“双碳目标”法治建设之司法保障：以福建生态环境司法实践为例

2023-12-27

一、双碳目标的司法服务体系构建

Construction of a Judicial Service System for the Double Carbon Goal

（一）最高人民法院明确保护自然资源的涉碳权利

The Supreme People’s Court explicitly defines the protection of carbon-related rights to natural resources

双碳指的是2020年9月中国提出2030年“碳达峰”与2060年“碳中和”目标。在双碳目标背景下，我国生态文明建设进入了以降碳为重点战略方向、推动减污降碳协同增效的关键时期。最高院发布了2021年《关于新时代加强和创新环境资源审判工作为建设人与自然环境和谐共生的现代化提供司法服务和保障的意见》（下称2021《意见》）和2023年《关于完整准确全面贯彻新发展理念为积极稳妥推进碳达峰碳中和提供司法服务的意见》（下称2023《意见》），明确了碳排放权、碳汇、碳衍生品等涉碳权利的重要性，以及应当依法妥当处理涉及确权、交易、担保以及执行民事纠纷。

‘The ‘Double Carbon Goal’ refers to China's target of "carbon peaking" by 2030 and "carbon neutrality" by 2060 proposed in September 2020. Against the background of the Double Carbon Goal, the construction of China's ecological civilization has entered a critical period setting carbon reduction as the key strategic direction and promoting synergy between pollution reduction and carbon reduction. The Supreme People’s Court issued the 2021‘Opinions on Strengthening and Innovating Environmental Resource Trials to Provide Judicial Services and Guarantees for Constructing the Modernization of Harmonious Coexistence of Human Beings and the Natural Environment in the New Era’(“2021 Opinions”) and the 2023 ‘Opinions on Providing Judicial Services for the Active and Steady Promotion of the Peak Carbon Achievement and Carbon Neutrality though Accurately and Comprehensively Implementing the New Development Idea’(“2023 Opinions”), which clarified the importance of carbon-related rights, such as carbon emission rights, carbon sinks and carbon derivatives, as well as the need for properly handling civil disputes related to the establishment of rights, transactions, guarantees and enforcement in accordance with the law.

（二）自然资源的涉碳交易的审判现状

Status Quoof Trials on Carbon-Related Transactions of Natural Resources

双碳背景下的生态环境领域《意见》明确了三方面：第一，明确自然资源的财产权属，涉及土地、草原、矿藏、森林、海域等领域的所有权与使用权；第二，构建了生态保护补偿机制，落实涉碳公益诉讼和生态环境损害赔偿案件的司法审判；第三，自然资源涉碳的争议解决方式多元化，行政调解、行政处罚与司法审判相衔接，实现调解、仲裁和诉讼有机衔接。

The Opinions in the field of ecology and environment in the context of Double Carbon Goal clarifies three aspects: first, clarification of the property rights of natural resources, involving the ownership and use of land, grassland, mineral deposits, forests, sea areas, etc.; second, construction of a compensation mechanism for ecological protection, and implementing the judicial trial of public-interest litigation and ecological and environmental damages; third, diversification of dispute settlement methods involving carbon in natural resources, linking administrative mediation, administrative penalties and judicial trials, and realization of the organic convergence of mediation, arbitration and litigation.

因此2021年与2023年《意见》中已明确了生态资源的涉碳权利以及一系列的司法保障。

Therefore, the carbon-related rights of ecological resources and a series of judicial guarantees is already clearly defined in the 2021 and 2023 Opinions.

二、福建省率先建立双碳目标之生态司法

Fujian Province Takes the Lead in Establishing Eco-Justice for Double Carbon Goals

在国家双碳目标的背景下，福建省司法审判积极发挥了司法能动性。

Against the background of the national Double Carbon Goal, the judicial system in Fujian Province has been actively utilizing judicial activism.

（一）制定生态司法审判工作指引

Formulation of Eco-Judicial Judicial Guidelines

福建省高级人民法院与福建省林业局联合制定《关于在生态环境刑事案件中开展生态修复适用林业碳汇赔偿机制的工作指引（试行）》（下称《指引》），特色在于充分发挥司法在保护森林资源、服务双碳目标的作用，实现受损森林资源修复从传统“补种复绿”到直接“碳汇赔偿”修复模式。有三种赔偿方式可供选择：折算碳汇损失赔偿金并用于营造碳汇林；购买并核销经核证的林业碳汇；购买并核销经福建省林业局备案。

The Fujian Provincial Higher People's Court and the Fujian Provincial Forestry Bureau have jointly formulated the ‘Guidelines on the Application of Forestry Carbon Compensation Mechanism for Ecological Restoration in Ecological and Environmental Criminal Cases (Trial)’ (“Guidelines”), which is characterized by giving full play to the role of the judiciary in the protection of forest resources and the service of the Double Carbon Goal, and realizing the restoration of damaged forest resources from the traditional “replanting and regreening” mode to the direct restoration mode through “carbon sink compensation”. Three compensation options are available: (1) commuted compensation for loss of carbon sinks and used to create carbon sink forests; (2) purchasing and writing off certified forestry carbon sinks; and (3) purchasing and writing off certified forestry carbon sinks for the record of the Fujian Provincial Forestry Bureau.

（二）以林业碳汇购买替代修复生态之率先司法实践

Pioneering Judicial Practice of Purchasing Forestry Carbon Sinks in lieu of Ecological Restoration

福建各地法院均率先实施双碳目标的司法审判功能，积极落实司法审判的保障功能。以“生态司法+碳汇”作为切入点，通过引导被告人自愿购买碳汇的方式，实现能动司法并实现了双碳目标。

Courts in Fujian have taken the lead in implementing the judicial function of the Double Carbon goal and have actively implemented the safeguard function of the judicial trial. By using “Ecological justice plus carbon sinks” as an entry point, and by guiding the defendant to voluntarily purchase carbon sinks, the court realizes dynamic justice and achieves the Double Carbon goals.

福建南平顺昌完成全国首个“碳汇”生态庭审，滥伐林木案中法院判决被告人认购森林碳汇量，通过认购碳汇量替代性修复生态环境。被告人主动花费4万元，认购400吨林业碳汇，作为生态破坏的替代性修复，法院予以从轻处罚。再者，龙岩市新罗区法院审理的盗伐林木刑事案，系首例适用《指引》并引用CEA（全国碳市场碳排放配额）挂牌交易价确定碳汇修复补偿金的案件。

Shunchang, Nanping, Fujian Province, has completed the country’s first “carbon sink” ecological trial. In the case of deforestation, the court ruled that the defendant should subscribe to forest carbon sinks, and that the ecological environment should be restored through the subscription of carbon sinks alternative restoration of the ecological environment. The defendant took the initiative to spend 40,000 yuan and subscribed to 400 tons of forestry carbon sinks as an alternative repair of ecological damage, which was regarded by the court as a less severe punishment. Furthermore, the criminal case of logging in Xinluo District Court of Longyan City was the first case to apply the Guidelines and invoke the CEA (Carbon Emission Allowance of National Carbon Market) listing and trading price to determine the compensation for the restoration of carbon sinks.

（三）福建省积极发挥双碳目标下的海洋生态司法职能

Fujian Province Actively Utilizes Marine Ecological Judicial Functions under the Double Carbon Goal

2022年10月10日，厦门海事法院首次发布海洋生态环境司法保护白皮书，涉及案件2054件。法院在生态环境中发挥审判职能作用，争当海洋生态环境保护的司法排头兵；多措并举形成海洋生态环境保护合力；发挥府院联动功能，法院与涉海行政机关、社会调解组织，推动海洋生态保护协同发展；促进海洋生态公益金赔偿制度落到实处。

On October 10, 2022, the Xiamen Maritime Court issued its first white paper book on judicial protection of the marine ecological environment, involving 2,054 cases. The court plays the role of trial function in the ecological environment and strives to be the judicial vanguard of marine ecological environment protection. The court also takes multiple measures to form a synergy of marine ecological environment protection. Through the improved linkage between government and the court, the sea-related administrative organs, social mediation organizations and the court work together to promote the synergistic development of marine ecological protection. The court further promotes the marine ecological public welfare compensation system to be put into practice.

三、双碳目标下生态环境司法审判的现状与不足

Status Quo and Shortcomings of Judicial Trials on Ecological Environment under Double Carbon Goal

（一）生态环境中的涉碳法律属性没有明确的立法文件

Absence of a clear legislative document on the legal attributes of carbon-related laws in the ecosystem

最高院《意见》属于党政联合发文，我国尚未承认该类文件可作为司法审判依据，在司法适用中缺乏“双碳”目标所依据的司法适用规范。虽2023年《意见》指出：适用民法典绿色原则和绿色条款，强化以环境保护法为基础，以生态保护、污染防治、资源利用以及能源开发等法律为主干，以行政法规规章为补充。但《循环经济促进法》《清洁生产促进法》《节约能源法》《可再生能源法》《森林法》《草原法》《湿地保护法》《黑土地保护法》等部门法的规定均过于原则、笼统，可操作性弱，难以适用于司法实践，难以确定违法事由，导致无从追究法律责任。

The Supreme People’s Court’s “Opinions” falls into the category of documents being jointly issued by the party and government, which is not yet recognized as a basis for the administration of justice and lacks judicial application norms based on the "double carbon" objective in its judicial application. Although the Opinions of 2023 pointed out that: the application of green principles and green provisions of the Civil Code, to strengthen the environmental protection law as the basis for ecological protection, pollution prevention and control, resource utilization, as well as energy development and other laws as the main trunk, supplemented by administrative rules and regulations, the provisions of the Circular Economy Promotion Law, the Cleaner Production Promotion Law, the Energy Conservation Law, the Renewable Energy Law, the Forest Law, the Grassland Law, the Wetland Protection Law, the Blackland Protection Law and other sectoral laws are too general in principle and weak in operationalization, making it difficult to apply them to judicial practice, and difficult to determine the cause of the violation of the law, leading to the lack of a way to hold people accountable for their legal responsibilities.

福建省高级人民法院制定的《指引（试行）》仅系工作指引，局限性十分明显，并非法律法规，仍需配套的司法制度措施予以强化。

The “Guidelines (Trial)” formulated by the Fujian Provincial Higher People's Court is only a working guideline, with obvious limitations. It is not a law or regulation, and it still need to be strengthened with supporting measures of the judicial system.

（二）双碳制度法律缺少法律责任条款，导致违法成本过低

The lack of legal liability provisions in the law on Double Carbon system leads to low cost of violating the law.

第一，若涉碳权被侵犯，则应承担相应法律责任。虽然已有起诉赔偿的制度，但生态环境等案由的民事赔偿、行政处罚、刑事量刑等过于宏观、笼统，缺乏对公民、企业、行政机关责任的详细规定，不具有可执行性与可操作性。2023年最高院《关于审理破坏森林资源刑事案件适用法律若干问题的解释》《关于办理环境污染刑事案件适用法律若干问题的解释》虽明确了具体的犯罪行为的定罪量刑，但未包含碳汇补偿机制的替代方式以及其他具体规范。

Firstly, corresponding legal responsibility should be attached to the violation of carbon-related rights. Although there is a system of prosecution and compensation, the ecological environment and other causes of civil compensation, administrative penalties, criminal sentencing is too macroscopic and general, and lack detailed provisions on the responsibilities of citizens, enterprises, and administrative organs, and are not enforceable and operable. Although the 2023 Supreme People’s Court’s “Interpretation of Several Issues Concerning the Application of Law to the Trial of Criminal Cases Involving the Destruction of Forest Resources” and “Interpretation of Several Issues Concerning the Application of Law to the Handling of Criminal Cases Involving Environmental Pollution, while clarifying the conviction and sentencing of specific criminal acts, have included neither alternatives to the carbon sink compensation mechanism, nor any other specific norms.

第二，虽最高院发布了系列经典案例，以《民法典》“绿色原则”条款作为裁判依据，但中国并非判例法国家，仍需要有明文立法或者相应的配套司法解释作为审判依据，切实做到“有法可依”，才能发挥法律的警示作用。

Secondly, although the Supreme Court has issued a series of classic cases, using the provisions of the "Green Principle" of the Civil Code as the basis for adjudication, China is not a common law country, and there is still a need to have explicit legislation or corresponding supporting judicial interpretations as the basis for adjudication, so as to ensure that there is a law to comply with, in order to play a warning role of the law.

（三）生态环境中的涉碳争议解决方式较为单一

The carbon dispute resolution method regarding ecological environment is relatively homogenous

除涉及公益诉讼及刑事犯罪外，因部分碳汇交易纠纷属于商事财产类，若仅选择法院裁判方式作为唯一争议解决方式，则不利于碳汇的商事自由交易发展。若商事法律主体签署并选择了“仲裁”作为争议解决方式，则应当准允仲裁作为双碳多元化纠纷解决方式之一。

Except in cases involving public interest litigation and criminal offenses, since some parts of carbon trading dispute fall into the category of commercial property, it would not be conducive to the development of commercial free trade in carbon sinks if only court adjudication is chosen as the only means of dispute resolution. If a commercial legal subject signs up and chooses “arbitration” as the dispute resolution method, then arbitration should be allowed as one of the Double Carbon diversified dispute resolution methods.

（四）双碳目标管理标准的司法审判的本土化发展仍需接轨国际

The localized development of the judicial trial of the Double Carbon target management needs to be in line with international standards.

双碳是在国际层面上各国联合起来共同制定的协议及原则，最具代表性的是《巴黎协定》和《联合国气候变化框架公约》。中国是“双碳”国际化标准的积极推动者，但碳排放核算、碳足迹等国内标准与国际标准还没有完全接轨。在跨国企业“生产有责、消费无责”的现象中，司法审判应当接轨国际实践，否则不利于中国企业走出去。进出口企业需开展国际或国内核算报告，增加企业成本，影响我国企业减排成效的国际认可。在国际标准方面，国内国际标准同步制定的经验欠缺。

Double Carbon is an agreement and principle jointly developed by countries at the international level, with the most representational ones being the Paris Agreement and the United Nations Framework Convention on Climate Change (UNFCCC). China is an active promoter of the internationalization of “Double Carbon” standards, but domestic standards such as carbon accounting and carbon foot printing are not yet fully in line with international standards. In the phenomenon of multinational enterprises being “responsible for production but not responsible for consumption”, the judicial trial should be in line with international practice, otherwise it will not be conducive to Chinese enterprises going abroad. Import and export enterprises need to carry out international or domestic accounting reports and increase enterprise costs, which then will affect the international recognition of the effectiveness of China's enterprises to reduce emissions. In terms of international standards, there is a lack of experience in the synchronized development of domestic international standards.

四、完善双碳目标下的司法保障制度

Improving the Judicial Guarantee System under the Double Carbon Goal

（一）立法先行，明确碳权利属性

Legislative preemption to clear carbon rights attributes

虽最高院《意见》明确了碳汇的法律属性，因“权利与义务”总是相对的，不仅有“碳权”，也需有“碳义务”。但在立法层面中未有明确表述，因此应将“双碳目标”融入相关立法目的条款。在政策法律化过程中，应区分政策语言与法律语言，保障法律主体拥有法律效力的“权利”，司法层面更能全方位保障双碳目标的执行。

Although the Opinion of the Supreme Court clarifies the legal attributes of carbon sinks, by virtue of “rights and obligations” are always relative, there is not only “carbon rights”, but also “carbon obligations”. However, no such expression can be found explicit on a legislative level. Thus, the “Double Carbon goal” should be integrated into the relevant legislative purpose clause. In the process of legalization of policies, a distinction should be made between policy language and legal language to ensure that legal subjects have the “right” to legal effect.The implementation of the two-carbon target is better safeguarded in all aspects through the administration of justice.

同时需继续完善立法，增加司法审判的可操作性，发挥司法的释法补法功能，弥补立法滞后的弊端。国家立法层面之外，也应当完善部分法规、规章等规范性文件，为双碳目标的司法审判活动提供可能。

At the same time, it is necessary to continue to improve the legislation, and increase the operability of the judicial trial, and also give play to the function of the judicial interpretation of the law to make up for the shortcomings of the lagging legislation. Outside the national legislation level, regulations, rules and other normative documents should also be improved in order to provide possibility for the judicial trial activities of the Double Carbon goals.

（二）行政规制与司法审判进一步协作

Further collaboration between administrative regulation and judicial trial

最高院《意见》仅从顶层设计了行政管理与行政规制，法院、检察院等司法机构的审判制度尚不完善。再者，行刑衔接也需进一步完善，如落实双碳目标的刑事合规不起诉制度，在把握行政监管与司法裁判的界限划分前提下，应从重行政规制转变到行政与司法统一协调，妥善处理行政法、民法适用的交叉问题。

The Opinions of the Supreme Court only design the administrative management and administrative regulation from the top level, and the trial system of courts, procuratorates and other judicial institutions is not yet perfected. Furthermore, the linkage between the execution and punishment also needs to be improved. For example, a system of non-prosecution for criminal compliance with the dual-carbon objective is to be implemented. Under the premise of grasping the demarcation of the boundaries between administrative supervision and judicial adjudication, it should shift from focusing on administrative regulation to the unification and coordination of administration and justice, and properly deal with the cross-cutting issues of the application of administrative law and civil law.

在司法审判中应确立集中管辖法院。最高院发布《环境资源案件类型与统计规范（试行）》厘清了环境资源审判中的碳市场交易纠纷的受案范围，但并未明确环境资源案件具体由哪个业务部门审理，分为集中管辖法院审理和非集中管辖法院审理，应明确集中管辖，确保裁判尺度统一。

Centralized jurisdiction courts should be established in judicial trials. The Supreme Court issued the "Environmental Resources Case Types and Statistical Specifications (for Trial Implementation)" to clarify the scope of the carbon market transaction disputes in the environmental resources trial, but it did not specify the specific environmental resources cases by which business sector, divided into centralized jurisdiction courts and non-centralized jurisdiction courts, should be clearly centralized jurisdiction, to ensure that the judgment scale is uniform.

（三）明确增设仲裁作为争议解决方式之一

Explicitly adding arbitration as one of the dispute resolution methods

碳排放权交易、碳排放配额等担保合同纠纷均属于财产合同纠纷，具备可仲裁性，考虑到中国与国际碳市场接轨的发展趋势，应明确仲裁可作为争议解决方式之一，同时有利于国际仲裁裁决根据《纽约公约》得到域外承认与执行。

Carbon emissions trading, carbon emission quotas and other security contract disputes are property contract disputes with arbitrability. Considering the development trend of China's convergence with the international carbon market, it should be made clear that arbitration can be one of the dispute resolution means, and at the same time, it will be conducive to the extraterritorial recognition and enforcement of international arbitral awards under the New York Convention.

（四）借鉴域外的双碳司法经验

Drawing on extraterritorial experience in Double Carbon justice

统筹国内法治与涉外法治，落实《世界环境司法大会昆明宣言》。涉碳交易的立法工作需考虑制度的体系协调以及与国际接轨问题，司法审判也需考虑到国际化接轨的长期规划，为中国已经建成的全球覆盖碳排放规模最大的碳市场保驾护航。

Rule of law at the national level should be harmonized with the rule of law in relation to foreign countries, implementing the Kunming Declaration of the World Congress on Environmental Justice. The legislative work related to carbon trading needs to consider the systemic coordination of the system as well as the issue of international integration, and the judicial trial also needs to take the long-term planning of internationalization and integration into account, so as to escort the development China's carbon market, which has already been built to cover the largest scale of carbon emissions in the world.

习总书记指出，实现碳达峰碳中和是一场广泛深刻的经济社会系统性变革，双碳目标下的中国司法审判应充分发挥功能，为护航“双碳”目标提供司法服务保障。

President Xi pointed out that the realization of carbon peak and carbon neutral is an extensive and profound economic and social systematic change, and that the judicial system in China under the Double Carbon goal should give full play to its function to provide judicial services and guarantees to escort the realization of the “Double Carbon” goal.

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