排放交易和制度創(chuàng)新：中國碳交易試點的經(jīng)驗

1、Emissions Trading and Institutional Innovation: Lessons Learned From Chinas Carbon Trading Pilots排放交易和制度創(chuàng)新：中國碳交易試點的經(jīng)驗Daniel J. Dudek 杜丹德Regional Permit Trading Partnership with Environmental Defense Established by SEPA decree in March 2002. 2002年3月，與國家環(huán)?？偩珠_展交易試點Successfully concluded in June 2004200

2、4年6月順利結(jié)束Demonstration Region accounted for 1/3rd of Chinas SO2 Emissions試點區(qū)域的二氧化硫排放總量占中國的1/3Sharing Emissions Trading Experience排污權(quán)交易經(jīng)驗分享“4+3+1” SO2 Trading Demonstration Project 二氧化硫“4+3+1”示范項目Why ETS? Why Now?為什么實行排放交易？為什么現(xiàn)在開始？12th FYP十二五規(guī)劃 Third Plenum三中全會 State council decision國務(wù)院指導意見Co-Benefits

3、協(xié)同效益International pressure國際壓力Global opportunity and leadership 全球機遇和領(lǐng)導力Historic Bilateral Climate Proposal中美氣候變化雙邊協(xié)議The Challenge Ahead 面臨的挑戰(zhàn)Source: BP Energy Outlook 2030可再生能源水能核能煤炭氣石油中國一次能源消費Chinas Climate Policy Mix 中國的氣候變化政策組合Peak carbon emissions by 2030 2030年左右達到碳排放峰值20% of total energy produ

4、ction from non-fossil sources by 2030 2030年非化石能源占一次能源消費比重提高到20%左右Carbon intensity at 40-45% below 2005 levels by 2020 2020年碳排放強度下降40-45%達到2005年水平Cap coal use at 3.9 billion by 2015 2015年煤炭消費總量控制在39億噸Increase forest cover to 21.66% by 2015, the forest growing stock to 14.3 billion cubic meter 2015年森林

5、覆蓋率達到21.66%，森林蓄積量達到143億立方米New energy vehicles 新能源汽車Remove fossil fuel subsidies 取消化石能源補貼Increase production of natural gas from unconventional sources 增加非常規(guī)能源中天然氣的產(chǎn)量World Economic Outlook 2014 2014年世界經(jīng)濟前景Basic Elements 基本要素Environmental Goal 設(shè)定環(huán)境目標Translates into cap 轉(zhuǎn)換成總量控制目標 Necessary reductions/d

6、eadlines 必要的減排量/截止日期Enterprise allocations 企業(yè)配額分配Common individual obligations 共同的個體義務(wù)Tradable rights 配額可交易Reporting and verification 報告和核查Predictable consequences (rewards/penalties) 對違法結(jié)果的可預(yù)見性（獎/懲）Bottom Line底線Cap and Trade Matches Clear Environmental Target with Broad Flexibility總量控制和交易與清晰的環(huán)境目標相協(xié)

7、調(diào)，同時具備充分的靈活性Where, When & How Flexibility 何時，何地及如何履約的靈活性 Harvesting differences in marginal costs 邊際成本差異帶來的利益The power of banking and the flexibility to “overcontrol” 儲存的作用以及對“超額減排”的鼓勵Environmental Markets 環(huán)境市場Incentives to meet and surpass environmental goals 鼓勵實現(xiàn)和超越環(huán)境目標 Provide clear measures of s

8、uccess 提供清晰的成功標準Promote robust compliance 激勵 穩(wěn)健的履約Spur new technologies and innovation 加速新技術(shù)的發(fā)展和創(chuàng)新Reduce costs 降低成本Promote energy efficiency 提高能效Provide public accountability 實現(xiàn)公共問責Spur conventional pollutant reductions 加速傳統(tǒng)污染物減排Alleviate poverty 扶貧Carbon ETS Co Benefits 碳排放交易的協(xié)同效益2016 4 GT & 2020 3

9、.6 CO2 Cap Also Yields Hg, PM, NOx, SOx Reductions in power sector在電力行業(yè)，2016年40億噸與2020年36億噸的二氧化碳控制總量可同時實現(xiàn)汞，可吸入顆粒物，氮氧化物和硫化物的減排Poverty Alleviation and Climate Change氣候變化與扶貧Creating Market Infrastructure建立市場基礎(chǔ)設(shè)施Cap 控制總量& Trade 交易1.247 billion tonnes 12.47億噸1,937 companies 1937家公司2870 tonnes as of Oct 1

10、0 截止到10月份為2870公噸1.27 B ($208 M) 12.7億元人民幣（2.8億美元）44.1 ($7.20)/tonne 44.1元人民幣/噸（7.20美元/噸） 深圳 Shenzhen:635 cos33 MT (40%)1.7 M transacted68 rmb ($11)/tonne10% CCERs廣東 Guangdong:202 cos388 MT (53.5%)14.4 M transacted55 rmb ($9)/tonne10% CCERs北京 Beijing:415 cos57 MT (49%)2.06 M transacted49 rmb ($8) /to

11、nne5% CCERs湖北 Hubei:138 cos324 MT (44%)7.7 M transacted22 rmb ($4)/tonne10% CCERs天津 Tianjin:114 cos160 MT (60%)1.06 M transacted21 rmb ($3)/tonne10% CCERs上海 Shanghai:191 cos160 MT (57%) 1.6 M transacted39 rmb ($6)/tonne5% CCERs重慶 Chongqing:242 cos125 MT (30%)145 K transacted31 rmb ($5)/tonne8% CCERs

12、As of 10/10/14A Price on Carbon 碳價 歐洲碳排放交易體系EUETS區(qū)域溫室氣體減排行動RGGI加州California魁北克Quebec深圳Shenzhen上海Shanghai北京Beijing廣東Guangdong天津Tianjin湖北Hubei重慶Chongqing試點均價Pilot AverageWhat Matters Most Core IssuesCap 控制總量Market Drivers市場驅(qū)動力Climate and Environmental Goal Synched氣候與環(huán)境目標同步Benefits to China 中國的益處Nation

13、al Provincial Roles國家與地方的角色Trade 交易什么是最重要的核心要素建立排放權(quán)交易體系的制度基礎(chǔ)法制國家及地方管理體系部門間的協(xié)作排放總量項目范圍補貼分配監(jiān)測、匯報與核查注冊交易守法市場法規(guī)時間進度給國務(wù)院提交國家排放權(quán)交易計劃測試國家與地方試點間的聯(lián)系發(fā)展交易及市場管制條例分配補貼；發(fā)起行業(yè)，多行業(yè)及區(qū)域間的交易體系；引入未來規(guī)劃；分析環(huán)境結(jié)果實施國家排放權(quán)交易體系十三五規(guī)劃形成排放計算方法及報告指南；第三方認證指南；核查體系框架；提升注冊系統(tǒng)擴大國家排放權(quán)交易體系的范圍；提升市場能力；刺激市場；分析與其他國家及地區(qū)的聯(lián)系。Scope ConsiderationsTo

14、p Down 自上而下Bottom Up 自下而上Power Sector 電力行業(yè)Manufacturing 制造業(yè)Transport交通部門Other其它范圍考慮What Matters - Lessons Learned成功的關(guān)鍵 來自試點的經(jīng)驗Cap 控制總量Quality data 高質(zhì)量的數(shù)據(jù)Transparency 透明度Predictability 可預(yù)測性Carrots and sticks 胡蘿卜加大棒Volatility - do no harm波動-無害Directs/indirects 直接/間接排放Leakage 泄漏Trade 交易Source diversity

15、 源頭的多樣化Offset access 抵消機制Long term planning長期規(guī)劃Leadership領(lǐng)導力Accountability問責制Domestic linkage 國內(nèi)市場鏈接International linkage國際市場鏈接 至關(guān)重要的元素 來自試點的經(jīng)驗What Matters Most - Lessons Learned控制總量 CAP立法Legislation比交易更糟糕的 Fate worse than trading-高質(zhì)量的數(shù)據(jù) Quality data透明度, 可預(yù)測性 Transparency, Predictability胡蘿卜加大棒 Carro

16、ts and sticks波動性 Volatility直接/間接排放 Directs and indirects泄漏 Leakage交易 TRADE源頭的多樣化, 覆蓋范圍Source diversity, Scope目標Goal抵消機制Offset access長期規(guī)劃Long term planning新排放源管理 New sources問責制Accountability國內(nèi)市場鏈接Domestic linkageI國際市場鏈接International linkage 至關(guān)重要的元素 來自試點的經(jīng)驗What Matters Most - Lessons Learned控制總量 CAP立法

17、Legislation比交易更糟糕的 Fate worse than trading-高質(zhì)量的數(shù)據(jù) Quality data透明度, 可預(yù)測性 Transparency, Predictability胡蘿卜加大棒 Carrots and sticks波動性 Volatility直接/間接排放 Directs and indirects泄漏 Leakage交易 TRADE源頭的多樣化, 覆蓋范圍 Source diversity, Scope目標Goal抵消機制Offset access長期規(guī)劃Long term planning新排放源管理 New sources問責制Accountability國內(nèi)市場鏈接Domestic linkageI國際市場鏈接International linkageConclusions 結(jié)論Consistent with which directive12FYP, Third Plenum, State Councils directiveInternalizes externalitiesInduces reductions in other fossil fuel combustion pollutan