美國加州法規簡介

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第一節 美國加州法規簡介

由於美國是聯邦制國家，美國憲法加以劃分聯邦與各州政府之權限，對於聯 邦事權採列舉式，對各州與人民事權採概括式，所以在美國憲法第一條第八項有 明白列舉專屬於聯邦政府才能行使之權力，在第十條修正案中說明各州政府的權 力係扣除聯邦政府、人民保留權力以及未禁止各州行使之權力²⁵¹，而碳交易機制 法規屬於各州政府之權力，因此係從各州開始發展，再促使國會進行立法，國會 所制定之法規主要在規範美國環保署（Environmental Protection Agency, EPA）對 於溫室氣體減量之監測與報告要件²⁵²，而加州碳交易機制是北美第一個跨部門、

以市場機制為基準的總量管制與交易機制，以降低溫室氣體排放量，其規模僅次 於歐盟碳交易機制²⁵³。於 2006 年，加州簽署了 AB 32，該法案要求 CARB 制定 相關法規及市場機制²⁵⁴，CARB 依據現行法規，執行減排措施之相關條款，若有 違反法規之情形，該法案授權給 CARB 得以按規定收取罰金²⁵⁵。CARB 為負責 執行 AB 32 的主管機關，為了要發展氣候變遷與溫室氣體規範，以及總量管制與 交易機制，該法案授權給 CARB 應先行分析多種影響因素，其中包括經濟影響、

環境影響、公共健康影響、被管制對象的公平性、與其他環境法規的一致性等²⁵⁶。

CARB 在 2011 年 10 月通過了加州總量管制與交易法規，該法規於 2012 年 1 月 1 日生效，履約義務從 2013 年 1 月 1 日開始²⁵⁷。首要適用的管制對象為每 年排放 25000 噸以上二氧化碳的大型電力廠及大型工廠，管制氣體涵蓋京都議定

251 參見林谷蓉，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。

252 SCOTT D.DEATHERAGE,CARBON TRADING LAW AND PRACTICE at 74 (2011).

253 California cap-and –trade program summary, U.S.POLICY, available at

http://www.c2es.org/docUploads/calif-cap-trade-01-14.pdf (last visited May 22, 2015).

254 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 (last visited May 22, 2015).

255 Id.

256 Supra note 252, at 75.

257 California cap-and –trade program summary, U.S.POLICY, supra note 253.

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書的六種氣體：二氧化碳（carbon dioxide, CO2）、甲烷（methane, CH4）、一氧化 二氮（nitrous oxide, N2O）、氫氟碳化物（hydrofluorocarbons, HFCs）、全氟化碳

（perfluorocarbons, PFCs）及六氟化硫（sulphur hexafluoride, SF6），再加上三氟化 氮（nitrogen trifluoride, NF3）等含氟溫室氣體²⁵⁸。

第一管制階段自 2013 年開始，管制對象為電力廠，其包括進口工業原料等，

管制總量約為加州溫室氣體減排量的 35%，約莫為 16 億噸，兩年為一管制期間；

2015 年則進入第二階段，除了第一階段規範的管制對象以外，管制對象範圍擴 展到運輸燃料經銷商，包括供熱與運輸燃料等²⁵⁹，還有天然氣以及其他燃料經銷 商，其管制總量約為加州溫室氣體排放量的 85%，約莫為 39 億噸²⁶⁰。加州碳交 易機制預計在 2013 年到 2020 年之間，相較於 1990 年將可減少超過 16%的溫室 氣體排放²⁶¹。

加州總量管制與交易制度配額分配的方式為對於電力公共事業、工廠設施，

以及天然氣經銷商則有免費的配額分配，其電力公共事業不包括電力發電機，免 費的配額會隨著時間而減少，其他配額則必須要透過拍賣或是交易來購買²⁶²。 2013 年電力廠與一般工廠所規定的總量約為 16 億噸，2015 年包括了所有被規範 的管制對象約為 39 億噸，2020 年時，則為 33 億噸²⁶³。在 2012 年時，加州通過 議會法案第 1532 號（Assembly Bill 1532, Pérez, Chapter 807, Statutes of 2012，以 下簡稱為 AB 1532）、參議院法案第 535 號（Senate Bill 535, De León, Chapter 830, Statutes of 2012，以下簡稱為 SB 535）、參議院法案第 1018 號（Senate Bill 1018,

258 17 CCR § 95810: “This article applies to the following greenhouse gases: carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), sulfur hexafluoride (SF6). hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), nitrogen trifluoride (NF3), and other fluorinated greenhouse gases.”, available at

https://govt.westlaw.com/calregs/Document/I7A67A280F96911E1A71C869639C662A0?viewType=Fu llText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Default ) (last visited May 22, 2015).

259 California cap-and –trade program summary, U.S.POLICY, supra note 253.

260 Id.

261 Id.

262 Id.

263 Id.

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Budget and Fiscal Review Committee, Chapter 39, Statutes of 2012，以下簡稱為 SB 1018），以建立溫室氣體基金（Greenhouse Gas Reduction Fund, GGRF），並提供 拍賣所得如何處理的法規框架²⁶⁴。拍賣是一季舉辦一次，拍賣價格為統一價格， 行處罰，是否應要進行處罰，可藉由健康與安全準則（Health and Safety Code）

之第 38580 條²⁶⁸來進行評估，至於處罰的程度，則由 CARB 依據健康與安全準

264 AIR RESOURCES BOARD, STATE OF CALIFORNIA,AUCTION PROCEEDS IMPLEMENTING LEGISLATION, available at http://www.arb.ca.gov/cc/capandtrade/auctionproceeds/implementinglegislation.htm (last visited May 22, 2015).

265 California cap-and –trade program summary, U.S.POLICY, supra note 253.

266 17 CCR, §96014: “(a) If an entity fails to surrender a sufficient number of compliance instruments to meet its compliance obligation as specified in sections 95856 or 95857, and the procedures in 95857(c) have been exhausted, there is a separate violation of this article for each required compliance instrument that has not been surrendered, or otherwise obtained by the Executive Officer under 95857(c). (b) A separate violation accrues every 45 days after the end of the Untimely Surrender Period pursuant to section 95857 for each required compliance instrument that has not been surrendered. (c) It is a violation to submit any record, information or report required by this article that: (1) Falsifies, conceals, or covers up by any trick, scheme or device a material fact; (2) Makes any false, fictitious or fraudulent statement or representation; (3) Makes or uses any false writing or document knowing the same to contain any false, fictitious or fraudulent statement or entry; or (4) Omits material facts from a submittal or record. (5) A fact is material if it could probably influence a decision by the Executive Officer, the Board, or the Board’s staff. (d) The violations stated in section 96014(c) are additional to violations of any obligations of any entity subject to this regulation under other provisions of this article requiring submissions to ARB to be true, accurate and complete.”

267 17 CCR, §96013: “Penalties may be assessed pursuant to Health and Safety Code section 38580 for any violation of this article as specified in section 96014. In determining any penalty amount, ARB shall consider all relevant circumstances, including the criteria in Health and Safety Code section 42403(b).”

268 Health and Safety Code Section 38580: “(a) The state board shall monitor compliance with and enforce any rule, regulation, order, emission limitation, emissions reduction measure, or market-based compliance mechanism adopted by the state board pursuant to this division. (b) (1) Any violation of any rule, regulation, order, emission limitation, emissions reduction measure, or other measure adopted by the state board pursuant to this division may be enjoined pursuant to Section 41513, and the violation is subject to those penalties set forth in Article 3 (commencing with Section 42400) of Chapter 4 of Part 4 of, and Chapter 1.5 (commencing with Section 43025) of Part 5 of, Division 26. (2) Any violation of any rule, regulation, order, emission limitation, emissions reduction measure, or other measure adopted by the state board pursuant to this division shall be deemed to result in an emission of an air contaminant for the purposes of the penalty provisions of Article 3 (commencing with Section 42400) of Chapter 4 of Part 4 of, and Chapter 1.5 (commencing with Section 43025) of Part 5 of, Division 26. (3) The state board may develop a method to convert a violation of any rule, regulation,

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則第 42403 條(b)²⁶⁹來加以考量。加州允許可用抵銷（offset）的減排量滿足應減 排量，但上限為所持有核配量的 8%，非為承諾減量的 8%²⁷⁰。而溢額抵銷計劃

（offset credits project）必須要受 CARB 抵銷履約規範（CARB Compliance Offset Protocol）管制²⁷¹。溢額抵銷計畫須經由 CARB 批准登錄（ARB approved Offset Project Registry），現今已被批准為登錄機關的有美國碳登錄（American Carbon Registry, ACR）及氣候儲備行動（Climate Action Reserve）²⁷²。另外，如美國林 木業、畜牧業、臭氧物質耗盡等，這些於 2015 年 1 月 1 日之後所登錄的履約性 抵銷計畫（Compliance Offset Program），仍適用 2014 年 11 月的履約性抵銷條款

（Compliance Offset Protocols）²⁷³。

加州碳交易機制主要的修訂條款在於登錄程序及所需要的資訊，如第 95830 條(c)²⁷⁴為若要向 CARB 申請登錄，應要包含的登錄資訊要件，以及要隨時更新

order, emission limitation, or other emissions reduction measure adopted by the state board pursuant to this division into the number of days in violation, where appropriate, for the purposes of the penalty provisions of Article 3 (commencing with Section 42400) of Chapter 4 of Part 4 of, and Chapter 1.5 (commencing with Section 43025) of Part 5 of, Division 26. (c) Section 42407 and subdivision (i) of Section 42410 shall not apply to this part.”

269 Health and Safety Code Section 42403(b): “(b) In determining the amount assessed, the court, or in reaching any settlement, the district, shall take into consideration all relevant circumstances, including, but not limited to, the following:

(1) The extent of harm caused by the violation.

(2) The nature and persistence of the violation.

(3) The length of time over which the violation occurs.

(4) The frequency of past violations.

(5) The record of maintenance.

(6) The unproven or innovative nature of the control equipment.

(7) Any action taken by the defendant, including the nature, extent, and time of response of the cleanup and construction undertaken, to mitigate the violation.

(8) The financial burden to the defendant.”

270 California cap-and –trade program summary, U.S.POLICY, available at

http://www.c2es.org/docUploads/calif-cap-trade-01-14.pdf (last visited May22, 2015).

271 17 CCR, Subarticle 13: ARB Offset Credits and Registry Offset Credits, available at

https://govt.westlaw.com/calregs/Browse/Home/California/CaliforniaCodeofRegulations?guid=I81C4C 3F07FC011E19772DE7EC34FB4E8&originationContext=documenttoc&transitionType=Default&cont extData=(sc.Default) (last visited May 22, 2015).

272 California cap-and –trade program summary, U.S.POLICY, supra note 253.

273 Id.

274 17 CCR § 95830(c): “Requirements for Registration.

(1) An entity must complete an application to register with ARB for an account in the tracking system that contains the following information:

(A) Name, physical and mailing addresses, and contact information, type of organization, date and place of incorporation;

(B) Names and addresses of the entity's directors and officers;

(C) Names and contact information for persons controlling over 10 percent of the voting rights attached

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to all the outstanding voting securities of the entity;

(D) A business number, if one has been assigned to the entity by a California state agency;

(E) A U.S. Federal Tax Employer Identification Number, if assigned;

(F) Data Universal Numbering System number, if assigned;

(G) Statement of basis for qualifying for registration pursuant to sections 95811, 95813, or 95814; and (H) Identification of all other entities with whom the entity has a direct corporate association or indirect corporate association that must be reported pursuant to section 95833(d), and a brief description of the association. When identifying direct corporate associations pursuant to section 95833(d) that are not registered in the Cap-and-Trade Program or in a GHG ETS to which California has linked pursuant to subarticle 12, an entity may opt to limit this identification by disclosing only those unregistered direct corporate associated entities that participate in a market related to the Cap-and-Trade Program in accordance with section 95830(c)(1)(H)1. Notwithstanding this option of a more limited disclosure, a registered entity that has a direct or indirect corporate association with another registered entity must always disclose the identity of all entities involved in the line of direct or indirect corporate

associations between the two registered entities, even if such entities are not registered. An entity completing an application to register with ARB and for an account in the tracking system, or updating its information pursuant to sections 95833 and 95830(f)(1), must provide all applicable information required by section 95833(d)(1)-(2), or, for unregistered direct corporate associations only, the entity may opt to comply by disclosing unregistered direct corporate associations in accordance with section 95830(c)(1)(H)1.

1. As an alternative to disclosing all unregistered direct corporate associations pursuant to section 95833(d), an entity may disclose those unregistered direct corporate associated entities that trade, sell, or purchase for resale any natural gas, oil, electricity, or greenhouse gas emission instrument, or natural gas, oil, electricity, or greenhouse gas emission instrument derivative or swap on exchanges. To disclose unregistered direct corporate associations, an entity also may submit the most recent information submitted to another government agency in the United States on one or more of the following official governmental forms or documentation as needed to meet the required disclosure: (1) Exhibit 21 of the Form 10-K submitted to the Securities and Exchange Commission by the registrant or an affiliate of the registrant; (2) the application for market-based rate authority, or update to such application, submitted by the registrant or an affiliate of the registrant to the Federal Energy Regulatory Commission pursuant to 18 CFR Part 35 and Order 697; (3) the application for registration with the National Futures Association, or update to such application, submitted by the registrant or an affiliate of the registrant as required by the Commodity Futures Trading Commission pursuant to the

Commodity Exchange Act; (4) Form 40 or Form 40S filed by the registrant or an affiliate of the registrant in accordance with the Commodity Futures Trading Commission's reporting rules; and/or (5) Part 1A of a Form ADV filed with the Securities and Exchange Commission by a registered investment advisor responsible for managing the registrant.

(I) Names and contact information for all persons employed by the entity with knowledge of the entity's market position (current and/or expected holdings of compliance instruments and current and/or expected covered emissions).

(J) Information required under section 95923 for individuals serving as Cap-and-Trade Consultants and Advisors for entities participating in the Cap-and-Trade Program.

…”, available at

https://govt.westlaw.com/calregs/Document/I1B2B55909A3011E4A28EDDF568E2F8A2?viewType=

FullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Def ault) (last visited May 22, 2015).

275 17 CCR § 95830(g): “Information Confidentiality. The following information collected about individuals during the registration process will be treated as confidential by the Executive Officer and the accounts administrator to the extent possible, and except as needed in the course of oversight, investigation, enforcement and prosecution:

(1) Information collected pursuant to section 95830(c)(1)(B), (C), (I) and (J);

(2) Information collected about individuals pursuant to section 95834; and

(3) Information collected about individuals pursuant to section 95832.”, available at

https://govt.westlaw.com/calregs/Document/I1B2B55909A3011E4A28EDDF568E2F8A2?viewType=

FullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Def ault) (last visited May 22, 2015).

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加州政府為增進碳市場連結後的交易安全性，詳加規範登錄資訊的完整性，並同 時保障市場參與者的登錄資訊。其他修訂則為避免配額被竊盜的安全措施，並提 供拍賣的執行細節及儲存量銷售的操作²⁷⁶。

在文檔中 碳交易市場連結之法律研究 - 政大學術集成 (頁 62-67)