中国碳总量控制新进展：省域碳配额分配研究综述

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. © 2023 Tomsk Polytechnic University, Publishing House. All rights reserved.     

基于高质量发展视角的中国碳配额省级分配方案评价

碳配额分配是碳排放控制的关键,在实现国家“双碳”目标下探寻更利于高质量发展的省级分配方案具有重要意义。基于平等主义、历史责任、支付能力、排放效率和可行性分配准则,使用综合指标法设计了10种分配方案,并以高质量发展为标准,使用Malmquist指数模型对这些方案进行评价。结果表明：我国各省份在不同分配方案下拥有多样化的碳配额,多数地区根据排放效率准则、支付能力准则、历史责任准则和可行性准则（方案F）获得最大配额。从国家层面看,方案F具有最佳的经济高质量发展性能,是相对最优的选择。从区域层面看,各省在不同分配方案下有不同的经济高质量发展表现,多数地区根据平等主义准则、排放效率准则和可行性准则（方案G）实现最优发展。排放效率指标的选取对分配方案的结果具有稳健性。     

碳市场、行业竞争力与碳泄漏：以钢铁行业为例

全国碳市场的建设已启动。钢铁行业是被纳入碳市场的主要行业之一,碳市场政策势必对其竞争力带来一定的影响。文中通过构建局部均衡模型,从价格、产量、贸易和碳泄漏等方面定量研究分析碳市场对我国钢铁行业竞争力的影响,并对影响模型结果的关键参数做敏感性分析,包括减排成本曲线、配额分配方式和贸易弹性。研究结果表明,碳市场对于钢铁行业的竞争力影响不太大,但是需要高度关注碳泄漏问题。     

碳交易试点地区电力部门配额分配比较研究及对全国的借鉴

全国碳市场将在电力行业启动交易,配额分配方法是其核心。通过试点经验对比分析,将对全国起到借鉴作用。研究结果表明,八试点共纳入电力企业202家,在覆盖范围、信息披露、分配方法、抵消机制等方面存在共性和差异,但普遍存在基准线法基础薄弱、间接排放处理不科学、热电联产供电和供热分摊困难等问题。建议在制定全国碳市场电力部门配额分配方案时应考虑循序渐进、协调推进、稳定性、科学与实用、激励和灵活、公开透明等基本原则。     

碳市场价格稳定机制探索及对中国碳市场建设的建议北大核心CSCD

通过总结欧盟碳排放权交易市场(EU ETS)的实践经验,提出了碳市场运行过程中潜在的碳排放权价格过度波动的问题,深入剖析了碳市场过度波动性的根源及其负面影响,在此基础上提出了引入碳市场价格稳定机制的必要性。文章系统分析了几种主要的碳市场价格稳定机制、相应的实施手段及可能存在的问题。根据EU ETS等国际碳市场的经验,建议中国在碳市场建立之初,应该考虑设计一套系统灵活、简单易行且实施成本较低的碳市场价格稳定方案,包括整个试点期内价格暴涨预防机制、价格暴跌预防机制以及试点期内各年份之间的价格波动平抑机制,使得碳市场充分发挥作用,以较低成本达成既定减排目标。     

碳市场建设路径研究：国际经验及对中国的启示

基于国际碳市场建设的初始决策环境,从政治诉求、决策环境、经济基础、市场根基等4个维度的32个子指标构建了碳市场建立背景与条件指标体系,据此深入挖掘了欧盟碳排放权交易体系(EU ETS)、美国区域温室气体减排行动(RGGI)、美国西部行动倡议(WCI)等国际典型碳市场建立的背景与基础条件,并归纳出各国建立不同类型碳市场的必要条件,进而判断中国建立各类碳市场所具备的条件和不足之处。研究发现：跨界联盟型碳市场建立通常具备经济联系紧密、单个地区减排成本过高和地理位置临近等3个要点;国家型碳市场建立通常考虑到了国家强制减排责任、能源结构转型需求强烈和稳固的国家立法保障等方面;地区型碳市场的建立需满足地区减排诉求强烈与国家层面排放权立法缺失等条件;行业型碳市场建立的基础条件则包括温室气体排放集中度高、行业竞争力保护、重点行业排放需求增长和行业排放数据基础稳固等4个特征。当前,中国碳市场应重点考虑行业型与跨界联盟型碳市场并行的建设模式,进一步完善碳市场监管法律体系,加快各省市排放数据清单制作,加强地方碳市场能力建设培训,尽快完善国家型碳市场建立的基本条件,进而实现温室气体减排与产业结构升级的双重目标。     

干旱和复水对羊草碳氮分配的影响

植物的碳氮营养及其相互关系是最重要的基本生物过程之一,阶段性干旱对植物碳氮分配的影响研究甚少。实验以中国北方草原的典型植物羊草为材料,研究不同干旱持续期复水对羊草碳氮含量、分配及其相互关系的影响。结果表明:短期和中期干旱使植株生物量、氮素水平和单株总氮量增加,但长期干旱使之降低。水分处理对碳含量的影响不显著。干旱后复水降低了各器官特别是绿叶的碳氮比。中度持续干旱的氮素利用率(NUE)最高、短期干旱最低。羊草各器官氮素绝对量占整株的百分比从大到小依次为:绿叶、根茎、根、枯叶和茎鞘,其中叶片的氮素总量占植株的一半以上;随着干旱持续期的增加,氮素对根部的投资亦加大。羊草受到适当干旱驯化后复水引发的超补偿作用可促进羊草植株生长、提高氮素水平,并在一定程度上通过碳氮分配的调节作用来适应于阶段性的干旱胁迫。     

碳市场与电力市场机制影响下发电机组成本分析与竞争力研究

碳市场和电力市场将共同发挥市场对资源优化配置的决定性作用,对共同市场主体发电企业带来经营和发展挑战.在考虑碳成本的基础上,采用发电机组经济性影响模型,定量分析了碳市场不同发展阶段对发电机组发电成本的影响,定量评价不同能源结构投资收益经济性,以及对集中竞价市场出清顺序的影响.结果表明,随着有偿配额比例和碳价增加,碳成本占...     

排放绩效(GPS)在深圳火电行业SO2总量分配中的应用

根据经验公式和火电厂的计算参数,分别计算了燃油电厂和燃煤电厂在广东省地方标准《大气污染物排放限值》下的的排放绩效(GPS),并尝试将GPS用于深圳市火电行业二氧化硫(SO2)总量分配,在此基础上探讨了深圳市火电行业SO2总量控制的可达性。研究结果表明,虽然深圳市火电厂能达到浓度标准下的排放绩效,但不能达到总量控制下的排放绩效,因此必须采取进一步的污染控制措施。     

我国“十二五”时期建立碳交易市场的政策思考

基于对国际碳市场的调研和定量分析,建议我国碳市场建设之初,应首先选择电力、钢铁等对碳价格敏感的高排放强度行业进入碳市场;尽早开展跨地区交易,便于有效降低总体减排成本;同时碳排放总量上限的设定应与 “十二五”时期的碳强度下降目标挂钩;并在市场建立之初设定碳价格下限等。     

Voluntary citizen participation in carbon allowance markets: the role of norm-based motivation

The results from a semi-experimental study of Swedish students’ stated willingness to purchase emission allowances for carbon dioxide are presented. Drawing heavily on recent developments in the literature on integrating norm-motivated behaviour into neoclassical consumer theory, it is assumed that individuals have a preference for maintaining a self-image as a responsible (and thus norm-compliant) person. The results indicate that students’ willingness to purchase carbon allowances is determined by both price and the presence of norms: those who feel personally responsible for contributing to reducing climate damages also appear more inclined to buy allowances. The empirical findings are consistent with the notion that a person's beliefs about others’ stated willingness to purchase carbon allowances imply improvements in their own self-image and ultimately behavioural change. This suggests that information campaigns that attempt to influence beliefs about others’ intentions could promote ‘green’ consumer behaviour in the carbon allowance market. Such (stated) behaviour also appears to be influenced by a person's awareness of the problem of climate change and their beliefs about their own ability to contribute to solving it.

Policy relevance

Although there is a concern that public goods such as reduced climate change may be under-provided in the free market, individual concern for the environment occasionally has profound impacts on consumer choice and voluntary action. This research suggests that information campaigns that attempt to influence beliefs about others’ intentions could promote ‘green’ consumer behaviour in carbon allowance markets. Publicly-provided information about the impacts of climate change and the ways in which these damages stem from individual choices could also induce this type of behaviour.     

Cap setting and allowance allocation in China's emissions trading pilot programmes: special issues and innovative solutions

Seven emissions trading scheme (ETS) pilots have been established in China. They have introduced some unique methods to set emissions caps and allocate allowances, different from textbook models and their counterparts in the EU, California, and many other regions. This article provides a detailed introduction to the methods for cap setting and allowance allocation adopted by the pilots, and presents detailed comparisons of these methods. In terms of cap setting, the pilots adopt flexible caps that can be adjusted where necessary, which primarily depends on the outcomes of the bottom-up approach, namely aggregating the allowances allocated to participants. As for allowance allocation, the pilots not only adopt such methods as grandfathering and benchmarking, which are also widely applied in other existing schemes, but also some special methods that require ex post adjustment, such as those based on enterprises’ historical emissions intensity (including both physical quantity and added-value intensity) and current production/output. The factors influencing the design are further analysed, including the impacts of theory and experience from foreign systems, concerns about economic development, traditions regarding intensity targets and policy, constraints from data availability and preparation time, tight regulation of the electricity and heat generation sector, and concerns regarding price stability. The practice of pilots presents an improvement opportunity and a challenge for China to further balance the theoretical and practical requirements in ETS design in establishing its national system.

Policy relevance

China is piloting emissions trading in seven regions, as part of efforts to try to rely more on market-based instruments to achieve GHG emissions control targets. All seven pilots have been confronted with special issues in the design process when compared with existing foreign schemes. This article analyses in depth the special issues related to cap setting and allowance allocation and the approaches adopted to address these issues. Flexible cap setting through a bottom-up approach and different types of allocation methods with or without ex post adjustment are adopted in the pilots. The flexible and innovative approaches the pilots have developed could provide useful experience for designing the nationwide ETS in China and promoting emissions trading policy in other parts of the world.     

The political economy of carbon markets: The CDM and other stories

Despite ongoing faith in their ability to deliver meaningful reductions in GHG emissions as the Durban climate summit approaches in December 2011 and as the end of the first commitment period of the Kyoto Protocol in 2012 looms large, carbon markets have been adversely affected by low prices that are failing to drive necessary investment in low-carbon technology and a series of scandals about their integrity. Some Clean Development Mechanism (CDM) projects have nevertheless delivered reductions in GHG emissions and sustainable development benefits. However, these benefits are too few, and strong incentives still remain in place to go for ‘low-hanging fruit’ opportunities that bring few additional environmental and developmental gains. Although governance reforms have a part to play in addressing these issues, these are not teething problems that can be easily weeded out with further institutional learning and innovation. They touch on the deeper politics of carbon markets and the role politics play in responses to climate change that have to be addressed.     

Bridging organizations in agricultural carbon markets and poverty alleviation: An analysis of pro-Poor carbon market projects in East Africa

International agricultural carbon market projects face significant challenges in delivering greenhouse gas mitigation objectives whilst also seeking to provide additional benefits for poverty alleviation. The carbon credit producer (the smallholder farmer) and carbon credit buyer in the carbon market transaction typically operate at different spatial and temporal scales. Buyers operate at a global scale, responding to opportunities for financial speculation and both private and public climate action plans. Farmers operate within households, farms, and immediate agricultural landscapes, pursuing livelihood and food security needs. These different scales often result in mismatches of timing, payment, and knowledge in market transactions and can be partially rectified by project developers who serve to broker the relationship between the farmers and the buyers. We examined eight East African agricultural carbon market projects to determine how project developers function as bridging organizations and minimize the mismatches between these actors. Results show that projects better bridged the timing and payment gap between buyers and producers when project developers provided non-monetary benefits or direct monetary assistance to farmers. However, knowledge gaps remained a significant barrier for farmers wishing to participate in the market. We discuss how project developers brokered relationships in ways that reflected their interests and highlight the limitations, trade-offs, and challenges that must be overcome if win-win outcomes of poverty alleviation and climate change mitigation are to be realized.     

从科学和政策视角看碳预算对全球气候治理的作用

IPCC第五次评估报告进一步阐述和明确了全球平均地表温升与累积CO₂排放之间的近似线性关系。尽管在科学上仍存在一定的不确定性,国际社会对2℃温升目标及所对应的全球累积碳排放空间(即全球碳预算目标)已达成一定的科学认知和政治共识。但如何将碳预算从目标要求转变为各国决策和实际行动,仍是政策制定者们所面临的一个重要问题。在此背景下,提出建立一个有效的碳预算综合管理框架,努力避免人为温室气体排放导致气候系统危害,并利用其科学和政策的双重内涵,来推动谈判进程和加大行动力度,在新型气候治理模式下推动全球减排目标的实现。     

主要发达经济体从碳达峰到碳中和的路径及启示

随着气候变化影响加剧,全球气候治理进程加速,实现碳达峰已经成为全球气候行动的核心,各国也相继制定碳中和目标并开展行动。中国在第75届联合国大会一般性辩论上提出了碳达峰碳中和目标,部分已实现碳达峰的发达经济体也提出了各自的碳中和承诺。文中从“整体-阶段”及“焦点-公平”视角分析了欧盟和美国等主要发达经济体碳达峰的历程和特点,以及其碳中和目标和规划。研究发现,发达经济体在碳达峰过程中普遍经历了较长的爬坡期（58~136年）和平台期（4~20年),在碳达峰时,发达经济体的能源结构以油气为主,油气占一次能源消费比重为57%~77%,其人均排放量、历史累计排放以及人均GDP也都处于较高水平,在碳达峰前后总体处于经济与碳排放脱钩状态。各发达经济体的碳中和路径均以能源转型为重点,采用了多元化的政策工具,并且注重低碳和负碳技术的革新。根据发达经济体的政策展望,在实现碳中和时,均难以将绝对排放量降为零,都需要通过碳移除手段进行抵消。通过对比分析,发现中国的碳达峰和碳中和目标是具有雄心的气候承诺,相较其他发达经济体需要付出更大努力。建议运用全面综合的政策工具支撑碳中和目标的有效落实,加快中国的气候立法,在兼顾公正转型的同时推动能源结构调整,注重可再生能源和能效方面的新技术开发应用。     

Lessons from JI and GIS for post-2012 carbon finance mechanisms in Russia and Ukraine

The main incentives for Russia's and Ukraine's participation in the first commitment period of the Kyoto Protocol were its mechanisms. The opportunities that the anticipated post-2012 mechanisms will offer Russia and Ukraine are explored in light of the lessons from Joint Implementation (JI) and the Green Investment Scheme (GIS) during this first period. Four key factors that explain the success of these mechanisms are identified: the design of the mechanisms, the role of the private sector in their implementation, the coordination required, and the political will gained. Even though a weak rule of law, problems with policy implementation, and the ambiguous role of private-sector actors are not ‘make or break’ issues, they are likely to defer future mechanisms. Success and failure will, rather, hinge on the priority these factors are accorded by the top leadership. It is likely that simple mechanisms that only involve a few actors will be less complicated to set up and run than, for instance, emissions trading schemes (which require domestic burden sharing). Project-based options in which domestic actors have gained experience may be better suited. However, any lessons prior to the new mechanisms taking a clearer shape must be considered as preliminary.

Policy relevance

The Kyoto Protocol mechanisms, despite their problems, provided Russia and Ukraine with their main incentives for participation in the Protocol's first commitment period. As the chances that these countries will participate in the second commitment period seem slim, the opportunities that the anticipated post-2012 mechanisms will offer Russia and Ukraine are explored in light of the lessons from JI and GIS. The key factors that have determined the success and failure of these mechanisms are likely to be of relevance to future mechanisms. It is argued that – of the post-2012 options available – simple mechanisms with few actors involved should be chosen. Project-based options rather than emissions trading schemes may be more likely to succeed due to experience gained by domestic actors.     

The economic impacts of introducing CCER trading and offset mechanism into the national carbon market of China北大核心CSCD

基于中国风电及光伏国家核证自愿减排量(CCER)现状及发展趋势,针对CCER供给、抵销和价格形成等关键机制问题,运用电力部门细分的递推动态可计算一般均衡(CGE)模型,模拟了在取消电价补贴的背景下全国碳市场引入风电及光伏CCER交易及抵销机制的经济影响。研究发现:引入CCER交易及抵销机制会降低碳配额交易价格,并缓解取消电价补贴对风电和光伏电力的负面影响,但也会削弱全国碳市场的碳减排效果,且随着CCER供给总量增加这些作用更明显;全国碳市场引入CCER交易及抵销机制后,碳排放强度较高的控排行业将选择购买更多的CCER,其中火电行业是主要的CCER需求方;未来我国如果不放开CCER项目备案审批则风电行业将是主要受益方,而未来适度放开CCER项目备案审批则风电和光伏行业都将从中受益。因此,全国碳市场在引入CCER交易及抵销机制的同时需从紧设置初始碳配额发放量,并可考虑适时重启CCER项目备案审批工作以更好地促进风电和光伏电力的发展,但允许的CCER清缴比例上限应结合碳减排目标合理设定,以避免对全国碳市场产生较大冲击。