排污权交易制度研究

【作者】 董国军；

【导师】 杨士龙；

【作者基本信息】 昆明理工大学 ， 环境与资源保护法， 2009， 硕士

【摘要】 排污权交易制度最早是由美国经济学家戴尔斯提出,之后被美国联邦环境保护局用于大气污染及水污染的治理,随着该制度在美国实施取得的显著效果,德国、日本等国也相继进行了排污权交易相关立法和实践,并取得了一定的效果。1999年美国环保协会将排污权交易介绍并正式引入中国后,我国已先后在多个地方展开了排污权交易的试点工作,积累了一些宝贵经验,也遇到了一些问题。本文第一部分对排污权进行了分析。首先通过对环境权的分析,引出排污权,笔者认为排污权是环境权下的一项子权利,排污权它的实质就是对环境容量的使用权。接着指出了“排污权”和“污染权”的不同之处,排污是一个中性词,指向的是一种合法的行为,是在环境承载力之内的一种行为。而污染更多的是指向贬义,是一种违法的行为,是在超越环境承载力之外的一种行为。在肯定了排污权之后,笔者对排污权的特征、排污权类别、排污权性质进行了讨论,认为排污权属用益物权范畴。第二部分对排污权交易制度及其理论基础进行了分析。首先从国内一些学者关于排污权交易观点的介绍出发,指明了排污权交易的内涵。其次论述了排污权交易制度的理论渊源,主要介绍了“公有地悲剧论”、“外部性理论”、“资源稀缺论”、“科斯定理”,分析了排污权交易制度存在的制度合理性和可行性以及现实性；从我国目前的实际出发,分析了排污权交易制度的现实指导思想基础。在中共十七大上,我们提出了以人为本,全面、协调、可持续的发展的科学发展观,提出了建设环境友好型、资源节约型社会,而作为一项重要的环境经济政策---排污权交易制度,正顺应了科学发展观的要求,具有强烈的现实意义；分析了排污权交易制度的法律价值基础。公平和效率是法律的两个基本价值,而排污权交易制度是以经济手段刺激企业减少排污量和充分利用环境容量资源,它既体现了公平和效率的价值取向。第三分对中美两国排污权交易的立法和实践进行了比较。首先以美国排污权交易的实践和立法为例,介绍了美国排污权交易政策的一些具体制度,如气泡政策、抵消政策、银行政策等,分析了排污权交易制度的优点及取得的实效；其次,以时间为主线介绍了我国实施排污权交易制度立法和实践的基本情况；最后在上述分析的基础之上,对中美两国排污权交易制度的法律地位、实施效果、实施条件、推进手段等四个方面的差异进行了比较,以期对构建出符合中国国情的排污权交易制度打牢基础。第四部分在分析的过程中,结合前面介绍的理论基础,分别从效益角度分析了我国实施排污权交易的必要性、从条件角度分析了我国实施排污权交易的可能性。首先指出了该制度所具有的独特的经济效益、社会效益、环境效益,对环境资源配置、污染物总量控制、环境质量控制、宏观调控都起到积极作用,从效益角度论证了在我国实施排污权交易制度的必要性；其次对我国实施排污权交易的积极有理条件进行了分析,具体阐述了我国在排污权交易制度方面的有益探索和实践,如总量控制和排污许可证制度的试点和推行、丰富的实践经验、高效率低成本的刺激等,这些积极条件都为我们构建该制度提供了可能性。同时,笔者也提出了我国在实施该制度的过程中存在的一些消极因素,需要我们在制度构建和具体实践环节中予以面对解决,这也为本论文最后一部分内容的完成作了烘托和铺垫。最后一部分笔者对我国排污权交易制度构建作了分析和思考,从该制度需解决几个重要方面和关键环节入手,力求通过抓主要矛盾来构建和完善该制度。重点思考和分析了以下几个方面：首先应确定排污权交易制度的基本原则,如总量控制与浓度控制相结合的原则、意思自治原则、污染物申报登记原则、政府监管原则等；其次要对排污权和排污权交易制度进行立法,并提出了该制度的立法模式；再次,根据我国排污权交易的试点情况,重点分析了制度构建中需解决的几个关键问题,如排污权的初始分配问题,排污权交易的主体、种类问题,总量控制问题等；最后,笔者认为,要是排污权交易制度能在我·国得到顺利施行和广泛铺开,还必须建立和推行与排污权交易制度配套的一系列环境经济政策,如绿色税收、绿色资本市场等,以激励和推动排污权交易制度的实施,通过这些制度的建立和完善,使制度与制度之间形成一种相辅相成、相互促进、相互支撑的关系。在本文的整个写作过程中,笔者采用了法律经济学的分析方法、比较分析方法等。创新之处：一是在理论基础的分析上,不仅运用了经济学理论,还运用了科学发展观和法学基础理论；二是在分析实施该制度的必要性和可能性时,笔者分别以效益为切入点论述了必要性、以条件为切入点论述了可能性。三是在构建我国排污权交易的构想上,笔者通过抓主要矛盾的思路分析,提出在排污权交易制度构建中需要重点解决的几个关键问题,对排污权初始分配这个最具争议性的问题提出笔者的看法,提出了解决的思路。更多还原

【Abstract】 Waste discharging right trade system was firstly put forward by American economist Davis, and firstly used in administration of air pollution and river pollution by USA. After that, Germany, Australia, England and Japan made efforts on legislation and practice of waste discharging right trade system, and got some effects. In 1999, the system was brought in our country formally and was carried out for test in places, where some difficulties and problems arose as well as valuable experience.The first part of the paper hereafter analyzes the waste discharging right. Through the analysis about environment right, waste discharging right is argued as a sub-right of environment right, and is regarded as a kind of using right of environment capacity. Then, the writer points out the differences between waste discharging right and polluting right. Waste discharging right is a legal act within the capacity of environment. However, polluting is often negative as an illegal act beyond environment capacity. After the affirmation of the waste discharging right, the paper discusses the feature, sort and nature of the right and puts it into the category of usufruct.The second part analyzes the trade system of waste discharging right and the theoretical foundation of waste discharging right trade system. Firstly, It defines the connotations of the trade, Secondly, it discusses the economic theory source of the system and argues its rationality, feasibility and actuality. it argues the social base out of our country’s actual condition. it analyzes the law foundation of waste discharging trade. Efficiency and equity are two basic values of law, and the waste discharging right trade system uses economic methods to stimulate enterprises to reduce pollution and make full use of environment resources within its capacity, which embodies efficient principle as well as value of equity.The third part makes comparison about legislation and practice of waste discharging right trade in China and USA. It introduces some specific systems in USA, and analyzes their advantages and effects. Then, basic situation of the legislation and practice in our country is also introduced. The comparison is developed from the trade system’s legal status, enforcement effect, enforcement condition and promoting method in the two countries, attempting to find a hard base for the construction of the system in our country.The fourth part analyzes the necessity and possibility of the application of waste discharging right trade in our country, respectively in the perspective of efficiency and condition, In the process of analysis that combines the theoretical basis described above. It points out the system’s advantages in environmental resource disposal, pollutant amount control, environmental quality control and macro control, analyzes the positive conditions for the trade application in our country and illustrates good attempt and practice. At the same time, the writer comes up with some negative factors for the system’s application which need solving in the construction and practice of the system.’In the last part, the writer discusses the construction of waste discharging right trade system in our country and focuses on the following aspects:firstly, to define the basic principle of the system, such as pollutant registration principle and government supervision principle; secondly to legislate for waste discharging right and waste discharging right trade system; thirdly, to analyzes some key problems which need solving in the construction of the system; lastly, to set up and carry out some environmental economy policies to stimulate and promote the systems’enforcement.The whole paper adopts economic analyzing method and comparative analyzing method. There are following innovation. First, the paper uses not only economic theory, but also social and law theories. Second, the writer discusses the system’s necessity and possibility respectively in perspective of efficiency and condition. Third, on the construction of our country’s waste discharging right trade, the writer puts forward some key problems and comes up with solution to the most controversial issue.更多还原