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Announcement No. 20 [2017] of the People's Bank of China and the China Securities Regulatory Commission—Guidelines for the 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 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 real economy, the People's Bank of China (“PBC”) and the China Securities Regulatory Commission (“CSRC”) have developed the Guidelines for the 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 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 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 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 act of conducting the assessment, examination or certification procedures, issuing assessment, examination or certification conclusions, and issuing reports by an assessment and certification institution, so as to assess 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” include 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 within 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 conduct self-disciplinary management under the overall planning made by the green bond standard committee. The green bond standard committee is the coordination mechanism for the self-disciplinary management 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 of 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 the 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, identification, energy, climate or the environment fields 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 the environment fields. (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 no violation of law or regulation or bad faith records 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 report it to the green bond standard committee for recordation, and submit the following materials at the time of recordation:   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 the business license. (一)营业执照复印件;
(2) The organizational structure, work flow, technical methods, fee rates, quality control, occupational liability insurance, and other relevant rules and documents of 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) Certification materials on the historical performance of business in the rating, certification, identification, energy, climate or the environment fields, and market recognition degree. (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 the relevant qualification certificates, and certification materials relevant to their practicing experiences. (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 law or regulation and no bad faith records. (五)不存在违法违规行为及不良诚信记录的声明。
Article 8 When conducting the green bond assessment and certification business, an assessment and certification institution shall disclose the qualification materials as listed in Article 7 of these Guidelines through the 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 standard committee shall strengthen the self-disciplinary management and coordination of green bond assessment and certification institutions, organize relevant institutions and experts to conduct the market-oriented evaluation of green bond assessment and certification institutions, publish evaluation results through designated websites, 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 When conducting the green bond assessment and certification business, an assessment and certification institution and its employees shall follow 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 employees shall, through education, training and practice, continuously obtain the knowledge and skills such as macro policies, laws and regulations, and technical standards relating to the assessment and certification of green industries and green bonds, and obtain and maintain the due professional capability.   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 An assessment and certification institution and its employees shall maintain independence in nature and form when conducting the green bond assessment and certification business. If there are economic benefits, affiliation, self-evaluation, external pressure or any other circumstance 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 professionals familiar with the accounting, auditing and finance fields as well as 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。
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