本文選題：排放貿(mào)易 + 清潔發(fā)展機(jī)制�。� 參考：《東北財(cái)經(jīng)大學(xué)》2013年碩士論文

【摘要】：氣候變化問題對(duì)當(dāng)今各國(guó)政府來說是十分艱巨且期待解決的問題之一。全球性氣溫升高及其后果已經(jīng)嚴(yán)重影響到地球上的各種生命形態(tài)。因氣候問題而產(chǎn)生的如此嚴(yán)重的影響是不可忽略的。因此,國(guó)際多邊合作是緩解和解決氣候變化問題的關(guān)鍵途徑。 30多年前,國(guó)際社會(huì)開始了對(duì)解決氣候問題的第一次探討。2005年京都議定書的提出,促進(jìn)了全球多邊磋商和會(huì)談的有效性。在京都議定書的框架下,三個(gè)靈活性機(jī)制——排放貿(mào)易機(jī)制,聯(lián)合履行機(jī)制,和清潔發(fā)展機(jī)制——被提出；京都議定書及其三個(gè)靈活性機(jī)制并不是解決一切環(huán)境問題的萬能藥,而是能使國(guó)際多邊合作有效開展的合作框架。然而,京都議定書模式的有效性,很大程度上取決于參與國(guó)政策制定者的決心及其代表的國(guó)家利益。 在京都議定書框架下,歐盟15國(guó)(注：京都議定書制定初期時(shí)僅有的15個(gè)歐盟成員國(guó))以及其他37個(gè)主要工業(yè)國(guó)家承諾將減少溫室氣體(主要為二氧化碳,甲烷,氧化亞氮,六氟化硫,氫氟碳化物及全氟化碳)的排放量。相應(yīng)的正式措施開始于2008年,并于2012年結(jié)束。這個(gè)階段被稱為京都議定書第一承諾期。之后自2013年開始的京都議定書第二承諾期有望吸納更多國(guó)家加入,此外,第二承諾期亦有望提出更加有力的措施。自第二承諾期開始,亞洲發(fā)展中國(guó)家將會(huì)被給予更多關(guān)注。地處亞洲的新經(jīng)濟(jì)體中國(guó)及印度等國(guó)家已經(jīng)成為溫室氣體排放的主要貢獻(xiàn)者。本論文以此為背景,探討溫室氣體排放的影響,排放貿(mào)易和清潔發(fā)展機(jī)制在中國(guó)的發(fā)展,以及中國(guó)在后京都議定書(即第一承諾期結(jié)束后)的應(yīng)對(duì)。 論文從介紹溫室氣體排放及其影響為開端,說明了減少溫室氣體排放不僅十分必要而且十分緊迫。在了解了減少溫室氣體排放的重要性以后,筆者詳細(xì)介紹了聯(lián)合國(guó)氣候變化框架公約(UNFCCC)以及京都議定書。此外,中國(guó)在這兩個(gè)框架下的運(yùn)作情況也進(jìn)行了說明。值得一提的是,中國(guó)正不斷感受到來自外部和內(nèi)部的共同壓力：由于中國(guó)已經(jīng)成為溫室氣體排放的主要貢獻(xiàn)國(guó)家,國(guó)際社會(huì),尤其是以美國(guó)為首的發(fā)達(dá)國(guó)家,緊盯中國(guó)不放。與此同時(shí),中國(guó)經(jīng)濟(jì)結(jié)構(gòu)不合理(表現(xiàn)為過大比例的能源密集型工業(yè))的現(xiàn)狀,也亟須改變。 為了闡明碳排放與貿(mào)易的關(guān)系,以及為什么碳排放市場(chǎng)能夠形成,本文簡(jiǎn)述了相關(guān)的理論,包括貿(mào)易與排放,比較優(yōu)勢(shì)理論,以及技術(shù)轉(zhuǎn)移理論等。在這些理論當(dāng)中,比較優(yōu)勢(shì)理論和技術(shù)轉(zhuǎn)移理論為排放貿(mào)易市場(chǎng)和清潔發(fā)展機(jī)制打下了理論基礎(chǔ)。比較優(yōu)勢(shì)理論說明了,只要世界貿(mào)易可行,各國(guó)可以專注于其優(yōu)勢(shì)產(chǎn)業(yè),即各國(guó)需要發(fā)展其比較優(yōu)勢(shì)。這個(gè)理論對(duì)溫室氣體排放同樣適用：有些國(guó)家因其自身經(jīng)濟(jì),政治和地理因素,可以有效地以較低成本進(jìn)行溫室氣體排放管理,而另外一些國(guó)家則不然。因此,一旦國(guó)際排放市場(chǎng)形成,一些國(guó)家就可以憑借自己處理溫室氣體排放的能力在市場(chǎng)上進(jìn)行交易,從而使得整個(gè)社會(huì)福利得到提高。 當(dāng)今世界已經(jīng)日漸成為一個(gè)“基于知識(shí)的一體化經(jīng)濟(jì)體”(見Lai,2011)。知識(shí)和科技是一個(gè)國(guó)家立于民族之林的兩個(gè)重要支柱,他們?cè)谏a(chǎn)力和經(jīng)濟(jì)發(fā)展中扮演者至關(guān)重要的角色。然而,現(xiàn)實(shí)是各國(guó)在科技發(fā)展的中所處的階段不盡相同。得益于國(guó)際貿(mào)易的產(chǎn)生,科技和知識(shí)得以從科技較發(fā)達(dá)的國(guó)家到較落后的國(guó)家。技術(shù),知識(shí)和科技在國(guó)家和企業(yè)間的流動(dòng)常被稱為(國(guó)際)技術(shù)轉(zhuǎn)移。促進(jìn)國(guó)際技術(shù)轉(zhuǎn)移是聯(lián)合國(guó)氣候變化框架公約和京都議定書的重要特點(diǎn)之一。事實(shí)上,技術(shù)轉(zhuǎn)移也是激勵(lì)和幫助發(fā)展中國(guó)家處理環(huán)境問題的手段之一。聯(lián)合國(guó)氣候變化框架公約和京都議定書下的諸多措施使得發(fā)展中國(guó)家能夠較快地吸收和學(xué)習(xí)先進(jìn)知識(shí),從而能夠大幅度地跟進(jìn)發(fā)達(dá)國(guó)家。 另外,本文介紹了排放貿(mào)易和清潔發(fā)展機(jī)制,這兩個(gè)機(jī)制對(duì)中國(guó)有重要的影響。排放貿(mào)易是以市場(chǎng)為基礎(chǔ),通過提供經(jīng)濟(jì)上的激勵(lì)而達(dá)到控制污染和減少排放的目的。要建立排放貿(mào)易機(jī)制,中央控制機(jī)構(gòu),例如政府,需要預(yù)先制定排放限額。在排放限額制定以后,限額被分配到相關(guān)企業(yè)并以配額,碳信用額等形式進(jìn)行分配。這些配額,碳信用額等加總不得超過先前制定的限額。因此,在此種制度下,那些需要超額排放的企業(yè)需要支付一定費(fèi)用從其他企業(yè)購(gòu)買等值的配額。而那些因減少排放而有額外配額的企業(yè)可以賣出配額,從而獲得報(bào)酬。清潔發(fā)展機(jī)制幫助發(fā)展中國(guó)家發(fā)展減排項(xiàng)目。此機(jī)制建立的目的在于如下兩個(gè)方面：第一,它幫助發(fā)展中國(guó)家實(shí)現(xiàn)可持續(xù)發(fā)展和減少環(huán)境變化的負(fù)面后果；第二它使得發(fā)達(dá)國(guó)家能夠順利的完成京都議定書對(duì)這些國(guó)家制定的減排任務(wù)。清潔發(fā)展機(jī)制為參與國(guó)提供了雙贏的解決方案：一方面,發(fā)展中國(guó)家從技術(shù)轉(zhuǎn)移中獲益。另一方面,發(fā)達(dá)國(guó)家能夠順利完成他們的減排目標(biāo)。 此外,本文著重闡述了中國(guó)與排放貿(mào)易的關(guān)系。首先,本文通過說明中國(guó)經(jīng)濟(jì)狀況,能源使用現(xiàn)狀,以及溫室氣體排放情況,論證了中國(guó)亟須減少對(duì)溫室氣體的排放。清潔發(fā)展機(jī)制的出現(xiàn)使得中國(guó)能夠通過清潔發(fā)展機(jī)制從發(fā)達(dá)國(guó)家獲得新的清潔技術(shù)。加入清潔發(fā)展機(jī)制使得中國(guó)在多方面受益,例如稅收受益,國(guó)際國(guó)際供應(yīng)鏈中的比較優(yōu)勢(shì),從發(fā)達(dá)國(guó)家學(xué)習(xí)最新科技的機(jī)會(huì)。加入清潔發(fā)展機(jī)制也給中國(guó)帶來生態(tài)、社會(huì)等各方面的好處,比如好的生態(tài)環(huán)境和生活水平。另一方面,不可否認(rèn)的是,中國(guó)參與清潔發(fā)展機(jī)制的過程中亦面臨很多問題。這些問題包括地方級(jí)政府和當(dāng)?shù)鼐用駥?duì)清潔發(fā)展機(jī)制的不了解和不理解,對(duì)國(guó)外投資者缺乏有效的經(jīng)濟(jì)方面的吸引力,在清潔發(fā)展機(jī)制項(xiàng)目開展過程中對(duì)當(dāng)?shù)鼐用竦难a(bǔ)貼不到位,以及清潔發(fā)展機(jī)制運(yùn)作過程中的高交易成本。 本文提出了中國(guó)參與排放貿(mào)易與清潔發(fā)展機(jī)制的建議。首先,中國(guó)應(yīng)該一如既往的支持清潔發(fā)展機(jī)制項(xiàng)目在中國(guó)的發(fā)展。考慮到中國(guó)已經(jīng)成為溫室氣體排放的主要貢獻(xiàn)者之一,吸引更多的清潔發(fā)展機(jī)制來中國(guó)有利于當(dāng)?shù)丨h(huán)境的發(fā)展。此外,許多發(fā)達(dá)國(guó)家,以及京都議定書以外的少數(shù)幾個(gè)發(fā)達(dá)國(guó)家(比如美國(guó))堅(jiān)稱以中國(guó)為首的新興經(jīng)濟(jì)體也應(yīng)該負(fù)擔(dān)相應(yīng)明確的減排任務(wù)。參與清潔發(fā)展機(jī)制可以體現(xiàn)中國(guó)政府對(duì)共同應(yīng)對(duì)全球環(huán)境問題的決心。為了吸引更多清潔發(fā)展機(jī)制和更好地服務(wù)既有的清潔發(fā)展機(jī)制項(xiàng)目,中國(guó)政府應(yīng)該加快相關(guān)配套規(guī)定的落實(shí),以及適當(dāng)?shù)靥峁┴?cái)政獎(jiǎng)勵(lì)。 其次,中國(guó)應(yīng)該適當(dāng)考慮建立一個(gè)立足于本國(guó)的(排放)交易機(jī)制。在未來,這個(gè)交易機(jī)制可以逐步發(fā)展直到能夠與既有的碳排放市場(chǎng)和排放貿(mào)易體系相接軌。中國(guó)應(yīng)該向歐盟排放交易體系(EU ETS)學(xué)習(xí)有助于建立排放貿(mào)易機(jī)制的經(jīng)驗(yàn)教訓(xùn)。再次,中國(guó)應(yīng)該不斷地完善其自身經(jīng)濟(jì)結(jié)構(gòu)。大型資源密集型工業(yè)的比重過高是中國(guó)經(jīng)濟(jì)結(jié)構(gòu)的一大特點(diǎn)。這一狀況在短時(shí)間內(nèi)不會(huì)得到改善。因此,中國(guó)政府應(yīng)該不斷致力于發(fā)展低碳科技。這意味著中國(guó)不但應(yīng)該不斷吸引清潔發(fā)展機(jī)制項(xiàng)目,更應(yīng)該抓緊吸收這些項(xiàng)目所帶來的高端技術(shù)和最新科技。為了達(dá)到這個(gè)目標(biāo),應(yīng)該不斷促進(jìn)大學(xué)和研究機(jī)構(gòu)與當(dāng)?shù)卣捌髽I(yè)的合作。此外,相應(yīng)的措施應(yīng)該出臺(tái)去促進(jìn)職業(yè)學(xué)校招生,這樣在情節(jié)發(fā)展機(jī)制項(xiàng)目中具有相應(yīng)技能的勞動(dòng)力能夠很快地學(xué)習(xí)高新技術(shù)。 中國(guó)現(xiàn)階段經(jīng)濟(jì)發(fā)展的現(xiàn)狀決定了,在未來可預(yù)見的一段時(shí)間內(nèi),中國(guó)將始終是溫室氣體排放大國(guó),且這種狀況在短時(shí)間內(nèi)不會(huì)改變。由于中國(guó)正在工業(yè)化進(jìn)程中,貿(mào)然大幅度停止溫室氣體排放是不合理的。中國(guó)在內(nèi)在經(jīng)濟(jì)發(fā)展需要和外在減排壓力中找到自身平衡。當(dāng)今全球氣候變化問題在絕大程度上是因發(fā)達(dá)國(guó)家在數(shù)十甚至數(shù)百年前造成的。因此,發(fā)達(dá)國(guó)家應(yīng)該承擔(dān)更大比例的責(zé)任。然而事實(shí)上許多發(fā)達(dá)國(guó)家(比如美國(guó))因其自身國(guó)家利益并不愿意承擔(dān)責(zé)任,而這明顯對(duì)發(fā)展中國(guó)家不利。作為世界第二大經(jīng)濟(jì)體,中國(guó)應(yīng)該起帶頭作用,同發(fā)達(dá)國(guó)家磋商,討論如何共同擔(dān)負(fù)治理氣候變化的重任。 另外,中國(guó)應(yīng)該在未來的多邊合作中更加活躍。現(xiàn)行的京都議定書框架下政策制定是從上至下的,然而這不能夠很好地反應(yīng)發(fā)展中國(guó)家的意愿。近年來國(guó)際社會(huì)將目光從發(fā)達(dá)國(guó)家逐漸轉(zhuǎn)向發(fā)展中國(guó)家,隨著發(fā)展中國(guó)家在氣候治理問題上的重要性逐漸增加以中國(guó)為首的發(fā)展中國(guó)家應(yīng)該主動(dòng)參與多邊合作談判,為自己發(fā)聲。因此,我們寄希望于中國(guó)在未來的多邊合作中可以起到帶頭作用。
[Abstract]:Climate change is one of the most arduous and expected problems for today's governments. Global warming and its consequences have seriously affected the various forms of life on the earth. Such a serious impact on climate can not be ignored. Therefore, international multilateral cooperation is to mitigate and solve climate change. The key way of the problem.
More than 30 years ago, the international community started the first discussion of the.2005 Kyoto Protocol on solving the climate problem and promoted the effectiveness of global multilateral consultations and talks. Under the framework of the Kyoto Protocol, the three flexibility mechanisms, emissions trading mechanisms, joint implementation machines, and clean development mechanisms were proposed; Kyoto discussed. The book and its three flexibility mechanisms are not an omnipotent remedy for all environmental problems, but a cooperative framework that can effectively carry out international multilateral cooperation. However, the effectiveness of the Kyoto protocol model depends largely on the determination of the policymakers of the participating countries and the national interests of their representatives.
Under the Kyoto protocol framework, the 15 EU countries (Note: the only 15 EU member states at the beginning of the Kyoto Protocol) and the other 37 major industrial countries have promised to reduce emissions of greenhouse gases (mainly carbon dioxide, methane, Nitrous Oxide, six sulfur fluoride, fluorocarbon and perfluorocarbon). The corresponding formal measures began in 2. 008 years, which ended in 2012, is called the first commitment period of the Kyoto protocol. Then the second commitment period of the Kyoto Protocol, which began in 2013, is expected to absorb more countries. In addition, the second commitment period is expected to put forward more forceful measures. From the beginning of the second commitment period, the developing countries in Asia will be given more attention. The new economies in Asia, such as China and India, have become the main contributors to greenhouse gas emissions. This paper takes this as the background to discuss the effects of greenhouse gas emissions, the development of emission trade and clean development mechanism in China, and China's response to the post Kyoto Protocol (after the end of the first commitment period).
The paper begins with the introduction of greenhouse gas emissions and its impact, indicating that it is not only necessary and urgent to reduce greenhouse gas emissions. After understanding the importance of reducing greenhouse gas emissions, the author detailed the United Nations Framework Convention on climate change (UNFCCC) and the Kyoto protocol. In addition, China is under these two frameworks. It is worth mentioning that China is constantly experiencing the common pressure from both outside and inside: as China has become a major contributing country to greenhouse gas emissions, the international community, especially the developed countries headed by the United States, stares at China. At the same time, China's economic structure is not reasonable. The current situation of over a large proportion of energy intensive industries is also urgent to change.
In order to clarify the relationship between carbon emissions and trade and why the carbon emissions market can be formed, the relevant theories, including trade and emission, comparative advantage theory and technology transfer theory, are introduced in this paper. In these theories, the theory of comparative advantage and technology transfer theory have laid a rationale for the emission trade market and the clean development mechanism. The theory of comparative advantage shows that as long as world trade is feasible, countries can focus on their dominant industries, that is, countries need to develop their comparative advantages. This theory applies to greenhouse gas emissions as well: some countries can effectively manage greenhouse gas emissions at lower costs because of their own economic, political and geographical factors. Other countries are not. So, once the international emissions market is formed, some countries can trade on the market by their own capacity to deal with greenhouse gas emissions, making the whole social welfare better.
Today, the world has become a "knowledge-based integrated economy" (see Lai, 2011). Knowledge and technology are the two important pillars of a nation in the forest of nationalities. They play a vital role in the productivity and economic development. However, the reality is that each country is not the same in the development of science and technology. Thanks to the emergence of international trade, technology and knowledge have been developed from more and more advanced countries to relatively backward countries. Technology, knowledge and technology flows between countries and enterprises are often referred to as (International) technology transfer. Promoting international technology transfer is one of the important features of the United Nations Framework Convention on climate change and the Kyoto protocol. The transfer of surgery is also one of the means to motivate and help developing countries to deal with environmental problems. The United Nations Framework Convention on climate change and the Kyoto protocol make it possible for developing countries to absorb and learn advanced knowledge quickly, so that the developed countries can be greatly followed.
In addition, this article introduces the emission trade and the clean development mechanism. These two mechanisms have an important impact on China. Emissions trade is based on the market, to control pollution and reduce emissions by providing economic incentives. To establish emissions trading mechanisms, central control institutions, such as the government, need to establish emission limits in advance. After the emission limits are formulated, the quotas are allocated to the related enterprises and are allocated in the form of quotas and carbon credits. These quotas, carbon credits, etc. shall not exceed the previously established limits. Therefore, under such a system, those enterprises requiring excess emissions need to pay a certain amount of quotas from other enterprises. Companies that have additional quotas to reduce emissions can sell quotas to get paid. The clean development mechanism helps developing countries to develop emission reduction projects. The mechanism is built on two aspects: first, it helps developing countries to achieve sustainable development and reduce the negative consequences of environmental changes; second it makes The developed countries can successfully complete the emission reduction tasks set by the Kyoto Protocol to these countries. The clean development mechanism provides a win-win solution for the participating countries: on the one hand, the developing countries benefit from the technology transfer. On the other hand, the developed countries can successfully complete their emission reduction targets.
In addition, this paper focuses on the relationship between China and emission trade. First, by explaining China's economic situation, energy use status and greenhouse gas emissions, this paper demonstrates China's urgent need to reduce greenhouse gas emissions. The emergence of a clean development mechanism enables China to get new from the developed countries through the clean development mechanism. China has benefited in many ways by joining the clean development mechanism, such as the benefit of the tax revenue, the comparative advantage in the international supply chain, the opportunity to learn the latest science and technology from the developed countries. The clean development mechanism also brings China the good places of ecology, society and other aspects, such as the good ecological environment and the living standard. It is undeniable that China is also faced with many problems in the process of participating in the clean development mechanism. These issues include local governments and local residents who do not understand and understand the clean development mechanism, lack the effective economic attraction for foreign investors, and the local residents in the process of clean and clean development mechanism. Subsidies are not in place, and high transaction costs in the operation of CDM.
This paper proposes China's participation in the emission trade and clean development mechanism. First, China should continue to support the development of CDM projects in China. Considering that China has become one of the main contributors to greenhouse gas emissions, China has attracted more clean development mechanisms to help the development of the local environment. In addition, many developed countries, as well as a few developed countries outside the Kyoto Protocol (such as the United States), insist that China led emerging economies should also bear a corresponding clear emission reduction task. Participation in the clean development mechanism can reflect the Chinese government's determination to tackle global environmental problems together in order to attract more clean development machines. To make and better serve the existing CDM projects, the Chinese government should speed up the implementation of relevant supporting regulations and provide financial incentives appropriately.
Second, China should consider the establishment of a domestic (emission) trading mechanism. In the future, the trading mechanism can be progressively developed until it is compatible with existing carbon emissions markets and emissions trading systems. China should learn from the EU Emission Trading System (EU ETS) to learn from the lessons learned from the emission trading mechanism. Again, China should constantly improve its own economic structure. The high proportion of large and resource intensive industries is a major feature of China's economic structure. This situation will not improve in a short time. Therefore, the Chinese government should continue to develop low carbon technology. This means that China should not only continue to attract clean development machines. In order to achieve this goal, we should continue to promote cooperation between universities and research institutions and local governments and enterprises. In addition, the corresponding measures should be introduced to promote vocational school enrolment, which has the corresponding skills in the plot development project. The labor force is able to learn new and high technology quickly.
At the present stage of China's economic development, China will always be a major greenhouse gas emitter in the foreseeable future, and this situation will not change in a short period of time. Because China is in the process of industrialization, it is unreasonable to stop greenhouse gas emissions by a large margin. China is in need of economic development. The problem of global climate change today is largely caused by the developed countries decades or even hundreds of years ago. Therefore, the developed countries should take a greater proportion of responsibility. In fact, many developed countries (such as the United States) are not willing to take responsibility for their own national interests, and this is the fact that many developed countries (such as the United States) are not willing to take responsibility for their own national interests. As the second largest economy in the world, China should take the lead and discuss with developed countries how to share the responsibility of managing climate change together.
In addition, China should be more active in the future multilateral cooperation. The current Kyoto protocol framework is from top to bottom, but it is not a good response to the wishes of developing countries. In recent years, the international community has shifted its attention from developed countries to developing countries, with developing countries on the issue of Climate Governance. The importance of China - led developing countries should take the initiative to participate in multilateral cooperation negotiations and make a sound for themselves. Therefore, we hope that China can play a leading role in the future multilateral cooperation.
【學(xué)位授予單位】：東北財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：X38;F752.6;F124.5

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本文編號(hào)：2104062