排污权交易及其在中国的应用研究
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摘要
自20世纪60年代,随着社会生产力和科学技术迅猛发展,人类改造自然的规模不断扩大,经济增长与环境保护的矛盾越来越突出。实践表明,环境政策是世界各国在保持经济增长的同时,对环境实施有效保护和改善的重要手段。排污权交易在承认环境容量资源有限的前提下,允许排污单位对环境资源的使用权进行交易,能够很好地协调经济发展与环境保护的关系,是一项成本效益高的环境政策。
本文将排污权交易作为研究对象,在分析和总结国内外实践基础上,对排污权总量确定、初始分配及其在非点源污染中的应用进行了研究,并结合大连市具体现状,提出大连市应用排污权交易的构想。本文主要对以下问题进行了探讨:
①应用环境负荷理论确定排污总量。排污权交易政策的特点之一是排污总量有上限。总量的确定在理论上并不十分困难,它主要由环境容量、环境质量等因素决定。目前确定方法主要有两种:依据环境容量和历史排放水平,然而这两种方法均未考虑经济发展因素,导致污染控制与经济发展脱钩。尤其值得注意的是,我国现有的总量控制计划忽视了计划的长期性和可延续性,造成每一期之间总量目标的随意变更,从根本上动摇了政策的稳定性并影响了政策的执行效果。本文针对上述现象,通过分析传统经济增长方式与环境负荷之间的关系,对排污权交易中的总量管理创新问题进行探索研究。以二氧化硫的排放控制为例分析探讨如何在排污权交易中应用环境负荷的控制方程将污染的远期允许目标总量分解,进而确定交易的近期总量目标。
②排污权初始分配问题的探讨。已有的分配方法主要包括无偿分配、拍卖等形式,而这些方式都难以保证环境资源的有效配置。本文将“排放效率”引入初始分配中,通过排污权的初始分配,促使低于排放效率平均值的排污者被淘汰出局,引导排污权交易从利用经济方法控制环境污染向利用环境容量促进经济增长转变,进而在环境排污总量不增加的情况下促进经济增长最大化。
③将排污权交易应用于非点源污染。对于中国政府而言,解决非点源污染问题关键既不在于缺乏对非点源污染相关知识的了解,也不在于缺少控制污染的技术,问题的关键在于缺少相关政策及配套制度。本文通过分析点源与非点源的减污成本,进一步分析了排污权在点源与非点源之间交易的可行性,并遵循清洁发展机制的设计思路,提出点源与非点源进行排污权交易的具体方案。由于监控非点源污染的成本较高,因此可以采取代理转换机制,将非点源转换成点源或类点源,以实现排污权在点源与非点源之间的有效交易。
④在考察大连市自然状况、产业结构、工业发展布局以及近年环境状况基础上,分析了排污权交易在大连市实施的可行性及必要性,并从总量确定、初始分配及市场建立、交易监控等方面入手,构架了大连市的排污权交易体系,期望能够为大连及其他相似城市排污权交易体系的建立提供参考和借鉴。通过研究指出,完善明确的法律依据也是有效实施排污权交易的基础,因此,相关的立法及执法力度也必须加强。
Since 1960s, the scale of natural transformation has been expanded gradually along with the rapid development of productivity,science and technology. The incompatibility between high-speed economic growth and limited environmental capacity has been worsening dramatically in recent years. We have known from practice that environment policy is a very important way to protect environment effectively, while the speed of economics growth is guaranteed. Based on tradable emissions, polluting sources can trade their pollution rights on the premise that environment capacity is limited. It is a cost-effective policy for reducing pollutions and well harmonizing the relationship of economic development and environment protection.
Taking tradable emissions as a study object, this dissertation discusses the following three issues on basis of a survey of international and demestic experience: total setting of emission rights, primary allocation for allowances and the application of tradable emissions to ANPS (agriculture non-point source) pollutions. In addition, this dissertation proposes the conception of applying tradable emission to Dalian City according to Dalian present situation. The following details are the conclusion of this thesis:
1. Setting Total Emissions. One characteristic of emissions trading is that it has an upper limits (the cap for the total permissible emissions). It is not very difficult in theory when setting the total emissions, it mainly relates to the environmental quantity and quality. There are two methods, one is traditional cap-and-trade system and the other is "pollution level".In practice, this level is a historic level or a part of present level. However these two methods has not considered the economical development factor, which divides the contamination control and the economical development. Particularly, our current total control plans ignore the long-term and continuity nature of the program , resulting in the random change of total goals between each period, fundamentally shaken the policy and affect the stability of the the implementation of the policy. Based on the phenomenon, this thesis studies the innovation of environment capacity management by analyzing the relationship between traditional mode of economic growth and the environmental load, and explores how to change the forward target into annual goals.
2. Discussion on primary allocation for allowances. Total emissions must be set and allocated to every pollution source by government. There are various options when it comes to the primary allocation of emission allowance, auctioning and free allocation of allowances are the main approaches. But these two ways can not enable the environment resources to obtain the most superior assignment. The notion "discharge efficiency" is introduced in prinary allocation, this notion in our study not only provides theoretical basis for eliminating enterprises with discharge efficiency below average,but also helps promote the optimal socio-economic development under the constraint of environmental capacity.
3. Applying tradable emissions to ANPS pollutions. The key issue for Chinese government is neither the lack of knowledge about ANPS pollution nor the lack of technologies to control it. A proper policy frame and the matching systems on ANPS pollution control are needed. This dissertation analyzes the feasibility of emission rights trading between point pollutions and ANPS pollutions based on their reduction pollution costs. A concrete plan for trading emission rights between point and ANPS pollutions is also designed following the design mentality of Clean Development Mechanism. In order to reduce monitoring cost, "agent mechanism" method is adopted, in this method, ANPS pollutions are collected to be a whole object and traded with other point pollution.
4. In view of the present situation of Dalian, this dissertation analyzes the feasibility and the necessity of tradable emissions which will implement in Dalian, and devises a tradable emissions system (including total setting, primary allocation, market establishent,transaction monitoring etc) for Dalian, expectes to provide a model for other similar cities. The paper points out through the research that, effective implementation of tradable emissions needs explicit law. Therefore, the correlation legislation and lawenforcement must be strengthen.
本文将排污权交易作为研究对象,在分析和总结国内外实践基础上,对排污权总量确定、初始分配及其在非点源污染中的应用进行了研究,并结合大连市具体现状,提出大连市应用排污权交易的构想。本文主要对以下问题进行了探讨:
①应用环境负荷理论确定排污总量。排污权交易政策的特点之一是排污总量有上限。总量的确定在理论上并不十分困难,它主要由环境容量、环境质量等因素决定。目前确定方法主要有两种:依据环境容量和历史排放水平,然而这两种方法均未考虑经济发展因素,导致污染控制与经济发展脱钩。尤其值得注意的是,我国现有的总量控制计划忽视了计划的长期性和可延续性,造成每一期之间总量目标的随意变更,从根本上动摇了政策的稳定性并影响了政策的执行效果。本文针对上述现象,通过分析传统经济增长方式与环境负荷之间的关系,对排污权交易中的总量管理创新问题进行探索研究。以二氧化硫的排放控制为例分析探讨如何在排污权交易中应用环境负荷的控制方程将污染的远期允许目标总量分解,进而确定交易的近期总量目标。
②排污权初始分配问题的探讨。已有的分配方法主要包括无偿分配、拍卖等形式,而这些方式都难以保证环境资源的有效配置。本文将“排放效率”引入初始分配中,通过排污权的初始分配,促使低于排放效率平均值的排污者被淘汰出局,引导排污权交易从利用经济方法控制环境污染向利用环境容量促进经济增长转变,进而在环境排污总量不增加的情况下促进经济增长最大化。
③将排污权交易应用于非点源污染。对于中国政府而言,解决非点源污染问题关键既不在于缺乏对非点源污染相关知识的了解,也不在于缺少控制污染的技术,问题的关键在于缺少相关政策及配套制度。本文通过分析点源与非点源的减污成本,进一步分析了排污权在点源与非点源之间交易的可行性,并遵循清洁发展机制的设计思路,提出点源与非点源进行排污权交易的具体方案。由于监控非点源污染的成本较高,因此可以采取代理转换机制,将非点源转换成点源或类点源,以实现排污权在点源与非点源之间的有效交易。
④在考察大连市自然状况、产业结构、工业发展布局以及近年环境状况基础上,分析了排污权交易在大连市实施的可行性及必要性,并从总量确定、初始分配及市场建立、交易监控等方面入手,构架了大连市的排污权交易体系,期望能够为大连及其他相似城市排污权交易体系的建立提供参考和借鉴。通过研究指出,完善明确的法律依据也是有效实施排污权交易的基础,因此,相关的立法及执法力度也必须加强。
Since 1960s, the scale of natural transformation has been expanded gradually along with the rapid development of productivity,science and technology. The incompatibility between high-speed economic growth and limited environmental capacity has been worsening dramatically in recent years. We have known from practice that environment policy is a very important way to protect environment effectively, while the speed of economics growth is guaranteed. Based on tradable emissions, polluting sources can trade their pollution rights on the premise that environment capacity is limited. It is a cost-effective policy for reducing pollutions and well harmonizing the relationship of economic development and environment protection.
Taking tradable emissions as a study object, this dissertation discusses the following three issues on basis of a survey of international and demestic experience: total setting of emission rights, primary allocation for allowances and the application of tradable emissions to ANPS (agriculture non-point source) pollutions. In addition, this dissertation proposes the conception of applying tradable emission to Dalian City according to Dalian present situation. The following details are the conclusion of this thesis:
1. Setting Total Emissions. One characteristic of emissions trading is that it has an upper limits (the cap for the total permissible emissions). It is not very difficult in theory when setting the total emissions, it mainly relates to the environmental quantity and quality. There are two methods, one is traditional cap-and-trade system and the other is "pollution level".In practice, this level is a historic level or a part of present level. However these two methods has not considered the economical development factor, which divides the contamination control and the economical development. Particularly, our current total control plans ignore the long-term and continuity nature of the program , resulting in the random change of total goals between each period, fundamentally shaken the policy and affect the stability of the the implementation of the policy. Based on the phenomenon, this thesis studies the innovation of environment capacity management by analyzing the relationship between traditional mode of economic growth and the environmental load, and explores how to change the forward target into annual goals.
2. Discussion on primary allocation for allowances. Total emissions must be set and allocated to every pollution source by government. There are various options when it comes to the primary allocation of emission allowance, auctioning and free allocation of allowances are the main approaches. But these two ways can not enable the environment resources to obtain the most superior assignment. The notion "discharge efficiency" is introduced in prinary allocation, this notion in our study not only provides theoretical basis for eliminating enterprises with discharge efficiency below average,but also helps promote the optimal socio-economic development under the constraint of environmental capacity.
3. Applying tradable emissions to ANPS pollutions. The key issue for Chinese government is neither the lack of knowledge about ANPS pollution nor the lack of technologies to control it. A proper policy frame and the matching systems on ANPS pollution control are needed. This dissertation analyzes the feasibility of emission rights trading between point pollutions and ANPS pollutions based on their reduction pollution costs. A concrete plan for trading emission rights between point and ANPS pollutions is also designed following the design mentality of Clean Development Mechanism. In order to reduce monitoring cost, "agent mechanism" method is adopted, in this method, ANPS pollutions are collected to be a whole object and traded with other point pollution.
4. In view of the present situation of Dalian, this dissertation analyzes the feasibility and the necessity of tradable emissions which will implement in Dalian, and devises a tradable emissions system (including total setting, primary allocation, market establishent,transaction monitoring etc) for Dalian, expectes to provide a model for other similar cities. The paper points out through the research that, effective implementation of tradable emissions needs explicit law. Therefore, the correlation legislation and lawenforcement must be strengthen.
引文
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