碳交易初始配额分配:模式与方法的比较分析  

Initial Allowances Allocation in Carbon Trading: Comparison of Modes and Methods

作　　者：齐绍洲[1] 王班班[1] 

机构地区：[1]武汉大学经济与管理学院

出　　处：《武汉大学学报（哲学社会科学版）》2013年第5期19-28,共10页Wuhan University Journal：Philosophy & Social Science

基　　金：2010年教育部哲学社会科学研究重大课题攻关项目(10JZD0018);教育部新世纪优秀人才支持计划(NCET-10-0646);国家社会科学基金重大招标项目(12&ZD059)

摘　　要：初始配额是碳交易体系中的重要环节,分配的模式和方法将影响碳交易市场的运行效率。从欧盟、美国、新西兰、澳大利亚、日本等国碳交易的经验来看,拍卖的分配模式有利于碳市场的效率,而免费分配模式更能鼓励企业参与。进一步从不同的免费分配方法来看,历史法需要的数据基础相对简单,而基准线法则可以更有效地激励节能减排绩效好的企业。由于我国开展碳交易经验不足,在碳交易体系建设的初期,免费分配为主的渐进混合模式是较为合适的选择,免费分配应以历史法为基础,同时将企业的减排绩效纳入考虑。Initial Allowances allocation is an essential tache in the carbon trading system. The allocation mode and method will have influence on the efficiency of carbon market. According to the experiences in EU, U. S. , New Zealand, Australia and Japan, the auction mode of allocation will enhance the market efficiency, while free allocation mode is superior in encour- aging enterprises＇ participation. Furthermore, among different free allocation methods, grandfathering requires relatively simple data accumulation, while benchmarking is more effective in motivating enterprises with better emissions reduction performance. Since China is lack of experiences in emissions trading, in the initial phase of establishing an emissions trading system, the gradual hybrid mode starts with mainly free allocation would be a suitable choice; and the free allocation is bet- ter to use grandfathering at first, at the same time taking the emission reduction performance of enterprises into account.

关 键 词：初始配额分配 碳交易 历史法 基准线法 

分 类 号：F407.2[经济管理—产业经济]