中国碳强度的影响因素

 基于自回归分布滞后模型,分析1980—2007年中国碳强度的主要影响因素。结果表明,碳强度与人均GDP、能源效率、工业增加值比重之间存在长期均衡关系。能源效率改进使碳强度下降,工业增加值比重上升使碳强度上升。人均GDP与碳强度之间存在倒U型关系。中国碳强度在20世纪90年代初就达到了转折点。但是,由于近年来能源效率下降和工业比重上升,中国的碳强度又出现反弹。     

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。     

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。     

实现国家自主贡献目标背景下我国碳交易机制研究

以实现国家自主贡献目标为背景,运用电力行业细分的递推动态可计算一般均衡（CGE）模型,模拟我国统一碳市场下不同碳交易机制的实施效果及其经济影响。研究表明,全国统一碳市场有助于我国实现国家自主贡献目标,并且可以缓解碳减排对经济增长造成的负面影响;相比基于碳排放量免费分配初始碳配额的“祖父法则”,基于碳强度基准免费分配初始碳配额的“标杆法则”可以降低碳交易价格、增加碳配额交易量并扩大碳市场规模;采取拍卖方式有偿分配初始碳配额时碳市场中各行业面临更大的减排成本,但有利于增加政府收入;对碳市场未覆盖的行业和居民户征收碳税能有效控制其碳排放、增加政府财政收入、降低碳交易价格并促进我国国家自主贡献目标的实现;全国统一碳市场在抑制火电行业发展的同时将不同程度地促进清洁能源发电部门的发展。     

不同监管强度下碳排放权交易违约行为的实验研究

2017年底中国全国碳市场启动,全球正式运行的碳排放权交易体系达到21个。伴随碳排放权交易的广泛开展,加之产品市场不确定性的冲击,控排企业的违约行为也日益多样化和复杂化。基于此,根据中国碳市场试点地区的通行交易规则,通过在产品市场中引入随机冲击,分析在具有储蓄机制且存在不确定性需求的碳交易体系中,企业违约行为的方式以及监管强度对企业违约行为的影响。研究结果表明:抽查比例较高的强监管设置下被试不会产生系统动机来排放违约,弱监管设置下明显的报告违约会导致排放总量上升。即使面临不确定性冲击,储蓄机制依然能促进控排企业以一个相对有效的方式跨期分配生产量。因此给出如下建议:违约处罚应该分级,报告违约处罚力度应大于排放违约;为提高实际履约率,各地应提高排放报告抽查比例;完善配额储蓄机制。     

EU ETS试验阶段微观交易大数据分析及其对中国的启示

通过对欧盟独立交易登记系统（CITL）的抓取、识别、清洗与融合构建了全样本的交易大数据集合,完整地重现了欧盟碳排放权交易体系（EU ETS）在试验阶段的市场微观结构。进而从市场内部微观视角出发,对EU ETS的市场微观体系、排放企业的微观交易行为,以及市场供需微观演化等予以分析,结果表明在市场建立初期：排放企业的交易大多是以配额履约为目的;交易行为呈现活跃度低、季节性和同向性的特点;市场上少量的高排放企业凭借其在配额总量、资金和信息上的优势在交易中占据了主导地位。此外,微观行为数据还反映了金融部门在碳配额交易中的作用：配额在前期流向金融部门使得供过于求的状况有所缓解,但当配额流出金融部门时,市场供需失调的情况被迅速放大。在碳市场建立初期,理解EU ETS市场参与者微观行为特点以及潜在的风险,对中国即将启动的全国统一碳排放权交易体系的机制设计有重要的启示意义。     

拍卖机制在碳市场配额分配中的应用回顾和比较分析

配额拍卖机制在碳市场中具有重要作用。文中在综述配额拍卖机制研究进展的基础上,重点回顾拍卖机制在欧盟、美国加州和澳大利亚等具有代表性的国际碳市场中的应用情况,结合国内试点碳市场的运行情况,分析不同地区碳市场中拍卖机制的效果。研究认为,国际碳市场拍卖机制设计较为完善,在实际应用中效果良好,起到了增强市场流动性的作用,国内各试点碳市场拍卖机制仍处于探索阶段。文中从拍卖机制的要素设计、平台建设、所得资金管理等方面对全国统一碳市场配额拍卖机制设计提出建议,为全国碳市场中拍卖机制的建设提供参考。     

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。     

中国农业温室气体减排交易的机遇与挑战

 在介绍国际碳市场情况的基础上,总结潜在的农业温室气体减排交易项目类型,探讨中国如何在国际碳市场前景不明朗、自愿碳市场刚刚起步,以及国内实现节能减排目标和实施生态补偿机制的机遇中,克服农业温室气体减排项目所面临的单位减排量小、交易成本高、方法学和独立的第三方认证机构缺乏,以及国内交易平台尚不规范的困难,积极探索利用市场机制控制农业温室气体排放的方法。     

碳排放许可的强度分配标准与中国区域经济协调发展——基于30省区CGE模型的分析

基于30省区CGE模型,模拟分析了碳排放许可的强度分配标准对我国区域协调发展的影响。结果表明：按行业属性设定强度分配标准会加剧区域经济发展不平衡状况;按区域经济发展水平设定强度分配标准,对区域协调发展的影响较小,但会对高排放行业造成较大的冲击。中央政府基于强度分配标准,参考区域经济发展水平,将碳排放许可分配到各个省份,然后各个省份再参考行业特点将碳排放许可分配给机制覆盖行业的实体或排放源,这样的两阶段分配结构是较为现实的、具有可操作性的政策选择。     

湖北碳交易试点价格稳定机制、评估及启示

碳排放交易体系存在诸多影响配额供需两端的因素,为避免配额供需严重失衡和碳价格剧烈波动,湖北碳交易试点建立了一套系统的碳价格稳定机制。这套机制包括配额分类管理及注销机制、企业配额事后调节机制、配额投放和回购机制、碳价格涨跌幅限制机制,对湖北碳交易试点的平稳运行发挥了积极作用。本文对上述机制进行了分析评估,并据此提出了全国碳交易体系建设中建立碳价格稳定机制的政策建议。     

全国碳排放权交易市场下电解铝行业基准线法研究

2011年以来,我国碳排放权交易市场建设不断加快,碳排放权交易机制不断健全完善,其中基准线法被确定为全国碳交易初始配额分配的主要方法。电解铝行业是我国能源消耗和碳排放的重点部门,尽早将该行业纳入碳市场对于行业减排、纵深推进全国碳市场交易以及应对国际碳边境调节机制政策均有重要意义。基于2018年电解铝行业直报的碳排放相关数据,确定了我国电解铝行业开展全国碳交易的基准线方案。结果显示,电解铝行业宜选取8.12~8.15 t CO₂/t铝作为基准线取值,不需设置区域差异调整系数。同时为保证电解铝行业碳交易的顺利开展,还需尽快确定行业配额方案,进一步完善企业排放量的监测、报告和核查以提高核查填报数据质量,以及进一步研究电解铝行业碳排放核算的范围。     

全国碳交易下中国钢铁行业的基准线法研究

自2011年来,中国碳排放权交易机制不断健全完善,其中基准线法被确定为全国碳交易初始配额分配的主要方法。钢铁行业作为仅次于电力行业的第二大碳排放部门,加快对其开展基准线法碳交易的测算、设计和评价,对纵深推进全国碳交易市场建设具有重要意义。文中基于2018年钢铁企业直报的温室气体排放数据和单位产品碳强度这一关键指标,确定了中国钢铁行业开展全国碳交易的基准线方案。结果显示,钢铁行业碳交易基准线应包括炼钢及之前的6个工序,基准值宜采用效率较高的前70%至80%范围内的企业碳强度均值,在配额确定时无需考虑行业区域差异,但针对企业间碳强度差异较大的工序应设立从历史法到基准线法的过渡期。     

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.     

Understanding carbon trading: Effects of delegating CO2 responsibility on organizations’ trading behaviour

The establishment of a carbon market assumes that there is an effective means of transforming price information into technical carbon reduction measures. However, empirical evidence reveals that the links between price information and carbon management strategies are far from obvious. To understand how delegating CO₂ responsibility affects CO₂ trading behaviour, this article proposes a neo-institutionalist approach to answering the question of why companies became sellers, buyers or a combination of both during phase I of the European Emissions Trading Scheme (EU ETS). Original data from a survey on companies that participated in this scheme were collected and analysed. It was assumed that the trading scheme offered two ways to delegate decisions regarding emissions trading: decoupling from technical knowledge and financialization (i.e. delegating to financial departments) or coupling using technicalization (i.e. delegating to manufacturing departments). The results support the hypothesis that a company that adopts a decoupling strategy is more likely to buy certificates to fulfil their emissions targets. Adopting a coupling strategy indicates that a company is more likely to become a seller, all else equal. Professional identity is the theoretical basis for this relationship. Delegating carbon management to different departments represents either a stronger coupling or a stronger decoupling from core technological processes.

Policy relevance

The transaction data from phase I of the EU ETS open new questions and possibilities regarding the reasons that drive selling and buying in companies. It is important to look not only at the traditional sources of transaction costs, but rather also at the reasons for these tensions. One important source is the professional education of the people in charge of the EU ETS. Tailored information that directly addresses the different professional backgrounds of managers working in both financial departments and more technical departments might help to lower these types of transaction costs. In today's context, important emitter countries, such as China and Korea, have launched their own emissions markets, copying many aspects of the EU ETS. For the positive development of these markets and as a way of establishing a global emissions market, these new schemes should learn from the EU ETS experience.     

欧盟航空碳税及其国际影响

根据当前欧盟征收国际航空碳税政策的国际环境,介绍欧盟航空碳税的历史沿革、具体政策、二氧化碳排放监测方法,就各国反应及其国际影响进行分析.欧盟航空碳税可能会导致全球航空业成本增加,并最终转嫁给消费者;欧盟航空碳税对发达国家航空公司影响较小,而对发展中国家的航空公司影响较大.鉴于欧盟航空碳税对中国航空业的影响,建议尽早制定相关的碳排放标准,维护中国应有的发展权与话语权.     

Tax and trade: a hybrid climate policy instrument to control carbon prices and emissions

This article describes a ‘tax and trade' emission regulations system that controls both emission costs and emission quantities. Emitters are taxed at a fixed price on carbon emissions and the government uses the tax revenue to buy carbon offsets on existing emissions markets. Unlike a traditional carbon tax, regulated firms may also produce carbon credits which may be sold to the government. Thus, the government bears the compliance cost risk rather than an individual firm and has control over the number of offsets purchased and the effective emission reduction. This unusual form of hybrid has potential political advantages of creating an economic incentive on corporate choices (at the margin) substantially greater than the actual trading price, and with lower financial transfers than in most schemes.

Policy relevance

The article presents a hybrid carbon emissions system that adds to the growing discussion of hybrid policy instruments which could be implemented by policy makers, particularly in nations without current cap and trade policies.