构建我国地方间CDM投融资模式研究
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摘要
清洁发展机制(CDM)是1997年《联合国气候变化框架公约》第三次缔约方大会(COP3)通过的,为协助附件I国家实现温室气体减排承诺的一种灵活履约机制。CDM的出现为我国在温室气体减排领域进行国际融资弥补国内建设资金不足提供了新的领域和机会。
本文研究的目的就是对目前现行的CDM投融资模式进行进一步的探讨,构建基于地方间的CDM投融资合作。在对现行的CDM投融资的相关理论研究的基础上,提出了建立我国地方间CDM投融资模式的构想,并探讨了地方间CDM投融资模式的内涵。基于这一设想,本文分析了当前CDM投融资模式的发展现状,提出了目前现行的CDM投融资合作局限于国与国之间,根据CDM投融资的原理,以及我国区域经济发展的不平衡,可以将CDM投融资方式应用于我国各地方间,从而进一步提出了建立我国地方间CDM投融资模式的构想。本文应用AHP(Analytic Hierarchy Process)层次分析法,通过定性与定量分析相结合对我国构建地方间CDM投融资环境情况进行综合分析以证明这一构想在我国具有一定的可行性,由于层次分析法本身的局限性,所以在我国地方间CDM投融资模式的构建研究中,结合博弈论的研究方法,进一步证明这一设想的科学性、可行性。对我国地方间CDM投融资模式的构建研究,主要是借鉴现行的CDM投融资模式从结构、机构与运作程序的角度进行构建研究。最后,本文从加强政府CDM相关能力建、引领地方政府与企业利用CDM投融资的角度,提出了构建我国地方间CDM投融资模式的政策建议。
Clean Development Mechanism (CDM) is adopted on the Third Conference of the Parties(COP3)of "United Nations Framework Convention on Climate Change".It is a flexible compliance mechanism to assist Annex I countries achieving greenhouse gas emission reduction. The emergence of CDM financing has provided new areas and opportunities for our county to make money to develop domestic economy.
The purpose of this study is to make further discussion of the current CDM investment and financing model, as well as to build CDM investment and financing cooperation between local governments. Based on the study of current CDM theories ,this thesis abtains the definition of the new model and analyzes the current development of CDM investment and financing model , The thesis obtains the limitation of the current model is just building between countries. According to the principles of CDM investment and financing, as well as the imbalance of China's regional economic development, CDM investment and financing can be applied to our local governments, so China can build investment and financing model between local governments. In comprehensive analysis of building our local governments’cooperation of CDM investment and financing,With a combination of qualitative and quantitative analysis ,I use AHP(Analytic Hierarchy Process) to make sure the model can be used in our country .With the limitations of AHP , I use game theory to study the construction of the model to make sure the model is scientific and workable.the construction contains the struction、mechanism and operation. At last,I propose suggestions of constructing the model :strengthen the government’s CDM abality,attract local governments and enterprise participating.
本文研究的目的就是对目前现行的CDM投融资模式进行进一步的探讨,构建基于地方间的CDM投融资合作。在对现行的CDM投融资的相关理论研究的基础上,提出了建立我国地方间CDM投融资模式的构想,并探讨了地方间CDM投融资模式的内涵。基于这一设想,本文分析了当前CDM投融资模式的发展现状,提出了目前现行的CDM投融资合作局限于国与国之间,根据CDM投融资的原理,以及我国区域经济发展的不平衡,可以将CDM投融资方式应用于我国各地方间,从而进一步提出了建立我国地方间CDM投融资模式的构想。本文应用AHP(Analytic Hierarchy Process)层次分析法,通过定性与定量分析相结合对我国构建地方间CDM投融资环境情况进行综合分析以证明这一构想在我国具有一定的可行性,由于层次分析法本身的局限性,所以在我国地方间CDM投融资模式的构建研究中,结合博弈论的研究方法,进一步证明这一设想的科学性、可行性。对我国地方间CDM投融资模式的构建研究,主要是借鉴现行的CDM投融资模式从结构、机构与运作程序的角度进行构建研究。最后,本文从加强政府CDM相关能力建、引领地方政府与企业利用CDM投融资的角度,提出了构建我国地方间CDM投融资模式的政策建议。
Clean Development Mechanism (CDM) is adopted on the Third Conference of the Parties(COP3)of "United Nations Framework Convention on Climate Change".It is a flexible compliance mechanism to assist Annex I countries achieving greenhouse gas emission reduction. The emergence of CDM financing has provided new areas and opportunities for our county to make money to develop domestic economy.
The purpose of this study is to make further discussion of the current CDM investment and financing model, as well as to build CDM investment and financing cooperation between local governments. Based on the study of current CDM theories ,this thesis abtains the definition of the new model and analyzes the current development of CDM investment and financing model , The thesis obtains the limitation of the current model is just building between countries. According to the principles of CDM investment and financing, as well as the imbalance of China's regional economic development, CDM investment and financing can be applied to our local governments, so China can build investment and financing model between local governments. In comprehensive analysis of building our local governments’cooperation of CDM investment and financing,With a combination of qualitative and quantitative analysis ,I use AHP(Analytic Hierarchy Process) to make sure the model can be used in our country .With the limitations of AHP , I use game theory to study the construction of the model to make sure the model is scientific and workable.the construction contains the struction、mechanism and operation. At last,I propose suggestions of constructing the model :strengthen the government’s CDM abality,attract local governments and enterprise participating.
引文
[1]Cramton,P and S. Kerr. Tradeable Carbon Permit Auctions:How and Why toAuction riot Grandfather[J]Energy policy,2002,30:333—345
[2]Svendsen,G T. and J. Christensen The US S02 Auction:Analysis and GenefaI tl.n[J]. Energy Economics,1999,21:403—416
[3] Dr. Germán Aroca. CDM Projects in Chile. LAMNET-NEWS, 2003,4:1—2
[4] Niels Anger. Christoph Bohringer, Ulf Moslener. Macroeconomic Impacts of the Clean Development Mechanism: The Role of Investment Barriers and Regulations. http://ideas.repec.org/p/zbw/zewdip/5589.html, 2008
[5] Cathrine Hagem. Clean development mechanism (CDM) and technological change. http://www.webmeets.com/ERE/WC3/Prog/getpdf.asp?pid=543&pdf=/files/papers/ERE/WC3/543/EAERE.Hagem.2.pdf, 2009
[6]高鸿业主编.西方经济学(微观部分).3版.北京:中国人民大学出版社,2004.(380)
[7]赵惊涛.排污权交易与清洁发展机制.当代法学,2008,22(5):100～101
[8]罗森.财政学.金圣才主编.7版.北京:中国石化出版社,2007(5)
[9]林云华,温俊豪.排污权交易的理论基础及文献回顾.中小企业管理与科技.2008
[10]聚英教育培训中心,金融考试研究中心编写.2009年金融联考复习指南.3版.厦门:厦门大学出版社,2008(583～585)
[11]谭崇台主编.发展经济学概论.武汉:武汉大学出版社,2001(153～155)
[12]林峰著.可持续发展与产业结构调整.北京:社会科学文献出版社,2006.(368)
[13]伍柏麟,尹伯成编著.经济学基础教程.上海:复旦大学出版社,2001.(336、347)
[14]吕学都,刘德顺主编.清洁发展机制在中国.北京:清华大学出版社, 2005.(20)
[15]王雍君,黄占俊主编.地方政府投融资研究:基于庆阳的探索.北京:经济科学出版社,2009.(175)
[16]刘德顺.“中国CDM能力建设项目”清洁发展机制CDM体制框架和CDM项目开发的方法学应用.http://cdm.ccchina.gov.cn/WebSite/CDM/UpFile/File1064.pdf,2009(7):45.2007-12-11
[17] Jin Yunhui,Xue Liu,Wanhua Yang. Prospect of CDM for Promoting Sustainable Development in China. Working Group on Trade. 2000(4):21-29P
[18]刘德顺.国内外CDM项目开发现状和典型问题分析[J].中国水能及电气化,2010(9): 16～19
[19]饶蕾,曾聘,张发林.欧盟碳排放权交易配额分配方式对我国的启示.绿色广角,66～68
[20]章升东,宋维明,李怒云.国际碳市场现状与趋势[J].世界林业研究,2005,5
[21]颜海轶,郁璇.我国碳金融的发展现状及存在的问题.华北金融,2011(1):19
[22]康楠,翟琳.辽宁清洁发展机制(CDM)项目开发现状分析.环境保护与循环经济,2009(12):41
[23]刘尚余,赵黛青,骆志刚.广东省温室气体减排潜力分析与预测[J].可再生能源,2006(5): 93～95
[24]刘宇.广东省二氧化碳排放现状及对策[J] .开放导报,2009(10): 50～53
[25]韩琳慧.我国碳金融市场研究.北京:首都经济贸易大学, [D]. 2010
[26] Zhang Zhongxiang. Estimating the Size of the Potential Market for the Kyoto Flexibility Mechanism. Weltwirtschaftliches Archiv—Review of World Economics. 2000(3):20—25P
[27] Adrian Muller. How to make the clean development mechanism sustainable--The potential of rent extraction. Energy Policy. 2007(1):3—12P
[28] Shinji Kaneko,Asaka Yonamine,Tae Yong Jung. Technology choice and CDM projects in China:case study of a small steel company in Shandong Province. Energy Policy. 2004(12):39—51 P
[29]黄晓,吴欣.我国碳交易的现状、挑战与对策[J].中国经贸,2009(16):2
[30]刘颖.财政集权与分权优劣比较及对我国的启示[J].宁夏大学学报(人文社会科学版),2008,30(6):47～48
[31]刘丽娟.我国利用CDM吸引外商投资研究[D].哈尔滨:哈尔滨工程大学,2008
[32] P.Christopher Zegras.As if Kyoto mattered:The clean development mechanism and transportation. Energy Policy. 2007(6):36—50P
[33]胡迟.清洁发展机制下的融资模式探讨.中国科技投资,2009(7):45
[34] Xingshu Zhao,Axel Michaelowa.CDM potential for rural transition in China case study:Options in Yinzhou district,Zhejiang province.Energy Policy 2005(2):67—82P
[35]左益民. BOT投融资模式在我国高校基础设施建设中的应用研究[D].河南:河南农业大学, 2006
[36]巴曙松. CDM与中国金融业的参与与创新http://www.china-review.com/eao.asp?id=19474. 2007-12-29
[2]Svendsen,G T. and J. Christensen The US S02 Auction:Analysis and GenefaI tl.n[J]. Energy Economics,1999,21:403—416
[3] Dr. Germán Aroca. CDM Projects in Chile. LAMNET-NEWS, 2003,4:1—2
[4] Niels Anger. Christoph Bohringer, Ulf Moslener. Macroeconomic Impacts of the Clean Development Mechanism: The Role of Investment Barriers and Regulations. http://ideas.repec.org/p/zbw/zewdip/5589.html, 2008
[5] Cathrine Hagem. Clean development mechanism (CDM) and technological change. http://www.webmeets.com/ERE/WC3/Prog/getpdf.asp?pid=543&pdf=/files/papers/ERE/WC3/543/EAERE.Hagem.2.pdf, 2009
[6]高鸿业主编.西方经济学(微观部分).3版.北京:中国人民大学出版社,2004.(380)
[7]赵惊涛.排污权交易与清洁发展机制.当代法学,2008,22(5):100～101
[8]罗森.财政学.金圣才主编.7版.北京:中国石化出版社,2007(5)
[9]林云华,温俊豪.排污权交易的理论基础及文献回顾.中小企业管理与科技.2008
[10]聚英教育培训中心,金融考试研究中心编写.2009年金融联考复习指南.3版.厦门:厦门大学出版社,2008(583～585)
[11]谭崇台主编.发展经济学概论.武汉:武汉大学出版社,2001(153～155)
[12]林峰著.可持续发展与产业结构调整.北京:社会科学文献出版社,2006.(368)
[13]伍柏麟,尹伯成编著.经济学基础教程.上海:复旦大学出版社,2001.(336、347)
[14]吕学都,刘德顺主编.清洁发展机制在中国.北京:清华大学出版社, 2005.(20)
[15]王雍君,黄占俊主编.地方政府投融资研究:基于庆阳的探索.北京:经济科学出版社,2009.(175)
[16]刘德顺.“中国CDM能力建设项目”清洁发展机制CDM体制框架和CDM项目开发的方法学应用.http://cdm.ccchina.gov.cn/WebSite/CDM/UpFile/File1064.pdf,2009(7):45.2007-12-11
[17] Jin Yunhui,Xue Liu,Wanhua Yang. Prospect of CDM for Promoting Sustainable Development in China. Working Group on Trade. 2000(4):21-29P
[18]刘德顺.国内外CDM项目开发现状和典型问题分析[J].中国水能及电气化,2010(9): 16～19
[19]饶蕾,曾聘,张发林.欧盟碳排放权交易配额分配方式对我国的启示.绿色广角,66～68
[20]章升东,宋维明,李怒云.国际碳市场现状与趋势[J].世界林业研究,2005,5
[21]颜海轶,郁璇.我国碳金融的发展现状及存在的问题.华北金融,2011(1):19
[22]康楠,翟琳.辽宁清洁发展机制(CDM)项目开发现状分析.环境保护与循环经济,2009(12):41
[23]刘尚余,赵黛青,骆志刚.广东省温室气体减排潜力分析与预测[J].可再生能源,2006(5): 93～95
[24]刘宇.广东省二氧化碳排放现状及对策[J] .开放导报,2009(10): 50～53
[25]韩琳慧.我国碳金融市场研究.北京:首都经济贸易大学, [D]. 2010
[26] Zhang Zhongxiang. Estimating the Size of the Potential Market for the Kyoto Flexibility Mechanism. Weltwirtschaftliches Archiv—Review of World Economics. 2000(3):20—25P
[27] Adrian Muller. How to make the clean development mechanism sustainable--The potential of rent extraction. Energy Policy. 2007(1):3—12P
[28] Shinji Kaneko,Asaka Yonamine,Tae Yong Jung. Technology choice and CDM projects in China:case study of a small steel company in Shandong Province. Energy Policy. 2004(12):39—51 P
[29]黄晓,吴欣.我国碳交易的现状、挑战与对策[J].中国经贸,2009(16):2
[30]刘颖.财政集权与分权优劣比较及对我国的启示[J].宁夏大学学报(人文社会科学版),2008,30(6):47～48
[31]刘丽娟.我国利用CDM吸引外商投资研究[D].哈尔滨:哈尔滨工程大学,2008
[32] P.Christopher Zegras.As if Kyoto mattered:The clean development mechanism and transportation. Energy Policy. 2007(6):36—50P
[33]胡迟.清洁发展机制下的融资模式探讨.中国科技投资,2009(7):45
[34] Xingshu Zhao,Axel Michaelowa.CDM potential for rural transition in China case study:Options in Yinzhou district,Zhejiang province.Energy Policy 2005(2):67—82P
[35]左益民. BOT投融资模式在我国高校基础设施建设中的应用研究[D].河南:河南农业大学, 2006
[36]巴曙松. CDM与中国金融业的参与与创新http://www.china-review.com/eao.asp?id=19474. 2007-12-29