【作者】 吕欣；

【导师】 何秉松； 罗锋；

【作者基本信息】 山东大学 ， 法学理论， 2008， 博士

【摘要】 二十世纪六十年代以来,环境问题的日益严重迫使各国加快了环境立法的步伐,有关环境的法规逐渐形成一个综合的法律体系。特别是,面对日益严重和扩大的环境生态危害,已有的民事及行政制裁在环境保护方面变得捉襟见肘、力不从心,为强化和支持民事、行政法的规定,各国政府将目光转向了更具有强制性和威慑力的刑事制裁,环境的刑法保护成为必然的选择,而环境刑法也以此为契机成为新兴的独立的部门法。我国由于人口众多、资源不丰富以及经济快速发展、消费需求激增等,环境问题比发达国家更为严峻。因此,我国的环境立法虽然起步晚,但在环境恶化的巨大压力以及国际环保运动的推动下,我国借鉴发达国家环境立法的经验,在短短二三十年间取得了丰硕的立法成果,已形成较为完备的环境法律体系,刑法中有关环境犯罪的规定也逐步完善和扩展。但初步建立起来的环境刑事法网并没有为解决环境问题带来预期的效果,相反,我国的环境状况却在继续恶化,严重的环境犯罪非但没有减少,还呈现出蔓延和加重的趋势。对于造成这种状况的原因,除了一些学者从执法不力方面进行分析外,更多的学者则注意到了环境刑事立法本身的缺陷,并从各个角度提出了完善立法的建议。但这些研究却很少能够切中要害,也未能准确地找到执法不力、立法缺陷而导致环境继续恶化的深层原因,而相应的建议也就难以从根本上解决问题。笔者以为,现有的环境刑法之所以在解决环境问题、遏制环境犯罪方面收效甚微,根本原因在于缺少恰当的环境伦理内核作为支撑,其结果是:不仅现有的环境刑法条款无法得到很好的实施,而且环境刑事立法本身受到制约,难以突破传统伦理观念的束缚而从根本上进行完善,这就是我国的环境刑事立法所面临的伦理困境。基于此,本文所要解决的问题是:分析环境刑法缺失恰当环境伦理支撑的原因,在此基础上,寻找并铺就一条突破困境的出路。循着这样一个思路,全文内容以下列顺序展开:一、环境问题在世界范围内不断恶化,为弥补民事及行政措施的制裁不力,环境刑法得以产生和发展。我国的现行环境刑法是以刑法典中相关犯罪规定为主的法典化模式,但它却难以在遏制环境犯罪方面发挥效用,其原因在于:由于缺失恰当的环境伦理的支撑,使已有的环境刑法法规得不到有效实施,更重要的是,环境刑事立法本身也受到制约,难以突破传统伦理观念的束缚而从根本上进行完善,无法满足环境保护紧迫而现实的要求。而环境刑法没有恰当的环境伦理为基础,主要因为环境犯罪法定犯的性质、人域伦理的主导地位以及我国环境伦理研究状况的限制所致。症结找到了,对症下药,突破困境的出路在于:为环境刑法构建一种新的、适宜的环境伦理,以此为基础与出发点对环境刑法进行总体性反思和完善。二、在评析西方主要环境伦理理论的基础上,本文构建了一种新型环境伦理:“人与环境和谐共赢”,并分析它作为我国环境刑法伦理基础的合理性:首先是在一般意义上对此种环境伦理的证立,然后在此基础上论证它对于我国的适宜性,最后考证这种环境伦理法律化、刑法化的现实可能性。经分析可知,人与环境和谐共赢完全可以成为我国环境法、环境刑法的伦理根基。恰当的伦理基础确立了,环境刑法就有了正确的价值目标,也就为本文确立了反思与审视我国环境刑法的新视角——以人与环境和谐共赢的环境伦理为视角。三、从环境伦理的视角,对国外环境刑法的四种立法模式进行考察、比较后发现,以单行环境刑法为主的日本、巴西模式能够为环境刑法提供打破传统刑法的人类中心主义、更新伦理观念的空间和机会,而且其成文法的形式也与我国的传统相吻合,因而环境刑法应采用自成一体的单行立法模式。同时,对我国及其他几个代表性国家环境基本法的立法目的进行伦理审视,借鉴美国、日本的多元立法目的,并以新型环境伦理的要求为指导原则,重构了我国环境基本法的立法目的,进而确立了环境刑法的立法目的。四、以法益的概念为基点,对犯罪的概念和犯罪构成要件这两个刑法学中的基础性理论表明本文的立场与观点:提倡形式与实质统一的混合犯罪概念,同时将反映犯罪本质的犯罪客体——法益,不再作为构成要件,而是放在犯罪概念中研究,这是对环境犯罪概念及构成展开研究所进行的理论起点。在此基础上,以人与环境和谐共赢的新型环境伦理为视角重新审视和定位我国环境刑法的法益,并进一步确定了以环境刑法法益为核心的环境犯罪概念。同时以保护上述法益为目标,对环境犯罪的外延进行完善,为环境刑法划定了更加周密并具有一定前瞻性的犯罪圈。此外,以新型环境伦理为基础,从客观方面、主观方面对环境犯罪进行伦理审视,确立环境犯罪的三种形态,因果关系认定方面的特殊性,并肯定过失危险犯与严格责任在环境犯罪中的正当性。五,人与环境和谐共赢的伦理基础决定了环境刑法的目的是保护包括环境利益与人类利益在内的生态环境整体利益,维护人与环境的和谐。但生态整体利益的刑法保护,除了对环境犯罪概念及构成要件进行重构与完善之外,还必须通过合理、经济、及时、有效的刑事制裁才能变为现实。因此,按照新型环境伦理的要求,同时结合环境犯罪的特征,以“严而不厉”、“轻轻重重”的刑事政策为导向,重新设定的环境刑法的刑罚结构如下:主刑包括无期徒刑、有期徒刑、拘役和管制;附加性包括在数额限制、裁量标准、适用及执行方式上进行全面改进后的罚金刑以及扩展后的资格刑。同时,增加四种非刑事处罚方式:公告有罪判决并责令公开悔过、赔偿损失、责令补救、公益劳动,形成了包括刑罚与非刑罚方法在内的、多元化的刑事处置体系,以利于充分有效地防治环境犯罪,并有助于最终实现新型环境伦理所追求的保护生态环境整体利益、人与环境和谐共赢的目标。六,新型环境伦理决定了环境刑事实体法在诸多方面与普通刑法不同,根据这些不同特质,更重要的是为了实现新型环境伦理下保护生态环境整体利益的法益保护目标,需要制定与一般刑事诉讼不同的环境刑事诉讼规范,才能使完备的实体法内容在司法实践中得以发挥实效。环境刑事诉讼的特殊规定主要涉及两个方面:一是刑事起诉主体范围拓宽,赋予公民、环保团体以提起环境公益刑事诉讼的权利,并赋予环保行政机关对环境犯罪的刑事起诉权;二是确立特殊的证明责任规则,对环境犯罪客观方面的因果关系推定和主观方面的罪过推定(即严格责任),明确规定了控方和被告方负证明责任的情形及不同的证明标准。最后,现时代的环境问题已经成为全球性的问题和全人类共同的危机,且仍在迅速蔓延和加剧,在此背景下,人类的环境意识也逐步改变。虽然远未形成在全球占主流地位的环境伦理理念,但在一些重要原则方面却潜在地具有趋同化,在此背景下,我国的环境刑法以新型环境伦理的要求为基点,在应对全球性环境问题方面,明确规定惩治环境犯罪国际合作的原则,增加侵害国际环境法益的犯罪,以期对环境刑法的反思与重构更加完整与缜密。本文的创新之处在于:试图构建并论证一种新型的环境伦理,以此作为反思与重构我国环境刑法的切入点,进而以此种环境伦理的要求为标尺,从立法模式、立法目的、犯罪概念、犯罪构成、刑罚体系、诉讼规范、国际合作等方面对我国现行环境刑法进行全面反思与审视,并提出具体的完善立法的建议。更多还原

【Abstract】 Since the 1960s, with the environmental crisis becoming increasingly serious, more and more environmental laws have been enacted in more and more countries. Environmental laws have gradually been integrated into a synthetic legal system. Because the traditional civil and administrative sanctions are not enough to cope with the increasingly serious environmental crisis, many countries have resorted to criminal sanctions, which are more forcible and deterring. As a result, the environmental criminal law has become a new independent type of law. In China, because of the large population, the limited natural resources and the rapid development of the economy and consumption, the environmental crisis is more serious than that in developed countries. Although it began late, pushed forward by the environmental crisis and the international environment-protecting movement, drawing experiences from developed countries, environmental enactment in China has formed a new synthetic legal system in the past two or three decades. The articles concerning environmental crimes in the Criminal Code of China have also been increased.But the newly-established environmental criminal statutes have not produced the anticipated effects. On the contrary, the environment in China has been deteriorating continuously, and the serious environmental crimes have increased, rather than decreased. Why? Some scholars believe that the reason is slack enforcement while more scholars have noticed the defects of environmental criminal law itself and suggested ways to perfect the law in many different aspects. But none of these researchers have accurately revealed the real reasons leading to the slack enforcement and the defects of environmental criminal law, so their suggestions can’t resolve the problems fundamentally. In my opinion, the reason that our environmental criminal law is less effective in resolving environmental problems and dealing with environmental crimes is that the environmental criminal law is not based on a foundation with suitable environmental ethics at the core. Without suitable environmental ethics in its foundation, not only the existing articles concerning environmental crimes in the Criminal Code of China can’t be enforced well, but also the legislation of environmental criminal law is limited and can’t break through traditional ethics so as to be fundamentally perfected. That is the ethical predicament that the environmental criminal law in China faces. Therefore, this dissertation is intended to resolve such a problem: based on the analysis on the reason why the environmental criminal law is not established on foundation of suitable environmental ethics, find a way to break through the predicament.In chapter one, this dissertation first generalizes the evolution of the environmental crisis and environmental criminal law. Then, it is stated that without suitable environmental ethics in its foundation, not only the existing articles concerning environmental crimes in the Criminal Code of China can’t be enforced well, but also the legislation of environmental criminal law is limited and can’t break through traditional ethics so as to be fundamentally perfected. That is the ethic predicament that the environmental criminal law in China faces. The main reasons why the environmental criminal law is not based on the foundation of suitable environmental ethics are: environmental crimes are statutory crimes, ethics is always understood and used within human society and the research on environmental ethics is limited in China. Since the exact reasons having been found out, we can further explore the way to breaking through the predicament: establish new suitable environmental ethics for the environmental criminal law, and on this basis and with this as a starting point, reflect and perfect the environmental criminal law of China.In chapter two, based on the comments on the main theories of environmental ethics in western nations, this dissertation first establishes a new environmental ethics: harmony and co-development between human and environment. Next, it analyses the reasons of establishing the new environmental ethics at three levels: firstly, it demonstrates the new environmental ethics in a general sense; secondly, it expounds and proves that the new environmental ethics is suitable in China; finally, it discusses and proves that the new environmental ethics is acceptable by law and criminal law. After the analyses, we know that the new environmental ethics is a very suitable foundation for the legislation of environmental criminal law in China. Since a proper ethical foundation is established, the exact goal of value of the environmental criminal law can be found out, and we can reflect and perfect the environmental criminal law from a new perspective.In chapter three, after studying and comparing four legislative forms in foreign countries from the perspective of environmental ethics, it is clear that the legislative form of special environmental criminal law in Japan and Brazil can break through anthropocentrism in traditional criminal law and renew the ethical ideas. What’s more, this is in the form of statutes which is suitable for the legislative tradition in China. Therefore, the new environmental criminal law of China should be instituted in this form. At the same time, this dissertation studies and compares the legislative intentions of China and of some other countries from the perspective of environmental ethics, and draws experiences from the legislative intentions of the USA and Japan. At last, it establishes the exact legislative intentions of China’s environmental law and of environmental criminal law required by new environmental ethics.In chapter four, firstly, based on the definition of legal interests, the author indicates her own position on the concept and composition of crimes: approving the mixed definition of crimes which is a combination of the form and the substantial. At the same time, the legal interest which can indicate the substance of a crime is transferred from the composition of crime as object of a crime to the definition of a crime. Secondly, after the rearrangement of the legal interest of environmental criminal law, the definition of a environmental crime is: ’A person who violates the environmental criminal law and invades the environmental right of citizens and the environmental legal interests should bear the criminal liability.’ In addition, more new or renewed environmental crimes are added into new environmental criminal law. Thirdly, from the perspective of new environmental ethics, objective elements and subjective elements are examined. This dissertation also puts forward three forms of environmental crimes, explores the particularity in the identification of causality in environmental crimes, and discusses environmental crimes of danger caused by negligence and the justification of strict liability.In chapter five, this dissertation indicates that in order to protect the environment with criminal law, we should institute reasonable, economical and effective criminal sanctions as well as examine and perfect the concept and the composition of environmental crimes from the perspective of new environmental ethics. According to the new criminal policy and the peculiarity of environmental crimes, this dissertation puts forward a new penal structure, which is composed of principal penalties including life imprisonment, fixed-term imprisonment, criminal detention and control, and additional penalties including criminal fine and punishment against qualifications. Besides, four non-criminal sanctions are put forward: declaring guilty sentences, compensation for the damages, enforced remedies and labor for public interests.In chapter six, it is discussed that in order to protect the environment with criminal law, we should institute different criminal procedural statutes. Firstly, we should enlarge the range of prosecuting subjects against environmental crimes, making citizens and administrative departments have the right to prosecute for environmental protection. Secondly, we should institute special rules for burden of proof to provide different conditions and requests for prosecutors and defendants to bear evidential liability.Finally, environmental crisis has become a globalized crisis. In this background the differences between ideas about environmental ethics from all over the world have gradually become less and small, and some of the ideas have been accepted by the international society. In order to fit for this tendency, the environmental criminal law should make clear the principles of strengthening international cooperation in dealing with environmental crimes, declare the concept of some international environmental crimes.更多还原