摘要
中国已于2017年启动全国性的碳排放权交易市场,统一性的碳排放权交易实体法律制度也将随之出台。目前,中国已经提交了全国《碳排放权交易管理条例》送审稿,不过,不论是从送审稿的罚则设定还是从试点省市的地方法规中,由于惩罚力度受到行政处罚法规定的限制,对惩罚数额的确定、惩罚方式都未作明确规定,这将赋予执法者过大的自由裁量权,滋生权力寻租与腐败等现象。基于此,本文采用法律经济学中卡洛尔成本-收益分析方法,从惩罚严厉性成本与收益有效性组合的全新视角,构建我国碳排放权交易未达履约目标的惩罚阈值分析框架。同时,运用国别法律的对比分析法,提出制定处罚条例的合理建议。为此,建议我国的碳排放权交易管理条例在惩罚制度设计中:第一,应当明确惩罚数额的具体确定标准,惩罚性倍数的确定应依据企业超额排放的数额、监管机构的抽查密度、监管机构对企业超额排放的反应强度而定,同时也与控排企业历史年度履约率有直接关系。在确定惩罚倍数的适用与惩罚数额时,应当充分考虑企业过往排放量和该控排企业的历史履约率等因素。第二,在惩罚方式上,推行组合惩罚模式,将金钱惩罚与信用记录、财政补助以及业务受限、资格准入等方面结合起来,形成"行为罚则+资格罚则"的组合惩罚模式。第三,制定分级累进惩罚的制度。第四,将罚则与政府扶持政策相结合,具体可以通过投资、税收以及信贷规模等方面提供政策上的帮助,将"信用管理"与"扶持政策"有机结合,进而达到"梯度处罚,促进履约,一处失信,处处受限"的目标,最终为中国碳排放权交易市场的统一提供制度保证。
China will launch a national carbon trading market in 2017,and the unified carbon trading system will be introduced.At present,China has been submitted the management of carbon emissions trading manuscript to the national regulations.However,in the perspectives of penalty rule design in manuscript and laws and regulations of pilot cities and provinces,because the penalty degree is limited by laws,and punishment amount and punishment way are not clearly determined,law enforcers will have excessive free jurisdiction,and there will be power rent-seeking and corruption.Therefore,it is of great significance to establish the judgment standard of punishment threshold and to perfect the current punishment method of China’s national carbon emission trading market.Based on the Carroll cost-benefit analysis method of legal economics,this paper builds the analysis framework of China’s carbon emissions trading punishment threshold,in a new angle of cost and profit effectiveness of penalty severity.At the same time,through the comparative analysis method of national law,this paper puts forward suggestions for formulating punishment regulations.China’s regulations on the management of carbon emissions trading in punishment system should be designed in several ways:Firstly,the criteria for determining punishment amount should be determined,and the multiple of penalty is determined by the amount of excess emissions of firms,inspection density of regulators,regulators’response to excess emissions from firms,and the annual performance of the emissions control firms.When determining the penalty multiple and amount of punishment,the past emissions and the performance rate of firms should be fully considered.Secondly,in the punishment mode,we should implement the combination punishment mode,which combines penalties with credit record,financial aid,business qualification,and professional certification,to form the mode of‘behavior penalty and qualification penalty’.Thirdly,we should formulate the graded and progressive punishment system.Fourthly,we should combine penalty with government policy support,which means to combine‘credit management’with‘supportive policies’through providing policy support on investment,tax,and credit scale,then reaching the goal of‘gradient punishment,promoting the performance,and one faithlessness leading to restriction everywhere’.Finally,we should provide the institutional guarantee for the construction of China’s carbon trading market.
作者
史学瀛
杨博文
SHI Xue-ying;YANG Bo-wen(School of Law/Center of Environmental Justice Research,Nankai University,Tianjin 300350,China)
出处
《中国人口·资源与环境》
CSSCI
CSCD
北大核心
2018年第4期35-42,共8页
China Population,Resources and Environment
基金
国家社会科学基金项目"京津冀大气污染治理一体化立法研究:国际视野与区域问题"(批准号:16BFX146)
中国清洁发展机制基金赠款项目(批准号:2012023)
关键词
碳排放权交易
履约成本
罚则设定
组合惩罚模式
法律经济学
carbon emissions trading
performance cost
penalty
combination punishment mode
legal economics
