【作者】 李静；

【导师】 柯坚；

【作者基本信息】 武汉大学 ， 环境与资源保护法学， 2022， 博士

【摘要】 “双碳”目标是我国在全球气候变化的背景下,基于国际责任和国家战略需求,以政策方式所确立的国家目标,其实现既有赖于先进技术的突破、创新与规模化运用,更需要有力的法制保障。在“双碳”目标的“1+N”政策体系部署下,处于前沿领域的能源法不断加快法制化进程。虽然基于法律的政治逻辑,“双碳”目标下能源法的功能将从传统的能源供给保障功能、能源效率保障功能与环境保护功能进一步扩展至能源低碳功能,但能源法虽是“双碳”目标实现的工具手段,其也应在自身的逻辑范围之内对“双碳”目标的运行方向与内在品质施加积极的正面影响。这意味着能源法低碳功能转型不应简单地按照“刺激-反应”的线性模式做出单纯的法制因应,而应基于“法制”与“法治”之间历史逻辑的承接性、理论逻辑的递进性以及实践逻辑的交叠性,实现从法制进路到法治进路的深化与蜕变。由此,如何在理性的进路选择下形成公平、合理、有效的能源法低碳功能转型法治方案,使能源法在实现自身进化的基础上回应“双碳”目标的实现需求,则是本文的研究旨趣所在。基于此,本文具体内容由四章构成。第一章构成全文论证的前提部分,主要阐释“双碳”目标的概念、背景,解读其战略性与实现路径,以对全文的逻辑起点进行限定,为后文展开论证条件。当前,在全球应对气候变化的科学认知和政治共识不断聚焦“双碳”目标,持续推动能源低碳转型发展进而促使国际秩序低碳化转型的国际背景下,我国虽承受巨大的减排压力与经济发展压力,但始终以负责任大国的担当积极参与全球气候变化治理,提出了“双碳”的国家承诺。“双碳”目标作为党中央的“重大战略决策”,是我国基于国际责任和国家战略需求,以政策方式所确立的国家目标,具有驱动我国经济社会系统性变革的战略意义。从当前“双碳”目标的“1+N”政策部署来看,能源低碳转型是实现“双碳”目标的核心路径。第二章提出“双碳”目标下能源法低碳功能转型的中心命题。通过梳理“双碳”目标的政策法律基础发现,目前,“双碳”目标的“1+N”政策体系正在形成,并要求“双碳”目标法制化进程的加快,其中,能源法处于前沿领域。从法与社会的关系来看,法律的功能是法律本质的外化。“双碳”目标下,能源法的社会功能必将从传统的能源供给保障、能源效率保障与环境保护进一步扩展至能源低碳功能,以通过能源法规制与引导社会主体的行为,实现社会的主体能源、主体电源从化石能源到非化石能源、新能源的转型,最终形成能源低碳型社会。能源法低碳功能转型成为必然选择的外在动因在于能源立法的政治逻辑,其内在动力则在于能源法的领域属性。然而,我国现行能源法低碳功能虽经历了从缺位、隐现到显现的法制演进,但仍面临着不足以支撑“双碳”目标实现的法制挑战。对此,“双碳”目标“1+N”政策体系提出了能源法低碳功能转型的法制因应需求。而在能源法低碳功能的法制建构中,也面临着供给安全与环境安全之间、效率与公平之间的价值张力,以及能源法律体系缺乏完整性与协调性、能源低碳转型的制度保障不足等规范风险。第三章围绕“双碳”目标下能源法低碳功能转型这一中心命题,提出以审慎功能主义作为能源法低碳功能建构的法治进路选择。“双碳”目标下能源法低碳功能法制建构中的价值张力与规范风险,很可能将对我国能源低碳转型与“双碳”目标的实现带来极大阻碍,阻滞“双碳”目标驱动与引领下的经济社会系统性变革。因而能源法低碳功能建构应从法制化向法治化升级,但其法治建设也存在着进路选择的问题。能源法低碳功能法制建构中的价值张力与规范风险,本质上折射了能源法律的自主性与应变性之间关系的平衡与协调问题。为此,有必要引入“功能主义-规范主义”分析框架,借助功能主义的应变性以助推能源法低碳功能建构,以及运用规范主义的自主性以克服能源法过度工具化带来的法治风险以及能源法价值张力下的能源供给安全风险。进而在此分析框架下,提出能源法低碳功能建构应以审慎功能主义作为法治进路的理性选择。这要求能源法低碳功能建构应以法治为前提,并遵循形式理性、价值融贯性以及功能理性的理性要求。一方面,在价值融贯性要求下,首先要在把握“双碳”目标所蕴含的可持续发展价值目标的基础上,认识到能源法的安全、效率与公平价值的合理性;其次,应以生态实践理性作为价值选择的理性精神指引,为可持续发展价值与能源法价值搭建相互融通的桥梁;最后,确立整体性原则、递进原则、共同但有区别的责任原则、基本用能权保障原则等价值原则,保障能源法多元价值在能源低碳转型的社会实践中的协同发展。另一方面,在功能理性要求下,能源法低碳功能的提升应在融贯能源供给保障、能源效率保障与环境保护功能的前提审慎地展开,并创设利益调控机制与社会整合机制作为能源法低碳功能转型的法治风险防范机制,强调国家能源供给安全利益优先的原则,确保安全降碳。第四章旨在构建符合审慎功能主义进路所要求的价值融贯性、功能理性与形式理性要求,因应“双碳”目标的合理、有效与公平的能源法低碳功能转型法治方案。一方面,能源法的体系重构应达到独立性与融合性、稳定性与开放性两个统一,形成兼具自主性与应变性的法律体系,明确“碳达峰碳中和目标”为能源法的直接规制目标,健全以能源基本法为核心的、内在协调的能源法体系,加强能源法与相关法律的协同,以及强化能源法律与能源政策的衔接。另一方面,能源法的制度构造应以“双碳”目标为导向,以能源法低碳功能的提升与价值张力的纾解、法治风险的规制为面向,形成基于节能减碳增效、非化石能源促进、化石能源低碳化、协同治理等进路的“制度群”,并对个人、企业基本用能权保障的制度缺失予以补足,以确保在能源供给安全的前提下提升能源环境安全价值,推动能源法低碳功能公平、合理、有效地提升与实现。更多还原

【Abstract】 China’s carbon peak and carbon neutrality goals are national goals set in a policy manner based on China’s international responsibilities and national strategic needs in the context of global climate change.The realization of these two goals not only depends on the breakthrough,innovation and large-scale application of advanced technology,but also requires a strong legal guarantee.Under the deployment of the "1+N" policy system with the goal of the carbon peaking and carbon neutrality goals,the energy law in the frontier field has been accelerating the process of legalization.Based on the political logic of the law,the function of the energy law under the carbon peaking and carbon neutrality goals will be further expanded from the traditional energy supply guarantee function,energy efficiency guarantee function and environmental protection function to the function of low-carbon energy.While energy law is a tool for achieving the carbon peak and carbon neutrality goals,it should also,within its own logic,positively influence the direction and intrinsic quality of the goals.This means that the transformation of the low-carbon function of energy law should not simply follow the linear model of "stimulus-response" to make a purely legal response,but should realize the deepening and metamorphosis from the legal path to the rule of law path based on the continuity of historical logic,the progressiveness of theoretical logic and the overlapping of practical logic between "legal system" and "rule of law".Therefore,the research purport of this paper is how to form a fair,reasonable and effective legal scheme of low-carbon function transformation of energy law under a rational choice,so that energy law can respond to the realization of the carbon peaking and carbon neutrality goals on the basis of realizing its own evolution.Based on this,this paper consists of four chapters.The first chapter constitutes the premise part of the thesis,mainly explaining the concept and background of the carbon peaking and carbon neutrality goals,interpreting its strategy and realization path,and limiting the logical starting point of the thesis as the premise of the thesis.At present,in the international context where global scientific knowledge and political consensus on climate change are constantly focused on the goal of carbon peaking and carbon neutrality,and the low-carbon energy transition continues to develop and promote the low-carbon transformation of the international order,China,despite the enormous pressure of emission reduction and economic development,has always taken an active part in global climate change governance with the role of a responsible power and put forward the national commitment of carbon peaking and carbon neutrality.As the "major strategic decision" of the Communist Party of China Central Committee,the carbon peaking and carbon neutrality goals are national goal established by policy based on international responsibilities and national strategic needs,and has strategic significance to drive the systematic transformation of China’s economy and society.From the current "1+N" policy deployment of the carbon peaking and carbon neutrality goals,low-carbon energy transition is the core path to achieve the carbon peaking and carbon neutrality goals.The second chapter puts forward the central proposition of low-carbon function transformation of energy method under the carbon peaking and carbon neutrality goals.By sorting out the policy and legal basis of the carbon peaking and carbon neutrality goals,it is found that the "1+N" policy system of the carbon peaking and carbon neutrality goals is taking shape,and requires the acceleration of the legalization process of the carbon peaking and carbon neutrality goals,among which the energy law is in the forefront.From the relationship between law and society,the function of law is the externalization of law essence.Under the carbon peaking and carbon neutrality goals,the social function of energy law will be expanded from the traditional energy supply guarantee,energy efficiency guarantee and environmental protection to the function of low carbon energy.The external motivation for the transformation of low-carbon function of energy law into an inevitable choice lies in the political logic of energy legislation,and its internal motivation is that energy law belongs to field law.However,although the low-carbon function of China’s current energy law has undergone legal evolution from absence,looming to appearance,it still faces legal challenges that are not enough to support the realization of the carbon peaking and carbon neutrality goals.In this regard,the carbon peaking and carbon neutrality goals "1+N" policy system puts forward the legal response to the demand of low-carbon function transformation of energy law.However,in the legal construction of the low-carbon function of energy law,it faces the tension between different legal values,including the tension between supply security and environmental security,and the tension between efficiency and equity.At the same time,it also suffers from normative risks such as the lack of integrity and coordination of the energy legal system and insufficient institutional guarantees for low-carbon energy transition.The third chapter,centering on the central proposition of low-carbon function transformation of energy law under the carbon peaking and carbon neutrality goals,puts forward the choice of legal approach of constructing low-carbon function of energy law with prudent functionalism.The value tension and normative risks in the construction of low-carbon function legal system of energy law under the carbon peaking and carbon neutrality goals are likely to bring great obstacles to China’s low-carbon energy transition and the realization of the carbon peaking and carbon neutrality goals,and block the systematic economic and social reform driven and led by the carbon peaking and carbon neutrality goals.Thus,the construction of low-carbon function of energy law should be upgraded from the legal system to the rule of law,but there is also a problem of choosing the way forward for its rule of law construction.The value tension and normative risk in the construction of low-carbon function legal system of energy law essentially reflects the balance and coordination of the relationship between autonomy and adaptability of energy law.Therefore,it is necessary to introduce the analytical framework of "functionalism-regularism" to promote the construction of low carbon function of energy law by virtue of the adaptability of functionalism,and to overcome the legal risk caused by excessive instrumentalization of energy law and the risk of energy supply security under the value tension of energy law by using the autonomy of regularism.In this framework,it is proposed that prudent functionalism should be the rational choice for the construction of low-carbon function of energy law.This requires that the construction of low-carbon function of energy law should be based on the rule of law and follow the rational requirements of form rationality,value coherence and functional rationality.On the one hand,under the requirement of value coherence,we should first understand the rationality of the security,efficiency and fair value of energy law on the basis of grasping the sustainable development value objectives contained in the the carbon peaking and carbon neutrality goals.Secondly,ecological practice rationality should be taken as the rational spiritual guidance of value selection to build a bridge of mutual integration between sustainable development value and energy law value.Finally,value principles such as the principle of wholeness,the principle of progressivity,the principle of common but differentiated responsibilities,and the principle of guaranteeing the basic right to use energy are established to guarantee the synergistic development of multiple values of energy law in the social practice of low-carbon energy transition.On the other hand,under the requirement of functional rationality,the enhancement of the low-carbon function of energy law should be carried out prudently on the premise of integrating the functions of energy supply security,energy efficiency security and environmental protection,which means it is necessary to create an interest regulation mechanism and social integration mechanism as the rule of law risk prevention mechanism for the transformation of the low-carbon function of energy law,in order to emphasize the principle of national energy supply security interests first,so as to ensure the reduction of CO2 emissions under the premise of ensuring supply security.The fourth chapter aims to construct a reasonable,effective and fair legal scheme for low-carbon function transformation of energy law in line with the requirements of form rationality,value coherence and functional rationality required by prudent functionalism approach.On the one hand,the reconstruction of the energy law system should achieve the unity of independence and integration,stability and openness,form a legal system with both self-variability and adaptability,clarify the "carbon peaking and carbon neutrality goals" as the value objective of energy law,improve the energy law system with the basic energy law as the core and inherently coordinated,strengthen the synergy between energy law and related laws,and enhance the interface between energy law and energy policy.On the other hand,the institutional structure of energy law should be oriented to the goals of carbon peaking and carbon neutrality,the enhancement of the low-carbon function of energy law,the relief of value tensions and the regulation of risks under the rule of law,and the formation of "institutional clusters" based on energy conservation,carbon reduction and efficiency,promotion of non-fossil energy,low-carbonization of fossil energy and collaborative governance,and the complementation of institutional deficiencies in the protection of basic energy rights of individuals and enterprises.So as to ensure that the value of energy environment security is enhanced under the premise of energy supply security and promote the low-carbon function of energy law fairly,reasonably and effectively.更多还原