低碳经济法律制度研究
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摘要
“低碳经济”是一种体现可持续发展理念的经济模式，它是人类应对全球气候变暖，迈向美好未来的理智选择。低碳经济既是一种技术型经济，更是一种制度型经济，低碳经济法制体系的建立是推进低碳经济高效发展的必要保障，是各国迈向低碳经济、实现温室气体排放控制目标、抑制全球气候变暖的战略需求。发展低碳经济，制度保障是关键，建立以低碳经济法制体系为核心的低碳经济制度保障体系既是发展低碳经济的客观要求，也是国家适度干预经济的具体表现，是弥补市场缺陷与克服政府失灵的有力手段。本文立足于低碳经济需要法制保障这一前提，通过厘清低碳经济相关概念，探求低碳经济的理论根基，比较低碳经济的立法实践，实现对低碳经济法制体系的构架，并通过探析我国低碳经济法制保障现状，提出合理化建议。全文共分八章，包括导论、正文与结语，正文主要包括以下六部分内容：
第一，“低碳经济的一般考察”。“低碳经济”是在可持续发展理念下，以能源消耗上的“低排放、低能耗、低污染”为主要特征，通过技术创新、制度创新、产业转型、新能源开发等多种手段，实现人类经济发展与生态环境保护相统一的新经济形式。低碳经济是人类社会继原始文明、农业文明、工业文明之后，迈向生态文明的一种具体表现，它产生于全球气候变暖的大背景，发展于发达的市场经济国家，是在应对全球气候变暖的国际公约框架下，通过国家战略的确立，法律制度的规范而推进的，是各国摒弃传统经济增长模式，迈向绿色、清洁、可持续发展未来的一种新经济形式。低碳经济概念本身既体现了可持续发展理念，又体现了环境保护理念，更体现了新的能源安全观，它与生态经济、循环经济、绿色经济既有联系，又有区别，都体现出了生态文明下的经济发展观。
第二，“低碳经济法律制度体系的基本构成”。低碳经济涉及范围广、内容丰富，对法制建设提出了较高的要求。总体而言，按立法的功能划分，低碳经济法律制度体系可以概括为以下三项基本制度：节能减排法律制度、传统能源替代法律制度、碳排放控制法律制度，它们共同构成完整的低碳经济法律制度体系。节能减排法律制度致力于能源利用效率的提高，通过强化能源的节约利用与高效利用，实现温室气体的减量排放；传统能源替代法律制度则致力于改善能源利用结构，通过开发利用清洁、低碳的新能源，减少传统化石能源的利用比例，以此实现能源利用过程中温室气体的减少；碳排放控制法律制度则致力于通过低碳技术发展等方式对能源利用既已产生的温室气体实施技术性控制，避免其向大气中的任意排放。以上三项制度囊括了低碳经济立法的所有内容。从三项制度的内涵看，节能减排法律制度与碳排放控制法律制度的立足点都是传统化石能源的低碳化利用，尽管途径各不相同，但目的都是一致的，即实现传统化石能源利用的清洁化、低碳化。而传统能源替代法律制度却致力于促进清洁、低碳型能源的开发利用，通过低碳能源替代传统高碳能源方式，从根源上治理人类生产生活中的碳排放问题，减少温室气体排放，实现全球气候稳定。三项制度既相互独立又相互联系，它们共同构建起低碳经济的法制保障屏障，成为必不可少的低碳经济制度保障内容。
第三，“西方国家低碳经济法律制度建设及其启示”。低碳经济依国际公约而产生，是相关国家为履行国际公约承诺而创制的碳减排措施。英国以国家战略为根本，以基本立法为统领，以相关立法为补充，构建起低碳经济法制保障体系，确保本国低碳经济目标的实现。澳大利亚则立足于其传统能源依赖大国的实际，以碳排放控制为重点，形成以“碳捕获与封存”立法为主要内容的碳排放控制法律体系，创设了“碳获取权”与“碳财产权”等碳权利。美国加大相关立法的制定与修订，形成丰富的低碳经济系列立法，并集中制定系列低碳经济相关法律议案，推动其低碳经济的发展。日本则立足于历来注重环境保护的现实，以早已形成的节能降耗法制体系为基础，在其确立起“低碳社会”国家战略之后，通过不断修订现存立法、及时制定新的立法等方式，形成了以低碳经济基本法为基础，以综合性与专门性低碳经济法律法规为补充的低碳经济法制体系。
第四，“构建我国低碳经济法律制度的必要性和可行性”。低碳经济法律制度构建的必要性在于国际法规则需要转换为国内法方能发挥效力，也在于低碳经济本身需要国家干预的性质，而国家干预的度则须由法律来确定。低碳经济法律制度构建的可行性则在于其运行已经具备一定的法律基础，国际相关立法可以为其提供有益借鉴，而我国目前已经初步具备低碳经济立法的条件。
第五，“我国低碳经济法律制度建设情况及存在的不足”。我国近年来十分重视国内的节能降耗工作，出台系列相关政策措施，在立法方面已经有了低碳经济法律制度的基础。但是，我国低碳经济法律制度还存在诸多缺陷，表现为国家低碳经济发展战略尚未确立，能源领域的基本立法与专门立法空白，相关领域低碳法制不健全，现行立法存在先天缺陷等。
第六，“建立和完善我国低碳经济法律制度的几点思考”。在低碳经济发展思路方面，我国必须理性选择低碳经济制度保障路径，并合理设计低碳经济法律制度体系，强化低碳经济相关法律的执行与监督。在具体措施方面，则须确立我国低碳经济国家战略，抓紧制定低碳经济战略性立法如《低碳经济法》，强化对现有立法的修订，并在相关立法中引入低碳经济理念及概念，完善能源等各领域立法，形成以低碳经济基本立法为统领，以能源领域相关立法为核心，以各层次低碳经济相关法律法规为补充的低碳经济法律制度体系，并着力解决低碳经济立法过程中诸如国家利益维护、法律的协调性及法律的适用等相关问题，确保我国低碳经济法律制度建设的科学性。
Low-carbon economy is the economy embodied the sustainable development idea,the goal of which is to deal with the global greenhouse effect, to lead the world to agood future. Low-carbon economy contains a technical, or a systematic quality, thesystematic legislations of which are great promotions for its development, which arealso the strategic measures for countries to control the greenhouse gases, to restrain theglobal warming, and to help them to step to the low-carbon future. In order to reach thelow-carbon society,creating a systematic measure is a necessity, a low-carbonpromotion measure in which the legislations are the core is not only a demand for thedevelopment of low-carbon economy but the requirement for the government to enactits power for market intervention, which is the remedy for the market limitation.Bearing the premise that low-carbon economy needs regulating by rules, thisdissertation hopes to purify the conception of low-carbon economy, through theexploration of its theoretic basis, comparing of different countries’ legislative practice,to construct the frame of low-carbon legislations, and to make a reasonable consultationfor the perfection of Chinese low-carbon legislations. This paper contains eight chapters,includes the introduction, the text, and the conclusion, the text holds the following sixkey parts:
First, the general review of the low-carbon economy. Low-carbon economy isa new form of economy containing the idea of sustainable development, the3Lprinciples (low emission, low consumption of energy, and low pollution), and by way oftechnique innovation, system creation, industry shifting, new energy exploitation, toreach the economic and environment goals. It is a kind of civilization after the primal,agricultural and industrial civilization. It originated from the global warming anddeveloped in the developed countries, its development is under the framework of theinternational convention, affirmed by the national strategy, protected by the legislations.Low-carbon economy is a new economy that leads the nations to a new economicgrowth pattern, forward to a green, clean and sustainable future. The concept oflow-carbon economy not only contains the idea of sustainable development,environment protection and energy safety, but also is an innovation from the ecotypiceconomy, cyclic economy and green economy; they all contain the view of developmentunder the ecological civilization.
Second, the analysis on the basic construction of the low-carbon legislations. Thelow-carbon economy involves many areas, holds a great content. Collectively, thelow-carbon economy legislations can be divided into three parts: The legislation ofenergy saving and emission reduction; the legislation of traditional energy substitutionand the carbon control legislation. The legislation of energy saving and emissionreduction aims at promoting the energy ratio, which requires the saving and efficiencyusing of energy, reducing the carbon emission. Legislation of traditional energysubstitution leads to the shifting of the consumption structure of energy, to realize theemission reduction through exploration for the clean, low-carbon sorts of energy. Thecarbon control legislation aims at controlling the greenhouse gas by ways of thelow-carbon techniques. These three parts of legislation cover all of the laws oflow-carbon economy. The legislation of energy saving and emission reduction and thecarbon control legislation have the same purpose trying to prevent the gases fromemitting into the air, the legislation of traditional energy substitution aims at promotingthe exploration for the clean and low-carbon energy in order to substitute the traditionalfossil energy. The above three kinds of respectively independent legislations constructthe protective system for low-carbon economy.
Third, the enlightenment of the construction of low-carbon legislations abroad. Thelow-carbon economy created from the international conventions, which is the measurefor the developed countries to reduce the emission of CO2according to the internationalconvention. In order to construct the system of low-carbon legislations,the UnitedKingdom established the national low-carbon strategy first, and accordingly establishedthe basic law of low-carbon economy accompanied by the relatively legislations.Australia just chooses the emission reduction as the breakthrough to constitute its ownlegislations, and forms a set of laws concerning “carbon capture and storage”, creatingthe “rights of carbon access” and the “rights of carbon property”. The U.S. emphasizesthe creation and amendment of laws, and forms a set of low-carbon legislations;moreover, it creates collectively a set of low-carbon bills to promote the whole nation’slow-carbon economy. Japanese is a nation emphasizing the protection of environmenthistorically, it has formed a set of environmental laws before it decides to create thelow-carbon society, after that, Japanese makes a great amendment for its formerlegislations and creates the new laws, and forms a complete set of low-carbonlegislations which contains the basic law, the comprehensive laws and the regulationsand rules.
Forth, the necessity and possibility to construct the legal system of low-carboneconomy in China. The necessity to construct the legal system of low-carboneconomy is that the international rules need to be transferred as the nationalrules,and that the low-carbon economy embodies the idea that the government hasthe power to intervene the market, and the low-carbon economy itself calls for thegovernment intervention, which needs the laws to regulate the boundary of thegovernmental intervention. The possibility to construct the legal system oflow-carbon economy is that there is a certain kind of legal basis, and has the foreignlegislations to be borrowed, the condition to construct the legal system of lowcarbon economy has come into being.
Fifth, the deficiency of the low-carbon economy legislations in China. Recentyears, the government of China emphasizes the energy saving and emission reduction,and comes out with a set of policies and laws to promote the energy efficiency,low-carbon legal system has appeared more and more clear, but undoubtedly, it is far tobe perfected. The low-carbon economy hasn’t to be affirmed as a national strategy,which disturbs the formation of the basic law of low-carbon economy, moreover, thebasic law and some professional laws in the energy area are still in vacancy, the currentlaws still have their great limitations.
Sixth, the reflection of building and perfecting the China’s low-carbon legislations.In order to perfect the legislations in China, we should have a clear idea to thelow-carbon development, and select a reasonable systematic protection way, design alegal system of low-carbon economy in reason; emphasize the employment andsupervising of the laws. Particularly speaking, we should establish the national strategyforwards to the low-carbon economy, and try to create the act of low-carbon Economy,quicken the step of amendment of current laws, introducing the notion and terms oflow-carbon economy into them, perfect the laws in the area of energy, and pay muchattention to the problems such as how to protect the national interests during the processof regulating the low-carbon economy by legislations; how to balance the powerbetween the laws; how to ensure the effect of the laws, etc., in order to form a completeset of low-carbon legislations, which can ensure the development of low-carboneconomy for China.
第一，“低碳经济的一般考察”。“低碳经济”是在可持续发展理念下，以能源消耗上的“低排放、低能耗、低污染”为主要特征，通过技术创新、制度创新、产业转型、新能源开发等多种手段，实现人类经济发展与生态环境保护相统一的新经济形式。低碳经济是人类社会继原始文明、农业文明、工业文明之后，迈向生态文明的一种具体表现，它产生于全球气候变暖的大背景，发展于发达的市场经济国家，是在应对全球气候变暖的国际公约框架下，通过国家战略的确立，法律制度的规范而推进的，是各国摒弃传统经济增长模式，迈向绿色、清洁、可持续发展未来的一种新经济形式。低碳经济概念本身既体现了可持续发展理念，又体现了环境保护理念，更体现了新的能源安全观，它与生态经济、循环经济、绿色经济既有联系，又有区别，都体现出了生态文明下的经济发展观。
第二，“低碳经济法律制度体系的基本构成”。低碳经济涉及范围广、内容丰富，对法制建设提出了较高的要求。总体而言，按立法的功能划分，低碳经济法律制度体系可以概括为以下三项基本制度：节能减排法律制度、传统能源替代法律制度、碳排放控制法律制度，它们共同构成完整的低碳经济法律制度体系。节能减排法律制度致力于能源利用效率的提高，通过强化能源的节约利用与高效利用，实现温室气体的减量排放；传统能源替代法律制度则致力于改善能源利用结构，通过开发利用清洁、低碳的新能源，减少传统化石能源的利用比例，以此实现能源利用过程中温室气体的减少；碳排放控制法律制度则致力于通过低碳技术发展等方式对能源利用既已产生的温室气体实施技术性控制，避免其向大气中的任意排放。以上三项制度囊括了低碳经济立法的所有内容。从三项制度的内涵看，节能减排法律制度与碳排放控制法律制度的立足点都是传统化石能源的低碳化利用，尽管途径各不相同，但目的都是一致的，即实现传统化石能源利用的清洁化、低碳化。而传统能源替代法律制度却致力于促进清洁、低碳型能源的开发利用，通过低碳能源替代传统高碳能源方式，从根源上治理人类生产生活中的碳排放问题，减少温室气体排放，实现全球气候稳定。三项制度既相互独立又相互联系，它们共同构建起低碳经济的法制保障屏障，成为必不可少的低碳经济制度保障内容。
第三，“西方国家低碳经济法律制度建设及其启示”。低碳经济依国际公约而产生，是相关国家为履行国际公约承诺而创制的碳减排措施。英国以国家战略为根本，以基本立法为统领，以相关立法为补充，构建起低碳经济法制保障体系，确保本国低碳经济目标的实现。澳大利亚则立足于其传统能源依赖大国的实际，以碳排放控制为重点，形成以“碳捕获与封存”立法为主要内容的碳排放控制法律体系，创设了“碳获取权”与“碳财产权”等碳权利。美国加大相关立法的制定与修订，形成丰富的低碳经济系列立法，并集中制定系列低碳经济相关法律议案，推动其低碳经济的发展。日本则立足于历来注重环境保护的现实，以早已形成的节能降耗法制体系为基础，在其确立起“低碳社会”国家战略之后，通过不断修订现存立法、及时制定新的立法等方式，形成了以低碳经济基本法为基础，以综合性与专门性低碳经济法律法规为补充的低碳经济法制体系。
第四，“构建我国低碳经济法律制度的必要性和可行性”。低碳经济法律制度构建的必要性在于国际法规则需要转换为国内法方能发挥效力，也在于低碳经济本身需要国家干预的性质，而国家干预的度则须由法律来确定。低碳经济法律制度构建的可行性则在于其运行已经具备一定的法律基础，国际相关立法可以为其提供有益借鉴，而我国目前已经初步具备低碳经济立法的条件。
第五，“我国低碳经济法律制度建设情况及存在的不足”。我国近年来十分重视国内的节能降耗工作，出台系列相关政策措施，在立法方面已经有了低碳经济法律制度的基础。但是，我国低碳经济法律制度还存在诸多缺陷，表现为国家低碳经济发展战略尚未确立，能源领域的基本立法与专门立法空白，相关领域低碳法制不健全，现行立法存在先天缺陷等。
第六，“建立和完善我国低碳经济法律制度的几点思考”。在低碳经济发展思路方面，我国必须理性选择低碳经济制度保障路径，并合理设计低碳经济法律制度体系，强化低碳经济相关法律的执行与监督。在具体措施方面，则须确立我国低碳经济国家战略，抓紧制定低碳经济战略性立法如《低碳经济法》，强化对现有立法的修订，并在相关立法中引入低碳经济理念及概念，完善能源等各领域立法，形成以低碳经济基本立法为统领，以能源领域相关立法为核心，以各层次低碳经济相关法律法规为补充的低碳经济法律制度体系，并着力解决低碳经济立法过程中诸如国家利益维护、法律的协调性及法律的适用等相关问题，确保我国低碳经济法律制度建设的科学性。
Low-carbon economy is the economy embodied the sustainable development idea,the goal of which is to deal with the global greenhouse effect, to lead the world to agood future. Low-carbon economy contains a technical, or a systematic quality, thesystematic legislations of which are great promotions for its development, which arealso the strategic measures for countries to control the greenhouse gases, to restrain theglobal warming, and to help them to step to the low-carbon future. In order to reach thelow-carbon society,creating a systematic measure is a necessity, a low-carbonpromotion measure in which the legislations are the core is not only a demand for thedevelopment of low-carbon economy but the requirement for the government to enactits power for market intervention, which is the remedy for the market limitation.Bearing the premise that low-carbon economy needs regulating by rules, thisdissertation hopes to purify the conception of low-carbon economy, through theexploration of its theoretic basis, comparing of different countries’ legislative practice,to construct the frame of low-carbon legislations, and to make a reasonable consultationfor the perfection of Chinese low-carbon legislations. This paper contains eight chapters,includes the introduction, the text, and the conclusion, the text holds the following sixkey parts:
First, the general review of the low-carbon economy. Low-carbon economy isa new form of economy containing the idea of sustainable development, the3Lprinciples (low emission, low consumption of energy, and low pollution), and by way oftechnique innovation, system creation, industry shifting, new energy exploitation, toreach the economic and environment goals. It is a kind of civilization after the primal,agricultural and industrial civilization. It originated from the global warming anddeveloped in the developed countries, its development is under the framework of theinternational convention, affirmed by the national strategy, protected by the legislations.Low-carbon economy is a new economy that leads the nations to a new economicgrowth pattern, forward to a green, clean and sustainable future. The concept oflow-carbon economy not only contains the idea of sustainable development,environment protection and energy safety, but also is an innovation from the ecotypiceconomy, cyclic economy and green economy; they all contain the view of developmentunder the ecological civilization.
Second, the analysis on the basic construction of the low-carbon legislations. Thelow-carbon economy involves many areas, holds a great content. Collectively, thelow-carbon economy legislations can be divided into three parts: The legislation ofenergy saving and emission reduction; the legislation of traditional energy substitutionand the carbon control legislation. The legislation of energy saving and emissionreduction aims at promoting the energy ratio, which requires the saving and efficiencyusing of energy, reducing the carbon emission. Legislation of traditional energysubstitution leads to the shifting of the consumption structure of energy, to realize theemission reduction through exploration for the clean, low-carbon sorts of energy. Thecarbon control legislation aims at controlling the greenhouse gas by ways of thelow-carbon techniques. These three parts of legislation cover all of the laws oflow-carbon economy. The legislation of energy saving and emission reduction and thecarbon control legislation have the same purpose trying to prevent the gases fromemitting into the air, the legislation of traditional energy substitution aims at promotingthe exploration for the clean and low-carbon energy in order to substitute the traditionalfossil energy. The above three kinds of respectively independent legislations constructthe protective system for low-carbon economy.
Third, the enlightenment of the construction of low-carbon legislations abroad. Thelow-carbon economy created from the international conventions, which is the measurefor the developed countries to reduce the emission of CO2according to the internationalconvention. In order to construct the system of low-carbon legislations,the UnitedKingdom established the national low-carbon strategy first, and accordingly establishedthe basic law of low-carbon economy accompanied by the relatively legislations.Australia just chooses the emission reduction as the breakthrough to constitute its ownlegislations, and forms a set of laws concerning “carbon capture and storage”, creatingthe “rights of carbon access” and the “rights of carbon property”. The U.S. emphasizesthe creation and amendment of laws, and forms a set of low-carbon legislations;moreover, it creates collectively a set of low-carbon bills to promote the whole nation’slow-carbon economy. Japanese is a nation emphasizing the protection of environmenthistorically, it has formed a set of environmental laws before it decides to create thelow-carbon society, after that, Japanese makes a great amendment for its formerlegislations and creates the new laws, and forms a complete set of low-carbonlegislations which contains the basic law, the comprehensive laws and the regulationsand rules.
Forth, the necessity and possibility to construct the legal system of low-carboneconomy in China. The necessity to construct the legal system of low-carboneconomy is that the international rules need to be transferred as the nationalrules,and that the low-carbon economy embodies the idea that the government hasthe power to intervene the market, and the low-carbon economy itself calls for thegovernment intervention, which needs the laws to regulate the boundary of thegovernmental intervention. The possibility to construct the legal system oflow-carbon economy is that there is a certain kind of legal basis, and has the foreignlegislations to be borrowed, the condition to construct the legal system of lowcarbon economy has come into being.
Fifth, the deficiency of the low-carbon economy legislations in China. Recentyears, the government of China emphasizes the energy saving and emission reduction,and comes out with a set of policies and laws to promote the energy efficiency,low-carbon legal system has appeared more and more clear, but undoubtedly, it is far tobe perfected. The low-carbon economy hasn’t to be affirmed as a national strategy,which disturbs the formation of the basic law of low-carbon economy, moreover, thebasic law and some professional laws in the energy area are still in vacancy, the currentlaws still have their great limitations.
Sixth, the reflection of building and perfecting the China’s low-carbon legislations.In order to perfect the legislations in China, we should have a clear idea to thelow-carbon development, and select a reasonable systematic protection way, design alegal system of low-carbon economy in reason; emphasize the employment andsupervising of the laws. Particularly speaking, we should establish the national strategyforwards to the low-carbon economy, and try to create the act of low-carbon Economy,quicken the step of amendment of current laws, introducing the notion and terms oflow-carbon economy into them, perfect the laws in the area of energy, and pay muchattention to the problems such as how to protect the national interests during the processof regulating the low-carbon economy by legislations; how to balance the powerbetween the laws; how to ensure the effect of the laws, etc., in order to form a completeset of low-carbon legislations, which can ensure the development of low-carboneconomy for China.
引文
①参见全国人大常委会执法检查组:《关于检查<中华人民共和国节约能源法)实施情况的报告》。转引自文绪武《能源法律实施的制度创新》，上海社会科学界第六届学术年会文集（2008年度）政治、法律、社会学科卷，第430页。
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