生态环境“首违不罚”的规制逻辑及困局破解  

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

作　　者：李爱年[1] 万知涵 LI Ainian;WAN Zhihan(School of Law,Hunan Normal University,Changsha 410081,China)

机构地区：[1]湖南师范大学法学院,湖南长沙410081

出　　处：《吉首大学学报(社会科学版)》2025年第1期71-81,共11页Journal of Jishou University(Social Sciences)

基　　金：国家社会科学基金一般青年项目(23CFX048)。

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。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 man

关 键 词：生态环境 “首违不罚” 行政处罚 环境执法 

分 类 号：D922.1[政治法律—宪法学与行政法学] D922.68[政治法律—法学]