本文選題：歐盟 + 中國(guó)�。� 參考：《武漢大學(xué)》2010年博士論文

【摘要】：本論文以歐盟溫室氣體排放交易機(jī)制的立法作為研究對(duì)象,對(duì)歐盟溫室氣體排放交易機(jī)制的立法背景、立法框架和立法內(nèi)容進(jìn)行全面地、系統(tǒng)地分析與論述,并在此基礎(chǔ)之上,對(duì)中國(guó)溫室氣體排放交易的立法提供可行性建議。 本論文的研究視角是將法律視為政府進(jìn)行環(huán)境管理的一種手段,在環(huán)境治理或改善目標(biāo)設(shè)定之后,政府可應(yīng)用政策、法律,經(jīng)濟(jì)、技術(shù)等諸多手段為實(shí)現(xiàn)所設(shè)定的環(huán)境目標(biāo)服務(wù)。在應(yīng)對(duì)氣候變化領(lǐng)域,適用排放交易的根本目的在于以盡可能低的成本減排溫室氣體的排放量,法律所規(guī)定的排放交易機(jī)制的規(guī)則應(yīng)最大限度地保證這一根本目的的實(shí)現(xiàn)。本論文即是從立法角度研究應(yīng)如何設(shè)計(jì)溫室氣體排放交易機(jī)制的主要規(guī)則。 本論文所采用的研究方法包括歷史研究方法、分析研究方法和比較研究方法。在論述歐盟溫室氣體排放交易機(jī)制的立法背景,及分析排放交易機(jī)制規(guī)則的立法發(fā)展變化方面,主要采用的是歷史研究的方法；在研究歐盟排放交易機(jī)制的法律條文方面,主要采用的是分析研究的方法；而在借鑒歐盟的經(jīng)驗(yàn)與教訓(xùn),力求為中國(guó)的相關(guān)立法提供建議方面,主要采用的是比較研究的方法。 本論文的研究結(jié)論是：首先,為推動(dòng)中國(guó)溫室氣體排放交易機(jī)制的立法,中國(guó)可在立法模式和立法研究方面參考?xì)W盟的有益經(jīng)驗(yàn)。就立法模式而言,歐盟溫室氣體排放交易機(jī)制的立法采取了漸進(jìn)式的立法模式,這不僅幫助歐盟在較短的時(shí)間內(nèi)贏得了成員國(guó)政府、企業(yè)和環(huán)保團(tuán)體等各利益方的支持,在短時(shí)間內(nèi)建立了溫室氣體排放交易機(jī)制。而且歐盟通過(guò)機(jī)制實(shí)施過(guò)程中積累的經(jīng)驗(yàn)和教訓(xùn),不斷地進(jìn)行立法修訂,使得該機(jī)制日益完善。中國(guó)也應(yīng)采取漸進(jìn)式的立法模式,可以先建立簡(jiǎn)單的、小范圍內(nèi)的機(jī)制作為試點(diǎn),通過(guò)試點(diǎn)模式,慢慢摸索建立大范圍的溫室氣體排放交易機(jī)制的可行性。 在立法研究方面,中國(guó)應(yīng)參考?xì)W盟的經(jīng)驗(yàn),建立可供多部門、多行業(yè)等溫室氣體排放鏈條上各利益方充分參與的研究平臺(tái),針對(duì)溫室氣體排放交易展開(kāi)科學(xué)地、系統(tǒng)地研究,準(zhǔn)確定位排放交易機(jī)制在中國(guó)應(yīng)當(dāng)氣候變化問(wèn)題中應(yīng)發(fā)揮的作用。 其次,從排放交易的立法設(shè)計(jì)角度,中國(guó)在設(shè)計(jì)溫室氣體排放交易試點(diǎn)機(jī)制的規(guī)則時(shí)應(yīng)思考以下問(wèn)題： 一是,應(yīng)考慮采取總量與交易的絕對(duì)控制的管理模式,以保證溫室氣體減排指標(biāo)實(shí)現(xiàn)的確定性。二是,鑒于中國(guó)工業(yè)部門的二氧化碳排放量在全國(guó)二氧化碳排放總量中占有較大比重,以及“千家企業(yè)節(jié)能行動(dòng)規(guī)劃”的成功證明大型工業(yè)排放源具備節(jié)能潛力,因此可以將二氧化碳作為試點(diǎn)交易機(jī)制的首選溫室氣體種類,將工業(yè)部門作為試點(diǎn)交易機(jī)制的首選行業(yè)種類。在工業(yè)部門內(nèi)部,應(yīng)選擇“下游”企業(yè),避免選擇“上游”企業(yè)可能引起的能源價(jià)格上升,進(jìn)而對(duì)整體社會(huì)經(jīng)濟(jì)造成負(fù)面影響。 三是,在排放指標(biāo)的分配方面,應(yīng)在排放交易機(jī)制的建立初期,本著以效率為先的原則,盡量采用利于企業(yè)和管理能夠者接受的無(wú)償分配的方法,以排除機(jī)制建立中可能遇到的阻力。待機(jī)制運(yùn)行成熟之后,應(yīng)以公平原則為優(yōu),研究實(shí)行指標(biāo)拍賣的可行性,從而確保行業(yè)之間、企業(yè)之間的公平競(jìng)爭(zhēng)。 四是,正確定位政府管理部門應(yīng)在二氧化碳排放交易機(jī)制中扮演的角色,以盡量降低交易費(fèi)用,更好地發(fā)揮排放交易降低減排成本的應(yīng)有作用。應(yīng)在歐盟完全自由的交易模式和中國(guó)現(xiàn)行的以政府為主導(dǎo)的交易模式之間,如何找到一個(gè)更能發(fā)揮市場(chǎng)作用、又符合中國(guó)市場(chǎng)條件的模式,這對(duì)政府管理部門將是一個(gè)挑戰(zhàn)。 最后,在刺激低碳技術(shù)進(jìn)步方面,可沿用現(xiàn)行二氧化硫和化學(xué)需氧量的排放交易的地方立法所規(guī)定的兩種方式刺激低碳技術(shù)的發(fā)展,即直接鼓勵(lì)或限制相關(guān)行業(yè)取得排放指標(biāo),以及通過(guò)回購(gòu)企業(yè)關(guān)閉時(shí)剩余的排放指標(biāo)的方式鼓勵(lì)落后企業(yè)退出市場(chǎng)。同時(shí),通過(guò)制定合理的碳交易指導(dǎo)價(jià)格和適當(dāng)?shù)慕灰纂A段時(shí)間段確保形成穩(wěn)定的碳指標(biāo)價(jià)格,進(jìn)而刺激低碳技術(shù)的投資。
[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.

【學(xué)位授予單位】：武漢大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2010
【分類號(hào)】：D95;DD912.6

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本文編號(hào)：1835863