環境風險的公私協力：國家任務變遷的觀點

Abstract

本文所要討論的問題主要是從國家任務的觀點看來，當國家在面對環境風險的情況下，是否可能採取公私協力的方式來完成國家任務？以及如可採用公私協力的手段來履行國家任務，要以怎麼樣的程序及制度來確保公私協力的運作有助於環境風險所生行政任務的達成？ 為了處理此等問題，本文從權利與救濟、制度與程序、政策與策略這三層次加以分析，並著重公與私之間的互動關係，以及事務本身公共性的因素，考量管制時代及管制背景等管制環境、管制結構、管制流程、組織與權限、法令基礎等因素來進行分析。本文發現要符合公私協力的要求，必須是公部門與私部門各自保有主體性，能夠對等地進行溝通與協調，並透過雙方投注心力，由私部門以自己名義對外執行人民希望國家必須負最終責任的事務。又國家任務的變遷與社會的運作具有很強的關係，當中市民社會與市場扮演極為重要的角色，而影響國家任務的因素包括自由主義的信奉力度、時代潮流、社會文化及政府體制。另一方面，我們也可以觀察到，政治決策體系與社會系統間的對話不再僅僅是國家與社會間線狀對話模式，而是呈現出「網絡式的對話模式」；在此同時，國家任務的變遷也不再只是受到內國社會的影響，而是進一步轉化成受到網絡式對話模式的影響。 這樣的對話模式也會對處理環境風險的不確定性問題造成影響，由於環境風險本質上兼具有天災性、公共性、風險傳導特殊性、溢流性等特徵，造成影響的範圍也相當廣泛。當中許多事務更是國家本於自己權利保護的需求，或本於對公共空間管理的責任，會要求國家必須要承擔責任的。因此，會使得國家任務的數量急速擴張。另一方面，國家以預警原則的態度來面對環境風險，並且為行政行為時有不同於以往的判斷因素，據以取得行政正當性，將會使得國家在環境風險的背景下必須面臨「從預防到預警」、「從究責到價值保護」、「管制手段再進化」、「全球行政法連帶性」等挑戰，進而讓國家任務在環境風險的背景下面臨轉型。 在環境風險下採行公私協力的基礎理論及可行性的問題上，本於預防環境風險效率性的考量，以及全球化下透過私部門串連以產生量能加值的考量，能夠肯定由私部門與國家合作來執行環境風險所生的國家任務；甚至在社會需要公部門能夠處理行政任務雜沓、公私混雜、公部門量能有限及管制效能的要求下，更需要採取公私協力來處理環境風險所生的國家任務。只是應予注意的是，在考慮是否以公私協力來履行此等國家任務時，應考慮到公共性及私部門自主性的問題，並據以判斷所要採取的公私協力形式。此外，當任務交給私部門來執行，在產生市場失靈、確保行政任務達成、公共財使用公平性的考量下，行政部門也有介入進行管制的空間。在制度面的建構及建議上，本文以為在環境風險背景下，制度上應以風險溝通、資訊透明、決策效能及突破公私藩籬為基礎，就各種不同公私協力的類型區分型態來做不同的設計。本文以對合作對象是否有利來加以觀察，區分為負擔型、給付型兩種主要類型，考量權利保護、市場公平競爭、平等、效率等不同價值來進行制度建構。其後，再回頭檢視既有的促進民間參與公共建設法等既有法制，對法制度上的不足與缺失提出具體的建議，以回應法制面上公私混雜的現實、就不同引進公法原則來監督公私協力的運作、以價值保護及預警思維取代開發思維，並使用程序機制確保選定正確的私部門以避免產生任務履行的真空狀態等問題。

Human beings confront many kinds of damages in the context of environmental risks, and states need to deal with these hard situations. This dissertation discusses states can use public-private-partnership (PPP) as a regulatory tool to finish tasks be caused by environmental risk or not? If the answer is “yes”, states need to adopt what procedures to ensure PPPs can handle these tasks effectively? In order to solve these problems, this dissertation observes the concept of “public” in Constitutionalism State from historical perspective, and regards the degree of public, the interaction between public and private. Also, I analyze the right, institution, process and policy in Taiwan’s legal structure, including regulatory environment, regulatory structure, regulatory proceeding, organization, authority and law. From these analyses, I find the state functions are formulated from dialogues between society and country. This is the typical model in any democracy political system. But in the trend of globalization, this traditional paradigm is shifting to “Network Dialogue Model”, which means public decisions are formulated by dialogues among different political systems and social systems. This model is exercised by private sectors participate in the administrative process and deliberate in democracy institutions. From these multiple interactions, we could make sure what kinds of affairs are state needs to deal with, and these affairs are state functions. This model can practice in the context of environmental risk, especially people may feel the damages bring by environmental risk directly. Actually, environmental risks have four characteristics: natural disaster, public, special media and overflow. These characteristics bring the expansion of state functions. Besides, states need to use precautionary principle when confront the affairs caused by environmental risk, this requirement also bring the state function transformation. After we decide the scope of state functions in environmental risk, I want to discuss the regulatory tool that states use to finish the tasks. This dissertation concludes the PPP can respond the requirements of efficiency and the trend of globalization. But when we use this tool to deal with the events in environmental risks, we should pay attention on the degree of public and the autonomy of private sectors. Then we can decide whether transfer tasks to private sectors or not; if we approve private sectors perform the tasks, we can decide state should take what kinds of PPP at the same time. After this stage, we need to choose the private sectors who implement the tasks. At this procedure, we should notice affairs’ nature, and recognize its degree of public, the influence of market, human rights, legitimacy, equality, efficiency. And we could adopt risk communication, information disclosure, organization and processes as method to make sure we can choose the most appropriate partner. Finally, this dissertation’s suggestions can feedback to the Act for Promotion of Private Participation in Infrastructure Projects, and we can push the necessary amend to the law in the future.