碳排放权交易违约罚则与履约责任优化路径

Contract Breach Penalty and Performance Liability Optimization Path in Carbon Emission Right Trading

碳排放权交易违约罚则与责任规制具有预防碳排放管控单位拒不履约风险和弥补违法履约不利后果的意义。现行碳排放权交易违约罚则与责任规制存在违约处罚标准模糊,履约责任方式限度狭隘,对违约罚则标准限度、责任规制成本及履约目标实现水平三者关系考量不周,以及忽视按日计罚制度与企业激励制度的协同效用等问题。从理论上对违约处罚标准及责任方式限度、责任规制成本与履约目标实现水平的衡平条件予以证成,进而实现对违约罚则与履约责任的设计优化。借鉴域外国家碳排放权交易罚则制度在惩罚标准、方式限度及分级累进等方面的经验及优势,建议渐增未达履约目标企业之的违约成本并设置合理的罚则限度,推行“组合式”惩罚模式,严格碳排权交易中违约责任之执行,在实操细则中参考借鉴分级累进制度和企业激励政策,完善配套辅助措施。

Contract breach penalty and liability regulation in carbon emission right trading have the significance of preventing the risk of carbon emission control units’ refusing to perform contracts and making up for the adverse consequences of illegal contract performance. The current contract breach penalty and liability regulation in carbon emission right trading have such problems as vague standards for contract breach penalty, narrow limitation of performance liability mode, inadequate consideration of the relationship between contract breach penalty standard limitation, liability regulation cost and performance goal achievement level as well as negligence of the synergistic effect of introducing the daily penalty system and the enterprise incentive system. Theoretically, the equitable conditions between contract breach penalty standards and liability mode limitation as well as between liability regulation cost and performance goal achievement level are proven so as to optimize the design of contract breach penalty and performance liability. In view of the experience and advantage of foreign countries in terms of penalty standard, mode limitation and graded progression of carbon emission right trading penalty system, it is suggested to gradually increase the contract breach cost of the enterprises that fail to meet the performance goal and set a reasonable penalty limitation, implement the “combined” penalty mode and strictly enforce the contract breach liability in carbon emission right trading, and perfect the supporting auxiliary measures in the detailed practical operation rules by referring to hierarchical progressive system and enterprise incentive policies.