中国人口·资源与环境2025，Vol.35Issue(5)：24-34,11.DOI:10.12062/cpre.20241136
碳配额初始分配的央地事权配置模式反思与重构
Reflection on the central-local authority allocation model for the initial distribution of carbon emission allowances and its reconstruction
摘要
Abstract
Carbon emissions trading is an important policy tool for addressing climate change,and the initial allocation of carbon emis-sion allowances,as a core element of the carbon trading system design,is directly related to the interests and emission reduction respon-sibilities of trading entities.Under China's multi-level government governance structure,scientifically and reasonably defining and allo-cating central-local authority in the initial distribution of carbon emission allowances is crucial for promoting the construction of the car-bon market and enhancing the effectiveness of carbon emission management.Based on this,this study adopts a normative analysis meth-od to examine the central-local authority allocation model for the initial distribution of carbon emission allowances in China.The study finds that the current central-local authority allocation for the initial distribution of carbon emission allowances in China exhibits struc-tural imbalances in three aspects:the centralization of horizontal authority versus the devolution of vertical responsibilities,bottom-up allowance determination versus top-down allowance decomposition,and the insufficient authority of local governments versus overbur-dened local functional departments.This study concludes that these imbalances in the central-local authority allocation for the initial distribution of carbon emission allowances stem from the combined effects of divergent behavioral logics shaped by central-local goal deviations under the"administration of interests"and the process-oriented regulatory authority allocation logic under the"principal-agent"mechanism.Allowing the current dilemma in authority allocation for the initial distribution of carbon emission allowances neces-sitates following key principles:shifting the authority allocation model from a hierarchical system to a contracting system;strengthening provincial government authority from absence to presence;and evolving authority allocation goals from process orientation to result ori-entation.It is recommended that in the future,a dedicated chapter on initial allocation of carbon emission allowances should be includ-ed in the Carbon Emissions Trading Management Law and that a central-local authority list that balances"control"and"empower-ment"be constructed through a"limited contracting"framework.On this basis,the powers and functions of provincial governments should be legally defined in accordance with the principle of"territorial management,"thereby reinforcing their leading role in the over-all coordination of regional carbon emission management.At the same time,legal responsibility provisions should be improved,and a"common but differentiated"central-local collaborative governance and responsibility-sharing model should be developed to achieve the transformation from procedural compliance to target assessment and from behavioral responsibility to outcome responsibility.Only in this way can a carbon emission allowance allocation authority system with clear boundaries,efficient functions,and appropriate re-sponsibilities be formed,thereby providing a legal guarantee for promoting the high-quality development of the carbon market.关键词
"双碳"目标/碳配额初始分配/碳排放权交易/央地事权/碳配额/碳排放权Key words
"dual carbon"goals/initial allocation of carbon emission allowances/carbon emissions trading/central-local authority/carbon allowance/carbon emission rights分类
社会科学引用本文复制引用
张小康,李冰强..碳配额初始分配的央地事权配置模式反思与重构[J].中国人口·资源与环境,2025,35(5):24-34,11.基金项目
国家社会科学基金一般项目"国土空间用途管制制度研究"(批准号:20BFX159) （批准号: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"(批准号:21ZDA091) （批准号:21ZDA091）
山西省哲学社会科学规划课题"实行碳达峰山西行动的法治保障研究"(批准号:2023YJ018). （批准号:2023YJ018）
