碳金融发展中的清洁发展机制投资项目（CDM）获签的影响因素分析

发布时间：2018-05-09 05:52

本文选题：碳金融 + 清洁发展机制投资项目　；参考：《浙江大学》2012年硕士论文

【摘要】：清洁发展机制(CDM)作为唯一联结发达国家和发展中国家的联合履约项目机制,自被提出以来,就在全球碳排放市场中起到了重要作用。基于《京都议定书》中强调的“共同但有区别的责任原则”,清洁发展机制在致力于帮助发达国家降低减排成本的同时,为发展中国家提供部分资金援助和先进的技术支持。因此,CDM机制下的投资项目从本质上看是发展中国家通过项目级的碳融资实现资金和技术从发达国家向发展中国家的转移。因此,在低碳金融的发展过程中CDM项目机制作为发展中国家唯一能够参与的机制,对经济转型升级过程中的中国来说至关重要。作为世界上第二大温室气体排放国以及最大的发展中国家,我国在清洁发展机制项目的推动进程中做出了不懈的努力：自1997年批准了《联合国气候变化框架公约》后,2002年国务院核准了《京都议定书》,2005年由国家发展和改革委员会、科技部、财政部联合颁布《清洁发展机制项目运行管理办法》。2005年7月20日,中国资源综合利用协会资源节约与代用专业委员会成立了专门的“CDM推广办公室”,对我国企业进行CDM培训,帮助他们了解CDM国际规则。2007年11月,财政部成立了中国清洁发展机制基金,从不同层面支持我国节能减排和应对气候变化事业。时至2012年,我国开展CDM项目也已经有7个年头了,那么它在中国开展的具体情况到底怎样,项目市场前景是否明朗,哪些因素是直接影响项目签发的,都是值得深入研究的。基于此,本文首先回顾了近年来国内外关于CDM理论研究的相关文献以及CDM项目的运作规则；然后从清洁发展机制网站上获取公开的数据信息,对我国CDM项目的开发格局进行深入的数据研究；通过建立Logistic回归模型对我国的CDM项目的获签能力进行研究。Logistic回归模型研究表明,为了提高我国CDM项目的签发率,可以从基于项目质量本身的内部影响因素,包括项目减排规模、项目类型、项目所处地区,以及基于项目开发流程过程中的外部影响因素,包括项目的开发模式以及国外买方,这两个角度的五个方面出发。通过对项目质量本身的提高和对制度环境的完善,力求让CDM项目在未来的第二承诺减排期内能够发挥作用；最后,综合模型和我国CDM项目开发的宏观层面所面临的挑战,提出意见和建议。本研究认为,为了提高经过我国发改委批准后获得EB签发CER项目的获签率,一方面应该按照国际项目运行规则的要求从项目质量本身入手,从开发项目的类型、减排规模等内部因素的角度考虑,切实提高项目质量和项目业主的收益；另一方面,应当关注项目获得签发流程的外部性影响因素,对关键环节的把握很重要,在项目执行后期指定经营实体的审核报告是一个项目获得签发的关键。项目的国外买方在项目开始后会投入资金和技术,咨询机构会对项目的运行进行辅导,这些因素都会对项目的实际运行情况以及指定经营实体的评估报告产生影响。中国的清洁发展机制项目若要在第二减排内获得更加成熟的发展机会,在面临着一系列的宏观挑战时,应当从着重从碳融资层面出发,加快低碳技术的自主研发,同时建立健全全国性或区域性的碳金融市场,以便提高今后在国际上的政治话语权。
[Abstract]:The clean development mechanism (CDM), as the only joint implementation project mechanism associated with developed countries and developing countries, has played an important role in the global carbon market since it was proposed. The clean development mechanism is committed to helping developed countries to reduce the development mechanism, based on the "common but differentiated responsibility principle" emphasized in the Kyoto protocol. At the same time, it provides some financial assistance and advanced technical support for the developing countries. Therefore, the investment projects under the CDM mechanism are essentially the transfer of funds and technologies from developed countries to developing countries through project level carbon financing. In this case, the CDM project in the development of low carbon finance The only mechanism for developing countries to participate is crucial for China in the process of economic transformation and upgrading.
As the second largest greenhouse gas emitter and the largest developing country in the world, China has made unremitting efforts in the promotion process of the clean development mechanism project: since the ratification of the United Nations Framework Convention on climate change in 1997, the State Council approved the Kyoto Protocol in 2002, and the national development and Reform Commission in 2005. The Ministry of Finance jointly promulgated the measures for the operation and management of the clean development mechanism project in July 20th >.2005, a special "CDM Promotion Office" was set up by the China Association for resource conservation and substitution of the China Resources Comprehensive Utilization Association (Specialized Committee) to carry out CDM training for Chinese enterprises and help them to solve the CDM international rules in November.2007, and the Ministry of finance was established. The National Clean Development Mechanism Fund supports China's energy conservation, emission reduction and climate change from different levels. By 2012, the CDM project in China has also been 7 years ago. Then what is the specific situation in China, the bright future of the project market and which factors directly affect the issue of the project are worth deep. Into the study.
Based on this, this paper first reviews the relevant literature on CDM theory and the operation rules of CDM projects at home and abroad in recent years, and then obtains the open data information from the clean development mechanism website, and conducts in-depth data research on the development pattern of the CDM project in China, and the CDM project of China through the establishment of the Logistic regression model. .Logistic regression model research shows that in order to improve the issuance rate of CDM projects in China, the internal factors based on the project quality itself, including the scale of the project emission reduction, the project type, the area of the project, and the external factors based on the project development process, including the development model of the project, can be found. From the five aspects of the two angles, the CDM project will be able to play a role in the second commitment emission reduction period in the future by improving the quality of the project and improving the system environment. Finally, the comprehensive model and the challenges facing the macro level of China's CDM project development are put forward and suggestions.
This research holds that, in order to improve the approval rate of the CER project issued by EB after the approval of the NDRC, on the one hand, we should start with the project quality itself according to the requirements of the international project operation rules, and improve the quality of the project and the income of the owner of the project from the perspective of the internal factors such as the type of the project and the scale of the emission reduction. On the one hand, we should pay attention to the externality factors of the project's issuance process. It is important to grasp the key link. In the later period, the audit report of the designated business entity is the key to the issue of the project. The foreign buyer of the project will invest money and technology after the project begins, and the advisory body will carry out the operation of the project. These factors will affect the actual operation of the project and the evaluation report of the designated operational entity.
If China's clean development mechanism project is to get more mature development opportunities in the second emission reduction, in the face of a series of macro challenges, we should start from the level of carbon financing, speed up the independent research and development of low carbon technology, and establish a national or regional carbon financial market, in order to improve the future in the world. The right to speak.

【学位授予单位】：浙江大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：X38;F832;F224

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