碳市场建设路径研究:国际经验及对中国的启示

Research on the pathways of carbon market development:international experiences and implications for China

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(EUETS)、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。

Based on the development history of the typical international carbon market, this study established an evaluation index system composed of 32 sub-indicators, measured from the four dimensions of political appeal, decision-making environment, economic base, and market foundation. In depth analysis is conducted on European Emissions Trading System (EU ETS), Regional Greenhouse Gas Initiative (RGGI), Western Climate Initiative (WCI) etc., in order to summarize the common criteria for different types of international carbon markets and find out which type of market is most suitable for China. The establishment of a cross-border coalition-based carbon market usually considers three key points: close economic links, high cost of abatement in individual regions, and proximity of geographical locations. The establishment of national carbon markets usually takes into consideration the national mandatory emission reduction responsibilities, strong demand for energy structure transformation, and stable national legislation protection. The establishment of regional carbon markets usually includes conditions such as strong regional emission reduction requirements and lack of national legislation of emission rights. The prerequisites for the establishment of industry-based carbon markets include four characteristics: high concentration of greenhouse gas (GHG) emissions, protection of industrial competitiveness, increases in demand of key emission industries, and solid foundation for industrial emission data. Therefore, this study proposes that China’s carbon market development should consider combination of industry-based and cross-border coalitionbased carbon markets, further improve the effectiveness of regulatory policy system, accelerate the collection of local GHG emission inventory data, and strengthen local capacity building so as to achieve the dual goals of GHG emission reduction and industrial restructuring and upgrading through the carbon market.