中国碳总量控制新进展：省域碳配额分配研究综述

为加快碳达峰、碳中和进程，中国正探索碳总量控制制度，而省域碳配额分配是落实总量控制目标的重要抓手。从分配准则、分配方法和分配结果3个环节对关于中国省域碳配额分配的研究开展综述。结果表明，兼顾公平和效率原则是各方研究共识，但对于公平原则的解读和测度尚存争议。指标法和优化法在省域碳配额分配中被广泛采用，前者能兼顾多方利益，后者能提升分配效率；混合法因具备多方法优势而具有较大发展潜力；博弈法因缺乏透明度而较为罕见。既有分配结果对各省分配的减排责任与各省实情间尚有差距，并仅关注某一特定年份当期或者某一时间区间内累计的碳配额分配，缺乏对逐年碳配额分配的关注。建议后续研究进一步关注兼顾公平与效率、考虑区域异质性与消费端排放责任、采用多方法组合、兼容个案特殊性的跨期动态分配方法学的构建过程。

New progress in controlling the total volume of carbon emissions in China: a review on the allocation of provincial carbon emission allowances

China is exploring the total volume control system of carbon emissions to speed up its progress of carbon peaking and carbon neutrality. Allocation of provincial carbon emission allowances (CEA) is the key to China’s implementation of the total volume goal of carbon emissions. This paper reviews the research on allocating China’s provincial CEA from three aspects: allocation criteria, methods, and results. The results show that taking both principles of fairness and efficiency into account is the consensus of many types of research. However, there are still disputes on the interpretation and measurement of the principle of fairness. The index and optimization methods are most widely used in allocating China’s provincial CEA. The former can take into account the interests of multiple parties, while the latter can improve allocation efficiency. The hybrid method has great potential for development due to its multi-method advantages. The game method is rare due to its’ lack of transparency. There is still a gap between the emission reduction responsibilities of each province in previous allocation results and the actual situation of each province. In addition, previous allocation results only focus on a specific year’s CEA allocation or a specific period’s cumulative CEA allocation. They lack attention to the year-by-year CEA allocation. It is suggested that follow-up research should pay more attention to the construction process of intertemporal dynamic allocation methodology, which takes into account both fairness and efficiency, considers regional heterogeneity and consumer emission responsibility, adopts a multi-method combination, and is compatible with the particularity of individual cases.