王源：跨国公司在中国环境改革下的合规和机遇

作者：王源博士，成都世通研究院秘书长

英文标题：Compliance and Opportunities of Multi-national Enterprises under China ’s Environment Reform

声明：作者授权首发

对于跨国公司和外资公司在中国的合规问题研究，过去主要集中在公司法、合同法、以及劳动法等领域。但是随着中国环境法制的发展，逐渐开始有学者注意到跨国公司在中国环境法框架下，以及环境保护理念引领下的产业升级中的合规和机遇。

The research on compliance issues of multi-national enterprises and foreign capital companies in China used to focus on corporate law, contract law, and labor law, etc. However, with the development of China's environmental legal system, some scholars gradually began to notice the compliance and opportunities of multinational enterprises in the industrial upgrading under the framework of Chinese environmental law and the continually increasing environmental protection concept.

自2014年新的《环境保护法》实施以来，中国环境法制进入繁荣时期。例如2018年的生态文明入宪。即将出台的中国第一部《民法典》也把环境保护纳入了人权编。同时，《民事诉讼法》和《刑事诉讼法》，以及两高的许多司法解释，也建立了富有我国特色的公益诉讼制度。这些都是2014年以来跨国公司需要应对的变化。

Since the implementation of the latest "Environmental Protection Law" in 2014, China's environmental legal system has entered a period of prosperity.  For example, in the 2018,  “ecological civilization” was included in the Constitutional Amendment.  The upcoming first Civil Code in Chinese history also incorporates environmental protection into the Human Rights Section.  At the same time, the "Civil Procedure Law" and "Criminal Procedure Law", as well as many judicial interpretations of the two Highs (namely the Supreme Court and the Supreme Public Prosecutors Office), also established a public interest litigation system with Chinese characteristics.  These are changes in Chinese environmental law which multi-national enterprises have witnessed since 2014.

跨国公司需要了解如下几个方面的合规问题：

Inter alia, multinational companies should pay attention to compliance issues in the following areas:

1. 环境影响评价的重要性

1. The importance of environmental impact assessment

目前，中国的环境影响评价 (EIA）对象主要是集中在建设项目上。在涉及到工业、农业、畜牧业、林业、能源、水利、交通、城市建设、旅游、自然资源开发等项目中，都应该组织进行环境影响评价。没有组织和通过环境影响评价的建设单位不得开工。否则可能造成许多民事、行政甚至刑事法律上的处罚后果。并且中国的环境影响评价的体系也在不断的健全中，对于环境有重大影响的其他产业也可能逐渐纳入到环境评价体系。因此跨国企业在中国涉足影响环境的重大产业，也应当重视环境影响评估。

At present, China's Environmental Impact Assessment (EIA) is mainly focused on construction projects. Construction projects which may have environmental influences involve industrial, agricultural, animal husbandry, forestry, energy, water conservancy, transportation, urban construction, tourism, natural resource development projects, etc. need to be assessed.  Construction-related enterprises that have not organized or passed the environmental impact assessment shall not start. Otherwise, it may cause consequent civil, administrative even criminal penalties. In addition, China's environmental impact assessment system is constantly being improved, other industries that have a significant impact on the environment may gradually be included in the environmental assessment system.  Therefore, multinational companies involved in major industries affecting the environment in China should also pay attention to environmental impact assessment.

2. 环境行政责任

2. Environmental administrative responsibilities

如果公司和个人违反了《环境保护法》和其他环境法律的规定，例如不按照国家规定缴纳超标排污费的，或者引进不符合我国环境保护规定的技术和设备的，以及没有环境污染治理的企业等等，各地的环保局可以对企业进行处罚。处罚的手段涉及到罚款、没收违法所得、责令搬迁等。甚至将企业停业和关闭。跨国企业如果作为我国供应链的一部分，如果触犯了中国的环境法律，其在中国的主体将受到中国相关机关的制裁，甚至在国际环保法中承担连带责任。

If any legal person or natural persons violate the provisions of the Environmental Protection Law and other environmental laws, Local environmental bureaus and other competent authorities will impose penalties on such enterprises. For example, administrative penalties will be imposed on those who do not pay excessive sewage charges in accordance with national regulations, or introduce technologies and equipment that do not comply with China ’s environmental protection regulations, and companies that do not have environmental pollution control. The means of punishment involve fines, confiscation of illegal income, and order to relocate. Some companies will even be shut down or closed.  If a multinational company is part of China's supply chain and violates China's environmental laws, its main body in China will be subject to sanctions by relevant Chinese authorities, and even assume joint and several liability in international environmental protection laws.

3. 中国特色的公益诉讼的兴起

3. The rise of public interest litigation with Chinese characteristics

2014被称为中国的环境公益诉讼元年。保护环境为目的的社会团体（NGO）可以代表被污染的环境提起民事事诉讼，通过司法鉴定环境修复的责任数额，要求污染主体进行民事的赔偿和修复。因为中国环境保护组织发展的时间比较晚，数量比较小。为了弥补这一空缺，中国的检察机关开始设立专门机构，在刑事诉讼之外，也可以进行环境公益诉讼。

Since 2014, China's environmental public interest litigation system has gradually been established. Non-governmental Organizations (NGOs) with the purpose of environment protection can file civil litigation on behalf of the polluted environment. Through judicial appraisal agency, the plaintiff can assess the cost for environmental restoration, the defendants are required to make civil compensation or restoration.  Because the development of China's environmental NGOs starts at a relatively late time point, and the number is relatively small.  In order to make up for this vacancy, China's public prosecution offices began to set up specialized departments to conduct environmental public interest litigation in addition to criminal litigation.

检察机关的作为公权力机关介入民事性质的公益诉讼，在世界上比较罕见。许多涉及到环境修复赔偿的的公益案件，还没有走入诉讼阶段，被告都乐意与检查机关达成和解，以免造成更多的麻烦。因此跨国公司在中国的法律合规，也应当考虑到污染环境后可能高达千万人民币的公益诉讼的赔偿问题。

It is idiosyncratic for public prosecutors to intervene in civil  litigation as public authorities when compared to other peers in the world.  In many public interests cases involving environmental restoration costs, if the plaintiff turned to be the public prosecutors, when the cases have not yet entered the stage of litigation, the defendants are already willing to reach a settlement with the public prosecutors to avoid further troubles. Therefore, the legal compliance of multinational companies in China must onsider the issue of compensation in public interest litigation that may amount to tens of millions of RMB if there is any pollution to the environment.

中国工业的环境升级对跨国公司和外资公司来说可能是一个很好的机会：

The environmental upgrade of Chinese industry could be a good opportunity for multi-national enterprises and foreign capital companies:

1.跨国企业与中国政府可以实现共赢

1. Multi-national enterprises and Chinese government can achieve win-win cooperation

企业的环境转型升级不仅适应了中国社会的需求，也是企业未来发展的机遇。企业注重自身发展，坚持生态友好。与相关政府和其他第三方的合作实际上可以实现一个互利共赢的关系。中国政府可以从跨国公司购买治污经验或提供其他机会，以交换先进的生态友好型发展模式。

The environmental transformation and upgrading for enterprises is not only Chinese society's demand, but also the opportunity for the enterprises' future development. Enterprises focus on their own development while adhering to eco-friendliness. The cooperation with relevant government and other third parties can actually achieve a win-win situation. Chinese government can purchase experiences or offer other opportunities in exchange of advanced eco-friendly development models from multi-national companies.

2.国际合作改善能源利用结构

2. International cooperation to reform energy use structure

中国能源消耗占全球能源消耗的21%，这一比例在不久的将来可能达到35%。中国仍然是排放二氧化碳的主要国家，占世界二氧化碳排放量的四分之一左右。为了减少二氧化碳的排放以及可燃能源对大气的污染，中国积极与国外合作，寻求新能源的使用技术。在全球呼吁绿色能源和清洁能源的时期，利用国际技术以增加天然气的使用量，增加新能源汽车和电车的使用率，都是很好的解决方案。节能和提高能源效率也在基础设施方面有很大的发展空间和潜力。政府希望与不同的跨国公司合作，以实现控制污染的可持续发展解决方案。跨国公司具有更好的技术条件，帮助其实现环境保护目标。

China's energy consumption amounts to 21% of global energy consumption, which may reach 35% in the near future. China is one of the main countries which emit carbon dioxide, accounting for about a quarter of the world's carbon dioxide emissions. In order to reduce carbon dioxide emissions and combustible energy pollution to the atmosphere, China actively cooperates with foreign countries to seek new energy technologies. During the global call for green and clean energy, using international technology to increase the use of natural gas and increase the use of new energy vehicles and trams are all good solutions. Energy conservation and energy efficiency improvement has great potential for development in infrastructure. The Chinese government hopes to cooperate with different multinational companies to achieve sustainable development solutions in controlling pollution. Multinational enterprieses have good technical conditions to help them achieve environmental protection goals.

3.充足和环保的物流保障

3. Adequate and environmental friendly logistics support

物流业极为复杂。物流发展既不应影响当前的交通，也不应带来污染，同时要提供高质量的服务。要做好这些，国际利益相关者必须加强合作。例如，国际贸易和对商品的投资必须有很好的物流支持。这就需要中国公司和外国公司的参与。

The logistics industry is extremely complex.The logistic development should neither affect the current traffic nor bring pollution, while also provide high-quality services.To do this well, international stakeholders must strengthen cooperation.For example, international trade and investment in commodities must have very good logistics support.This requires participation of both Chinese companies and foreign companies.

图文编辑：张叶 龙燕宇