国际气候融资中的责任分担原则研究（已在2016年第7期刊出）

Study on Principles of Burden Sharing in International Climate Financing

        杨源 王铮 吴静

         气候融资，责任分担，支付能力，公平原则

        climate financing, burden-sharing, ability-to-pay, equity principle

        气候融资是国际气候谈判的主要议题之一。文章针对联合国气候大会提出的“绿色 气候基金”落实问题，采用支付能力原则、主权原则、历史排放原则以及消费排放原则对 《联合国气候变化框架公约》附件二所含国家（地区）的融资责任分担进行了计算。研 究发现，在各原则中，美国以GDP总量衡量的支付能力原则为最偏好原则；欧盟、加拿 大、新西兰以人均GDP权重较高的支付能力原则为最偏好原则；日本、澳大利亚、瑞士、 挪威、冰岛以1850年为起始年的历史排放原则为最偏好原则。为均衡各国在融资责任分担 原则上的分歧，综合平均各融资责任分担原则下的融资份额是较好的政策选择；在此选择 下，美国、欧盟和日本需在国际气候融资中承担主要的出资责任，这3个国家（地区）的累 积责任份额超出90%，其中美国的平均融资份额达45%。在融资压力方面，综合平均各融资 责任分担原则下，各国（地区）出资额分别占各自GDP的比重在0.2%—0.33%范围内，均在 相应国家（地区）经济可承受范围之内。

        Climate financing is one of the main issues of international climate negotiations. Aiming at the issue of implementation of the ‘Green Climate Fund’ proposed by international climate conference, in this study, we calculate the financing burden sharing of the Annex II countrie (or region) under principle of ability-to-pay, historical responsibilities principle, sovereignty principle, and principle of consumption-based emission. The study shows that averaging burden shares from different principles is an alternative solution to climate financing. The United States, EU, and Japan undertake the main contributive responsibility in the international climate financing, the cumulative shared liability of these three countries (or region) exceeds 90%, among which the average financing share of the United States reaches 45%. When referred to funding pressures, the rate of climate fund share to the country’s GDP, the averaged funding pressures are in the scope of 0.2% to 0.33%, which are affordable for Annex II countries (or region). Under the various principles, the United States prefers principle of ability-to-pay measured by GDP; EU, Canada, and New Zealand prefer principle of ability-to-pay which weighted higher per capita GDP; Japan, Australia, Switzerland, Norway, and Iceland prefer historical responsibilities principle started from year 1850.