Trial Measures For The Carbon Emissions Management In Shanghai

Original Language Title: 上海市碳排放管理试行办法

Read the untranslated law here: http://www.chinalaw.gov.cn/article/fgkd/xfg/dfzfgz/201506/20150600399493.shtml

Trial measures for the carbon emissions management in Shanghai

    (November 6, 2013 the 29th Executive meeting of the Municipal Government of November 18, 2013 10th Shanghai people's Government promulgated as of November 20, 2013) Chapter I General provisions

Article I (purpose and basis)

    In order to promote corporate carbon emissions control responsibility to achieve carbon emission control targets in the city, standardizing management activities related to the city's carbon emissions, promote healthy development of carbon emissions trading market in the city, according to the State Council of the "Twelve-Five" controlling greenhouse gas emissions and other relevant provisions of the programme of work, combined with the city's actual, these measures are formulated.

Article II (scope of application)

    The measures shall apply to the distribution of carbon emissions allowances within the administrative area of the city, settlement, trading and emissions monitoring, reporting, verification, validation and other related management activities.

Article III (management)

City development and reform is the carbon management Department, responsible for the city's carbon emissions management integrated coordination, implementation and monitoring of safeguards.

The city economic information, building traffic, Commerce, transportation, ports, tourism, finance, statistics, quality and technical supervision, finance, State-owned and other sectors in accordance with their respective responsibilities, to coordinate the implementation of these measures.

    The duties of administrative penalty as provided herein by the municipal development and Reform Commission of Shanghai energy conservation supervision Center performance.

Fourth (training)

    The municipal development and reform Department and relevant departments should strengthen the carbon emissions management communication, training, encourage enterprises and social organizations to participate in carbon emissions control activities.

    Chapter II administration of quotas

Fifth (the quota management system) The city's carbon emissions quota management system.

Annual emissions meet the stipulated emission units, included in the quota management; other emission units can apply to the municipal development and reform Department into the quota management. Into the quota management of industry-wide unit scale of carbon emissions is determined and adjusted by the municipal development and reform Department, in conjunction with the relevant departments in charge of industry development, and approval of the City Government.

    List of emission units into the quota management published by the municipal development and reform Department.

Sixth (total control)

According to the total carbon dioxide emissions in this city state-controlled binding targets for greenhouse gas emissions, combined with the city's economic growth targets and controlling the energy consumption targets to be determined.

    Units into the quota management should be based on the carbon dioxide emissions, control their own carbon emissions and meet carbon emissions quota for control, monitoring, reporting, and settlement of the liability.

Seventh (distribution)

Municipal development and reform Department shall, in conjunction with relevant departments to develop the city's carbon emissions quota programme, specific quota allocation principles, methods and procedures and other matters, and approval of the City Government.

    Quota allocation in programme formulation must be heard into the quota management unit, the views of relevant experts and social organizations.

Eighth (quotas) to

    Should be integrated into the municipal development and reform Department historical carbon emissions quota management unit level, industry characteristics and advance energy conservation and emissions reduction factors, methods of taking historical emissions, baseline, identifying units of carbon dioxide emissions.

Nineth (quota)

    City development and reform, carbon emissions, should be based on the control objectives and plans, free or paid, through a quota system for the registration, to include units assigned quotas for quota management.

Tenth (inherited quota)

Merge into quota management unit, its quota and the existence of the rights and obligations resulting from the combination of unit or new unit inherits. Included in the quota administration unit is divided, facilities should be based on the emission of belonging, developing reasonable quota to spin off programmes, and report to the municipal development and reform Department.

    Their quotas and the corresponding rights and obligations by units inherited after the Division has facilities.

    Chapter III verification and carbon emission quotas paid

11th (monitoring system)

Into quota management unit shall, before December 31 in each year, the next annual carbon emissions monitoring plans, specifically monitoring, monitoring, frequency, and responsibility for such content, and report to the municipal development and reform Department. Into the quota management units shall improve their quantitative management, strictly in accordance with the monitoring plan monitoring.

    Significant changes in the monitoring plan shall promptly report to the municipal development and reform Department.

12th (reporting)

Into quota management unit shall before March 31 in each year, an annual emissions report on the preparation of the unit and report to the municipal development and reform Department.

Annual carbon emissions by 10,000 tons or more but have not yet been incorporated into the emission quota management unit shall before March 31 in each year, on the submission to the municipal development and reform Department annual report on carbon emissions.

    Units should be submitted to the carbon reporting about the reported data and information authenticity, integrity, responsibility.

13th (carbon emissions verification system) Carbon verification regime established in this city, bodies in quota management units to be submitted by a third party verification of reports of emissions of carbon, and before April 30 in each year, verification reports to the municipal development and reform Department.

Municipal development and reform Department may authorize third party verification; according to the city's carbon emissions management plans, can also be included in the quota management unit entrusted third party verification. In the process of verification, into quota management unit should work with third-party agencies, provide relevant documents and information.

Third party agencies and their staff should comply with the relevant provisions of national and municipal, independent, impartial verification of carbon emissions.

    Third party verification should be normative, authenticity, and accuracy of the reports, and verification of trade secret and carbon emissions data confidential.

14th (third party management)

    The municipal development and reform authorities should establish adapt with carbon verification of third party records system and verification rules, established third party institutions to the public and to third-party agencies strengthen supervision and management and verification of carbon emissions.

15th (validation of the annual carbon emission) The municipal development and reform Department shall receive the verification report issued by a third party within 30th of, based on its verification report, combined with emissions reporting, audited the annual carbon emission, and notice the validation results into quota management unit.

Carbon reporting and verification and approval by the municipal development and reform Department copy to the departments.

Any of the following circumstances, the municipal development and reform authorities should review organizational units into the quota management and validation of the annual carbon emissions:

(A) the annual carbon emission reporting and verification of annual carbon emissions identified in the report is 10%, or more than 100,000 tons;

(B) the annual carbon emissions carbon emission differ by more than 20% with the previous year;

(C) unit verification into the quota management disagrees with the report, and provide relevant supporting documents;

    (D) the other to review the situation.

16th (quotas and payment) Into quota management unit should be from June 1 to June 30 of each year, based on audited last year by the municipal development and reform Department of carbon emissions, through a registration system, in full submission quotas to fulfil payment obligations.

Into the quota management units are used to paying quotas, log off in the registration system. The quota should be used to pay for the previous year or previous annual quota; quota to meet payment obligations for the employer, you can trade, buy quota for settlement.

    Quota balances can be used in a subsequent year, can also be used for CAP and trade.

17th (offset)) Included in quota management unit can be a percentage of the national certification of voluntary emissions reductions (CCER) used for the quotas paid. Used when paying per ton, national certification of voluntary emissions reductions equivalent to 1 ton of carbon dioxide emissions.

National certification of voluntary emissions reductions the proportion paid by the municipal development and reform Department and to the public.

    Into the quota management unit in the city, in its emissions within the boundaries of national certification of voluntary emissions reductions should not be used for the quota settlement of the city.

18th (shut down and move out of settlement) Included in quota management unit disbanded, cancellation, stop manufacturing operations or moved out of the city shall be in the 15th, and report carbon emissions in that year to the municipal development and reform.

After receiving the report, the municipal development and reform Department, institution on the unit's carbon emissions by a third party verified and audited carbon emissions that year by the municipal development and reform Department. Into quota management unit under the municipal development and reform Department audited results complete the quota settlement of the obligation.

    The unit has subsequently obtained free annual quota of 50%, recovered by the municipal development and reform Department.

    The fourth chapter CAP and trade

19th (quota system)

The city's carbon emissions trading system, subject to trading carbon emission quotas.

Encouraged to explore innovative carbon emissions trading related products of this municipality.

    Carbon emissions trading platform in Shanghai environment and energy exchange (the "Exchange").

20th (trading rules)

Exchange carbon trading rules should be developed, clear conditions, transactions of the transaction participants participant's rights and obligations, trade procedures, transaction costs, such as exception handling and dispute, after approval by the municipal development and reform released by the Exchange.

    Exchanges should be based on the carbon emission trading rules, developing member management, publishing, settlement delivery as well as risk control and other related business rules, and submitted to the municipal development and reform Department.

21st (trading participant)

    Included in the quota management unit, carbon trading, and in accordance with the rules of other organizations and individuals may participate in the CAP and trade activities.

22nd (Member transaction) Exchange members are divided into the import class members and general members.

Import class members can conduct its business; general members can conduct its business, and can be authorized to engage in business.

    Into quota management unit as a self-employed member of the Exchange, and may apply as an integrated member of the Exchange.

23rd (trade)

    CAP and trade should adopt public bidding, contract transfer and other means consistent with national provisions and the municipality.

24th (traded) Carbon emission quota trading prices, determined by the trading participants in accordance with market supply and demand on its own.

    No unit or individual shall not be fraudulent, collusion, or otherwise, controlling the prices of carbon emissions trading.

25th (information management)
Exchange shall establish a management information system for trading carbon emissions, announced transactions, turnover, turnover and transaction information and timely disclosure may affect the information about significant changes in the market.

    26th (settlement and delivery quotas) Huafu carbon trading funds, opening a special account should be specified through exchanges and clearing bank for processing.

Settlement Bank shall be in accordance with the rules of carbon trading rules, trading capital management and huafu.

    Shall be registered by the registration system for trading carbon emissions, achieving quotas for delivery.

27th (transaction costs) Transaction participants to carry out trading activities shall pay the transaction fees.

    Transaction fee standards by the Municipal Department in charge of price-setting.

28th (risk management)

According to the municipal development and reform Department of economic and social development, emissions control, in conjunction with the departments concerned to take appropriate measures, maintaining stability of the carbon emissions trading market.

Exchange carbon trading risk management should be strengthened, and establish the risk management system:

(A) the price limits system;

(B) the quota limitation of maximum holdings and large reporting system;

(C) the risk warning system;

(D) the risk reserve system;

    (E) other risk management system of the municipal development and reform Department.

29th (exception handling) When the market when an exception occurs, Exchange may take adjustment limits, adjust the trading participants maximum holdings of quota limits, suspended for such emergency measures, and shall report immediately to the municipal development and reform Department.

After the anomaly disappears, Exchange shall cancel the emergency measures in a timely manner.

    Exception referred to in the preceding paragraph, refers to manipulating trading prices of deals or irresistible emergencies and other circumstances of the municipal development and reform Department.

30th (regional trade)

    The city to explore the establishment of trans-regional carbon-trading market, encourage other regional enterprises to participate in the city's carbon emissions trading.

    Fifth chapter, supervision and protection

31st (regulatory)

The municipal development and reform authorities should strengthen the supervision and management on the following activities:

(A) incorporated in quota management unit of carbon emissions monitoring, reporting, and quotas and payment activities;

(B) the activities of the third party verification of carbon emissions;

(C) Exchange quota for carbon emissions trading, settlement, delivery of such activities;

(D) with carbon emission quota management and other activities related to carbon trading.

Supervise and manage the municipal development and reform Department, you can take the following measures:

(A) incorporated in quota management units, Exchange, third parties such as on-site inspections;

(B) asking the parties and units and individuals relevant to the case under investigation;

    (C) consult and copy parties and relating to the case under investigation units and individuals of the carbon emissions trading, financial accounting information as well as other relevant documents and information.

32nd (registration system)

City carbon emission quota register system, unified registration imposed on carbon dioxide emissions.

    Quota of acquisition, transfer, change, payment, cancellation shall be registered according to law, and since the registration date.

33rd (Exchange)

Exchange shall be equipped with professionals, establish and perfect rules and regulations, strengthen risk control and internal supervision and management on trading activity, and perform the following duties:

(A) Exchange, system for carbon emissions and provides facilities and services;

(B) organizing and supervising the trading, clearing and settlement;

(C) for members and their customers and other trading participants for supervision and management;

(D) other duties of the municipal development and reform Department.

    Exchange and its staff shall consciously abide by the provisions of the relevant laws, rules and regulations, implementing the system of trading rules, report transactions to the municipal development and reform on a regular basis, accept the guidance and supervision of the municipal development and reform Department.

34th (financial support)

    Encourage banks and other financial institutions to give priority to the units into the quota management provided with carbon reduction project-related financing, secured financing and explore carbon emissions quotas and other new types of financial services.

35th (financial support)

    Allocate funds in the special funds for energy conservation and emission reduction in this city, support capacity-building activities related to the city's carbon emissions management.

Article 36th (policy support)

Into the quota management units to carry out energy-saving transformation, eliminate backward production capacity, development and utilization of renewable sources of energy, such as, you can continue to enjoy the City provides special funds to support energy-saving and emission reduction policies. Support into the quota management unit in the city declared national priorities related to energy saving and emission reduction policies and investment funds to support projects in the budget.

    Related support policies, energy saving and emission reduction, the priority projects declared by support units into the quota management.

    The sixth chapter legal liability

37th (punishment of outstanding reporting obligations)

    Into the quota management unit violates the provisions of the present article 12th, making false statements on or concealing, or refuse to fulfil their reporting obligations by the municipal development and reform a rectification; fails to mend, fined 10,000 yuan and 30,000 yuan fine.

38th (not according to the penalty provisions for verification)

    Into quota management of units violation this approach 13th article second paragraph of provides, in third party institutions carried out verification work Shi provides false, and not real of file information, or hide important information of, by city development reform sector ordered deadline corrected; late not corrected of, sentenced 10,000 yuan above 30,000 yuan following of fine; unreasonable resist, and hinder third party institutions carried out verification work of, by city development reform sector ordered deadline corrected, sentenced 30,000 yuan above 50,000 yuan following of fine.

39th (punishment failed to meet quotas and payment obligations)

    Into quota management unit in accordance with the provisions of this article 16th fulfilment of quotas and payment obligations, shall be ordered by the municipal development and reform Department to fulfil the quota payment obligations and liable to a fine below 50,000 yuan and 100,000 yuan.

40th (administrative measures)

Included in the quota management in violation of this 12th, 13th, 16th in the second paragraph of the provision of article, subject to the provisions of this article 37th, 38th, 39th provided, city development and reform commissions can also take the following measures:

(A) the violation in accordance with the relevant provisions recorded in the credit information of the unit's record, to inform the departments of industry and commerce, taxation, financial situation, and through the Government Web site, or the media, to the public;

(B) removing their enjoyment of that year and the next year the city eligible for special funds to support energy-saving and emission reduction policies, and within 3 years, energy saving and emission reduction, participate in the advanced collectives and individuals eligible for competitions;

    (C) the project examination and approval Department, informed of its violation of this city, and by the project examination and approval Department the next year new fixed asset investment project energy assessment report table or energy-saving evaluation report inadmissible.

    41st (third party liability)

Third party in violation of this article 13th paragraph, any of the following circumstances, the municipal development and reform a rectification, fined 30,000 yuan and 100,000 yuan fine:

(A) issues a false, false verification reports;

(B) there are significant errors in the verification report;

    (C) unauthorized use or publish the verification unit and carbon emission of trade secrets information.

42nd (Exchange) for

Exchange of any of the following acts by the municipal development and reform a rectification, fined 10,000 yuan and 50,000 yuan fine:

(A) is not in accordance with the required transaction information;

(B) charge a transaction fee of the contravention;

(C) the failure to establish and implement a risk management system;

    (D) failing to submit relevant documents and materials to the municipal development and reform Department.

43rd (administrative)

The municipal development and reform Department and other departments concerned have one of the following acts shall be given a warning, demerit-recording or demerit in serious cases, demoted, dismissed or expelled constitutes a crime, criminal responsibility shall be investigated in accordance with law:

(A) verification in the allocation of quotas, carbon emission, carbon emissions validation, third party administration of malpractices for personal gain or to seek illegitimate benefits;

(B) to find violations not corrective, investigated and dealt with according to law;

(C) illegal leaks confidential information associated with carbon trading and seriously affected;

    (D) failing to perform their duties of supervision and management of the situation.

    The seventh chapter by-laws

44th (glossary)

This way the meaning of the following terms:

(A) carbon emissions, is the direct and indirect emissions of carbon dioxide and other greenhouse gas emissions.

Direct emissions refers to coal, gas, oil and other fossil fuel burning and greenhouse gas emissions from industrial processes.

Indirect emissions, refers to the use of outsourcing, power and heat caused by greenhouse gas emissions.

(B) carbon dioxide emissions refers to emissions during the production process, such as the amount of carbon dioxide and other greenhouse gases, 1 ton of carbon dioxide emissions (the SHEA) is equal to 1 tonne of carbon dioxide equivalent (1tCO2).

(C) historical emissions approach refers to include quota management unit in the past annual emissions data as the main basis to determine their carbon emission quotas for next year.

Baseline method, refers to the carbon efficiency benchmarks into quota management unit as the main basis to determine their carbon emission quotas for next year.

(D) emission refers to have independent functions, direct or indirect emission of greenhouse gas production and operations systems, including production equipment, buildings, structures, etc.

(V) emission border refers to the Shanghai City greenhouse gas emissions accounting and reporting guidelines and related industries, in greenhouse gas emissions accounting scope.

(Vi) national certification of voluntary emissions refers to according to the national development and reform the provisions of the interim measures on the administration of voluntary greenhouse gas emission reduction trading, after its filing and registered in the national system of registration of voluntary emissions reduction project emissions.

    This way, the term "upper" and "lower", including the number itself.

45th (date) These measures come into force on November 20, 2013.