促进气候友好产品和技术发展和应用的财政机制

B. Financial mechanisms to promote the development and deployment of climate-friendly goods and technologies 促进气候友好产品和技术发展和应用的财政机制 The previous section discussed efforts to internalize the environmental costs of greenhouse gas emissions. Through such efforts, a price signal on emissions is set and individuals and businesses are encouraged to switch away from high-carbon goods and services and to invest in low-carbon alternatives. Government funding to enhance the deployment and utilization of new climate-friendly technologies and renewable energy is another type of economic incentive commonly used in climate change mitigation policies. This section introduces and gives examples of the wide range of governmental policies that are in place, or being discussed, to facilitate the innovation process or address the additional costs related to the use of climate-friendly goods and technologies so as to encourage their development and deployment. 上一节讨论的是温室气体排放的环境成本内部化上所做的努力。通过这些 努力，关于排放的价格信号被设置，个人和企业被鼓励远离高碳商品和服务， 并把资金投于低碳替代品。加强气候友好技术和可再生能源的利用的政府拨款 被看作是另一种被用在减缓气候变化政策上的经济激励措施。本节主要介绍和 给出了一些即将到位和正在讨论中的政府政策的例子，这些例子主要是关于促 进创新过程和处理气候友好产品和技术使用中相关的额外成本，为了鼓励这些 产品和技术的运用和发展。 1. Rationale 原理 The Fourth Assessment Report of the Intergovernmental Panel on Climate Change (IPCC) underlined that many mitigation technologies are currently commercially available, and more are expected to be commercialized soon. However, the development and deployment of new technologies, including technologies for the use of renewable and/or cleaner energy sources, may be occurring at a slower pace than is desirable from an environmental point of view, and may therefore need to be reinforced by national policies. 政府间气候变化专门委员会（IPCC）第四次评估报告强调，许多气候变化 缓解技术现在从商业化角度是可行的，更多技术的商业化预计将很快进行。然 而，新技术的发展和运用，包括可再生和/或清洁能源使用的技术，可能比我们 从环境角度预期的发展速度要慢，因此可能需要加强国家政策的支持。 Although the private sector plays the major role in the development and diffusion of new technologies, it is generally considered that a closer collaboration between government and industry would stimulate the development of a broad range of low- carbon technologies at more affordable prices. 虽然私营部门扮演着开发和传播新技术的主要作用，一般认为，政府和业 界之间更密切的合作将推动价格较低廉的低碳技术的广泛发展。 A number of factors may hamper the development of new climate-friendly goods and technologies, and may inhibit innovation in the climate change technology sector. First, there is the problem of “environmental externality”: because carbon emissions do not have a cost, firms and consumers have no direct incentive to find ways to reduce them. Second, companies incentive to invent and develop new technologies may be 2 reduced due to the “knowledge effect”: in other words, individual companies may not always be able to profit fully from their investment in innovation because “knowledge” about such technologies (and therefore the opportunity to make a profit from them) may spread to other companies, and to other countries. Third, companies may not always be able to convince private investors of the relevance and interest of a research project in the climate change area, because they may not be in a position to demonstrate the environmental effectiveness of their product until it has been brought into use on a wide scale. 许多因素可能阻碍新气候变化产品和技术的发展，并可能抑制气候变化技 术领域的创新。首先是“环境外部性问题”：因为碳排放量没有成本，企业和 消费者没有直接的激励以设法减少碳排放。第二，公司对于发明和开发新技术 的激励可能因“知识溢出效应”而减少：换句话说，个别公司未必能够从他们 的创新投资中获得全部的利润是因为这类技术的“知识” （和因此从中赚取利润 的机会）可能传播到其他公司，和其他国家。第三，公司可能不一定能说服相 关的私人投资者和气候变化领域研究项目的利益集团，因为在广泛大规模的投 入使用之前，他们未必能够证明其产品的环境效益。 （用外部性解释了溢出效应对经济增长的作用。他认为新投资具有溢出效 应，不仅进行投资的厂商可以通过积累生产经验提高生产率，其他厂商也可以 通过学习提高生产率。 罗默提出了知识溢出模型。知识不同于普通商品之处在 于知识具有溢出效应。这使任何厂商所生产的知识都能提高全社会的生产率“内 生的技术进步是经济增长的动力。在罗默模型中总生产函数描述了资本存量 K， 劳动力 L， 以及创意技术的存量 A 与产出 Y 之间的关系。 ） Furthermore, a number of factors may affect the cost of deployment of climate- friendly and renewable energy technologies. First, the cost of energy from renewable sources except large hydropower installations, combustible biomass (for heat) or large geothermal projects is generally not competitive with wholesale electricity and fossil fuel prices. One of the biggest challenges facing renewable energy technologies is therefore the development of options that can generate energy at costs that are competitive with conventional energy sources. Public funding policies may be able to make the price of energy from renewable sources competitive with that of fossil fuels. 此外，许多因素可能会影响气候友好和可再生能源技术的应用成本。第一， 可再生能源的成本除了大型水电设施，可燃物质（加热）或者大型地热项目， 一般情况下其价格无法和批发的电力和化石燃料竞争。因此，可再生能源技术 面临的最大挑战之一就是发展可以和传统能源竞争的价格。公共资金政策也许 能够是可再生能源的价格可以和传统的化石燃料相竞争。 Second, it has been observed that the removal of subsidies on fossil fuels, by changing patterns of energy use and encouraging the development and widespread application of more energy-efficient technologies could be an important mechanism for reducing greenhouse gas emissions. A number of studies have analysed the economic and environmental impact of removing or significantly reducing fossil fuel public subsidies. Such studies usually demonstrate that there would be a substantial reduction in CO2 emissions. The Agreement on Subsidies and Countervailing Measures (SCM) may be relevant in this regard. Also, some experts have attempted to draw a link between the current Doha Round negotiations on disciplining fisheries subsidies and future 3 multilateral action to address fossil fuel subsidies. It should be noted that a number of countries have engaged in a policy of reduction in subsidies for fossil fuels and coal, both on the production and on the consumption side. In China, for instance, fuel prices rose substantially (over 40 per cent) between 2004 and 2006, as the country removed fuel subsidies. Pre-existing fuel subsidies have also been reduced in other countries, such as Pakistan and Nigeria. 第二，去除对矿物燃料补贴，改变能源使用方式，并鼓励开发和应用更广 泛的节能技术，可成为减少温室气体排放的重要机制。许多研究分析了消除或 大大减少化石燃料的公共补贴的经济和环境的影响。这些研究表明，通常会有 二氧化碳的排放量大幅减少。关于补贴与反补贴措施协定（SCM）可能与此有 关。此外，一些专家试图将目前的多哈回合渔业补贴规则和未来的解决化石燃 料补贴的多边行动相联系。应当指出的是，许多国家在对化石燃料和煤，无论 在生产和消费方面的补贴政策正在减少。在中国，比如，在2004年至2006年， 燃油价格大幅上升（超过百分之四十），因此国家取消了燃油补贴。在其他国 家如巴基斯坦和尼日利亚，已存在的燃料补贴也有所减少。 Third, low-emission energy technologies in sectors other than electricity generation (such as transport and industry) are also generally more expensive than conventional technologies. Here, too, governmental funding for industries and individuals using less energy-intensive or emission-intensive technologies such as purchasing more energy- efficient products or installing meters to measure electricity use may also help to off set the additional cost involved in the use of these cleaner technologies. 第三，使用低排放能源技术的行业不同于使用电力生产的行业（例如运输 和工业），通常的价格也比传统技术的行业昂贵。在这方面，对于使用更低能 源密集型或者排放密集型技术的公司和个人，例如购买更多的节能产品或安装 仪表来测量工业用电的使用，也有可能有助于消除涉及这些清洁能源使用的额 外费用。 Finally, putting new renewable energy or climate-friendly technologies on the market is also associated with a “learning cost”, i.e. the additional cost involved in adapting to the new technology. If the learning rate is low, and/or the time before the technology becomes competitive spans decades, the learning cost will be high, and private sector firms may be unwilling to risk deploying the new technology. In fact, new technologies may not become cost-effective until significant investment has been made and experience has been accrued, and such “learning cost” may reduce the incentive to deploy climate-friendly goods and technologies. 最后，在市场上推出新的可再生能源和气候友好型技术也与“学习成本” 相联系，例如，涉及到新技术应用的额外成本。如果学习效率低下，和，或技 术成熟的时间需要很多年，学习的成本就会很高，私人公司可能不会愿意冒险 应用新技术。事实上，在重要的投资到位和经验已经积累足够之前，新技术可 能不会是价格可取的，学习成本也许会减少对于应用气候友好产品和技术的激 励。 In response to all these factors affecting the cost of climate-friendly and renewable energy goods and technologies, governmental funding may contribute to their faster deployment and increased use, and may also help reduce the gap between their cost and that of conventional technologies and sources of energy. The following subsections 4 introduce the wide range of existing or proposed governmental policies to facilitate the innovation process or to reduce the additional costs related to the use of climate-friendly goods and technologies, and thus encourage their development and deployment. 在这些所有影响气候友好和可再生能源产品和技术成本的因素中，政府拨 款可能会加快它们的应用和增加使用。也能帮助缩小它们和传统技术和能源之 间的价格差距。以下小节介绍了政府现有或提议的一系列政策措施来促进创新 过程或减少气候友好产品和技术使用的额外成本，从而鼓励其发展和应用。 2. Scope 政策范围 Policies to promote the development and deployment of goods and technologies aimed at mitigating or adapting to the effects of climate change have been established by certain national and/or sub-national bodies. A number of countries have set up funding programmes at the national level to support climate change policies, such as Denmarks Energy Technology Development and Demonstration Programme or Finlands BioRefine Programme on biomass. 目标在于减轻或适应气候变化影响的促进此类产品和技术发展和应用的政 策，已经在一些国家和地区建立起来。一些国家建立了国家级支持气候变化政 策的资助计划，例如丹麦的能源技术开发和示范方案或芬兰的生物炼制方案。 Programmes based on financial incentives (rather than direct payments) usually occur at the national level. For instance, Germany and Spain have both established renewable energy feed-in tariffs (i.e. this refers to a regulated minimum guaranteed price per kilowatt-hour that an electricity company must pay for renewable energy fed into the national electricity grid by a private independent producer.) At the subnational level, some bodies also provide funding. For instance, some provinces in Germany, such as North Rhine-Westphalia, have set up energy research programmes. Another example is Kristianstad, a Swedish municipality, which in 1999 declared its intention of becoming a “Fossil Fuel Free Municipality”. This programme, funded by a combination of municipal and state grants, includes promotion of the use of biomass and biogas, energy efficiency and sustainable community planning. 立足于财政刺激（而不是直接支付）的方案通常放生在国家一级。例如， 德国和西班牙都建立了新能源的固定收购价格（即这是指受管制的每千瓦时最 低保证价格，电力公司必须支付给把新能源输入国家电网的私人独立生产者）。 在地方一级，一些机构也提供资金。例如，一些在德国的省份，如北莱茵威斯 特法伦州，成立了能源研究计划。另一个例子是克里斯蒂安斯塔德，瑞典的城 市，于1999年宣布它打算成为一个“无化石燃料城市”。这个方案，由市政府 和国家拨款，包括推广使用生物燃料和沼气，能源效率和可持续社区规划。 Depending on the type of projects being financed by national and sub-national policies, the population targeted by the policy may vary. A distinction may be made between measures targeted at consumers (“demand-pull”) and measures targeted at producers (“supply-push”). “Demand-pull” policies are designed to increase the demand for mitigation technologies by reducing their cost for end-users, and are mainly used in the energy, transport and building sectors. “Supply push” policies aim at providing entrepreneurs with the right incentive to invent, adopt and deploy mitigation technologies. Such production support programmes are mainly used in the energy sector 5 (especially in renewable energy production) and in the transport sector. 根据不同类型的受到国家和地区政策资助的项目，政策所针对的人群可能 会有所不同。两种不同的措施存在明显差别，针对消费者的政策（“需求拉动” ），针对生产者的政策（“供给推动”）。“需求拉动”政策的目的是增加相 应的减少最终用户成本的缓解技术的需求，主要集中在能源，交通和建筑部门 使用。“供给推动”政策的目的是提供适当的激励，鼓励企业家创新，适应和 应用缓解技术。这种生产支持方案主要用于能源部门（特别是在可再生能源生 产领域）和运输部门。 Furthermore, certain industries may be specifically targeted by funding programmes, such as the “Wave and Tidal Stream Energy Demonstration scheme” in the United Kingdom, which gives support to businesses using the newly developed technologies for wave and tidal stream power generation. “Energy aid” in Finland is another such programme available to enterprises: it is state aid intended to promote the development of less CO2-intensive energy production and consumption. 此外，对某些行业可能有专门针对的资助计划，如英国的“潮汐能源示范 计划”，支持企业采用新技术的开发潮汐能用于发电。芬兰的“能源援助”是 另一个这样的方案提供给企业：它作为国家的资助，旨在促进减少二氧化碳的 密集能源的生产和消费。 In Germany, since 1990, a public bank has provided private companies with low- interest loans for specified renewable energy projects. Some programmes may also be addressed to a wider public, as is the case of the “Sustainable Development Technology Canada” foundation, whose “SD Tech Fund” aims at stimulating research, development and demonstration of technologies related, among other things, to climate change and air quality. Eligible beneficiaries include the private sector, academic bodies and non- governmental organizations. 在德国，自1990年以来，国家银行已经提供给私人公司专门用于可再生能 源项目的低息贷款。一些方案也可以面向广大公众，例如“加拿大可持续发展 技术”基金，它旨在促进研究，开发和相关技术的论证，此外还有气候变化和 空气质量。合格的受益者包括私营部门，学术机构和非政府组织。 3. Type of support 支持类型 Usually, incentive policies related to climate change may focus on three areas: (i) increased use of renewable and/or cleaner energy sources; (ii) development and deployment of energy-efficient and/or low carbon-content goods and technologies; and (iii) development and deployment of carbon sequestration technologies. 通常情况下，与气候变化有关的激励政策可能集中在三个领域：（一）增 加使用可再生能源和/或清洁能源;（二）开发和应用的高效能源和/或低碳含量 的产品和技术;及（三）发展和应用碳封存技术。 It should be noted that, in recent years, a large number of incentive policies, in particular fiscal measures, have focused on the development and deployment of liquid biofuels (fuel ethanol and biodiesel). There is an extensive body of literature, which is not reviewed here, on the contribution of different types of biofuel support measures to achieving their intended objectives, including greenhouse gas emission reduction, minimizing environmental implications, assuring food security, or contributing to the 6 improvement of rural areas for developing countries. 应当指出的是，近年来，有大量的激励政策，特别是财政措施，主要侧重 于对液体生物燃料（燃料乙醇和生物柴油）的开发和应用。有很多介绍生物燃 料的的文献资料，在这里就不回顾了，主要阐述了生物燃料支持措施对实现预 期目标的不同贡献，这些目标包括减少温室气体排放，尽量减少对环境的影响， 确保粮食安全，或有助于改善发展中国家的农村地区。 There are numerous stages in the technology innovation process. Subsection IV.B(a), below, presents governmental efforts to foster research and development of climate- friendly goods and technologies. Subsection IV.B(b) focuses on policies aimed at increasing the deployment of such goods and technologies (including their commercialization and diffusion). 在技术创新的过程中有很多阶段。下面的第四部分B段A 节主要将了政府在 促进气候友好产品和技术研究和发展上的努力。第四部分B段B 节主要讲了增加 这些产品和技术应用的政策，包括其商业化和传播。 a) Incentives to promote invention of new climate-friendly technologies and goods 促进新的气候友好技术和产品创新的激励措施 Because of the deterrents to investment outlined above including the “knowledge” and “learning” effects basic research must often be stimulated through grants and awards to encourage innovators to invent new technologies and processes. A number of governmental grants are intended to facilitate the development of greenhouse gas emission-reducing technologies or renewable energy technologies by financing the cost of research. For example, in New South Wales (Australia), the Climate Change Fund provides, inter alia, grants aimed at supporting the demonstration and early commercialization of new renewable energy technologies. 由于担心上述的风险，包括知识和学习效应，基础研究往往必须通过拨款 和奖励，以鼓励创新发明新技术和新工艺。许多政府拨款目的在于促进温室气 体减排技术和靠融资进行研究的可再生能源技术的发展。例如，在新南威尔士 州（澳大利亚），气候变化基金提供资金目的在于支持新的可再生能源技术的 论证和早期商业化。 Another example is New Zealands Plan of Action for Sustainable Land Management and Climate Change, which provides, inter alia, research grants for the agriculture and forestry sectors aimed at increasing their resilience and their adaptability to a changing climate. In Korea, too, the Automobile Low Emission Technology Development Support funded research institutions developing, inter alia, hybrid vehicles for use as public shuttle buses. 另一个例子是新西兰的可持续土地管理和气候变化行动计划，他向农业和 林业提供研究资助用于增强它们对于气候变化的恢复能力和适应能力。在韩国， 低排放机动车技术开发支持机构资助研究机构发展混合动力汽车用于公共交通 领域。 There is also growing interest in other means of encouraging innovation, such as awards for the development of new technologies. Such awards may be provided ex post by recompensing existing innovations, i.e. by making a return on investments which have already been made in R&D. Grants may also be awarded exante to encourage new 7 research and development projects, in which case the technological improvement to be achieved is generally specif