生态环境领域执法“首违不罚”制度的优化路径研究

Research on the Optimization Path of the “First Violation Not Punished” System in the Field of Ecological Environment Law Enforcement

摘要: 生态环境领域执法中的“首违不罚”制度，是《行政处罚法》包容审慎原则在生态治理领域的具体实践，其本质承载着平衡经济发展与环境保护、协调惩戒威慑与教育引导的双重功能。通过系统梳理柔性执法理论的发展谱系，厘清非强制性环境监管工具的理论基础与研究范式；在制度演进维度，解构“首违不罚”从理论到实践的现状分析，揭示其在环境法治框架下的生成机理与功能定位；在现实困境剖析中，聚焦生态环境部门执法实践，实证分析制度运行中暴露的规范解释冲突、程序供给不足与裁量控制失序等结构性矛盾。针对上述问题，提出三维优化路径：其一，明确“首违不罚”制度内涵；其二，完善“首违不罚”执法程序；其三，强化制度运行的监督机制。研究旨在为环境领域“首违不罚”制度的规范重构提供兼具理论深度与实践价值的解决方案，推动生态环境治理从刚性管制向共治善治转型。

Abstract: The “first violation not punished” system in the field of ecological environment law enforcement is a specific practice of the principle of inclusive prudence in the “Administrative Penalty Law” in the field of ecological governance. Its essence carries the dual functions of balancing economic development and environmental protection and coordinating the deterrence of punishment with educational guidance. By systematically sorting out the development spectrum of flexible law enforcement theory, the theoretical basis and research paradigm of non-coercive environmental supervision tools are clarified. From the perspective of institutional evolution, the current situation of the “first violation not punished” system from theory to practice is deconstructed, revealing its generation mechanism and functional positioning within the framework of environmental rule of law. In the analysis of practical difficulties, the focus is on the law enforcement practice of ecological environment departments, and an empirical analysis is conducted on the structural contradictions exposed in the operation of the system, such as conflicts in normative interpretation, insufficient procedural supply, and disorder in discretionary control. In response to the above problems, a three-dimensional optimization path is proposed: first, clarify the connotation of the “first violation not punished” system; second, improve the law enforcement procedures of “first violation not punished”; third, strengthen the supervision mechanism of the system operation. The research aims to provide a solution with both theoretical depth and practical value for the normative reconstruction of the “first violation not punished” system in the environmental field, promoting the transformation of ecological environment governance from rigid control to co-governance and good governance.