Registry Part II Session 2.3 Element 2 Institutional Infrastructure Kevin Williams Supporting the Design and Implementation of Emissions Trading Systems in China - 中欧碳交易能力建设项目 Beijing , 19 th September 2014 This project/programme is funded by the European Union Project implement by ICF International together with Sinocarbon, SQ Consult and EcofysCurrent status Well-functioning China National ETS Road maps Cap setting Allocation MRVA Registry Market oversight Capacities built over time Supporting the Design and Implementation of Emissions Trading Systems in China - 中欧碳交易能力建设项目ELEMENT 2 INSTITUTIONAL INFRASTRUCTUREWorking Group/ Structure Steering Committee Stakeholder Management Element 2 INSTITUTIONAL INFRASTRUCTURE 1. Implement the overarching Registry policy and regulation in a consistent and transparent manner 1. Establish appropriate Registry governance controls, to manage on-going feedback with all stakeholders 2. Provide a plat to analyze and implement Registry regulation and changes; to establish working group / organisational structureWorking group Define working group for each core element of Registry – Legal – Institutional – Operational – Ination Technology IT Nominate Roles Responsibilities Define the rules for each working groupStructure 1 Consideration of Registry Administrator example for illustration only Level 1 e.g. National Administrator Level 2 e.g. Provincial Administrator Level 3 e.g. Sub –Province Administrator Level of detail Roles Responsibilities Access rights Resources Definitions Procedures Level of Detail Future areas to consider Stakeholder ManagementStructure 2 Consideration of Registry Administrator Access Assurance Model example Illustration only Level 1 Level 2 Level 3 Level 4 Level 5 Level 6 Business Function Controls Different system access points per role responsibility level Activity Activity Activity Approval Assurance Confidentiality Agreements User Identity screening Resource StaffStructure 3 Consideration of Registry Department Team example Head of Registry Helpdesk Legal IT/ Technical Note Resources are normally dependent on a Number of users b Compliance cycle e.g. surrendering allowances Steering Committee Establishment of “Registry” steering committee responsible for governance and oversight Example of Governance Structure for demonstration purpose only Stakeholder Management A forum through which “Registry” stakeholders are engaged and feedback incorporatedThe authorities what needs to be done Establish “Registry’ Function within authority or regulator 1. Domestic Legislation legal status/rules/mandate 2. Institutional framework governance, roles responsibilities 3. Resources management/ technical/ helpdesk etc. 4. Know- how legal, registry, IT, operations 5. IT Infrastructure strategy, funding, future proof 6. Quality Assurance /Control standard procedures, audits, continuous improvement 7. Implementation plan project planning, IT Implementation, resources, training 8. Operational plan planning, schedule, resources 9. Capacity building for operators training, website with training materials 10. Reporting government and others The operator – what needs to be done Establish “Registry’ Function within Reporting Entities 1. Institutional framework governance, roles responsibilities for registry account compliance 2. Resources people, budget 1. Know- how understand legal obligations, registry, guidance, ETS regulations 2. Reporting according to registry guidance / legal requirements 3. Manage compliance cycle get allowances, reporting, verification, cancel allowances