导　　师： 杨泽伟

学科专业： 030109

授予学位： 博士

作　　者： ;

机构地区： 武汉大学

摘　　要： 本文以欧盟新能源法律与政策为研究对象，对欧盟新能源法律与政策的构成、目标、原则以及内容进行了较为系统地分析。在对欧盟新能源法律政策体系总体进行研究的基础上，根据欧盟对能源次级立法的划分，从四个方面分别探讨了欧盟的可再生能源法律政策、核能法律政策、节能与能效法律政策以及新能源参与能源市场竞争的有关法律政策，并分析有关立法的特点与不足，评析欧盟的最新立法和提案。通过深入研究欧盟的新能源法律与政策体系，分析中国新能源法律与政策的不足，借鉴欧盟新能源法律与政策的成功经验，提出了改进中国有关法律政策的建议。 欧盟采用法律与政策相结合的方式促进和规范新能源的发展，一方面发挥法律所特有的调节、控制、管理、惩罚、引导等功能，另一方面利用政策更为灵活、多样的特点，有效引导新能源领域各类主体的行为。 欧盟可再生能源法律政策已具有较完整的体系，既有表明政策导向的能源战略作为指导，又分别在可再生能源发电、供热制冷、运输方面形成了具体的立法框架，同时对风能、生物燃料等能源类型也进行了专门的立法规范。另外，在欧盟和成员国层面上有效选择和组合财政政策工具，在可再生能源的资助政策方面有了长足发展。 《建立欧洲原子能共同体条约》缔造了欧盟成员国和平利用核能的合作框架，它在一个集中的监控系统下保证了欧盟核能的供应安全。欧盟围绕《建立欧洲原子能共同体条约》的重点行动领域发展核能的次级立法和政策，主要集中在核能共同企业、核能研发和知识传播、核安全、原料供应、核原料安全管制等方面。欧盟一直重视核安全立法，尤其是近几年在核设施安全、放射性废物和核废料安全、辐射防护基本安全方面都采取了最新的立法措施。欧盟在2011年3月福岛第一核电站事故后，加快推进核安全方面法律和政策的制定进程，确保欧盟核能在保证安全的基础上正常发展。 提高能源效率可以替代增加能源供给，因此能源效率在很多方面被看做欧洲最大的能源资源。欧盟节能与能源效率法律政策覆盖范围广，涉及终端使用能效、建筑物能源表现、用能产品标签、热电联产和用能产品的生态设计五大方面，次级立法以指令和条例为主。欧盟节能与能源效率的政策工具较多，包括与工业的自愿协议，向消费者提供信息，委员会支持项目等。在资助政策方面，欧盟主要使用公共基金、市场基础上的工具以及私人支持基金三类工具，分别形成了各具特点的资助项目。2011年欧盟提出新的能源效率立法提案，体现了对分散在各领域的节能与能源效率法律政策进行整合的趋势，并要采取有法律约束力的行动，促使成员国在节能和能源效率方面执行更为有效的措施。 欧盟法律政策体系的制度设计在欧盟内部能源市场一体化中起到了重要作用，它既是欧盟应对能源安全方面挑战的重要工具，也是促进新能源发展的主要措施，更是实现欧盟可持续发展目标必不可少的条件。从第一次能源改革方案到第三次能源改革方案，欧盟内部能源市场自由竞争已经深入到市场的各个环节，并把电力、天然气、可再生能源、核能等部门都融入到统一的内部能源市场中，有利于新能源进入能源网络，参与市场竞争。这种竞争需求也为欧盟节能和能源效率技术的发展提供了契机，促使欧盟通过一系列节能和能效计划来提高其内部能源市场的整体能源效率。 经过几十年的发展，欧盟新能源法律政策已经具有前瞻性、全面性、协调性等显著特点。新能源在未来仍将是欧盟法律政策发展的重要领域。欧盟新能源法律政策呈现出五大发展趋势：欧盟将通过发展新能源法律政策推动经济复苏；能源效率是未来新能源法律政策的中心；欧盟将进一步完善内部能源市场，确保新能源在内部市场自由流动；新能源将是欧盟技术创新的重点领域；欧盟将发展新能源国际合作的全面战略。 随着中国经济的较快发展和工业化、城镇化进程的加快，能源需求不断增长，构建稳定、经济、清洁、安全的能源供应体系面临着重大挑战。中国新能源的发展需要完善能源法律制度，为增加能源供应、规范能源市场、优化能源结构、维护能源安全提供法律保障。欧盟在可再生能源、核能、节能与能源效率以及市场竞争等新能源法律政策方面的丰富经验，对中国的新能源法律政策建设具有借鉴意义。中国可以从重视承担有区别的责任、加强立法研究、探索新能源法律政策体系、增强新能源法律政策执行力、协调运用政策工具以及加强国际合作等方面入手，逐步完善新能源立法和政策制定，为实现我国的能源安全和可持续发展提供良好的法律和政策基础。 In this dissertation the author takes EU's new energy laws and policies as theresearch subjects and makes a more comprehensive and systematic analysis on theconstitution, objectives, principles and contents of the EU's new energy laws andpolicies. On the basis of the research on the overall EU's new energy legal and policysystem, according to the division of EU secondary legislation on energy, the authorhas studied the legal policies of the EU renewable energy, nuclear energy laws andpolicies, legal policies of energy conservation and energy efficiency and thecompetition of the new energy in the energy market from four aspects. After doing so,the author has found the characteristics and shortcomings of the EU’s latest relevantlegislation and proposals and analyzed them. Meanwhile, through in-depth study ofthe EU's new energy law and policy system, analyzing the shortcomings of China'snew energy laws and policies, and drawing on the successful experience of the EU'snew energy laws and policies, the author makes some recommendations on improvingChina's legal policies. The European Union adopts a combination of laws and policies to promote andregulate the development of new energy sources. On the one hand, regulation, control,management, punishment, guidance as the specific functions of a law have beenbrought into play; on the other hand, taking advantage of the flexibility and varietythe policies, the various principal acts in the new energy field are guided effectively. EU’s renewable energy laws and policies have been built into a more completesystem. On the one hand, EU has the policy-oriented energy strategies as a guide; onthe other hand, it forms a specific legislative framework in the renewable energygeneration, transport, heating and cooling. At the same time, EU makes speciallegislative regulations on wind energy, bio-fuel and other types of energy. In addition,EU has made considerable progress in the renewable energy subsidy policies by theselection and combination of financial policy instruments at EU and its member stateslevel. The Treaty of Establishing the European Atomic Energy Community has created aframework of cooperation for the peaceful use of nuclear energy in the EU memberstates. It has developed the secondary legislation and policies of the EU focusing onthe establishment of the European Atomic Energy Community, nuclear energyresearch and development and relevant knowledge dissemination, nuclear safety,supply of raw materials, nuclear materials safety control, and so on, which centered on the Treaty of Establishing the European Atomic Energy Community. EU hasalways attached importance to nuclear safety legislation. Especially in recent years, ithas adopted the latest legislative measures in the safety of nuclear facilities,radioactive wastes and nuclear wastes safety, basic safety of radiation protection.After March2011Fukushima's first nuclear power plant accident, EU has acceleratednuclear safety law and policy-making process to ensure that the EU nuclear energy isguaranteed to develop normally on the basis of security. Improving energy efficiency can be an alternative to increasing energy supply.Therefore, energy efficiency is seen as Europe's largest energy resources in manyaspects. EU’s Legal Policies of energy saving and energy efficiency cover a widerange, which involves the five aspects: the end-use energy efficiency, the energyperformance of buildings, energy-consuming labels of products, cogeneration ofthermoelectricity and ecological design of energy-consuming products. The secondarylegislation of the EU mainly consists of the directives and regulations. EU has morepolicy instruments in energy saving and energy efficiency, including voluntaryagreements with industries, providing consumers with information, the Commissionsupported projects, etc. In funding policies, the EU mainly uses three types of tools:the public funds, tools on the basis of the market and personal support funds, whichformed the variety of the funded projects. In2011, EU proposed new energyefficiency legislative proposals reflecting the trend to integrate the legal policies ofenergy-saving and energy efficiency dispersing in various fields, and would take moreeffective measures to bind actions legally for member states in the implementation ofenergy conservation and energy efficiency. The design of the EU’s legal and policy system plays an important role in theEU’s internal energy market integration. It is not only an important tool for the EU torespond to the challenges of energy security, but also a principal measure to developthe new energy. What’s more, it is an indispensable condition for EU to achieve itsgoal of sustainable development. From the first Energy Legislative Package to thethird Energy Legislative Package, the free competition of the EU’s internal energymarkets penetrated into the various segments of the markets. The sectors of electricity,gas, renewable energy, nuclear energy, etc have been merged into the unified internalenergy markets, which is in favor of the new energy into the energy network toparticipate in the market competition. This kind of competition provides anopportunity for the development of the EU’s energy saving and energy efficiency technologies, which promotes the EU through a series of energy-saving and energyefficiency programs to improve the overall energy efficiency of its internal energymarkets. After several decades’ development, the EU's new energy laws and policies haveformed some outstanding features, such as progressiveness, comprehensiveness andharmony. New energy will continue to be the key field of EU’s laws and policies.There are five developing trends of EU’s new energy laws and policies: EU’s newenergy laws and policies will be regarded as the main tools to promote the economicrecovery; energy efficiency will be the core of EU’s future new energy laws andpolicies; EU will promote its internal energy market to protect the energy’sfree-movement; new energy will be the crucial issue of technological innovation; andEU will develop a comprehensive strategy of international cooperation. With the rapid economic development in China and the accelerated process ofindustrialization and urbanization, the demanding for energy growing and building astable, economical, clean and safe energy supply system faces significant challenges.The development of new energy in China needs an improved legal system, which canprovide legal protection to increase the supply of energy, to regulate the energymarket, to optimize energy structure, and to maintain energy security. China can drawon the EU's extensive experience in the new energy laws and policies of therenewable energy, nuclear energy, energy conservation and energy efficiency andcompetition in the market. China can start from the following aspects: bearingdifferentiated responsibilities, strengthening legislative research, exploring newenergy laws and policy system, enhancing the execution of new energy laws andpolicies, coordinating the use of policy instruments, as well as strengtheninginternational cooperation, and gradually perfect the new energy legislation and policydevelopment, then provide a good legal and policy foundation for the realization ofChina's energy security and sustainable development by improving the legislation andpolicy-making of the new energy.

关 键 词： 欧盟 欧盟法 新能源 能源政策 国际能源法

分 类 号： [D996]

领　　域： [政治法律] [政治法律] [政治法律]