论碳排放权交易合规中行政监管的制度优化

On the Institutional Optimization of Administrative Supervision in Carbon Emissions Trading Compliance

在双碳目标下引导碳交易企业积极主动地开展自我合规,是健全碳排放权交易市场的重要路径,亦是国家行政监管模式发展成功的关键。规制理论为我国碳排放权交易合规中的行政监管提供了规范性启示和有益性借鉴。我国碳排放权交易合规管理的行政监管不断优化的过程,是回应型规制、智慧型规制和后设规制从理论逻辑转化为实践逻辑的过程。目前,我国碳排放权交易合规管理的行政监管存在立法规范相对滞后,风险管理明显不足以及配套机制付之阙如等问题,可从三个方面来推动我国碳排放权交易合规中行政监管的优化:完善协同性“碳合规”法律体系,提升碳排放权交易相关法律位阶,发布碳排放权交易合规管理指引;加强多元性“碳合规”风险管理,事前采取源头预防,事中贯穿风险沟通,事后加大处罚力度;结合我国“碳合规”管理的现状,建立行政执法和解、处罚裁量规则激励和社会声誉型激励等激励性“碳合规”监管机制,力图为实现双碳目标贡献思路与方案。

Guiding carbon trading companies to actively carry out self-compliance with carbon peaking and carbon neutrality goals is an important path to a sound carbon emissions trading market and is also the key to the successful development of the national administrative supervision model.Regulation theory provides normative inspiration and useful reference for administrative supervision in China's carbon emissions trading compliance.The process of continuous optimization of administrative supervision in China's carbon emissions trading compliance management is the process of transforming responsive regulation,intelligent regulation and postulated regulation from theoretical logic to practical logic.At present,China's administrative supervision of compliance management in carbon emissions trading has problems such as relatively lagging legislative norms,obvious insufficiency of risk management,and lack of supporting mechanisms.The optimization of administrative supervision in China's carbon emissions trading compliance can be promoted from three aspects:firstly,perfecting the synergistic"carbon compliance"legal system,improving the status of carbon emissions trading laws,and issuing guidelines for compliance management of carbon emissions trading;secondly,strengthening the diversified"carbon compliance"risk management,taking source prevention in advance,making risk communication throughout the process,and increasing punishment afterwards;finally,establishing incentive"carbon compliance"supervision mechanisms,such as administrative enforcement settlements,incentives for penalty and discretionary rules,and social reputation incentives in light of the current situation of China's"carbon compliance"management,in an attempt to contribute ideas and solutions to the achievement of carbon peaking and carbon neutrality goals.