Ningxia Hui Autonomous Region Implementation Rules for the Administration of Carbon Emission Trading (Trial) (Draft for Comments)

In order to standardize and strengthen the management of the verification of greenhouse gas emission reports of enterprises in key industries in our region and the quota trading of the national carbon emission trading market, improve the quality of carbon emission data and ensure the performance of quota settlement, maintain the healthy and stable operation of the national carbon market, and promote the implementation of key tasks of the carbon emission rights reform in the autonomous region. The Department of Ecology and Environment of Ningxia Hui Autonomous Region has drafted the Implementation Rules for the Administration of Carbon Emission Trading in Ningxia Hui Autonomous Region (Trial) (Draft for Comments).

These detailed rules apply to the management of participation in national carbon emission trading and related activities within the Ningxia Hui Autonomous Region, including the determination of the list of key greenhouse gas emitting enterprises, the filling and review of data quality control plans and monthly information storage certificates, the preparation, verification and review of greenhouse gas emission reports, the allocation and settlement of allowances, the registration and trading of carbon emission rights, and the disclosure of carbon emission data, as well as the supervision and management of the aforesaid activities.

Ningxia Hui Autonomous Region Implementation Rules for the Administration of Carbon Emission Trading (Trial) (Draft for Comments)

Chapter I: General Provisions

Article 1 In order to implement the state's decision-making and deployment on improving the carbon emission trading system and the work requirements of the autonomous region's carbon emission rights reform, standardize carbon emission trading and related activities, and actively play the role of market mechanisms in responding to climate change and promoting low-carbon development, according to the Ministry of Ecology and Environment's "Carbon Emission Trading Management Measures (Trial)" (Ministry Order No. 19), the General Office of the Party Committee of the Autonomous Region and the General Office of the People's Government of the Autonomous Region "Implementation Opinions on Carrying out Carbon Emission Rights Reform and Fully Integrating into the National Carbon Market" (Ning Party Office) Letter No. 27 of 2023) and other laws and regulations, combined with the actual situation of the autonomous region, these detailed rules are formulated.

Article 2 These detailed rules apply to the management of participation in national carbon emission trading and related activities within the autonomous region, including the determination of the list of key greenhouse gas emitting enterprises (hereinafter referred to as "key emitting enterprises"), the filling and review of data quality control plans and monthly information storage certificates, the preparation, verification and review of greenhouse gas emission reports, the allocation and settlement of allowances, the registration and trading of carbon emission rights, and the disclosure of carbon emission data, as well as the supervision and management of the aforementioned activities.

Article 3 The competent department of ecology and environment of the autonomous region shall be responsible for coordinating the management of carbon emission trading in the whole region, including organizing and carrying out the determination of the list of key emitting enterprises, the review of data quality control plans and monthly information storage, the verification of greenhouse gas emission reports, the allocation and settlement of carbon emission allowances, information disclosure and other related activities。

The competent departments of ecology and environment of each districted city (including the Management Committee of Ningdong Base) are responsible for assisting in the screening of the list of key emitting enterprises within their jurisdiction, supervising and guiding the key emitting enterprises under their jurisdiction to complete the data quality control plan and the submission of monthly information storage evidence on time and with quality and quantity, and complete the preliminary review of relevant submitted data materials, organize key emitting units to submit annual greenhouse gas emission reports, cooperate with the verification and review of greenhouse gas emission reports and data quality assistance, and carry out data quality assistance for key emitting enterprises. Daily supervision and enforcement of the performance of the contract.

Chapter II Key Greenhouse Gas Emitting Units

Article 4 Greenhouse gas emitting enterprises that meet the following conditions shall be included in the list of key emitting enterprises:

(1) It belongs to the industries covered by the national carbon emission trading market;

(2) The annual greenhouse gas emissions confirmed by the latest verification results and the newly commissioned projects in the previous year are expected to reach 26,000 tons of carbon dioxide equivalent (comprehensive energy consumption of about 10,000 tons of standard coal).

Among them, the categories of biomass power generation units, co-burning power generation units, special fuel power generation units, power generation units using self-produced resources, and other special power generation units specified in the implementation plan for the setting and allocation of the total amount of national carbon emission trading quotas are temporarily excluded from the quota management.

Article 5 The competent departments of ecology and environment of each districted city (including the management committee of Ningdong base) shall update the list of key emitting enterprises within their jurisdiction through the national carbon market management platform before December 10 of each year。 The competent department of ecology and environment of the autonomous region shall review and determine the list of key emitting enterprises, report to the Ministry of Ecology and Environment, and disclose it to the public. If a greenhouse gas emitting entity applies to be included in the list of key emitting enterprises, it shall be submitted to the competent department of ecology and environment of the autonomous region for verification after preliminary examination by the competent department of ecology and environment of each districted city (including the management committee of Ningdong base), and if it is verified that it meets the conditions specified in Article 4 of these Detailed Rules, it shall be included in the list of key emitting enterprises and submitted to the Ministry of Ecology and Environment.

Article 6 In any of the following circumstances, the competent department of ecology and environment of each city divided into districts (including the management committee of Ningdong base) shall report the relevant situation to the competent department of ecology and environment of the autonomous region, and after verification by the competent department of ecology and environment of the autonomous region, remove the relevant greenhouse gas emitting units from the list of key emitting enterprises:

(1) No longer emitting greenhouse gases due to suspension of business, closure or other reasons no longer engaging in production and business activities;

(2) Greenhouse gas emissions have not reached 26,000 tons of carbon dioxide equivalent for two consecutive years.

Article 7 Key emitting enterprises shall control greenhouse gas emissions, establish data quality management systems such as internal ledger management systems for greenhouse gas data and internal audit systems for greenhouse gas emission reports, and key emitting enterprises shall submit data quality control plans, monthly information storage materials, and greenhouse gas emission reports on the national carbon market management platform, complete the payment and compliance of carbon emission quotas in full within the compliance period stipulated by the state, carry out annual carbon emission information disclosure work, and accept the supervision of the competent departments of ecology and environment at all levels. Inspection and management.

Chapter 3 Data Quality Control Plan and Monthly Informatization Evidence

Article 8 Key emitting enterprises shall, in accordance with the technical specifications for greenhouse gas emission accounting and reporting formulated by the Ministry of Ecology and Environment, prepare a data quality control plan in accordance with relevant requirements, and the data quality control plan shall include the content listed in Article 9, and shall be reported to the competent department of ecology and environment of the autonomous region through the national carbon market management platform before December 20 of each year。

Article 9 The data quality control plan is an important basis for key emitting enterprises to carry out data and information storage。 The plan shall include, but is not limited to, the following:

(1) The version and revision of the data quality control plan;

(2) The basic situation of key emitting enterprises;

(3) Accounting for boundaries and major emission facilities;

(4) the method of obtaining activity data and emission factors;

(5) Monitoring the situation of equipment;

(6) The form and frequency of monitoring records;

(7) Methods for supplementing missing data;

(8) Relevant provisions on internal quality control and quality assurance.

Article 10 In the following circumstances, key emitting enterprises shall update and improve the data quality control plan in a timely manner according to the actual situation。

(1) Changes in discharge facilities;

(2) Changes in monitoring equipment, data confirmation methods, and fuel types and subcategories;

(3) There are errors in the original monitoring method;

(4) the use of new monitoring equipment and methods can improve data quality;

(5) The content that needs to be adjusted if it is inconsistent with the requirements of the accounting specifications.

If a key emitting entity needs to update its data quality control plan, it must first submit an application for modifying the data quality control plan through the national carbon market management platform, explaining the reasons for revising the data quality control plan, and the modification can only be made after the approval of the competent department of ecology and environment at the level of each districted city (including the management committee of the Ningdong base) and the autonomous region.

Article 11 The data quality control plan formulated by key emitting enterprises shall be adapted to the actual production management situation, and in the process of production and operation, the carbon emission activity data, emission factors and production data shall be monitored in strict accordance with the data quality control plan。

Article 12 The competent departments of ecology and environment of each city divided into districts (including the management committee of Ningdong base) shall verify the data quality control plan and the application for modification of the data quality control plan submitted by the enterprise, and review it on the national carbon emission management platform。 If the data quality control plan or the application for modification of the data quality control plan is inconsistent with the actual situation, it shall be returned to the key emitting enterprises for correction and then re-reported。

Article 13 Key emitting enterprises shall, in accordance with the technical specifications for greenhouse gas emission accounting and reporting formulated by the Ministry of Ecology and Environment, submit monthly information storage data and supporting vouchers through the national carbon market management platform every month as required。

Article 14 Key emitting enterprises shall be responsible for the authenticity, completeness and accuracy of the monthly information-based evidence storage data。

Key emitting enterprises shall retain the test reports and related materials of the testing institutions/laboratories for future reference, including but not limited to sampling records, sample preparation records, inspection records, sample mailing documents, testing agency entrustment agreements and payment vouchers, etc., and the relevant supporting materials shall be kept for at least five years.

The sampling personnel are responsible for the representativeness of the sample, the sample preparation personnel are responsible for the compliance of the sample, and the sample delivery personnel are responsible for the timeliness and completeness of the sample.

Article 15 The competent departments of ecology and environment of each districted city (including the Management Committee of Ningdong Base) shall supervise and urge key emitting units to carry out monthly information storage in a timely and standardized manner; For problems such as untimely, non-standardized, incomplete, unclear and abnormal data of the monthly information storage materials, key emitting units should be organized to complete verification and rectification.

Article 16 The competent department of ecology and environment of the autonomous region shall organize and carry out a technical review of the monthly informatization work, and in the following circumstances, hand over the clues of relevant problems to the competent department of ecology and environment of each districted city (including the management committee of the Ningdong base) to further organize the enterprise to verify and rectify:

(1) The accounting boundary, emission source confirmation, and parameter data determination methods do not meet the requirements of technical specifications or are not implemented in accordance with the data quality control plan;

(2) Abnormal circumstances such as the evidence data exceeding the theoretical extreme, the extreme value of the parameters of the same type of facility, or the extreme value of the enterprise's historical data.

Article 17 In the case of abnormal monthly information-based evidence storage data and information, key emitting enterprises shall complete rectification in accordance with the following requirements:

(1) Where there are deficiencies or abnormalities in the activity level data, and the data and supporting materials of the key emitting units are insufficient, the corresponding activity level data shall be confirmed in accordance with the principle of conservatism in light of the emission activities of the key emitting units;

(2) If there are missing or abnormal emission factors, and the supporting materials of key emitting enterprises are insufficient, the default values of relevant parameters issued by the Ministry of Ecology and Environment shall be used instead.

Chapter IV Greenhouse Gas Emissions Reporting and Report Verification

Article 18 Key emitting enterprises shall, in accordance with the technical specifications for greenhouse gas emission accounting and reporting formulated by the Ministry of Ecology and Environment, prepare their own greenhouse gas emission reports for the previous year in accordance with the relevant requirements, indicating the emissions and data related to the allocation of allowances, and report to the competent department of ecology and environment of the autonomous region through the national carbon market management platform before March 31 of each year。 The original records and management ledgers of the data involved in the emission report shall be kept for at least five years.

Key emitting entities shall be responsible for the authenticity, completeness and accuracy of greenhouse gas emission reports.

Article 19 The competent department of ecology and environment of the autonomous region may provide verification and review services for the greenhouse gas emission reports of key emitting enterprises through government procurement services or entrusting technical service institutions。 The key emitting enterprise greenhouse gas emission report verification/review service institution (hereinafter referred to as the "verification agency") shall formulate a corresponding verification plan before carrying out the verification work, provide sufficient work resources, and allocate professional personnel to carry out the verification work.

The verification body shall be responsible for the authenticity, completeness and accuracy of the verification results submitted.

After the completion of the annual verification task, the competent department of ecology and environment of the autonomous region shall organize a comprehensive assessment of the technical service institutions in accordance with the "Administrative Measures for Third-party Technical Service Institutions for the Verification of Carbon Emission Reports in the Autonomous Region (for Trial Implementation)".

Article 20 The competent department of ecology and environment of the autonomous region shall organize and carry out verification of the greenhouse gas emission reports of key emitting enterprises, and inform the key emitting enterprises of the results through the national carbon market management platform。 Key emitting enterprises shall carry out rectification according to the list of non-conforming items issued by the verification agency。 The final verification results shall be used as the basis for the settlement of carbon emission allowances for key emitting enterprises.

Article 21 If a key emitting entity has any objection to the verification result, it may apply to the competent department of ecology and environment of the autonomous region for review within seven working days from the date on which it is informed of the verification result; The autonomous region's competent department for ecology and environment shall, within 10 working days of receiving the application for review, conduct a review of the objection application and make a review decision.

Chapter V: Quota Allocation and Settlement

Article 22 The competent department of ecology and environment of the autonomous region shall, in accordance with the implementation plan for the setting and allocation of the total amount of carbon emission trading quotas formulated by the Ministry of Ecology and Environment, determine the number of carbon emission quotas for key emitting enterprises, and notify in writing the competent departments of ecology and environment of each city divided into districts (including the management committee of Ningdong base) and key emitting units。

Article 23 The key emitting enterprises shall confirm the number of carbon emission quotas determined by the competent department of ecology and environment of the autonomous region, and after confirming the number of allowances without objection, they shall report to the Ministry of Ecology and Environment for examination and approval。 If a key emitting entity has any objection to the allocated carbon emission allowances, it may apply to the competent department of ecology and environment of the autonomous region for review within seven working days from the date of receipt of the notice; The autonomous region's competent department for ecology and the environment shall make a review decision within 10 working days of receiving the application for review.

Article 24 After the Ministry of Ecology and Environment issues the total quota for the whole region, the competent department of ecology and environment of the autonomous region shall allocate the carbon emission quota for the specified year to the key emitting enterprises。 The competent departments of ecology and environment of each districted city (including the Management Committee of Ningdong Base) and key emitting units shall do a good job of docking and confirming quotas.

Article 25 The allocation of carbon emission allowances shall be based on free allocation, and paid allocation may be introduced in a timely manner according to the relevant requirements of the state and autonomous regions。

Article 26 Key emitting entities, institutions and individuals are encouraged to voluntarily cancel their carbon emission allowances for public welfare purposes such as reducing greenhouse gas emissions。

The carbon emission allowances that are voluntarily cancelled shall be reduced by the same amount from the total national carbon emission allowances, and shall no longer be allocated, registered or traded。 The relevant cancellation situation shall be disclosed to the public by the competent department of ecology and environment of the autonomous region.

Article 27 Key emitting enterprises shall, within the time limit prescribed by the Ministry of Ecology and Environment, pay the carbon emission quotas of the previous year to the competent department of ecology and environment of the autonomous region。 The amount of clearance shall be greater than or equal to the greenhouse gas emissions of the unit in the previous year confirmed by the verification results of the competent department of ecology and environment of the autonomous region, and the competent department of ecology and environment of each districted city (including the management committee of Ningdong base) shall do a good job in supervising and supervising the settlement of quotas.

Article 28 Key emitting enterprises may use the state-certified voluntary emission reductions to offset the settlement of carbon emission allowances every year, and the offset ratio shall not exceed 5% of the carbon emission allowances that should be paid。

The nationally certified voluntary emission reductions used for offsetting shall not come from emission reduction projects that are subject to the quota management of the national carbon emission trading market。

Chapter VI Registration and Trading of Carbon Emission Allowances

Article 29 The key emitting enterprises included in the quota management shall submit the national carbon emission allowance registration system and the national carbon emission allowance trading system account opening information to the competent department of ecology and environment of each districted city (including the Ningdong Base Management Committee); The relevant materials shall be submitted to the competent department of ecology and environment of each districted city (including the Ningdong Base Management Committee) for review after preliminary verification, and shall be submitted to the national carbon emission allowance registration agency (hereinafter referred to as the "registration agency") and the national carbon emission trading institution (hereinafter referred to as the "trading institution") after meeting the requirements.

Article 30 Where there is any change in the following information, a key emitting enterprise shall submit proof of the change of information to the registration authority and go through the formalities for changing the information in the registration account。 Relevant materials must be submitted by the competent department of ecology and environment of each districted city (including the management committee of Ningdong base) and then submitted to the competent department of ecology and environment of the autonomous region for review.

(1) The name or legal representative of the key emitting entity;

(2) Business licenses, uniform social credit codes, and legal persons' valid identification document types, numbers, and validity periods;

(3) Other matters provided for by laws, regulations, departmental rules, and so forth.

If there is a change in contact information such as contact number, email address, mailing address, etc., the key emitting enterprises shall update it in the registration account through the registration system in a timely manner。

Article 31 In the event of any of the following circumstances, a key emitting enterprise shall submit relevant application materials to the registration authority to cancel the registration account。 The relevant application materials must be submitted by the competent department of ecology and environment of each districted city (including the management committee of Ningdong base) after preliminary verification and review by the competent department of ecology and environment of the autonomous region. The competent departments of ecology and environment of each districted city (including the Management Committee of Ningdong Base) shall do a good job in the preliminary verification of relevant materials.

(1) When the entity of the key emitting entity does not exist due to merger, division, or dissolution in accordance with law, bankruptcy, etc.;

(2) Other circumstances provided for by laws, regulations, departmental rules, and so forth.

When key emitting enterprises apply for cancellation of their registration accounts, they shall complete the relevant business such as quota settlement and compliance。 During the period of applying for cancellation of the registered account and after the cancellation of the registered account, the registered entity cannot use the account to conduct transactions and other related operations.

Article 32 The trading products of the carbon emission trading market shall be carbon emission allowances, and key emitting enterprises and institutions and individuals that comply with the relevant national trading rules shall be the trading entities of the carbon emission trading market。

Article 33 Carbon emission trading shall be carried out through the national carbon emission trading system in accordance with the relevant provisions of the State and autonomous regions, and may be transferred by agreement, one-way bidding or other methods in accordance with the regulations。

Article 34 Each trading entity can only open one trading account in the national carbon emission trading system, and can apply for multiple operators and corresponding account operation authority according to business needs, and the purchased trading products cannot be sold again on the same day。

Article 35 Key emitting enterprises included in the quota management are encouraged to actively participate in carbon emission trading。 Key emitting enterprises with surplus carbon emission allowances can be traded in the market and sold for a profit; Key emitting enterprises with shortfalls in carbon emission allowances can fulfill their payment obligations on time through market purchases.

Chapter VII: Supervision and Management

Article 36 The competent departments of ecology and environment of each districted city (including the management committee of Ningdong base) shall establish a normalized supervision and inspection mechanism, adopt the method of "double random, one open", do a good job in the supervision and inspection of the greenhouse gas emission management of key emitting enterprises and the settlement of carbon emission quotas, organize random inspections and spot checks at least once a year, report the relevant situation to the competent department of ecology and environment of the autonomous region, and increase the frequency and intensity of supervision and inspection of enterprises with abnormal emissions or failure to perform on time.

Article 37 The competent departments of ecology and environment of each city divided into districts (including the Management Committee of Ningdong Base) shall establish a supervision and law enforcement mechanism for the work of the carbon emission trading market, improve the ability of supervision and law enforcement, and carry out before, during and after supervision of important links such as monthly information storage, on-site verification, inspection and testing, and quota performance.

Article 38 The competent departments of ecology and environment of each city divided into districts (including the Management Committee of Ningdong Base) may take the following measures to supervise and manage key emitting enterprises:

(1) On-site inspection. The contents of the inspection include, but are not limited to: the standardization, authenticity and accuracy of greenhouse gas emission related data, emission facilities, coverage, accounting boundaries, enterprise ledgers, accounting methods, and parameters related to quota allocation;

(2) Consult and copy relevant documents and materials, inquire into the information of testing establishments, and inspect relevant information systems;

(3) Request for explanations on relevant issues.

Article 39 The competent department of ecology and environment of the autonomous region shall periodically disclose information such as the list of key emitting enterprises and the payment and performance of carbon emission allowances in accordance with the requirements of the Ministry of Ecology and Environment for information disclosure.

Article 40 The annual greenhouse gas emission report prepared by a key emitting enterprise shall be made public to the public in accordance with the law and subject to public supervision, except for those involving state secrets and commercial secrets.

Article 41 Key emitting enterprises and other trading entities shall, in accordance with relevant provisions, promptly disclose information on national carbon emission trading and related activities, and consciously accept social supervision。

Article 42 Citizens, legal persons and other organizations that find that key emitting enterprises and other trading entities have violated the provisions of these Measures, they have the right to report to the competent department of ecology and environment, and the competent department of ecology and environment that receives the report shall deal with it in accordance with law。

Chapter VIII Penalties

Article 43 Where the relevant staff of the competent department of ecology and environment of the autonomous region, districted cities, and the management committee of the Ningdong base abuse their powers, derelict their duties, or twist the law for personal gain in the supervision and management of national carbon emission trading and related activities, they shall be ordered to make corrections by the administrative organ at the higher level or the supervisory organ and shall be punished in accordance with law。

Article 44 Where a key emitting entity makes a false or concealed report on greenhouse gas emissions, or refuses to perform its obligation to report greenhouse gas emissions, or fails to pay its carbon emission quotas in full and on time, it shall be punished in accordance with relevant national laws and regulations。

Chapter IX: Supplementary Provisions

Article 45 The meanings of the following terms in these Detailed Rules:

(1) Greenhouse gases: refer to the natural and man-made gaseous components of the atmosphere that absorb and re-emit infrared radiation, including carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydrofluorocarbons (HFCs), perfluorocarbons (PFCs), sulfur hexafluoride (SF6) and nitrogen trifluoride (NF3).

(2) Carbon emissions: refers to the greenhouse gas emissions generated by the combustion of fossil energy such as coal, oil, natural gas, industrial production processes, land use change and forestry activities, as well as the greenhouse gas emissions caused by the use of purchased electricity and heat.

(3) Carbon emission allowances: refer to the carbon emission allowances allocated to key emitting enterprises within a specified period.

(4) Carbon emission quota: refers to the carbon emission quota of one unit equivalent to 1 ton of carbon dioxide equivalent emitted into the atmosphere.

(5) Verification: The process of conducting a comprehensive verification and review of the greenhouse gas emissions and related information reported by key emitting entities in accordance with the industry's greenhouse gas emission accounting methods and reporting guidelines and relevant technical specifications.

Article 46: These Detailed Implementing Rules shall come into force on the date of their issuance.