目前，我国经济社会发展正处于转型阶段，环境管理也处在战略转型的关键时期，如何适当引入市场机制来改善环境质量、提高环境管理效率尤为重要。我国已在7个试点省份开展了碳排放交易，上海也是其中之一。对上海碳排放交易的制度框架体系、市场交易情况、减排效果与减排成本等三个方面进行现状梳理和绩效评价，得出的主要结论如下：第一，上海碳排放交易已初步形成基本的制度框架体系，但也存在一些问题，如缺乏法律保障，未建立基础数据统计体系，在配额总量、具体分配计划、碳排放监测与核查等方面缺乏信息透明度，缺乏配额拍卖的机制设计等。第二，碳市场流动性不足。其主要原因在于配额总量目标设定较为宽松，行业覆盖范围过宽，对投资主体开放程度较低，以现货交易为主等。第三，由于信息不透明、碳市场运行时间尚短等客观因素，目前还较难准确判断上海碳排放交易体系的减排效果和减排成本。为弥补上述不足，通过美国排污权交易和欧盟碳排放交易在减排效果、减排成本、技术投资和创新等方面的评价，指出合适的排污权交易制度设计可以达到成本有效性。第四，针对目前上海碳排放交易体系存在的问题，提出了相应的政策建议，包括确立碳排放权交易的法律地位、建立碳排放的基础数据统计体系、建立配额拍卖机制、建立信息披露机制、增强市场流动性。另外，上海碳排放交易以及国外排污权交易的实践经验对上海今后进一步开展排污权交易有较强的借鉴意义。
Nowadays，China is on the transformation stage of economic and social development，and at the same time its environmental management is on the critical period of strategy transition. Thus，it is important to introduce market mechanism to improve environmental quality and the efficiency of environmental management. China has implemented carbon emissions trading scheme（ETS）in seven provinces and cities，and Shanghai is one of the pilots. This chapter summarizes the current situation of Shanghai’s ETS and assesses its performance on institutional framework，market transaction，emission reduction results and abatement cost. The main conclusions are made as follows：Firstly，Shanghai’s ETS has formed basic institutional framework while there are some problems such as lacking legal protection，lacking basic data and statistics system，lacking information transparency on the cap，detailed allowance distribution plan，emission monitoring and verification，lacking allowance auction mechanism design. Secondly，Shanghai’s carbon market is lack of liquidity. The reasons include the loose cap，the extensive coverage of industries，the low openness to the investors，spot transactions and so on. Thirdly，due to lack of information transparency and the short implementation period，it is hard to evaluate its emission reduction results and abatement cost. In order to make up for the above deficiency，this chapter concludes the performance evaluation of emissions trading systems in the United States and EU ETS，mainly focusing on emission reduction results，abatement cost，technology investment and innovation. It points out that the suitable policy design of emission trading can reach cost efficiency. Finally，based on the current problems，policy suggestions are proposed，including ensuring the legal status of carbon emissions trading，building basic data and statistics system，establishing the allowance auction mechanism，setting up information disclosure mechanism. Furthermore，the experiences of Shanghai’s ETS and emissions trading systems abroad can provide some enlightenment for Shanghai’s emission trading in the future.
