Notice on the Issuance of the Measures for the Quality Management of Carbon Emission Data in Shaanxi Province (Trial) (Effective)
The Ecological Environment Bureau, Market Supervision and Administration Bureau of each city divided into districts, the Hancheng Ecological Environment Bureau, the Market Supervision and Administration Bureau, the Ecological Environment Bureau of Yangling Demonstration Zone, the Market Supervision and Administration Bureau, and key emitting enterprises:
In order to improve the quality of carbon emission data in the province and ensure that carbon emission data is accurate, comprehensive, open and transparent, the Provincial Department of Ecology and Environment and the Provincial Market Supervision and Administration Bureau have formulated the "Shaanxi Provincial Carbon Emission Data Quality Management Measures (Trial)", which is hereby issued to you, please conscientiously implement it in combination with the actual situation.
Shaanxi Provincial Department of Ecology and Environment, Shaanxi Provincial Administration for Market Regulation
February 3, 2023
(12-21 [2023] No. 3)
Shaanxi Provincial Carbon Emission Data Quality Management Measures (Trial)
Chapter I: General Provisions
Article 1 [Purpose basis] In order to improve the quality of carbon emission data in our province, ensure that carbon emission data is accurate, comprehensive, consistent, comparable, open and transparent. These management measures are formulated in accordance with the national "Measures for the Administration of Carbon Emission Trading", "Guidelines for Accounting and Reporting of Greenhouse Gas Emissions for Enterprises" and "Technical Guidelines for Verification of Greenhouse Gas Emissions of Enterprises".
Article 2 [Scope of Application] These Administrative Measures apply to the supervision and management of the carbon emission data quality of key emitting entities included in the national carbon market management within the administrative area of Shaanxi Province。 These include:
(1) Monitoring of activity data and emission factors carried out by key emitting enterprises on their own or on their behalf;
(2) Carbon emission data accounting activities carried out by key emitting entities on their own or on their behalf;
(3) Carbon emission data reporting activities carried out by key emitting enterprises;
(4) Verification technical service institutions carry out verification activities for carbon emission reports。
Article 3: [Basic Principles] The quality management of carbon emission data shall be carried out in strict accordance with the relevant laws, regulations and technical specifications of the state and Shaanxi Province. Key emitting entities should follow the principles of integrity, accuracy, transparency and operability. Technical service institutions such as carbon emission verification, testing and consulting shall follow the principles of objectivity, independence, honesty and trustworthiness, fairness and justice, professionalism and rigor, and ensure that carbon emission data is accurate, objective, true and standardized.
Article 4: [Division of Duties]The provincial-level departments in charge of ecology and the environment and the departments for market supervision and management shall do a good job in the supervision and management of the quality of carbon emission data in the province in accordance with their duties. The competent departments of ecology and environment and market supervision and administration departments of each city (district) shall supervise, manage and guide the monitoring and accounting activities of carbon emission data carried out by key emitting enterprises within their jurisdictions, as well as technical service institutions such as carbon emission verification, testing and consulting。
Article 5 [Key Emitting Enterprises] Key emitting enterprises refer to greenhouse gas emitting enterprises with annual greenhouse gas emissions of 26,000 tons of carbon dioxide equivalent in the industry covered by the national carbon emission trading market。
Chapter II: Data Monitoring
Article 6: [Data Monitoring and Management] In the process of production and operation, key emitting entities shall monitor carbon emission activity data, emission factors, and production data on their own or by entrusting them, and implement whole-process management of data quality. Include:
(1) Equipped with necessary measuring instruments, testing equipment, measuring instruments, space and personnel;
(2) Carry out regular calibration and maintenance of measuring instruments, testing equipment and measuring instruments, and record and archive them;
(3) Establish systems for data collection, processing, statistics, analysis, recording, and preservation.
Article 7: [Formulation of Data Quality Control Plans] Key emitting entities shall compile a quality control plan for their carbon emission data in accordance with technical specifications and management requirements such as industry greenhouse gas emission accounting and reporting guidelines, and adapt it to actual emissions, measurement and monitoring. Include:
(1) The version and revision of the data quality control plan;
(2) A basic overview of the data monitoring entity, including content such as basic information, organizational structure, main business activities, layout, and technological processes;
(3) The departments responsible for data monitoring and management duties;
(4) The boundaries of data monitoring, and the main emission facilities or links;
(5) the method of determining activity data and emission factors;
(6) Monitoring equipment information, including equipment name, model, location, measurement frequency, accuracy, calibration frequency, etc.;
(7) The form and frequency of recording of monitoring data;
(8) Methods for handling monitoring data when it is missing;
(9) Relevant requirements for data quality control and quality assurance.
Article 8 [Revision of Data Quality Control Plan] When key emitting enterprises are involved in the following situations, the data quality control plan shall be revised, and the revised content shall be in line with the actual situation and better meet the accounting requirements. Include:
(i) Emissions resulting from changes in emission facilities or the use of new fuels or materials not included in the data quality control plan;
(2) Changing measuring instruments and methods;
(iii) the data generated by the previously adopted measurement method is incorrect;
(4) Changing the data quality control plan can improve data accuracy;
(5) It is found that the data quality control plan does not comply with the accounting guidelines and other relevant requirements issued by the Ministry of Ecology and Environment;
(6) Other circumstances that need to be revised as specified by the Ministry of Ecology and Environment.
Article 9 [Implementation of Data Quality Control Plan] Key emitting enterprises shall strictly implement carbon emission measurement activities in accordance with the data quality control plan, and meet the following requirements:
(1) The basic circumstances of the data monitoring entity are consistent with the description of the data quality control plan;
(2) The accounting boundaries and main emission facilities are consistent with the accounting boundaries and main emission facilities in the data quality control plan;
(3) All activity data, emission factors and related data can be monitored in accordance with the data quality control plan;
(4) The measuring equipment is effectively maintained and calibrated, and the maintenance and calibration meet the requirements of national and regional metrology regulations or standards, and meet the requirements of data quality control plans, accounting guidelines or equipment manufacturers;
(5) The measurement results are recorded at the frequency specified in the data quality control plan;
(6) The method of handling data when it is missing is consistent with the data quality control plan;
(7) Effective implementation of internal data quality control and quality assurance procedures.
Article 10 [Self-monitoring of Data] When key emitting enterprises carry out activity data and emission factor monitoring activities on their own, they shall ensure that the monitoring equipment, monitoring methods, monitoring frequency and recording frequency comply with relevant regulations, and establish a monthly reporting system for carbon emission activity data, emission factors and main production data.
The ledger shall record the original data, the source of the data, the time of data acquisition, and the relevant responsible persons for filling in the ledger, and all kinds of ledger records shall be reviewed and signed by the person in charge of the department and the person in charge of the unit.
Key emitting enterprises shall, in accordance with the requirements of the competent department of ecology and environment of the state, fill in the ledger and original records through the national carbon emission data reporting and supervision platform on time, and complete the monthly information storage. Key emitting enterprises may use visualization methods such as images to monitor sampling, sample preparation and testing, as well as other important data monitoring links, and keep original records for future reference. Relevant supporting materials should be stored for at least six years to ensure that carbon emissions-related data can be traced.
Article 11 [Entrusted Testing of Data] When a key emitting entity entrusts to carry out activity data and emission factor monitoring activities, it shall ensure that the entrusted testing institution has passed the CMA certification, and the identified items include the commissioned testing items, and the test report shall be stamped with the CMA identification seal. The testing institution shall, within the scope of the inspection and testing capacity specified in the qualification certification certificate, issue inspection and testing data and results in accordance with the procedures and requirements specified in the relevant standards or technical specifications. The testing institution shall be responsible for the results of the inspection and testing data issued by it and bear the corresponding legal responsibility. The test report shall contain information such as the time of receipt of the sample, the month corresponding to the sample, the sample test standard, the weight of the sample received, and the corresponding status of the sample test result.
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 six 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 12 [Laboratory Management] Key emitting enterprises with self-monitoring of data shall actively improve the management of their own laboratories, meet the provisions of the General Requirements for the Capacity of Testing and Calibration Laboratories (GB/T 27025) on personnel, facilities and environmental conditions, equipment, measurement traceability and other resource requirements, and ensure that sampling, sample preparation, testing, recording and reporting and other test activities meet the requirements of the competent department of ecology and environment and the department for market supervision and management.
(1) Personnel: should behave fairly, competently and carry out laboratory activities in accordance with the requirements of the laboratory management system. Laboratories should document the competency requirements for each function that affect laboratory activities, including requirements for education, qualifications, training, technical knowledge, skills and experience;
(ii) Facilities and environmental conditions: Facilities and environmental conditions should be suitable for laboratory activities and should not adversely affect the validity of the results. The laboratory shall document the requirements for the facilities and environmental conditions necessary to carry out the laboratory activities. Laboratories should test, control and document environmental conditions when relevant norms, methods or procedures require them, or when environmental conditions affect the effectiveness of the results;
(3) Equipment: The laboratory shall be equipped with the equipment required to carry out laboratory activities correctly, including but not limited to: measuring instruments, software, measurement standards, reference materials, reference data, reagents, consumables or auxiliary devices. The equipment used for measurement should be able to achieve the required measurement accuracy and measurement uncertainty to provide valid results;
(4) Metrological traceability: The laboratory should establish and maintain the metrological traceability of the measurement results by associating the measurement results with the appropriate reference object through an uninterrupted calibration chain that forms a document.
Chapter III Emissions Accounting and Reporting
Article 13 [Acquisition of Activity Data] The acquisition of activity data shall be determined on the basis of the measured value of the actual consumption of energy or raw materials, and shall comply with the requirements of the selected accounting method. Data are selected in the following order of priority, and the priority of acquisition in subsequent accounting years should not be lowered:
(1) Original data: refers to the data obtained by direct measurement and monitoring, such as the measurement data recorded by the production system;
(2) Secondary data: refers to the data obtained through the calculation of the original data, such as the data determined according to the purchase volume and inventory changes;
(3) Alternative data: such as the purchase volume data of the supplier's settlement voucher.
Article 14 [Acquisition of Emission Factors] The acquisition of emission factors shall give priority to the actual measured values that meet the requirements of the accounting method, and may be monitored by themselves or commissioned by external qualified testing institutions/laboratories for testing. Ensure that the representativeness, timeliness, frequency and testing methods of the samples meet the requirements of the accounting guidelines. When obtaining emission factors, it should be considered that the data come from a clear source, have credibility, applicability and timeliness. The data are selected in the following order of priority, and the priority of acquisition in subsequent accounting years should not be lowered in principle:
(1) Measured or measured values, including emission factors or related parameter values obtained by direct measurement or laboratory testing, energy balance, mass balance, etc.;
(2) The default value shall be the emission factor provided in the relevant accounting guidelines or documents.
Article 15 [Carbon Emission Accounting] The accounting method for greenhouse gas emissions shall meet the accounting guidelines issued by the Ministry of Ecology and Environment and other relevant requirements, and if the above requirements are not covered, an industry accounting method that can produce accurate, consistent and reproducible results may be selected. The accounting process includes identifying emission sources, collecting activity data, selecting and obtaining emission factor data, calculating emissions from each source separately, and summarizing and calculating emissions. Factors to consider in the selection of an accounting method include:
(1) Conform to the carbon emission characteristics of the industry;
(2) Data accuracy requirements for accounting results;
(3) The availability of data for computational purposes;
(4) The degree to which the emission source can be identified.
Article 16 [Report Submission] Key emitting enterprises shall, in accordance with the relevant requirements of the Ministry of Ecology and Environment and the provincial-level competent departments of ecology and environment, complete the report and submit supporting materials on time through the national carbon emission data reporting and supervision platform。
Chapter IV Emission Verification
Article 17 [Emission Verification] Provincial-level departments in charge of ecology and environment may entrust technical service institutions to provide verification services through government procurement of services. The technical service institution shall be responsible for the authenticity, completeness and accuracy of the verification results submitted. Technical service institutions that provide consulting services to key emitting enterprises shall not participate in carbon verification services。
Article 18: [Verification Procedures] The verification procedures include eight steps, including verification arrangements, the establishment of a verification technical working group, document review, the establishment of an on-site verification team, the implementation of on-site verification, the issuance of a "Verification Conclusion", the notification of verification results, and the preservation of verification records.
Article 19: [Requirements for On-site Verification] The on-site verification team shall be composed of at least three people, and the members of the on-site verification team shall in principle be members of the verification technical working group. On-site verification shall be carried out by the following methods such as inspection, questioning, inspection, and inspection.
(1) Check: check relevant documents and information, including original vouchers, ledgers, statements, drawings, accounting books, professional and technical materials, scientific and technological literature, etc.;
(2) Q: When asking on-site staff, more open-ended questions should be used to obtain more information about accounting boundaries, emission sources, data monitoring and accounting processes;
(3) Look: check the operation of on-site emission facilities and monitoring equipment, including on-site observation and accounting boundaries, the location and quantity of emission facilities, the types of emission sources, and the installation, calibration and maintenance of monitoring equipment;
(4) Test: Verify the accuracy of the calculation results by repeated calculations, or confirm the accuracy of the test results by taking samples and repeating tests.
Article 20 [Requirements for Verification Personnel] Verification technical service institutions engaged in carbon emission verification business personnel shall meet the following conditions:
Verification of full-time staff of technical services;
Personnel who have obtained intermediate or above relevant professional titles;
(3) Have at least three years of relevant professional work experience, and have consulting or audit experience in one or more fields of carbon emission verification, greenhouse gas inventory preparation, voluntary emission reduction project development verification and verification, environmental impact assessment, cleaner production audit, energy saving audit, and energy audit;
(4) Have good personal credit and have no record of practicing in violation of laws and regulations.
After the state promulgates the policy of holding a carbon emission manager qualification certificate, it is necessary to obtain a carbon emission management qualification certificate before engaging in verification business.
Article 21 [Recording and Preservation of Verification Information] Verification technical service institutions shall carry out on-site inspections of key emitting enterprises according to the on-site verification list, collect relevant evidence and supporting materials, and record and save the outcome documents including the meeting sign-in sheet, on-site records, supporting materials, and the "List of Non-Conformities", "Verification Conclusion" and "Verification Report" after signature and confirmation by means of photographing, scanning, video recording, etc. The verification technical service organization shall archive and keep all records, supporting materials, and internal technical review records of the service process for at least ten years.
Article 22 [Rectification of Non-Conformities] If the on-site inspection finds that it does not meet the requirements of the accounting guidelines and fails to implement the data quality control plan, the verification technical service institution shall truthfully record it in the "List of Non-Conformities", and after the technical service institution signs and confirms, it shall require the person in charge of the key emitting unit to sign and confirm and complete the rectification within 5 working days after receiving the "List of Non-conforming Items". The technical service organization shall re-verify the rectification results of the non-conformities.
Article 23 [Verification Report and Review] In accordance with the guidelines for the verification of greenhouse gas emission reports and other relevant requirements, the verification technical service institutions shall complete the carbon emission verification document review form, on-site verification list, non-conformance list, verification conclusion page, etc. of key emitting enterprises on time, and submit the verification report. If a key emitting entity has any objection to the verification result, it may apply to the provincial department of ecology and environment for review within seven working days from the date on which it is informed of the verification conclusion.
Chapter V: Supervision and Management
Article 24 [Responsibilities of Key Emitting Entities] In accordance with the principle of entity responsibility, key emitting entities are responsible for the authenticity, completeness and accuracy of their carbon emissions and corresponding data.
Where a key emitting entity falsely reports or conceals greenhouse gas emission reports, or refuses to perform its greenhouse gas emission reporting obligations, the local competent department of ecology and environment at or above the districted city level where its production and business sites are located shall order it to make corrections within a specified period of time and impose penalties in accordance with relevant laws and regulations. If the correction is not made within the time limit, or the verification result is refused to be signed and sealed without justifiable reasons, the provincial-level competent department of ecology and environment where the production and business site of the key emitting enterprise is located shall form a joint expert group to calculate its actual greenhouse gas emissions, and use the emission as the basis for the settlement of carbon emission allowances。 For the part of false reporting or concealment, the carbon emission quota for the next year will be reduced by the same amount。
Article 25 [Responsibilities of Carbon Emission Verification Institutions] Verification technical service institutions shall be responsible for the verification process and results, and shall immediately rectify the verification process that does not meet the requirements or the verification results are wrong due to their own negligence;
Article 26: [Responsibility of Carbon Emission Testing Institutions] Carbon emission testing institutions are responsible for testing methods, testing processes, and testing results, and where testing institutions violate laws, regulations, and relevant technical specifications, tamper with or falsify monitoring data, the market supervision and management departments shall impose penalties in accordance with laws and regulations, and transfer them to the public security organs if the circumstances are serious.
Article 27 [Disclosure of Carbon Emission Information] Key emitting enterprises shall, in accordance with the requirements of the competent department of ecology and environment of the State, regularly disclose the carbon emissions of the previous year, and accept public supervision, except where state secrets and commercial secrets are involved. Information disclosure includes, but is not limited to:
(1) The basic situation of key emitting enterprises。 Including the name of the unit, the unified social credit code, the pollutant discharge permit number, the name of the legal representative, the production and business premises, the industry classification, the production and operation overview, the information of key emission sources, etc.;
(2) Carbon emissions. including total emissions and emissions from various sources;
(3) Other relevant circumstances. It includes the activity data and their sources for each link involved, the emission factor data and their sources, and other situations that require special instructions.
Verification technical service institutions shall conduct self-inspections of internal quality management measures and impartiality management measures, and disclose their internal quality management related documents and the Annual Impartiality Self-Inspection Report on the national carbon emission data reporting and supervision platform.
After the completion of the verification work, the provincial-level competent department of ecology and environment shall disclose the "verification conclusions" of all key emitting enterprises to the public on the official website and report to the Ministry of Ecology and Environment for summary;
Article 28 [Supervision and Inspection] The competent departments of ecology and environment of each city (district) shall determine the focus and frequency of supervision and inspection on the basis of the reporting of carbon emissions reports and verification results of key emitting enterprises. The competent departments of ecology and environment of each city (district) shall adopt "double random, one open" The focus is on the accuracy of the directory, the effectiveness of the enterprise data quality control plan and the implementation of various measures, the establishment of the carbon emission management system and the emission report review system, the formulation of the carbon emission data management ledger, the implementation of the information disclosure carried out by the enterprise in accordance with the law, the investigation and verification of complaints and reports and the clues of relevant problems transferred by the competent department of ecology and environment at a higher level. Provincial-level departments in charge of ecology and environment regularly carry out assistance and guidance and spot checks.
Article 29: [Supervision and Reporting] Any unit or individual may complain or report to the departments of ecology and environment and market supervision and administration at all levels about violations of laws and regulations in the management of carbon emission data and carbon emission verification, testing, consultation, etc., and the competent departments shall promptly investigate and handle them, and keep the informant confidential, and if it is suspected of constituting a crime, criminal responsibility shall be pursued in accordance with law.
Chapter VI Supplementary Provisions
Article 30 The meaning of the following terms in these Administrative Measures:
(1) 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, and also includes the greenhouse gas emissions caused by the use of purchased electricity and heat.
(2) Activity data: refers to the representative value of the amount of production or consumption activities that lead to carbon emissions, such as the consumption of various fossil fuels, the use of raw materials, the amount of electricity purchased, the amount of heat purchased, etc.
(3) Emission factor: refers to the emission factor that characterizes the amount of production or consumption activities per unit, such as carbon content, purity, etc.
Article 31: These Administrative Measures shall take effect on March 1, 2023, and shall be valid until March 1, 2025.
Where laws, regulations, rules, and higher-level policies have other provisions on the quality management of carbon emission data, follow those provisions.
