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Announcement No. 20 [2017] of the People's Bank of China and the China Securities Regulatory Commission—Guidelines for the Conduct of Assessment and Certification of Green Bonds (Interim) [Effective]
中国人民银行、中国证券监督管理委员会公告(2017)第20号――绿色债券评估认证行为指引(暂行) [现行有效]
【法宝引证码】

Announcement of the People's Bank of China and the China Securities Regulatory Commission 

中国人民银行、中国证券监督管理委员会公告

(No. 20 [2017]) (〔2017〕第20号)

For the purposes of comprehensively carrying out the spirit of the Opinions of the CPC Central Committee and the State Council on Accelerating the Construction of Ecological Civilization, the Framework Plan for the Reform of the Ecological Civilization System and the Guiding Opinions of the People's Bank of China, the Ministry of Finance, the National Development and Reform Commission, the Ministry of Environmental Protection, the China Banking Regulatory Commission, the China Securities Regulatory Commission and the China Insurance Regulatory Commission on Building a Green Finance System (No. 228 [2016], PBC), regulating the assessment and certification of green bonds, enhancing the quality of assessment and certification of green bonds, promoting the sound development of the green bond market, and better serving the green development of the real economy, the People's Bank of China and the China Securities Regulatory Commission have developed the Guidelines for the Conduct of Assessment and Certification of Green Bonds (Interim), which are hereby issued for implementation. 为全面贯彻《中共中央 国务院关于加快推进生态文明建设的意见》、《生态文明体制改革总体方案》和《中国人民银行 财政部 发展改革委 环境保护部 银监会 证监会 保监会关于构建绿色金融体系的指导意见》(银发〔2016〕228号)精神,规范绿色债券评估认证行为,提高绿色债券评估认证质量,促进绿色债券市场健康发展,更好服务实体经济的绿色发展,中国人民银行、中国证券监督管理委员会制定了《绿色债券评估认证行为指引(暂行)》,现予发布实施。
Annex: Guidelines for the Conduct of Assessment and Certification of Green Bonds (Interim) 附件:绿色债券评估认证行为指引(暂行)
People's Bank of China 中国人民银行
China Securities Regulatory Commission 证 监 会
October 26, 2017 2017年10月26日
Annex 附件
Guidelines for the Conduct of Assessment and Certification of Green Bonds (Interim) 绿色债券评估认证行为指引(暂行)
Chapter I General Provisions 

第一章 总 则

Article 1 These Guidelines are developed for the purposes of regulating the conduct of assessment and certification of green bonds, improving the quality of green bond assessment and certification, and promoting the sound development of the green bond market.   第一条 为规范绿色债券评估认证行为,提高绿色债券评估认证质量,促进绿色债券市场健康发展,制定本指引。
Article 2 For the purposes of these Guidelines, “assessment and certification of green bonds” means the process and conduct of implementing assessment, examination, or certification procedures, reaching assessment, examination, or certification conclusions, and issuing reports by an assessment and certification institution, regarding whether a bond satisfies the relevant requirements for green bonds.   第二条 本指引所称绿色债券评估认证是指评估认证机构对债券是否符合绿色债券的相关要求,实施评估、审查或认证程序,发表评估、审查或认证结论,并出具报告的过程和行为。
Article 3 For the purposes of these Guidelines, “green bonds” includes green financial bonds, green corporate bonds, green debt financing instruments, green asset-backed securities, and other green bond products.   第三条 本指引所称绿色债券包括绿色金融债券、绿色公司债券、绿色债务融资工具、绿色资产支持证券及其他绿色债券产品。
Article 4 These Guidelines shall apply to the assessment and certification institutions that provide assessment and certification services for green bonds issued in the territory of the People's Republic of China.   第四条 为中华人民共和国境内发行的绿色债券提供评估认证服务的评估认证机构,适用本指引。
Article 5 Green bond assessment and certification institutions (hereinafter referred to as “assessment and certification institutions”) shall be subject to the self-regulation by the Green Bond Standards Committee in a coordinated manner. The Green Bond Standards Committee is a coordination mechanism for the self-regulation of green bonds established under the Inter-departmental Coordination Mechanism for Corporate Credit Bonds.   第五条 绿色债券评估认证机构(以下简称评估认证机构)由绿色债券标准委员会统筹实施自律管理。绿色债券标准委员会是在公司信用类债券部际协调机制下设立的绿色债券自律管理协调机制。
Chapter II Qualifications for Institutions 

第二章 机构资质

Article 6 To carry out the business of assessment and certification of green bonds, an assessment and certification institution shall meet the following basic conditions:   第六条 评估认证机构开展绿色债券评估认证业务,应当具备以下基本条件:
(1) It has established an organizational structure, work flow, technical methods, fee rates, quality control, occupational liability insurance, and other relevant rules necessary for conducting the green bond assessment and certification business. (一)建立了开展绿色债券评估认证业务所必备的组织架构、工作流程、技术方法、收费标准、质量控制、职业责任保险等相关制度;
(2) It has the qualifications for practice in the rating, certification, attestation, energy, climate, or environment field granted by competent authorities. (二)具有有权部门授予的评级、认证、鉴证、能源、气候或环境领域执业资质;
(3) It has corresponding professionals in the accounting, auditing, finance, energy, climate, or environment field. (三)具有相应的会计、审计、金融、能源、气候或环境领域专业人员;
(4) It has committed no violation of laws and regulations and maintained a spotless record of integrity in the last three years or since its formation. (四)最近3年或自成立以来不存在违法违规行为和不良诚信记录。
Article 7 To conduct the green bond assessment and certification business, an assessment and certification institution shall undergo the filing formalities with the Green Bond Standards Committee by filing the following materials:   第七条 评估认证机构开展绿色债券评估认证业务,应当向绿色债券标准委员会备案,备案时提交下列材料:
(1) A photocopy of its business license. (一)营业执照复印件;
(2) Documents on the organizational structure, work flow, technical methods, fee rates, quality control, occupational liability insurance, and other relevant rules for the green bond assessment and certification business. (二)绿色债券评估认证业务的组织架构、工作流程、技术方法、收费标准、质量控制、职业责任保险等相关制度文件;
(3) Supporting materials on its historical performance in the rating, certification, attestation, energy, climate, or environment field and degree of market recognition. (三)从事评级、认证、鉴证、能源、气候或环境领域业务的历史业绩以及市场认可度相关的证明材料;
(4) The name list of professionals conducting the green bond assessment and certification business, photocopies of relevant qualification certificates, and supporting materials on their work experience. (四)从事绿色债券评估认证业务的专业人员名单、相关资格证书复印件以及从业经验相关的证明材料;
(5) A statement on no violation of laws and regulations and a spotless record of integrity. (五)不存在违法违规行为及不良诚信记录的声明。
Article 8 An assessment and certification institution conducting the green bond assessment and certification business shall disclose the qualification materials as listed in Article 7 of these Guidelines on a designated website.   第八条 评估认证机构开展绿色债券评估认证业务,应当通过指定网站披露本指引第七条所列资质材料。
Article 9 The Green Bond Standards Committee shall strengthen coordination in the self-regulation of green bond assessment and certification institutions, organize market-oriented evaluation of green bond assessment and certification institutions by relevant institutions and experts, publish the evaluation results through a designated website, and maintain the order of the green bond assessment and certification market.   第九条 绿色债券标准委员会应当加强绿色债券评估认证机构自律管理协调,组织相关机构和专家对绿色债券评估认证机构进行市场化评议,并通过指定网站公布评议结果,维护绿色债券评估认证市场秩序。
Chapter III Undertaking of Business 

第三章 业务承接

Article 10 In conducting the green bond assessment and certification business, an assessment and certification institution and its staff members shall adhere to the principles of good faith, objectivity, fairness, and diligence.   第十条 评估认证机构及从业人员开展绿色债券评估认证业务,应当遵循诚实守信、客观公正和勤勉尽责原则。
Article 11 An assessment and certification institution and its staff members shall, through education, training and practice, continuously gain the knowledge and command the skills relating to the green industries and assessment and certification of green bonds, such as macro policies, laws and regulations, and technical standards, and obtain and maintain the required professional capabilities.   第十一条 评估认证机构及从业人员应当通过教育、培训和执业实践,持续了解并掌握绿色产业、绿色债券评估认证相关的宏观政策、法律法规、技术标准等知识和技能,获取和保持应有的专业能力。
Article 12 In conducting the green bond assessment and certification business, an assessment and certification institution and its staff members shall maintain independence in both substance and form. If there is any economic interest, affiliation, self-evaluation, or external pressure, among others, between the assessment and certification institution and the issuer, the assessment and certification institution shall not undertake the assessment and certification business.   第十二条 评估认证机构及从业人员开展绿色债券评估认证业务,应当在实质和形式上保持独立性。对于评估认证机构与发行人之间存在经济利益、关联关系、自我评价、外部压力等情形的,评估认证机构不得承接评估认证业务。
Article 13 When an assessment and certification institution conducts the green bond assessment and certification business, in principle, each project team shall have both professionals familiar with the accounting, auditing and finance fields and professionals familiar with the energy, climate, and environmental fields, and the period from the date of conclusion of the assessment and certification contract to the date of issuance of the assessment and certification report shall not be less than 15 days.   第十三条 评估认证机构开展绿色债券评估认证业务时,原则上每个项目组应当同时配备熟悉会计、审计和金融领域的专业人员和熟悉能源、气候和环境领域的专业人员,从评估认证合同签订日到评估认证报告签发日的时间不少于15天。
Article 14 Before an assessment and certification institution undertakes any green bond assessment and certification business, it shall, according to the requirements of Articles 10 through 13 of these Guidelines, evaluate whether it meets the basic conditions for undertaking the assessment and certification business.
......
   第十四条 评估认证机构承接绿色债券评估认证业务前,应当根据本指引第十条至第十三条的要求,评价是否具备承接评估认证业务的基本条件。
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