【中英文对照版】碳排放权交易管理暂行条例.docx

碳排放权交易管理暂行条例InterimRegulationontheAdministrationofCarbonEmissionTrading制定机关：国务院发文字号：中华人民共和国国务院令第775号公布日期:2024.01.25施行日期：2024.05.01效力位阶：行政法规法规类别：环保综合规定IssuingAuthority：StateCouncilDocumentNumber：OrderNo.775oftheStateCouncilofthePeople'sRepublicofChinaDateIssued：01-25-2024EffectiveDate:05-01-20241.evelofAuthority：AdministrativeRegulationsAreaofLaw:GeneralProvisionsonEnvironmentalProtection中华人民共和国国务院令OrderoftheStateCouncilofthePeople'sRepublicofChina(No. 775)碳排放权交易管理暂行条 例已经2024年1月5日国 务院第23次常务会议通过， 现予公布，自2024年5月1 日起施行。总理李强2024年1月25日(第775号)TheInterimRegulationontheAdministrationofCarbonEmissionTrading,asadoptedatthe23rdexecutivemeetingoftheStateCouncilonJanuary5,2024,isherebyissuedandshallcomeintoforceonMay1,2024.Premier:LiQiangJanuary25,20241.lterim呻吧ionontheAdministrationofCarbon碳排放权交易管理暂行条例EmissionTradingArticle1ThisRegulationisdevelopedforthepurposesofregulatingthecarbonemissionstradingandrelatedactivities,strengtheningthecontrolovergreenhousegasemissions,activelyandsteadilypromotingachievingcarbondioxidepeakingandcarbonneutrality,promotinggreenandlow-carboneconomicandsocialdevelopment,andpromotingtheconstructionofecologicalcivilization.Article2ThisRegulationshallapplytocarbonemissionstradingandrelatedactivitiesinthenationalcarbonemissionstradingmarket.Article3Intheadministrationofcarbonemissionstradingandrelatedactivities,theleadershipoftheCommunistPartyofChinashallbeinsistedon,theline,principles,policiesanddecision-makingarrangementsofthePartyandthestateshallbeimplemented,theadaptationofgreenhousegasemissioncontroltoeconomicandsocialdevelopmentshallbeinsistedon,thecombinationofgovernmentguidanceandmarketregulationshallbeinsistedon,andtheprinciplesofopenness,fairnessandjusticeshallbefollowed.Thestateshallstrengtheninternationalcooperationandexchangesinthefieldofcarbonemissionstrading.第一条为了规范碳排 放权交易及相关活动，加强 对温室气体排放的控制，积 极稳妥推进碳达峰碳中和， 促进经济社会绿色低碳发 展，推进生态文明建设，制 定本条例。第二条本条例适用于 全国碳排放权交易市场的碳 排放权交易及相关活动。第三条碳排放权交易 及相关活动的管理，应当坚 持中国共产党的领导，贯彻 党和国家路线方针政策和决 策部署，坚持温室气体排放 控制与经济社会发展相适 应，坚持政府引导与市场调 节相结合，遵循公开、公 平、公正的原则。国家加强碳排放权交易领域 的国际合作与交流。第四条国务院生态环 境主管部门负责碳排放权交 易及相关活动的监督管理工 作。国务院有关部门按照职 责分工，负责碳排放权交易 及相关活动的有关监督管理 工作。Article4ThecompetentdepartmentofecologyandenvironmentoftheStateCouncilshallberesponsibleforthesupervisionandadministrationofcarbonemissionstradingandrelatedactivities.TherelevantdepartmentsoftheStateCouncilshall,inaccordancewiththedivisionofresponsibilities,beresponsibleforthesupervisionandadministrationofcarbonemissionstradingandrelatedactivities.Thecompetentdepartmentsofecologyandenvironmentofthelocalpeople,sgovernmentsshallberesponsibleforthesupervisionandadministrationofcarbonemissionstradingandrelatedactivitieswithintheirrespectiveadministrativeregions.Therelevantdepartmentsofthelocalpeople,sgovernmentsshall,inaccordancewiththedivisionofresponsibilities,beresponsibleforthesupervisionandadministrationofcarbonemissionstradingandrelatedactivitieswithintheirrespectiveadministrativeregions.Article5Thenationalcarbonemissionsregistrationinstitutionshall,inaccordancewiththerelevantprovisionsofthestate,beresponsiblefortheregistrationofcarbonemissionstradingproductsandprovideservicessuchastransactionsettlement.Thenationalcarbonemissionstradinginstitutionshall,inaccordancewithrelevantrulesofthestate,beresponsiblefororganizingcentralizedandunifiedcarbonemissionstrading.Feesforregistrationandtransactionsshallbereasonable,andthefeeitems,standardsandadministrativemeasuresshallbepublished.Thenationalcarbonemissionsregistrationinstitutionandthenationalcarbonemissionstradinginstitutionshall,inaccordancewiththerelevantrulesofthestate,improvetherelevantbusinessrulesandestablishasystemforriskpreventionandcontrolandinformationdisclosure.地方人民政府生态环境主管 部门负责本行政区域内碳排 放权交易及相关活动的监督 管理工作。地方人民政府有 关部门按照职责分工，负责 本行政区域内碳排放权交易 及相关活动的有关监督管理 工作。第五条全国碳排放权 注册登记机构按照国家有关 规定，负责碳排放权交易产 品登记，提供交易结算等服 务。全国碳排放权交易机构 按照国家有关规定，负责组 织开展碳排放权集中统一交 易。登记和交易的收费应当 合理，收费项目、收费标准 和管理办法应当向社会公 开。全国碳排放权注册登记机构 和全国碳排放权交易机构应 当按照国家有关规定，完善 相关业务规则，建立风险防 控和信息披露制度。国务院生态环境主管部门会 同国务院市场监督管理部 门、中国人民银行和国务院 银行业监督管理机构，对全 国碳排放权注册登记机构和 全国碳排放权交易机构进行ThecompetentdepartmentofecologyandenvironmentoftheStateCouncilshall,inconjunctionwiththemarketregulationdepartmentoftheStateCouncil,thePeople'sBankofChinaandthebankingregulatoryinstitutionoftheStateCouncil,conductsupervisionandadministrationofthenationalcarbonemissionsregistrationauthoritiesandthenationalcarbonemissionstradinginstitution,andstrengtheninformationsharingandcooperationinlawenforcement.Carbonemissionstradingshallbegraduallyintegratedintoaunifiedpublicresourcetradingplatformsystem.Article6ThetypesandindustryscopeofgreenhousegasescoveredbycarbonemissionstradingshallbestudiedandputforwardbythecompetentdepartmentofecologyandenvironmentoftheStateCouncilinconjunctionwiththerelevantdepartmentofdevelopmentandreformoftheStateCouncilandotherrelevantdepartmentsaccordingtothenationalgreenhousegasemissioncontrolobjectives,andbeimplementedafterbeingsubmittedtotheStateCouncilforapproval.CarbonemissiontradingproductsincludecarbonemissionquotasandotherspottradingproductsapprovedbytheStateCouncil.Article7Keygreenhousegasemissionentities(hereinafterreferredtoasukeyemissionentities,)includedinthenationalcarbonemissionstradingmarketandotherentitiesthatcomplywiththerelevantrulesofthestatemayparticipateincarbonemissionstrading.监督管理，并加强信息共享 和执法协作配合。碳排放权交易应当逐步纳入 统一的公共资源交易平台体 系。第六条碳排放权交易 覆盖的温室气体种类和行业 范围，由国务院生态环境主 管部门会同国务院发展改革 等有关部门根据国家温室气 体排放控制目标研究提出， 报国务院批准后实施。碳排放权交易产品包括碳排 放配额和经国务院批准的其 他现货交易产品。第七条纳入全国碳排 放权交易市场的温室气体重 点排放单位（以下简称重点 排放单位）以及符合国家有 关规定的其他主体，可以参 与碳排放权交易。生态环境主管部门、其他对 碳排放权交易及相关活动负 有监督管理职责的部门（以 下简称其他负有监督管理职 责的部门）、全国碳排放权 注册登记机构、全国碳排放 权交易机构以及本条例规定Thestaffmembersofthecompetentdepartmentsofecologyandenvironment,otherdepartmentsresponsibleforsupervisionandadministrationofcarbonemissionstradingandrelatedactivities(hereinafterreferredtoasuotherdepartmentsresponsibleforsupervisionandadministration"),thenationalcarbonemissionsregistrationinstitution,thenationalcarbonemissionstradinginstitutionandthetechnicalserviceinstitutionsprovidedforinthisRegulationshallnotparticipateincarbonemissionstrading.Article8ThecompetentdepartmentofecologyandenvironmentoftheStateCouncilshall,inconjunctionwiththerelevantdepartmentsoftheStateCouncil,developtheconditionsforthedeterminationofkeyemissionentitiesaccordingtothenationalgreenhousegasemissioncontrolobjectives.Thecompetentdepartmentsofecologyandenvironmentofthepeople,sgovernmentsofprovinces,autonomousregionsandmunicipalitiesdirectlyundertheCentralGovernment(hereinafterreferredtoasthe“provincialpeople'sgovernments")shall,inconjunctionwiththerelevantdepartmentsatthesamelevel,developtheannuallistofkeyemissionentitiesintheirrespectiveadministrativeregionsinaccordancewiththeconditionsfordeterminationofkeyemissionentities.Theconditionsfordeterminingkeyemissionentitiesandtheannuallistofkeyemissionentitiesshallbepublishedtothepublic.的技术服务机构的工作人 员，不得参与碳排放权交 易。第八条国务院生态环 境主管部门会同国务院有关 部门，根据国家温室气体排 放控制目标，制定重点排放 单位的确定条件。省、自治 区、直辖市人民政府（以下 统称省级人民政府）生态环 境主管部门会同同级有关部 门，按照重点排放单位的确 定条件制定本行政区域年度 重点排放单位名录。重点排放单位的确定条件和 年度重点排放单位名录应当 向社会公布。第九条国务院生态环 境主管部门会同国务院有关 部门，根据国家温室气体排 放控制目标，综合考虑经济 社会发展、产业结构调整、 行业发展阶段、历史排放情 况、市场调节需要等因素， 制定年度碳排放配额总量和 分配方案，并组织实施。碳 排放配额实行免费分配，并 根据国家有关要求逐步推行 免费和有偿相结合的分配方Article9ThecompetentdepartmentofecologyandenvironmentoftheStateCouncilshall,inconjunctionwithrelevantdepartmentsoftheStateCouncil,developthetotalannualcarbonemissionquotasanddistributionplansandorganizetheimplementationaccordingtothenationalgreenhousegasemissioncontrolobjectives,incomprehensiveconsiderationoffactorssuchaseconomicandsocialdevelopment,adjustmenttotheindustrialstructure,industrialdevelopmentstage,historicalemissionsandmarketregulationneeds.Carbonemissionallowancesshallbedistributedfreeofcharge,andacombinationoffreeandcompensatedallocationshallbegraduallywith the relevantimplementedinaccordancerequirementsofthestate.Thecompetentdepartmentofecologyandenvironmentofthepeople'sgovernmentattheprovinciallevelshall,inconjunctionwiththerelevantdepartmentsatthesamelevel,grantcarbonemissionquotastokeyemissionentitieswithinitsadministrativeregionaccordingtothetotalannualcarbonemissionquotasandtheallocationplan,andshallnotgrantoradjustcarbonemissionquotasinviolationofthetotalannualcarbonemissionquotasandtheallocationplan.Article10InaccordancewiththeprovisionsofArticles6,8and9ofthisRegulation,opinionsfromprovincialpeople'sgovernments,relevantindustryassociations,enterprisesandpublicinstitutions,expertsandthepublicshallbesolicitedforstudyingandputtingforwardthetypesandindustryscopeofgreenhousegasescoveredbycarbonemissionstrading,anddevelopingtheconditionsfordeterminingkeyemissionentitiesandthetotalannualcarbonemissionquotasanddistributionplans.式。省级人民政府生态环境主管 部门会同同级有关部门，根 据年度碳排放配额总量和分 配方案，向本行政区域内的 重点排放单位发放碳排放配 额，不得违反年度碳排放配 额总量和分配方案发放或者 调剂碳排放配额。第十条依照本条例第 六条、第八条、第九条的规 定研究提出碳排放权交易覆 盖的温室气体种类和行业范 围、制定重点排放单位的确 定条件以及年度碳排放配额 总量和分配方案，应当征求 省级人民政府、有关行业协 会、企业事业单位、专家和 公众等方面的意见。第十一条重点排放单 位应当采取有效措施控制温 室气体排放，按照国家有关 规定和国务院生态环境主管 部门制定的技术规范，制定 并严格执行温室气体排放数 据质量控制方案，使用依法 经计量检定合格或者校准的 计量器具开展温室气体排放 相关检验检测，如实准确统 计核算本单位温室气体排放 量，编制上一年度温室气体 排放报告（以下简称年度排Article11Keyemissionentitiesshalltakeeffectivemeasurestocontrolgreenhousegasemissions,developandstrictlyimplementgreenhousegasemissiondataqualitycontrolplansinaccordancewiththerelevantrulesofthestateandthetechnicalspecificationsdevelopedbythecompetentdepartmentofecologyandenvironmentoftheStateCouncil,andcarryoutinspectionandtestingrelatedtogreenhousegasemissionwithlawfullycertifiedorcalibratedmeasuringinstruments,truthfullyandaccuratelyconductstatisticsofgreenhousegasemissions,preparethegreenhousegasemissionreportsforthepreviousyear(hereinafterreferredtoasthe"annualemissionreportsn),andsubmitthestatisticalemissionaccountingdataandannualemissionreportstothecompetentdepartmentsofecologyandenvironmentoftheprovincialpeople'sgovernmentswheretheirproductionandbusinessoperationpremisesarelocatedinaccordancewiththeprovisions.Keyemissionentitiesshallberesponsiblefortheauthenticity,integrityandaccuracyoftheiremissionstatisticalaccountingdataandannualemissionreports.Keyemissionentitiesshall,inaccordancewiththerelevantrulesofthestate,disclosetothepublictheinformationsuchasthevolumeofemissions,dischargingfacilitiesandstatisticalaccountingmethodsintheirannualemissionreports.Theoriginalrecordsandmanagementledgersofthedatainvolvedintheannualemissionsreportsshallbekeptforatleastfiveyears.Keyemissionentitiesmayentrustrelevantinspectionandtestingofgreenhousegasemissionsandpreparationofannualemissionreportstolawfullyformedtechnicalserviceinstitutions.放报告），并按照规定将排 放统计核算数据、年度排放 报告报送其生产经营场所所 在地省级人民政府生态环境 主管部门。重点排放单位应当对其排放 统计核算数据、年度排放报 告的真实性、完整性、准确 性负责。重点排放单位应当按照国家 有关规定，向社会公开其年 度排放报告中的排放量、排 放设施、统计核算方法等信 息。年度排放报告所涉数据 的原始记录和管理台账应当 至少保存5年。重点排放单位可以委托依法 设立的技术服务机构开展温 室气体排放相关检验检测、 编制年度排放报告。第十二条省级人民政 府生态环境主管部门应当对 重点排放单位报送的年度排 放报告进行核查，确认其温 室气体实际排放量。核查工 作应当在规定的时限内完 成，并自核查完成之日起7 个工作日内向重点排放单位 反馈核查结果。核查结果应当向社会公开。Article12Thecompetentdepartmentsofecologyandenvironmentofthepeople,sgovernmentsattheprovinciallevelshallverifytheannualemissionreportssubmittedbykeyemissionentitiestoconfirmtheiractualgreenhousegasemissions.Theverificationworkshallbecompletedwithintheprescribedtimelimit,andtheverificationresultsshallbeissuedtothekeyemissionentitieswithinsevenworkingdaysfromthedateofcompletionoftheverification.Theverificationresultsshallbedisclosedtothepublic.Thecompetentdepartmentsofecologyandenvironmentofthepeople'sgovernmentsattheprovinciallevelmay,throughthegovernmentpurchaseofservices,entrustlawfullyestablishedtechnicalreviewoftheannualemissionreportstolawfullyformedtechnicalserviceinstitutions.Keyemissionentitiesshallcooperatewithtechnicalserviceinstitutionsincarryingouttechnicalreview,andtruthfullyproviderelevantdataandmaterials.Article13Technicalserviceinstitutionsentrustedtocarryoutinspectionandtestingofgreenhousegasemissionsshallsatisfytherequirementsoftherelevantnationaltechnicalregulationsandspecifications,andassumecorrespondingresponsibilitiesfortheinspectionandtestingreportsissuedbythem,andshallnotissuefalseorfraudulentinspectionandtestingreports.keyemissionentitiesshallprepareandsubmitsamplesforinspectioninaccordancewiththerelevantrulesofthestateandberesponsiblefortherepresentativenessandauthenticityofthesamples.省级人民政府生态环境主管 部门可以通过政府购买服务 等方式，委托依法设立的技 术服务机构对年度排放报告 进行技术审核。重点排放单 位应当配合技术服务机构开 展技术审核工作，如实提供 有关数据和资料。第十三条接受委托开 展温室气体排放相关检验检 测的技术服务机构，应当遵 守国家有关技术规程和技术 规范要求，对其出具的检验 检测报告承担相应责任，不 得出具不实或者虚假的检验 检测报告。重点排放单位应 当按照国家有关规定制作和 送检样品，对样品的代表 性、真实性负责。接受委托编制年度排放报 告、对年度排放报告进行技 术审核的技术服务机构，应 当按照国家有关规定，具备 相应的设施设备、技术能力 和技术人员，建立业务质量 管理制度，独立、客观、公 正开展相关业务，对其出具 的年度排放报告和技术审核 意见承担相应责任，不得篡 改、伪造数据资料，不得使 用虚假的数据资料或者实施 其他弄虚作假行为。年度排 放报告编制和技术审核的具Technicalserviceinstitutionsacceptingentrustmenttoprepareannualemissionreportsandconducttechnicalreviewofannualemissionreportsshall,inaccordancewiththerelevantrulesofthestate,haveappropriatefacilities,equipment,technicalcapabilitiesandtechnicalpersonnel,establishabusinessqualitymanagementsystem,independently,objectivelyandimpartiallycarryoutrelevantbusiness,andassumecorrespondingresponsibilitiesfortheannualemissionreportsandtechnicalreviewopinionsandtechnicalreviewopinionsissuedbythem,withouttamperingwithorforgedata,usingfalsedataorcommittingotheractsoffalsification.SpecificadministrativemeasuresforthepreparationofannualemissionreportsandtechnicalreviewshallbedevelopedbythecompetentdepartmentofecologyandenvironmentoftheStateCouncilinconjunctionwithrelevantdepartmentsoftheStateCouncil.Withinthesameprovince,autonomousregionormunicipalitydirectlyunderthecentralGovernment,atechnicalserviceinstitutionshallnotconcurrentlycarryoutpreparationofannualemissionreportsandthetechnicalreview.Article14Keyemissionentitiesshallpaytheircarbonemissionquotasinfullaccordingtotheverificationresultsoftheannualemissionreportsbythecompetentdepartmentsofecologyandenvironmentoftheprovincialpeople'sgovernmentwithinthetimelimitprescribedbythecompetentdepartmentofecologyandenvironmentoftheStateCouncil.Keyemissionentitiesmaybuyorsellcarbonemissionquotasthroughthenationalcarbonemissionstradingmarket,andthecarbonemissionquotaspurchasedbythemmaybeusedforsettlement.Keyemissionentitiesmay,inaccordancewiththerelevantrulesofthestate,purchasecertifiedgreenhousegasemissionreductionsforthepurposeofsettlingtheircarbonemissionquotas.Article15Thecarbonemissionstradingmayadopttheformoftransferbyagreement,one-waybiddingorotherspottradingincompliancewiththerelevantrulesofthestate.体管理办法由国务院生态环 境主管部门会同国务院有关 部门制定。技术服务机构在同一省、自 治区、直辖市范围内不得同 时从事年度排放报告编制业 务和技术审核业务。第十四条重点排放单 位应当根据省级人民政府生 态环境主管部门对年度排放 报告的核查结果，按照国务 院生态环境主管部门规定的 时限，足额清缴其碳排放配 额。重点排放单位可以通过全国 碳排放权交易市场购买或者 出售碳排放配额，其购买的 碳排放配额可以用于清缴。重点排放单位可以按照国家 有关规定，购买经核证的温 室气体减排量用于清缴其碳 排放配额。第十五条碳排放权交 易可以采取协议转让、单向 竞价或者符合国家有关规定 的其他现货交易方式。禁止任何单位和个人通过欺诈、恶意串通、散布虚假信Noentityorindividualisallowedtomanipulatethenationalcarbonemissionstradingmarketordisrupttheorderofthenationalcarbonemission