大气污染物排污权初始分配研究
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摘要
伴随着现代经济的迅速发展,在环境问题越来越显著的今天,为平衡环境与经济发展之间的矛盾,环境保护与可持续经济发展更加受到人类的重视。建立一个完善的运转有效的排污权交易法律制度,不仅可以平衡上述矛盾,而且还能促进各个排污企业减少排污量,提高生产技术,实现低能耗,低污染,高效益。然而,要想完善排污权交易制度,目前还存在很多问题,其中最需首要解决的问题就是如何合理公平的分配排污权。
本文是根据参阅许多文献的基础上,采用理论分析与研究的方法,动态规划建模的技术对大气排污权无偿分配以及大气排污权的定价进行研究。首先,需要对排污权,大气污染源,动态规划和经济定价的相关理论知识有充分的了解,才能根据动态规划建模的规则建立大气排污权初始分配模型,然后对大气排污权进行定价研究,界定两者之间的权重,得出大气污染物排污权初始分配总量模式,在构建模型之后,安排一个实例进行研究分析。
本文的主要研究成果如下：
(1)研究了我国大气污染物初始排污权免费分配模型。动态规划可以用来解决最优路径问题,资源分配问题,生产调度问题,库存问题,装载问题,排序问题,设备更新问题,生产过程最优控制问题等等。从最低治理费用以及分配的公平性的角度出发,建立动态规划模型,在这里还需要将多目标模型转换为单目标模型求解。
(2)研究了我国大气污染物排污权初始分配总量模式。针对我国的经济和环境现状,结合国内外理论界研究成果,本文认为目前我国排污权初始分配模式比较适合免费分配与有偿分配相结合的模式。按照某区域内所有排污企业为此区域的社会福利所做的贡献,来确定排污权初始分配中免费分配所占的比重。
大气污染物排污权初始分配在环境保护以及经济学中是一个新的待需解决的问题,研究也还处于初级阶段。本文虽然就某些问题进行了探讨,但是还是存在许多问题需要继续深入研究,如不同市场条件下初始排污权分配方式问题,本论文建立的总量模式在实践上有很大的困难,研究的系统科学性还不够等。
With the rapid development of modern economy, environmental issues are increasingly significant recently. In order to balance the contradiction between environment and economic development, human pay more attention to environmental protection and sustainable economic development. The establishment of a perfect and effective legal system of emissions trading can not only balance the contradiction, but also promote every emission corporations to reduce emissions and improve the production technology. It would enable emission corporations to achieve low power consumption, low pollution and high efficiency. However, there are many problems to improve the emission trading system. The core problem is how to scientific allocate the initial emission rights rationally.
This thesis is based on read a lot of documents, researching on atmospheric emission rights free allocation and atmospheric emission rights pricing using theoretical analysis and research methods, dynamic programming modeling technology. First of all, it is necessary to understand the relevant theoretical knowledge such as emission rights, air pollution, dynamic programming and economic pricing. Establish a model of initial atmospheric emission rights allocation according to dynamic programming modeling rules. Secondly, by studying on air emission rights pricing, define the weight between free distribution and paid distribution and obtain the total model of air pollutants initial emission rights allocation. Finally, researching and analysis an example.
The main results of this thesis are as follows:
(1)Study on the model of air pollutants initial emission rights free allocation. Dynamic programming can be used to solve the optimal path problem, resource allocation, production scheduling problems, inventory problems, loading issues, scheduling problem, renewal of equipment problems, the production process optimal control problem and so on. This thesis put forward the mathematic model of dynamic programming under the conditions of minimum treatment expense and fairness of allocation. In this thesis, it is necessary to convert the multi-objective model for solving single-objective model.
(2)Study on the total model of air pollutants initial emission rights allocation. In this thesis, the model of initial emission rights allocation in China recently is more suitable for free distribution combination with paid distribution under the conditions of economy and environmental status in China, combined with the theorists research results at home and abroad. In accordance with the contribution of the social welfare in a certain region, determine the proportion of free distribution in initial emission rights allocation.
Air pollutants initial emission rights allocation in environmental protection and economics is a new pending issue needed to be solved. The study is still in its early stage. This thesis was discussed on some issues, but there are still many problems need to continue in-depth study such as initial emission rights allocation problems under the conditions of different market, there are great difficulties in practice, scientific research system is not enough and so on.
本文是根据参阅许多文献的基础上,采用理论分析与研究的方法,动态规划建模的技术对大气排污权无偿分配以及大气排污权的定价进行研究。首先,需要对排污权,大气污染源,动态规划和经济定价的相关理论知识有充分的了解,才能根据动态规划建模的规则建立大气排污权初始分配模型,然后对大气排污权进行定价研究,界定两者之间的权重,得出大气污染物排污权初始分配总量模式,在构建模型之后,安排一个实例进行研究分析。
本文的主要研究成果如下：
(1)研究了我国大气污染物初始排污权免费分配模型。动态规划可以用来解决最优路径问题,资源分配问题,生产调度问题,库存问题,装载问题,排序问题,设备更新问题,生产过程最优控制问题等等。从最低治理费用以及分配的公平性的角度出发,建立动态规划模型,在这里还需要将多目标模型转换为单目标模型求解。
(2)研究了我国大气污染物排污权初始分配总量模式。针对我国的经济和环境现状,结合国内外理论界研究成果,本文认为目前我国排污权初始分配模式比较适合免费分配与有偿分配相结合的模式。按照某区域内所有排污企业为此区域的社会福利所做的贡献,来确定排污权初始分配中免费分配所占的比重。
大气污染物排污权初始分配在环境保护以及经济学中是一个新的待需解决的问题,研究也还处于初级阶段。本文虽然就某些问题进行了探讨,但是还是存在许多问题需要继续深入研究,如不同市场条件下初始排污权分配方式问题,本论文建立的总量模式在实践上有很大的困难,研究的系统科学性还不够等。
With the rapid development of modern economy, environmental issues are increasingly significant recently. In order to balance the contradiction between environment and economic development, human pay more attention to environmental protection and sustainable economic development. The establishment of a perfect and effective legal system of emissions trading can not only balance the contradiction, but also promote every emission corporations to reduce emissions and improve the production technology. It would enable emission corporations to achieve low power consumption, low pollution and high efficiency. However, there are many problems to improve the emission trading system. The core problem is how to scientific allocate the initial emission rights rationally.
This thesis is based on read a lot of documents, researching on atmospheric emission rights free allocation and atmospheric emission rights pricing using theoretical analysis and research methods, dynamic programming modeling technology. First of all, it is necessary to understand the relevant theoretical knowledge such as emission rights, air pollution, dynamic programming and economic pricing. Establish a model of initial atmospheric emission rights allocation according to dynamic programming modeling rules. Secondly, by studying on air emission rights pricing, define the weight between free distribution and paid distribution and obtain the total model of air pollutants initial emission rights allocation. Finally, researching and analysis an example.
The main results of this thesis are as follows:
(1)Study on the model of air pollutants initial emission rights free allocation. Dynamic programming can be used to solve the optimal path problem, resource allocation, production scheduling problems, inventory problems, loading issues, scheduling problem, renewal of equipment problems, the production process optimal control problem and so on. This thesis put forward the mathematic model of dynamic programming under the conditions of minimum treatment expense and fairness of allocation. In this thesis, it is necessary to convert the multi-objective model for solving single-objective model.
(2)Study on the total model of air pollutants initial emission rights allocation. In this thesis, the model of initial emission rights allocation in China recently is more suitable for free distribution combination with paid distribution under the conditions of economy and environmental status in China, combined with the theorists research results at home and abroad. In accordance with the contribution of the social welfare in a certain region, determine the proportion of free distribution in initial emission rights allocation.
Air pollutants initial emission rights allocation in environmental protection and economics is a new pending issue needed to be solved. The study is still in its early stage. This thesis was discussed on some issues, but there are still many problems need to continue in-depth study such as initial emission rights allocation problems under the conditions of different market, there are great difficulties in practice, scientific research system is not enough and so on.
引文
[1]Lyon R.M. Auction and Alternative Procedures for Allocating Pollution Rights[J]. Land Economics,1982,58(1):16-32.
[2]Rose A, Stevens B. The efficiency and equity of marketable permits for CO2 emission [J]. Resource and Energy Economics,1993,15 (1):117-126.
[3]Tietenberg T. Relevant experience with tradable entitlements, In:Combating Global Warming: Study on a Global system of Tradable Carbon Emission Entitlements[M]. UNCTAD, New York.1992.
[4]Heller T. The Path to EU Climate Change Policy, In:Golub,J.(Ed.), Global Competition and EU Environmental Policy[M].Rutledge, London,1998.
[5]Barde J.P. Environmental Policy and Policy Instruments, In:Folmer,H, Principals of Environmental and Resource Economics[M]. Edward Elgar, Aldershot,1995.
[6]Tobias A. Persson, Christian Azar, Kristian Lindgren. Allocation of CO2 emission permits-Economic incentives for emission reductions in developing countries[J]. Energy Policy, 2006.34:1889-1899.
[7]E.J. Kinnee, J.S. Touma, et al. Allocation of onroad mobile emissions to road segments for air toxics modeling in an urban area[J]. Transportation Research Part D,2004.9:139-150.
[8]A. Pierru. Economics and the Refinery's CO2 Emissions Allocation Problem [J]. Oil& Gas Science and Technology,2007,62(5):647-652.
[9]Carlos Batlle, Julian Barquin. Emission rights allocation criteria, [s.l.].
[10]Rose A, Stevens B. The efficiency and equity of marketable permits for CO2 emission [J]. Resource and Energy Economics,1993.15(1):127-146.
[11]尚静石.动态规划在河流初始排污权分配中的应用[J].东北水利水电,2006,24(5)：9～10.
[12]卞化蝶,李希昆.《环境保护法》的修改——从排污权初始分配和区域环境管理角度来辨析[J].2007年全国环境资源法学研讨会(2007.8.12-15-兰州)论文集[C].2007：413～418.
[13]赵海霞.不同市场条件下的初始排污权免费分配方法的选择[J].生态经济,2006(2)：51～53.
[14]古宏伟,吴椒军.浅析大气排污权初始分配的方法及其效率[J].华东经济管理,2007,21(10)：64～67.
[15]李寿德,黄桐城.交易成本条件下初始排污权免费分配的决策机制[J].系统工程理论方法应用,2006,15(4)：318～322.
[16]Dales, JH. Pollution, Property and Prices[M]. University of Toronto Press,1968.
[17]崔建远.准物权研究[M].法律出版社,2003：20.
[18]曲格平.环境科学基础知识.中国环境科学出版社,1984：41.
[19]崔建远.水权与民法理论及物权法典的制定[J].法学研究,2002,3：48.
[20][s.n.]. See Senate House Records of America, S14668,1982-12-5.
[21]王曦.美国环境法概论[M].武汉：武汉大学出版社,1992：273.
[22]Tietenberg, Tom H. Emissions Trading:An Exercise in Reforming Pollution Policy[M]. US Washington D.C. Resources for the Future,1985:11.
[23]马忠,杜丹德.总量控制与排污权交易[M].北京：中国环境科学出版社,1999：178.
[24]Tietenberg T. Relevant experience with tradable entitlements, In:Combating Global Warming: Study on a Global system of Tradable Carbon Emission Entitlements [M]. UNCTAD, New York, 1992.
[25][美]泰坦伯格著,初始排污权交易——污染控制政策的改革[M].崔卫国,等译.北京三联书店出版社,1992.
[26]李寿德,黄桐城.初始排污权分配的一个多目标决策模型[J].中国管理科学,2003,11(6)：40～44.
[27]宋玉柱,高岩,宋玉成.关联污染物的初始排污权的免费分配模型[J].上海第二工业大学学报,2006,23(3)：194～199.
[28]林高松,李适宇,江峰.河流允许排污量公平分配的多准则决策方法[J].环境科学学报,2007,27(3)：494～500.
[29]赵文会,高岩,戴天晟.初始排污权分配的优化模型[J].系统工程,2007,25(6)：57～61.
[30]黄显峰,邵东国,顾文权.河流排污权多目标优化分配模型研究[J],水利学报,2008,39(1)：73～78.
[31]吴亚琼,赵勇,吴相林,岳超源.初始排污权分配的协商仲裁机制[J].系统工程,2003,21(5)：70～74.
[32]肖江文,罗云峰,赵勇,岳超源.初始排污权拍卖的博弈分析[J].华中科技大学学报,29(9)： 37～39.
[33]Cramton P, Kerr S. Tradable carbon permit auctions-how and why to auction not grandfather [J]. Energy Policy,2002,30 (4):333-345.
[34]Athanasios K. Selecting permit allocation rules for agricultural pollution control:A bargaining solution [J]. Ecological Economics,2003,47:135-147.
[35]毕军,周国梅,张炳,葛俊杰.排污权有偿使用的初始分配价格研究[J].环境保护,2007,7：51～54.
[36]李寿德,伊胜萍.排污权交易思想及其初始分配与定价问题探析[J].科学学与科技技术管理,2002,23(1)：69～71.
[37]施圣炜,黄桐城.期权理论在排污权初始分配中的应用[J].中国人口·资源与环境,2005,15(1)：52～55.
[38]韩凤舞,孟祥松.排污权市场化下不同运营模式的抽水蓄能电站定价研究[J].电力需求侧管理,2008,10(4)：20～23.
[39]张颖,王勇.我国排污权初始分配的研究[J].生态经济,2005,8：50～52.
[40]赵文会.初始排污权分配的若干问题研究[D].[博士学位论文].上海：上海理工大学管理学院,2006.
[41]赵文会.初始排污权分配理论研究综述[J].工业技术经济,2008,27(8)：111～113.
[42]钱颂迪.运筹学[M].北京：清华大学出版社,修订本.2004：200～230.
[43]国家环境保护局科技技术标准司编.大气环境标准工作手册.中华人民共和国国家标准,《环境空气质量标准》(GB3095—1996).
[44]宋国君.排污权交易[M].北京：化学工业出版社,2004：116.
[2]Rose A, Stevens B. The efficiency and equity of marketable permits for CO2 emission [J]. Resource and Energy Economics,1993,15 (1):117-126.
[3]Tietenberg T. Relevant experience with tradable entitlements, In:Combating Global Warming: Study on a Global system of Tradable Carbon Emission Entitlements[M]. UNCTAD, New York.1992.
[4]Heller T. The Path to EU Climate Change Policy, In:Golub,J.(Ed.), Global Competition and EU Environmental Policy[M].Rutledge, London,1998.
[5]Barde J.P. Environmental Policy and Policy Instruments, In:Folmer,H, Principals of Environmental and Resource Economics[M]. Edward Elgar, Aldershot,1995.
[6]Tobias A. Persson, Christian Azar, Kristian Lindgren. Allocation of CO2 emission permits-Economic incentives for emission reductions in developing countries[J]. Energy Policy, 2006.34:1889-1899.
[7]E.J. Kinnee, J.S. Touma, et al. Allocation of onroad mobile emissions to road segments for air toxics modeling in an urban area[J]. Transportation Research Part D,2004.9:139-150.
[8]A. Pierru. Economics and the Refinery's CO2 Emissions Allocation Problem [J]. Oil& Gas Science and Technology,2007,62(5):647-652.
[9]Carlos Batlle, Julian Barquin. Emission rights allocation criteria, [s.l.].
[10]Rose A, Stevens B. The efficiency and equity of marketable permits for CO2 emission [J]. Resource and Energy Economics,1993.15(1):127-146.
[11]尚静石.动态规划在河流初始排污权分配中的应用[J].东北水利水电,2006,24(5)：9～10.
[12]卞化蝶,李希昆.《环境保护法》的修改——从排污权初始分配和区域环境管理角度来辨析[J].2007年全国环境资源法学研讨会(2007.8.12-15-兰州)论文集[C].2007：413～418.
[13]赵海霞.不同市场条件下的初始排污权免费分配方法的选择[J].生态经济,2006(2)：51～53.
[14]古宏伟,吴椒军.浅析大气排污权初始分配的方法及其效率[J].华东经济管理,2007,21(10)：64～67.
[15]李寿德,黄桐城.交易成本条件下初始排污权免费分配的决策机制[J].系统工程理论方法应用,2006,15(4)：318～322.
[16]Dales, JH. Pollution, Property and Prices[M]. University of Toronto Press,1968.
[17]崔建远.准物权研究[M].法律出版社,2003：20.
[18]曲格平.环境科学基础知识.中国环境科学出版社,1984：41.
[19]崔建远.水权与民法理论及物权法典的制定[J].法学研究,2002,3：48.
[20][s.n.]. See Senate House Records of America, S14668,1982-12-5.
[21]王曦.美国环境法概论[M].武汉：武汉大学出版社,1992：273.
[22]Tietenberg, Tom H. Emissions Trading:An Exercise in Reforming Pollution Policy[M]. US Washington D.C. Resources for the Future,1985:11.
[23]马忠,杜丹德.总量控制与排污权交易[M].北京：中国环境科学出版社,1999：178.
[24]Tietenberg T. Relevant experience with tradable entitlements, In:Combating Global Warming: Study on a Global system of Tradable Carbon Emission Entitlements [M]. UNCTAD, New York, 1992.
[25][美]泰坦伯格著,初始排污权交易——污染控制政策的改革[M].崔卫国,等译.北京三联书店出版社,1992.
[26]李寿德,黄桐城.初始排污权分配的一个多目标决策模型[J].中国管理科学,2003,11(6)：40～44.
[27]宋玉柱,高岩,宋玉成.关联污染物的初始排污权的免费分配模型[J].上海第二工业大学学报,2006,23(3)：194～199.
[28]林高松,李适宇,江峰.河流允许排污量公平分配的多准则决策方法[J].环境科学学报,2007,27(3)：494～500.
[29]赵文会,高岩,戴天晟.初始排污权分配的优化模型[J].系统工程,2007,25(6)：57～61.
[30]黄显峰,邵东国,顾文权.河流排污权多目标优化分配模型研究[J],水利学报,2008,39(1)：73～78.
[31]吴亚琼,赵勇,吴相林,岳超源.初始排污权分配的协商仲裁机制[J].系统工程,2003,21(5)：70～74.
[32]肖江文,罗云峰,赵勇,岳超源.初始排污权拍卖的博弈分析[J].华中科技大学学报,29(9)： 37～39.
[33]Cramton P, Kerr S. Tradable carbon permit auctions-how and why to auction not grandfather [J]. Energy Policy,2002,30 (4):333-345.
[34]Athanasios K. Selecting permit allocation rules for agricultural pollution control:A bargaining solution [J]. Ecological Economics,2003,47:135-147.
[35]毕军,周国梅,张炳,葛俊杰.排污权有偿使用的初始分配价格研究[J].环境保护,2007,7：51～54.
[36]李寿德,伊胜萍.排污权交易思想及其初始分配与定价问题探析[J].科学学与科技技术管理,2002,23(1)：69～71.
[37]施圣炜,黄桐城.期权理论在排污权初始分配中的应用[J].中国人口·资源与环境,2005,15(1)：52～55.
[38]韩凤舞,孟祥松.排污权市场化下不同运营模式的抽水蓄能电站定价研究[J].电力需求侧管理,2008,10(4)：20～23.
[39]张颖,王勇.我国排污权初始分配的研究[J].生态经济,2005,8：50～52.
[40]赵文会.初始排污权分配的若干问题研究[D].[博士学位论文].上海：上海理工大学管理学院,2006.
[41]赵文会.初始排污权分配理论研究综述[J].工业技术经济,2008,27(8)：111～113.
[42]钱颂迪.运筹学[M].北京：清华大学出版社,修订本.2004：200～230.
[43]国家环境保护局科技技术标准司编.大气环境标准工作手册.中华人民共和国国家标准,《环境空气质量标准》(GB3095—1996).
[44]宋国君.排污权交易[M].北京：化学工业出版社,2004：116.