碳关税法律规制研究

发布时间：2018-09-19 09:38

【摘要】：在发展低碳经济和遏制全球气候变暖的背景下,欧美国家已经开始着手实施碳关税措施,因而,对相关问题的研究显得十分重要。从我国目前来看,学者对碳关税的研究主要集中在经济学和法学两大领域。前者主要从经济学视角研究碳关税的合理性问题及其影响,后者则更注重研究碳关税的合法性问题和其可能带来的公平性问题,具体来说,人们主要是着眼于探讨碳关税的法律性质,碳关税的贸易壁垒性质,碳关税对于WTO规则等国际公约的合法性；却较少地考察碳关税法律规制方面的问题与不足。然而,事实上,碳关税的法律规制是存在不足的,它不能兼顾环境价值与贸易价值。所以碳关税法律规制问题必须受到重视并需要得到进一步发展完善。碳关税法律规制是指为防止个别国家滥用其国内碳关税措施阻碍正常的国际经济秩序或其他秩序,从而在双边或多边基础上建立起的法律约束机制。(当然,从广义来说,碳关税法律规制还包括国内法层面的法律约束机制,但为了论证得集中,本文从多边法律规制上来论述碳关税的法律规制。)碳关税法律规制针对的对象是碳关税措施,即对具有调整功能的碳关税国内法的再规制。首先,本文通过对碳关税的概念、性质等基础问题的深入、全面分析,揭示碳关税的特点和问题,同时解释了碳关税法律规制的内涵；在此基础上提出对其进行法律规制的必要性这一观点。其次,本文结合国际经济法相关理论实践的最新发展,并参考一般环境措施法律规制的原则,根据碳关税措施的特点,提出了碳关税法律规制应该遵守的一些原则。这些原则侧重于对碳关税可能涉及到的不同价值进行兼顾。再次,本文以碳关税法律规制原则为指导,通过对具体法律规制现状的考察发现它们相对于法律规制原则的不足之处及原因。最后,本文就相关不足提出了碳关税法律规制的应对策略,并提出了一个重要观点——共同但有区别的差别待遇原则。本文由导论、正文和后记构成。正文共分五个部分。第一部分引出了碳关税法律规制的客体——碳关税措施,同时对法律规制的含义进行了阐述。碳关税措施有丰富的内涵和复杂的特点,碳关税既是碳排放交易体制的延续,又是一种单边环境贸易措施。它既关系到气候,又影响到贸易,造成气候与贸易之间的冲突。碳关税法律规制是指为防止个别国家滥用其国内碳关税措施阻碍正常的国际经济秩序或其他秩序,从而在双边或多边基础上建立起的法律约束机制,使不同的利益得到兼顾,以便于法律能最大地发挥其积极的一面,使其消极的一面得到抑制。第二部分说明了对碳关税进行法律规制的原因。碳关税措施具有合理性和合法性,但是它牵涉到多种价值,对世界各国有复杂深刻的影响,它既有积极作用也有消极作用。碳关税可能对碳排放交易体制起到一定的补充作用,也可能阻碍国际经济交往,加剧各国经济利益分配的不均,这使得对待碳关税措施不能采用一刀切的方法,而有必要对其进行综合考量的前提下进行法律规制。第三部分结合国际经济法相关理论实践的最新发展,并参考一般环境措施法律规制的原则,根据碳关税措施的特点,提出了碳关税法律规制应该遵守的一些原则,包括促进贸易自由化与环境保护协调发展原则与以效率为基础,强化公平原则,这是从应然的层面上说的。这些原则应作为碳关税法律规制的指南和根本。这部分主要是从质的维度来阐述碳关税法律规制的原则——在质上,效率与公平并重,同时兼顾贸易与环境,不能偏废任何一方。第四部分从实然的层面论述了碳关税法律规制的现状,发现其不足并揭示出相应的原因。目前,可以适用WTO规则和多边气候公约对碳关税进行法律规制,这种规制的不足主要是碳关税法律规制不能很好地兼顾多种价值,产生不足的原因是它们与碳关税法律规制原则不相符,这可能是由于这些规则制定得很久而具有局限性,所以满足不了现今的需要；也可能是由于受到某种力量的支配,从而只能代表某些群体的利益。另外,怎样在对碳关税进行法律规制的过程中掌握好“质”的选择和“量”的拿捏充满着挑战性。第五部分分别从国际和国内两个层面探讨了完善碳关税法律规制的对策。在国际层面上,应该完善碳关税法律规制相关理论——共同但有区别责任向共同但有区别的差别责任过渡,加强WTO环境与贸易委员会的职能建设,构建全球统一碳排放交易体制。国际层面上的对策应对碳关税法律规制的其应有之意。同时,由于碳关税措施的单边性,发达国家所采取的碳关税措施不可避免地影响到作为世界贸易大国并兼为发展中国家的中国,鉴于目前碳关税法律规制制度还很不成熟,我国应以本国利益为基本出发点采取与国际社会层面互为补充的碳关税法律规制措施,这些对策包括提供发展低碳经济的融资支持手段与开征碳税。结论强调了碳关税法律规制重中之重是如何实现公平与效率的兼顾,贸易自由化与削减碳排放的兼顾,也提到很多需要改进的地方,比如,从量的层面上来阐述对碳关税法律规制原则的具体落实。另外,鉴于目前碳关税法律规制制度还很不成熟,各主权国家应以本国利益为基本出发点采取与国际社会层面互为补充的碳关税法律规制措施。本研究的主要贡献是：总体上看,目前人们主要是着眼于探讨碳关税的法律性质,碳关税的贸易壁垒性质,碳关税对于WTO规则的合法性；却较少地考察碳关税法律规制方面的问题与不足。而本文揭示出碳关税法律规制存在的问题,并就相关问题展开了探索性的研究。本文结合《贸易与气候变化》这一有关气候变化方面的最新报告和WTO方面的多哈回合谈判情况提出了碳关税法律规制应在实质上遵守兼顾贸易与环境价值,兼顾效率与公平等原则；并且强调法律规制过程中要注意不仅应该重视相关价值的质上的取舍,还应该重视量上的衡量。在相关对策中,本文提出把共同但有区别原则发展共同但有区别的差别待遇原则这一创新性观点。总之,本文丰富了碳关税及其法律规制方面的理论研究,对他人的研究具有一定的参考价值。本论文在实践上的意义。本文分别从国际社会角度和我国的角度,对于如何规制碳关税提出了改进意见,对国际、国内的相关立法有参考价值。
[Abstract]:Under the background of developing low-carbon economy and curbing global warming, European and American countries have begun to implement carbon tariff measures. Therefore, it is very important to study the related issues. The latter pays more attention to the legitimacy of carbon tariff and its possible impartiality. Specifically, people mainly focus on the legal nature of carbon tariff, the nature of carbon tariff trade barriers, and the legality of carbon tariff to WTO rules and other international conventions. However, in fact, the legal regulation of carbon tariff is inadequate, it can not take into account the environmental value and trade value. Therefore, the legal regulation of carbon tariff must be paid attention to and need to be further developed and improved.
Carbon tariff Legal Regulation refers to the legal restraint mechanism established on a bilateral or multilateral basis to prevent individual countries from abusing their domestic carbon tariff measures to hinder the normal international economic order or other order. (Of course, in a broad sense, carbon tariff legal regulation also includes domestic legal restraint mechanism, but in order to demonstrate. This paper discusses the legal regulation of carbon tariff from the perspective of multilateral legal regulation. And the problem, at the same time, explains the connotation of the legal regulation of carbon tariff; on this basis, puts forward the necessity of legal regulation of carbon tariff. secondly, this paper combines the latest development of international economic law related theory and practice, and refers to the principles of legal regulation of general environmental measures, according to the characteristics of carbon tariff measures, puts forward the carbon tariff law. These principles emphasize the consideration of different values that may be involved in carbon tariffs. Thirdly, under the guidance of the principles of legal regulation of carbon tariffs, this paper finds out their shortcomings and reasons relative to the principles of legal regulation by investigating the current situation of specific legal regulation. This paper puts forward the Countermeasures of legal regulation of carbon tariff and puts forward an important Viewpoint-The principle of common but differentiated treatment.
This article is composed of introduction, main body and postscript. The main body is divided into five parts.
The first part introduces the object of legal regulation of carbon tariff-carbon tariff measures, and expounds the meaning of legal regulation. Carbon tariff measures have rich connotation and complex characteristics. Carbon tariff is not only the continuation of carbon emissions trading system, but also a unilateral environmental trade measures. It is related to the climate, and also affects trade, manufacturing. The legal regulation of carbon tariff refers to the legal restraint mechanism established on the bilateral or multilateral basis to prevent individual countries from abusing their domestic carbon tariff measures to hinder the normal international economic order or other order, so as to give consideration to different interests, so as to maximize the positive role of the law. On the one hand, the negative side is suppressed.
The second part explains the reasons for the legal regulation of carbon tariffs. Carbon tariffs are reasonable and legitimate, but they involve a variety of values and have a complex and profound impact on countries around the world. They have both positive and negative effects. Carbon tariffs may play a complementary role in the carbon emissions trading system, but they may also hinder it. International economic exchanges have aggravated the uneven distribution of economic interests among countries, which makes it necessary to regulate carbon tariffs on the premise of comprehensive consideration.
The third part combines the latest development of the relevant theory and practice of international economic law, and refers to the principles of legal regulation of general environmental measures. According to the characteristics of carbon tariff measures, it puts forward some principles that should be followed by legal regulation of carbon tariff, including the principle of promoting the coordinated development of trade liberalization and environmental protection, and the principle of strengthening fairness on the basis of efficiency. These principles should serve as guidelines and fundamentals for the legal regulation of carbon tariffs. This part mainly expounds the principles of legal regulation of carbon tariffs from the qualitative dimension, that is, paying equal attention to both efficiency and fairness, taking into account both trade and environment, and not abandoning any party.
The fourth part discusses the present situation of the legal regulation of carbon tariff from the practical level, finds out its shortcomings and reveals the corresponding reasons. At present, the legal regulation of carbon tariff can be applied to WTO rules and multilateral climate conventions. The main shortcomings of this regulation are that the legal regulation of carbon tariff can not give consideration to various values, and the reasons for the shortcomings are as follows. They are inconsistent with the legal principles governing carbon tariffs, possibly because these rules have been formulated for a long time and have limitations, so they can not meet today's needs, or because they are dominated by certain forces and therefore can only represent the interests of certain groups. The choice of "quality" and "quantity" are challenging.
The fifth part discusses the Countermeasures of perfecting the legal regulation of carbon tariff from the international and domestic levels. At the international level, we should perfect the relevant theory of legal regulation of carbon tariff - the transition from common but differentiated responsibilities to common but differentiated responsibilities, strengthen the function construction of WTO Environment and Trade Commission, and construct the global unification. At the same time, due to the unilateral nature of carbon tariff measures, the carbon tariff measures adopted by developed countries inevitably affect China, as a major trading country in the world and a developing country, as the current carbon tariff legal regulation system is still very strong. Immature, China should take its own interests as the basic starting point to adopt complementary legal measures to regulate carbon tariffs with the international community. These measures include providing financing support for the development of low-carbon economy and levying carbon tax.
The conclusion emphasizes how to achieve the balance between fairness and efficiency, trade liberalization and carbon emission reduction, and also mentions many areas that need to be improved. For example, the concrete implementation of the principle of carbon tariff legal regulation is expounded from the quantitative level. Sovereign countries should take legal measures to regulate carbon tariffs which complement each other with the international community based on their own interests.
The main contributions of this study are as follows: generally speaking, people mainly focus on discussing the legal nature of carbon tariff, the nature of carbon tariff trade barriers, the legality of carbon tariff to WTO rules; but less on the legal regulation of carbon tariff problems and deficiencies. Based on the latest report on climate change, trade and climate change, and the Doha Round negotiations on the WTO, this paper proposes that the legal regulation of carbon tariffs should essentially abide by the principle of balancing trade and environmental value, efficiency and equity, and emphasizes that the legal regulation is excessive. We should pay attention not only to the qualitative choice of the relevant value, but also to the quantitative measurement. In the relevant countermeasures, this paper puts forward an innovative view of developing the principle of common but differentiated treatment into the principle of common but differentiated treatment. This paper is of practical significance. From the perspective of the international community and China, this paper puts forward some suggestions on how to regulate carbon tariffs, which is of reference value to the relevant international and domestic legislation.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996

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