从科层到发包:碳排放配额初始分配央地事权的规范配置  

From Bureaucracy to Outsourcing:The Normative Configuration of the Central-local Authority for the Initial Allocation of Carbon Emission Quotas

作　　者：张小康 李冰强[1] ZHANG Xiao-kang;LI Bing-qiang

机构地区：[1]山西大学法学院,山西太原030006

出　　处：《中国地质大学学报（社会科学版）》2024年第6期51-65,共15页Journal of China University of Geosciences(Social Sciences Edition)

基　　金：国家社会科学基金项目“国土空间用途管制制度研究”(20BFX159);国家社会科学基金重大项目“生态文明视野下自然资源资产产权法律制度研究”(21ZDA091)。

摘　　要：我国碳排放权交易体系进入全国碳市场与地方碳市场并存的“双轨制”运行阶段,碳排放配额初始分配的央地事权配置面临新的规范需求。当前碳配额初始分配的央地事权配置深受科层治理模式的影响,呈现横向事权集中与纵向事责下放的部门“垂直”主导;被悬置的地方政府与委重任的地方职能部门的横向“属地”虚置;碳配额分配中央委托事权与地方固有事权的交织形态。受“集权-分权”思维局限的科层事权配置加剧央地权界封闭、权能受限、权责错位的固有弊端,造成双轨结构下碳配额分配央地事权边界固化、层级管理下碳配额分配主体功能式微、目标考核下事权与事责分离导致的行动乏力。优化碳配额分配央地事权配置须遵循“控权-赋权”理念,实现央地权界由“中央主导-地方配合”向“地方实施-中央监督”的动态调整;以“有限发包-省级统管”实现央地权能的高效配置;以“共同但有区别”的合作治理与责任分工实现央地权责精准适配。未来应以“专章立法+权力清单”为载体,采取概括式与列举式相结合的立法模式,从形式法治到实质法治对央地碳配额分配事权展开体系化构建。As China’s carbon emission trading system enters a“dual-track”operation stage with the coexistence of the national carbon market and local carbon markets,the configuration of central-local authority for the initial allocation of carbon emission quotas faces new regulatory requirements.The current configuration is deeply influenced by the bureaucratic governance model,presenting a departmental“vertical”dominance of horizontally centralized authority and vertically decentralized responsibility;a horizontal“territorial”hollowing out of the suspended local governments and the local functional departments entrusted with heavy responsibilities;and an intertwining form of central delegated authority and local inherent authority in carbon quota allocation.The bureaucratic authority configuration limited by the“centralization-decentralization”thinking exacerbates the inherent drawbacks of closed central-local authority boundaries,restricted authority functions,and misaligned authority and responsibility,resulting in the solidification of central-local authority boundaries for carbon quota allocation under the dual-track structure,the diminishing of the functions of carbon quota allocation entities under hierarchical management,and the lack of action caused by the separation of authority and responsibility under target assessment.To optimize the configuration of central-local authority for carbon quota allocation,we must follow the concept of“control-empowerment”so as to realize the dynamic adjustment of central-local authority boundaries from“central dominance-local cooperation”to“local implementation-central supervision”;achieve efficient allocation of central-local authority functions through“limited outsourcing-provincial overall management”;and achieve precise matching of central-local authority and responsibility through cooperative governance and responsibility division of“common but differentiated”.In the future,“special legislation+power list”should be used as the carrier,

关 键 词：碳排放配额初始分配 碳排放权交易 央地事权 条块分割 科层治理 有限发包 

分 类 号：D922.601[政治法律—环境与资源保护法学]