【作者】 刘志欣；

【导师】 孙潮；

【作者基本信息】 华东政法大学 ， 法律史， 2008， 博士

【摘要】 中央与地方行政权力的配置问题是一个多学科交叉的问题,涉及到了政治学、法学、行政学、财政学等学科。先前许多学者从各自学科的视角对中央与地方关系进行研究时,往往会对这个问题有所涉及,并形成了一些研究结论。就法学学科的研究成果来看,当前国内对这个问题的研究主要是立足于宏观层面,从中央与地方权力配置的总体情况进行把握。但是,考虑到中央与地方关系的内容是包罗万象的,即便是一个领域的行政权力往往也包含着许多具体的行政权力,如谈及教育行政权力时,不仅会涉及到高等教育、中等教育、初等教育等纵向分类,还可能涉及到教科书的选定、学校的设立和管理等具体的权力;又如涉及税权时,又会有具体税种的区分,因此,这样宏观的把握有时会忽略了个体之间的差异。考虑到这一点,本文选取了建设项目环境影响评价审批权这一具体行政权力作为研究对象,通过法律文件的梳理对我国的中央与地方行政权力配置的过程进行探究,并试图对我国将来的权力配置制度变革提出自己的见解。可以说,这一研究主要是一个微观层面的初步研究。在描述中央与地方行政权力配置关系时,中央政府与地方政府是一组需要明确的范畴。所谓的中央政府是指全国性的政府,即管辖区域及于整个国家的那个政府;而地方政府是中央政府的对称,是指对一个国家的部分区域行使管理权的政府。考虑到资料方面的原因,本文研究的地方政府仅指大陆的省、自治区、直辖市这一级的区域政府。通过文献梳理可以发现,在诸多研究中央与地方关系的成果中,对中央与地方需要一定程度的权力配置这一点是没有争议的,但是对如何具体配置中央与地方的权力则分歧甚多。目前学者在研究权力配置时主要是从逻辑分析的角度进行理论设计,而没有从实践的角度来说明。因此,从实践的角度来对这种争论进行一个回应是有意义的。在分析建设项目环境影响评价审批权的权力配置过程之前,首先必须介绍我国的建设项目环境影响评价文件的审批机关――国家环境保护行政主管部门和各级地方环境保护行政主管部门。因为中央与地方行政机关是中央与地方进行行政权力配置的基本载体。建设项目环境影响评价审批权力的配置主要体现在中央政府与地方政府所发布的各种法律文件中。本文分别介绍了中央法律文件与地方法律文件中关于建设项目环境影响评价审批权的配置状况。主要从三个层次进行阐述:第一层次介绍了我国宪法、组织法和环境保护领域的法律所确定的中央与地方行政权力配置的基本结构,这一基本结构规定了我国中央与地方权力配置的基本框架,这主要是一个宏观层次的介绍;第二个层次是以其他中央法律文件为分析对象,介绍了其他中央法律文件中关于中央与地方建设项目环境影响评价审批权的配置状况,主要说明了中央如何对审批权力进行配置;在第三个层次中,本文试图从地方法律文件的角度来看地方审批权力的配置状况,并描述地方对中央审批权力配置的态度。在分析中,本文注意了历史的维度,观察了这三个层次的配置在历史中的沿革。我国中央与地方行政权力配置的基本结构是由宪法、组织法和法律所确定的。宪法确定了“在中央的统一领导下,充分发挥地方的主动性、积极性的原则”作为我国处理中央与地方关系的基本原则,并将中央与地方行政权力配置的权力授予了国务院。而对于如何进行行政权力配置,宪法和组织法仅提供了行政区域范围这一标准。为了解决具体行政管理中的问题,环境保护领域的法律对有关中央与地方关系的原则和规定进行了一定的延伸,提供了相对具体化的权力配置原则,并对国家环境保护行政主管部门的审批权限进行了比较抽象的列举式规定,对各级地方环境保护行政主管部门的审批权限则进行了授权式的规定。这样粗疏的规定在实践中是难以操作的。为了解决行政执法中的操作问题,有关国家机关必须采取一定措施将这些规定具体化、明确化。这些具体化、明确化的措施主要体现在中央政府与地方政府发布的各种法律文件中。在政府发布的各种法律文件中,既有作为正式法渊源的法律文件,如宪法、法律、行政法规、地方性法规、行政规章等,也有作为非正式法渊源的法律文件,如各级政府及其组成部门所发布的规范性文件。如果仅对正式法渊源进行考察的话,可能很容易得出中央与地方具体行政权力配置并不清楚的结论;但是如果把规范性文件结合进去考虑时,或者会发现结论并不正确。在考察中央法律文件和地方法律文件时,两个方面的因素是值得重点考虑的:一是法律文件是通过什么方式、如何来配置中央政府与地方政府的行政权力;二是法律文件在配置中央政府与地方政府行政权力时采用了什么样的标准。就中央法律文件对建设项目环境影响评价文件审批权的配置而言,宪法、组织法和环境保护领域法律的规定是比较抽象而不明确的,但当结合行政法规、规章以及其他规范性文件进行考察时,就会发现,中央法律文件对于国家环境保护行政主管部门审批权力的配置并不是不清楚,而是十分明确的;但对各级地方环境保护行政主管部门的权力配置则主要是授权性的规定。也即是说,中央法律文件对于国家环境保护行政主管部门的权力配置是十分具体明确的,而对于地方环境保护行政主管部门的权力配置则基本上不进行规定。而对23个省、自治区、直辖市在不同时期发布的39个法律文件进行分析的结果表明,地方性法规和地方政府规章对于各级地方环境保护行政主管部门的权力配置也是比较概括的,但是通过规范性文件的补充,地方法律文件对省、自治区、直辖市环境保护行政主管部门的权力配置也是十分明确的。在建设项目环境影响评价审批权力的配置标准上,有一个清晰的发展脉络:总体上,环境影响标准的份量在不断的强化,投资规模和建设规模、同级审批标准则相对弱化。规模标准有从特大、大中、小型基本建设项目的抽象划分到具体明确的列举式划分,进而到极为细致地根据“项目类别”量化划分的趋向;而环境影响标准则沿着从无到有、逐步强化的路线演进,并在一定程度上变通了同级审批标准。因此,在中央与地方关于建设项目环境影响评价审批权力的配置过程中,虽然各地方法律文件显示出较大的差异,但是法律文件中的权力配置是趋向于明确而详尽的。在这其中,规范性文件对审批权力配置体系的形成起到了重要的作用。而在上下级行政机关的沟通过程中,备案制度发挥着重要的作用。就权力配置的标准而言,标准有从共性标准走向个性标准的趋势,即权力配置标准有逐渐从投资规模、建设规模标准向环境影响标准转变的趋向。通过这一考察,也可以发现,建设项目环境影响评价审批权的配置过程存在以下一些问题:一是权力配置过于细致,过于细致的列举式规定导致了法律文件在应对社会变化时缺乏一种灵活性;二是正式法律渊源虚化,由于规范性文件在配置过程中起到了包括“破法”在内的重要作用,因此正式法律渊源被严重虚化;三是监督权力过于疲软,从实践中权力配置制度的运行状况来看,配置十分明确的规定并没有得到良好的执行,这在一定程度上反映了监督权力的过于疲软。论文最后提出了一些初步建议:首先,具体行政权力的配置应当由国务院以行政法规的形式来规定,法律不宜直接对具体行政权力的配置作出规定;其次,应当发挥法律解释在行政权力配置过程中的作用,淡化规范性文件的作用;再次,应当加强中央对地方的监督管理,运用财权、人权等管理手段,并强化地方政府法律责任的方式进行综合治理;最后,应当加强中央与地方的沟通机制,建构中央与地方的沟通协调程序,中央必须正视并在一定程度上认可地方利益,并通过一定的途径保证地方利益得以有效表达。更多还原

【Abstract】 The allocation of executive powers between central government and local government is an issue that involves many academic disciplines, such as politics, law, administration, finance and so on. Many scholars have carried on researches on this issue from their respective viewpoints. As far as jurisprudence is concerned, many articles about the allocation of executive powers between central government and local government are analyzed at the macroscopical level in present China’s mainland. But considering that the content of an administrative power in special field is various, the macroscopical research sometimes neglects the difference of individuals. For example, the education administrative power involves not only the vertical classification of the higher education, secondary education, primary education etc., but also the powers of selecting textbook, establishing and managing school. So, researches in macroscopical level may be neglected the difference of individuals.This article selects the power of examination and approval of environmental impact assessment of construction project as an object. According to the legal documents, the author explores the process of the allocation of executive powers between central government and local government, then tries to put forward some advices for the reform of the allocation of powers in future China. This research is at the microcosmic level.When describing the allocation of powers between the central government and the local government, there are two conceptions need to be explained. The central government is a nationwide government which rules over the whole country. And the local government is the government which is in charge of some districts of a country. In consideration of the reason of data, the local governments of this text only refer to the governments of provinces, autonomous regions and the municipalities in China’s mainland.Looked through the literature, it is clear that powers must be allocated between central government and local governments. But how to divide is still a moot point. Now scholars study this issue mainly in academic point of view instead of in practical angel. Therefore, it is significant to response in practical angel.Before analyzing the course of allocation of the power of examination and approval of environmental impact assessment of construction project, it must introduce State Environmental Protection Administration and the local environmental protection administrations which have the power of examination and approval of environmental impact assessment of construction project. The author thinks that the state and local administrations are the carriers of allocation of executive powers.Allocation of the power of examination and approval of environmental impact assessment of construction project embodies in various legal documents which are promulgated by central or local governments. This article introduces the status of the allocation of the executive power in central or local legal documents. It has three levels. Firstly, the constitution, the organic law and the law in the environment protection field prescribe the basic frame of the allocation of the power in a macroscopical level. Secondly, other regulations publishing by the central government state the attitude of the central government, and provide some principles and provisions for the allocation. Finally, it introduces the attitude of the local governments according to the local legal documents. This article observes the development historically in the analysis process.The constitution, the organic law and the law prescribe the basic structure of the allocation of executive power. According to the constitution, it is the fundamental principle of the relationship of the central government and the local government that the local governments exert the positivity fully under the leading of the central government. The constitution grants the authority of the allocation of executive power to the State Council and provides the scope of district as the standard. In order to resolve the problems in practice, the environmental protection laws extend and bring forward the material principles of the allocation of powers. They enumerate the concrete power simply for the State Environmental Protection Administration of China, and authorize the local government to regulate the power of all other environmental protection administrations.The cursory provisions are still difficult to operate in practice. In order to resolve the practical problems, the administrations must take some measures to enforce the law. These measures mainly embody in the legal documents issued by the central and local governments.In these legal documents, there are formal law sources such as the constitution, the law, the administrative regulations, local regulations and administrative rules etc. and informal law sources such as documents issued by the governments of all levels. If only reviewing the formal law sources, we may conclude that the allocation between central and local governments is not clear; but if considering the informal law sources, we will found the conclusion is not correct.When reviewed central legal documents and local legal documents, two aspects of factor deserve to emphasize. One is how the legal documents allocate the power between the central government and the local government, the other is which standards that the legal documents take to allocate the power.As far as the legal documents of the central government are concerned, the provisions of the constitution, organic law and the law in environmental protection field are abstract and inexplicit. While combining these documents with administrative regulations and other informal sources, we find that the boundary of power of the State Environmental Protection Administration of China is very definite. But the boundary of other environmental protection administrations is unclear.The result of analyzing 39 legal documents issued by the 23 provinces, autonomous regions and the municipalities shows that the provisions of local regulations and local administrative rules are recapitulative, but supplying with the informal law sources, it becomes explicit.It is clear that the function of the standard of environmental impact is continuously enhancing in course of the allocation of the power of examination and approval of environmental impact assessment of construction project. And the role of the standard of investment scale and the standard of construction scale is gradually weaken. The standard of investment scale changes from the abstract classification such as extra great, great or middle, small to the material enumeration, then turns to classify quantitatively according to the“sort of the item”, while the standard of environmental impact strengthens step by step, modifies the standard of examination and approval by the same government to some extent.Therefore, in the course of the allocation of the power of examination and approval of environmental impact assessment of construction project, the legal documents of different local governments are various, but the boundary of the power is toward definite and elaborate. Furthermore, the informal law sources play a key role in forming the system of the allocation of the power. When the bureaucracy communicates with, the system of putting on record plays an important function. The standard of the allocation of the power changes from generalization to individuality, namely from the standard of investment scale and the standard of construction scale to the standard of environmental influence.Based on analysis above, the author point out the problems in the allocation process. Firstly, the provisions of the allocation of the power are too meticulous to adapt to the variety of the society. Secondly, the formal law sources are void. The informal law sources are so important that the function of formal law source is weak. Thirdly, the system of the allocation of the power doesn’t run well in practice because the supervision power is weak in many respects.Finally, this article puts forward some suggestions. Firstly, the allocation of executive powers must be prescribed in the form of administrative regulations by the State Council. It is not suitable to prescribe directly by law. Secondly, we should interpret the law instead of using the informal law source. Thirdly, the central government should take more measures to supervise and control on the local government effectively. The central government can take the power of finance, the power of personnel as approaches of management, and intensify the legal responsibility of the local government. Finally, it should set up a communication mechanism between the central government and the local government. The central government must envisage and admit local interest to some extent, and insure the local interest to be expressed by some ways.更多还原