Please wait a minute...
 
气候变化研究进展  2019, Vol. 15 Issue (3): 246-256    DOI: 10.12006/j.issn.1673-1719.2019.017
  碳市场建设专栏 本期目录 | 过刊浏览 | 高级检索 |
拍卖机制在碳市场配额分配中的应用回顾和比较分析
张文秀1,邓茂芝2(),周剑2
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
Review and comparative analysis on auction mechanism for allowance allocation in carbon markets
Wen-Xiu ZHANG1,Mao-Zhi DENG2(),Jian ZHOU2
1 School of Economics and Management, Beihang University, Beijing 100191, China
2 Institute of Energy, Environment and Economy, Tsinghua University, Beijing 100084, China
下载:  HTML ( 6 )   PDF (947KB) 
输出:  BibTeX | EndNote (RIS)      
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。

服务
把本文推荐给朋友
加入引用管理器
E-mail Alert
RSS
作者相关文章
张文秀
邓茂芝
周剑
关键词:  国际碳市场  排放配额  拍卖分配    
Abstract: 

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.

Key words:  International carbon markets    Emission allowance    Auction allocation
收稿日期:  2019-01-15      修回日期:  2019-04-04           出版日期:  2019-05-30      发布日期:  2019-06-06      期的出版日期:  2019-05-30
基金资助: 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)
通讯作者:  邓茂芝    E-mail:  dengmz@tsinghua.edu.cn
作者简介:  张文秀,女,硕士研究生, zwxiu0818@buaa.edu.cn;
引用本文:    
张文秀,邓茂芝,周剑. 拍卖机制在碳市场配额分配中的应用回顾和比较分析[J]. 气候变化研究进展, 2019, 15(3): 246-256.
Wen-Xiu ZHANG,Mao-Zhi DENG,Jian ZHOU. Review and comparative analysis on auction mechanism for allowance allocation in carbon markets. Climate Change Research, 2019, 15(3): 246-256.
链接本文:  
http://www.climatechange.cn/CN/10.12006/j.issn.1673-1719.2019.017  或          http://www.climatechange.cn/CN/Y2019/V15/I3/246
表1  世界主要碳市场拍卖机制应用情况
表2  EU ETS拍卖应用情况
表3  EU ETS第2阶段拍卖情况
图1  2013—2017年EU ETS拍卖情况②(②http://www.eex.com/en/market-data/environmental-markets/auction-market/european-emission-allowances-auction#!/2010/01/05。)
表4  CAT ETS拍卖应用情况
图2  CAT ETS第3阶段(2012—2017年)拍卖情况④(④https://www.arb.ca.gov/cc/capandtrade/auction/auction_archive.htm。)
表5  AU ETS拍卖应用情况
表6  国内试点碳市场拍卖应用情况
表7  国内外碳市场拍卖机制对比
[1] Yu Z, Geng Y, Dai H , et al. A general equilibrium analysis on the impacts of regional and sectoral emission allowance allocation at carbon trading market[J]. Journal of Cleaner Production, 2018,192:421-432
doi: 10.1016/j.jclepro.2018.05.006
[2] 段茂盛, 庞韬 . 全国统一碳排放权交易体系中的配额分配方式研究[J]. 武汉大学学报: 哲学社会科学版, 2014,67(5):5-12.
Duan M S, Pang T . Key issues in allowance allocation in China’s future unified national emissions trading scheme[J]. Wuhan University Journal: Philosophy & Social Sciences, 2014,67(5):5-12 (in Chinese)
[3] 吴洁, 范英, 夏炎 , 等. 碳配额初始分配方式对中国省区宏观经济及行业竞争力的影响[J]. 管理评论, 2015,27(12):18-26.
Wu J, Fan Y, Xia Y , et al. Impacts of initial quota allocation on regional macro-economy and industry competitiveness[J]. Management Review, 2015,27(12):18-26 (in Chinese)
[4] Kossoy A . State and trends of carbon pricing 2017 [R]. Washington DC: The World Bank, 2017
[5] Yang B C, Liu C Z, Gou Z H , et al. How will policies of China’s CO2 ETS affect its carbon price: evidence from Chinese pilot regions[J]. Sustainability, 2018 ( 10):605
[6] Cramton P, Kerr S . Tradeable carbon permit auctions: how and why to auction not grandfather[J]. Energy Policy, 2002,30(4):333-345
doi: 10.1016/S0301-4215(01)00100-8
[7] Goeree J K, Holt C A, Palmer K L , et al. An experimental study of auctions versus grandfathering to assign pollution permits[J]. Journal of the European Economic Association, 2010,8(2-3):514-525
doi: 10.1111/(ISSN)1542-4774
[8] Tang L, Wu J, Yu L , et al. Carbon allowance auction design of China’s emissions trading scheme: a multi-agent-based approach[J]. Energy Policy, 2017,102:30-40
doi: 10.1016/j.enpol.2016.11.041
[9] Dormady N C . Carbon auctions, energy markets & market power: an experimental analysis[J]. Energy Economics, 2014,44:468-482
doi: 10.1016/j.eneco.2014.03.013
[10] Dewees D N . Pollution and the price of power[J]. Energy Journal, 2008,29(2):81-100
[11] Wang M, Zhou P . Does emission permit allocation affect CO2, cost pass-through? A theoretical analysis[J]. Energy Economics, 2017,66:140-146
doi: 10.1016/j.eneco.2017.06.011
[12] Golombek R, Kittelsen S A C, Rosendahl K E . Price and welfare effects of emission quota allocation[J]. Energy Economics, 2013,36:568-580
doi: 10.1016/j.eneco.2012.11.006
[13] Hübler M, Voigt S, Löschel A . Designing an emissions trading scheme for China: an up-to-date climate policy assessment[J]. Energy Policy, 2014,75:57-72
doi: 10.1016/j.enpol.2014.02.019
[14] Cong R G, Wei Y M . Experimental comparison of impact of auction format on carbon allowance market[J]. Renewable and Sustainable Energy Reviews, 2012,16(6):4148-4156
doi: 10.1016/j.rser.2012.03.049
[15] Schmalensee R, Stavins R N . Lessons learned from three decades of experience with cap and trade[J]. Review of Environmental Economics and Policy, 2017,11(1):59-79
doi: 10.1093/reep/rew017
[16] Jiang M X, Yang D X, Chen Z Y , et al. Market power in auction and efficiency in emission permits allocation[J]. Journal of Environmental Management, 2016,183(3):576-584
doi: 10.1016/j.jenvman.2016.08.083
[17] Xiong L, Shen B, Qi S , et al. The allowance mechanism of China’s carbon trading pilots: a comparative analysis with schemes in EU and California[J]. Applied Energy, 2017,185:1849-1859
doi: 10.1016/j.apenergy.2016.01.064
[18] 段茂盛, 邓哲, 张海军 . 碳排放权交易体系中市场调节的理论与实践[J]. 社会科学辑刊, 2018 ( 1):92-100.
Duan M S, Deng Z, Zhang H J . Theory and practice of market regulation in carbon trading scheme[J]. Social Science Journal, 2018 ( 1):92-100 (in Chinese)
[19] Meunier G, Montero J P, Ponssard J P . Output-based allocations in pollution markets with uncertainty and self-selection[J]. Journal of Environmental Economics and Management, 2018,92:832-851
doi: 10.1016/j.jeem.2017.10.001
[20] Burtraw D, McCormack K , . Consignment auctions of free emissions allowances[J]. Energy Policy, 2017,107:337-344
doi: 10.1016/j.enpol.2017.04.041
[21] Dormady N, Healy P J . The consignment mechanism in carbon markets: a laboratory investigation[J]. Journal of Commodity Markets, 2018: 1-15
[22] Burtraw D, Sekar S . Two world views on carbon revenues[J]. Journal of Environmental Studies & Sciences, 2014,4(1):110-120
[23] 魏立佳, 彭妍, 刘潇 . 碳市场的稳定机制:一项实验经济学研究[J]. 中国工业经济, 2018 ( 4):174-192.
Wei L J, Peng Y, Liu X . The stability mechanism of the carbon market: a study of experimental economics[J]. China Industrial Economics, 2018 ( 4):174-192 (in Chinese)
[24] Cullenward D, Coghlan A . Structural oversupply and credibility in California’s carbon market[J]. The Electricity Journal, 2016,29(5):7-14
[25] Liu L, Sun X, Chen C , et al. How will auctioning impact on the carbon emission abatement cost of electric power generation sector in China?[J]. Applied Energy, 2016,168:594-609
doi: 10.1016/j.apenergy.2016.01.055
[26] Wang X, Teng F, Wang G , et al. Carbon leakage scrutiny in ETS and non-ETS industrial sectors in China[J]. Resources, Conservation and Recycling, 2018,129:424-431
doi: 10.1016/j.resconrec.2016.09.017
[27] 彭峰, 邵诗洋 . 欧盟碳排放交易制度: 最新动向及对中国之镜鉴[J]. 中国地质大学学报: 社会科学版, 2012,12(5):41-47.
Peng F, Shao S Y . EU carbon emissions trading scheme: origins, evolution and the new development[J]. Journal of China University of Geosciences: Social Sciences Edition, 2012,12(5):41-47 (in Chinese)
[28] Hintermann B, Peterson S, Rickels W . Price and market behavior in phase II of the EU ETS: a review of the literature[J]. Review of Environmental Economics & Policy, 2016,10(1):108-128
[29] Andrei M . 2017 state of the EU ETS report [R]. Centre for European Policy Studies, 2017
[30] Kossoy A . State and trends of carbon pricing 2008 [R]. Washington DC: The World Bank, 2008
[31] Creti A, Jouvet P A, Mignon V . Carbon price drivers: phase I versus phase II equilibrium[J]. Energy Economics, 2012,34(1):327-334
doi: 10.1016/j.eneco.2011.11.001
[32] Anderson B, Di Maria C . Abatement and allocation in the pilot phase of the EU ETS[J]. Environmental and Resource Economics, 2011 ( 1):83-103
[33] 温岩, 刘长松, 罗勇 . 美国碳排放权交易体系评析[J]. 气候变化研究进展, 2013,9(2):144-149.
doi: 10.3969/j.issn.1673-1719.2013.02.010
Wen Y, Liu C S, Luo Y . Review and analysis on U.S. carbon emissions trading system[J]. Progeressus Inquisitiones de Mutatione Climatis, 2013,9(2):144-149 (in Chinese)
doi: 10.3969/j.issn.1673-1719.2013.02.010
[34] 鲁虹佑, 周勇 . 如何在碳交易市场下对工业部门进行碳排放权分配: 加州碳排放权交易市场的经验[J]. 科学与管理, 2013,33(5):15-19.
Lu H Y, Zhou Y . Direct allocation of emission allowances for industrial sectors: experience from California’s cap-and-trade program[J]. Science and Management, 2013,33(5):15-19 (in Chinese)
[35] Dormady N . Carbon auction revenue and market power: an experimental analysis[J]. Energies, 2016,9(11):897
doi: 10.3390/en9110897
[36] Mcguirk P, Bulkeley H, Dowling R . Practices, programs and projects of urban carbon governance: perspectives from the Australian city[J]. Geoforum, 2014,52:137-147
doi: 10.1016/j.geoforum.2014.01.007
[37] Wong P S P, Owczarek A, Murison M , et al . Driving construction contractors to adopt carbon reduction strategies: an Australian approach[J]. Journal of Environmental Planning & Management, 2014,57(10):1465-1483
[38] Kossoy A . State and trends of carbon pricing 2014 [R]. Washington DC: The World Bank, 2014
[39] Cotton D, Mello L D . Econometric analysis of Australian emissions markets and electricity prices[J]. Energy Policy, 2014,74:475-485
doi: 10.1016/j.enpol.2014.07.024
[1] 潘勋章, 滕飞. 2℃温升目标下中国排放配额分析[J]. 气候变化研究进展, 2015, 11(6): 429-439.
[2] 曾静静 曲建升. 欧盟航空碳税及其国际影响[J]. 气候变化研究进展, 2012, 8(4): 292-296.
[1] . A New Method to Construct Anomaly Series of Climatic Energy Consumption for Urban Residential Heating in Jilin Province[J]. Climate Change Research, 2008, 04(001): 32 -36 .
[2] . Analysis of Factors Impacting China's CO2 Emissions During 1971-2005[J]. Climate Change Research, 2008, 04(001): 42 -47 .
[3] Cao Guoliang;Zhang Xiaoye; Wang Yaqiang;et al.. Inventory of Black Carbon Emission from China[J]. Climate Change Research, 2007, 03(00): 75 -81 .
[4] . Dryness/Wetness Changes in Qinghai Province During 1959-2003[J]. Climate Change Research, 2007, 03(06): 356 -361 .
[5] Xu Xiaobin;Lin Weili; Wang Tao;et al.. Long-term Trend of Tropospheric Ozone over the Yangtze Delta Region of China[J]. Climate Change Research, 2007, 03(00): 60 -65 .
[6] Gao Qingxian; Du Wupeng; Lu Shiqing;et al.. Methane Emission from Municipal Solid Waste Treatments in China[J]. Climate Change Research, 2007, 03(00): 70 -74 .
[7] . Guide to Authors[J]. Climate Change Research, 2006, 02(00): 84 .
[8] . Granger Causality Test for Detection and Attribution of Climate Change[J]. Climate Change Research, 2008, 04(001): 37 -41 .
[9] . AIntra-annual Inhomogeneity Characteristics of Precipitation over Northwest China[J]. Climate Change Research, 2007, 03(05): 276 -281 .
[10] . Projection of Future Precipitation Extremes in the Yangtze River Basin for 2001-2050[J]. Climate Change Research, 2007, 03(06): 340 -344 .
Viewed
Full text


Abstract

Cited

  Shared   
  Discussed   
京ICP备11008704号-4
版权所有 © 《气候变化研究进展》编辑部
地址:北京市海淀区中关村南大街46号 邮编:100081 电话/传真:(010)58995171 E-mail:accr@cma.gov.cn
本系统由北京玛格泰克科技发展有限公司设计开发 技术支持:support@magtech.com.cn