欧盟温室气体排放交易机制的立法研究

发布时间：2018-05-02 23:03

本文选题：欧盟 + 中国　；参考：《武汉大学》2010年博士论文

【摘要】：本论文以欧盟温室气体排放交易机制的立法作为研究对象,对欧盟温室气体排放交易机制的立法背景、立法框架和立法内容进行全面地、系统地分析与论述,并在此基础之上,对中国温室气体排放交易的立法提供可行性建议。本论文的研究视角是将法律视为政府进行环境管理的一种手段,在环境治理或改善目标设定之后,政府可应用政策、法律,经济、技术等诸多手段为实现所设定的环境目标服务。在应对气候变化领域,适用排放交易的根本目的在于以尽可能低的成本减排温室气体的排放量,法律所规定的排放交易机制的规则应最大限度地保证这一根本目的的实现。本论文即是从立法角度研究应如何设计温室气体排放交易机制的主要规则。本论文所采用的研究方法包括历史研究方法、分析研究方法和比较研究方法。在论述欧盟温室气体排放交易机制的立法背景,及分析排放交易机制规则的立法发展变化方面,主要采用的是历史研究的方法；在研究欧盟排放交易机制的法律条文方面,主要采用的是分析研究的方法；而在借鉴欧盟的经验与教训,力求为中国的相关立法提供建议方面,主要采用的是比较研究的方法。本论文的研究结论是：首先,为推动中国温室气体排放交易机制的立法,中国可在立法模式和立法研究方面参考欧盟的有益经验。就立法模式而言,欧盟温室气体排放交易机制的立法采取了渐进式的立法模式,这不仅帮助欧盟在较短的时间内赢得了成员国政府、企业和环保团体等各利益方的支持,在短时间内建立了温室气体排放交易机制。而且欧盟通过机制实施过程中积累的经验和教训,不断地进行立法修订,使得该机制日益完善。中国也应采取渐进式的立法模式,可以先建立简单的、小范围内的机制作为试点,通过试点模式,慢慢摸索建立大范围的温室气体排放交易机制的可行性。在立法研究方面,中国应参考欧盟的经验,建立可供多部门、多行业等温室气体排放链条上各利益方充分参与的研究平台,针对温室气体排放交易展开科学地、系统地研究,准确定位排放交易机制在中国应当气候变化问题中应发挥的作用。其次,从排放交易的立法设计角度,中国在设计温室气体排放交易试点机制的规则时应思考以下问题：一是,应考虑采取总量与交易的绝对控制的管理模式,以保证温室气体减排指标实现的确定性。二是,鉴于中国工业部门的二氧化碳排放量在全国二氧化碳排放总量中占有较大比重,以及“千家企业节能行动规划”的成功证明大型工业排放源具备节能潜力,因此可以将二氧化碳作为试点交易机制的首选温室气体种类,将工业部门作为试点交易机制的首选行业种类。在工业部门内部,应选择“下游”企业,避免选择“上游”企业可能引起的能源价格上升,进而对整体社会经济造成负面影响。三是,在排放指标的分配方面,应在排放交易机制的建立初期,本着以效率为先的原则,尽量采用利于企业和管理能够者接受的无偿分配的方法,以排除机制建立中可能遇到的阻力。待机制运行成熟之后,应以公平原则为优,研究实行指标拍卖的可行性,从而确保行业之间、企业之间的公平竞争。四是,正确定位政府管理部门应在二氧化碳排放交易机制中扮演的角色,以尽量降低交易费用,更好地发挥排放交易降低减排成本的应有作用。应在欧盟完全自由的交易模式和中国现行的以政府为主导的交易模式之间,如何找到一个更能发挥市场作用、又符合中国市场条件的模式,这对政府管理部门将是一个挑战。最后,在刺激低碳技术进步方面,可沿用现行二氧化硫和化学需氧量的排放交易的地方立法所规定的两种方式刺激低碳技术的发展,即直接鼓励或限制相关行业取得排放指标,以及通过回购企业关闭时剩余的排放指标的方式鼓励落后企业退出市场。同时,通过制定合理的碳交易指导价格和适当的交易阶段时间段确保形成稳定的碳指标价格,进而刺激低碳技术的投资。
[Abstract]:In this paper, the legislation of the EU greenhouse gas emissions trading mechanism is taken as the research object, the legislative background, legislative framework and legislative content of the EU greenhouse gas emission trading mechanism are comprehensively and systematically analyzed and discussed, and on this basis, the feasibility of the legislation of China's greenhouse gas discharge transaction is provided.
The research perspective of this paper is to consider the law as a means for the government to carry out environmental management. After environmental governance or improvement of the goal setting, the government can use policies, laws, economy, technology and many other means to achieve the set of environmental objectives. In the field of climate change, the fundamental purpose of the application of emissions trading is to do the best. At low cost, the emission of greenhouse gases can be reduced. The rules of the emission trading mechanism stipulated by law should ensure the realization of this fundamental goal. This paper is to study the main rules of how to design the greenhouse gas emissions trading mechanism from the legislative point of view.
The research methods used in this paper include historical research methods, analytical methods and comparative research methods. In the discussion of the legislative background of the EU greenhouse gas emission trading mechanism and the analysis of the legislative development and changes of the rules of the emission trading mechanism, the main methods are historical research methods, and the EU Emission trading mechanism is studied. In terms of the provisions of the law, the main use of the method is to analyze and study, and in reference to the experience and lessons of the EU and to provide suggestions for the relevant legislation of China, the method of comparative study is mainly adopted.
The conclusions of this paper are as follows: first, in order to promote the legislation of China's greenhouse gas emissions trading mechanism, China can refer to the European Union's useful experience in legislative model and legislative research. During the time, the government, enterprises and environmental groups, such as the government, enterprises and environmental protection groups, have established the greenhouse gas emission trading mechanism in a short time. Moreover, the EU through the experience and lessons accumulated in the process of implementation of the mechanism make the mechanism more perfect. China should also adopt a progressive legislative model. It is possible to establish a simple, small range mechanism as a pilot, and through the pilot model, we can slowly explore the feasibility of establishing a large range of greenhouse gas emissions trading mechanisms.
In the field of legislative research, China should refer to the experience of the EU and establish a research platform for the full participation of various stakeholders in the chain of greenhouse gas emissions, such as multi sector, multi industry, and so on. In view of the greenhouse gas emissions trading, a scientific and systematic study is carried out to accurately locate the role of the emission trading system in China's climate change problems. Use.
Secondly, from the perspective of the legislative design of emissions trading, China should consider the following issues when designing the rules for the pilot scheme of greenhouse gas emissions trading:
First, we should consider the management model of absolute control of total volume and transaction in order to ensure the certainty of achieving the greenhouse gas emission reduction targets. Two, in view of the large proportion of carbon dioxide emissions in China's industrial sector, and the success of the "thousands of enterprises' energy saving action plans", a large industry has been proved. The emission source has the potential to save energy, so carbon dioxide can be used as the first choice of greenhouse gases in the pilot trading mechanism, and the industrial sector is the preferred industry of the pilot trading mechanism. In the industrial sector, the "downstream" enterprises should be chosen to avoid the possible rise in the energy price caused by the "upstream" industry and then to the whole The social economy has a negative impact.
Three, in the distribution of emission indicators, it should be in the early stage of the establishment of the emission trading mechanism, in line with the principle of efficiency first, to try to use the method of free distribution accepted by the enterprises and the managers, so as to exclude the resistance that may be encountered in the establishment of the mechanism. After the standby system is mature, the principle of fairness should be the best and the research target should be carried out. The feasibility of auction, so as to ensure fair competition between industries and enterprises.
The four is to correctly locate the role that the government administration should play in the carbon dioxide emission trading mechanism, in order to reduce the transaction cost as much as possible and to play a better role in reducing the emission reduction cost. It will be a challenge for the government management departments to play a market role and meet the requirements of the Chinese market conditions.
Finally, in the field of stimulating low carbon technology, the development of low carbon technology can be stimulated in two ways, as stipulated in the local legislation of current SO2 and COD emissions trading, that is to encourage or restrict the related industries to obtain emissions targets, and to encourage backwardness through the remainder of the repo enterprises. Enterprises withdraw from the market. At the same time, we can ensure the formation of stable carbon index prices by making reasonable price of carbon trading guidance and appropriate period of trading period, thus stimulating investment in low carbon technology.

【学位授予单位】：武汉大学
【学位级别】：博士
【学位授予年份】：2010
【分类号】：D95;DD912.6

【参考文献】