人文发展的基本需要分析及其在国际气候制度设计中的应用——以中国能源与碳排放需要为例

人文发展的基本需要途径从满足基本需要和限制奢侈浪费性排放出发，充分利用技术在实现低碳发展方面的潜力，保障气候目标的实现和代内与代际公平。本文在讨论发展所面临的消除贫困、城市化和工业化挑战的基础上，区分了生存水平和体面生活水平的基本需要，依据国际数据和科学研究成果，对基本需要进行了量化界定。并在此基础上，对满足13亿中国人体面生活水平的基本需要的能源和排放含义，进行了案例研究。最后探讨了基本需要途径在国际气候制度设计中的应用和前景。     

The Concept and Theoretical Implications of Carbon Emissions Rights Based on Individual Equity

Abstract

Climate change has become a hot topic in international environmental negotiations. For post-Kyoto international climate regime negotiations, many countries have proposed a variety of frameworks to share the emission reduction responsibilities and allocate carbon emission rights, and have tried to quantify the emission reduction obligations of all countries based on the perspectives of international equity and individual equity. In this paper, the authors have distinguished the concepts of carbon emissions rights based on these two perspectives respectively, have analyzed the relationship between carbon emissions per capita and economic development, and have calculated and compared the proportion of cumulative emissions per capita of different countries in history and future, and then authors conclude that emission reduction obligations should be allocated based on each country’s conditions, including historical emissions, development stage, and future demands. Developed countries should take the initiative to significantly reduce their emissions because they have already accomplished their industrialization process. However, developing countries are still in the process of industrialization, which requires more emission rights to meet their development needs. For China, the concept of carbon emissions based on individual equity can be used as a theoretical tool for the allocating the international carbon emissions rights.     

The Concept and Theoretical Implications of Carbon Emissions Rights Based on Individual Equity

Climate change has become a hot topic in international environmental negotiations.For post-Kyoto international climate regime negotiations,many countries have proposed a variety of frameworks to share the emission reduction responsibilities and allocate carbon emission rights,and have tried to quantify the emission reduction obligations of all countries based on the perspectives of international equity and individual equity.In this paper,the authors have distinguished the concepts of carbon emissions rights based on these two perspectives respectively,have analyzed the relationship between carbon emissions per capita and economic development,and have calculated and compared the proportion of cumulative emissions per capita of different countries in history and future,and then authors conclude that emission reduction obligations should be allocated based on each country’s conditions,including historical emissions,development stage,and future demands.Developed countries should take the initiative to significantly reduce their emissions because they have already accomplished their industrialization process.However,developing countries are still in the process of industrialization,which requires more emission rights to meet their development needs.For China,the concept of carbon emissions based on individual equity can be used as a theoretical tool for the allocating the international carbon emissions rights.     

Carbon Budget Proposal： An Institutional Framework for an Equitable and Sustainable World Climate Regime

Consensus on reducing greenhouse gas emissions has been reached at the technical and political level.However,as the issue involves economic costs and the right to develop,the international institutional framework for addressing greenhouse gas emissions has consistently failed to balance the demands of impartiality and sustainability.However,a sustainable carbon budget proposal is undoubtedly achievable if the global carbon budget (the total amount of carbon permitted by climate security) is made an absolute constraint.If a preliminary distribution was made among the world’s population on a per capita basis,the total limited global carbon budget could not only meet basic needs but also ensure the proposal’s equitable.Taking into account historical emission levels and future needs,we should carry out carbon budget transfer payments and devise a corresponding funding mechanism to ensure efficient allocation under the proposal.Unlike the phase-by-phase progress and provisional goals of the Kyoto Protocol,the carbon budget proposal outlined above is a comprehensive and holistic package.Due to the politicization of the climate change issue,however,many technical issues can only be worked out through international political and diplomatic negotiations.     

Aggregated Estimation of Basic Parameters of Biological Production and the Carbon Budget of Russian Terrestrial Ecosystems: 2. Net Primary Production

The estimated net primary production (NPP) of Russian terrestrial ecosystems (annual average over the period from 1988 to 1992) is 9544 Tg of dry matter, or 4353 Tg of carbon. Of the total amount, forests account for approximately 39.2% (here and below, comparisons are made with respect to carbon content); natural grasslands and brushwoods, for 27.6%; farmlands (arable land and cultivated pastures), for 22.0%; and wetlands, for 11.2%. The average NPP density on lands covered with vegetation (1629.8 million hectares in Russia) is 267 g C/m²per year. The highest value (498 g C/m²per year) is characteristic of arable lands. Other land-use/land-cover (LULC) classes have the following NPP densities (in areas covered with vegetation): grasslands and brushwoods, 278 g C/m²; forests, 224 g C/m²; and wetlands, 219 g C/m²per year. In general, Russian terrestrial ecosystems accumulate 59.7% of the total NPP in the aboveground phytomass (47.8% in green parts and 11.9% in wood) and 40.3% in the underground phytomass. The latter parameter differs significantly in different LULC classes and bioclimatic zones. According to calculations, the uncertainty in estimating the total NPP is 11% (a priori confidential probability 0.9).     

二氧化碳排放的国际比较及对我国低碳经济发展的启示

首先分析了我国二氧化碳排放的基本情况,指出当前二氧化碳排放增长率虽然有所下降,但环境形势依然严峻。然后从国家碳排放总量、人均CO2排放量、单位GDP二氧化碳排放量、国家累积碳排放和人均累积碳排放几个方面对我国二氧化碳排放水平与国际水平进行了比较,并结合节能减排目标对我国低碳经济的发展提出了相关建议。     

国际碳税方案的比较分析

碳税作为一种控制二氧化碳排放的经济手段受到许多学者的青睐,国外一些学者主张通过在国际层面实行碳税来实现全球二氧化碳减排的目标,并提出了不同的设计构想。但至今仍没有研究者对国际上的国际碳税提议进行系统的归纳。对已有国际碳税提议进行归纳和分析即成为本文的目的。本文将已有典型的国际碳税提议归纳成四种方案,即统一的国际税方案、有差异的国际税方案、统一的国内税方案和国内税+边境调节税方案,分别阐述了每种方案的内容和特征,并运用比较分析的方法从成本效益、公平性、参与广泛性及可操作性四个方面对所归纳的四种方案进行对比分析。通过分析得出,如果仅基于成本效益、公平性、参与广泛性及可操作性四个指标,前三种方案差别不大,但都明显优于第四种方案,因此第四种方案是最劣的。但如果考虑到方案实行的现实条件和推动力,最劣的第四种方案是短期内最可能实现的,并且,最优的国际碳税方案可能需由最劣的方案逐次演化而成,而难以直接实现。     

Carbon Embodied in International Trade of China and Its Emission Responsibility

Carbon emissions embodied in international trade of China during 1997-2007 are accounted by input-output method based on Chinese input-output table and global trade analysis project database.It is revealed that carbon emissions embodied in imports and exports both increased during 1997-2007,but carbon emissions embodied in exports are greater than those embodied in imports,China is a net export nation in embodied carbon.The net exports of embodied carbon account for about 10.82% of the total carbon emissions in 1997,dropped to 7.15% in 2002,increased to13.13% in 2006,and slightly dropped to 12.64% in 2007.Low-end position of international industry division is an objective factor of being a net exporter of embodied carbon for China,and usage of a large amount of obsolete energy-using equipments wasted much energy and increased carbon emissions embodied in exports.Importers should take more responsibilities for carbon emissions embodied in trade,and China should take a certain responsibility for unreasonable energy dissipations too.     

Carbon Embodied in International Trade of China and Its Emission Responsibility

Abstract

Carbon emissions embodied in international trade of China during 1997–2007 are accounted by input–output method based on Chinese input–output table and global trade analysis project database. It is revealed that carbon emissions embodied in imports and exports both increased during 1997–2007, but carbon emissions embodied in exports are greater than those embodied in imports, China is a net export nation in embodied carbon. The net exports of embodied carbon account for about 10.82% of the total carbon emissions in 1997, dropped to 7.15% in 2002, increased to 13.13% in 2006, and slightly dropped to 12.64% in 2007. Low-end position of international industry division is an objective factor of being a net exporter of embodied carbon for China, and usage of a large amount of obsolete energy-using equipments wasted much energy and increased carbon emissions embodied in exports. Importers should take more responsibilities for carbon emissions embodied in trade, and China should take a certain responsibility for unreasonable energy dissipations too.     

Aggregated Estimation of Basic Parameters of Biological Production and Carbon Budget of Russian Terrestrial Ecosystems: 3. Biogeochemical Carbon Fluxes

The biogeochemical cycle of organic carbon in Russian terrestrial ecosystems in 1990 is considered. Its components have been estimated as follows: net primary production, 4354 million metric tons of carbon (Mt C); annual amount of plant detritus, 3223 Mt C; heterotrophic soil respiration, 3214 Mt C; biomass utilization, 680 Mt C; damage to vegetation caused by fire and pests, 140 Mt C; and removal by surface and ground waters, 79 Mt C. Anthropogenically regulated fluxes of organic carbon (820 Mt C) are comparable to its amount involved in the natural cycle.     

发展中国家气候变化技术需求及技术转移障碍

为促进我国气候变化适用技术向其他发展中国家转移,通过文献分析、问卷调查和专家咨询等方式,对联合国发展中国家气候变化技术需求评估报告进行了分析,确定了发展中国家气候变化技术需求的重点领域和技术、需求特点和技术转移障碍等。研究发现:1在减缓领域,发展中国家技术需求的优先领域为能源和农业,次优先领域为废弃物处理和工业节能,能源领域的优先方向为能源工业、交通和家用节能,农业领域的优先技术为改进作物管理、养殖废弃物管理、家畜饮食配方改良;2在适应领域,优先领域为农业和水资源,次优先领域为海岸带管理、卫生健康,农业领域的优先技术为作物管理、土地管理、农田水利和节水灌溉、高效牧场和牲畜管理,水资源领域的优先技术为雨水收集利用、供水渗漏控制、城市污水处理与回用、气候监测与预警系统、水井技术;3利用科技应对气候变化已成为广大发展中国家的共识,不同类型国家因国情和自然条件不同,其气候变化技术需求也各有侧重,但普遍以成熟适用技术为主,且与本国的优先发展事项紧密关联,同时发展中国家对于能力建设的需求十分强烈;4在技术转移的障碍方面,技术受方的障碍包括资金和市场障碍、能力条件障碍、信息障碍、法律政策障碍、知识产权和技术障碍、传统文化和公众意识障碍,技术供方的障碍(以我国为例)包括资金不足,存在多头管理,信息不对称,机构缺乏走出去的意愿等。最后,提出了我国加强气候变化南南科技合作的政策建议。     

基于LMDI方法的中国国际贸易隐含碳分解

对国际贸易产生环境影响的定量研究正日益受到关注,特别是对隐含碳的研究.以中国2005年为例,对中国国际贸易隐含碳进行估算,应用对数平均D氏指数法(LMDI)对影响隐含碳净转移的因素进行分解分析.结果显示中国因生产排放碳量远大于其消费需要排放的碳量,从国外净转移到中国的隐含碳为395.66MtC;净转移隐含碳影响因素中强度效应(进出口商品完全碳排放系数差异)贡献率为60%,规模效应(进出额差异)贡献率为55%,结构效应(进出口结构差异)贡献率为-14%,此结果表明中国相比国外的高碳排放强度是造成目前碳转移额外增加的主要因素,分析结构效应发现中国主要净出口行业大部分不是高碳排放强度行业,而净进口行业却主要由高碳排放强度行业构成,特别是与碳排放密切相关的能源行业居净进口行业首位.     

引入碳价格后中国出口贸易成本的变化

应对气候变化的政策手段多种多样,市场机制手段是目前应用广泛的政策工具之一。国际碳交易的实践尤其是欧盟ETS的运行效果显示,电力及一些能源加工转换行业通常会因为承担了碳交易的成本,而会导致其下游产品价格的发生变动,一般表现在下游电力价格的增加,因此会使得其他行业的生产成本受电力价格的上涨而增加。因此碳价格机制的引入对于整个经济发展的成本产生一定的影响,而我国目前以出口贸易为导向的经济现状,势必使得碳价格影响到出口贸易的产品成本上。本文主要利用我国2005年和2007年的投入产出表,测算我国出口贸易产品能源成本的变化。结果显示我国出口产品的能源成本占每年出口额比重约为13%,若扣除掉消耗进口中间产品的因素,仅仅考虑国内中间投入产品的能源成本,则出口产品中的能源成本比重下降至9%-10%左右,其中电力的成本约占整个能源成本的60%以上,若由于碳价格机制的引入导致电力成本上涨50%,则使得我国出口能源成本的至少上涨一半以上,这将大幅度降低我国出口产品的国际竞争力。因此我国出口贸易的主要部门一方面需要不断加强技术研发投入,提升其生产技术水平,降低能源成本的比重,提高单位产品的能源效率;另一方面由于我国外贸存在较大的顺差,也要不断调整出口产品的结构,配合国内产业政策的调整,降低能源成本较高产品的出口,优化出口产品的结构,提高出口产品的科技含量和附加值,整个贸易政策调整优先向竞争力导向转变。     

The Status Quo and Developing Trend Analysis of Global Carbon Finance

Abstract

This paper gives a systematic view of the new trends of global carbon finance innovation under the challenge of global climate change and in the process of transition to achieve economic growth from “high carbon” to ‘low carbon”, covering the following aspects: the structure, status quo and developing trend of global carbon market. The paper discusses the innovation in financial organization and service systems and governments’ overall guidance and policy support, and draws the conclusion that the world is undergoing massive changes with governments actively responding to carbon finance to embrace the tremendous opportunities for clean energy and climate change in financial industry. To seize the opportunity, a complete and overall carbon finance system of China should be put in the top of the agenda. Given the current tasks of energy conservation and pollution reduction and the growing demand for capital input, China needs to construct an clear of policy guidance, a diversified financia service system, and a multi-approach carbon finance system to intensify and widen the participation of financial industry, to expand financing channels for sustainable economy and spread risks, and finally, work out an inexpensive solution to the realization of China’s low carbon target.     

Energy Embodied in Goods in International Trade of China: Calculation and Policy Implications

Abstract

In recent years, China’s energy demand and Greenhouse gas (GHG) emissions have grown very fast, quite an amount of which was exported as energy embodied in goods in international trade rather than consumed domestically. Starting from the concept of embodied energy, based on input-output energy analysis approach, in this paper the energy embodied in goods in international trade of China during the period from 2001 to 2006 is calculated. The results show that although China has become a net importer of petroleum since 1993, China is a net exporter of embodied energy due to international trade in goods. In 2002, the total amount of energy embodied in exported goods was about 410 million tce (ton of coal equivalent, hereinafter referred to as “tce”). Eliminating the amount of energy embodied in imported goods of about 170 million tce, the net export of embodied energy was about 240 million tce, accounting for 16% of the aggregate primary energy consumption of that very year in China, and the net export of embodied emissions was about 150 million tons of carbon. With the rapid growth of China’s international trade, assuming no structural input-output changes of among sectors, in 2006 the net export of embodied energy went up to about 630 million tce, an increase of 162 % over 2002. In addition, this paper also analyzes the possible sources of error in calculation, and also discusses the policy implications according to the result of the calculation.     

Energy Embodied in Goods in International Trade of China: Calculation and Policy Implications

In recent years, China’s energy demand and Greenhouse gas (GHG) emissions have grown very fast, quite an amount of which was exported as energy embodied in goods in international trade rather than consumed domestically. Starting from the concept of embodied energy, based on input-output energy analysis approach, in this paper the energy embodied in goods in international trade of China during the period from 2001 to 2006 is calculated. The results show that although China has become a net importer of petroleum since 1993, China is a net exporter of embodied energy due to international trade in goods. In 2002, the total amount of energy embodied in exported goods was about 410 million tce (ton of coal equivalent, hereinafter referred to as "tce"). Eliminating the amount of energy embodied in imported goods of about 170 million tce, the net export of embodied energy was about 240 million tce, accounting for 16% of the aggregate primary energy consumption of that very year in China, and the net export of embodied emissions was about 150 million tons of carbon. With the rapid growth of China’s international trade, assuming no structural input-output changes of among sectors, in 2006 the net export of embodied energy went up to about 630 million tce, an increase of 162 % over 2002. In addition, this paper also analyzes the possible sources of error in calculation, and also discusses the policy implications according to the result of the calculation.     

国际碳交易市场发展对中国的启示

中国是世界第二大温室气体排放国,是全世界核证减排量(CERs)一级市场上最大供应国,但在碳交易过程中却处在整个碳交易产业链的最低端,只是碳交易市场的参加者,碳交易市场规则的执行者.中国为全球碳交易市场创造的巨大减排量被发达国家以低价购买后,包装、开发成价格更高的金融产品在国外进行交易.作为世界上最大的排放权供应国之一,中国没有一个像欧美那样的国际碳交易市场,不利于争夺碳交易的定价权.本文具体阐述了国际主要的碳交易市场的交易主体、交易类型、交易数量、交易额等发展状况,通过分析归纳出现阶段国际碳交易市场的特点,并以此为基础将国内碳交易市场和国际碳交易市场进行比较得出中国碳交易市场现阶段存在的缺陷,相应的提出了完善中国碳交易市场的启示,即完善碳交易市场的制度建设,完善碳交易体系,加强对CDM项目开发的研究,调动金融机构参与碳交易的主动性,统一国内碳排放标准.     

Aggregated Estimation of the Basic Parameters of Biological Production and the Carbon Budget of Russian Terrestrial Ecosystems: 1. Stocks of Plant Organic Mass

The data presented were obtained at the first stage (1993–1999) of studies on evaluating the basic parameters of biological production in Russian terrestrial ecosystems in order to provide information for assessing and modeling the carbon budget of the entire terrestrial biota of the country. Stocks of phytomass (by fractions), coarse woody debris, and dead roots (underground necromass) were calculated by two independent methods, which yielded close results. The total amount of phytomass in Russian terrestrial ecosystems was estimated at 81800 Tg (=10¹² g = million t) dry matter, or 39989 Tg carbon. Forest ecosystems comprise a greater part (82.1%) of live plant organic matter (here and below, comparisons are made with respect to the carbon content); natural grasslands and brushwoods account for 8.8%; the phytomass of wetlands (bogs and swamps), for 6.6%; and the phytomass of farmlands, for only 2.5%. Aboveground wood contains approximately two-thirds of the plant carbon (63.8%), and green parts contain 9.9%. For all classes of ecosystems, the proportion of underground phytomass averages 26.7% of the total amount, varying from 22.0% in forests to 57.1% in grasslands and brushwoods. The average phytomass density on lands covered with vegetation (1629.9 million hectares in Russia) is 5.02 kg/m² dry matter, or 2.45 kg C/m². The total amount of carbon in coarse woody debris is 4955 Tg C, and 9180 Tg C are in the underground necromass. In total, the vegetation of Russian terrestrial ecosystems (without litter) contains 54124 Tg carbon.     

CGE Simulation for Levying Carbon Tax in China and International Experience of Levying Carbon Tax

Levying carbon tax is conducive to reducing carbon dioxide emissions and protecting the environment.The author firstly reviewed some relevant empirical studies on carbon tax both home and abroad,and then established the CGE model and simulated levying carbon tax in China.The study found that levying carbon tax would have little impact on China’s economy:in a short-term,China’s GDP might decrease by 0.51%,while in a long-term it might decrease by 0.08%;however,the carbon dioxide emissions would be substantially reduced.Meanwhile,levying carbon tax has some negative impact on the output of each industry in the very economic structure;of this,the mineral extractive industries would be influenced the most.Then the author summarized experience of levying carbon tax in foreign countries.     

International trade,carbon leakage,and CO2 emissions of manufacturing industry

Foreign trade drives China’s growth,but as the trade scale continues to expand,the carbon emissions also increase quickly.Based on the industry panel data from 1996 to 2010,this paper calculates carbon emissions of 27manufacturing industries.According to the intensity of carbon emissions,this paper divides the manufacturing sectors into low carbon and high carbon manufacturing industry and then analyzes the carbon emission trends.Next,the paper uses the feasible generalized least square regression to verify the existence of environmental Kuznets curve（EKC）of the manufacturing industry’s carbon.In order to investigate the carbon leakage problem,the regression also includes the interaction term between trade and industrial value added.Our findings are as follows:the carbon emissions of the whole manufacturing industry and low carbon manufacturing industry accord with the EKC curve,but have a linear relationship with the high carbon manufacturing industry;trade reduces the carbon emissions of the whole manufacturing industry and low carbon manufacturing industry,but it increases those of the high carbon manufacturing industry;for the whole manufacturing industry and low carbon manufacturing industry,there is no carbon leakage,but it exists in the high carbon manufacturing industry.On the whole,pollution haven hypothesis does not hold up in China,and China does not need to limit industry foreign trade to reduce the emission of CO₂.But the manufacturing industry will still be the main engine of the economic growth,and therefore our country should make an effective low-carbon policy,introduce advanced technology,increase R&D investment into lowcarbon technologies,and upgrade and transform the original equipment to change the backward mode of production.