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Notice by the People's Bank of China of Issues concerning Strengthening the Supervision and Administration of Green Financial Bonds in the Duration [Effective]
中国人民银行关于加强绿色金融债券存续期监督管理有关事宜的通知 [现行有效]
【法宝引证码】

Notice by the People's Bank of China of Issues concerning Strengthening the Supervision and Administration of Green Financial Bonds in the Duration 

中国人民银行关于加强绿色金融债券存续期监督管理有关事宜的通知

(No. 29 [2018] of the People's Bank of China) (银发[2018]29号)

The Shanghai Head Office of the People's Bank of China (“PBC”), all branches and operations offices of the PBC, all central sub-branches of the PBC in capital cities of provinces (autonomous regions) and the National Association of Financial Market Institutional Investors; and China Development Bank, all policy banks, state-owned commercial banks, joint-stock commercial banks and Postal Savings Bank of China: 中国人民银行上海总部,各分行、营业管理部,各省会(首府)城市中心支行,中国银行间市场交易商协会;国家开发银行,各政策性银行、国有商业银行、股份制商业银行,中国邮政储蓄银行:
For the purposes of thoroughly implementing the spirit of the Nineteenth CPC National Congress on strengthening the development of ecological civilization, implementing the concept of green development, deepening the implementation of the Guiding Opinions of Seven Ministries and Commissions including the People's Bank of China on Building a Green Financial System (No. 228 [2016], PBC), Announcement No. 39 [2015] of the People's Bank of China and other requirements, further improving the supervision and administration of green financial bonds in the duration, enhancing the transparency of information disclosure, and urging issuers to increase support for green development, you are hereby notified of the relevant matters as follows: 为深入贯彻党的十九大关于加强生态文明建设的精神,践行绿色发展理念,深化落实中国人民银行等七部委《关于构建绿色金融体系的指导意见》(银发[2016]228号文)、《中国人民银行公告[2015]第39号》等要求,进一步完善绿色金融债券存续期监督管理,提升信息披露透明度,推动发行人加大对绿色发展的支持力度,现将有关事宜通知如下:
I. Strengthening the supervision and inspection of the use of proceeds of green financial bonds in the duration and ensuring that the proceeds are actually used for green development   一、加强对存续期绿色金融债券募集资金使用的监督核查,确保资金切实用于绿色发展
(1) The PBC shall supervise and inspect the use of the proceeds of green financial bonds in the duration by China Development Bank, policy banks, state-owned commercial banks, joint-stock commercial banks and Postal Savings Bank of China, and may authorize the relevant branches of the PBC to implement the specific work. (一)中国人民银行对国家开发银行、政策性银行、国有商业银行、股份制商业银行、中国邮政储蓄银行存续期绿色金融债券募集资金使用情况进行监督核查,具体工作可委托中国人民银行有关分支机构实施。
Except the aforesaid financial institutions, the branch offices at or above the level of central sub-branch of the PBC in a capital city of a province (autonomous region) (hereinafter referred to as “branch offices”) shall supervise and inspect the use of proceeds of green financial bonds in the duration by other issuers of green financial bonds whose registration places are within their respective jurisdictions. 除上述金融机构外,中国人民银行省会(首府)城市中心支行以上分支机构(以下简称各分支机构)对注册地在辖区内的其他绿色金融债券发行人存续期绿色金融债券募集资金使用情况进行监督核查。
(2) All branch offices shall fully understand the basic information on green financial bonds of issuers within their respective jurisdictions, mainly including the issuer's operation status, the progress of allocation of proceeds and the situation of green projects, and supervise issuers in using the proceeds in a standardized manner by comprehensively using off-site monitoring, on-site inspection, field research, written inquiry, interview and other forms. (二)各分支机构应充分了解辖区内发行人绿色金融债券基础信息,主要内容包括发行人经营状况、募集资金投放进度、绿色项目情况等,综合运用非现场监测、现场核查、实地调研、书面质询、约谈等形式,督导发行人规范使用募集资金。
(3) All branch offices shall, in accordance with the relevant provisions of Announcement No. 39 [2015] of the People's Bank of China, focus on inspecting the integrity of the green projects to which issuers allocate the proceeds, compliance of the selection and decision-making procedures, standardization of the management of proceeds and realization of the objectives of environmental benefits. In particular, the scope of on-site inspection of the current year shall cover all the issuers of green financial bonds within their respective jurisdictions, and the inspection proportion shall generally not be less than 20% of the allocated amount of the proceeds of all issuers. Working papers for on-site inspection shall be developed in a standard manner, to record the inspection contents, scope, results and other information in detail. (三)各分支机构应按照《中国人民银行公告[2015]第39号》有关规定,重点核查发行人募集资金投向绿色项目的真实性、筛选和决策程序的合规性、募集资金管理的规范性、环境效益目标实现情况等。其中,当年现场核查范围应覆盖辖区内全部绿色金融债券发行人,核查比例原则上不低于全部发行人募集资金已投放金额的20%。现场核查应规范编制工作底稿,详细记录核查内容、范围、结果等信息。
(4) All branch offices shall, before April 30 each year, submit their supervision and inspection reports of the previous year to the PBC, mainly including the supervision and inspection of the use of proceeds by issuers within their jurisdictions and the effect of issuers' support for green development. During the process of supervision and inspection, all branch offices shall, if finding that issuers fall under the circumstances that may have significant impact on the use of proceeds, report to the PBC in a timely manner and notify the National Association of Financial Market Institutional Investors (“NAFMII”) by letter. (四)各分支机构应于每年4月30日前向中国人民银行报送上年度监督核查报告,主要内容包括对辖区内发行人募集资金使用监督核查情况以及发行人支持绿色发展成效等。在监督核查过程中,各分支机构发现发行人存在可能对募集资金使用产生重大影响的情况,应及时报告中国人民银行并函告中国银行间市场交易商协会(以下简称交易商协会)。
II. Strengthening the monitoring and evaluation of information disclosure for green financial bonds in the duration and improving the transparency of information   二、加强对存续期绿色金融债券信息披露的监测评价,提高信息透明度
(1) The PBC shall be responsible for the supervision and administration of the information disclosure for green financial bonds in the duration, and the NAFMII shall conduct self-discipline management. The NAFMII shall, in accordance with the Rules for the Information Disclosure for Green Financial Bonds in the Duration (see Annex 1) and the template for information disclosure reports (see Annexes 2 and 3), urge issuers to effectively conduct information disclosure for green financial bonds in the duration. (一)中国人民银行负责对存续期绿色金融债券信息披露进行监督管理,交易商协会进行自律管理。交易商协会应根据《绿色金融债券存续期信息披露规范》(见附件1)以及信息披露报告模板(见附件2、3),督促发行人做好存续期信息披露工作。
(2) The NAFMII shall establish a market opinion collection and feedback mechanism, set up special e-mail, telephone and fax to collect and receive the opinions and information from the market on information disclosure for green financial bonds in the duration, track and monitor the information disclosure for green financial bonds in the duration, and strengthen the supervision and guidance of the issuers' information disclosure work. (二)交易商协会应建立市场意见征集和反馈机制,设置专门电子邮箱、电话和传真,征集、接收市场关于存续期绿色金融债券信息披露的意见和信息,跟踪监测存续期绿色金融债券信息披露工作情况,加强对发行人信息披露工作的督导。
(3) The NAFMII shall follow the principles of fairness and impartiality, arrange for market institutions and other relevant parties to evaluate the information disclosure for green financial bonds in the duration according to the monitoring of the information disclosure for green financial bonds in the duration and the feedback of market participants, and urge the issuers to improve the quality of information disclosure. (三)交易商协会应遵循公平、公正原则,根据对存续期绿色金融债券信息披露的监测情况和市场成员的反馈信息,组织市场机构等相关方对存续期信息披露情况进行评价,推动发行人改善信息披露质量。
(4) The NAFMII shall, before April 30 each year, report the monitoring and evaluation of the information disclosure for green financial bonds in the duration and other information in the previous year to the PBC. During the process of monitoring and evaluation, the NAFMII shall, when finding that issuers fall under the circumstances that may have significant impact on the use of proceeds, report to the PBC in a timely manner and notify the relevant branch offices of the PBC by letter. (四)交易商协会应于每年4月30日前将上年度存续期绿色金融债券信息披露的监测评价等情况报送中国人民银行。在监测评价过程中,交易商协会发现发行人存在可能对募集资金使用产生重大影响的情况,应及时报告中国人民银行,并函告中国人民银行有关分支机构。
III. Strengthening the supervision and rectification of the violations relating to green financial bonds in the duration and improving the dynamic management mechanism   三、加强对存续期绿色金融债券违规问题的督促整改,完善动态管理机制
(1) All branch offices and the NAFMII shall, if finding that issuers fall under the circumstances of violating the relevant provisions in the use of proceeds and information disclosure, in light of their respective duties, respectively urge relevant issuers to complete rectification within three months and submit rectification reports. (一)各分支机构、交易商协会发现发行人存在募集资金使用以及信息披露不符合有关规定的情形,应结合各自职责分别督促相关发行人在3个月内完成整改并提交整改报告。
(2) All branch offices and the NAFMII shall include the issuers that fail to satisfy the requirements after rectification in the watch list, urge them to continue making rectification, and report to the PBC in a timely manner. (二)对到期后整改未达到要求的发行人,各分支机构、交易商协会应将其列入观察名单,督促其继续整改,并及时报告中国人民银行。
(3) The PBC shall organize the relevant branch offices and the NAFMII to form a joint working group to conduct on-site inspection of the issuers that are included in the watch list. Issuers that still fail to comply with the relevant provisions on green financial bonds upon on-site inspection shall be subject to administrative punishment in accordance with the laws and regulations. (三)中国人民银行将组织有关分支机构、交易商协会组成联合工作组,对列入观察名单的发行人开展现场核查。对经现场核查仍不符合绿色金融债券有关规定的发行人,依法依规对其实施行政处罚。
IV. Strengthening organization and coordination, specifying work responsibilities, and ensuring the effective implementation of the supervision and administration of green financial bonds in the duration   四、加强组织协调,明确工作责任,确保将绿色金融债券存续期监督管理工作落到实处
(1) All branch offices and the NAFMII shall deepen the understanding, designate special departments to take charge of the work from the political height of implementing the concept of green development and development of ecological civilization, improve the organization and coordination mechanism, share the information found in supervision and inspection in a timely manner, strengthen communication and coordination, and effectively conduct the supervision and administration of green financial bonds in the duration. (一)各分支机构、交易商协会要提高认识,从践行绿色发展理念、贯彻落实生态文明建设的政治高度,指定专门部门负责该项工作,并健全组织协调机制,及时共享监督核查中发现的情况,加强沟通协调,做好绿色金融债券存续期监督管理工作。
(2) The issuers, lead underwriters and other intermediaries of green financial bonds shall, in strict accordance with the relevant provisions on green financial bonds, diligently implement all requirements for information disclosure and management of the use of proceeds, and actively cooperate with the supervision and administration of green financial bonds in the duration by all branch offices and the NAFMII.
......
 (二)绿色金融债券发行人、主承销商及其他中介机构要严格按照绿色金融债券相关规定,认真落实信息披露及募集资金使用管理各项要求,积极配合各分支机构、交易商协会做好绿色金融债券存续期监督管理工作。
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