最优处罚原则下的碳排放交易市场监管探讨

Exploration on the regulation of carbon emission trading market under the principle of optimal punishment

中国碳市场试点城市碳减排取得巨大成就的根本原因在于实现了行政监管与市场机制的有效结合,而政府实施有效监管的理论基础则是最优处罚原则。基于最优处罚原则的要求,当前碳排放权交易监管面临着依据不完善、主体不明确、地方差异性大以及效果缺乏有效评估等问题,现有的监管机制并未发挥出应有的约束和震慑作用。要想发挥出监管效能的最大化,必须坚持以最优处罚原则为理论基础完善制度设计。首先,科学设定监管法律的框架和内容,提高罚款数额,实行倍率式处罚;其次,建立多元主体执法模式,加强跨部门跨区域协同治理,综合运用声誉罚、财产罚和资格激励等手段;最后,建立全国性的碳监测信息管理平台,健全碳排放信息公开制度,及时向社会公开碳排放权取得、流转和消灭的全过程,有效评估执法机构的执法效果和重点排放企业的整改状况,实现有效执法。

The fundamental reason for the great achievements in carbon reduction in Chinese pilot cities in the carbon market is the effective combination of administrative regulation and market mechanisms.The theoretical basis for effective government regulation is the principle of optimal punishment.Based on the requirements of the principle of optimal punishment,the current regulation of carbon emissions trading faces problems such as incomplete basis,unclear subjects,large regional differences,and lack of effective evaluation of results.The existing regulatory mechanisms have not exerted the necessary constraints and deterrent effects.In order to maximize the effectiveness of regulation,it is necessary to adhere to the principle of optimal punishment as the theoretical basis to improve institutional design.Firstly,scientifically set the framework and content of regulatory laws,increase the amount of fines,and implement multiplier-style punishments.Secondly,establish a multi-subject law enforcement model,strengthen cross-department and cross-regional collaborative governance,comprehensively use reputation penalties,property penalties,and qualification incentives.Finally,establish a national carbon monitoring information management platform,improve the carbon emission information disclosure system,timely disclose the entire process of obtaining,transferring,and eliminating carbon emission rights to the society,effectively evaluate the law enforcement effectiveness of law enforcement agencies and the rectification status of key emitting enterprises,and achieve effective law enforcement.