清洁发展机制（CDM）在水电项目中的应用研究
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摘要
为应对全球气候变化,联合国1992年通过了《联合国气候变化框架公约》,1997年公约大会通过了《京都议定书》,为加入公约的主要发达国家规定了定量的温室气体限排和减排义务,并分别确定了三种帮助发达国家实现减排目标的灵活机制,清洁发展机制(CDM)作为其中的一种,其核心内容就是发达国家出钱出技术在发展中国家合作开发温室气体减排项目,用于抵消他们承诺减排的数额,是一种“双赢”的合作机制。因此,分析CDM项目的开发流程,研究CDM的应用方法,对促进清洁发展机制在我国相关领域的推广应用和实现国家可持续发展战略目标具有重大的现实意义。
本论文以中国水电项目作为CDM的应用对象,以湖南省筱溪水电站这一大水电CDM项目开发作为具体实例,系统地分析了CDM的基础理论,CDM项目的开发流程以及我国水电CDM项目开发现状；研究了CDM项目开发方法学,运用相关理论对水电CDM项目基准线选择、额外性论证、减排量计算、项目边界确定的方法进行研究分析；并通过对筱溪水电CDM项目开发的系统研究,论证了该项目的基准线和额外性,计算了对应的减排量,总结了大水电项目通过审查以及应对极端环保组织责难的经验,研究表明CDM的有效应用对于筱溪水电项目的建设意义重大。
本论文的研究将为我国水电项目尤其是大型水电项目进行CDM开发提供必要的技术指导和借鉴,对清洁能源的开发及实施可持续发展战略具有重要意义。
In response to global climate change, the United Nations in 1992 adopted the "United Nations Framework Convention on Climate Change," the 1997 Convention of the General Assembly adopted the "Kyoto Protocol", the major developed countries for accession to the Convention provides for quantitative greenhouse gas emission limits and emission reduction obligations, and were determined to help developed countries to achieve emission reduction targets of three flexible mechanisms, Clean Development Mechanism (CDM) as one of them with its core content that developing countries adopting money and technologies from developed countries to develop greenhouse gas emission reduction projects, be used to offset the amount of their commitment to reducing emissions, is a "win-win" cooperation mechanism. Therefore, the analysis of CDM project development process to study the application of CDM method, the promotion of Clean Development Mechanism in native related fields to promote the application and implementation of national sustainable development strategy is of great practical significance.
This paper adopting the Chinese hydropower projects as the application background of CDM mechanism, XiaoXi Hydropower Station in Hunan Province as a specific example, provided a systematic analysis of the basic theory CDM, CDM project development processes, hydropower CDM project development status in China, CDM project development methodology, the use of relevant theories for hydropower CDM project Baseline selection, Additionality demonstration, Emission reductions calculation, methods to determine the project boundary. And through systematic study to XiaoXi hydropower CDM project development, this paper evaluated the Baseline and Additionality of the project, calculated the corresponding Emission reductions, summed up the experience of the large-scale hydropower projects passing the audit and facing the censure from extremist environmental groups. The studies have shown significant meaning to the construction of Xiaoxi Hydropower Project by using effective application of CDM mechanism.
The study in this paper will be a necessary technical guidance and reference to native hydropower projects,especially large-scale hydropower CDM projects. And this paper has significant meaning to the clean energy development and sustainable development strategies.
本论文以中国水电项目作为CDM的应用对象,以湖南省筱溪水电站这一大水电CDM项目开发作为具体实例,系统地分析了CDM的基础理论,CDM项目的开发流程以及我国水电CDM项目开发现状；研究了CDM项目开发方法学,运用相关理论对水电CDM项目基准线选择、额外性论证、减排量计算、项目边界确定的方法进行研究分析；并通过对筱溪水电CDM项目开发的系统研究,论证了该项目的基准线和额外性,计算了对应的减排量,总结了大水电项目通过审查以及应对极端环保组织责难的经验,研究表明CDM的有效应用对于筱溪水电项目的建设意义重大。
本论文的研究将为我国水电项目尤其是大型水电项目进行CDM开发提供必要的技术指导和借鉴,对清洁能源的开发及实施可持续发展战略具有重要意义。
In response to global climate change, the United Nations in 1992 adopted the "United Nations Framework Convention on Climate Change," the 1997 Convention of the General Assembly adopted the "Kyoto Protocol", the major developed countries for accession to the Convention provides for quantitative greenhouse gas emission limits and emission reduction obligations, and were determined to help developed countries to achieve emission reduction targets of three flexible mechanisms, Clean Development Mechanism (CDM) as one of them with its core content that developing countries adopting money and technologies from developed countries to develop greenhouse gas emission reduction projects, be used to offset the amount of their commitment to reducing emissions, is a "win-win" cooperation mechanism. Therefore, the analysis of CDM project development process to study the application of CDM method, the promotion of Clean Development Mechanism in native related fields to promote the application and implementation of national sustainable development strategy is of great practical significance.
This paper adopting the Chinese hydropower projects as the application background of CDM mechanism, XiaoXi Hydropower Station in Hunan Province as a specific example, provided a systematic analysis of the basic theory CDM, CDM project development processes, hydropower CDM project development status in China, CDM project development methodology, the use of relevant theories for hydropower CDM project Baseline selection, Additionality demonstration, Emission reductions calculation, methods to determine the project boundary. And through systematic study to XiaoXi hydropower CDM project development, this paper evaluated the Baseline and Additionality of the project, calculated the corresponding Emission reductions, summed up the experience of the large-scale hydropower projects passing the audit and facing the censure from extremist environmental groups. The studies have shown significant meaning to the construction of Xiaoxi Hydropower Project by using effective application of CDM mechanism.
The study in this paper will be a necessary technical guidance and reference to native hydropower projects,especially large-scale hydropower CDM projects. And this paper has significant meaning to the clean energy development and sustainable development strategies.
引文
[1]刘亚非,商如斌.清洁发展机制在中国风力发电项目中的应用研究.天津大学管理学院,2007,1-3.
[2][美]波特内.环境保护的公共政策.北京：三联书店,1993,113-120.
[3]绍武,罗勇,闻新宇等.近千年全球温度变化研究的新进展.气候变化研究进.2007,1：14-19
[4]UNFCCC《联合国气候变化框架公约》http://unfccc.int
[5]UNFCCC京都议定书1997.UNFCCC秘书处http://unfccc.int/resource/docs/ convkp/kpchinese.pdf,1997
[6]申红帅,王乃昂.西部并网风电CDM项目开发研究-以玉门风电场项目为例.兰州大学,2008,2～6
[7]蒋波,欧阳峰.水电项目清洁发展机制(CDM)开发研究.西南交通大学,2008,5～10
[8]李欢,杨仁斌,陈亮.中国水电项目CDM开发现状与趋势展望.中国农村水利水电,2007,8：93～94
[9]http://cdm.unfccc.int/Statistics/Registration/NumOfRegisteredProjByHostPartie sPieChart.html
[10]郑爽.国际CDM现状分析.能源与环境,2005,(6)
[11]Jotzo F,Michaelowa A.Estimatingthe CDM market under the Marrankech Accords.Climate Policy,2002,2(2-3):179～196
[12]Energy Information Administration.International Energy Outlook 2002[R].US Washington:Department of Energy,2002
[13]Mustafa Babiker,John Reilly,Henry Jacoby.The Kyoto Protocol and developing countries.in T.Jackson ed. Mitigating Climate Change:Flexibility Mechanisms, 2001
[14]Salim El Meouchi,Esq.Senior Partner.Kyoto CDM Project Compliance with Islamic Finacce[M],Badri and Salim El Meouchi Law Firm,2000
[15]Franck Lecocq.CDM:Experience of the World Bank Carbon Finance Business[M].Carbon Finance Business&Development Economist Research Group,World Bank IADB,2004,4
[16]Mustafa Babiker,John Reilly,Henry Jacoby.The Kyoto Protocol and developing countries.in T.Jackson ed. Mitigating Climate Change:Flexibility Mechanisms, 2001
[17]Md.Rabiul Amin.Technology Transfer for Sustinable Development through Clean Development Mechanism(CDM)[J].The Bangladesh Perspectives",MSc in Applied Chemistry MBA in Management of Technology,2000
[18]Stephen Seres and Kevin Murphy.Analysis of Technology Transfer in CDM Projects[M].Prepared for:theUNFCCC.Registration&Issuance Unit CDM/SDM, 2007
[19]温室气体减排和联合履约：中国面临的挑战与机遇.环境科学动态,1998,(1)：4-11
[20]马智杰,杭三八,黄丽华.小水电在清洁发展机制中的机遇和挑战.中国水利水电科学研究院,2006,(5)
[21]吕学都,刘德顺.清洁发展机制在中国：采取积极和可持续的方式.北京：清华大学出版社,2005
[22]曲格平,任小波.我国清洁发展机制项目开发现状与挑战.政策管理,2006,(14)：25-26
[23]何雪灿.清洁发展机制中基准线的方法学及其应用研究.清华大学,2001
[24]中国能源部门清洁发展机制机遇项目组.小型清洁发展机制项目开发手册.中国环境科学出版社,2005
[25]杨红强.《议定书》机制下碳贸易与环保制约的协调[J].国际贸易问题,2005,(10).
[26]陈文颖,吴宗鑫,何建坤.全球未来碳排放权“两个趋同”的分配方法[J].清华大学报(自然科学版),2005,(6).
[27]郑照宁.清洁发展机制对宏观经济和产业结构的影响分析[D].清华大学,2001
[28]朱庆华,王旭东.清洁发展机制：利用外资的新模式[J].烟台大学学报(哲学社会科学版),2003,(4).
[29]郑照宁,刘德顺.清洁发展机制：一种新的国际环境合作机制(上,下)[J].节能与环保,2003,(4)
[30]陈坤.我国利用清洁发展机制吸引外商投资环境探析[J]学术交流,2008,(12)
[31]马驰,朱益新.清洁发展机制——中国经济可持续发展的新机遇[J].生态经济(学术版),2007,(5)
[32]陈霖.清洁发展机制提高外资质量的新契机[J].国际经济合作,2005,(6).
[33]靳云汇,刘学,杨婉华.清洁发展机制与中国环境技术引进[J].数量经济技术经济研究,2001,(2).
[34]郑照宁,潘韬,刘德顺.从AIJ项目经验看中国未来CDM项目引进技术的模式[J].工业技术经济,2003,(2).
[35]郭慧东.CDM项目运作的相关问题研究[J].中国电力,2006,(11).
[36]高广生,王志轩,谢飞,曾少军.直面CDM现状及问题——碳排放交易专场[J].中国电力企业管理,2008,(7).
[37]Ellerman AD,Jaeoby HD,Deeaux A.The effects on developing countries of the Kyoto Protocol and CO2 emissions trading.MIT Joint Program on the Science and Policy of GlobalChange, Report 41,Cambridge,MA,1998,15*20
[38]The Marrakesh Accrods and The Marrakesh Declaration[R].UNFCCC,2001
[39]Coase, R.H., the problem of social cost. Journal of low and economics,1960, (3):1-44
[40]王灿.陈吉宁.邹骥,中国实施清洁发展机制的潜力分析[J].中国环境科学,2005,25(3)：310-314
[41]程夏蕾．小水电清洁发展机制项目开发．小水电,2006,(2).
[42]程亚蕾.关于加快小水电国际化进程的探讨.小水电,2005,(1)
[43]孟新华.山区农村小水电可持续发展问题与对策.中国农村水利水电,2001,(12)
[44]中华人民共和国水利部.《小水电建设项目经济评价规程》(SL16-95),1993
[45]http://www.energytraining4europe.org/english/training/guide_res/shp_02.htm
[46]程回洲.我国小水电开发及联网的经验与问题.水利水电市场,2001
[47]李菊根.科学求实技术创新开创水电事业新纪元.中国环境报,2006
[48]杨旭中.电力工程经济评价和电价.中国电力出版社,2003
[49]中国水利规划总院.关于颁发水电建设项目财务评价暂行规定的通知.水规规[1994]0026号,1994.
[50]国家电力公司.电力工程技术改造项目经济评价暂行办法(试行).中国电力出版社,2002
[51]国家发改委,建设部.建设项目经济评价方法和参数.中国计划出版社,2006,(3)
[52]世界水坝委员会.水坝与发展：决策的新框架.中国环境出版社,2000
[2][美]波特内.环境保护的公共政策.北京：三联书店,1993,113-120.
[3]绍武,罗勇,闻新宇等.近千年全球温度变化研究的新进展.气候变化研究进.2007,1：14-19
[4]UNFCCC《联合国气候变化框架公约》http://unfccc.int
[5]UNFCCC京都议定书1997.UNFCCC秘书处http://unfccc.int/resource/docs/ convkp/kpchinese.pdf,1997
[6]申红帅,王乃昂.西部并网风电CDM项目开发研究-以玉门风电场项目为例.兰州大学,2008,2～6
[7]蒋波,欧阳峰.水电项目清洁发展机制(CDM)开发研究.西南交通大学,2008,5～10
[8]李欢,杨仁斌,陈亮.中国水电项目CDM开发现状与趋势展望.中国农村水利水电,2007,8：93～94
[9]http://cdm.unfccc.int/Statistics/Registration/NumOfRegisteredProjByHostPartie sPieChart.html
[10]郑爽.国际CDM现状分析.能源与环境,2005,(6)
[11]Jotzo F,Michaelowa A.Estimatingthe CDM market under the Marrankech Accords.Climate Policy,2002,2(2-3):179～196
[12]Energy Information Administration.International Energy Outlook 2002[R].US Washington:Department of Energy,2002
[13]Mustafa Babiker,John Reilly,Henry Jacoby.The Kyoto Protocol and developing countries.in T.Jackson ed. Mitigating Climate Change:Flexibility Mechanisms, 2001
[14]Salim El Meouchi,Esq.Senior Partner.Kyoto CDM Project Compliance with Islamic Finacce[M],Badri and Salim El Meouchi Law Firm,2000
[15]Franck Lecocq.CDM:Experience of the World Bank Carbon Finance Business[M].Carbon Finance Business&Development Economist Research Group,World Bank IADB,2004,4
[16]Mustafa Babiker,John Reilly,Henry Jacoby.The Kyoto Protocol and developing countries.in T.Jackson ed. Mitigating Climate Change:Flexibility Mechanisms, 2001
[17]Md.Rabiul Amin.Technology Transfer for Sustinable Development through Clean Development Mechanism(CDM)[J].The Bangladesh Perspectives",MSc in Applied Chemistry MBA in Management of Technology,2000
[18]Stephen Seres and Kevin Murphy.Analysis of Technology Transfer in CDM Projects[M].Prepared for:theUNFCCC.Registration&Issuance Unit CDM/SDM, 2007
[19]温室气体减排和联合履约：中国面临的挑战与机遇.环境科学动态,1998,(1)：4-11
[20]马智杰,杭三八,黄丽华.小水电在清洁发展机制中的机遇和挑战.中国水利水电科学研究院,2006,(5)
[21]吕学都,刘德顺.清洁发展机制在中国：采取积极和可持续的方式.北京：清华大学出版社,2005
[22]曲格平,任小波.我国清洁发展机制项目开发现状与挑战.政策管理,2006,(14)：25-26
[23]何雪灿.清洁发展机制中基准线的方法学及其应用研究.清华大学,2001
[24]中国能源部门清洁发展机制机遇项目组.小型清洁发展机制项目开发手册.中国环境科学出版社,2005
[25]杨红强.《议定书》机制下碳贸易与环保制约的协调[J].国际贸易问题,2005,(10).
[26]陈文颖,吴宗鑫,何建坤.全球未来碳排放权“两个趋同”的分配方法[J].清华大学报(自然科学版),2005,(6).
[27]郑照宁.清洁发展机制对宏观经济和产业结构的影响分析[D].清华大学,2001
[28]朱庆华,王旭东.清洁发展机制：利用外资的新模式[J].烟台大学学报(哲学社会科学版),2003,(4).
[29]郑照宁,刘德顺.清洁发展机制：一种新的国际环境合作机制(上,下)[J].节能与环保,2003,(4)
[30]陈坤.我国利用清洁发展机制吸引外商投资环境探析[J]学术交流,2008,(12)
[31]马驰,朱益新.清洁发展机制——中国经济可持续发展的新机遇[J].生态经济(学术版),2007,(5)
[32]陈霖.清洁发展机制提高外资质量的新契机[J].国际经济合作,2005,(6).
[33]靳云汇,刘学,杨婉华.清洁发展机制与中国环境技术引进[J].数量经济技术经济研究,2001,(2).
[34]郑照宁,潘韬,刘德顺.从AIJ项目经验看中国未来CDM项目引进技术的模式[J].工业技术经济,2003,(2).
[35]郭慧东.CDM项目运作的相关问题研究[J].中国电力,2006,(11).
[36]高广生,王志轩,谢飞,曾少军.直面CDM现状及问题——碳排放交易专场[J].中国电力企业管理,2008,(7).
[37]Ellerman AD,Jaeoby HD,Deeaux A.The effects on developing countries of the Kyoto Protocol and CO2 emissions trading.MIT Joint Program on the Science and Policy of GlobalChange, Report 41,Cambridge,MA,1998,15*20
[38]The Marrakesh Accrods and The Marrakesh Declaration[R].UNFCCC,2001
[39]Coase, R.H., the problem of social cost. Journal of low and economics,1960, (3):1-44
[40]王灿.陈吉宁.邹骥,中国实施清洁发展机制的潜力分析[J].中国环境科学,2005,25(3)：310-314
[41]程夏蕾．小水电清洁发展机制项目开发．小水电,2006,(2).
[42]程亚蕾.关于加快小水电国际化进程的探讨.小水电,2005,(1)
[43]孟新华.山区农村小水电可持续发展问题与对策.中国农村水利水电,2001,(12)
[44]中华人民共和国水利部.《小水电建设项目经济评价规程》(SL16-95),1993
[45]http://www.energytraining4europe.org/english/training/guide_res/shp_02.htm
[46]程回洲.我国小水电开发及联网的经验与问题.水利水电市场,2001
[47]李菊根.科学求实技术创新开创水电事业新纪元.中国环境报,2006
[48]杨旭中.电力工程经济评价和电价.中国电力出版社,2003
[49]中国水利规划总院.关于颁发水电建设项目财务评价暂行规定的通知.水规规[1994]0026号,1994.
[50]国家电力公司.电力工程技术改造项目经济评价暂行办法(试行).中国电力出版社,2002
[51]国家发改委,建设部.建设项目经济评价方法和参数.中国计划出版社,2006,(3)
[52]世界水坝委员会.水坝与发展：决策的新框架.中国环境出版社,2000