美國加州與加拿大魁北克省連結歷程與現況

302 Regulation respecting a cap-and-trade system for greenhouse gas emission allowances, Division IV, Section 56: “Only emitters registered in the system in accordance with this Regulation, having a covered establishment in Québec and not holding emission units in their general account that can be used to cover GHG emissions for the current compliance period are eligible for a sale of emission units by mutual agreement in accordance with this Division.”

303 Regulation respecting a cap-and-trade system for greenhouse gas emission allowances, Division IV, first paragraph of Section 57: “The Minister organizes a sale of emission units by mutual agreement in a determined place or online, at most 4 times per year.”

304 Regulation respecting a cap-and-trade system for greenhouse gas emission allowances, Division IV, Section 58: “The emission units placed in the reserve account are divided equally into 3 categories and are sold at the following prices:

(1) for reserve emission units in Category A, $40 per emission unit;

(2) for reserve emission units in Category B, $45 per emission unit;

(3) for reserve emission units in Category C, $50 per emission unit.

Beginning in 2014, the prices indicated in the first paragraph are increased annually by 5% and adjusted in the manner provided for in section 83.3 of the Financial Administration Act (chapter A-6.001).”

305 Id.

306 Regulation respecting a cap-and-trade system for greenhouse gas emission allowances, Division IV, Section 59: “Every emitter that wishes to purchase emission units at a sale by mutual agreement must, at least 30 days before the sale, register with the Minister as a purchaser by submitting the following information and documents:

(1) the emitter's name, contact information and compliance account number;

(2) the names of the emitter's account representatives;

(3) a financial guarantee in Canadian dollars, valid for a period of at least 26 days following the date of the sale, in one of the forms referred to in the second paragraph of section 48.”

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Administrative Procedure Act, Government Code sections 11340 et seq.）經由公告並 徵求公眾意見後，該部門才得以認可與境外碳交易機制進行連結。第 95942 條³¹⁰

307 17 CCR § 95972(c): “Geographic Applicability. A Compliance Offset Protocol must specify where the protocol is applicable. The geographic boundary must be within the United States, United States Territories, Canada, or Mexico.”, available at

https://govt.westlaw.com/calregs/Document/I228692F09A3011E4A28EDDF568E2F8A2?viewType=F ullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Defau lt) & § 95973(a)(3): “Is located in the United States, United States Territories, Canada, or Mexico.”, available at

https://govt.westlaw.com/calregs/Document/I22A7FDA09A3011E4A28EDDF568E2F8A2?viewType=

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

308 17 CCR § 95940: “A compliance instrument issued by an external greenhouse gas emissions trading system (GHG ETS) may be used to meet the requirements of this Article if the external GHG ETS and the compliance instrument have been approved pursuant to this section and section 95941.”, available at

https://govt.westlaw.com/calregs/Document/I80B7C0C07FC011E19772DE7EC34FB4E8?viewType=F ullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Defau lt) (last visited May 22, 2015).

30917 CCR § 95941: “The Board may approve a linkage with an external GHG ETS after public notice and opportunity for public comment in accordance with the Administrative Procedure Act (Government Code sections 11340 et seq.). Provisions set forth in this Article shall specify which compliance instruments issued by a linked GHG ETS may be used to meet a compliance obligation under this Article.”, available at

https://govt.westlaw.com/calregs/Document/I80FB80807FC011E19772DE7EC34FB4E8?viewType=F ullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Defau lt)&bhcp=1 (last visited May 22, 2015).

31017 CCR § 95942:“(a) Once a linkage is approved, a compliance instrument issued by the approved external GHG ETS, as specified in this section, may be used to meet a compliance obligation under this Article.

(b) An allowance issued by an approved external GHG ETS and specified in this section is not subject to the quantitative usage limit specified in section 95854.

(c) An offset credit or sector-based credit issued by an external GHG ETS is subject to the quantitative usage limit specified in section 95854, when used to meet a compliance obligation under this Article.

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(d) Once a linkage is approved, a compliance instrument issued by California may be used to meet a compliance obligation within the approved External GHG ETS.

(e) Once a linkage is approved, a compliance instrument issued by the linked jurisdiction may be used to meet a compliance obligation in California.

(f) The administrator of the approved External GHG ETS must agree to inform the Executive Officer of any of the serial numbers of California compliance instruments that the External GHG ETS accepts for compliance.

(g) The Executive Officer will agree to inform the appropriate official in the approved External GHG ETS of any of the serial numbers of compliance instruments accepted by California for compliance.

(h) The Executive Officer will register into the Retirement Account compliance instruments issued by California that are used for compliance within the approved External GHG ETS, along with

information identifying the External GHG ETS actually retiring the compliance instruments.”, available at

https://govt.westlaw.com/calregs/Document/I21DF08509A3011E4A28EDDF568E2F8A2?viewType=F ullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Defau lt) (last visited May 22, 2015).

311 17 CCR § 95854:“(a) Compliance instruments identified in section 95820(b) and sections 95821 (b), (c), and (d) are subject to a quantitative usage limit when used to meet a compliance obligation. (b) The total number of compliance instruments identified in section 95854(a) that each covered entity may surrender to fulfill the entity’s compliance obligation for a compliance period must conform to the following limit:

OO /S must be less than or equal to LO In which:

OO = Total number of compliance instruments identified in section 95854(a) submitted to fulfill the entity’s compliance obligation for the compliance period.

S = Covered entity’s compliance obligation.

LO = Quantitative usage limit on compliance instruments identified in section 95854(a), set at 0.08.

(c) The number of sector-based offset credits that each covered entity may surrender to meet the entity’s compliance obligation for a compliance period must not be greater than 0.25 of the LO for the first and second compliance periods and not more than 0.50 of the LO for subsequent compliance periods.”

312 17 CCR § 95942:“(b) An allowance issued by an approved external GHG ETS and specified in this section is not subject to the quantitative usage limit specified in section 95854.

(c) An offset credit or sector-based credit issued by an external GHG ETS is subject to the quantitative usage limit specified in section 95854, when used to meet a compliance obligation under this Article.”, available at

https://govt.westlaw.com/calregs/Document/I21DF08509A3011E4A28EDDF568E2F8A2?viewType=F ullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Defau lt) (last visited May 22, 2015).

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（APPENDIX B.1）³¹⁵中，有特別允許承認可使用美國加州碳交易機制的碳排放 量，其魁北克與加州兩個碳交易機制減排單位之對應關係整理如下表一：

313 17 CCR § 95942:“(f) The administrator of the approved External GHG ETS must agree to inform the Executive Officer of any of the serial numbers of California compliance instruments that the External GHG ETS accepts for compliance.

(g) The Executive Officer will agree to inform the appropriate official in the approved External GHG ETS of any of the serial numbers of compliance instruments accepted by California for compliance.

(h) The Executive Officer will register into the Retirement Account compliance instruments issued by California that are used for compliance within the approved External GHG ETS, along with

information identifying the External GHG ETS actually retiring the compliance instruments.”, available at

https://govt.westlaw.com/calregs/Document/I21DF08509A3011E4A28EDDF568E2F8A2?viewType=F ullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Defau lt) (last visited May 22, 2015).

314 17 CCR § 95943: “Covered or opt-in entities may use compliance instruments issued by the following programs to meet their compliance obligation under this article:

(a) Government of Quebec (effective January 1, 2014).”, available at

https://govt.westlaw.com/calregs/Document/I220973B09A3011E4A28EDDF568E2F8A2?viewType=F ullText&originationContext=documenttoc&transitionType=CategoryPageItem&contextData=(sc.Defau lt) (last visited May 22, 2015).

315 Regulation respecting a cap-and-trade system for greenhouse gas emission allowances, APPENDIX B.1 Partner entities : “(1) State of California

The emission allowances issued by the State of California pursuant to the document California Cap on Greenhouse Gas Emissions and Market-Based Compliance Mechanisms, Title 17, California Code of Regulations, Sections 95800 and seq. are deemed to be equivalent to the emission allowances issued pursuant to this Regulation, based on the correspondence indicated in the following table for each type of emission allowance:”

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316 Regulation respecting a cap-and-trade system for greenhouse gas emission allowances, APPENDIX B.1 Partner entities :

Québec California

Types of emission allowance

(each having a value

corresponding to 1 metric

tonne CO2 equivalent)

Emission unit California Greenhouse Gas

Emissions Allowance (CA

GHG Allowance) Early reduction credit

Offset credit ARB Offset Credit

Early Action Offset Credit

317 Environment Quality Act, Section 46.14: “The Minister may, in accordance with the Act respecting the Ministère des Relations internationales (chapter M-25.1.1) or the Act respecting the Ministère du Conseil exécutif (chapter M-30), enter into an agreement with a government other than that of Québec, with a department of such a government, with an international organization or with an agency of such a government or organization for the harmonization and integration of cap-and-trade systems.

Such an agreement may provide for

(1) the reciprocal recognition of the emission allowances granted under the different cap-and-trade systems and how they correspond to each other;

(2) the consolidation of registers; and

(3) the mutual recognition of decisions made by the competent authorities regarding the suspension, withdrawal or cancellation of emission allowances.

The Government may, by regulation, take the necessary measures to give effect to an agreement entered into under this section.”

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318 Regulation respecting a cap-and-trade system for greenhouse gas emission allowances, Section 37:

“The following emission allowances may be traded through the system and used for compliance purposes:

(1) every emission unit and early reduction credit referred to in this Title;

(2) every offset credit issued by the Minister pursuant to subparagraph 2 of the first paragraph of section 46.8 of the Environment Quality Act (chapter Q-2);

(3) every emission allowance issued by a partner entity, according to the rules for the equivalent types of emission allowances issued under this Regulation, as indicated in Appendix B.1

Despite the first paragraph, the following emission allowances may not be traded or used for compliance purposes:

(1) any emission allowance that has been suspended, cancelled or extinguished by the Minister or by a partner entity;

(2) any emission allowance that has been used for compliance purposes under another cap-and-trade system for GHG emission allowances or GHG emissions reduction program.”

319 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.關於美國州政府是否得以與國外政府締約，美國憲法第一條第十款規定，未經國

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本協定之第一條說明加州與魁北克之連結目標為共同降低溫室氣體排放量，

進行雙邊溫室氣體排放報告系統與總量管制與交易機制整合³²⁰。第二條為兩地方 政府連結後之名詞統一定義說明，在本協定中所謂的拍賣係指任一方在拍賣平台 拍賣銷售指定數量的配額。而履約方式可以是由任一方所發行可使用的加州的減 排配額、魁北克的減排配額、抵銷配額或是早期減排溢額，以上即為了要達成履 約目的。而兩國地方政府連結後的管制氣體為二氧化碳、甲烷、一氧化二氮、氫 氟碳化物、全氟化碳、六氟化硫以及三氟化氮。另外有抵銷協議（offset protocol）， 抵銷協議規範基於抵銷計畫所產生的溫室氣體減排程序及條件³²¹。

第三條說明雙方為達到本協定之目標，雙方應先行商議，商議的過程係建立 於雙方的合作關係上，且雙方的參謀人員應在雙方的官方指導下進行合作³²²。第 四條為關於雙方各自對於溫室氣體減量及總量管制與交易機制的法規，應要為了 能提升彼此的調和及整合情形，而要繼續檢視³²³。若雙方發現雙方的機制有所牴 觸時，雙方應決定是否有需要為了整合碳交易機制而作調整，若有需要調整時，

雙方應要先行商議調整的方式，且若有調整改變時，必須要給公眾審查及建議，

才得以核准通過³²⁴。

第五條為了要調和並整合雙方的總量管制與交易機制，雙方在法規中有抵銷 條款時，承諾所有可被抵銷的減排量，應要維持實質化、永久的、可被驗證、以 及可被執行的特質³²⁵。任一方應考量到各自的抵銷條款、需要增加額外的抵銷條 款，或是改變抵銷溢額的發行，為了要維持連結機制的調和與整合性，任何的改 變應該要予以公眾審閱的時間³²⁶。第六條說明應要在各自的總量管制與交易機制 法規中規範雙方相互承認的履約方法，若該履約方法不再使用，則必須要通知另

320 Id. art. 1.

321 Id. art. 2.

322 Id. art. 3.

323 Id. art. 4.

324 Id. art. 4.

325 Id. art. 5.

326 Id. art. 5.

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一方³²⁷。而第七條則規範履約方法的交易相關事項會於各自的總量管制與交易機 制法規中規定，雙方應持續通知對方有關於但不限於職責上的調查³²⁸。第八條規 範在各自機制中配額的共同拍賣應遵循由雙方協調好的程序來進行及要統一登 錄制度³²⁹。第九條則進一步規範雙方應合作發展一個共同可使用、可進行登錄及 拍賣的電子交易平台，美國與加拿大在這個交易平台上皆能使用自己國家的語言 及交易單位，且交易平台的運作應要符合雙方的法規與執行程序³³⁰。

協定第三章為本協定執行規範，為促進兩個碳交易機制連結之整合及調和，

雙方應積極合作，確保連結的執行，如共同拍賣、監督交易等，且應組成一商議 委員會，監督碳交易機制連結之有效執行，每年定期報告整合碳交易機制之結果

331。第四章與第五章為其他規定條款，為了要讓雙方連結順利執行，雙方必須交 換各自碳交易機制的訊息，一旦雙方揭露彼此碳交易機制訊息，則必須要遵守其 保密條款，且雙方要隨時更新彼此碳交易機制的訊息，若要對公眾發佈訊息時，

也必須要共同發佈其訊息³³²。另外，第十六、十七、十八條，分別為若其中一方 要放棄其連結，則必須要在 12 個月以前先行以書面告知；若本協定有修正的地 方，也要以書面為主；若雙方有差異性需要進行調合，可先進行彼此的諮商討論 其解決之道³³³。

第四節 小結

加州與魁北克碳交易機制進行雙邊連結自 2014 年開始，至今已有一段時間，

檢視兩個碳交易機制之連結法規，歸納出兩個碳交易機制分別對單邊連結及雙邊

327 Id. art. 6.

328 Id. art. 7.

329 Id. art. 8.

330 Id. art. 9.

331 Id. art. 10, 11, 12.

332 Id. art. 13, 14, 15.

333 Id. art. 16, 17, 18.

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連結皆有規範。加州對於單邊連結的規範包括對抵銷量的上限規範及抵銷程序與 要件，其適用範圍為美國境內、加拿大或是墨西哥區域，對於雙邊連結亦有連結 程序規範；而魁北克對於單邊連結包括有對抵銷量的上限限制、管制氣體範圍，

連結皆有規範。加州對於單邊連結的規範包括對抵銷量的上限規範及抵銷程序與 要件，其適用範圍為美國境內、加拿大或是墨西哥區域，對於雙邊連結亦有連結 程序規範；而魁北克對於單邊連結包括有對抵銷量的上限限制、管制氣體範圍，

在文檔中 碳交易市場連結之法律研究 - 政大學術集成 (頁 73-82)