保护督察等），并对上述行业督察予以综合分析，探究行政督察制度应用于海洋督察的模式。四是中国海洋督察制度的构想。海洋督察制度是在海洋行政执法监督体系下建立的一项层级督察制度，旨在全面掌握和监督全国海洋行政管理工作情况。在我国当前尚缺乏强有力的宏观协调机制、并难以整合各涉海部门力量及政出多门且管理效果并不显著的情况下，建立和完善海洋督察制度显得尤为迫切。因此，有必要在阐析现行涉海督察法律及其实践、探究制定完备的海洋督察制度的理论依据和汲取国外海洋督察管理制度经验基础上，探究中国海洋督察制度体系的基本构想。综上所述，迄今为止，海洋督察体系的相关理论研究在国内尚属空白，本文致力于探究建立和完善海洋督察制度体系的有关问题，提出构建海洋督察制度体系的初步法学理论，这是本文的创新所在。另外，本文根据中国海洋管理的实际情况，分析研究海洋督察概念、内在本质、运行特征和机制，提出建立海洋督察制度体系初步设想，并根据权力的正确行使需要制约和限制的权力制衡理论，运用行政管理学和行政法所阐述的行政机关的层级监督、权责统一等有关理论，设计适合中国国情的海洋督察制度模式，这是本文的另一个创新点。如上文所述，中国海洋管理体制不仅涉及纵向体系，还涉及横向体系，而且不仅局限于协调国内不同部门和不同产业的政策及措施，还要在国际社会上坚决维护国家海洋权益。因此，这就更加突显了海洋管理工作的复杂性和艰巨性。在如此复杂的管理体制下，加强对其督察显得尤为必要，但同时也更加困难。由于目前相关理论体系尚不够健全，而且国际上尚无可资借鉴的成功海洋监督制度体系，因此，尽管本文试图在上述两个方面有所创新，但这一创新难免具有一定的局限性，提出的关于中国海洋督察制度的构想并非完美，还需不断完善。更多还原

【Abstract】 In the state power, administrative power is the most dynamic and the mostpowerful, but also the most direct impact, the most critical in the political, economic,social and civic democratic rights and interests affect. Administrative power is theeasiest to civil rights and interests are caused damage, the most easy to abuse andproduce corruption. Supervision is an indispensable means to make the administrativelaw enforcement to achieve the desired objectives, prevent and stop the abuse andcorruption of administrative power. The special inspect of the administrative behavioris worth studying, and should be perfect administrative supervision system, perfectthe internal supervision mechanism of administrative law enforcement.These years, with the "blue economy" idea unceasingly thorough, people on theMarine exploration unceasingly thorough, the Marine resources development andutilization, and the urge to strengthen the idea of sustainable development are often isthe earliest to neglect. At the same time, the existing administrative body shackles inadministrative districts membership concept, and ignore the international leadingbased on the ecosystem management concept, failed to break the administrativemembership concept. Such as now blue economic zone construction, or all accordingto their respective regional concept with "city" as the world build their "planning".Marine management department in the local interests and the interests of thedepartment, motivated by the administrative behavior exists serious selfishdepartmentalism, and deviate from the protection of the interests of the whole oceansustainability. And the richness of ocean data to Marine management department andindividual possible to rent-seeking, in the interests of the individual driver, in recentyears there were many corruption problems, dereliction of duty.In response to these problems, the national oceanic management and lawenforcement system have been decided to reform in the first meeting of the second session of the National People’s Congress in2013. In other words, a higher level ofspecialized agencies of the Division for Ocean Affairs is to be formulated and theState Oceanic Administration is also to be reorganized from the fishery lawenforcement, maritime law enforcement of customs officials, and maritime lawenforcement of police border. Then the State Oceanic Administration is on behalf ofthe police Department of the China Sea for foreign rights enforcement. Thus, tospecify the marine administration and enforcement, strengthen ocean inspector effortsand ensure the correct implementation of the marine administration and marine lawsand regulations have been paid more prominent impotances. Therefore, whether hasthe ability to establish a unified, efficient system of marine inspectors, supervise andinspect the relevant administrative authorities to implement the relevant national laws,regulations, rules, policies, and supervise the administrative authority to perform theirduties in accordance with the law and promptly correct their illegal act, haveimportant practical significance.Therefore, this paper intends to explore the concept, intrinsic nature, operatingcharacteristics and mechanisms of the marine inspectors, analyze the basis ofestablishing the marine inspector system and build the China National MarineInspector system framework on the basis of adopting a literature analysis andcomparative analysis, utilizing the administration inspector theory, organizationnetwork theory, institutional theory, and policy implementation theory, analyzing theactual situation of China’s ocean administration, and dissecting marine administrationand its operating condition, as well as the design of foreign inspector system and itspractice. To achieve this goal, the paper intends to study the following aspects on thebasis of exporing the above theories.First, the China’s marine administration system and its operating condition are tobe analyzed. The marine administration has become increasingly prominentimportance after the establishment of the new order of the oceans and marine systems.The management object has been adjusted to ensure the sustainable use of the marineenvironment and resources. To achieve this goal, kinds of management model havebeing taken in various countries. As a traditional inland country, China has abandoned the closed-door policy and made great progress in the development of marine affairs.With the gradual progress of the ocean affairs, the sea-related interests are more andmore complex. While the marine administration system has being changed, variousproblems have been evolved in its operation. To solve those problems, it’s necessaryto deep analyze the marine management system and operational status.Second, the China’s national marine administrative legislation and administrativeinspector are to be studied. The administrative legislation is the highest guidingprinciple for the modern administrative organs. The basic legislative principles mustbe kept. Besides, the administrative inspector must be strengthened in theadministrative process, which is an important part of the morden administration.Strengthening the inspection for the administrative act is also inevitable requirementof administration according to law. Nevertheless, lots of problems have been emergedin the process of marine administrative legislation and administrative inspector.Therefore, it is necessary to systematically study the national marine administrativelegislation and administrative inspector in order to lay the foundation for theformulation of the marine inspector system.Third, the administrative inspector systems and their practices at home andabroad are to be expored. Despite the long history of China’s surveillance system, butthe establishment of the modern state system is not long. The ombudsman system isbuilt with the state of reality system in ancient Western supervision theory. Thus, it isnecessary to examine the systems and agencies of foreign industry inspectors. On thisbasis, the paper is to explore the industry inspectors (National Land Inspector,Environmental Protection Inspector, the Planning Inspectorate and the Provident FundInspector, Inspector of Police, the Cultural Relics Administrative EnforcementInspectors and Fishery Administrative Law Enforcement Inspectors) which areestablished after the modern stat system. Besides, the above industry inspectorsystems are to be paid a comprehensive analysis to explore how to apply theadministrative inspector system to marine inspector mode.Fourth, the idea of marine inspector system is to be developed. Marine inspectorssystem is different strata supervision system under the marine administrative law enforcement supervision system, which is designed to fully grasp the supervision ofthe national administrative work. It’s particularly urgent to establishment the marineinspector system in the case of China’s current lack of strong macrocoordinationmechanisms and difficulty to integrate the related marine government departments.Therefore, it is necessary to explore the institutional system of the China nationalmarine inspector on the basis of analyzing the current marine inpector law and itspractice, exploring the theoretical basis for the development of marine inspectorsystem and summarizing the experience of the foreign marine inspector managementsystem.To sum up, as far as the the marine inspector system theory is concerned, itsstudy is still blank in China. The paper is committed to explore the relevant issues ofmarine inspector system, and develp the preliminary legal theory of building themarine inspector system, which is one of the innovations. Moreover, the paper hasdeveloped basic framework of marine inspector system according to the actualsituation of China’s marine management, together with the concept, inherent nature,operating characteristics and mechanisms of marine inspectors. Then, the marineinspector system model suitable for China’s national conditions is designed on thebasis of the above theories, which is the another innovation of this paper.As said above, the Chinese marine management system involves not only thelongitudinal system also involving lateral system, but not limited to the coordinationof policies and measures of the different departments and different industries, but alsoresolutely safeguard national maritime rights and interests in the internationalcommunity. Therefore, the marine stewardship is extremely complex, which in turnexacerbates the complexity of management. In such a complex management system,it’s particularly urgent to strengthen its inspector, but also more difficult. The relevanttheoretical system is still not sound enough, and there is no internationally successfulmarine supervision system system. Although this article is trying to be innovative inthese two aspects, but those innovations will inevitably have certain limitations, and the proposed marine inspector system is also not perfect. In a word, it’s necessary toconstantly improve the above theories and the system framework.更多还原