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Opinions of the Ministry of Environmental Protection on the Issues concerning Application of Law to the Illegal Act of "Building without Approval" of Construction Projects [Effective]
环境保护部关于建设项目“未批先建”违法行为法律适用问题的意见 [现行有效]
【法宝引证码】

Opinions of the Ministry of Environmental Protection on the Issues concerning Application of Law to the Illegal Act of "Building without Approval" of Construction Projects 

环境保护部关于建设项目“未批先建”违法行为法律适用问题的意见

(Letter No. 31 [2018] of the Ministry of Environmental Protection) (环政法函[2018]31号)

The environmental protection departments (bureaus) of all provinces, autonomous regions, and municipalities directly under the Central Government; the Environmental Protection Bureau of Xinjiang Production and Construction Corps; and the environmental protection bureaus of cities under separate state planning and capital cities: 各省、自治区、直辖市环境保护厅(局),新疆生产建设兵团环境保护局,计划单列市、省会城市环境保护局:
Since the implementation of the latest Environmental Protection Law and the latest Law on Environmental Impact Assessment, there has been a controversy over the administrative penalty for the illegal act that construction employers commence building without filing construction project environmental impact reports and report forms for approval, or without re-filing for approval or filing for another review of the environmental impact reports and report forms according to Article 24 of the Law on Environmental Impact Assessment (hereinafter referred to as the "building without approval"), in application of law, time limitation, consequent undergoing of environmental impact assessment the required procedure, and other aspects. Upon deliberation, the following opinions on issues concerning the application of the relevant laws and regulations are hereby offered. 环境保护法和新环境影响评价法施行以来,关于建设单位未依法报批建设项目环境影响报告书、报告表,或者未依照环境影响评价法二十四条的规定重新报批或者报请重新审核环境影响报告书、报告表,擅自开工建设(以下简称“未批先建”)违法行为的行政处罚,在法律适用、追溯期限以及后续办理环境影响评价手续等方面,实践中存在不同争议。经研究,现就有关法律法规的适用问题提出以下意见。
I. Application of law with respect to administrative penalty for the illegal act of "building without approval"   一、关于“未批先建”违法行为行政处罚的法律适用
1. Relevant provisions in law (一)相关法律规定
Paragraphs 1 and 2, Article 31 of the former Law on Environmental Impact Assessment issued in 2002 (and coming into force on September 1, 2003) respectively provided, 2002年公布的原环境影响评价法(自2003年9月1日起施行)第三十一条第一款、第二款分别规定:
"Where a construction employer commences building without filing the construction project environmental impact document for approval, or without re-filing for approval or filing for another review of the environmental impact document according to Article 24 of this Law, the environmental protection authority having the power to approve the environmental impact document shall order the construction employer to cease building and undergo the required procedure during a specified period; and, if it fails to undergo the required procedure during the specified period, may fine it not less than 50,000 yuan nor more than 200,000 yuan and take administrative action in accordance with the law against the directly responsible person in charge and other directly responsible persons of the construction employer. “建设单位未依法报批建设项目环境影响评价文件,或者未依照本法第二十四条的规定重新报批或者报请重新审核环境影响评价文件,擅自开工建设的,由有权审批该项目环境影响评价文件的环境保护行政主管部门责令停止建设,限期补办手续;逾期不补办手续的,可以处五万元以上二十万元以下的罚款,对建设单位直接负责的主管人员和其他直接责任人员,依法给予行政处分。
"If a construction employer commences building without the construction project environmental impact document being approved, or reviewed and consented to by the original approval authority, the environmental protection authority having the power to approve the environmental impact document shall order the construction employer to cease building, and may fine it not less than 50,000 yuan nor more than 200,000 yuan and take administrative action in accordance with the law against the directly responsible person in charge and other directly responsible persons of the construction employer." “建设项目环境影响评价文件未经批准或者未经原审批部门重新审核同意,建设单位擅自开工建设的,由有权审批该项目环境影响评价文件的环境保护行政主管部门责令停止建设,可以处五万元以上二十万元以下的罚款,对建设单位直接负责的主管人员和其他直接责任人员,依法给予行政处分。”
Article 61 of the latest Environmental Protection Law (which came into force on January 1, 2015) as revised in 2014 provides, "Where a construction employer commences building without either submitting the construction project environmental impact document or having it approved, the authority charged with the duty of supervision and administration of environmental protection shall order the construction employer to cease building and fine it, and may order it to make restoration to the former state." 2014年修订的新环境保护法(自2015年1月1日起施行)第六十一条规定:“建设单位未依法提交建设项目环境影响评价文件或者环境影响评价文件未经批准,擅自开工建设的,由负有环境保护监督管理职责的部门责令停止建设,处以罚款,并可以责令恢复原状。”
Article 31 of the latest Law on Environmental Impact Assessment (which came into force on September 1, 2016) as amended in 2016 provides, "Where a construction employer commences building without filing the construction project environmental impact report and report form for approval, or without re-filing for approval or filing for another review of the environmental impact report and report form according to Article 24 of this Law, the environmental protection authority at or above the county level shall order the construction employer to cease building and, according to the circumstances of its violation of law and the harmful consequences, fine it not less than 1% nor more than 5% of the total investment in the construction project, and may order it to restore the construction site to its original state; and take administrative action according to the law against the directly responsible person in charge and other directly liable persons of the construction employer." 2016年修正的新环境影响评价法(自2016年9月1日起施行)第三十一条规定:“建设单位未依法报批建设项目环境影响报告书、报告表,或者未依照本法第二十四条的规定重新报批或者报请重新审核环境影响报告书、报告表,擅自开工建设的,由县级以上环境保护行政主管部门责令停止建设,根据违法情节和危害后果,处建设项目总投资额百分之一以上百分之五以下的罚款,并可以责令恢复原状;对建设单位直接负责的主管人员和其他直接责任人员,依法给予行政处分。”
Through the foregoing revision and amendment, the new Environmental Protection Law and the Law on Environmental Impact Assessment annulled the requirement of "undergoing the required procedure during a specified period." 通过以上法律修订,新环境保护法和新环境影响评价法取消了“限期补办手续”的要求。
2. Application of law (二)法律适用
With regard to the administrative penalty for the illegal act of "building without approval," the Ministry of Environmental Protection has put a relevant construction on "the application of law to projects whose building has been commenced without authorization before the implementation of the latest laws" in the Official Reply on the Issues concerning the Application of Article 61 of the Environmental Protection Law (2014 Revision) (Letter No. 6 [2016], Ministry of Environmental Protection) dated on January 8, 2016 and hereby further offers the following supplemental opinions on the problems encountered in practice: 关于“未批先建”违法行为的行政处罚,我部2016年1月8日作出的《关于〈环境保护法〉(2014修订)第六十一条适用有关问题的复函》(环政法函〔2016〕6号)已对“新法实施前已经擅自开工建设的项目的法律适用”作出相关解释,现针对实践中遇到的问题,进一步提出补充意见如下:
(1) Where the building of a construction project commenced after January 1, 2015, or has commenced before January 1, 2015 and remained unceasing thereafter, the environmental protection authority docketing, investigating and solving the case shall apply Article 61 of the latest Environmental Protection Law when imposing punishment, instead of issuing an administrative order of "undergoing the required procedure during a specified period" according to the Law on Environmental Impact Assessment before its revision. 1.建设项目于2015年1月1日后开工建设,或者2015年1月1日之前已经开工建设且之后仍然进行建设的,立案查处的环保部门应当适用新环境保护法六十一条的规定进行处罚,不再依据修正前的环境影响评价法作出“限期补办手续”的行政命令。
(2) Where the building of a construction project commenced after September 1, 2016, or has commenced before September 1, 2016 and remained unceasing thereafter, the environmental protection authority docketing, investigating and solving the case shall apply Article 31 of the latest Law on Environmental Impact Assessment when imposing punishment, instead of issuing an administrative order of "undergoing the required procedure during a specified period" according to the Law on Environmental Impact Assessment before its amendment. 2.建设项目于2016年9月1日后开工建设,或者2016年9月1日之前已经开工建设且之后仍然进行建设的,立案查处的环保部门应当适用新环境影响评价法三十一条的规定进行处罚,不再依据修正前的环境影响评价法作出“限期补办手续”的行政命令。
II. Time limitation of the administrative penalty for the illegal act of "building without approval"   二、关于“未批先建”违法行为的行政处罚追溯期限
1. Relevant provisions in law (一)相关法律规定
Article 29 of the Law on Administrative Penalty provides, "Where an illegal act is not discovered within two years of its commission, administrative penalty shall no longer be imposed, except as otherwise prescribed by law. The period of time prescribed in the preceding paragraph shall be counted from the date the illegal act is committed; if the act is of a continual or continuous nature, it shall be counted from the date the act is terminated. 行政处罚法二十九条规定:“违法行为在二年内未被发现的,不再给予行政处罚。法律另有规定的除外。前款规定的期限,从违法行为发生之日起计算;违法行为有连续或者继续状态的,从行为终了之日起计算。”
2. Commencement of the time limitation (二)追溯期限的起算时间
Under the aforesaid provisions, the time limitation of the administrative penalty for the illegal act of "building without approval" shall begin to run from the date of termination of the act of building. Thus, if an illegal act of "building without approval" is not discovered within two years after the termination of the act of building, the environmental protection authority shall observe the provisions of Article 29 of the Law on Administrative Penalty. 根据上述法律规定,“未批先建”违法行为的行政处罚追溯期限应当自建设行为终了之日起计算。因此,“未批先建”违法行为自建设行为终了之日起二年内未被发现的,环保部门应当遵守行政处罚法

来自北大法宝

二十九条的规定,不予行政处罚。
3. Administrative penalty for violation of the acceptance check rules for "simultaneous design, construction and use" of environmental protection facilities (三)违反环保设施“三同时”验收制度的行政处罚
(1) Where a construction employer commits both illegal acts of "building without approval" and violating the acceptance check rules for "simultaneous design, construction and use" of environmental protection facilities, corresponding penalties shall be imposed respectively in accordance with the law. 1.建设单位同时构成“未批先建”和违反环保设施“三同时”验收制度两个违法行为的,应当分别依法作出相应处罚
With respect how to punish the illegal act that a construction project has been "built without approval" and in operation or use in violation of the acceptance check rules for "simultaneous design, construction and use" of environmental protection facilities, the Legislative Affairs Commission of the Standing Committee of the National People's Congress provided in the Reply on the Issues concerning Application of Law in Environmental Administration of Construction Projects (Reply No. 2 [2007], Legislative Affairs Commission) dated on March 21, 2007, "Where a construction employer has built a construction project without filing the construction project environmental impact assessment document for approval as legally required, and though the environmental protection facilities necessary for the construction project have not been built, or are without acceptance check, or fail the acceptance check, the principal project has been in operation or use, corresponding penalties shall be imposed respectively according to Article 31 of the Law on Environmental Impact Assessment and Article 28 of the Regulations on the Administration of Construction Project Environmental Protection." 对建设项目“未批先建”并已建成投入生产或者使用,同时违反环保设施“三同时”验收制度的违法行为应当如何处罚,全国人大常委会法制工作委员会2007年3月21日作出的《关于建设项目环境管理有关法律适用问题的答复意见》(法工委复〔2007〕2号)规定:“关于建设单位未依法报批建设项目环境影响评价文件却已建成建设项目,同时该建设项目需要配套建设的环境保护设施未建成、未经验收或者经验收不合格,主体工程正式投入生产或者使用的,应当分别依照《环境影响评价法》第三十一条、《建设项目环境保护管理条例》第二十八条的规定作出相应处罚。”
Thus, if a construction employer commits both illegal acts of "building without approval" and violating the acceptance check rules for "simultaneous design, construction and use" of environmental protection facilities, corresponding penalties shall be imposed respectively in accordance with the law. 据此,建设单位同时构成“未批先建”和违反环保设施“三同时”验收制度两个违法行为的,应当分别依法作出相应处罚。
(2) The administrative penalty for violation of the acceptance check rules for "simultaneous design, construction and use" of environmental protection facilities shall not be affected by the time limitation of administrative penalty for "building without approval" 2.对违反环保设施“三同时”验收制度的处罚,不受“未批先建”行政处罚追溯期限的影响
Since the illegal act of violating the acceptance check rules for "simultaneous design, construction and use" of environmental protection facilities remains in a continual or continuous state when the construction project is in operation and use in violation of such acceptance check rules, the environmental protection authority may punish the illegal act according to the law, not subject to the time limitation of administrative penalty for the illegal act of "building without approval," even though the illegal act of violating the acceptance check rules for "simultaneous design, construction and use" of environmental protection facilities has existed in excess of the two-year time limitation of administrative penalty. 建设项目违反环保设施“三同时”验收制度投入生产或者使用期间,由于违反环保设施“三同时”验收制度的违法行为一直处于连续或者继续状态,因此,即使“未批先建”违法行为已超过二年行政处罚追溯期限,环保部门仍可以对违反环保设施“三同时”验收制度的违法行为依法作出处罚,不受“未批先建”违法行为行政处罚追溯期限的影响。
4. Administrative penalties for other illegal acts. (四)其他违法行为的行政处罚
When a construction project is "built without approval" and is in operation or use, if the relevant entity or individual falls under any of the circumstances such as discharging pollutants in excess of the pollution discharge standards and discharging pollutants through underground pipes, seepage wells, or seepage pits, by perfusion, by altering or forging monitoring data, or by any other means to avoid regulation, and commits a separate illegal act, the environmental protection authority shall punish the relevant illegal act. 建设项目“未批先建”并投入生产或者使用后,有关单位或者个人具有超过污染物排放标准排污,通过暗管、渗井、渗坑、灌注或者篡改、伪造监测数据,或者不正常运行污染防治设施等逃避监管的方式排污等情形之一,分别构成独立违法行为的,环保部门应当对相关违法行为依法予以处罚。
III. Whether construction employers may voluntarily file environmental impact reports and report forms for approval afterwards   三、关于建设单位可否主动补交环境影响报告书、报告表报送审批
1. The latest Environmental Protection Law and the latest Law on Environmental Impact Assessment do not prohibit construction employers from voluntarily filing environmental impact reports and report forms for approval afterwards (一)新环境保护法和新环境影响评价法并未禁止建设单位主动补交环境影响报告书、报告表报送审批
For the illegal act of "building without approval," a new penalty provision was added to Article 61 of the latest Environmental Protection Law as revised in 2014, and compared with Article 31 of the former Law on Environmental Impact Assessment (2002), the provision does not provide for "ordering the construction employer to undergo the required procedure during a specified period;" and the provision of "undergoing the required procedure during a specified period" is also missing in Article 31 of the latest Law on Environmental Impact Assessment as amended in 2016, compared with the former Law on Environmental Impact Assessment. "Undergoing the required procedure during a specified period" is no longer a precondition for administrative penalty, but construction employers are not prohibited from voluntarily filing environmental impact reports and report forms for approval afterwards. 对“未批先建”违法行为,2014年修订的新环境保护法六十一条增加了处罚条款,该条款与原环境影响评价法(2002年)第三十一条相比,未规定“责令限期补办手续”的内容;2016年修正的新环境影响评价法三十一条,亦删除了原环境影响评价法“限期补办手续”的规定。不再将“限期补办手续”作为行政处罚的前置条件,但并未禁止建设单位主动补交环境影响报告书、报告表报送审批。
2. If a construction employer voluntarily submits the environmental impact report and report form afterwards and reports to the environmental protection authority for approval, the environmental protection authority with the power of approval shall grant acceptance. (二)建设单位主动补交环境影响报告书、报告表并报送环保部门审查的,有权审批的环保部门应当受理
If a construction employer voluntarily submits the environmental impact report and report form afterwards and reports to the environmental protection authority for review, as a result of a penalty for its illegal act of "building without approval" imposed by the environmental protection authority according to the latest Environmental Protection Law and the latest Law on Environmental Impact Assessment, or though no administrative penalty is imposed as the illegal act of "building without approval" is not discovered within two years from the date of termination of the act of building, the environmental protection authority with the power of approval shall grant acceptance and dispose according to the circumstances: 因“未批先建”违法行为受到环保部门依据新环境保护法和新环境影响评价法作出的处罚,或者“未批先建”违法行为自建设行为终了之日起二年内未被发现而未予行政处罚的,建设单位主动补交环境影响报告书、报告表并报送环保部门审查的,有权审批的环保部门应当受理,并根据不同情形分别作出相应处理:
(1) If the approval requirement for environmental impact assessment is met, it shall decide to grant approval in accordance with the law. 1.对符合环境影响评价审批要求的,依法作出批准决定。
(2) If the approval requirement for environmental impact assessment is not met, it shall grant no approval in accordance with the law and may order the construction employer to restore the construction site to its original state according to the law. 2.对不符合环境影响评价审批要求的,依法不予批准,并可以依法责令恢复原状。
If a construction employer violates the acceptance check rules for "simultaneous design, construction and use," discharges pollutants in excess of the pollutant discharge standards, and commit other illegal acts concurrently, it shall be punished according to the law. 建设单位同时存在违反“三同时”验收制度、超过污染物排放标准排污等违法行为的,应当依法予以处罚。
If any relevant construction issued by the Ministry of Environment Protection is inconsistent with these Opinions, these Opinions shall prevail. The Official Reply on the Issues concerning How to Determine the Continual Nature of the Illegal Acts of Construction Employers (No. 23 [1999], State Administration of Environmental Protection) and the Official Reply on the Issues concerning Application of Article 31 of the Law on Environmental Impact Assessment (Letter No. 470 [2004], State Administration of Environmental Protection) issued by the former State Administration of Environmental Protection shall be concurrently repealed. 我部之前印发的相关解释与本意见不一致的,以本意见为准。原国家环境保护总局《关于如何认定建设单位违法行为连续性问题的复函》(环发〔1999〕23号)和《关于〈环境影响评价法〉第三十一条法律适用问题的复函》(环函〔2004〕470号)同时废止。
Ministry of Environment Protection 环境保护部
February 22, 2018打遮阳伞就显得很娘 2018年2月22日
     
     
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