Economic and Ecological Rules for Water Quality Trading1

Horan, Richard D. and James S. Shortle, 2011. Economic and Ecological Rules for Water Quality Trading. Journal of the American Water Resources Association (JAWRA) 47(1):59‐69. DOI: 10.1111/j.1752‐1688.2010.00463.x Abstract: Emissions trading in textbook form uses markets to achieve pollution targets cost‐efficiently. This result is accomplished in markets that regulators can implement without knowing pollution abatement costs. The theoretical promise of emissions trading, along with real‐world success stories from air emissions trading, has led to initiatives to use trading for water pollution control. Yet, trading, particularly when it involves nonpoint sources of pollution, requires significant departures from the textbook concept. This paper explores how features of water quality problems affect the design of markets for water pollution control relative to textbook emissions markets. Three fundamental design tasks that regulators must address for pollution trading to achieve an environmental goal at low cost are examined: (1) defining the point and nonpoint commodities to be traded, (2) defining rules governing commodity exchange, and (3) setting caps on the commodity supplies so as to achieve an environmental target. We show that the way in which these tasks are optimally addressed for water quality markets differs significantly from the textbook model and its real‐world analogs. We also show that the fundamental appeal of emissions trading is lost in the case of realistic water quality markets, as market designs that reduce the costs of achieving water quality goals may no longer be implementable without the regulatory authority having information on abatement costs.     

“排污权”和“碳排放权”交易的减污降碳协同效应研究——基于污染治理和政策管理的双重视角

全面系统地评估排污权交易和碳排放权交易的减污降碳协同效应,对于进一步发挥应对气候变化和大气污染治理的协同效应、推进全国统一生态环境市场建设具有重要意义。本文基于污染治理和政策管理的双重视角,采用多时点双重差分和倾向得分匹配,分别检验排污权交易和碳排放权交易的减污和降碳效应;并在此基础上,研究三种政策情景下（排污权交易、碳排放权交易以及组合政策）的协同减排效应差异。研究表明,从污染治理视角,排污权交易和碳排放权交易均显著降低了二氧化硫和二氧化碳排放量,实现了减污降碳的协同效应;从政策协同管理视角,在减少二氧化硫污染方面,组合政策比各类政策的单独实施更为有效;在降低二氧化碳排放方面,碳排放权交易比排污权交易和组合政策更为有效。因此,在推进气候变化应对和大气污染治理机制融合的进程中,应有所侧重地推进碳排放权交易和排污权交易组合使用。     

Terrestrial perturbation experiments for environmental assessment

The National Environmental Policy Act of 1969 (NEPA) was initially interpreted as requiring full disclosure of the environmental impact of a federal action. Because of the limitations of time, money, and manpower, the requirement that all impacts be considered has led to superficial analysis of many important impacts. Data collection has largely been limited to the enumeration of species because this information can be applied to the analysis of any problem. The President's Council on Environment Quality (CEQ) has provided a solution to this problem by reinterpreting NEPA as requiring analysis of those impacts that have significant bearing on decision making. Because assessment resources can now be concentrated on a few critical issues, it should be possible to perform field perturbation experiments to provide direct evidence of the effects of a specific mixture of pollutants or physical disturbances on the specific receiving ecosystem. Techniques are described for field simulation of gaseous and particulate air pollution, polluted rain, soil pollutants, disturbance of the soil, and disturbance of wildlife. These techniques are discussed in terms of their realism, cost, and the restrictions that they place on the measurement of ecological parameters. Development and use of these field perturbation techniques should greatly improve the accuracy of predictive assessments and further our understanding of ecosystem processes.Research sponsored by the Office of Health and Environmental Research, U.S. Department of Energy, under contract W-7405-eng-26 with Union Carbide Corporation.Publication No. 1816, Environmental Sciences Division, ORNL.     

STATE WATER QUALITY CONTROL PROGRAM IN ARIZONA1

ABSTRACT: Arizona's water pollution control program is based on authorties of Arizona Revised Statutes and Public Law 92–500, the Federal Water Pollution Control Act Amendments of 1972. The primary areas of this program are monitoring, facility inspections, plan review, planning, discharge permits and grants for the construction of publicly-owned waste water treatment facilities. The discharge permit program deals with control of point-source discharges and is administered by the United States Environmental Protection Agency. The planning and construction grants programs are administered by the State Water Quality Control Council and are implemented by the Bureau of Water Quality Control, which serves as staff to the Council. There are several challenges that face the State in this program. First is the adaptation of the “eastern law” to deal with Arizona's water quality problems. Second is to address problems caused by a long history of “laissez-faire” environmental quality management. Third is a mutual cooperation and coordination among the many entities involved in water resources management. Areas of particular interest in the State's program is the process setting water quality standards and the involvement of people of diversified backgrounds in the field of areawide planning under Section 208 of the Federal Water Pollution Control Act, which is primarily concerned with non-point sources of water pollution.     

关于《水污染防治法》修订中加强经济政策手段的思考

"十二五"以来,我国对水污染防治运用经济政策手段进行了积极探索。党和国家出台的政策文件、新修订的《中华人民共和国环境保护法》以及《水污染防治行动计划》等都对水污染防治经济政策手段的制定和实施提出了新的要求。因此,亟需在未来《水污染防治法》的修订过程中加强对相关经济政策手段的规定,给予相关手段明确的法律地位,充分发挥经济政策在水污染防治中的重要作用。为此,本文建议着眼于"十三五"及未来更长一段时期水环境质量改善以及水污染防治形势和突出问题,以推动构建和实施系统、协调和高效的水污染防治经济政策体系为目标,结合党和国家相关文件、法律、行动计划的最新要求,借鉴国际上通过立法保障水污染防治经济政策手段制定和实施的经验,重点从投融资政策、税费和价格政策、排污交易政策等三个方面对现行《水污染防治法》进行修订、补充和完善。具体建议包括:一是完善关于财政投入和融资渠道的相关规定,要求加大水污染防治财政投入和补贴力度、鼓励水污染防治第三方治理方式和PPP模式以及建立流域上下游(跨界)生态补偿机制等;二是完善对于环境税(费)和其他价格机制的相关规定,增加关于环境保护税的说明等;三是增加逐步推行重点水污染物排污权交易的条款等。     

排污交易权理论与实践探讨

排污权交易是一种市场激励机制。本文通过对排污权交易进行理论和实践的分析和探讨，提出在我国实施总量控制条件下的排污权交易是切实可行的，其关键在于建立起完整、合理的排污权交易市场体系。     

探析我国环境税收制度的构建

环境税收制度是未来中国环境政策改革的突破口，相对于其它的环境政策如排污收费与排污权交易等，环境税收其经济效益与环境效益明显，开征环境税收有重要的意义，但在短期内，我国实施环境税收制度的条件尚不成熟，环境政策体系应该采取税费并存并逐步过渡到以环境税为主的方式。     

Climate targets and comprehensive greenhouse gas emissions trading

In June 1992 a Framework on Climate Change Convention was signed in Rio de Janeiro, calling for the control of greenhouse gases, notably in the industrialized countries. Its formulation allows for joint implementation of measures to reach emission targets for greenhouse gases. Such joint implementation covering all greenhouse gases could form the first step towards a system of comprehensive emissions trading. This paper addresses both advantages and disadvantages of comprehensive emissions trading across different gases, sinks and sources. It concludes that in addition to carbon dioxide from fossil fuels, the inclusion of biotic carbon emissions and selected sources of methane is attractive from both the economic and environmental viewpoint. The uncertainties associated with emissions can be overcome by requiring a thorough review of trade proposals by a broad-based international supervisory body, utilizing a consistent methodology such as that being developed by the Intergovernmental Panel on Climate Change (IPCC). Finally, the paper addresses the central objective of the Climate Convention, which implicity sets a limit to greenhouse gases emissions and thus provides a guideline for the total amount of permits that may be made available in a tradeable permit system.     

经济发展与环境保护双赢政策初探——从临沂治污事件谈起

新环保法实施以来,环境治理工作取得成效显著。但在一些地区具体环保工作的开展中也出现了一些争议。作为争议焦点事件的临沂治霾工作,引发了地方经济发展与环境保护工作二者关系问题的讨论。实现经济发展与环境保护双赢政策,需要建立环保长效机制,完善法律体系,优化管理机制。更好发挥以环境财税体制和排污权交易为代表的经济杠杆作用,实现污染末端治理与源头治理及产业结构优化调整并举,推进环境微观管理与宏观决策的协调统一,同时做好严格执法与完善立法的最优响应工作。     

An overview of President Carter's Water Policy (1978)

On June 6, 1978, President Carter presented his Federal Water Policy Initiatives to the Congress. These were based on a year-long and sometimes controversial study by the Water Resources Council, the Office of Management and Budget, and the Council on Environmental Quality. Reforms were proposed relative to cost sharing, planning procedures, project evaluation, and environmental protection. Omitted from the policy were recommendations on water pollution control, planning coordination, and water resources research.The views expressed are the author's, and not necessarily those of the Library of Congress.     

我国《土壤环境质量标准》中重金属污染相关问题探讨

我国《土壤环境质量标准》（GB 15168—1995）的颁布促进了土壤资源的保护、管理与监督,但由于时间跨度过长社会发展较快,已经不能满足目前实际应用的需要。本文概述了发达国家关于土壤重金属污染的相关指导值/筛选值,并总结了我国现行土壤环境质量标准实施以来存在的问题及近年来的研究进展,对我国《土壤环境质量标准》的修订进行了探讨。     

GOAL-ORIENTED AGRICULTURAL WATER QUALITY LEGISLATION1

ABSTRACT: While significant nonpoint source (NIPS) pollution control progress has been made since passage of Section 319 in the 1987 Water Quality Act, existing federal legislation does not provide for the most timely and cost-effective NIPS pollution reduction. In this paper, we use findings from the Rural Clean Water Program and other nationwide agricultural NIPS pollution control programs, building on legislative history to recommend a coordinated and efficient direction for agricultural water quality legislation. A collaborative framework should be established to accomplish the goals of the Clean Water Act (CWA), Coastal Zone Management Act (CZMA), and the Conservation Title of the Farm Bill. Valuable elements of the 1990 CZMA amendments that created a coastal NIPS program should be subsumed into the CWA. The CWA should reemphasize use of receiving water quality criteria and standards and should allow states flexibility to tailor basin-scale NPS program implementation to local needs. Implementation should involve targeting of NIPS pollution control efforts to critical land treatment areas and use of systems of best management practices to address these targeted water quality problems. The 1995 Farm Bill should reorient production incentives toward water quality to support the collaborative framework, implementing ecologically sound source reduction principles. The Farm Bill and the CWA should contain interrelated provisions for voluntary, incentive-assisted producer participation and fallback regulatory measures. Such coordinated national water quality and Farm Bill legislation that recognizes the need for flexibility in state implementation is supported as the most rational and cost-effective means of attaining water quality goals.     

Industrial ecology—an organizing framework for environmental management

Industrial ecology is a systemic organizing framework for the many facets of environmental management. It views the industrial world as a natural system, embedded in local ecosystems and the global biosphere. It provides a fundamental understanding of the value of modeling the industrial system on ecosystems to achieve sustainable environmental performance. In this article, the author shows how it offers powerful tools of analysis that complement and enhance those offered by such approaches as Total Quality Environmental Management or pollution prevention.     

Reducing Nonpoint Source Pollution Through Collaboration: Policies and Programs Across the U.S. States

Nonpoint source (NPS) pollution has emerged as the largest threat to water quality in the United States, influencing policy makers and resource managers to direct more attention toward NPS prevention and remediation. In response, the United States Environmental Protection Agency (USEPA) spent more than $204 million in fiscal year (FY) 2006 on the Clean Water Act’s Section 319 program to combat NPS pollution, much of it on the development and implementation of watershed-based plans. State governments have also increasingly allocated financial and technical resources to collaborative watershed efforts within their own borders to fight NPS pollution. With increased collaboration among the federal government, states, and citizens to combat NPS pollution, more information is needed to understand how public resources are being used, by whom, and for what, and what policy changes might improve effectiveness. Analysis from a 50-state study suggests that, in addition to the average 35% of all Section 319 funds per state that are passed on to collaborative watershed groups, 35 states have provided financial assistance beyond Section 319 funding to support collaborative watershed initiatives. State programs frequently provide technical assistance and training, in addition to financial resources, to encourage collaborative partnerships. Such assistance is typically granted in exchange for requirements to generate a watershed action plan and/or follow a mutually agreed upon work plan to address NPS pollution. Program managers indicated a need for greater fiscal resources and flexibility to achieve water quality goals.     

合芜蚌试验区排污权交易制度建立之构想

排污权交易的实践证明了排污权交易可以有效地保护环境,同时也提出了亟需对其适用条件和建设模式进行探索的现实命题。文章以合芜蚌自主创新试验区为例,在分析了合芜蚌试验区内推行排污权交易制度的可行性基础上,提出了区域性排污权交易的构建模式。     

夹点技术--一种有效的清洁生产方法

夹点技术作为一种有效的清洁生产措施可用于能源优化、资源节约、废物减量及污染防治等方面，能收到良好的经济效益和环境效益。本文介绍夹点技术的基本原理、应用研究领域及其发展趋势。     

Regulatory failures,split-incentives,conflicting interests and a vicious circle of blame: the New Environmental Governance to the rescue?

This paper addresses a current trend of New Environmental Governance (NEG). It examines whether NEG is able to overcome a series of complex regulatory barriers and market shortfalls that stand in the way of carbon emissions reductions in the building sector. Building on an evaluation of 20 NEG arrangements from Australia and the Netherlands, it discusses the limits of the effective implementation and use of NEG in this sector. The paper concludes by suggesting three strategies to improve the performance of NEG arrangements in the building sector.     

山西省排污权交易体系改进设计

本文在山西省排污权交易工作现有交易机制、政策设计与实践成果的基础上,分析现有排污权交易实施过程中存在的主要问题,并结合"十三五"时期国家对排污权交易工作的总体要求,提出山西省排污交易体系的改进设计建议。通过改进排污权初始分配方式和排污权交易模式,制定活跃排污权交易市场的相关政策,强化市场与政府的对接,探索山西省地方立法,扩展山西省排污权交易管理平台等,逐步完善交易制度建设、监管体系建设、信息统计体系建设,深化排污权交易支持下的山西省总量减排及环境监管能力建设,构建管理规范、交易顺畅的排污指标交易市场,支持排污权交易工作在山西省的全面推广与实施。     

我国排污权交易政策及完善对策研究

排污权交易在环境管理领域里正受到越来越多的关注。回顾了我国近年来的排污权交易政策,并对排污权交易试点实施效果进行了阐述,同时结合目前排污权交易在我国应用和研究现状,对排污权交易制度在实践过程中仍存在法律政策落后、初始分配公平与效率缺乏保障、市场体制欠缺以及监测监督力度不够等主要问题进行分析,并从排污立法、市场培育、政府监管3个方面提出政策建议。