我国排放权交易制度法律问题研究

发布时间：2018-05-13 11:24

本文选题：温室气体 + 排放权交易　；参考：《西南交通大学》2011年硕士论文

【摘要】：工业革命以降,人类活动造成温室气体排放量不断增长,全球气候变暖问题日益严峻,其引发的自然生态、环境系统发生一系列改变、恶化,所造成的负面影响不容小觑。毋庸置疑,气候变暖问题日益成为国际社会的关注焦点。气候变化问题关涉人类命运,如何在国际协作的框架内逐步抵御、解决环境恶化带来的种种问题,需要各国长期与密切的合作。早在1922年,联合国环境与发展大会就通过了《联合国气候变化框架公约》,对温室气体排放控制进行了“限期”和“限量”的原则性规定；1997年通过的《京都议定书》,首倡温室气体排放权交易制度,为各国共同协作、共担责任减少温室气体的排放指明了路向。虽然发达国家、发展中国家在如何分担责任、履行义务方面基于立场选择存在着尖锐矛盾,但可以肯定的是,2009年的哥本哈根大会前后,各主要国家都宣布了至2020年各自的减排目标或行动纲要,表现出加强国际合作、共同应对全球气候变化的强烈政治意愿。国际社会经过复杂、漫长的努力和谈判,达成了一些多边法律框架协议,建立了一些区域性的温室气体排放权交易市场。其中,欧盟的排放交易市场机制、美国的区域性排放交易市场体系、日本的自愿减排体系、印度的节能证书交易计划都在一定程度上为其他国家建立健全排放权交易体系提供了重要参考。中国需要对比域外模式的成熟经验和做法,结合自身情况、总结国内已有的排放权交易试点运行数据,本着实事求是、自主创新的原则,兼顾自身作为发展中国家、正处于社会转型期且社会经济发展不平衡、人口众多等特殊国情和历史背景,探索出一套具有中国特色的、因地制宜的、符合国家整体和长远利益的排放权交易市场体系。通过对我国现行排放权交易运行现状的分析,本文发现至少存在排放权交易法律滞后(清洁发展机制的推行就与现行《行政许可法》之衔接存在某种冲突)、经济增长与总量控制矛盾突出、排放权交易市场不规范等问题。而未来我国排放权交易的制度设计,至少需要：进一步明确排放权之法律地位、进行总量控制立法、构建合理的排放权指标分配体系、实行统一的排放许可制度、强化排放权交易的监管与核证；在培育排放权交易体系时应特别注意交易时间、交易主体与客体、交易区域与方式、排放权指标的储备、交易的登记与核算等要素。一项新措施的推行必须经过法律的认可并在实施过程中予以程序性、制度性保障才能真正运行、发挥效用。我国已经在《大气污染防治法》、《水污染防治法》等法律法规中规定了排污许可证制度及总量控制制度,为未来的排放量权交易法律体系完善奠定了一定基础,但这些规定显得较为粗疏；一些试点地区也正在摸索并制定地方法性法规试图将排放权交易规范化、制度化,但就整体效果而言,在国家法律层面上,并没有涵括主体更广、效力等级较高、可在更大范围内施行的法律或行政法规(甚至,国家法律还没有规范并统一的“排放权交易”概念)。因此,我国的排放权交易体系之建构亟需国家立法加以确认。针对我国温室气体排放权交易现存问题(特别是其中的法律问题),在借鉴域外成熟经验和制度安排的基础上,结合具体国情,本文就我国温室气体排放权交易的法律体系构建与完善进行了探索,研究并设计了排放权交易的基本制度框架及具体交易制度,兼及讨论排放权交易的监管制度等问题。除此之外,本文还提出欲图建立一个相对完整的排放权交易体系,应当至少包含交易时间、交易主体、交易客体、交易区域和交易方式等具体要素——其在未来的排放权交易立法中不可或缺。
[Abstract]:As the industrial revolution is falling, the greenhouse gas emissions are increasing and the global warming problem is becoming more and more serious. The natural ecology and environmental system caused by it have changed a series of changes, and the negative effects can not be underestimated. No doubt, the climate warming question has become the focus of international community.
Climate change concerns the fate of human beings, how to gradually resist the international cooperation framework and solve the problems caused by environmental degradation, and the long-term and close cooperation of countries. As early as in 1922, the United Nations Conference on environment and development passed the United Nations Framework for climate change (United Nations Framework for climate change), and made a "deadline" for the control of greenhouse gas emissions. The "Kyoto Protocol", adopted in 1997, initiates the greenhouse gas emission trading system to work together for countries to share responsibility in reducing greenhouse gas emissions. Although developed countries, developing countries have a sharp choice on how to share their responsibilities and fulfill their obligations. Paradox, but it is certain that before and after the Copenhagen conference in 2009, the major countries announced their respective emission reduction targets or programme of action in 2020, showing strong political will to strengthen international cooperation and jointly deal with global climate change.
After a long and complicated effort and negotiation, the international community has reached a number of multilateral legal framework agreements and established a number of regional greenhouse gas emissions trading markets. The EU's emissions trading market mechanism, the United States regional emissions trading market system, the Japanese voluntary emission reduction system, and the India energy saving certificate Trading plan are all To a certain extent, it provides an important reference for the establishment of a sound emission trading system for other countries. China needs to compare the mature experience and practice of the extraterritorial model and summarize the existing domestic emission trading pilot data in the light of its own circumstances. In the period of social transformation and unbalance of social and economic development, and with a large population and other special national conditions and historical background, a set of emission trading market system with Chinese characteristics, suitable for local conditions and in line with the national overall and long-term interests is explored.
Through the analysis of the current operation status of China's current emission rights trading, this paper finds that there is at least a lagging law of emission rights transactions (the implementation of the clean development mechanism has some conflict with the current administrative licensing law), the contradiction between the economic growth and the total amount control is prominent, the emission trading market is not standardized, and the future emission rights of China The system design of the transaction requires at least: to further clarify the legal status of the emission rights, to carry out the total amount control legislation, to construct a reasonable distribution system of emission rights, to implement a unified emission licensing system, to strengthen the supervision and verification of the emission trading, and to pay special attention to the transaction time, the subject and the transaction subject in the cultivation of the emission trading system. Object, transaction area and mode, reserve of emission rights index, registration and accounting of transaction.
The implementation of a new measure must be approved by law and procedural in the process of implementation. Institutional guarantee can be truly operational and effective. China has stipulated the emission permit system and the total quantity control system in the laws and regulations of the air pollution prevention and control law and the water pollution control law, for the future emission rights trading law. The improvement of the law system has laid a certain foundation, but these regulations appear to be relatively rough, and some pilot areas are also exploring and formulating local legal regulations to standardize and institutionalize the exclusive rights transactions, but in terms of the overall effect, at the national legal level, it does not include a wider host, a higher level of effectiveness, and a larger scope. The law or administrative laws and regulations (even the national law does not standardize and unified "emission trading" concept). Therefore, the construction of China's emission trading system needs to be confirmed by national legislation.
In view of the existing problems of China's greenhouse gas emissions trading (especially the legal problems), on the basis of foreign mature experience and institutional arrangements, and combining specific national conditions, this paper explores the construction and improvement of the legal system of greenhouse gas emission trading in China, and studies and designs the basic system frame of the exclusive right transaction. In addition to this, this paper also proposes to establish a relatively complete emission trading system, which should include at least the specific elements of transaction time, transaction subject, transaction object, trading area and transaction formula - its future emissions trading. The law is indispensable.

【学位授予单位】：西南交通大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.68;X-01

【参考文献】