Gradual Implementation of Pollutant Discharge Permit Management Based on Water Quality Targets in China
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摘要: 我国排污许可管理始于20世纪80年代中后期，经历了从探索、停滞到不断发展的历程.为研究我国排污许可的未来发展方向，对我国排污许可发展的历程和存在的问题，以及美国、欧盟等发达国家和地区的经验进行了分析.从我国排污许可的发展历程来看，我国第一阶段排污许可管理立法层次不高，反复试点、推进力度不够，且经济迅速发展导致污染物负荷量不断增长，客观上增加了排污许可实施的难度.“十三五”以来，我国已初步构建了以行业为基础的排污许可管理体系，但也面临着一系列的问题，主要是按行业发放排污许可难以与地表水水质直接挂钩、部分企业排污许可量过大难以约束企业排污、排污许可证核发任务重难以考虑水质达标要求、缺乏基于水质核发排污许可限值的管理实施细则等.针对上述问题，分析了以美国和欧盟为代表的发达国家和地区的排污许可管理经验，表明基于水质达标是实施排污许可管理的基本法律内涵和发展方向.在国内外排污许可发展经验教训总结的基础上，结合我国目前排污许可的实施进展，建议我国逐步实施基于水质的排污许可管理，主要措施有完善基于水质的行政区、流域和控制单元排污许可总量审核系统，编制和修订排污许可证管理相关技术规范，以水质达标为目标完善流域排放标准，完善基于水质的排污许可监管和处罚机制，尽快开展基于水质的排污许可示范，扩大公众参与等.“十四五”时期，建议我国的排污许可制应从重视系统体系构建，逐步过渡到基于水质的排污许可管理，并制订有针对性的管理法规和政策措施.Abstract: China's pollutant discharge permit (PDP) management began in the late 1980s and has gone through three stages, i.e., exploration, stagnation, and development. To determine the future development of the PDP, the historical development of similar PDP systems and experiences of the developed countries and regions such as the US and EU were reviewed, and the existing problems were analyzed. According to the PDP development in China, the level of the PDP legislation in the first PDP stage was not sufficient; the trial duration was too long and the promotion of the PDP system was insufficient; and the drastic increase of the pollutant loads induced by the rapid economic growth increased the difficulty of implementing the PDP system. Since the '13th Five-Year Plan', the PDP system was preliminarily established based on the industrial sectors, but was confronted with a series of problems, i.e., the PDP system based on industrial sectors was not directly related to the water quality goals; the permitted discharge limit for some industries was too large to restrain their discharge loads; the approval and issue of the PDP was a heavy task and was difficult to consider the requirements to meet the water quality target; and there was a lack of detailed management and implementation rules for approving and issuing the permit to support the PDP system based on the water quality target. In view of the above problems, the management experiences of the PDP in the US and EU were reviewed and analyzed, and it shows that the compliance of water quality target is the basic legal core and future development direction of the PDP. Based on the summary of the international development of the DPD system and combined with the latest developments in the DPD implementation in China, some policy recommendations for improving PDP management based on the water quality targets were put forward. The suggested measures include: to improve the review and verification of the total load in the PDP system based on the water quality target at the administrative region, watershed and control unit level; to develop and revise technical guidelines for the management of PDP system; to improve the discharge standard in the watersheds with the goal of water quality compliance; to establish and improve the supervision and punishment in the PDP system based on the water quality target; to launch pilot PDP implementations based on water quality targets as soon as possible and enhance the public participation in the PDP management. It is recommended that during the '14th Five-Year Plan', the emphasis in our PDP system should be shifted from framework establishment to the PDP implementation based on the water quality target management, and the pertinent management legislations and policies should be developed and enacted.
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表 1 我国排污许可管理的发展历程
Table 1. Historic development of the PDP management in China
时间 主要内容 1985年11月 《上海市黄浦江上游水源保护条例》规定，在水源保护区和准水源保护区内，实行污染物排放总量控制和浓度控制相结合的制度，上海在全国率先实施水污染物排放许可证制度[4] 1985—1988年 徐州市、厦门市、金华市、深圳市、常州市、重庆市相继将排污许可制纳入环境管理实施体系[16-18] 1988年3月 原国家环境保护局下达以总量控制为核心的《水污染排放许可证管理暂行办法》和开展排放许可证试点工作的通知[19-20] 1989年7月 原国家环境保护局发布《水污染防治法实施细则》，明确建立水污染物排放许可证制度 1992—1997年 云南省、贵州省于1992年，辽宁省于1993年，上海市、江苏省于1997年，在地方法规(环保条例)中规定对所有排放污染物的单位实行许可证管理[21] 1995年8月 国务院发布《淮河水污染防治条例》第十九条规定：“淮河流域……持有排污许可证的单位应当保证其排污总量不超过排污许可证规定的排污总量控制指标” 2001年7月 原国家环境保护总局发布《淮河和太湖流域排放重点水污染物许可证管理办法(试行)》[22] 2003年11月 原国家环境保护总局下发通知，决定在唐山、沈阳、杭州、武汉、深圳和银川等六城市开展排放许可证试点工作，且2004年上半年对试点工作进行验收[23-24] 2014年4月 修订后的《环境保护法》正式纳入排污许可制度[25]，排污许可制开始新一轮大力推行 2015年4月 国务院印发《水污染防治行动计划》，要求2015年底前，完成国控重点污染源及排污权有偿使用和交易试点地区污染源排污许可证的核发工作，其他污染源于2017年底前完成. 2017年底前，完成全国排污许可证管理信息平台建设[26] 2016年11月 国务院办公厅印发《控制污染物排放许可制实施方案》通知(国办发〔2016〕81号)，要求按行业分步实现对固定污染源的全覆盖，率先对火电、造纸行业企业核发排污许可证，2017年完成《大气污染防治行动计划》和《水污染防治行动计划》重点行业及产能过剩行业企业排污许可证核发，2020年全国基本完成排污许可证核发[27] 2016年12月 原环境保护部印发《排污许可证管理暂行规定》(环水体〔2016〕186号)[28] 2017年6月 《固定污染源排污许可分类管理名录(2017年版)》发布，此后每年发布，目前已发布2018年版、2019年版[29-30] 2018年1月 原环境保护部发布《排污许可管理办法(试行)》[31] 2018年2月 原环境保护部发布《排污许可证申请与核发技术规范总则》，以后陆续发布多个行业技术规范，到2020年，共对造纸、火电等几十个行业发布了行业排污许可证申请与核发技术规范[32] 2018年8月 生态环境部印发《排污许可制全面支撑打好污染防治攻坚战工作方案》(环规财〔2018〕90号)，提出2019年排污许可证覆盖污染防治攻坚战所有重点行业，2020年实现排污许可全覆盖，并对加快制定固定污染源总量控制制度和环境信息平台建设等提出要求[33-34] 
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