拍卖机制在碳市场配额分配中的应用回顾和比较分析  

Review and comparative analysis on auction mechanism for allowance allocation in carbon markets

作　　者：张文秀 邓茂芝 周剑[2] ZHANG Wen-Xiu;DENG Mao-Zhi;ZHOU Jian(School of Economics and Management,Beihang University,Beijing 100191,China;Institute of Energy,Environment and Economy,Tsinghua University,Beijing 100084,China)

机构地区：[1]北京航空航天大学经济管理学院,北京100191 [2]清华大学能源环境经济研究所,北京100084

出　　处：《气候变化研究进展》2019年第3期246-256,共11页Climate Change Research

基　　金：国家重点研发专项(2016YFA0602702);国家自然科学基金(71673162);国家自然科学基金(71173131);国家自然科学基金(71673019);国家社会科学基金重大项目子课题(18ZDA106);华电集团科技项目(CHDKJ18-02-101)

摘　　要：配额拍卖机制在碳市场中具有重要作用。文中在综述配额拍卖机制研究进展的基础上,重点回顾拍卖机制在欧盟、美国加州和澳大利亚等具有代表性的国际碳市场中的应用情况,结合国内试点碳市场的运行情况,分析不同地区碳市场中拍卖机制的效果。研究认为,国际碳市场拍卖机制设计较为完善,在实际应用中效果良好,起到了增强市场流动性的作用,国内各试点碳市场拍卖机制仍处于探索阶段。文中从拍卖机制的要素设计、平台建设、所得资金管理等方面对全国统一碳市场配额拍卖机制设计提出建议,为全国碳市场中拍卖机制的建设提供参考。The auction mechanism plays an important role in carbon markets. In this paper, we review the auction mechanism in different carbon markets, including the EU, California, Australia and China’s pilot carbon markets, and we analyze the auction effect on these carbon markets. The auction practice of international carbon markets shows auction mechanism can benefit carbon markets by better operations and liquidity. However, China’s pilot carbon markets are still under development and improvement and the auction mechanism is at experimental stage. We propose some suggestions to China’s national carbon market from the auction factor design, the auction platform construction and the auction fund management. These research conclusions and recommendations are expected to provide valuable reference for the design of auction mechanism in China’s national carbon market.

关 键 词：国际碳市场 排放配额 拍卖分配 

分 类 号：X196[环境科学与工程—环境科学] F831.5[经济管理—金融学]