流域排污权初始分配模式选择

Initial Allocation of Pollution Discharge Rights:A Case Study in Huaihe River Basin

目前水污染物排放权交易在国外污染控制方面发挥着越来越重要的作用,我国也开始了水污染物排放权交易的试点研究。排污权初始分配是排污权交易实施的前提与基础。在流域排污权交易制度建立初期,无偿分配是排污权初始分配的主要方式。我国流域排污权初始分配的基本原则是兼顾公平与效率。以行政管辖区为排污权交易的主体,可以降低大流域内排污权交易成本,据此认为在大流域开展排污权初始分配可以以行政管辖区为主体。提出按需分配法、改进的同比例削减法、排污绩效法、综合法、环境容量法等5种排污权初始分配模式。各流域开展排污权初始分配时,应根据各自的经济发展特点,选择合适的模式。在淮河流域当前发展阶段,应主要采用综合法的分配模式。

At present, the trade of water pollution discharge rights plays an increasingly important role in pollution control in the world, and a pilot project has also been launched in China. The initial allocation of pollution discharge rights （IAPDR） is the premise and basis of the trade of pollution discharge rights （TPDR）. In the early stage of establishing the TPDR system, it is impractical to adopt paid allocation modes entirely, so unpaid allocation is the main method of. Equity and efficiency are the basic principles of the actual IAPDR in Huaihe River basin in China. Since the TPDR between the upper and lower reaches of the basin involves the interest of third parties, it is easier to use administrative region as the unit of TPRD than to use enterprises as the unit when local consultation mechanism is adopted. The approach of administrative region as the unit of TPDR can reduce the transaction cost of trade, so it is recommended that administrative region can be the unit in IAPDR in a large basin. Five different allocation models are established, including distribution model according to needs, improved same-rate reduction model, emission performance model, integration model and environmental capacity model. In the integrated allocation model, the influencing factors can be divided into four categories, including present condition of environment, economic development, social justice and scientific and technological achievements. The IAPDR in different basins should choose their respective models which are in accordance with their particular development features. These models should be adopted in the initial allocation, with consideration of the total restricted pollution discharge amount （COD： 38.20ten thousand t/a,NHrN： 2.66 ten thousand t/a） suggested by Huaihe River Commission of Ministry of Water Resources, which have considered the assimilative capacity in water function areas and presented pollution discharge amount as the total target amount. In addition, COD and NH3-N are regarded as the objects of initial allocation, and the provinces in Huaihe River basin as the units of initial allocation. The results of initial allocation vary in different models due to the distinguished basic principles on initial allocation. It is concluded that integrated allocation model should be a better choice at the current development stage of economy in Huaihe River basin, but in regard to the feasibility of such policies, same-rate reduction scheme should be used as a transitional policy before integrated allocation scheme is introduced.