【作者】 黄小喜；

【导师】 郑远民；

【作者基本信息】 湖南师范大学 ， 国际法学， 2012， 博士

【摘要】 国际碳交易就是对碳排放权的交易,即为履行减排义务或投资或其他目的买方主体与为获得资金或技术的卖方主体进行的以碳配额或碳信用为交易标的买卖交易。自20世纪90年代以来,国际碳交易得到了迅猛发展,特别是在欧盟碳排放交易体系的建立和运行以及发展中国家积极参与到国际碳排放交易体系中以后。中国虽不是《京都议定书》第一期强制减排义务的国家,但作为最大的发展中国家,中国是发达国家CDM项目机制实施的主要卖方国。而且,在接下来的几十年里,中国虽需要反对对发展中国家实施强制减排义务,抵制美国和欧盟的碳排放交易税,但积极主动参与解决气候变化问题和实施碳排放交易是争夺国际气候领域主导话语权的关键。因此,对国际碳交易的研究,不但可以为研究当前国际碳交易存在的问题,系统化解难题取得突破和将碳交易写进我国的《大气污染防治法》或建立我国独立的碳交易法律规范并与国际碳交易规则接轨奠定一定的理论基础；而且在实践上,它也能为解决我国在如何迎接可能面临的强制减排义务和建立碳交易的法律规范体系方面的问题提供参考,并能为我国的企业实体全面参与国际碳交易提供有效指导。依据目前国际碳交易理论和实践的经验,国际碳交易还存在碳排放权权属不明确、碳交易法律规范的软法性、碳认证标准的不统一、碳交易协议模板中设定的权利义务不对等、碳交易过程中的贸易限制措施与WTO规则存在法律冲突等方面的问题。以公平自由、正义的贸易环境为研究基础,以当国际碳交易面临的问题为研究对象,以国际碳交易的市场运行机制为研究进路,以构建碳交易公平体系为研究核心,运用历史与现实考察法、实证与规范分析法、比较分析法等方法研究后发现：一是碳排放权的法律属性是碳交易的基准和核心。对碳排放权的属性认定,无论是英美法系的财产属性,还是大陆法系的用益物权属性、准物权属性或是环境权属性,都存在局限性。在超越法系或是国内法基本理论和制度的基础上,从国际法层面作出法律、伦理和道德的回应,碳排放权应具有国际自然法属性、人权法属性以及人类环境权益法属性；二是国际碳交易法律体系从《联合国气候变化框架》、《京都议定书》到欧盟碳排放交易指令到各国的碳排放交易法律规范,表现出法律体系的非统一性、法律规范的非完整性、法律效力的软法性等特征,不利于国际强制减排义务的落实和国际碳交易的发展,需要国际社会共同努力在给予各缔约国时间和责任义务分配上的区别对待的前提下,可以逐步达成广泛一致的强制减排公约或协定；三是碳认证是进行碳交易项目的必然程序；碳项目的认证标准是确定最后获得核证的减排量的法定依据。当前,国际碳认证标准的多样性,导致碳交易项目的认证结果不统一,甚至导致整个碳交易市场的分割和产生国际碳交易市场的技术性壁垒。为此,在国际碳交易的发展中,需要从立法层面对国际碳认证的标准进行研究,建立一个或少数几个精准的科学的认证标准,以保障国际碳交易项目认证的公平与公正；四是国际碳交易行为是通过国际碳交易合同的有效约定达成的,但国际碳交易合同并没有形成统一的示范合同。基于不同碳交易主体,会选择不同碳交易合同模板。而这会导致碳交易主体在权利和义务上的不公平。参照一般的国际商事买卖合同,比较碳交易合同在主体和客体、权利和义务、履约程序和法律效力等内容的特殊性约定,找出其不足,并在合同适同中给予非违约主体以救济措施,将会有效促进碳交易的发展和公平性；五是国际社会一直努力在世界贸易组织规则与《联合国气候变化框架公约》体系下的制度规定之间形成了一个相互尊重对方管制领域的普遍共识。但国际碳交易的贸易限制措施与WTO法设定的自由贸易义务和削减市场准入壁垒的义务是背道而驰的。在对碳排放权交易制度是否属于WTO法的适用范围作出肯定判断后,我们有必要恰当地平衡环境保护目标与多边自由贸易体制价值取向之间的冲突关系,从而找到国际碳交易的贸易限制措施与WTO规则之间的一致性。因此,国际碳交易是人类社会控制气候变化的一个制度创新,具有重要的理论和实践意义,但也存在不少问题。它需要国际社会对碳排放权的法律属性进行确认、强化法律规范的强行性、建立统一的碳项目认证标准,并平衡碳交易主体之间的权利和义务,寻求碳贸易限制措施的法律冲突解决,才能实现国际碳交易的有序和公正。更多还原

【Abstract】 International trading in carbon emissions is on the right to emission, which is the implementation of emission reduction obligations or for investment or other purposes the buyer and seller for access to funds or technology subject to quotas of carbon or carbon credit transactions as the subject of the sale transaction. In the1990s of the20th century, the rapid development of international carbon trading has been in the way, particularly in the establishment and operation of the EU emissions trading system as well as the active participation of developing countries in the international carbon emissions trading system in the future. China is not the first undertaker of mandatory emission reduction obligations of the Kyoto Protocol, but, as the largest developing country, China is a major seller of CDM projects implementation mechanisms in developed countries. Also, in the next decade, China needed opposed to mandatory emission reduction obligations for developing countries, resist the United States and the European Union’s tax on carbon emissions trading, but actively involved in climate change issues and the implementation of emissions trading is the key to compete for international climate leading voice in the field. Therefore, study of international carbon trading, not only to study the problems of the current international carbon trading, systems resolve challenges and carbon trading a breakthrough into the air pollution control Act, or the establishment of an independent legal norms and international carbon trading and carbon trading rules practice certain theories laid the Foundation; But in practice, it can be solved in China may face mandatory cuts in how to meet obligations and the establishment of rule of law system of carbon trading aspects of providing references, and can provide effective guidance for corporate entities to fully participate in the international carbon trading.According to the theory and practice of international carbon trading experience, ownership unknown international carbon trading-carbon emissions, carbon trading law soft law, carbon certification standard of uniform set of rights and obligations in the agreement template, carbon trading is not reciprocal, carbon trade procedures, trade restrictions in legal aspects of issues such as conflict with WTO rules. In a fair trade environment research foundation of freedom, justice, when the problems for the study of international carbon trading, to approach to the study of international carbon trading market mechanism, To build a carbon trade fair system for core research, using historical and realistic perspective approach, empirical and Normative Analysis, comparative analysis and other methods of research he found that:Firstly, carbon emissions trading is the legal property of the base and core. Property determination of carbon emissions, are the property of the British and American legal systems properties, are also civil law of usufruct right to property, right to property or the environment properties, there are limitations. Beyond the basic theory and system of law or domestic law on the basis of, from legal, ethical and moral dimensions of international law made in response to carbon emissions should have international natural law, human rights law attributes and method of human environmental rights and property. Secondly, international carbon trading legal system from United Nations climate changes framework under, and Kyoto Protocol under to EU carbon emissions trading instruction to States of carbon row into trading legal rules, performance out legal system of non-Unity, and country legal specification of non-integrity, and legal effect of soft method sexual, features, does not conducive to international forced emissions obligations of implementation and international carbon trading of development, needs international social common efforts in give all party time and responsibility obligations distribution Shang of difference treat of premise Xia, Can be gradually reached a broad agreement of mandatory cuts conventions or agreements. Thirdly, carbon certification is a program for carbon trading project; Carbon project certification standard is finally obtained certified emission reductions statutory basis. At present, the diversity of international carbon standards, leading to carbon trading project certification results are not unified, or even the entire carbon trading market segmentation and technical barriers in international carbon trading markets.To do this, in the development of international carbon trading, from legislative level to study the certification of international carbon standards, establishing one or a few accurate scientific certification standards in order to safeguard the fairness and impartiality of international carbon trading program. Fourthly, the international carbon trading is an effective agreement reached through the international carbon trading contracts, but the international carbon trading contracts and does not form a unified model of contract. Based on the different carbon trading, will choose different carbon trading contract templates. And this will lead on the subject of carbon trading in the rights and obligations of unfair. Reference to General contracts for the international sale of goods, comparison of carbon trading in the subject and the object of the contract, the rights and obligations, compliance procedures and legal effects of special conventions, identify its shortcomings and subject to contract adapter with non-default remedies, will effectively contribute to the development of carbon trading and equity. Fifthly, has been working in the World Trade Organization rules of the international.community and the United Nations Framework Convention on climate change under control system form a mutual respect between each other areas of general consensus. But trade restrictions in the international carbon trading and setting free trade obligations of WTO law is contrary to the obligations and reduce market access barriers.Carbon emissions trading system is within the scope of WTO law certainly after judgment, it is necessary to appropriately balance the environmental protection objectives and value orientation of multilateral free trade regime between the conflicting relationship, international carbon trading can be found by consistency between the WTO rules and trade restrictions.Accordingly, the international carbon trading is a system to control climate change innovation of human society, is of great theoretical and practical significance, but there are still many problems. It requires the international community to confirm the legal property of carbon emissions, strengthen the force of the rule of law, establish uniform certification standard for carbon projects, carbon trading and balance between rights and obligations, legal conflict resolution seeking carbon trade restrictions, international carbon trading order and justice can be achieved.更多还原