Appendix 3
Instructions on Filling in Green Credit Statistics Form
Part 1: Introduction
This form is formulated in accordance with 12th Five-Year Plan Comprehensive Energy Saving and Emission Reduction Program, 12th Five-Year Plan Energy Saving and Emissions Reduction Plan, 12th Five-Year Plan Environmental Protection Plan and other relevant national macro-control policies; in accordance with the Banking Supervisory Law, the Commercial Banking Law and other relevant laws and regulations of the People’s Republic of China, in order to collect the data on green credit from banking institutions and reflect the results of their performance of implementing green credit.
Part 2: General instructions
Title of the form: Green Credit Statistics Form
Form code:CBRC Statistics〔2013〕No. 006
Organizations required to fill in and to submit the form:policy banks, state owned commercial banks, joint-stock commercial banks, and postal savings bank.
Submission scope, frequency and time:domestic branches of banking institutions shall collect the data (includes overseas project loans) and submit it every half year - within 25 days from the start of the 2nd half year and within 45 days from the beginning of the year.
Submission method:the form must be submitted to the CBRC in an electronic format.
Numerical units to be used:Chinese Yuan (CNY) (10 thousands), ton, unit
Numbers must be rounded up to two decimal places.
Currency: foreign currency must be converted to CNY using the market exchange rate at the end of the reporting period. Banking institutions must, when converting foreign currency into CNY, use the benchmark exchange rate of CNY against the US dollar, the euro, the Japanese yen, and the Hong Kong dollar, as released on the last trading day of the reporting period by the State Administration of Foreign Exchange (SAFE). When converting those other than the above-said currencies into CNY, the cross rate should be used which is determined by the benchmark exchange rate of CNY against the US Dollar released on the last trading day of the reporting period by SAFE and the rate of other currencies against the US dollar on the international foreign exchange market at 9:00 am of the same day.
Part 3: Instruction Details
1. Data Sources for the Filling
The information of lending, to enterprises which fail to meet the requirements of laws and regulations on the environmental protection, safety production and prevention and control of occupational diseases but have not taken necessary measures to make improvement, should be filled in based on the list of such enterprises provided by the authorities of environmental protection and safety production. “Relevant Measures Taken” should be defined as measures already have been completed or be in progress. All planned measures, must be entered in the “Other” category.
The information of lending, to enterprises which hold outdated capacities but have not undergone elimination, should be filled in based on the list of enterprises with outdated capacities published by the Ministry of Industry and Information Technology, National Energy Administration, and provincial-level authorities. The enterprises, which are considered to have completed the elimination of outdated capacities, should be confirmed by an announcement of the completion of this task issued by relevant national or provincial – level authorities.
The amount of energy saving and emission reduction achieved by the loan financing should correspond to the categories defined in the project approval documents, feasibility study report or environmental impact assessment (the “documents”) and in proportion to the data given in the documents and the ratio of the loan balance to the project’s total investment. In case of inconsistencies occurred among the data given in documents, the data from the environmental impact assessment dominates. If the documents fail to provide data, the results calculated following the Guidelines for Calculation of the Amounts of Energy Saving and Emission Reduction for Green Credit Projects (Appendix 4) could be used for completing the form. The amounts of energy saving and emission reduction by the loan financing can be reported only for the loan period and should be calculated based on the ratio of loan balance to the project’s total investment, with a formula as follows:
AMOUNTS OF ENERGY SAVING AND EMISSION REDUCTION ACHIEVED BY LOAN FINANCING = LOAN BALANCE GRANTED TO THE PROJECT / PROJECT’S TOTAL INVESTMENT x ANNAUL AMOUNTS OF ENERGY SAVING AND EMISSION REDUCTION ACHIEVED BY THE COMPLETED PROJECT
2. Lending Sectors
When filling and listing lending to industrial sectors, the actual purpose of funding rather than the sector into which the borrower falls should be based. The specific principles are as follows: the filling should be based on the purpose of funding agreed in the borrowing contract; the filling is not required for lending which fail to identify its actual purpose; for lending funding different projects or activities (services), only one purpose of lending is allowed for filling and whole lending must be assigned to the main investment direction.
Lending to overseas projects which adopt international conventions or international standards should be filled in separately, instead of entering into [1.]- [11.].
3. Indicator Explanation
(1) Explanation of Indicators in Appendix 1.
[Enterprises or projects in violation of environmental protection laws and regulations]. Include: (1) project construction suspended by the order of environmental protection authorities for violating related stipulation in the environmental impact assessment laws on the environmental protection management at the project construction stage; (2) projects discontinuing from production and operation by the order of environmental protection authorities for projects violating related stipulation in environmental impact assessment laws on environmental protection management at the project delivery stage; (3) projects ordered by the People’s Government of the cities or counties where located to shut down for failing to satisfy national industrial policies or resulting in serious environmental pollution; (4) enterprises ordered by environmental protection authorities to suspend production and operations for rectification because of failing to fulfil the payment for pollution emission; (5) enterprises misplacing sewage outlets and underground pipes against related laws and regulations and have been given a deadline for removal or ordered to suspend production for rectification; (6) enterprises ordered to suspend operations and shut down for failing to complete the rectification task before the deadline given ; (7) enterprises whose hazardous waste operation license has been revoked for conducting collection, stockpiling, usage and disposal of hazardous waste against the rules required by the license; (8) enterprises and projects responsible for catastrophic and calamitous environmental pollution accidents or incidents; (9) enterprises blacklisted and closely monitored by the environmental protection authorities for violating environmental laws and regulations and having caused considerable environmental pollution and social unrest; (10) enterprises and projects involved in other serious violations of environmental regulations.
[Enterprises or projects in violation of production safety laws and regulations] Include: (1) those responsible for major production safety accidents; (2) those conceal or falsely report major productions safety accidents; (3) those blacklisted and closely monitored for holding potentially great safety dangerous; (4) those ordered by safety supervisory authority to suspend production for rectification; (5) those proposed by safety supervisory authority to shut down; (6) those whose safety production license has been temporarily withheld; (7) those whose safety production license has been revoked; (8) those which fail to meet the requirements of production safety standardization.
[Enterprises or projects with outdated production capacities]: Those listed by the Ministry of Industry and Information Technology, the National Energy Administration, and provincial level authorities as enterprises or projects required to eliminate outdated production capacities.
[Enterprises and projects falling short of standard for occupational disease prevention and control]: Include: (1) those failing to declare projects vulnerable to occupational disease hazards; (2) those which have failed to file occupational health monitoring records; (3) those fail to fulfill the requirement that occupational health facilities should be simultaneously designed, simultaneously constructed and simultaneously put into use (collectively known as "Three Simultaneous Measures") with the main project construction; (4) those which fail to meet the standards of occupational health hazard communication; (5) those which fail to meet the requirements of occupational health physical exam; (6) those which fail to pass the occupational disease hazard factor check; (7) those responsible for causing serious mass occupational health accidents.
(2) Explanation of Indicators in Appendix 2
[1.Green Agriculture Development projects]: Projects involving in modern integrated approach of crop breeding, reproduction and promotion and organic agriculture production.
Modern integrated approach of crop breeding, reproduction and promotion include: (1) Commercial cultivation capacity building projects, including projects involving amelioration of breeding facilities, introduction of new breeding materials and key equipment, and construction of breeding test centers; (2) Seed production and supply capacity building projects, including construction of field networks, irrigation networks, road networks, and soil fertilization for seed breeding; purchasing of equipment to achieve full-process mechanization; and supplementary facilities construction projects, such as drying, cleaning & selection, processing, storage and test; (3) Services capacity building, including establishing new breed demonstration networks, seed marketing, technology promotion, information services mechanisms, setting up seed chain-stores in rural areas, distribution centers, retail stores and other grassroots distribution network projects.
Complying with the specific principles of agricultural production, the organic agriculture production should abstain from using genetically modified biological materials and products and from using synthetic chemical pesticides, fertilizers, growth enhancers and forage additives. The organic agriculture production should follow ecological principles and natural laws to achieve a balance between farming and livestock raising and adopt a series of sustainable agricultural techniques to maintain sustainable and stable agricultural production system. The organic agriculture production includes projects relating to organic farming, organic livestock breeding and organic processing as well as those providing support and services for organic agriculture production
[2.Green Forestry Development projects]: projects dedicated to cultivation of forestry resources featuring improved varieties prolification, germchit production, afforestation, tending and management, as well as projects of forest-understory produce production and live-stock raising under the auspices of forestry resources and ecosystems.
[3.Industrial energy and water conservation and environmental protection projects]: Refer to projects carried out in the industrial sectors for upgrading technology and processes, equipment and facilities, and control centers with an aim to achieve energy conservation, water saving and pollutant-emission reduction, to strengthen environmental protection, and to raise levels of production safety and of prevention and control of occupational illnesses. Also includes cogeneration and trigeneration projects.
[4. Nature protection, ecological restoration and disaster prevention projects]: Refer to projects dedicated to nature protection, ecological restoration and disaster prevention, including those of natural ecosystems protection, such as natural forestry; developing natural protection areas for marine, forest, wildlife, wetland, desert and grassland and projects with ecological demonstration; marine environmental protection and ecosystem restoration; comprehensive measures to combat soil erosion; water sources conservation; conservation and restoration of aquatic ecosystems and underground waters; prevention, control and adaptation of droughts and floods; and mining site ecosystem and environmental restoration.
[5. Resource recycling projects]: Refer to projects of mineral resource comprehensive utilization, bulk solid waste comprehensive utilization, transforming construction waste and road bitumen into resources, utilizing kitchen waste as resource, auto parts and electromechanical products remaking, resource recycling projects, utilizing agriculture and forestry waste as resource, and “urban mining” demonstrative base development.
[6.Waste disposal and pollution prevention and control projects]: Refer to projects dealing with non-industrial sewage, waste and contaminated sludge treatment, dangerous waste disposal, and environmental management projects dedicated to air and water pollution and pervasive pollution in rural areas.
[7.1 Solar power projects]: Refer to construction, operation, and maintenance projects in association with utilizing solar power for electricity generation and heat provision.
[7.2 Wind power projects]:Refer to construction projects of utilizing wind power for electricity generation, and operation and maintenance of wind power stations.
[7.3 Biomass power generation projects]: Refer to construction, operation and maintenance projects in association withutilization of biomass for electricity generation and heat provision.
[7.4 Hydropower projects]: Refer to engineering projects converting potential and kinetic energy inherited in rivers, lakes, canals and other waterbodies, into electrical power, as well as operation and maintenance of hydropower stations.
[7.5 Other renewable and clean energy sources projects]: Refer to projects in association with the engineering construction of power generated from geothermal, tidal, and other renewable energy sources, as well as from natural gas and other clean energy sources, and operation and maintenance of power stations. Also refer to projects involving clean energy promotion and usage, such as coal–to-gas, coal-to-electricity projects as well as biogas construction projects in rural areas.
[7.6 Smart grid projects]: Refer to grid projects which integrate new energies, materials, equipment and advanced information, control, and energy-storage technology to achieve digital management, smart decision-making and interactive transactions during the process of power generation, transmission, distribution, usage and storage so as to optimize resource allocation, satisfy the customers’ demand for diversified power, ensure power supply with safety, reliability and economy, adapt to the environmental restriction, and meet the requirements of market-oriented power development.
[8.1 Rural drinking water safety engineering projects]:Refer to projects built to ensure the safety of drinking water in rural areas.
[8.2 Small -scale irrigation and water conservation facilities construction projects]: Refer to continuing construction, infrastructure-building and renovation of existing small scale irrigation and water saving facilities and last stage ditch systems in large to medium irrigation area, engineering of building highly efficient water-saving irrigation systems suitable to local conditions and new small-scale water source in a proper way, engineering involving construction of efficient irrigation systems, five types of small water-saving projects (“small cistern, small pond, small pumping station, small embankment, small ditch”) in mountainous areas, and rivers and lakes dredging and improvement projects in rural areas. Including: (1) Small-scale water source engineering projects: including lake and pond embankments (capacity below 100,000m3) construction, water diversion weir gates (flow rate below 1m3/sec) construction, small-scale irrigation water pumping stations (installed capacity below 1000kw) construction, electromechanical irrigation wells and rainwater collection and usage (capacity below 500m3) engineering construction projects. (2) Irrigation ditch systems engineering projects: including last stage ditch system in large scale irrigated districts and 50-300 thousand mu medium and large irrigation area (flow rate below 1m3/sec), irrigation ditch systems and ancillary buildings for areas under 50,000 mu; (3) High efficiency water saving engineering projects: including irrigation, sprinkler irrigation and micro-irrigation with water pipelines; (4) Drainage engineering projects: including small scale drainage pumping stations (installed capacity below 1000 kw) as well as drainage ditch and ancillary buildings for areas below 30,000 mu; (5) Dredging and improvement of rivers and lakes in rural areas: including dredging rivers and lakes and improving waterways in rural areas with the functions of irrigation and drainage and with drainage basin areas of less than 50km2; (6) infrastructure for farm lands: including construction of required tractor-ploughing lanes and bridges for production; (7) highly efficient water-saving irrigation of pastoral land in grazing areas; (8) where necessary, water measurement facilities and irrigation experimental stations.
[8.3 Urban water saving projects]: Refers to projects dedicated to the improvement of urban water distribution system in order to reduce the rate of water loss from pipes leakage, comprehensive utilization of water resources, sustainable use of unconventional water resources, and other urban water-saving projects.
[9.1 Greening existing buildings projects]: Refers to projects focusing on making green comprehensive modifications to the building envelope, energy and water facilities, and energy meter appliances for existing buildings. The modified building must be complied with one-star rating requirements in the Green Buildings Evaluation Standards (GB/T50378-2006).
[9.2 Green building development, construction, operation and maintenance projects]: Refers to (1) High star rating green buildings, which must comply with two star or higher rating of Green Buildings Evaluation Standards; (2) Green ecological urban areas, referring to new urban area planned following green, ecological and low carbon principles with a feature of collective and contiguous development with all new buildings fully complying with at least one star evaluation standards stated in Green Buildings Evaluation Standards, of which 30% of new buildings must satisfy at least two-star ranking standard, and the scale of newly-constructed green buildings within 2 years must be no less than 2 million square metres; (3) green indemnificatory housing, which must meet the green-building standard of one-star rating and above with total area of at least 5000m2.
[10.1Railway transportation projects]: Refer to construction of railway lines on the entire national territory (excluding Hong Kong, Macau and Taiwan), including railway infrastructure construction and equipment purchasing, as well as railway technology upgrading and equipment & facilities renovation.
[10.2 Waterways management and vessel purchasing projects]: Refer to high-grade inland waterway management engineering, purchasing of standardized vessels of inland waterway, and purchasing of coastal and ocean – going cargo ships.