This document provides a summary of a training session for local DRC representatives on emissions trading systems. The training covered the history of allowance allocation in the EU ETS, including the decentralized approach used in Phases 1 and 2. Member States had flexibility in setting caps and determining allocation methods during these phases. The training discussed lessons learned from different allocation approaches and the increased call for harmonization.

1. Training for local DRC representatives
Learning by doing towards the
establishment of robust cap setting and
allocation for National ETS
全国碳交易能力建设培训会
Supporting the Design and
Implementation of Emissions Trading
Systems in China - 中欧碳交易能力建设项目
Beijing, 25th – 26th April 2015
北京，2015年4月25-26日
This project/programme is funded by the European Union under the Service Contract No. : DCI-ASIE/2013/334-592.
Project implemented by: ICF International together with Sinocarbon, SQ Consult and Ecofys

2. Allocation design choices: the EU ETS history on allowance allocation
如何设计配额分配： EU ETS 配额分配历史
25 April 2015
2015年4月25日

3. Overview and structure
概览和提纲
Overall context 总体背景情况
NAP 1 and 2: allocation and cap setting in a decentralised system
国家层面配额分配计划一期和二期：非集中体系下的配额分配和总量设定
Allocation approaches: lessons learnt 配额分配方法：我们的教训
Call for harmonisation 对统一的需求

4. Overall context 总体背景情况
Kyoto-Protocol 京都议定书
EU commitment 欧盟的承诺
Burden sharing to achieve 8% reduction to 1990 各成员国分担减排量，在1990年基础上减8%
State of play highlights need to act 国家要案强调必须行动起来
Idea of emissions trading gains ground 排放交易的想法获得支持
EU ETS Directive adopted in October 2003
EU ETS指令于2003年10月颁布
Phase 1: 2005 – 2007 (trial phase) 第一阶段：2005至2007（测试阶段）
Phase 2: 2008 – 2012 (Kyoto phase) 第二阶段：2008至2012（京都议定书阶段）

5. NAP 1 and 2: Process (1)
国家配额分配一期和二期：流程（1）
EU ETS Directive EU ETS指令
legally binding on the objectives 目标具有法律约束性
but Member States were free to decide how to achieve these objectives 但成员国可自行决定如何达到目标
Relevant provisions of Directive 指令中的相关条款
National Allocation Plan (Art 9) 国家配额分配计划 （第九章）
Allocation provision 配额分配条款
Annex 3 criteria to ensure 附录三 保障条件
Compliance with Kyoto track 遵循京都议定书方针
Technical abatement potential to be exploited 利用技术减排潜力
Compliance with Community legislation 符合共同体立法

6. NAP 1 and 2: Process (2)
国家配额分配一期和二期：流程（1）
COM guidance COM指南
to assist Member States in drawing up the NAP 协助成员国设立国家配额分配计划
To support COM assessment of NAP 支持COM评估国家配额分配计划
Setting out criteria including whether mandatory or optional 设定强制或可选条件
Guidance represents the understanding and interpretation of the Commission, but is not
binding on Member States 指南中陈述了对欧盟委员会政策的理解和解读，但对成员国没有强制性
NAP to be submitted to COM for approval 国家配额分配计划需提交COM予以批准
Great level of discretion for Member States with respect to cap setting and allocation 成员
国在总量设定和配额分配方面有相当大的自行决定权

7. EU ETS cap under NAPs 国家配额分配计划下的EU ETS总量
Composition of cap made up of Member States amount of allowances determined by the NAP 各成员国的国家配额分配计划中配额
的总量组成了欧盟层面的总量
Special feature of NAP 1 国家配额分配计划一期的特性
Scope definition 设定范围
BAU projections 照常运营情景的预测
No reliable emissions data 没有可靠的排放数据
On average more allowances than emissions 平均来说配额多于排放量
Special feature of NAP 2国家配额分配计划二期的特性
Some clarification on scope, but non binding and not harmonised 澄清范围，但不是强制性的，并且没有统一
More stringent cap 更紧缩的总量
Still heavy process with many uncertainties 鉴于很多不确定性流程依旧繁重

8. Comparison of Second Period caps with first period caps 二期总量和一期总量的对比
0
1000
2000
3000
EU15 EU10 EU25 EU12 EU27
1st period cap 2005 emissions 2nd period cap
一期总量 2005年排放量 二期总量

9. Allocation to incumbents in NAP 1&2 国家配额分配计划一期和二期中对的配额分配
Allocation mainly based on historical emissions (grandfathering) 配额分配主要基于历史排放数据（祖父法）
Different base periods 不同的基准阶段
Different approaches 不同的方法
Benchmarking only in few countries, even if increased in NAP2 二期中标杆法有上升，但也只在部分国家被采用
Very different benchmarks 差异较大的标杆
Matter of distortion/fairness 有真实性或公平性的顾虑
Auctioning very limited, but also increased in NAP2 二期中拍卖有所增长，但还是非常有限

10. Further examples for not harmonised treatment 更多的关于不统一对待的案例
Early action 早期行动
Some Member States rewarded early action, some did not 一些成员国对早期行动给予了回馈，一些没有
CHP 热电联用
Wide range of measures to counterbalance disadvantages relative to conventional energy installations
改进传统能源设施有非常多样的措施
Some MS dropped compliance factor 一些成员国弃用了合规系数
Double benchmarks 双重标杆
Earmarking reserve 特定用途的配额预留
Process-related emissions 流程相关的排放
Some MS give special treatment 一些成员国提供了特殊的政策
Special consideration in cap calculation 在计算总量时采用了特殊的考虑

11. Example: base periods for grandfathering 案例： 祖父法的基准情景

12. Use of benchmarks in Phase 1 and 2 in Member States 一期和二期成员国对标杆的使用
0
10
20
30
PG new PG incumbent Industry new Industry
incumbent
Phase 1 Phase 2
Source: Ecofys/IFSI 2009
一期 二期

13. NAP 1 and 2: allocation: new entrants
国家配额分配计划一期和二期对新进产能的配额分配
All Member States established new entrants reserve 所有的成员国都为新进产能预留了配额
Different sizes 不同的规模
Free allocation to new entrants in accordance with national rules 根据国家规定新进产能获得免费配额
Fuel specific benchmarks provide wrong signals 燃料相关的标杆发出了错误的信号
Similar problems with closure rules 关停相关的政策有类似的问题
Less efficient plants may run longer than lifetime 效率较低的工厂运营的时间可能长于额定寿命
Negative effects from non-harmonised rules for new entrants 未统一的政策对新进产能产生了消极的影响

14. 0
10
20
30
Power new Power inc Industry new Industry inc
Phase 1 Phase 2
Number of Member States using benchmarks in Phase 1&2
一期和二期成员国使用标杆的数量
一期 二期

15. Issues with allocation methods NAP 1 and 2
国家配额分配计划一期和二期方法的问题
Grandfathering 祖父法
Base period 基准期
Reference: installation – sector – economy 参考：设施-行业-经济体
Special rules: e.g. early action 特殊政策：例如早期行动
Free allocation benchmarks 免费配额标杆
Which benchmarks? 哪一个标杆？
BAT, average or other reference? 最佳可行技术，平均还是其他的参考值？
If activity data, which period? 若采用活动数据，采用哪一个时间段的？
Auctioning 拍卖
Competitiveness? 竞争力
Higher costs? 更高的成本？

16. Environmental effectiveness and cost efficiency
环境有效性和成本有效性
Environmental effectiveness not jeopardised, as long as overall amount of allowances does
not change 只要配额总量没有发生变化，环境有效性就没有被损害
No updating 没有更新
No ex-post allocation 没有事后分配
Cost efficiency 成本有效性
Price signal is crucial 价格信号非常关键
Least cost approach also requires right signals from allocation, if non-perfect
markets prevail 如果没有成熟市场，最小成本法同样需要来自配额分配的正确信号，

17. Call for harmonisation from Member States 成员国要求统一性
During 2005 to 2007, call for „harmonisation“ of EU ETS was rapidly increasing
2005至2007，来自成员国的要求EU ETS统一性的呼声剧增
It concerned all essential elements of EU ETS, in particular cap setting, allocation, scope and new
entrants
EU ETS所有的关键要素都有涉及，特别是总量设定、配额分配、覆盖范围和新进产能
Strong role of EU regulator necessary and acknowledged by Member States and European
Parliament
成员国和欧盟议会都同意增强欧盟层面立法的必要性
Result: fully harmonised EU ETS as from 2013 with key decisions taken at EU level
成果：欧盟层面作出关键决策，自2013年起EU ETS将完全统一

18. Thank you
for your attention!
谢谢！
Further information available from:
更多信息请访问：
http://ec.europa.eu/clima/policies/ets/index_en.htm

19. Functioning of the EU ETS: underlying economics EU ETS的功能：经济学原理
0
5
10
15
20
25
Sell Buy
Investment/abatement costs
CO2 price
Profit from
abatement Purchase is
cheaper than
abatement

20. Principles of emission trading 排放交易的原则

21. Electricity sector: how do windfall profits occur? 电力行业：暴利的获得
Windfall profits are profits which are not due to own
action, but occur due to new circumstances.
暴利来自于新环境而不是自身行为
In ETS, opportunity occurs: sell or use!
ETS中，机会来自于：售卖还是自用
Opportunity costs: costs of the option not implemented if
there is more than one option
机会成本：面临多方案择一决策时，被舍弃的选项中的最高价值者
是本次决策的机会成本
Opportunity costs are added to ordinary (generation) costs
plus usual profit margin 机会成本附加到平常（一般）成本之上
再加上通常的利润率

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项目微信公众号
Supporting the Design and
Implementation of Emissions Trading
Systems in China - 中欧碳交易能力建设项目
This project/programme is funded by the European Union under the Service Contract No. : DCI-ASIE/2013/334-592.
Project implemented by: ICF International together with Sinocarbon, SQ Consult and Ecofys
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