初始排污权的分配方式研究

上海交通大学硕士学位论文初始排污权的分配方式研究姓名：赵海霞申请学位级别：硕士专业：企业管理指导教师：李寿德20060101IMontgomeryAbstractIIRESEARCHONTHEINITIALALLOCATIONOFEMISSIONPERMITSABSTRACTEmissionstradingprogramnotonlycomesintoarealityfromtheoryinUSA,butalsogethighlyemphasisinthewholeworld.However,inthewaytosetupanemissionstradingprogramisthereakeyquestiontobesolvedintheoryandpracticethatistheinitialallocationofemissionpermits,inthattheinitialallocationofemissionpermitsisthestartpointandbasisofestablishinganemissionstradingprogram,andmeanwhileisoneofthemostdifficultproblemsindesigningemissionstradingprogram.Theinitialallocationofemissionpermitsincludesfreeallocationandnon-gratuitousallocation.Thefreeallocationofinitialemissionpermitsisabasicallocationmode.However,thedifficultpointofimplementingsuchamodeliesintheestablishmentofallocationdisciplineandstandard.Inthispaper,basedonthebasicideasandmethods,theauthorprobesintothedisciplinesonwhichfreeinitialallocationisbased,analyzestheinfluenceoftransactioncoststothefreeinitialallocation,discusseswhichkindofauctionisbettersuitforauctioninginitialemissionpermits,andsetsupatheoreticalmodeforfixingapriceatwhichinitialemissionpermitsistobesold.BasedontheanalysisaboveandtheactualitiesofthedevelopmentofeconomyandtheprotectionofenvironmentinChina,theauthorfurtherdiscusstheAbstractIIIinitialallocationquestionanddesignamulti-levelallocationmodeforemissionstradingprogramsinChina.Duetothefactthattheinitialallocationofemissionpermitsnotonlyrelatestothebenefitsofemissionunits,andalsorelatestothesustainabledevelopment,therearealotofcomplexproblemstobestudiedandsolvedintheinitialallocationofemissionpermits,especiallyinthequestionhowtoeffectivelyallocateinitialemissionpermitsinChina.Wishmorescholarscarryingonthestudyanddiscussion.KEYWORDS:InitialEmissionPermits,FreeAllocation,Non-gratuitousAllocation120(Dales)19682070160GHG19912Barde[1]Palmisano(1996)[2]90EndresHeeler1.2.1Catherine3[3]VanDyke(1991)S02[4]GramtonKarr1998(shareholders)()[5](exogenouscriteria)(output-based)[6][7][8]:[9][8][10][11](USAcidRainProgram)RECLAIM(Chile)(UKEmissiontradingScheme)(cost-efficient)[12][13][6][14][5][4]4[15](EPA)SO2Cason(1993,1995)[16][17]Cason&Plot(I996)[18]Svendsena&Christensen(1999)[19]EPASO2Kline&Menezes(1999)[20]EPALafont&Tirole(1996)[21]EPASunnevhg(2001)[22](Ascending-clockauction)Cramton&Kerr(2002)[23]Hausch[24]MaskinRileyHarrisRaviv[25]WeberMilgrom[26]Bikhchandani[27]LesterLave[28]5Schuultge[29][8][30][31][32]HeyesDijkstra(1999)[33]RobertN.Stavins(1995)[34]1.2.22001[35](1998)(2002)[36][37]62001P1P2P3P1P2P3[38]2000[39][40].78990%10,,,,niieix()iiiCex-111(),1,2,...,niiiiMinCexin=-=∑(2-1)1,1,2,...,niixEin===∑Eniieix()iiFx1(),1,2,...,niiiMaxFxin==∑(2-2)12-13()14(grandfathering,GRF)()GRFGRFCramton(2002)200820107%(1995)GRF1250[23]GRFPPP(Updating)(Output-BasedAllocation,OBA)Kverndokk,,[45]15()Matthews:Stavins(1995)[34]16Montero(2000)Montero(2000)0eieie0e0eicieic[,]eee∈()Fe()fe0e,[,]ccc∈()Gc,()gc1aANA,OP(q)CAqB(q)q)q(COP))q(CAOPqq()0Bq′()0Bq′′()0Cq′,()0Cq′′q()()BqCq′′qqecp17opa()()()AANANAMaxWBqCqCq=--(2-3)ANAqqq=+p*,q*qq=*.0uEAqEA-()()AOPOPMaxWBqEACqEAqC=-----(2-4)1cp*0OPpacup=*-≥2OPaeuc2-11A2A3A2-1Figure2-1Thepercentageoftheunaffecteduniteschoosingtojointheemissiontradingprogram()OPpacee=∫∫-==-32AAopopopopudFdG)1())aq(p,a(qqa(2-5)∫∫-==32AAopopopopcudFdG)1())a,q(p,a(CCa(2-6)pcpOPac(e)3A2AOPa1Aeec18∫∫--==321AAAopopopdFdG)ua()1())a,q(p,a(EAEAa(2-7)2-3qOPaOPae=0(1)()EAeea=--,q*qqEA*+.2-52-62-7)a,q(TOPTqOPa′1T0T2′t2-3)a,q(T)q(C)q(C)q(BMaxWOPOPOPAA---=)a,EAq(TC)qEAq(C)EAq(BOPOPOPA-------=(2-8)-qOPa01)(T1)(C1)(BqW1A=*⋅′-*⋅′-*⋅′=∂∂(2-9)0TaEATaCaq)(CaEA)(CaEA)(BaW2OP1OPOPOPOPAOPAOPOP=′-∂∂′+∂∂-∂∂⋅′+∂∂⋅′+∂∂⋅′-=∂∂(2-10)2-9q2-102-10tpCpA+′tt′19tpCA′+=′2-100T]udFdG]c)tp[()1[(a2AAOP32′=-′+-∂∂∫∫a(2-11)ctp′+,pOPa32AA+uaOP=2-112-11u*aOP′2TOPaMontero(2000)OPae=2-2ppc≤pcpc≤tpc+tpcp+≤Q’Q*Figure2-2Thechangeofsupply-and-demandFigure2-3ThechangeofthegrossregulationcostofthemarketQpQ*Q’DDSS’qq*q’′AOPCBEF′AOP*C020′AOP*C2-3′AOP*C′AOPCS(OEF)OPaeOPaeMontero2000OPae=tpcp+≤21(Montero(2002))2223124232-1mniieEenii=∑=1ixmniiEx=∑=1mEmtTijTie-tj,...,2,1=tTitTiTiTiieeeee------++-+-+=13221)1(...)1()1(aaaaaaani,...,2,1=(2-12)a10aa2-2i∑==niiiiiieeb1llni,...,2,1=ili)(ˆ)(ˆ11∑∑==--=⇒-=-nimiiiimniiiiiEebexEebxe(2-13)2-3tTijTiz-jTic-jTig-tj,...,2,1=izicig2-3i)(31111∑∑∑===++=niiiniiiniiiiggcczzr(2-14)25mniiiiEeex⋅=∑=1~(2-15)mniiiiiErrxx⋅⋅+-=′∑=1~)1(ˆbb(2-16)bix~)1(b-mniiiErr⋅⋅∑=1biiixxx′⋅-+⋅=*ˆ)1(ˆˆaa(2-17)2-4miixmniiEx=∑=1mEjinixeCiii,...,2,1),(=-i.)(iiixeC-iiex00)1()()(-⋅-′=-iiiiiiixeCdxxedC0)(-′iiixeC26ii.)(iiixeC-0)()(22-′′=-iiiiiiixeCxdxedC2-5ibibinii,...,2,1,0=≥b11=∑=niib2-42-5⎪⎪⎪⎩⎪⎪⎪⎨⎧=≥≤-∑∑==nixExxeCPiniiniiiii,...,2,1,0)(min)(m11b(2-18)2-18)(min)(min1iiiniixeCXC-=∑=b1+n0)(10≥-=∑=niimxEXgnixXgii,...,2,1,0)(=≥=2-18TnnnnxeCxeCxeCXC))(),...,(),(()(22221111-′--′--′-=∇bbbTXg)1,...,1,1()(0---=∇TXg)0,...,0,1()(1=∇TXg)0,...,1,0()(2=∇TnXg)1,...,0,0()(=∇),...,,(21*nxxxX=2-18),...,,(21,0*nttttT=Kuhn-Tucker⎪⎪⎪⎩⎪⎪⎪⎨⎧=≥==⋅=-⋅==-+-′--∑=nixnixtxEtnittxeCTKiiiniiiiiii,...,