本文關(guān)鍵詞：碳交易市場(chǎng)跨國(guó)合作法律問(wèn)題研究　出處：《對(duì)外經(jīng)濟(jì)貿(mào)易大學(xué)》2016年博士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 碳交易 跨國(guó)合作 氣候變化 絕對(duì)減排限量 相對(duì)減排限量

【摘要】：隨著全球氣候問(wèn)題的日益嚴(yán)峻,以及《聯(lián)合國(guó)氣候變化框架公約》和《京都議定書(shū)》所確立的多邊合作機(jī)制的不確定性,越來(lái)越多的國(guó)家和地區(qū)開(kāi)始探索自主減排。為應(yīng)對(duì)這一外部性問(wèn)題,對(duì)比環(huán)境政策工具后不難發(fā)現(xiàn):相比碳稅在排放總量方面的不可控性,命令-控制機(jī)制的僵化性,碳交易市場(chǎng)通過(guò)設(shè)定總體排放量而確保了環(huán)境的整體性。同時(shí),借助市場(chǎng)交易機(jī)制賦予了減排體自由靈活性,避免了稅收名義和“一刀切”機(jī)制,因此受到了包括中國(guó)在內(nèi)很多國(guó)家和地區(qū)的青睞。而碳交易市場(chǎng)跨國(guó)合作能夠在擴(kuò)大市場(chǎng)交易規(guī)模、提升市場(chǎng)流動(dòng)性、穩(wěn)定減排體市場(chǎng)預(yù)期等方面具有顯著優(yōu)勢(shì),尤其是可以借助比較優(yōu)勢(shì)降低各方減排成本。針對(duì)自主減排產(chǎn)生的產(chǎn)業(yè)競(jìng)爭(zhēng)失衡和潛在的碳泄漏問(wèn)題,碳交易市場(chǎng)跨國(guó)合作有助于修復(fù)這一市場(chǎng)割裂,促進(jìn)國(guó)際社會(huì)在減排行動(dòng)上的協(xié)調(diào)性和一致性,進(jìn)而為應(yīng)對(duì)氣候變化這一全球性問(wèn)題提供解決思路和實(shí)施機(jī)制支持。本文采用的邏輯主線為:“相關(guān)理論和概念闡述”——“國(guó)際合作實(shí)例探討”——“制度建構(gòu)分析”——“中國(guó)實(shí)踐和借鑒”,正文分為九章,主要分為六個(gè)部分,詳細(xì)如下:第一部分是文章的緒論,對(duì)全文的論述提供了一個(gè)背景知識(shí)簡(jiǎn)要介紹。眾多科學(xué)研究表明,當(dāng)前環(huán)境氣候問(wèn)題非常緊迫,但國(guó)際氣候合作卻接連遭遇困局。經(jīng)濟(jì)學(xué)上的外部性理論成為解決環(huán)境問(wèn)題的一大理論,強(qiáng)調(diào)通過(guò)稅收或產(chǎn)權(quán)設(shè)置來(lái)解決外部性問(wèn)題�；诳偭靠刂坪褪袌�(chǎng)機(jī)制的優(yōu)勢(shì),多個(gè)國(guó)家和地區(qū)開(kāi)始借助碳交易市場(chǎng)進(jìn)行減排,這為碳交易市場(chǎng)跨國(guó)合作提供了可能。通過(guò)回顧中外學(xué)者研究,對(duì)碳交易市場(chǎng)跨國(guó)合作的必要性和可行性,以及利弊兩個(gè)方面進(jìn)行分析。同時(shí),相比國(guó)外,囿于中國(guó)碳交易市場(chǎng)還處于起步階段,國(guó)內(nèi)學(xué)者的研究主要以清潔發(fā)展機(jī)制(CDM)的合作機(jī)制為主,而缺乏對(duì)碳交易市場(chǎng)跨國(guó)合作的研究,更沒(méi)有從法律角度進(jìn)行探討分析的。第2章和第3章是本文的理論闡述分析部分,對(duì)于碳交易市場(chǎng)跨國(guó)合作中的相關(guān)基礎(chǔ)理論進(jìn)行剖析。從碳排放權(quán)的法律屬性入手,在國(guó)際法、歐美法和中國(guó)法視野下對(duì)其進(jìn)行討論分析;同時(shí)對(duì)碳交易的配額、抵消機(jī)制,以及碳交易市場(chǎng)合作的概念和類型進(jìn)行了分析,指出當(dāng)前實(shí)施最多的依然是單向合作機(jī)制。對(duì)于現(xiàn)有國(guó)際法律條約、原則和協(xié)議,從《聯(lián)合國(guó)氣候變化框架公約》入手,分析《京都議定書(shū)》模式下多邊碳交易市場(chǎng)跨國(guó)合作機(jī)制的成就與不足,結(jié)合后京都時(shí)代的特點(diǎn)和趨勢(shì),以及“巴厘路線圖”、“德班平臺(tái)”和華沙氣候會(huì)議決議等表明“雙軌制”開(kāi)始轉(zhuǎn)向“單軌制”,側(cè)重各方共同參與減排開(kāi)始成為主要趨勢(shì)。與《議定書(shū)》“自上而下”的模式不同,《巴黎協(xié)定》采用“自主貢獻(xiàn)”+“自下而上”范式,是一個(gè)適用于各方具有法律約束力的減排協(xié)議,為國(guó)際氣候合作開(kāi)啟了新局面。第4章是本文的國(guó)際合作實(shí)例具體分析部分,首先論述了當(dāng)前各方在《議定書(shū)》影響下已開(kāi)展了碳交易的減排努力,為碳交易市場(chǎng)跨國(guó)合作提供基礎(chǔ)。隨后,對(duì)現(xiàn)有碳交易市場(chǎng)跨國(guó)合作的案例進(jìn)行分析,除了cdm合作機(jī)制外,著重介紹了歐盟與挪威、冰島、列支敦士登的傘形對(duì)接合作,以及加州與魁北克的平行對(duì)接合作,并指出歐盟與澳大利亞的失敗與澳大利亞境內(nèi)的氣候政策的不穩(wěn)定性相關(guān),提出規(guī)則協(xié)調(diào)性和兼容性在碳交易市場(chǎng)合作中扮演重要角色,這種融洽性可以通過(guò)全盤接受一方的規(guī)則,也可以通過(guò)合作協(xié)調(diào)機(jī)制,如wci在加州與魁北克的合作中扮演重要的規(guī)則協(xié)調(diào)角色。針對(duì)歐盟的單向過(guò)渡機(jī)制,本文認(rèn)為其賦予了合作各方調(diào)整期和適應(yīng)期,并能在避免較大不利的情形進(jìn)行及時(shí)調(diào)整,為后續(xù)合作的穩(wěn)定性和持久性提供了“實(shí)驗(yàn)階段”。第5章和第6章則是本文的制度建構(gòu)分析部分。結(jié)合上一部分合作案例討論,對(duì)碳交易市場(chǎng)跨國(guó)合作的法律性質(zhì)分析,指出單邊合作體現(xiàn)的是一國(guó)或地區(qū)的國(guó)內(nèi)法屬性,而雙邊或多邊協(xié)議可能是條約,政治合作安排或互惠承諾等。其次,基于產(chǎn)權(quán)理論的碳交易市場(chǎng)從誕生之初就表現(xiàn)出對(duì)制度規(guī)則的嚴(yán)重倚重性,提出在碳交易市場(chǎng)構(gòu)建和跨國(guó)合作中應(yīng)堅(jiān)持的一些基本法律原則。公平公正法律原則從碳交易市場(chǎng)減排體和管理者的角度論述了同等對(duì)待、不偏袒等制度規(guī)則設(shè)計(jì),該原則不僅是確保單個(gè)碳交易市場(chǎng)運(yùn)作的關(guān)鍵,更是確保碳交易市場(chǎng)跨國(guó)合作持續(xù)進(jìn)行的重要保障。然后,要注重碳交易市場(chǎng)構(gòu)建中環(huán)境整體性和經(jīng)濟(jì)受益性,離開(kāi)了環(huán)保的初衷,碳交易市場(chǎng)作為環(huán)境政策工具的初衷將喪失殆盡,而降低減排成本則是碳交易市場(chǎng)跨國(guó)合作的經(jīng)濟(jì)驅(qū)動(dòng)力。隨后,對(duì)碳交易市場(chǎng)跨國(guó)合作中的一般性法律問(wèn)題進(jìn)行剖析,包括借助商事交易機(jī)制解決配額流轉(zhuǎn)糾紛問(wèn)題,提出強(qiáng)化其“弱財(cái)產(chǎn)權(quán)”屬性有利于提升市場(chǎng)減排效率等;并對(duì)合同和稅收法律問(wèn)題進(jìn)行分析,提出在相關(guān)國(guó)際條約缺位的情形下,應(yīng)關(guān)注合同條款的風(fēng)險(xiǎn)防范功能,對(duì)配額的稅收則應(yīng)堅(jiān)持減排導(dǎo)向?yàn)樵瓌t。然后,對(duì)合作中的協(xié)議的性質(zhì)進(jìn)行分析,包括單邊協(xié)議的國(guó)內(nèi)法屬性等。同時(shí),針對(duì)歐盟對(duì)項(xiàng)目和配額市場(chǎng)合作的規(guī)則,以及加州對(duì)合作機(jī)制下自身規(guī)則獨(dú)立性和時(shí)效性進(jìn)行討論,揭示了法律規(guī)則在實(shí)現(xiàn)碳交易市場(chǎng)跨國(guó)合作中的重要性。最后,對(duì)宏觀層面的合作框架內(nèi)容,以及微觀層面的合同、抵消,以及監(jiān)管問(wèn)題進(jìn)行分析,強(qiáng)調(diào)在當(dāng)前國(guó)際合作機(jī)制不甚明朗的情形下,應(yīng)強(qiáng)化規(guī)則協(xié)調(diào)來(lái)消除合作的制度障礙。第7章和第8章則是本文對(duì)中國(guó)實(shí)踐和借鑒的論述�！栋屠鑵f(xié)定》開(kāi)啟了國(guó)際氣候合作的新起點(diǎn),其采用“國(guó)家自主減排+定期盤點(diǎn)”模式賦予了締約方減排自主性,同時(shí)也維系了全球氣候合作;采用盤點(diǎn)機(jī)制棘齒鎖定機(jī)制推動(dòng)各方不斷強(qiáng)化自身的減排目標(biāo)和措施,以推動(dòng)實(shí)現(xiàn)全球減排目標(biāo)。依據(jù)《巴黎協(xié)定》的相關(guān)條款,本文對(duì)中國(guó)提出了一些應(yīng)對(duì)政策和建議:針對(duì)各方在《巴黎協(xié)定》項(xiàng)下減排承諾可能采取的單邊減排措施引起的貿(mào)易阻礙問(wèn)題,如歐盟2012年將航空業(yè)納入ETS和美國(guó)一些“碳關(guān)稅”提案等問(wèn)題,中國(guó)應(yīng)積極發(fā)展碳交易市場(chǎng),在環(huán)境減排政策層面構(gòu)建協(xié)調(diào)和合作機(jī)制,不僅有利于降低中國(guó)的減排成本、履行《巴黎協(xié)定》項(xiàng)下的減排承諾,而且也有助于解決因?qū)嵤p排政策帶來(lái)的產(chǎn)業(yè)競(jìng)爭(zhēng)、貿(mào)易壁壘和碳泄漏問(wèn)題。同時(shí),減排目標(biāo)的實(shí)現(xiàn)不能完全依賴碳交易市場(chǎng),中國(guó)提出在2030年將非化石能源在一次能源中的比重比例提升到20%,因此必須對(duì)國(guó)內(nèi)能源進(jìn)行改革,積極發(fā)展清潔和可再生能源,促進(jìn)經(jīng)濟(jì)結(jié)構(gòu)優(yōu)化升級(jí)。對(duì)于碳交易市場(chǎng)的合作路徑和模式,結(jié)合之前探討合作實(shí)例分析和相關(guān)法律議題闡述,作為發(fā)展中國(guó)家的中國(guó)溫室排放依然處于上升通道之中,應(yīng)堅(jiān)持試點(diǎn)地區(qū)與全國(guó)市場(chǎng)并用的組合模式進(jìn)行減排。通過(guò)分析幾個(gè)試點(diǎn)的政策設(shè)計(jì)和交易規(guī)則,本研究認(rèn)為深圳最有潛力作為中國(guó)對(duì)外碳交易市場(chǎng)合作的平臺(tái)�；谥袊�(guó)提交給聯(lián)合國(guó)的“自主減排貢獻(xiàn)”預(yù)案,本文認(rèn)為目前階段可以允許發(fā)展中國(guó)家的CER加入中國(guó)的碳交易試點(diǎn),推行“一帶一路”國(guó)家減排戰(zhàn)略。長(zhǎng)期合作而言,應(yīng)在2030-2035年與潛在合作國(guó)家或地區(qū)實(shí)施互惠承諾協(xié)議;在2036年以后推行雙向平行合作的國(guó)際條約以構(gòu)建高層次對(duì)外合作機(jī)制。第9章對(duì)整個(gè)研究進(jìn)行總結(jié),并提出了前景展望。無(wú)論從應(yīng)對(duì)氣候變化的大局出發(fā),還是降低減排成本和促進(jìn)經(jīng)貿(mào)利益往來(lái),以及《巴黎協(xié)定》第六條對(duì)自主合作的支持,碳交易市場(chǎng)跨國(guó)合作將成為未來(lái)自主減排合作的趨勢(shì)�；谠凇栋屠鑵f(xié)定》中的減排承諾,中國(guó)應(yīng)從松散合作、政治合作安排到國(guó)際條約的路徑,分階段推進(jìn)碳交易市場(chǎng)跨國(guó)合作,并借鑒加州與魁北克的合作模式,以及配額的“弱財(cái)產(chǎn)”法律屬性等。隨著“國(guó)家自主貢獻(xiàn)”模式推行和《巴黎協(xié)定》對(duì)自主合作的充實(shí),期待未來(lái)能將各國(guó)的“INDCs”作為跨國(guó)交易單元以促進(jìn)國(guó)際減排合作發(fā)展,并對(duì)碳交易市場(chǎng)跨國(guó)合作的法律問(wèn)題進(jìn)行細(xì)化研究,逐步構(gòu)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.
【學(xué)位授予單位】：對(duì)外經(jīng)濟(jì)貿(mào)易大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2016
【分類號(hào)】：D996.9
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本文編號(hào)：1338063