摘要
环境是人类赖以生存发展的基础。人类社会发展到今天，在生产能力和水平急剧提高、经济飞速发展的同时，环境污染问题日益突出和严重，已经严重制约了人类社会的可持续发展，并成为了我们一个不得不认真面对和解决的社会问题。目前，各国政府已经意识到要实现经济和社会的可持续发展，环境污染问题一定要解决，而环境污染问题的解决，单靠行政处罚和追究民事责任的方式是远远不够的。因此，各国不约而同地开始了环境保护刑事立法的工作，以追究刑事责任的方式来严厉打击破坏环境的行为。
所谓环境犯罪是指自然人或法人主体，出于主观上的罪过或无罪过的行为所实施的污染大气、水体、土壤或破坏土地、矿藏、森林、草原、珍稀濒危野生动植物或其他生态环境和生活环境，具有现实危害和危害后果的行为。西方发达国家从 20 世纪初开始选择以追究刑事责任的方式来加大惩治破坏环境行为的力度。迄今为止在发达国家中已经形成了非常严格和完整的环境保护刑事立法和相应的刑事司法体系。而我国由于历史的原因在环境污染犯罪的立法上起步较晚，现有的环境保护刑事立法体系仍然显得薄弱，加之全国各地正处在经济建设的高速发展时期，以环境破坏换取经济利益的情况十分突出，环境破坏和环境犯罪行为十分严重，因此我国更需要加强环境保护刑事立法，以保护好我国的环境，实现经济和社会的可持续发展。
当前中国的环境污染和环境破坏问题十分严重，若不能及时、有效地加以遏制，环境问题将危及社会稳定和国民生存。刑法是保护环境的的重要工具，但我国现行刑法有关环境犯罪的规定还存在诸多缺陷，因而需要加以完善，以适应环境保护任务日益严峻的现实之需要。因此本文旨在遵循现代环境保护的理念，总结西方发达国家和地区对于环境保护刑事立法的相关经验，分析我国对于环境犯罪惩处的立法现状与困境。笔者认为，在刑事政策普遍倾向于犯罪轻刑化的今天，对环境犯罪的处罚应该反其道而行之——即将多种原本仅仅规定为违反行政法律的行为入刑，以刑罚方式来加重处罚力度，这样才能适应不断发展的环境法益需求。本文立足于为构建国际一体化的环境保护刑事立法制度，提出一些立法及司法中的改革建议，以期能够使我国的环境保护刑事立法日趋完善，以切实保护环境，实现我国经济和社会的可持续发展。
本文除了导言和结语外，共分为六章内容，全文 13 余万字。导言部分对论文选题的背景、意义进行了说明，并对论文研究的基本内容作了一定的概括。
论文第一章对环境与环境保护等相关的基本理论进行了研究。具体来说，本章首先对环境的概念及特征进行了介绍，在此基础上，论文讨论了世界各国普遍存在的环境问题和我国当前面临的环境问题。接着，本文进一步梳理了我国现行的环境保护的法律责任体系，就我国现有的追究环境保护责任的三类法律责任方式：环境保护的民事责任、环境保护的行政责任和环境保护的刑事责任进行了探讨。笔者认为这里对环境保护的法律责任特别规定之处在于，就法律责任的追究机制来看，这三种环境保护法律责任是可以单独使用也可以合并使用的，即可以产生双罚制甚至三罚制的方式。这意味着，行为人的一项严重违法的环境破坏或环境污染行为，可能导致被同时追究环境保护的民事责任、环境保护的行政责任和环境保护的刑事责任。这种民事、行政和刑事责任同时追究的环境法律责任体系也是世界各国所普遍采用的方式。
论文第二章是对环境犯罪的基础理论进行了简介。本章首先从环境犯罪的基础理论出发，辨析了环境犯罪的概念和基本构成要件。认为我国的环境犯罪的概念可表述为：是指自然人或法人，基于主观过错的行为，所实施的污染大气、水、土壤或破坏土地、矿藏、森林、草原以及其他生活环境和生态环境，并产生危害后果的行为。通过这一概念我们可以将环境犯罪的客体归结为“双重客体”，即环境犯罪不仅侵犯了人与人之间的社会关系，还侵犯了人与自然产间的生态关系。环境犯罪的主体包括自然人和法人。一般环境犯罪的客观方面包括行为、结果和因果关系三个因素，有的环境犯罪必须有因果关系的存在，有的环境犯罪则并不需要因果关系也可存在，即仅有环境犯罪行为就可单独构成犯罪。环境犯罪的主观方面比较复杂，包括故意和过失并存的复合罪过、故意和严格责任三种情形。
本章进一步列举了环境犯罪产生的原因。从犯罪产生的本源来看，环境犯罪就是在工业化运行的过程中相伴产生的现象。从环境犯罪产生的外部原因来看，经济全球化为环境犯罪的产生和发展提供了外部条件，是环境犯罪产生的一大诱因。而从其他社会科学的角度进行分析，我们也可以看到导致环境犯罪频发的原因，就是片面地追求经济利益。如从经济学角度进行分析，实施危害环境的犯罪可以使得行为人节省环境保护所需要的高昂成本，并获得高额利润，同时面临刑罚的机率又很小，这样必然促进危害环境犯罪的高发案率。如从社会学角度分析来看，污染企业或个人为了获得各种涉及环境保护内容的许可证 件，往往虚构事实，夸大自身能力，以欺骗手段获取相关许可证件，并导致非法排污和超标排污的产生。
论文第三章中笔者对我国环境保护刑事立法的发展轨迹进行了综合论述。我国古代很早就产生了环境保护的观念，并采用立法的方式来确立环境保护制度，如殷商时期的《礼记》就是现今可考证出的最初有文字记载的环境保护规定，在《唐律疏议》中环境保护刑事立法的范围也涉及了堤防和水利、文物、山林树木、城镇环境等很多领域。这些规定在之后的宋、元、明清时期都有不同程度的体现和发展。新中国成立后，关于环境保护的刑事立法也历经了数个不同时期：从最初的民法、行政法和刑法交互使用时期，到 1979 年《中华人民共和国刑法典》颁布后对该刑法典进行补充时期，再到 1997 年《刑法典》颁布实行时期，以及近几年来对 1997 年《刑法》修订和完善时期出台的一系列修正案和司法解释，最后笔者对我国环境保护刑事立法的发展轨迹进行了归纳和小结。
论文第四章是关于域外环境保护刑事立法的研究。由于西方发达国家在工业化进程中首先遇到严重的环境问题，因而发达国家和地区也就早意识到了保护环境的重要性以及要通过环境保护刑事立法来惩治环境污染行为的必要性。这些立法对我国的环境保护刑事立法无疑具有十分重要的借鉴意义。因此，笔者按照法系和国家区域划分，分三个部分介绍了域外各国和我国除大陆地区外的其他几个4地区的环境保护刑事立法。具体来看，第一部分以英美法系国家为标准，介绍了英国、美国和澳大利亚的典型环境犯罪刑事立法体系并对这几个个国家的环境保护刑事立法进行了比较和总结；第二部分以大陆法系国家为标准，介绍了德国、日本、法国、前苏联、奥地利、韩国等几个具有代表性和本国特色的环境保护刑事立法体系，也对这些国家的环境保护刑事立法进行了小结；第三部分介绍了我国港澳台地区的有区域特色的环境保护刑事立法，在比较和总结的基础上以期对我国的环境犯罪刑事立法完善有所帮助和启发。
论文第五章分析了我国环境保护刑事立法存在的缺陷。本章首先对我国刑法没有规定而应予以犯罪化的污染环境的犯罪及抗拒环保行政监督的犯罪进行探讨，分析造成这种现象的原因，笔者认为我国现有的环境保护刑事立法中存在有关污染大气罪、污染内水罪、污染海洋罪、施放噪声危害人体健康罪以及抗拒环保行政监督罪的立法缺失。虽然97刑法和至今为止的八个刑法修正案在一定程度上已经形成了环境保护刑事立法的框架和基本雏形，给予了环境犯罪以一定的重视即设立了专门一节——破坏环境保护罪，同时在其他章节也规定了一些与环境犯罪相关的犯罪行为，使得我国运用刑法手段对环境资源的保护更加严厉。但是由于我国环境保护刑事立法处于初级阶段，环境犯罪的立法状况还很不科学，诸如污染大气、污染内水等危害行为尚未纳入刑法规制范围，不利于建立完整的环境保护制度，因此笔者认为应当将这些罪名都入刑。
第六章中提出了完善我国环境保护刑事立法和司法的建议。针对以上几章所分析的问题，本章提出完善刑事立法的建议主要有：将现有的罪名专节扩展成专章，扩展后专章的名称应改为“危害环境罪”、对污染环境罪个罪的最新解析、合理确立环境犯罪体系以及改革与完善对环境犯罪人的处罚体系等几方面。同时由于环境犯罪的特殊性，对有些普通刑事诉讼程序应加以调整、改进，以适应惩治环境犯罪的现实需要。同时笔者还在立法建议的同时对我国环境犯罪的司法实践中的立案管辖、审判管辖、起诉制度的完善等方面提出了自己的建议。以期能够从程序法的改革上对实体法有相辅相成的帮助作用。
关键词：环境犯罪 危险犯 环境保护刑事立法 完善。
The Environment is the basis for human being’s subsistence and development. Inthe present human society, with the rapidly increased productivity and fast developedeconomy, the environmental pollution is becoming more and more serious, which hasgreatly influenced the sustainable development of human society and becomes asocial problem we must face and settle carefully and seriously. At present, variousgovernments have realized that the problem of environmental pollution must besolved in order to develop economy and society sustainably and it’s insufficient tosolve the problem of environmental pollution only by means of administrative penaltyand civil liability. Therefore, various countries began the environmental criminallegislation during the period of post-industrial revolution coincidentally in order tocrack down on environmental destruction by means of criminal liability.
The so-called environmental crime refers to that the subject as a natural personor judicial person, due to subjective fault or non-fault behavior, carries out theconduct with real harm or harmful consequence polluting air, water, soil, ordestructing land, mineral resources, forest, prairie, rare and endangered species ofwild animals and plants, other ecological or living environment. Western developedcountries began to choose the way of criminal liability to impose more severepunishment on environmental destruction as from the beginning of 20thCentury. Sofar, the developed countries have established very strict and complete environmentalcriminal legislation and corresponding criminal justice systems. However, Chinabegan its legislation on environmental pollution crime late for historical reason, thecurrent environmental criminal legislation system is still weak, and China is in thestage of fast economic development during which there are many deals by sacrificingenvironment to get economic benefits in return, the environmental destruction andcrime are very serious, therefore, it’s more necessary for China to strengthen itsenvironmental criminal legislation in order to protect the environment and realize theeconomic and social sustainable development.
With the modern idea of environmental protection, this dissertation aims atsummarizing the relevant experiences of western developed countries and districts inenvironmental criminal legislation, analyzing the current situation and difficulties oflegislation of China on punishing environmental crime. The author holds the opinionthat even nowadays the criminal policies generally tends to light punishment for crime,the punishment for environmental crime shall be in a diametrically opposite way, thatis to say, much of the original administrative violation shall be criminalized and morepunishment in the form of criminal punishment shall be imposed, thus it can adopt tothe requirement of developing environmental legal interests. This dissertation, basedon the aim of establishing internationally unitized system on criminal protection ofenvironmental resources, put forwards some suggestions on reform of legislation andjustice in the hope of improving environmental criminal legislation of China topractically protect environment and realize the economic and social sustainabledevelopment.
This dissertation, besides Introduction and Conclusion, is divided into sixchapters and consists of 130,000 words. The Introduction explains the backgroundand meaning of this topic, and gives a summary of basic information of thisdissertation.
Chapter I Introduction to Environment, Environmental Resources and Protectionfirstly gives introduction to the concept and features of environment, and on basis ofthis, discusses the general environmental issues all over the world and theenvironmental issues faced by China at present. Next, this dissertation further sortsout the current legal liability system of China for environmental resources andprotection, discusses three kinds of legal liability for undertaking environmentalliability: Environmental Civil Liability, Environmental Administrative Liability andEnvironmental Criminal Liability. The special provision of environmental legalliability here is that, from the perspective of mechanism on imposing legal liability,the three kinds of environmental legal liability may be imposed separately or together,that is to say, double punishment system even triple punishment system may exist.
This means a person’s serious violation causing environment destruction or pollutionpossibly results in environmental civil liability, environmental administrative liabilityand environmental criminal liability at the same time. Such environment legal liabilitysystem being able to impose civil, administrative and criminal liability simultaneouslyis generally adopted all over the world.
Chapter II differentiates analyzes and expounds basic theories of environmentalcrime. This chapter firstly differentiates and analyzes the concept and basicconstitutive requirements of environmental crime on basis of the basic theories ofenvironmental crime. The author considers that the concept of environmental crime inChina can be described as the subject as a natural person or judicial person, due tosubjective fault or non-fault behavior, carries out the conduct with real harm orharmful consequence polluting air, water, soil, or destructing land, mineral resources,forest, prairie, rare and endangered species of wild animals and plants, otherecological or living environment. According to this concept, we can categorize theobject of environmental crime as Dual Objects, that is to say, environmental crime notonly encroaches upon social relation among human beings, but also infringesecological relation between human beings and the nature. The subject ofenvironmental crime includes the natural person and the judicial person. The generalobjective aspects of environmental crime consist of behavior, consequence andcausality. For some environmental crimes, the causality must exist, but for someenvironment crimes, the causality is unnecessary, that is to say, the environmentalcriminal behavior can constitute a crime. According to the subjective element, theenvironmental crime includes not only those being caused by criminals with eitherintention or negligence but also those only with intention. In some circumstrances, thestrict liability is adopted where the tortfeasor is not required to have subjective fault.
The dissertation further enumerates reasons for environmental crime. From theperspective of origin of crimes, environmental crime is one of phenomena along withindustrialization. From the perspective of external reasons for environmental crime,economic globalization provides outside conditions for existence and development ofenvironmental crime, which is one of inducement for environmental crime. From theperspective of other social sciences, we also can learn reasons for frequentenvironmental crime, i.e. the big difference between the cost and benefit. For example,from the perspective of economy, the tortfeasor may save expensive cost forenvironmental protection and earn enormous profits by committing the crimeendangering environment, but face little possibility of criminal penalty, which willdefinitely result in high rate of environmental crime. From the perspective ofsociology, in order to be granted various permits relating to environmental protection,the polluting enterprise or individual usually make up the story and exaggerate theirabilities to obtain relevant permits by deception and then results in illegal oroverstandard pollution discharge.
In order to corroborate the aforesaid discourse, the author takes some importantenvironmental pollution event seriously endangering public safety at present asexamples, analyzes how to deal with these important national events according to thecurrent criminal legislation of China and the existing misunderstanding and problems.
In Chapter III, the author makes a comprehensive discourse of development ofenvironmental criminal legislation in China. The emperors of various dynasties inancient China virtually used the statutory law at that time or orders of emperor toprotect the environment. This means that the idea and system of environmentalprotection already existed in ancient China. For example, Book of Rites in Yin-ShangDynasty is the earliest written record consisting of provisions on environmentalprotection according to the current investigation. The environmental criminallegislation in The Tang Law Dredges Opinion covers many fields such asembankment, cultural relics, mountains, forests and trees, urban environments. Theseprovisions were reflected in Song, Yuan and Ming Dynasties to different extents. Afterthe foundation of the new China, the criminal legislation on environmental protectiongot through several stages: from the first stage of alternative adoption of civil law,administrative law and criminal law, to the stage of supplementing criminal code afterthe Criminal Code of the People’s Republic of China of 1979 was published, to thestage of enforcement of Criminal Code of 1997, to the stage of amendment to andimprovement of Criminal Law of 1997 in recent years, which will be continued.
Chapter IV conducts comparative study on foreign environmental criminallegislation. Because western developed countries met serious environmental problemsin the course of industrialization first, the developed countries and districts hadalready been aware of the importance of environmental protection and the necessity ofpunishing environmental pollution through environmental criminal legislation. Theselegislation is meaningful as a reference for environmental criminal legislation inChina. Therefore, this dissertation makes an introduction to the environmentalcriminal legislation in foreign countries and district in three parts according to legalfamily, country and district. The first part makes an introduction to the typicalenvironmental criminal legislation system of UK, USA and Australia with commonlaw as the standard; the second part gives an introduction to some representative andnation-characteristic environmental criminal legislation system of Germany, Japan,France, Soviet Union, Austria and Korea with civil law as the standard; the third partgives an introduction to environmental criminal legislation with district characteristicsin Hong Kong, Macao and Taiwan District of China.
Chapter V studies the deficiency of environmental criminal legislation in China.
This Chapter firstly discusses environmental pollution crimes and environmentalprotection administrative supervision resisting crimes which are not set forth incriminal law of China but shall be criminalized, and analyzes reasons for suchphenomenon. The author considers that we are short of air pollution crime, internalwater pollution crime, ocean pollution crime, crime of noise endangering humanhealth, and crime of resisting environmental protection administrative supervision inthe current environmental criminal legislation of China. Although the criminal law of1997 and eight amendments have formed the frame and basic rudiment ofenvironmental criminal law to some extent and attached certain importance toenvironmental crime. There is a special section named crimes of destructingenvironmental resources protection and some chapters and sections setting forth somecriminal conducts related to environmental crime, which impose more protection onenvironmental resources by criminal means, however, the environmental criminallegislation of China is still in the early stage.
Therefore, the author puts forward suggestions on legislation improvement ofenvironment crime as follows: expanding the current special section on environmentalcrime into a special chapter with the name of Crimes of Endangering Environment,the new explanation and analysis of environmental pollution crimes, reasonablyestablishing environmental crimes system and reforming and improving system onpunishment of environmental criminals. Meanwhile, due to the special characteristicof environmental crime, some ordinary criminal proceedings shall be adjusted andimproved in order to adapt to the real requirement of punishing environmental crime.
At the same time, the author puts forward improvement suggestions on some fields ofjudicial practice of environmental crimes in China such as case-accepting jurisdiction,trial jurisdiction, prosecution system and time limit of prosecution in the hope ofproviding supplementary help for substantial law from the perspective of procedurallaw.
Key Words: Environmental Crime Offence with PotentialDamage Environmental criminal legislation consummate
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