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Combined mid-term evaluation of two projects: Design and Establish National Voluntary Emission Reduction Project Registry System and National Emissions Trading Scheme Registry System and Provincial Greenhouse Gas Emissions Inventory Capacity Building and Greenhouse gas Emissions Accounting Methodologies for Enterprises of Key Industries Project
Commissioning Unit: China
Evaluation Plan: 2011-2015
Evaluation Type: Project
Completion Date: 12/2012
Unit Responsible for providing Management Response: China
Documents Related to overall Management Response:
1. Recommendation: Recommendation 1: Consider addressing the lack of specific desired outcomes and outputs of the ETS Project in the 2014 Work Plan
Management Response: [Added: 2014/12/29]

NDRC, PMO and research teams have discussed the recommendations, and accept a part of the recommendations in the work of 2014. 1) The software development process is being conducted according to CMMI3 standard. Hence it is not necessary to explicitly include measures for issues relevant to the software development process, such as debugging and software version change. In addition, enough resources have been allocated to the software development. In consideration of functionality changes of the software, it is not necessary to utilize extra measurement for evaluating functionality changes of the software. 2) According to the work plan, a system for analysing the market behaviour of the system will be further developed, by which fraud detection will be specifically addressed. The design of the system will be conducted by cooperating with NEA and adopting professional recommendations of relevant global expertise. In the software design of the system, adequate security measurements have been employed. Therefore it is not necessary to introduce additional security measurements in the project. 3) The stress testing will be performed according to the predetermined stress testing measurement, determined by the analytical result of the peak stress of the system. 4) The user manual will be provided by the software development team. A preliminary version of the manual has been composed. 5) Since the CCER market of China will be launched, and the national registry system is operational, the knowledge of ETS will be preserved and improved during the operation of the CCER market. Capacity building is a tough and long-term task.It is good to implement the training program as early as possible. 6) NDRC, NEA and UNDP agree that the project will extend to December 2014, and relevant documents will be prepared for the extension.

Key Actions:

2. Recommendation: Recommendation 2: Other complementary ETS assistance to NDRC including the ?Partnership for Market Readiness? Project of the World Bank should be documented in NEA progress reports.
Management Response: [Added: 2014/12/29]

The main task of the ?Partnership for Market Readiness? Project (PMR Project) of the World Bank is to improve and modify the Registry System which is developed by the ETS project. The ETS project laid a foundatin for the PMR project. These two projects are complementary. The Climate Change Department of NDRC can provide NEA the PMR project proposal and terms of reference of the subcontractors after the PMR project officially launched.

Key Actions:

3. Recommendation: Recommendation 3: If possible and for reasons of cost-effectiveness, NDRC should consider flexibility clauses in their current procurement process for ETS hardware to ensure that the best possible equipment is available when the State approves operationalization of the ETS system.
Management Response: [Added: 2014/12/29]

The CCER market of China will be launched. When the national registry system is operational, all the hardware procured will be utilized after the commencement of the operation of the national registry system. Chinese government plans to draft and promuglate the laws and regulations of the National Emissions Trading.The National Emisiion Trading will be launched in the near future.The construction and testing of the system must be finished before that. Therefore it is necessary to procure hardware in 2014.

Key Actions:

4. Recommendation: Recommendation 4: NEA and NDRC will need to setup a new disbursement modality where NEA is managing previously-led NDRC managed activities.
Management Response: [Added: 2014/12/29]

Financial Mechanism for new activities (USD500,000 for GHG projects and USD270,000 for ETS Project) for discussion and final endorsement: 1. NEA and NDRC with support from UNDP and the Embassy will endorse the activities for USD500,000 for GHG projects and USD270,000 for ETS Project in AWP 2014 in AC meeting. The minutes of the AC meeting together with 2014 AWP will key documents for NDRC to conduct the new activities. 2. NDRC will prepare TORs and start negotiation with the relevant suppliers according to 2014 AWP and the minutes. Before signing contract, NDRC will send Terms of Reference to UNDP/NEA and relevant information to UNDP. UNDP will submit the TORs and requests to NEA for endorsement. With endorsement of TORs from NEA, UNDP will authorize NDRC to sign contracts with the supplier. 3. Once the contract is signed NDRC will share one copy with UNDP for payment processing according to the milestones for payment. 4. For each payment for the contract, NDRC will need to send requests and relevant information to UNDP. UNDP will submit the request to NEA for endorsement. When NEA agrees with the payment, NEA will authorize UNDP to process the payment to the supplier.

Key Actions:

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