Strategic Allocation of Building Carbon Emission Rights Within Urban Frameworks: A Case Study of Henan Province Under China’s Dual Carbon Objectives

Abstract

The advent of China's "dual carbon" objectives necessitates stringent carbon emission reductions across all sectors, notably within the construction industry, which accounts for a significant proportion of the nation's emissions. This study presents a comprehensive examination of the allocation of building carbon emission rights, underpinned by an index system specifically designed for the construction sector, to adhere to the overarching goals of carbon neutrality. Ten refined indicators were developed, encapsulating principles of fairness, efficiency, and sustainability, including metrics such as construction stock and the value added by the construction industry. Employing a methodological framework that integrates a centralized Data Envelopment Analysis (DEA) approach, the entropy method, and k-means clustering, this research delineates an effective strategy for the allocation of carbon emission quotas. The initial allocation for Henan Province in 2023 revealed a geographical variance, characterized by higher quotas in the west compared to the east, with Zhengzhou City allocated 16.53 Mt of carbon emissions-3.59 times greater than that allocated to Zhoukou City, the municipality receiving the lowest quota. Subsequent optimization and adjustment led to the identification that, out of eighteen cities and municipalities, ten require no immediate modification to their carbon emission rights. Meanwhile, four cities were found to have a surplus, and four faced a deficit. The findings not only offer actionable insights for the implementation of urban-level carbon reduction strategies but also enhance the discourse on the allocation of building carbon emission rights, thereby contributing to the broader aim of achieving carbon neutrality. The refined approach and empirical demonstration within Henan Province serve as a pivotal reference for similar endeavors in other regions, emphasizing the necessity for tailored, data-driven allocation strategies that account for local economic activities and construction practices.