碳排放权交易的配额分配与公平竞争——欧盟的经验与启示

Allocation of Allowances and Fair competition in Carbon Emissions Trading: Experience in the EU ETS

碳排放权交易的配额分配过程与结果,均对企业法律权益与公平竞争有重要影响。欧盟排放交易体系的配额分配历经了分散决策、免费为主,集中决策、多样分配两大模式。在审视配额分配与公平竞争的关系时,分配权限配置、分配方法选择这两大因素不容忽视。中国可借鉴欧盟经验教训,在多层治理体系中合理配置分配权限、采取分散决策与集中决策相结合的模式,并在选择分配方法时从免费为主逐步过渡到以拍卖为主、免费为辅的综合分配方式。

Allowances allocation is one of the key elements concerning the legal framework for carbon emissions trading, the process and results of which have a significant influence on the legal rights of and fair competition between the enterprises. The allowances allocation of the EU ETS has experienced two models：one is a decentralized decision-making model with free allocation as the major method, while the other is a centralized decision-making model with a mix of allocation methods. When examining the relationship between allowances allocation and fair competition, two important factors including competence distribution and allocation method should be taken into consideration carefully. In this respect, China can learn from the EU ETS. To be specific, China can distribute the competence in line with the combination of centralization and decentralization within the multi-level governance structure on the one hand;and choose the comprehensive allocation methods in which the free allocation method will be used in the initial stage and the auctioning will phase in gradually.