【作者】 肖红蓉；

【导师】 邱力生；

【作者基本信息】 武汉大学 ， 政治经济学， 2010， 博士

【摘要】 温室气体排放权交易制度(以下简称GHG ETS)是在排污权交易制度的基础上发展演化而来的一种环境经济手段,是世界各国广泛采用的控制和减少温室气体排放,减缓全球气候变化,从而将环境恶化给人类造成的各种危害降至最低的一种有效的途径。GHG ETS的原理是通过对温室气体排放权这一环境容量资源的产权进行界定,将环境容量资源的外部性内在化,利用政府调节和市场调节两种手段实现温室气体排放权的配置效率。本文基于GHG ETS理论研究的需要,较为全面地论述了GHG ETS的理论渊源,理论框架,国际GHG ETS的发展演化,国际和国内温室气体排放权市场交易的现状、特点与趋势,国内温室气体排放的驱动因素以及国内应对气候变化的政策纲要,并提出构建国内GHG ETS的原则和设计方案。全文共分为七章,各章内容介绍如下。第一章探讨了GHG ETS产生的理论渊源。本章首先指出温室气体排放权属于环境容量资源,是一种重要的经济资源,接着分析了温室气体排放的空间分布特征,指出制定该资源的区域性、全国性和全球性配置目标和手段的必要性。接着本章运用经济学中的资源配置理论深入剖析了环境资源配置中存在的市场失灵和政府失灵现象,论证了市场与政府这两种资源配置手段在环境资源配置中的必要性。最后本章比较了包括市场和政府两类环境资源配置手段的利弊,得出GHG ETS是实现环境资源优化配置的最佳途径。第二章通过对温室气体、温室气体排放权以及温室气体排放权交易制度的基本理论的阐述,为从经济学视角研究GHG ETS建立一个基本的理论研究框架。除了对温室气体的作用、温室气体与气候变化的关系做简单的介绍以外,本章依据排污权交易理论与《京都议定书》的相关规定,对本文的核心概念进行了明确地界定,从商品价值论、许可证理论和产权理论的不同视角分析了温室气体排放权的基本特征,并提出了温室气体排放权初始分配应遵循的基本原则。本章最后则介绍了“京都机制”下,构成GHG ETS的国家信息通报制度、减排机制、资金机制和遵约机制的内容和特点。第三章评述了国际GHG ETS形成的全球环境背景、政治背景和社会经济背景,介绍了《联合国气候变化框架公约》及其《京都议定书》(以下分别简称《公约》和《议定书》)的缔结过程和主要规则,还对《公约》和《议定书》的历史地位和作用进行了总体的评价,对《议定书》生效后的国际气候政策的发展趋势进行了分析。本章最后对当今主要发达国家和地区,如美国和欧盟等在温室气体减排问题上的态度与政策选择进行了简要的介绍。第四章较为全面地分析了GHG ETS在全球的运行情况,包括温室气体排放权交易的国际市场规模、主要交易类型、交易平台、市场特征、发展趋势等,旨在介绍我国GHG ETS运行的国际市场环境。第五章的目的是介绍我国建立和完善GHG ETS的社会经济背景,其中包括中国温室气体排放的历史、现状与未来趋势；导致中国能源消费需求和温室气体排放快速增长的驱动因素；中国未来温室气体减排的潜力等。第六章介绍了我国在应对气候变化,减缓温室气体排放方面所作出的积极努力。其中介绍了中国《应对气候变化国家方案》中制定的应对气候变化的指导思想、基本原则和总体目标,以及中国为实现这一目标而制定的各项政策措施,分析了未来温室气体减排行动对中国宏观经济的影响。第七章就如何构建和完善中国的GHG ETS,实现国内与国际制度的接轨,充分利用政府调节和市场调节两种手段实现温室气体排放权的最优配置,继而实现我国经济社会的可持续发展展开论述。其中评述了中国建立GHG ETS具备的基本条件和应遵循的六个基本原则,并结合当今世界最具影响力和最为成功的欧盟ETS的实践,分析了中国在构建排放权交易制度中可能会面临的一些问题；最后则通过对GHG ETS的四个主要制度环节进行具体设计,提出了构建和完善我国GHG ETS的具体方案。更多还原

【Abstract】 Greenhouse gases emissions trading system(or GHG ETS), evolving from pollutants emissions trading system, is a widely recognized and adopted economic policy instrument functioning as GHG emissions reduction and control so as to alleviate the global climate change and therefore minimize the damages of environmental deterioration on human beings. The mechanism of GHG ETS is to internalize the externality of environment capacity resources through defining the legal property rights of GHG emissions, and to utilize both the functions of government and market to achieve the allocation efficiency of such resources.In a view of academic study on and further practice of such system, the dissertation fully demonstrates the theoretic foundation and structure of GHG ETS, the evolution of the international GHG ETS. It also examines the market status, features and trends of the domestic and international GHG emissions trading, illustrates the main driving forces behind the domestic GHG emissions, the countermeasures taken by China to reduce GHG emissions, and finally presents a design plot for establishing and optimizing China’s GHG ETS.The first chapter discusses the theoretic sources of GHG ETS from environment economics perspective. This chapter firstly points out that GHG emissions right belongs to environment capacity resources, which are in essence important economic resources. Then this chapter illustrates the spatial features of GHG emissions and therefore advocates the allocation of such economic resource at international as well as regional and national level. This chapter also makes an in-depth analysis on the "market failures" and "government failures" in the allocation of environment resources and makes justifications for the co-action of government regulations and market mechanism for the optimum allocation of GHG emissions rights.The second chapter sets up a theoretic framework for the economics study of GHG ETS by illustrating GHG, GHG emissions rights and GHG ETS. In addition to a brief introduction on the GHG functions, the relationship between artificially-emitted GHG and climate change, the classification of the GHG emitting sources, this chapter explicitly defines such core concepts of this dissertation as GHG emissions rights and GHG ETS according other pollutants ETS and the AnnexⅠof the Kyoto Protocol. Then it discusses the profound connotations of GHG emissions rights, and puts forward the main principles that should guide the initial allocation of GHG emissions rights. This chapter finally makes a concrete illustration on the main components of the GHG ETS under the Kyoto Protocol, including the National Communications System, emissions reduction mechanisms, financing mechanism and contract enforcement mechanism.The third chapter observes the environment, political, economic and technical background of GHG ETS. It tracks the formation of the UNFCCC and the Kyoto Protocol, their main contents with highlight on the evolvement of the COPs of UNFCCC and the three well-know GHG emissions reduction mechanisms. This chapter also makes a brief evaluation on the historic significance and roles of the above two international climate treaties and the trends of the international climate policies since the Kyoto Protocol came into effect. At last, this chapter introduces the current status and developing trends of GHG ETS in individual countries in the aspect of attitudes and policy options of the major developed countries like the U.S. and EU.The fourth chapter makes a profound analysis on the worldwide operation of GHG ETS, in terms of the market scale, transaction types, market characteristics and developing trends, which all together constitute the international market environment for China’s GHG ETS.The fifth chapter bereaves the social and economic background for establishing and improving GHG ETS. The first section begins with the introduction on the history, current conditions and future tendency of China’s GHG emissions. The second section demonstrates the six driving forces behind the soaring energy consumption and GHG emissions in light of population, economic structure, income, urbanization, energy utilization patterns and energy pricing mechanism. The third section uses the IPCC’s SRES models and an emissions prediction models designed by a domestic research authority to analyze and predict the potentials of China’s future GHG emissions.The sixth chapter examines the efforts made by China to alleviate GHG emissions and climate change. It states the guidelines, basic principles and general targets of GHG emissions reduction program stipulated in the National Program for Addressing Climate Change of China. It also introduces the corresponding measures and policies that China has adopted, and analyzes their potential influences on China’s macro economy.The last chapter intends to design China’s GHG ETS, by concentrating on how to integrate domestic institutions with international institutions, how to fully utilize the two resource allocation mechanisms to achieve the optimum allocation of GHG emissions rights so as to ultimately maintain the sustainable development of China’s society and economy. This chapter demonstrates comprehensively the preconditions for the establishment of China’s GHG ETS and six principles that should be obeyed when China builds GHG ETS. It also probes into the possible issues which China may confront when building GHG ETS according to the lessons drawn from the most successful and influential EU ETS in the world. The last section of this chapter put forwards a detailed design plot on the four main institutional links of China’s GHG ETS.更多还原