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| Announcement of the Ministry of Ecology and Environment on Issuing the Rules for the Administration of Registration of Carbon Emissions (for Trial Implementation), the Rules for the Administration of Trading of Carbon Emissions (for Trial Implementation) and the Rules for the Administration of Settlement of Carbon Emissions (for Trial Implementation) | | 生态环境部关于发布《碳排放权登记管理规则（试行）》《碳排放权交易管理规则（试行）》和《碳排放权结算管理规则（试行）》的公告 |
| (Announcement No. 21 [2021] of the Ministry of Ecology and Environment) | | （生态环境部公告2021年第21号） |
| For the purposes of further regulating the registration, trading and settlement of carbon emissions across the country, and protecting the lawful rights and interests of all participants in the national carbon emissions trading market, the Ministry of Ecology and Environment has formulated the Rules for the Administration of Registration of Carbon Emissions (for Trial Implementation), the Rules for the Administration of Trading of Carbon Emissions (for Trial Implementation) and the Rules for the Administration of Settlement of Carbon Emissions (for Trial Implementation) in accordance with the Measures for the Administration of Trading of Carbon Emissions (for Trial Implementation), the relevant matters are hereby announced as follows: | | 为进一步规范全国碳排放权登记、交易、结算活动，保护全国碳排放权交易市场各参与方合法权益，我部根据《碳排放权交易管理办法（试行）》，组织制定了《碳排放权登记管理规则（试行）》《碳排放权交易管理规则（试行）》和《碳排放权结算管理规则（试行）》，现将有关事项公告如下： |
| I. Prior to the formation of a national carbon emissions registry, China Hubei Emission Exchange shall assume the opening of accounts, operation and maintenance, and other specific work of the national carbon emissions registration system. | | 一、全国碳排放权注册登记机构成立前，由湖北碳排放权交易中心有限公司承担全国碳排放权注册登记系统账户开立和运行维护等具体工作。 |
| II. Prior to the formation of a national carbon emissions trading institution, Shanghai Environment and Energy Exchange shall assume the opening of accounts, operation and maintenance, and other specific work of the national carbon emissions trading system. | | 二、全国碳排放权交易机构成立前，由上海环境能源交易所股份有限公司承担全国碳排放权交易系统账户开立和运行维护等具体工作。 |
| III. The Rules for the Administration of Registration of Carbon Emissions (for Trial Implementation), the Rules for the Administration of Trading of Carbon Emissions (for Trial Implementation) and the Rules for the Administration of Settlement of Carbon Emissions (for Trial Implementation) shall come into force on the date of issuance. | | 三、《碳排放权登记管理规则（试行）》《碳排放权交易管理规则（试行）》和《碳排放权结算管理规则（试行）》自本公告发布之日起施行。 |
| | 特此公告。 |
| Annexes: | | 附件： |
| 1. Rules for the Administration of Registration of Carbon Emissions (for Trial Implementation) | | 1.碳排放权登记管理规则（试行） |
| 2. Rules for the Administration of Trading of Carbon Emissions (for Trial Implementation) | | 2.碳排放权交易管理规则（试行） |
| 3. Rules for the Administration of Settlement of Carbon Emissions (for Trial Implementation) | | 3.碳排放权结算管理规则（试行） |
| Ministry of Ecology and Environment | | 生态环境部 |
| May 14, 2021 | | 2021年5月14日 |
| Annex 1 | | 附件1 |
| Rules for the Administration of Registration of Carbon Emissions (for Trial Implementation) | | 碳排放权登记管理规则（试行） |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 For the purposes of regulating the registration of carbon emissions across the country, protecting the lawful rights and interests of all participants in the national carbon emissions trading market, and maintaining the order of the national carbon emissions trading market, these Rules are developed according to the Measures for the Administration of Carbon Emissions Trading (for Trial Implementation). | | 第一条 为规范全国碳排放权登记活动，保护全国碳排放权交易市场各参与方的合法权益，维护全国碳排放权交易市场秩序，根据《碳排放权交易管理办法（试行）》，制定本规则。 |
| Article 2 The registration of holding, alteration, surrender and deregistration of carbon emissions across the country, as well as the supervision and administration of relevant business shall be governed by these Rules. The national carbon emissions registry (hereinafter referred to as the “registry”), the national carbon emissions trading institution (hereinafter referred to as the “trading institution”), registrants and other relevant participants shall comply with these Rules. | | 第二条 全国碳排放权持有、变更、清缴、注销的登记及相关业务的监督管理，适用本规则。全国碳排放权注册登记机构（以下简称注册登记机构）、全国碳排放权交易机构（以下简称交易机构）、登记主体及其他相关参与方应当遵守本规则。 |
| Article 3 The registry shall, through the national carbon emissions registration system (hereinafter referred to as the “registration system”), conduct centralized and unified registration of the holding, alteration, surrender and deregistration, among others, of carbon emissions across the country. Information recorded in the registration system shall be the ultimate basis for determining the ownership of carbon emission allowances. | | 第三条 注册登记机构通过全国碳排放权注册登记系统（以下简称注册登记系统）对全国碳排放权的持有、变更、清缴和注销等实施集中统一登记。注册登记系统记录的信息是判断碳排放配额归属的最终依据。 |
| Article 4 Key emitting entities and qualified institutions and individuals shall be registrants of carbon emissions across the country. | | 第四条 重点排放单位以及符合规定的机构和个人，是全国碳排放权登记主体。 |
| Article 5 Carbon emissions across the country shall be registered under the principles of openness, fairness, impartiality, safety and efficiency. | | 第五条 全国碳排放权登记应当遵循公开、公平、公正、安全和高效的原则。 |
| Chapter II Account Management | | 第二章 账户管理 |
| Article 6 The registry shall open a registration account in the registration system for a registrant upon application, and record in detail the information on the holding, alteration, surrender, deregistration and other information on carbon emissions across the country. | | 第六条 注册登记机构依申请为登记主体在注册登记系统中开立登记账户，该账户用于记录全国碳排放权的持有、变更、清缴和注销等信息。 |
| Article 7 Every registrant may open only one registration account. A registrant shall apply for opening a registration account in his own name or his entity's name, and shall not open any registration account by falsely using the name of any other person or entity or with any false certificate. | | 第七条 每个登记主体只能开立一个登记账户。登记主体应当以本人或者本单位名义申请开立登记账户，不得冒用他人或者其他单位名义或者使用虚假证件开立登记账户。 |
| Article 8 When applying for opening a registration account, a registrant shall, according to the relevant provisions of the registry, provide application materials and ensure the authenticity, accuracy, completeness and effectiveness of the relevant application materials. Where another person or entity is entrusted with the handling, a power of attorney and other necessary materials proving the entrusted matters shall be provided as well. | | 第八条 登记主体申请开立登记账户时，应当根据注册登记机构有关规定提供申请材料，并确保相关申请材料真实、准确、完整、有效。委托他人或者其他单位代办的，还应当提供授权委托书等证明委托事项的必要材料。 |
| Article 9 The materials provided by a registrant for applying for opening a registration account shall include the basic information, contact information and relevant supporting materials, among others, on the registrant. | | 第九条 登记主体申请开立登记账户的材料中应当包括登记主体基本信息、联系信息以及相关证明材料等。 |
| Article 10 The registry shall, upon receipt of an application for opening an account, conduct formal examination on the relevant materials submitted by the registrant, and open an account and notify the registrant within five working days after examination of the materials. | | 第十条 注册登记机构在收到开户申请后，对登记主体提交相关材料进行形式审核，材料审核通过后5个工作日内完成账户开立并通知登记主体。 |
| Article 11 For any alteration of the following information, a registrant shall submit supporting materials on alteration of information to the registry in a timely manner and undergo the formalities for alteration of the information on the registration account: | | 第十一条 登记主体下列信息发生变化时，应当及时向注册登记机构提交信息变更证明材料，办理登记账户信息变更手续： |
| (1) The name of the registrant. | | （一）登记主体名称或者姓名； |
| (2) The business license, as well as the type, number and validity period of the valid identification. | | （二）营业执照，有效身份证明文件类型、号码及有效期； |
| (3) Other matters as prescribed by the laws, regulations and departmental rules. | | （三）法律法规、部门规章等规定的其他事项。 |
| The registry shall, within five working days after completing the examination on information alteration materials, alter the account information and notify the registrant. | | 注册登记机构在完成信息变更材料审核后5个工作日内完成账户信息变更并通知登记主体。 |
| For any alteration of the contact number, e-mail, mail address, or any other contact information, a registrant shall update it in the registration account through the registration system in a timely manner. | | 联系电话、邮箱、通讯地址等联系信息发生变化的，登记主体应当及时通过注册登记系统在登记账户中予以更新。 |
| Article 12 A registrant shall appropriately keep the user's name, password and other information on its registration account. All activities under the registration account of a registrant shall be deemed acts of his own or his entity. | | 第十二条 登记主体应当妥善保管登记账户的用户名和密码等信息。登记主体登记账户下发生的一切活动均视为其本人或者本单位行为。 |
| Article 13 The registry finding through the regular inspection of the use of a registration account that a business license or valid identification is inconsistent with the true information or that alteration occurs, but the formalities for alteration of the information on registration account have not been undergone in a timely manner as required, shall adopt such measures as restricting use of the relevant unqualified account, and notify the trading institution where any trading activity is involved. | | 第十三条 注册登记机构定期检查登记账户使用情况，发现营业执照、有效身份证明文件与实际情况不符，或者发生变化且未按要求及时办理登记账户信息变更手续的，注册登记机构应当对有关不合格账户采取限制使用等措施，其中涉及交易活动的应当及时通知交易机构。 |
| A registrant applying for resumption of the use of an unqualified account that has been subject to restricted use and other measures shall apply to the registry for undergoing the formalities for account standardization. Where an account is able to be standardized, the registry shall remove the measure of restricting its use. | | 对已采取限制使用等措施的不合格账户，登记主体申请恢复使用的，应当向注册登记机构申请办理账户规范手续。能够规范为合格账户的，注册登记机构应当解除限制使用措施。 |
| Article 14 Under any of the following circumstances, a registrant or an entity lawfully inheriting rights and obligations shall submit relevant application materials to apply for deregistration of the registration account: | | 第十四条 发生下列情形的，登记主体或者依法承继其权利义务的主体应当提交相关申请材料，申请注销登记账户： |
| (1) A registrant that is a legal person or an unincorporated organization loses the eligibility status due to merger or division, lawful dissolution or bankruptcy, or any other reason. | | （一）法人以及非法人组织登记主体因合并、分立、依法被解散或者破产等原因导致主体资格丧失； |
| (2) A registrant that is a natural person dies. | | （二）自然人登记主体死亡； |
| (3) Other circumstances as prescribed by laws, regulations and departmental rules. | | （三）法律法规、部门规章等规定的其他情况。 |
| When applying for deregistration of a registration account, a registrant shall conclude its relevant business. During the period of applying for and after deregistration of a registration account, a registrant is unable to use the account to carry out any trading or any other relevant operation. | | 登记主体申请注销登记账户时，应当了结其相关业务。申请注销登记账户期间和登记账户注销后，登记主体无法使用该账户进行交易等相关操作。 |
| Article 15 A registrant with objection to the measure of restricting use as set forth in Article 13 may, within 15 working days after the measure comes into force, apply to the registry for review; and the registry shall, within 10 working days upon receipt of an application for review, give a written reply. | | 第十五条 登记主体如对第十三条所述限制使用措施有异议，可以在措施生效后15个工作日内向注册登记机构申请复核；注册登记机构应当在收到复核申请后10个工作日内予以书面回复。 |
| Chapter III Registration | | 第三章 登 记 |
| Article 16 A registrant may inquire about the quantity of carbon emission allowances held, the holding status, and other information through the registration system. | | 第十六条 登记主体可以通过注册登记系统查询碳排放配额持有数量和持有状态等信息。 |
| Article 17 The registry shall, according to the carbon emission allowance allocation scheme developed by the Ministry of Ecology and Environment (“MEE”) and the allowance allocation results determined by the competent provincial department of ecology and environment, handle initial allocation registration for registrants. | | 第十七条 注册登记机构根据生态环境部制定的碳排放配额分配方案和省级生态环境主管部门确定的配额分配结果，为登记主体办理初始分配登记。 |
| Article 18 The registry shall, according to the trading results provided by a trading institution, handle registration of trading, and shall, according to the surrender results of carbon emission allowance confirmed by the competent provincial department of ecology and environment, handle registration of surrender. | | 第十八条 注册登记机构应当根据交易机构提供的成交结果办理交易登记，根据经省级生态环境主管部门确认的碳排放配额清缴结果办理清缴登记。 |
| Article 19 A key emitting entity may offset allowance surrender with Chinese Certified Emission Reduction (CCER) in compliance with the rules of the MEE. The CCER used for surrender shall be deregistered in the national trading registration system for greenhouse gas emission reductions, and the key emitting entity shall submit the relevant supporting materials of deregistration to the registry. The registry shall, after verifying the relevant materials, handle offset registration in accordance with the relevant rules of the MEE. | | 第十九条 重点排放单位可以使用符合生态环境部规定的国家核证自愿减排量抵销配额清缴。用于清缴部分的国家核证自愿减排量应当在国家温室气体自愿减排交易注册登记系统注销，并由重点排放单位向注册登记机构提交有关注销证明材料。注册登记机构核验相关材料后，按照生态环境部相关规定办理抵销登记。 |
| Article 20 Where a registrant voluntarily applies for deregistration of the carbon emission allowances held for greenhouse gas emission reduction or any other public welfare purpose, the registry shall handle the registration of alteration for him or it and issue a relevant certificate. | | 第二十条 登记主体出于减少温室气体排放等公益目的自愿注销其所持有的碳排放配额，注册登记机构应当为其办理变更登记，并出具相关证明。 |
| Article 21 Where carbon emission allowances are assigned by inheritance, compulsory enforcement, or any other method, the registrant or the entity lawfully inheriting the rights and obligations shall submit valid supporting documents to the registry, and the registry shall handle registration of alteration after examination. | | 第二十一条 碳排放配额以承继、强制执行等方式转让的，登记主体或者依法承继其权利义务的主体应当向注册登记机构提供有效的证明文件，注册登记机构审核后办理变更登记。 |
| Article 22 Where a judicial authority requests to freeze the carbon emission allowances of a registrant, the registry shall cooperate with it; where judicial deduction is involved, the registry shall, according to an effective ruling of the people's court, verify the deducted carbon emission allowances of the registrant involved, cooperate in the registration of alteration and make an announcement. | | 第二十二条 司法机关要求冻结登记主体碳排放配额的，注册登记机构应当予以配合；涉及司法扣划的，注册登记机构应当根据人民法院的生效裁判，对涉及登记主体被扣划部分的碳排放配额进行核验，配合办理变更登记并公告。 |
| Chapter IV Information Management | | 第四章 信息管理 |
| Article 23 Where a judicial authority or a state supervisory authority consults the relevant data and materials on the registration of carbon emissions across the country at a registry under the statutory conditions and procedures, the registry shall cooperate. | | 第二十三条 司法机关和国家监察机关依照法定条件和程序向注册登记机构查询全国碳排放权登记相关数据和资料的，注册登记机构应当予以配合。 |
| Article 24 The registry shall, according to the laws, administrative regulations and the relevant rules of the MEE, establish an information management system, and handle the information involving state secrets or trade secrets according to the relevant laws and regulations. | | 第二十四条 注册登记机构应当依照法律、行政法规及生态环境部相关规定建立信息管理制度，对涉及国家秘密、商业秘密的，按照相关法律法规执行。 |
| Article 25 The registry shall establish a management coordination mechanism with the trading institution to realize the interconnection between the registration system and the trading system, and ensure the timely, accurate, safe and effective exchange of relevant data and information. | | 第二十五条 注册登记机构应当与交易机构建立管理协调机制，实现注册登记系统与交易系统的互通互联，确保相关数据和信息及时、准确、安全、有效交换。 |
| Article 26 The registry shall establish a disaster recovery system, a disaster recovery management mechanism and a technical support system to ensure the security of the data and information in the registration system and the trading system, and realize sharing and exchange of information. | | 第二十六条 注册登记机构应当建设灾备系统，建立灾备管理机制和技术支撑体系，确保注册登记系统和交易系统数据、信息安全，实现信息共享与交换。 |
| Chapter V Supervision and Administration | | 第五章 监督管理 |
| Article 27 To strengthen the supervision and administration of the registry and registration activities, the MEE may conduct regulation by inquiring of the registry and its staff members, consulting and copying the information and materials related to the registration activities, and adopting other measures as prescribed by laws and regulations. | | 第二十七条 生态环境部加强对注册登记机构和注册登记活动的监督管理，可以采取询问注册登记机构及其从业人员、查阅和复制与登记活动有关的信息资料、以及法律法规规定的其他措施等进行监管。 |
| Article 28 The competent departments of ecology and environment at all levels and their relevant directly subordinate business support institutions and their staff members, the registry, the trading institution, technical service verification institutions and their staff members shall not hold any carbon emission allowance. Carbon emission allowances having been held shall be transferred in accordance with the law. | | 第二十八条 各级生态环境主管部门及其相关直属业务支撑机构工作人员，注册登记机构、交易机构、核查技术服务机构及其工作人员，不得持有碳排放配额。已持有碳排放配额的，应当依法予以转让。 |
| Anyone who has held or entrusted any other person with the holding of carbon emission allowances before becoming a person as set forth in the preceding paragraph shall transfer the carbon emission allowances and undergo the relevant formalities according to the law, and report all relevant information on the transfer to the employer for recordation. | | 任何人在成为前款所列人员时，其本人已持有或者委托他人代为持有的碳排放配额，应当依法转让并办理完成相关手续，向供职单位报告全部转让相关信息并备案在册。 |
| Article 29 The registry shall appropriately keep the original vouchers of registration, as well as the relevant documents and materials for not less than 20 years, and conduct electronic management of vouchers. | | 第二十九条 注册登记机构应当妥善保存登记的原始凭证及有关文件和资料，保存期限不得少于20年，并进行凭证电子化管理。 |
| ．．．．．． | | ．．．．．． |
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