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研究生:陳韻竹
研究生(外文):Chen, Yun Chu
論文名稱:碳交易市場連結之法律研究
論文名稱(外文):A Critical Legal Study on Linking Emission Trading Systems
指導教授:施文真施文真引用關係
指導教授(外文):Shih, Wen Chen
學位類別:碩士
校院名稱:國立政治大學
系所名稱:國際經營與貿易學系
學門:商業及管理學門
學類:貿易學類
論文種類:學術論文
畢業學年度:103
語文別:中文
論文頁數:111
中文關鍵詞:碳交易碳交易機制連結連結
外文關鍵詞:emission tradingemission trading systemlinklinking
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氣候變遷已然成為國際間急需面對的課題。為了減輕溫室氣體排放量所採取之環境政策工具,不僅需要內國及國際環境法制加以處理,也需要輔以經濟誘因來推動溫室氣體減量工作。開發中國家因經濟成長使排放量急劇增加,包括亞洲主要國家的中國大陸、南韓、日本與台灣等,也開始積極推動碳交易機制。
碳交易機制連結是一種將各國的碳交易機制有組織性地連結而成全球碳交易市場的方式,在目前全球氣候變遷制度談判僵局之下,亞洲國家積極建立推動各國碳交易機制及其法規,亞洲碳交易市場連結發展之可能性成為氣候變遷焦點之一。本文採取文獻回顧法及歸納法,透過檢視分析學者文獻、歐盟、加州與魁北克碳交易機制的連結法規制度,探討連結碳交易機制所需要的法規要素,藉由分析成功的連結經驗,以探討亞洲國家複製歐盟、加州與魁北克碳交易機制連結模式之可行性。
以亞洲國家現今關於碳交易制度的立法規劃來看,目前只有韓國法規具有明確立法連結之相關規定,因此,進而比對韓國連結法規是否已具備足以對外連結之規範及要素,檢視韓國在運行了韓國碳交易機制之後,是否會有對外連結的可能性。台灣雖然已經於2015年通過溫室氣體減量及管理法,並於同年7月生效之,在該法規中有連結之基本概念,但是對於其他如減量階段時程、抵銷詳細規範等,在法規中或其他相關法規中未有具體擘劃。
在面臨亞洲地區一個大型的區域性碳交易市場即將崛起之際,亞洲地區的國家若要發展下一步的連結碳交易機制,在法規制度內須對於對外連結有明確的法律授權,其碳交易機制才有望可發展後續的對外連結。

In order to reduce greenhouse gas emissions, every country should not only construct the international environmental law and country law, but also use economic strategies as assistant. The emission increases sharply because of rapid economic growth in developing countries in Asia. Therefore, major Asian countries including China, South Korea, Japan and Taiwan, promote the emission trading system. The emissions trading system is a key tool for reducing greenhouse gas emissions.
Linking the emission trading systems is an organized way to create a global carbon market. When the global climate change negotiation is deadlocked, a growing number of countries in Asia are integrating cap-and-trade systems into their national climate policies, so that the probability of developing the carbon market in Asia becomes the main issue. This study summarizes and refers to the scholars’ reference materials, the law and regulation of the EU, California and Quebec emission trading systems. The aim of the study is to: (1) generalize the legal and institutional requirements for linking emissions trading systems by analyzing the experiences from the EU, California and Quebec; (2) discuss whether emission trading systems in Asia could be linked.
The study concludes that only South Korea has the relevant legislation that authorizes linking with other emissions trading systems in Asia. It is more likely that South Korea emission trading system will establish link to other countries. By viewing and comparing the legal requirements for linking emissions trading system in this study, however, it seems like that there are still some legal challenges for South Korea to be fully prepared for linking with other emissions trading systems in the short term.

第一章 緒論 1
第一節 研究動機及目的 1
第二節 研究方法與範圍 5
第三節 研究架構 6
第二章 碳交易機制連結概念介紹 8
第一節 定義與類型 8
第一項 連結類型 9
第二節 連結的優缺點及實行障礙 12
第一項 經濟意義 13
第三節 碳交易機制連結之制度設計與要素 20
第一項 系統連結之制度設計要件 21
第二項 單邊與雙邊連結法規制度設計要素 24
第三項 碳交易機制之整合進程與所使用之連結方式 26
第四節 碳交易機制連結的現況與前景 28
第一項 碳交易機制連結現況 28
第二項 碳交易機制連結之前景 32
第五節 小結 32
第三章 歐盟碳交易機制介紹法律架構 34
第一節 歐盟碳排放交易機制 35
第二節 歐盟ETS連結指令 42
第三節 歐盟與澳洲碳交易市場連結實務 47
第四節 小結 49
第四章 美國加州與加拿大魁北克省地方政府碳交易市場連結 50
第一節 美國加州法規簡介 52
第二節 加拿大魁北克省法規簡介 57
第三節 美國加州與加拿大魁北克省連結歷程與現況 63
第一項 美國加州連結法規 63
第二項 加拿大魁北克省連結法規 66
第三項 加州與魁北克碳交易機制連結協定 68
第四節 小結 70
第五章 以歐美實務經驗論亞洲地區國家碳交易機制連結之可行性 72
第一節 歐盟、美加碳交易市場實務探討 73
第一項 碳交易機制連結制度設計要素 73
第二項 歐盟、美國及加拿大連結法規之設計 76
第二節 亞洲地區碳交易市場法規檢視 84
第一項 亞洲各國碳交易機制法規簡介 85
第二項 韓國碳交易機制碳交易法制簡介與檢視 89
第三節 韓國對外連結可能之分析 93
第一項 韓國法規與歐盟、加州、魁北克之比較 93
第二項 韓國對外連結之可能性 94
第三項 小結 97
第六章 結論 99


表 一 魁北克與加州配額對應關係 66
表 二 歐盟、加州及魁北克單邊連結法規比較 78
表 三 歐盟、加州及魁北克雙邊連結法規比較 80
表 四 歐盟、加州及魁北克雙邊連結實務比較 83
表 五 韓國連結法規與歐盟、加州及魁北克之比較 93

壹、 中文
一、 專書
1. 施文真(2013),WTO氣候變遷與能源,初版,台北:元照。
2. 韓乾(2012),研究方法原理,二版,台灣:五南。
二、 期刊論文
1. 林谷蓉,精省後中央與地方權限衝突之研究,國立政治大學中山人文社會科學研究所博士論文,頁51-60(2003年)。
2. 林群燁和王登楷,中國大陸碳市場發展現況介紹,綠基會通訊,頁10-12(2013年10月)。
3. 蘇義淵,以國際氣候變遷法制觀點評論我國溫室氣體減量法草案,興大法學,第6期,頁113-168(2010年5月)。
三、 網路資源
1. 行政院環保署,網址:http://www.epa.gov.tw/ct.asp?xItem=10051&;ctNode=31351&;mp=epa。
2. 行政院環境保護署,推動台灣參與氣候變化綱要公約,政策措施—溫室氣體減量法立法與未來施政重點,網址:http://unfccc.epa.gov.tw/UNFCCC/chinese/04_efforts/018_strategy.html。
3. 行政院環境保護署溫減管理室,「溫室氣體減量及管理法」7月1日正式上路, 2015年7月3日,網址:http://enews.epa.gov.tw/enews/fact_Newsdetail.asp?InputTime=1040703181311。
4. 溫室氣體減量及管理法。
5. 經濟部能源局,氣候變遷辭典,網址:http://www.greenmaster.org.tw/web/web_2a.php。
貳、 英文
一、 專書
1. DAVID FREESTONE &; CHARLOTTE STRECK, LEGAL ASPECTS OF CARBON TRADING KYOTO, COPENHAGEN, AND BEYOND (2009).
2. FREESTONE DAVID &; STRECK CHARLOTTE, LEGAL ASPECTS OF CARBON TRADING KYOTO, COPENHAGEN, AND BEYOND (2009).
3. HARVARD KENNEDY SCHOOL, LINKAGE OF TRADABLE PERMIT SYSTEMS IN INTERNATIONAL CLIMATE POLICY ARCHITECTURE DISCUSSION PAPER 08-07 (Sept. 2008).
4. Mehling Michael, Linking of Emissions Trading Schemes, in LEGAL ASPECTS OF CARBON TRADING: KYOTO, COPENHAGEN, AND BEYOND (David Freestone &; Charlotte Streck ed. 2009).
5. SCOTT D. DEATHERAGE, CARBON TRADING LAW AND PRACTICE (2011).
6. Weishaar Stefan E., Emissions Trading Design: A Critical Overview 191-192 (2014).
二、 期刊論文與研究報告
1. Andreas Tuerk, Wolfgang Sterk, Erik Haites, Michael Mehling, Christian Flachsland, Hitomi Kimura, Regina Betz &; Frank Jotzo, Linking emission trading scheme, CLIMATE STRATEGIES, May 2009.
2. Burtraw Dallas, Palmer Karen, Munnings Clayton, Weber Paige &; Woerman Matt, Incremental Alignment of Cap-and-Trade Markets, RFF DISCUSSION PAPER 13-04 (Apr. 2013).
3. CARBON MARKET WATCH REPORT, TOWARDS A GLOBAL CARBON MARKET PROSPECTS FOR LINKING THE EU ETS TO OTHER CARBON MARKETS, May, 2015, available at http://carbonmarketwatch.org/wp-content/uploads/2015/05/NC-Towards-a-global-carbon-market-report_web.pdf.
4. Flachsland Christian, Marschinski Robert &; Edenhofer Ottmar, To link or not to link: benefits and disadvantages of linking cap-and-trade systems, CLIMATE POLICY, Vol. 9, Issue 4, 358-372 (2009).
5. Gains from (Cap and) Trade Linking Quebec’s and California’s Carbon Trading Systems, Sustainable Prosperity, April, 2014.
6. GERMAN EMISSIONS TRADING AUTHORITY (DEHST) AT THE FEDERAL ENVIRONMENT AGENCY, LINKING DIFFERENT EMISSIONS TRADING SYSTEMS – CURRENT STATE AND FUTURE PERSPECTIVES, available at http://www.dehst.de/SharedDocs/Downloads/EN/Publications/Linking.pdf?__blob=publicationFile.
7. ICTSD GLOBAL PLATFORM ON CLIMATE CHANGE, TRADE AND SUSTAINABLE ENERGY, LINKING EMISSIONS TRADING SCHEMES- CONSIDERATIONS AND RECOMMENDATIONS FOR A JOINT EU-KOREAN CARBON MARKET (March 2014).
8. IETA, The EU’s Emissions Trading System, available at http://www.ieta.org/assets/3-Minute-Briefings/phase%203%20eu%20ets_final.pdf.
9. INTERNATIONAL CARBON ACTION PARTNERSHIP, EMISSIONS TRADING WORLDWIDE INTERNATIONAL CARBON ACTION PARTNERSHIP (ICAP) STATUS REPORT 2014, REPUBLIC OF KOREA, available at https://icapcarbonaction.com/component/attach/?task=download&;id=152.
10. INTERNATIONAL CARBON ACTION PARTNERSHIP, ETS DETAILED INFORMATION, CANADA - QUÉBEC CAP-AND-TRADE SYSTEM, available at https://icapcarbonaction.com/index.php?option=com_etsmap&;task=export&;format=pdf&;layout=list&;systems%5B%5D=73.
11. INTERNATIONAL CARBON ACTION PARTNERSHIP, KOREA EMISSIONS TRADING SCHEME, available at https://icapcarbonaction.com/index.php?option=com_etsmap&;task=export&;format=pdf&;layout=list&;systems%5B%5D=47.
12. INTERNATIONAL EMISSION TRADING ASSOCIATION, LINKING TRADABLE PERMIT SYSTEMS FOR GREENHOUSE GAS EMISSIONS: OPPORTUNITIES, IMPLICATIONS, AND CHALLENGES, IETA REPORT ON LINKING GHG EMISSIONS TRADING SYSTEMS, available at http://www.hks.harvard.edu/fs/rstavins/Monographs_&;_Reports/IETA_Linking_Report.pdf.
13. INTERNATIONAL EMISSIONS TRADING ASSOCIATION &; ENVIRONMENTAL DEFENSE FUND, KAZAKHSTAN, THE WORLD’S CARBON MARKETS: A CASE STUDY GUIDE TO EMISSIONS TRADING, available at http://www.ieta.org/assets/Reports/EmissionsTradingAroundTheWorld/edf_ieta_kazakhstan_case_study_september_2013.pdf.
14. INTERNATIONAL EMISSIONS TRADING ASSOCIATION &; ENVIRONMENTAL DEFENSE FUND, SOUTH KOREA THE WORLD’S CARBON MARKETS: A CASE STUDY GUIDE TO EMISSIONS TRADING, available at http://www.ieta.org/assets/Reports/EmissionsTradingAroundTheWorld/edf_ieta_korea_case_study_september_2013.pdf.
15. INTERNATIONAL EMISSIONS TRADING ASSOCIATION, CDC CLIMAT RESEARCH &; ENVIRONMENTAL DEFENSE FUND, KAZAKHSTAN: AN EMISSIONS TRADING CASE STUDY, available at http://www.edf.org/sites/default/files/kazakhstan-case-study-may2015.pdf.
16. INTERNATIONAL PARTNERSHIP ON MITIGATION AND MRV, MEASURING, REPORTING AND VERIFICATION (MRV), available at http://mitigationpartnership.net/measuring-reporting-and-verification-mrv-0.
17. Jaffe Judson &; Stavins Robert N., Linkage of Tradable Permit Systems in International Climate Policy Architecture, HKS FACULTY RESEARCH WORKING PAPER SERIES, RWP08-053, Oct. 2008.
18. Javier de Cendra de Larragán, Linking the project based mechanisms with the EU ETS; the present state of affairs and challenges ahead, in EU CLIMATE CHANGE POLICY, THE CHALLENGE OF NEW REGULATORY INITIATIVES, NEW HORIZONS IN ENVIRONMENTAL AND ENERGY LAW SERIES (Marjan Peeters and Kurt Deketelaere, 2007)
19. Linking emission trading systems Prospects and issues for business, CARBON TRUST REPORT, Aug. 2009.
20. Michael Mehling &; Haites Erik, Mechanisms for linking emissions trading schemes, CLIMATE POLICY, Vol. 9, Issue 2, 169-184 (2009).
21. PACIFIC CARBON TRUST, SUMMARY NOTE ON THE AMENDED QUÉBEC CAP-AND TRADE REGULATION, available at http://www.pacificcarbontrust.com/assets/Uploads/Carbon-Industry-Intel/Summary-Notes-on-updated-Quebec-Cap-and-Trade-RegulationAug-9.pdf.
22. Ranson Matthew &; Stavins Robert N., Post-Durban Climate Policy Architecture Based on Linkage of Cap-and-Trade Systems, THE CHICAGO JOURNAL OF INTERNATIONAL LAW, Feb. 1, 2013.
23. Raphael Trotignon, Combining cap-and-trade with offset: lessons from the EU-ETS, in CLIMATE POLICY, Vol 12, Issue 3, 2012.
24. THE CLIMATE INSTITUTION, CHINA, JAPAN &; SOUTH KOREA: ACTION ON CARBON AND CLEAN ENERGY, April 2014, available at http://www.climateinstitute.org.au/verve/_resources/TCI_ChinaJapanSouthKorea_Factsheet_April2014.pdf.
25. Trotignon Raphael, Combining cap-and-trade with offset: lessons from the EU-ETS, in CLIMATE POLICY, Vol 12, Issue 3, 2012.
26. Tuerk Andreas, Sterk Wolfgang, Haites Erik, Mehling Michael, Flachsland Christian, Kimura Hitomi, Betz Regina &; Jotzo Frank, Linking emission trading scheme, CLIMATE STRATEGIES, May 2009.
27. World Bank Group, State and Trends of Carbon Pricing, May, 2014, at 18, available at http://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2014/05/27/000456286_20140527095323/Rendered/PDF/882840AR0REPLA00EPI2102680Box385232.pdf.
三、 網路資源
1. Agreement between The California Air Resource Board and The Government du Québec concerning The Harmonization and Integration of Cap-and-Trade Programs for Reducing Greenhouse Gas Emissions.
2. AIR RESOURCES BOARD, STATE OF CALIFORNIA, LINKAGE READINESS REPORT(2013), available at http://www.arb.ca.gov/cc/capandtrade/linkage/arb_linkage_readiness_report.pdf.
3. Assembly Bill No. 32, CHAPTER 488, available at http://www.leginfo.ca.gov/pub/05-06/bill/asm/ab_0001-0050/ab_32_bill_20060927_chaptered.pdf.
4. California cap-and –trade program summary, U.S. POLICY, available at http://www.c2es.org/docUploads/calif-cap-trade-01-14.pdf.
5. California signs linkage agreement with Quebec, releases updated AB 32 scoping plan draft, available at http://www.c2es.org/regional-initiatives/news/2013/california-signs-linkage-agreement-quebec-releases-updated-ab-32-scop.
6. China Plans a Market for Carbon Permits, The New York Times, Sept. 1, 2014, available at http://www.nytimes.com/2014/09/01/business/international/china-plans-a-market-for-carbon-permits.html?_r=0
7. DÉVELOPPEMENT DURABLE, DE L’ENVIRONNEMENT ET DE LA LUTTECONTRE LES CHANGEMENTS CLIMATIQUES, QUEBEC, THE QUÉBEC CAP-AND-TRADE SYSTEM AND THE WCI REGIONAL CARBON MARKET: A HISTORICAL OVERVIEW, available at http://www.mddelcc.gouv.qc.ca/changements/carbone/documents-spede/historical-overview.pdf.
8. DÉVELOPPEMENT DURABLE, DE L’ENVIRONNEMENT ET DE LA LUTTE CONTRE LES CHANGEMENTS CLIMATIQUES, QUÉBEC, THE QUÉBEC CAP-AND-TRADE SYSTEM: STRENGTHS&; ADVANTAGES, available at http://www.mddelcc.gouv.qc.ca/changements/carbone/documents-spede/historical-overview.pdf.
9. DÉVELOPPEMENT DURABLE, DE L’ENVIRONNEMENT ET DE LA LUTTECONTRE LES CHANGEMENTSCLIMATIQUES, QUEBEC, THE CARBON MARKET, available at http://www.mddelcc.gouv.qc.ca/changements/carbone/index-en.htm.
10. European Commission, 2030 framework for climate and energy policies, available at http://ec.europa.eu/clima/policies/2030/index_en.htm.
11. European Commission, The EU Emissions Trading System (EU ETS), A 'cap and trade' system, available at http://ec.europa.eu/clima/policies/ets/index_en.htm.
12. European Commission, Australia and European Commission agree on pathway towards fully linking Emissions Trading systems, available at http://europa.eu/rapid/press-release_IP-12-916_en.htm?locale=en.
13. European Commission, EU ETS 2005-2012, Phase one: 2005-2007, available at http://ec.europa.eu/clima/policies/ets/pre2013/index_en.htm.
14. European Commission, EU ETS 2005-2012, Phase two: 2008-2012, available at http://ec.europa.eu/clima/policies/ets/pre2013/index_en.htm.
15. European Commission, International carbon market, available at http://ec.europa.eu/clima/policies/ets/linking/index_en.htm.
16. European Commission, Memo, available at http://europa.eu/rapid/press-release_MEMO-12-631_en.htm?locale=en.
17. European Commission, MEMO/03/154, available at http://europa.eu/rapid/press-release_MEMO-03-154_en.htm?locale=en.
18. European Commission, The 2020 climate and energy package, available at http://ec.europa.eu/clima/policies/package/index_en.htm.
19. European Commission, The EU Emissions Trading System (EU ETS), available at http://ec.europa.eu/clima/policies/ets/index_en.htm.
20. How Asia Leads on Carbon Emissions Trading, Dec. 20, 2013, available at http://www.themoscowtimes.com/opinion/article/how-asia-leads-on-carbon-emissions-trading/491905.html.
21. Intergovernmental Panel on Climate Change, available at http://www.ipcc.ch/organization/organization.shtml.
22. Liking GHG Emission Trading Schemes and Markets, OECD COM/ENV/EPOC/IEA/SLT (2006)6 (Oct. 25, 2006).
23. Media Relations Ministère du Développement durable, LINKAGE OF QUÉBEC-CALIFORNIA CARBON MARKET: NATIONAL ASSEMBLY GIVES GREEN LIGHT, Nov. 5, 2013, available at http://www.mddelcc.gouv.qc.ca/communiques_en/2013/c20131105-carbon.htm.
24. THE MINISTÈRE DU DÉVELOPPEMENT DURABLE, DE L’ENVIRONNEMENT ET DE LA LUTTE CONTRE LES CHANGEMENTS CLIMATIQUES, QUEBEC, THE QUÉBEC CAP-AND-TRADE SYSTEM AND THE WCI REGIONAL CARBON MARKET: A HISTORICAL OVERVIEW, available at http://www.mddelcc.gouv.qc.ca/changements/carbone/documents-spede/historical-overview.pdf.
25. United Nations Framework Convention on Climate Change, Background on the UNFCCC: The international response to climate change, available at http://unfccc.int/essential_background/items/6031.php
26. United Nations Framework Convention on Climate Change, Clean Development Mechanism, available at https://cdm.unfccc.int/about/index.html.
27. United Nations Framework Convention on Climate Change, International Emissions Trading, available at http://unfccc.int/kyoto_protocol/mechanisms/emissions_trading/items/2731.php.
28. United Nations Framework Convention on Climate Change, Joint implementation, available at http://ji.unfccc.int/index.html.
29. United Nations Framework Convention on Climate Change, Kyoto Protocol, http://unfccc.int/kyoto_protocol/items/2830.php
30. WESTERN CLIMATE INITIATIVE, HISTORY, available at http://www.westernclimateinitiative.org/history.
四、 法規
1. Act on the Allocation and Trading of Greenhouse Gas Emissions Allowances.
2. Consolidated version of Directive 2003/87/EC, of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC, available at http://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:02003L0087-20140430&;from=EN.
3. Council Decision 2002/358/EC, of 25 April 2002 concerning the approval, on behalf of the European Community, of the Kyoto Protocol to the United Nations Framework Convention on Climate Change and the joint fulfilment of commitments thereunder.
4. Directive 2003/87/EC, of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC.
5. Directive 2004/101/EC, of the European Parliament and of the Council of 27 October 2004 amending Directive 2003/87/EC establishing a scheme for greenhouse gas emission allowance trading within the Community, in respect of the Kyoto Protocol’s project mechanisms.
6. Directive 2008/101/EC, of the European Parliament and of the Council of 19 November 2008 amending Directive 2003/87/EC so as to include aviation activities in the scheme for greenhouse gas emission allowance trading within the Community.
7. Environment Quality Act.
8. Health and Safety Code.
9. Regulation respecting a cap-and-trade system for greenhouse gas emission allowances.
10. Title 17, California Code of Regulation.

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