碳交易市场跨国合作法律问题研究

发布时间：2017-12-26 17:00

  本文关键词：碳交易市场跨国合作法律问题研究　出处：《对外经济贸易大学》2016年博士论文　论文类型：学位论文

  更多相关文章： 碳交易 跨国合作 气候变化 绝对减排限量 相对减排限量

【摘要】：随着全球气候问题的日益严峻,以及《联合国气候变化框架公约》和《京都议定书》所确立的多边合作机制的不确定性,越来越多的国家和地区开始探索自主减排。为应对这一外部性问题,对比环境政策工具后不难发现:相比碳税在排放总量方面的不可控性,命令-控制机制的僵化性,碳交易市场通过设定总体排放量而确保了环境的整体性。同时,借助市场交易机制赋予了减排体自由灵活性,避免了税收名义和“一刀切”机制,因此受到了包括中国在内很多国家和地区的青睐。而碳交易市场跨国合作能够在扩大市场交易规模、提升市场流动性、稳定减排体市场预期等方面具有显著优势,尤其是可以借助比较优势降低各方减排成本。针对自主减排产生的产业竞争失衡和潜在的碳泄漏问题,碳交易市场跨国合作有助于修复这一市场割裂,促进国际社会在减排行动上的协调性和一致性,进而为应对气候变化这一全球性问题提供解决思路和实施机制支持。本文采用的逻辑主线为:“相关理论和概念阐述”——“国际合作实例探讨”——“制度建构分析”——“中国实践和借鉴”,正文分为九章,主要分为六个部分,详细如下:第一部分是文章的绪论,对全文的论述提供了一个背景知识简要介绍。众多科学研究表明,当前环境气候问题非常紧迫,但国际气候合作却接连遭遇困局。经济学上的外部性理论成为解决环境问题的一大理论,强调通过税收或产权设置来解决外部性问题。基于总量控制和市场机制的优势,多个国家和地区开始借助碳交易市场进行减排,这为碳交易市场跨国合作提供了可能。通过回顾中外学者研究,对碳交易市场跨国合作的必要性和可行性,以及利弊两个方面进行分析。同时,相比国外,囿于中国碳交易市场还处于起步阶段,国内学者的研究主要以清洁发展机制(CDM)的合作机制为主,而缺乏对碳交易市场跨国合作的研究,更没有从法律角度进行探讨分析的。第2章和第3章是本文的理论阐述分析部分,对于碳交易市场跨国合作中的相关基础理论进行剖析。从碳排放权的法律属性入手,在国际法、欧美法和中国法视野下对其进行讨论分析;同时对碳交易的配额、抵消机制,以及碳交易市场合作的概念和类型进行了分析,指出当前实施最多的依然是单向合作机制。对于现有国际法律条约、原则和协议,从《联合国气候变化框架公约》入手,分析《京都议定书》模式下多边碳交易市场跨国合作机制的成就与不足,结合后京都时代的特点和趋势,以及“巴厘路线图”、“德班平台”和华沙气候会议决议等表明“双轨制”开始转向“单轨制”,侧重各方共同参与减排开始成为主要趋势。与《议定书》“自上而下”的模式不同,《巴黎协定》采用“自主贡献”+“自下而上”范式,是一个适用于各方具有法律约束力的减排协议,为国际气候合作开启了新局面。第4章是本文的国际合作实例具体分析部分,首先论述了当前各方在《议定书》影响下已开展了碳交易的减排努力,为碳交易市场跨国合作提供基础。随后,对现有碳交易市场跨国合作的案例进行分析,除了cdm合作机制外,着重介绍了欧盟与挪威、冰岛、列支敦士登的伞形对接合作,以及加州与魁北克的平行对接合作,并指出欧盟与澳大利亚的失败与澳大利亚境内的气候政策的不稳定性相关,提出规则协调性和兼容性在碳交易市场合作中扮演重要角色,这种融洽性可以通过全盘接受一方的规则,也可以通过合作协调机制,如wci在加州与魁北克的合作中扮演重要的规则协调角色。针对欧盟的单向过渡机制,本文认为其赋予了合作各方调整期和适应期,并能在避免较大不利的情形进行及时调整,为后续合作的稳定性和持久性提供了“实验阶段”。第5章和第6章则是本文的制度建构分析部分。结合上一部分合作案例讨论,对碳交易市场跨国合作的法律性质分析,指出单边合作体现的是一国或地区的国内法属性,而双边或多边协议可能是条约,政治合作安排或互惠承诺等。其次,基于产权理论的碳交易市场从诞生之初就表现出对制度规则的严重倚重性,提出在碳交易市场构建和跨国合作中应坚持的一些基本法律原则。公平公正法律原则从碳交易市场减排体和管理者的角度论述了同等对待、不偏袒等制度规则设计,该原则不仅是确保单个碳交易市场运作的关键,更是确保碳交易市场跨国合作持续进行的重要保障。然后,要注重碳交易市场构建中环境整体性和经济受益性,离开了环保的初衷,碳交易市场作为环境政策工具的初衷将丧失殆尽,而降低减排成本则是碳交易市场跨国合作的经济驱动力。随后,对碳交易市场跨国合作中的一般性法律问题进行剖析,包括借助商事交易机制解决配额流转纠纷问题,提出强化其“弱财产权”属性有利于提升市场减排效率等;并对合同和税收法律问题进行分析,提出在相关国际条约缺位的情形下,应关注合同条款的风险防范功能,对配额的税收则应坚持减排导向为原则。然后,对合作中的协议的性质进行分析,包括单边协议的国内法属性等。同时,针对欧盟对项目和配额市场合作的规则,以及加州对合作机制下自身规则独立性和时效性进行讨论,揭示了法律规则在实现碳交易市场跨国合作中的重要性。最后,对宏观层面的合作框架内容,以及微观层面的合同、抵消,以及监管问题进行分析,强调在当前国际合作机制不甚明朗的情形下,应强化规则协调来消除合作的制度障碍。第7章和第8章则是本文对中国实践和借鉴的论述。《巴黎协定》开启了国际气候合作的新起点,其采用“国家自主减排+定期盘点”模式赋予了缔约方减排自主性,同时也维系了全球气候合作;采用盘点机制棘齿锁定机制推动各方不断强化自身的减排目标和措施,以推动实现全球减排目标。依据《巴黎协定》的相关条款,本文对中国提出了一些应对政策和建议:针对各方在《巴黎协定》项下减排承诺可能采取的单边减排措施引起的贸易阻碍问题,如欧盟2012年将航空业纳入ETS和美国一些“碳关税”提案等问题,中国应积极发展碳交易市场,在环境减排政策层面构建协调和合作机制,不仅有利于降低中国的减排成本、履行《巴黎协定》项下的减排承诺,而且也有助于解决因实施减排政策带来的产业竞争、贸易壁垒和碳泄漏问题。同时,减排目标的实现不能完全依赖碳交易市场,中国提出在2030年将非化石能源在一次能源中的比重比例提升到20%,因此必须对国内能源进行改革,积极发展清洁和可再生能源,促进经济结构优化升级。对于碳交易市场的合作路径和模式,结合之前探讨合作实例分析和相关法律议题阐述,作为发展中国家的中国温室排放依然处于上升通道之中,应坚持试点地区与全国市场并用的组合模式进行减排。通过分析几个试点的政策设计和交易规则,本研究认为深圳最有潜力作为中国对外碳交易市场合作的平台。基于中国提交给联合国的“自主减排贡献”预案,本文认为目前阶段可以允许发展中国家的CER加入中国的碳交易试点,推行“一带一路”国家减排战略。长期合作而言,应在2030-2035年与潜在合作国家或地区实施互惠承诺协议;在2036年以后推行双向平行合作的国际条约以构建高层次对外合作机制。第9章对整个研究进行总结,并提出了前景展望。无论从应对气候变化的大局出发,还是降低减排成本和促进经贸利益往来,以及《巴黎协定》第六条对自主合作的支持,碳交易市场跨国合作将成为未来自主减排合作的趋势。基于在《巴黎协定》中的减排承诺,中国应从松散合作、政治合作安排到国际条约的路径,分阶段推进碳交易市场跨国合作,并借鉴加州与魁北克的合作模式,以及配额的“弱财产”法律属性等。随着“国家自主贡献”模式推行和《巴黎协定》对自主合作的充实,期待未来能将各国的“INDCs”作为跨国交易单元以促进国际减排合作发展,并对碳交易市场跨国合作的法律问题进行细化研究,逐步构建法制化合作通道。
[Abstract]:With the increasingly severe global climate problem and the uncertainty of multilateral cooperation mechanism established by the United Nations Framework Convention on climate change and Kyoto Protocol, more and more countries and regions have begun to explore self emission reduction. To cope with this external problem, it is not difficult to find out after comparing the environmental policy tools: compared with the uncontrollability of the carbon tax in the total emission volume and the rigidities of the command control mechanism, the carbon trading market ensures the integrity of the environment by setting the total emissions. At the same time, with the help of market trading mechanism, the emission reduction body is free and flexible, avoiding the nominal and "one size fits all" mechanism of taxes. Therefore, it has been favored by many countries and regions including China. The cross-border cooperation of carbon trading market has significant advantages in expanding market transaction scale, improving market liquidity and stabilizing the market expectation of emission reduction, especially reducing the cost of emission reduction by comparative advantage. For the problems of the leakage reduction imbalance in industrial competition and potential carbon carbon trading market, transnational cooperation helps to repair the market, promote the international community in emission reduction action on the coordination and consistency, and provide solutions and implementation mechanism of support for the global problem of climate change. The logic of this paper is: "the related theories and concepts of" discussion "of the" international cooperation system construction analysis "--" Chinese practice and reference ", the text is divided into nine chapters, mainly divided into six parts, the details are as follows: the first part is the introduction, provides a background knowledge a brief introduction to the whole paper. Many scientific studies have shown that the current environmental and climate problems are very urgent, but international climate cooperation is in a dilemma. The theory of externality in economics has become a major theory to solve environmental problems, and emphasizes the solution of externalities through tax or property rights. Based on the advantages of total volume control and market mechanism, many countries and regions began to use carbon trading market to reduce emissions, which provided a possibility for cross-border cooperation in carbon trading market. Through the review of Chinese and foreign scholars, the necessity and feasibility of transnational cooperation in the carbon trading market, as well as the advantages and disadvantages of the two aspects are analyzed. At the same time, compared with foreign countries, China's carbon trading market is still in its infancy. Domestic scholars mainly focus on the cooperation mechanism of clean development mechanism (CDM), and lack of research on cross-border cooperation in carbon trading market. The second chapter and the third chapter are the theoretical analysis part of this article, and analyze the relevant basic theories in the transnational cooperation of the carbon trading market. Starting from the legal attribute of carbon emission right, in international law, European law and Chinese law carries on the discussion analysis; at the same time on the carbon trading quota, offset and cooperation mechanism, carbon trading market concepts and types were analyzed, and pointed out that the current implementation is still the most one-way cooperation mechanism. For the existing international treaties and legal principles and agreements, starting from the "United Nations Framework Convention on climate change", "analysis of multilateral carbon trading market transnational cooperation mechanism under the Kyoto Protocol" mode achievements and shortcomings, combined with the post Kyoto era features and trends, as well as the "Bali road map", "Durban platform" and the Warsaw climate conference the resolution shows that the "double track" to "single track system", focusing on the parties to participate in emission reduction became the main trend. Unlike the "top-down" mode of the protocol, the Paris agreement adopts the paradigm of "independent contribution" and "bottom-up" paradigm, which is a legally binding emission reduction agreement applicable to all parties, and opens a new prospect for international climate cooperation. The fourth chapter is the specific example of international cooperation in this paper. First, it discusses the current carbon emission reduction efforts under the influence of the protocol, and provides a basis for cross-border cooperation in carbon trading market. Then, the existing carbon trading market transnational cooperation case analysis, in addition to the CDM cooperation mechanism, introduced the umbrella docking cooperation the EU and Norway, Iceland, Liechtenstein, California and Quebec as well as the parallel docking cooperation, and pointed out that the EU and Australia Australia climate policy failure and instability, the proposed rules coordination and compatibility play an important role in the carbon trading market cooperation, this harmony can accept Party rules, also can through the cooperation and coordination mechanism, such as WCI in California and Quebec cooperation plays an important role in the harmonization of rules. In view of the EU's one-way transition mechanism, this paper thinks that it gives the partners adjustment period and adaptation period, and can adjust timely to avoid bigger adverse situations, providing an experimental stage for the stability and sustainability of the following cooperation. The fifth chapter and the sixth chapter are the analysis part of the system construction. Combined with the previous part of the cooperation case discussion, the legal nature of the transnational cooperation of the carbon trading market is analyzed. It is pointed out that unilateral cooperation reflects the domestic legal attributes of a country or region, and bilateral or multilateral agreements may be treaties, political cooperation arrangements or reciprocal commitments. Secondly, based on the theory of property rights, the carbon trading market has shown a serious reliance on institutional rules from the beginning of its birth, and put forward some basic principles that should be adhered to in the construction of carbon trading market and transnational cooperation. The fair principle of law, discusses the equally impartial system design rules from the carbon market emissions and manager's point of view, the principle is not only the key to ensure the single carbon trading market, carbon trading market is to ensure the ongoing international cooperation is an important guarantee. Then, we should pay attention to the environmental integrity and economic benefit of the carbon trading market, and leave the environmental protection.
【学位授予单位】：对外经济贸易大学
【学位级别】：博士
【学位授予年份】：2016
【分类号】：D996.9
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本文编号：1338063