中文摘要：

我国减排行动的落实离不开各省市自治区的参与.本文就我国省市自治区碳排放权分配的初始配额原则展开了研究,对比分析了世袭制原则、平等主义原则和支付能力原则对省市自治区碳排放配额的影响.研究结果表明： 在世袭制原则下,获得排放权配额较多的省区为山西、河北、山东,排放缺口最大的为山东,该配额原则造成了排放权赤字和排放权盈余的省市自治区在数量上极为悬殊,且排放权盈余量过度集中于内蒙古和黑龙江,不利于我国未来省级尺度上排放权交易市场的运转; 在平等主义原则下,获得排放权配额较多的为河南、山东、广东,面临排放权赤字最大的为山西,而排放权盈余最多的为四川,该配额原则下排放权赤字与排放权盈余省区在数量上接近一比一,有利于排放权市场的良性竞争; 基于支付能力原则的结果与平等主义原则的配额结果较为类似,所不同的是人均GDP水平落后的西南各省市自治区在支付能力原则下获得了更多的排放权配额,而经济发达的东部省市自治区则被要求承担更多的减排责任,在空间上呈现＂东部赤字内陆盈余＂的格局,盈余的省份以华中地区和西南地区的四川、广西、湖南、云南等为主,赤字的省市自治区则涵盖我国主要煤炭产地山西以及东部地区的山东、辽宁、河北、上海、江苏、广东等省,有助于引导资金流从东部经济发达省市自治区流向内陆经济较欠发达的省市自治区.因此,相对而言,支付能力原则是较适合我国省级尺度上排放权配额的原则方案.

英文摘要：

Implementation of Chinese emission reduction actions responding to climate change can not lack provincial participation. The influences of the Grandfathering,Egalitarian, and Ability-to-Pay principles on provincial emission permits were studied and compared in the paper. With the Grandfathering principle, Shanxi, Hebei and Shandong provinces will get more emission permits than others, but Shandong will still have the largest emission gap. However,this principle will result in much distinguishing between provinces with emission permits redundancy and provinces with emission permits deficit,which goes against the development of emission trading at provincial level. With the Egalitarian principle, Henan, Shandong and Guangdong provinces will get more emission permits than others,but Shanxi will have the largest emission deficit and Sichuan will have the largest emission redundancy. The Egalitarian principle is favorable for virtuous competition in the emission permits market because the number of provinces with emission deficit is almost equal to the number of provinces with emission. Results from the Ability- to-Pay principle is similar to those from the Egalitarian principle,but the difference only is that South West China＇s provinces with lower GDP per capita will get more emission permits than they are under other principles,while East China＇s provinces with higher GDP per capita will be asked to take more responsibilities in emission abatement. Therefore,a pattern of ＂deficit in East and redundancy in west＂ will be shaped. The provinces such as Sichuan, Guangxi,Hunan, and Yunnan will be of emission permits redundancy, while provinces such as Shanxi, Shandong, Liaoning,and Jiangsu as well as Shanghai City will be of emission permits deficit. This pattern will be not only favorable for emission trading at provincial level, but also for a financial flow from east to west to promote the development of West China. So, the Ability-to-Pay principle is relatively more propitious to emission permits allocation a