【碳达峰碳中和—聚焦减污降碳协同增效专题】编者按：随着2030年“碳达峰”与2060年“碳中和”目标的提出，我国生态文明建设进入了以降碳为重点战略方向、推动减污降碳协同增效、促进经济社会发展全面绿色转型、实现生态环境质量改善由量变到质变的关键时期. 2022年6月，生态环境部等七部门联合印发《减污降碳协同增效实施方案》，对推动减污降碳协同增效作出系统部署. 本专题以国家减污降碳重大需求为主题，所包括文章研究区域覆盖我国30个省(自治区、直辖市)以及长江三角洲、广东省等重点区域，研究内容涉及经济结构转型、产业结构调整、土地利用方式、土壤修复工程等对减污降碳协同增效的影响等方面，同时还包括国内外碳排放基准、碳足迹等最新研究进展. 专题相关研究成果对推动我国减污降碳协同增效相关领域科学研究具有参考价值.
Carbon Emission Benchmark in Carbon Trading Market System: Application Practice, Research Progress and Prospect
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摘要: 碳交易作为一种碳减排的市场化手段和政策工具，在推动绿色低碳可持续发展中发挥着重要作用. 碳排放基准线是碳交易市场体系的重要组成部分，其对标行业先进碳排放水平，是碳交易机制中使用基准线法计算碳配额的主要依据. 我国已发布了全国发电行业的碳排放基准线，随着碳交易市场的稳步推进和发展，对于其他行业碳排放基准线的研究和制定需求愈发迫切. 本文以水泥行业为例，概述了碳排放基准线的制定方法，梳理了国内外碳排放基准线的应用实践及研究进展. 总体上，当前我国碳排放基准线工作滞后于欧美地区，面临覆盖行业少、行业内部标准不一、数据基础薄弱、区域及企业间差异未充分考虑等问题，难以保证碳配额分配的科学性和公平性. 未来，建议以发电行业为突破口，尽快统一各行业内部基准线制定方案，优先考虑高碳行业；构建适用于我国碳市场的产品分类体系，完善不同主体的碳核算技术标准，明确不同产品的碳核算边界；加强对企业活动数据的监管力度，严格碳配额核算、分配过程，保证碳额分配的透明、公平；围绕地区或企业间的差异量化与配额修正等关键问题开展深入研究，提高基准线适用水平.Abstract: As a market-oriented means and policy tool for carbon emission reduction, carbon trading plays a vital role in promoting green, low-carbon, and sustainable development. The carbon emission benchmark (CEB) is an essential part of the carbon trading market system. In the carbon trading system, CEB provides the basis for calculating carbon allowances by benchmarking the advanced carbon emission level of the industry. Currently, China has only issued CEBs for the national electricity industry. With the rapid development of the carbon trading market, the formulation of CEBs for other industries is becoming increasingly urgent. This study introduced the formulation methods of CEBs taking the cement industry as an example, and reviewed the application practices and research progress of CEBs at home and abroad. In general, China lagged behind the European Union and the United States with problems such as a lack of industries coverage, inconsistent standards within the industry, poor data foundation, and insufficient consideration of regions and enterprises variations, which made it difficult to ensure the scientificity and fairness of carbon allowance allocation. The following suggestions were therefore provided. First, the electricity industry should be taken as a model to unify the standards of benchmarks formulation within other industries as soon as possible, and high-carbon industries should be prioritized. Second, the product classification system for China's carbon market needs to be constructed, and the carbon accounting technical standards of different entities should be improved to clarify the carbon accounting boundaries of different products. Third, the submission of enterprise activity data and the accounting of carbon allowance should be strictly supervised to ensure the transparency and fairness of carbon allocation. Fourth, key issues such as the quantification of differences between regions or enterprises as well as correction of the allowance should be studied in depth to improve benchmarks' applicability.
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Key words:
- carbon emission benchmark /
- carbon trading /
- emission intensity /
- research progress
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图 1 碳排放核算、碳排放基准线和碳配额分配之间的关系
Figure 1. Relationship between carbon emission accounting, carbon emission benchmark and carbon allowance
图 2 碳排放基准线的一般制定流程(以我国水泥行业为例)
Figure 2. General process of carbon emission benchmarks formulation (taking China's cement industry as an example)
表 1 欧盟碳交易体系(EU ETS)的碳排放基准线类型
Table 1. Types of carbon emission benchmarks in the EU ETS
方法类型 基准线 单位 适用条件 所涉及的碳排放边界 产品基准线 取决于产品 t/单位产品(以CO2计) 具有可用的产品基准线 产品系统边界内的排放 热值基准线 62.3 t/TJ(以CO2计) 无产品基准线，热值可测量 与生产相关的排放，独立于产品基准线之外 燃料基准线 56.1 t/TJ(以CO2计) 无产品基准线，热值不可测量，存在燃料燃烧排放 来源于燃料燃烧的排放，独立于产品基准线和热值基准线之外 生产过程基准线 历史排放量的97% t/TJ(以CO2计) 无产品基准线，热值不可测量，无燃料燃烧排放，存在“过程排放” 所涉及的排放独立于以上类型之外 
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表 2 当前我国各行业碳排放基准线的研究情况
Table 2. Current research on carbon emission benchmarks of various industries in China
行业 范围 数据基础 碳排放基准线选取方式及水平 数据来源 钢铁行业 24个省 552家钢铁企业上报数据 基准线包括炼钢及之前的6个工序，采用效率较高的前70%~80%范围内的企业碳排放强度平均值 文献[27] 化工行业 全国 8套乙烯装置 采用以企业产量为权重的碳排放强度加权平均法，根据不同的累积产量划线，获得不同梯度的碳排放基准线 文献[28] 2018年64家电解铝企业的核查填报数据 碳排放强度前70%~80%企业的产量加权碳排放强度 文献[29] 热力行业 天津市 472家供热厂，27台供热机组的数据 碳排放基准线为前40%~50%的供热厂碳排放强度的平均值 文献[30] 沈阳市 72家供暖企业数据 选择技术水平领先的前40%的供热企业单位面积碳排放量的平均值作为沈阳市2013年供暖行业的碳排放基准线 文献[31] 电力行业 天津市 2014年15家主要发电企业的32台发电机组数据 亚临界300 MW机组及超高压及以下、300 MW以下机组取天津市前40%企业对应的碳排放强度水平；对于超超临界1 000 MW机组、超临界500 MW机组、亚临界600 MW机组，去掉各组基准线中的最高值与最低值，其余数据取平均值作为碳排放基准线；对于燃气机组，碳排放基准线取天津市平均值 文献[32] 天津市 无 参考天津市、山东省和浙江省的地方标准，碳排放基准线取标准平均值 文献[30] 建筑行业 上海市 39家大型公共建筑2009—2015年的碳排放数据 将建筑碳排放量从小到大排列分成四等份，将四分位统计中的下四分位点设置为基准线 文献[33]
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