关于水土保持方案审批正负面清单的有关思考
赵永军
,
袁普金,
刘宪春
收稿日期：2018-02-26; 修回日期：2018-12-18
项目名称：水利部"2018年度水利部生产建设项目水土保持技术评审"（1263005）
摘要：为了做好行政审批"放管服"改革，水利部探索制定水土保持方案审批正负面清单。笔者总结分析了产业准入、项目准入、政务公开、行政许可准入等领域的正负面清单的实践情况，梳理了行业内的有关研究。在此基础上，提出水土保持方案审批正面和负面清单的基本原则和总体思路。从项目选址、工程建设方案、施工组织与进度安排、弃渣处置、防治责任范围、防治目标、水土保持措施、水土保持措施施工组织及进度安排、监测、投资等方面提出正负面清单的主要内容。水土保持方案审批实行正面和负面清单管理，是减少行政部门自由裁量权、还公众知情权的有力措施。一般情况下，纳入正面清单的，可以简化或者加快方案审批的相关程序；纳入负面清单的，不得办理方案审批手续。
关键词：水土保持方案 审批 正面清单 负面清单
Considerations on the positive and negative list in the administrative examination and approval of soil and water conservation scheme
ZHAO Yongjun,
YUAN Pujin,
LIU Xianchun
The Center of Soil and Water Conservation Monitoring, Ministry of Water Resources, 100055, Beijing, China
Abstract:
[Background]
In order to do well the reformation of the administrative examination and approval items, the Ministry of Water Resources will explore and formulate list of positive and negative sides for the approval of soil and water conservation scheme.
[Methods]
In this paper, the practical work of several kinds of positive and negative lists, such as Industry access, project access, access to government and administrative approval are summarized and analyzed. Also, some related research about soil and water conservation are consulted. On this basis, the basic principles and general ideas of the positive and negative list for the approval of soil and water conservation scheme are put forward.
[Results]
The main contents of positive and negative list from the basic case of the project, the project site, construction scheme, construction organization and scheduling, waste disposal, earthwork, debit the scope of responsibility, control objectives, control measures of soil and water conservation, the construction organization and scheduling of the soil and water conservation measures, monitoring, investment etc., are discussed. The positive list includes 13 items, such as:1) The scheme is reported before construction. 2) Site selection does not involve restricted areas. 3) The project construction plan describes clearly. 4) Main earth and stone square engineering construction technology is clear. 5) The responsibility boundary for soil erosion control is clear. 6) The standard grade and index value of soil erosion control are clear. 7) The location of abandoned soil(slag) field is clear and meets for compliance of site selection. 8) The system of measures for water and soil conservation in sub-districts is complete and the design standards are clear. 9) Topsoil protection measures are clear. 10) The task, content and reporting system for soil and water conservation monitoring and supervision are clear. 11) the compensation for soil and water conservation is clear. The negative list includes 11 items, the scheme will be refused if any item can not be satisfied. Among the items, several questions should be taken more attention, such as, if the project has been constructed or finished without government's approval, persons or the organizations should be punished. The scheme can not be admitted if the construction progress did not implement the "Three simul taneity" system and did not satisfy the principle of first stopping and then abandoning.
[Conclusions]
It is a powerful action that the positive and negative list of approval of soil and water conservation scheme are carried out. This will reduce the discretionary power of the executive branch, and support the public's right to know. In general, the soil and water conservation scheme that is meet the requirements of the positive list, the administrative examination and approval procedures will be simplified or accelerated. If the scheme that is meet the requirements of the negative list, it will be refused.
Keywords: soil and water conservation scheme administrative examination and approval positive list negative list
为更好转变政府职能，做好“放管服”改革，水利部将制定水土保持方案审批正负面清单。笔者在大量调研的基础上，总结分析几类正面清单和负面清单的特点，提出编制水土保持方案审批正面清单和负面清单的基本原则、总体思路和主要内容，供参考和讨论。
1 正负面清单的由来
在国际上，负面清单一般是针对外商投资准入的一种管理模式。1834年，以普鲁士为首的邦国之间为消除关税壁垒，结成德意志关税同盟，形成包含例外情况的关税协定，这些例外情况就是负面清单的雏形[1]。现代管理意义上的最早采用负面清单的自由贸易协定是1994年生效的北美自由贸易协定，后被70多个国家和地区所效仿。负面清单的管理模式逐渐成为了国际自由投资与贸易的标志性制度。
我国的负面清单管理模式起步于2013年的上海自贸区，2014年清单内容进行了削减，得到了更广泛的认同。在此基础上，2015年4月国务院批准发布了适用于上海、广东、天津和福建4个自由贸易区的负面清单，9月中央决定将负面清单制度作为一项新的制度安排，在全国范围内推广实施，并逐步扩展到行政审批改革等其他经济社会领域，成为国内改革的新趋向。
2 国内正负面清单的主要进展
我国常见的正负面清单主要涉及产业准入、项目准入、政务公开、行政许可准入等领域。
2016年10月，经国务院同意，国家发改委印发了《重点生态功能区产业准入负面清单编制实施办法》要求在水源涵养、水土保持、防风固沙和生物多样性维护等4类重点生态功能区，由市县编制产业准入负面清单，省级审定后上报，国家审查后，省级修改完善后公布后实施[2]。现已有一些省区完成了负面清单的备案或发布工作。
企业投资项目的负面清单制度也在逐步推广中。2014年，安徽省芜湖市推出企业投资项目负面清单，提出包括农林业、煤炭、电力等在内的共16类155种项目的负面清单。河北、浙江、江苏、云南等不少省区和各自贸区也分别出台全境或部分地区的企业投资项目负面清单。国资委还发布了中央企业投资负面清单。
浙江省于2016年推进实施政务公开的负面清单制度，各级政府和部门公布不予公开的政务事项及其界定范围，并对管理工作提出了相关要求。山东、湖南、广东等省区也分别公布实施了政务公开的负面清单，明确不予公开的行为内容和相关依据。此外，湖北省还发布了政府采购的负面清单。
环保是较早在行政许可领域实施负面清单的行业之一。2014年，广东省惠州市依据有关法律法规制定了正面清单、负面清单以及不纳入环评管理的项目清单。其中，正面清单规定农林水利、线型工程、社会事业与服务类3大类16项需编制环境影响报告登记表项目，实行网上备案制度，建设单位或者个人可在项目建成并投运前登录建设项目环境影响登记表备案系统进行网上在线备案。负面清单规定东江流域等14个流域或区域内的制浆造纸、电镀等行业负面清单，要求涉及的项目不得建设，各级环保部门不得审批其环评文件。对其他项目，简化审批程序。2017年，深圳市罗湖区制定建设项目环保审批准入特别管理措施负面清单(试行)，针对辖区内14个主要行业，从选址、工艺或经营内容、公众参与意见3个方面，列明企业投资的准入特别管理措施。企业投资新设特定行业项目，如无“负面清单”中列明的情况，即可获得环保准入，按程序办理环保审批手续。
3 水土保持方案审批正负面清单的总体思路
设置水土保持方案审批正负面清单，应考虑研究对象、内涵与特征、界定原则、管理要求等内容。
水土保持方案作为行政许可事项，其正面清单和负面清单的研究对象既应包括项目的准入条件，还应包括方案技术要求的相关内容。姜德文等[3]提出105条生产建设项目准入条件，86条水土保持方案审批审查的准入条件。另外还有研究者按照行业分类提出相应的准入条款，如赵永军等[4]提出水泥行业的项目准入条件分为准入、否决、限批、缓批共4类，方案准入条件分为符合条件、修正完善主体设计后再报批水土保持方案、修正完善水土保持方案后再报批的方案3类。
水土保持方案审批的清单，可包括正面清单、负面清单和其他3类。从起源上，正面清单主要针对政府用权，就是政府的治理行为要在清晰的法律授权范围内行政，法无授权不可为。水土保持方案审批正面清单的含义，就是达到这些要求必须准予行政许可。负面清单起源于“法无禁止即可为”，意即清单之内的属禁止行为，不予准入。就项目准入而言，正面清单之内的，可以准入，负面清单之内的，不予准入，2个清单之外的其他情况，视情况由审批部门决定当期是否准入。就水土保持方案本身而言，满足正面清单的所有条件，准予行政审批，满足负面清单的条件之一，不予行政审批，2个清单之外的其他情况，经修改满足相应要求后，再准予行政审批。
水土保持方案正负面清单应发挥鼓励创新、倡导守法，规范市场的作用，向各界传递明确的信号。正面清单的界定原则包含4个方面：1)项目和方案符合现行法律法规和技术标准的要求；2)项目符合生态文明的理念且有示范效应；3)达到相应的工作深度，日后变化较小以至于无需变更；4)行为主体信用很好。负面清单的界定原则也包括4个方面：1)未达到现行法律法规或技术标准的要求；2)生产或施工工艺落后，水土资源利用集约程度偏低；3)未达到相应的工作深度，工程布置难以上图、土石方平衡不明确，或者渣场料场选址不确定、地勘资料不详或存在较大风险的；4)行为主体信用很差，或者存在未处理完毕的行政处罚、未执行的法院判决等，处于失信惩戒期间。
4 正面清单的主要内容
按照上面关于正面清单的界定原则，仔细梳理水土保持法及其实施条例以及近年来水利部出台的关于生产建设项目水土保持工作的相关规范性文件，依照技术标准中的相关强制性条文，结合多年生产建设项目水土保持方案评审的实践工作，针对水土保持方案报告书的内容，从项目选址、工程建设方案、施工组织与进度安排、弃渣处置、防治责任范围、防治目标、水土保持措施、施工组织及进度安排、监测、投资等方面提出水土保持方案报告书必须满足的条件，作为水土保持方案审批的正面清单(表 1)。
表 1(Tab. 1)
表 1 水土保持方案审批正面清单
Tab. 1 The positive list in the administrative examination and approval of soil and water conservation scheme
| 内容Content |
说明Explanation |
| 开工前报批，占地范围及建设方案确定Approval before construction is applied, and the land area and building scheme are confirmed |
基础资料确定，详实可靠The main information is precise and detailed |
| 选址不涉及限制性区域Site selection does not involve restricted areas | 限制性区域包括：Restricted areas include:
1)水土流失严重、生态脆弱的地区Areas with serious soil erosion and fragile ecology
2)水土流失重点预防区和重点治理区Key areas of soil and water loss prevention and control
3)泥石流易发区、崩塌滑坡危险区以及易引起严重水土流失和生态恶化的地区Debris flow areas, landslide areas, serious soil erosion areas and ecological deterioration areas
4)全国水土保持监测网络中的水土保持监测站点、重点试验区和国家确定的水土保持长期定位观测站Soil and water conservation monitoring stations in the National Soil and Water Conservation Monitoring Network, key test areas and long-term location observatories for soil and water conservation
5)国家划定的生态红线区The national ecological red line area |
| 工程建设方案清晰The project construction plan is clear |
主体工程布局清晰明确，不存在需要进一步优化或调整情况The main project layout is clear and no need of further optimization or adjustment |
| 主要土石方工程施工工艺明确The main construction technology of earthwork engineering is clear |
开挖、填筑以及跨越、穿越等施工工艺方式方法明确The construction methods of excavation, filling, spanning and crossing are clear |
| 水土流失防治责任范围边界清楚且能反映在地形图上The boundaries of responsibility for soil erosion prevention and control area is clear and on topographic maps |
能够在地形图上量算Can be measured on topographic maps |
| 水土流失防治标准等级和防治指标值明确The standard grade and index value of soil erosion prevention and control are clear |
采用的等级明确，定性指标清晰，定量指标确定The grade and the qualitative index are clearly, and the quantitative index is correct |
| 弃土(渣)场位置明确Waste soil (slag) sites are determined |
应在不小于1:1万的地形图上标识，且能反应周边不低于1 km范围的状况It should be marked on topographic maps not < 1:10 000, and can reflect the condition of the surrounding area not < 1 km |
| 弃土(渣)场选址合规性论证符合要求Waste soil(slag) sites meet requirements |
结论明确，为涉及限制性因素提供了相应论证材料The conclusion is clear, and the relevant materials are provided for the restrictive factors |
| 分区水土保持措施体系完整，设计标准明确The system of measures for water and soil conservation in sub-districts is complete and the design standards are clear |
各分区按照施工时序配置了工程措施、植物措施以及临时措施，各项措施根据有关技术标准明确了等级和设计标准Engineering measures, plant measures and temporary measures have been allocated in accordance with the construction schedule in each district, and the grades and design standards of these measures have been defined in accordance with the relevant technical standards |
| 表土保护措施明确Topsoil protection measures are clear |
耕地、园地、林地、草地进行了表土剥离，且表土堆置过程中采取了保护措施Topsoil soil was stripped from cultivated land, garden land, woodland and grassland, and protective measures were taken for topsoil soil stacking |
| 水土保持监测时段、任务、内容和报告制度明确The periods, task, content and reporting system for soil and water conservation monitoring and supervision are clear |
符合《生产建设项目水土保持监测规程(试行)》及相关要求It conforms to relevant technical standards |
| 水土保持监理任务、内容和监理报告要求明确Soil and water conservation supervision task, content and report requirements are clear |
|
| 补偿费明确The compensation for soil and water conservation is clear |
在水土保持投资中补偿费单独计列Compensation fees are separately calculated in the investment |
|
表 1 水土保持方案审批正面清单
Tab. 1 The positive list in the administrative examination and approval of soil and water conservation scheme
|
5 负面清单的主要内容
按照负面清单界定原则，依据水土保持相关法律法规、规范性文件以及技术标准，可从以下方面考虑制定负面清单，列出水土保持方案不予以审批的条件或者虽然存在限制条件，但是通过优化工艺、提高标准及措施规格、限定活动方式或范围等有条件的予以审批(表 2)。
表 2(Tab. 2)
表 2 水土保持方案审批负面清单
Tab. 2 The negative list in the administrative examination and approval of soil and water conservation scheme
| 内容Content |
说明Explanation |
| 存在未批先建或先弃行为，且未依法得到处理Acts without approval are not punished in accordance with the law |
应先处理后进行审批The illegal acts should be firstly dealt with laws before approval |
| 选址(线)涉及限制性区域Site selection involves restricted areas | 涉及下列任一情形：In any of the following cases
1)涉及水土流失重点预防区、重点治理区或水土流失严重、生态脆弱的地区且未提出减少地表扰动和植被损坏范围，控制水土流失措施的Involves key soil erosion prevention areas or areas with serious soil and water loss and fragile ecology, and does not propose measures to reduce disturbance of the surface and damage scope of vegetation and to control soil and water loss
2)占用全国水土保持监测网络中的水土保持监测站点、重点试验区和国家确定的水土保持长期定位观测站Occupies important facilities, such as soil and water conservation monitoring stations in the National Soil and Water Conservation Monitoring Network, key test areas and long-term location observatories for soil and water conservation
3)涉及泥石流易发区、崩塌滑坡危险区以及易引起严重水土流失和生态恶化的地区。Involves areas, such as debris flow areas, landslide areas, serious soil erosion areas and ecological deterioration areas
4)违反国家生态红线管理规定Violates of state regulations for the ecological red line |
| 施工生产工艺明显不合理，或土石方利用不充分The construction technology is obviously unreasonable or the earthwork is not fully utilized |
施工生产工艺明显不利于水土保持，或相近区域同时存在大量借方和弃方，且原因不明确The construction process is obviously not conducive to soil and water conservation, or there is a large number of debit and abandonment in adjacent areas |
| 弃土(渣)场位置不明确Waste soil (slag) sites are not clear |
仅定性说明渣场位置，例如提供桩号或者附近村庄名字Only qualitatively describing the location, such as the number of piles or the names of nearby villages. |
| 弃土(渣)场选址不合理Waste soil (slag) sites are unreasonable | 涉及下列任一因素：In any of the following cases
1)影响周边公共设施、工业企业、居民点等的安全Affecting the safety of surrounding public facilities, industrial enterprises, residential areas, etc
2)对重要基础设施、人民群众生命财产安全及行洪安全有重大影响Has a significant impact on important infrastructure, the safety of people's lives and property, and the safety of flood discharge
3)在河道、湖泊和水库中设置弃土(渣)场的In rivers, lakes and reservoirs
4)涉及滑坡体等不良地质条件的Involving unfavorable geological conditions such as landslides
5)涉及其他法律法规禁止的区域的Involving areas prohibited by other laws and regulations |
| 水土流失防治责任范围漏项缺项Items in the scope of responsibility for soil erosion prevention and control are missed |
项目缺项造成的遗漏或临时占地未计算在内Missed items of the project and temporary occupancy land are not calculated |
| 水土保持措施体系不完整，设计标准达不到规定要求The system of measures for water and soil conservation is not complete and the design standards are not achieved |
设计标准达不到规定要求，或存在未布设水土保持措施的裸露区域Failure to meet design criteria or bare areas without soil and water conservation measures exist |
| 未对表土剥离或剥离后的保护方案不明确Topsoil is not be stripped or the protection plan is not reasonable |
应集中堆放，采取拦挡苫盖等防护措施Topsoil should be centralized stacked, and protective measures such as blocking and covering should be taken |
| 施工进度没有落实“三同时”制度，不满足先拦后弃原则The construction schedule does not implement the “Three Simultaneity” system, and it does not meet the principle of blocking first and discarding later |
水土保持措施施工进度与主体工程施工进度不协调，扰动后的地表有较长时段内未采取有效的水土保持措施，或者植物措施进度安排明显与项目所在地气候不相适应The construction progress of soil and water conservation measures is not coordinated with the construction progress of the main project. There is no effective soil and water conservation measures in the long period after the disturbance, or the schedule of plant measures is obviously incompatible with the climate of the project location |
| 水土保持监测内容Monitoring contents of soil and water conservation |
监测指标、方法、频次以及监测点数量不清楚Monitoring indicators, methods, frequency and number of monitoring points are not clear |
| 水土保持监理监测以及验收安排不明确The arrangements for supervision, monitoring and acceptance of soil and water conservation are not certain |
未对监理、验收提出明确要求Not propose clear requirements for supervision and acceptance |
|
表 2 水土保持方案审批负面清单
Tab. 2 The negative list in the administrative examination and approval of soil and water conservation scheme
|
6 结论与讨论
水土保持方案审批实行正面和负面清单管理，是减少行政部门自由裁量权、还公众知情权的有力措施，水行政主管部门应当合理确定2个清单并向社会公布。一般情况下，纳入正面清单的，可以简化或者加快方案审批的相关程序，纳入负面清单的，不得办理方案审批手续，2个清单之外的，须根据防治标准和区域开发强度和承载能力进行技术评审。
另外，需要注意的是，水土保持方案审批的正负面清单，应具有地区针对性，随着时间推移和形势变化，应该适时调整。调整实施前，必须先向社会公布，并遵从法律不溯及既往的原则，对已经审批过的水土保持方案不得要求依据新的清单进行修正。
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2019, Vol. 17