國際碳交易法律問題研究
發(fā)布時間：2018-07-31 07:04
【摘要】：國際碳交易就是對碳排放權(quán)的交易,即為履行減排義務或投資或其他目的買方主體與為獲得資金或技術(shù)的賣方主體進行的以碳配額或碳信用為交易標的買賣交易。自20世紀90年代以來,國際碳交易得到了迅猛發(fā)展,特別是在歐盟碳排放交易體系的建立和運行以及發(fā)展中國家積極參與到國際碳排放交易體系中以后。中國雖不是《京都議定書》第一期強制減排義務的國家,但作為最大的發(fā)展中國家,中國是發(fā)達國家CDM項目機制實施的主要賣方國。而且,在接下來的幾十年里,中國雖需要反對對發(fā)展中國家實施強制減排義務,抵制美國和歐盟的碳排放交易稅,但積極主動參與解決氣候變化問題和實施碳排放交易是爭奪國際氣候領(lǐng)域主導話語權(quán)的關(guān)鍵。因此,對國際碳交易的研究,不但可以為研究當前國際碳交易存在的問題,系統(tǒng)化解難題取得突破和將碳交易寫進我國的《大氣污染防治法》或建立我國獨立的碳交易法律規(guī)范并與國際碳交易規(guī)則接軌奠定一定的理論基礎(chǔ)；而且在實踐上,它也能為解決我國在如何迎接可能面臨的強制減排義務和建立碳交易的法律規(guī)范體系方面的問題提供參考,并能為我國的企業(yè)實體全面參與國際碳交易提供有效指導。 依據(jù)目前國際碳交易理論和實踐的經(jīng)驗,國際碳交易還存在碳排放權(quán)權(quán)屬不明確、碳交易法律規(guī)范的軟法性、碳認證標準的不統(tǒng)一、碳交易協(xié)議模板中設(shè)定的權(quán)利義務不對等、碳交易過程中的貿(mào)易限制措施與WTO規(guī)則存在法律沖突等方面的問題。以公平自由、正義的貿(mào)易環(huán)境為研究基礎(chǔ),以當國際碳交易面臨的問題為研究對象,以國際碳交易的市場運行機制為研究進路,以構(gòu)建碳交易公平體系為研究核心,運用歷史與現(xiàn)實考察法、實證與規(guī)范分析法、比較分析法等方法研究后發(fā)現(xiàn)：一是碳排放權(quán)的法律屬性是碳交易的基準和核心。對碳排放權(quán)的屬性認定,無論是英美法系的財產(chǎn)屬性,還是大陸法系的用益物權(quán)屬性、準物權(quán)屬性或是環(huán)境權(quán)屬性,都存在局限性。在超越法系或是國內(nèi)法基本理論和制度的基礎(chǔ)上,從國際法層面作出法律、倫理和道德的回應,碳排放權(quán)應具有國際自然法屬性、人權(quán)法屬性以及人類環(huán)境權(quán)益法屬性；二是國際碳交易法律體系從《聯(lián)合國氣候變化框架》、《京都議定書》到歐盟碳排放交易指令到各國的碳排放交易法律規(guī)范,表現(xiàn)出法律體系的非統(tǒng)一性、法律規(guī)范的非完整性、法律效力的軟法性等特征,不利于國際強制減排義務的落實和國際碳交易的發(fā)展,需要國際社會共同努力在給予各締約國時間和責任義務分配上的區(qū)別對待的前提下,可以逐步達成廣泛一致的強制減排公約或協(xié)定；三是碳認證是進行碳交易項目的必然程序；碳項目的認證標準是確定最后獲得核證的減排量的法定依據(jù)。當前,國際碳認證標準的多樣性,導致碳交易項目的認證結(jié)果不統(tǒng)一,甚至導致整個碳交易市場的分割和產(chǎn)生國際碳交易市場的技術(shù)性壁壘。為此,在國際碳交易的發(fā)展中,需要從立法層面對國際碳認證的標準進行研究,建立一個或少數(shù)幾個精準的科學的認證標準,以保障國際碳交易項目認證的公平與公正；四是國際碳交易行為是通過國際碳交易合同的有效約定達成的,但國際碳交易合同并沒有形成統(tǒng)一的示范合同�；诓煌冀灰字黧w,會選擇不同碳交易合同模板。而這會導致碳交易主體在權(quán)利和義務上的不公平。參照一般的國際商事買賣合同,比較碳交易合同在主體和客體、權(quán)利和義務、履約程序和法律效力等內(nèi)容的特殊性約定,找出其不足,并在合同適同中給予非違約主體以救濟措施,將會有效促進碳交易的發(fā)展和公平性；五是國際社會一直努力在世界貿(mào)易組織規(guī)則與《聯(lián)合國氣候變化框架公約》體系下的制度規(guī)定之間形成了一個相互尊重對方管制領(lǐng)域的普遍共識。但國際碳交易的貿(mào)易限制措施與WTO法設(shè)定的自由貿(mào)易義務和削減市場準入壁壘的義務是背道而馳的。在對碳排放權(quán)交易制度是否屬于WTO法的適用范圍作出肯定判斷后,我們有必要恰當?shù)仄胶猸h(huán)境保護目標與多邊自由貿(mào)易體制價值取向之間的沖突關(guān)系,從而找到國際碳交易的貿(mào)易限制措施與WTO規(guī)則之間的一致性。 因此,國際碳交易是人類社會控制氣候變化的一個制度創(chuàng)新,具有重要的理論和實踐意義,但也存在不少問題。它需要國際社會對碳排放權(quán)的法律屬性進行確認、強化法律規(guī)范的強行性、建立統(tǒng)一的碳項目認證標準,并平衡碳交易主體之間的權(quán)利和義務,尋求碳貿(mào)易限制措施的法律沖突解決,才能實現(xiàn)國際碳交易的有序和公正。
[Abstract]:International carbon trading is the transaction of carbon emission rights, that is, the trading transactions with carbon quotas or carbon credits as the subject of carbon quotas or carbon credits for the performance of emission reduction obligations or investment or other purposes and the seller's main body for obtaining funds or technology. Since 1990s, international carbon trading has developed rapidly, especially in the EU's carbon emissions. After the establishment and operation of the trading system and the active participation of developing countries in the international carbon emissions trading system, China is the largest developing country, although it is not the first phase of the compulsory emission reduction obligation of the Kyoto protocol. China is the major seller of the CDM project mechanism in the developed countries. Although China needs to oppose the compulsory emission reduction obligations to the developing countries and resist the carbon emissions trading tax of the United States and the EU, active participation in the solution of climate change and the implementation of carbon emissions is the key to competing for the dominant discourse right in the international climate field. Therefore, the study of international carbon trading can not only be used to study the current country. The problems existing in the carbon trading, the breakthroughs in systematic solutions and the introduction of carbon trading into China's "air pollution prevention and control law" or the establishment of an independent carbon trading law in our country and the integration of international carbon trading rules to establish a theoretical basis; and in practice, it can also solve the coercive force that China is facing. It provides a reference for the problems of reducing emission obligations and establishing the legal system of carbon trading, and can provide effective guidance for our enterprise entities to participate in international carbon trading in an all-round way.
According to the current experience of international carbon trading theory and practice, international carbon trading still exists unclear carbon emission rights, soft law of carbon trading legal norms, non uniform standard of carbon certification, unequal rights and obligations set in the carbon trading protocol template, and conflict of laws in the process of carbon trading and WTO rules in the process of carbon trading. On the basis of fair freedom and just trade environment, taking the problems faced by international carbon trading as the research object, taking the market operation mechanism of international carbon trading as the research approach, building a fair system of carbon trading as the research core, using historical and realistic investigation methods, empirical and normative analysis, comparative analysis method and so on The first is that the legal attribute of carbon emission rights is the basis and core of carbon trading. The identification of the property of carbon emission rights, whether it is property property of the Anglo American law system, or the property of usufructuary right in the continental law system, the property of quasi real right or the attribute of environmental rights, is limited. It is beyond the law or the basic theories and systems of domestic law. On the basis of the legal, ethical and moral responses from the international law level, carbon emission rights should have the attributes of international natural law, human rights law and human environmental rights and interests, and the two is the international carbon trading legal system from the United Nations Framework for climate change, the Kyoto Protocol to the EU carbon emissions trading instructions to the carbon emissions of countries. The non unity of the legal system, the non completeness of the legal norms and the soft law of the legal effect are not conducive to the implementation of international compulsory emission reduction obligations and the development of international carbon trading. It is necessary for the international community to make the difference between the time of the States parties and the distribution of responsibilities and obligations. Three is that carbon certification is the inevitable procedure for carbon trading projects, and the certification standard of carbon project is the legal basis for determining the final certification. In the development of international carbon trading, it is necessary to study the international carbon certification standards in the development of international carbon trading, establish one or a few accurate scientific certification standards, in order to ensure the fairness and impartiality of the national carbon trading project certification; four is the country. The international carbon trading behavior is achieved through the effective agreement of the international carbon trading contract, but the international carbon trading contract does not form a unified model contract. Based on different carbon trading subjects, different carbon trading contract templates will be chosen. This will lead to the unfair of the rights and obligations of the carbon trading subjects. In the same way, the particularity of carbon trading contracts in the subject and object, rights and obligations, performance procedures and legal effectiveness, to find out its shortcomings, and to give non default subjects in the same contract as relief measures, will effectively promote the development and fairness of carbon trading; five is the international community has been working hard in the rules of the world trade organization. A common consensus has been formed between the provisions of the system under the framework of the United Nations Framework Convention on climate change. However, the trade restrictions on international carbon trading are contrary to the free trade obligations set by the WTO law and the obligation to reduce market access barriers. After a positive judgement of the scope of application of the WTO law, it is necessary to properly balance the conflict between the environmental protection targets and the value orientation of the multilateral free trade system, so as to find the consistency between the trade restriction measures of international carbon trading and the WTO rules.
Therefore, international carbon trading is a system innovation for the human society to control climate change. It has important theoretical and practical significance, but there are many problems. It needs the international community to confirm the legal attributes of carbon emission rights, strengthen the strength of the legal norms, establish the unified carbon project certification standard, and balance the subject of carbon trading. In order to realize the order and justice of international carbon trading, we should solve the legal conflicts between the rights and obligations between the two countries.
【學位授予單位】：湖南師范大學
【學位級別】：博士
【學位授予年份】：2012
【分類號】：D996.9
本文編號：2154810
[Abstract]:International carbon trading is the transaction of carbon emission rights, that is, the trading transactions with carbon quotas or carbon credits as the subject of carbon quotas or carbon credits for the performance of emission reduction obligations or investment or other purposes and the seller's main body for obtaining funds or technology. Since 1990s, international carbon trading has developed rapidly, especially in the EU's carbon emissions. After the establishment and operation of the trading system and the active participation of developing countries in the international carbon emissions trading system, China is the largest developing country, although it is not the first phase of the compulsory emission reduction obligation of the Kyoto protocol. China is the major seller of the CDM project mechanism in the developed countries. Although China needs to oppose the compulsory emission reduction obligations to the developing countries and resist the carbon emissions trading tax of the United States and the EU, active participation in the solution of climate change and the implementation of carbon emissions is the key to competing for the dominant discourse right in the international climate field. Therefore, the study of international carbon trading can not only be used to study the current country. The problems existing in the carbon trading, the breakthroughs in systematic solutions and the introduction of carbon trading into China's "air pollution prevention and control law" or the establishment of an independent carbon trading law in our country and the integration of international carbon trading rules to establish a theoretical basis; and in practice, it can also solve the coercive force that China is facing. It provides a reference for the problems of reducing emission obligations and establishing the legal system of carbon trading, and can provide effective guidance for our enterprise entities to participate in international carbon trading in an all-round way.
According to the current experience of international carbon trading theory and practice, international carbon trading still exists unclear carbon emission rights, soft law of carbon trading legal norms, non uniform standard of carbon certification, unequal rights and obligations set in the carbon trading protocol template, and conflict of laws in the process of carbon trading and WTO rules in the process of carbon trading. On the basis of fair freedom and just trade environment, taking the problems faced by international carbon trading as the research object, taking the market operation mechanism of international carbon trading as the research approach, building a fair system of carbon trading as the research core, using historical and realistic investigation methods, empirical and normative analysis, comparative analysis method and so on The first is that the legal attribute of carbon emission rights is the basis and core of carbon trading. The identification of the property of carbon emission rights, whether it is property property of the Anglo American law system, or the property of usufructuary right in the continental law system, the property of quasi real right or the attribute of environmental rights, is limited. It is beyond the law or the basic theories and systems of domestic law. On the basis of the legal, ethical and moral responses from the international law level, carbon emission rights should have the attributes of international natural law, human rights law and human environmental rights and interests, and the two is the international carbon trading legal system from the United Nations Framework for climate change, the Kyoto Protocol to the EU carbon emissions trading instructions to the carbon emissions of countries. The non unity of the legal system, the non completeness of the legal norms and the soft law of the legal effect are not conducive to the implementation of international compulsory emission reduction obligations and the development of international carbon trading. It is necessary for the international community to make the difference between the time of the States parties and the distribution of responsibilities and obligations. Three is that carbon certification is the inevitable procedure for carbon trading projects, and the certification standard of carbon project is the legal basis for determining the final certification. In the development of international carbon trading, it is necessary to study the international carbon certification standards in the development of international carbon trading, establish one or a few accurate scientific certification standards, in order to ensure the fairness and impartiality of the national carbon trading project certification; four is the country. The international carbon trading behavior is achieved through the effective agreement of the international carbon trading contract, but the international carbon trading contract does not form a unified model contract. Based on different carbon trading subjects, different carbon trading contract templates will be chosen. This will lead to the unfair of the rights and obligations of the carbon trading subjects. In the same way, the particularity of carbon trading contracts in the subject and object, rights and obligations, performance procedures and legal effectiveness, to find out its shortcomings, and to give non default subjects in the same contract as relief measures, will effectively promote the development and fairness of carbon trading; five is the international community has been working hard in the rules of the world trade organization. A common consensus has been formed between the provisions of the system under the framework of the United Nations Framework Convention on climate change. However, the trade restrictions on international carbon trading are contrary to the free trade obligations set by the WTO law and the obligation to reduce market access barriers. After a positive judgement of the scope of application of the WTO law, it is necessary to properly balance the conflict between the environmental protection targets and the value orientation of the multilateral free trade system, so as to find the consistency between the trade restriction measures of international carbon trading and the WTO rules.
Therefore, international carbon trading is a system innovation for the human society to control climate change. It has important theoretical and practical significance, but there are many problems. It needs the international community to confirm the legal attributes of carbon emission rights, strengthen the strength of the legal norms, establish the unified carbon project certification standard, and balance the subject of carbon trading. In order to realize the order and justice of international carbon trading, we should solve the legal conflicts between the rights and obligations between the two countries.
【學位授予單位】：湖南師范大學
【學位級別】：博士
【學位授予年份】：2012
【分類號】：D996.9
【引證文獻】
相關(guān)期刊論文 前1條
1 章紅;;關(guān)于構(gòu)建我國統(tǒng)一碳交易市場的SWOT分析[J];煤炭經(jīng)濟研究;2013年08期
相關(guān)碩士學位論文 前1條
1 任丹;我國碳排放權(quán)交易法律制度的建構(gòu)[D];上海大學;2013年
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