CDM national requirements of CDM Projects in China

CDM 项目国内要求 national requirements of CDM Projects in China 中国CDM能力建设项目培训讲义 Training Material Building Capacity for the CDM in China 1 2021/6/4

介绍的主要内容Presentation Outline F 管理办法简介 Brief introduction F 审批程序 CDM approval and authority process F 地方参与各方的基本要求 The local stakeholder process requirement F 参与企业应该注意的问题 Other issues of the participants of CDM project in China 2 2021/6/4

清洁发展机制项目运行管理暂行办法 Measures for Regulation on Operation and Management of CDM Projects in China F 发改委、科技部和外交 部联合发布 Issued by the State Development and Reform Commission, the Ministry of Science and Technology ( MSOT ) and the Ministry of Foreign Affairs ( MFA ) F 2004年 6月30日生效 Effective from June 30, 2004. F 目前仅是暂行规定，将 根据实施的实际情况进 行修改 Interim Measures 3 2021/6/4

总则: General Rules F 清洁发展机制项目运行管理暂行办法 Interim Measures for the Management of CDM Project Activities F 清洁发展机制项目合作须经国务院有关部门批准 CDM project activities must be approved by relevant authorities under the State Council F 重点领域以提高能效、开发利用新能源和可再生能源及回收利用甲烷 和煤层气为主 Priorities are energy efficiency improvement, development and utilization of new and renewable energy, as well as recovery and utilization of methane and coal bed methane F 清洁发展机制项目的实施应保证透明、高效和可追究的责任 Implementation of CDM project activities shall ensure transparent, efficient and traceable responsibilities 4 2021/6/4

许可条件: Admission Requirements F 符合中国的法律法规和可持续发展战略、政策，以及国民经济和社会 发展规划的总体要求 CDM project activities shall conform to China’s laws and regulations, sustainability development strategy and policy, as well as the general requirements of national economic and social development F 不能使中国承担《公约》和《议定书》规定之外的任何新的义务 No new obligation shall be resulted for China other than those under the Convention and the Protocol F 发达国家缔约方用于项目的资金，应额外于现有的官方发展援助资 金和其在《公约》下承担的资金义务 Funds from developed country Parties shall be additional to the current ODA and their funding obligations under the Convention 5 2021/6/4

许可条件: Admission Requirements (contd. ) F 项目活动应促进有益于环境的技术转让 Project activity should promote the transfer of environmentally sound technology F 中国境内的中资、中资控股企业可以对外开展CDM项目 Project developer shall be wholly China-owned or China-controlled enterprises F 实施企业必须提交项目设计文件、企业资质状况证明文件及 程项目 概况和筹资情况相关说明 The CDM project developer shall submit to the Designated National CDM Authority the CDM PDD, certificate of enterprise status, as well as general information of the construction and descriptions of project financing 6 2021/6/4

管理和实施机构 CDM Authorities and Project Developers F 国家气候变化对策协调小组下设立国家清洁发展机制项目审核理事会, 其下设一个国家清洁发展机制项目管理机构 National CDM Project Board (the Board) is established under the National Coordination Committee on Climate Change (the Committee), and a national CDM project management authority will be established under the Board F 协调小组为清洁发展机制重大政策的审议和协调机构 The Committee is responsible for the review and coordination of important CDM policies: G 审议清洁发展机制项目的相关国家政策、规范和标准 Review national CDM policies, rules and standards G 批准项目审核理事会成员 Approve members of the Board G 审议其他需要由协调小组决定的事项 7 2021/6/4

管理和实施机构 CDM Authorities and Project Developers (contd. ) F 审核理事会联合组长单位为国家发展和改革委员会、科学技术部，副 组长单位为外交部，成员单位为国家环境保护总局、中国气象局、财 政部和农业部 NDRC and Ministry of Science and Technology (MOST) serve as co-chairs of, and Ministry of Foreign Affairs (MOFA) serves as vice chair of the Board, which also includes: 8 - The State Environmental Protection Administration, - The China Meteorological Administration, and - The Ministry of Finance and Ministry of Agriculture 2021/6/4

管理和实施机构 CDM Authorities and Project Developers (contd. ) 审核理事会的主要职责包括: The Board will: F 审核CDM项目: Review CDM project activities F 参与资格：participants eligibility F 项目设计文件：Participation requirements PDD F 减排量交易价格：CERs price F 资金和技术转让：financial and technology transferring F 项目预期的促进可持续发展的效果 Issues related to funds and technology transfer. Sustainable development effects of the project F 向协调小组报告CDM项目执行情况和实施过程中的问题及建议 Report to the Committee the implementation of CDM project activities, possible problems and make recommendations F 提出修订国家CDM项目活动的运行规则和程序的建议 Make recommendations on the revision of national CDM rules 9 2021/6/4

管理和实施机构 CDM Authorities and Project Developers (contd. ) 国家发改革委是中国政府开展CDM项目活动的主管机构 NDRC is China’s Designated National CDM Authority F 受理清洁发展机制项目的申请：Receive project application; F 依据项目审核理事会的审核结果，会同科技部和外交部批准CDM项目 Approve CDM project activities jointly with MOST and MOFA, according to the review result of the Board; F 代表中国政府出具清洁发展机制项目批准文件 Present written approval on behalf of the Chinese Government; F 对清洁发展机制项目实施监督管理 Supervise the implementation of project activities; F 与有关部门协商成立清洁发展机制项目管理机构 Establish CDM project management authority, in consultation with other agencies; F 处理其它涉外相关事务 Deal with other foreign issues. 10 2021/6/4

管理和实施机构 CDM Authorities and Project Developers (contd. ) 项目实施机构的义务：Project developer shall: F 负责项目的 程建设，并定期向国家发改委报告 Be responsible for construction of the project and report periodically to NDRC on the progress; F 在国家发改委的监督下实施项目 Implement the project activity with supervision of the NDRC; F 将与项目合格性有关的资料和项目监测记录报国家发改委备案 Submit material related to the validation and verification to NDRC for record purpose; F 在信息交换过程中，依法保护国家秘密和正当商业秘密 Protect state and business secrets during information exchange; F 向国家发改委报告项目产生的CERs Report to NDRC on CERs issuance; F 协助国家发改委和项目审核理事会就有关问题开展调查，并接受质询 Assist NDRC and the Board in investigating relevant issues 11 2021/6/4

实施程序 Project Development and Implementation Procedures 项目申请及审批程序：Application and approval procedures: F 项目实施单位以及国外合作方向国家发改委提出申请，并提交相 关文件 Project developer and foreign partner submit to NDRC project application and relevant documents F 国家改委组织对申请项目进行评审，时间不超过三十日 NDRC organize experts to review the project activity, to be completed within 30 days; F 国家发改委将专家审评合格的项目提交项目审核理事会 NDRC submit to the Board application of project which has passed expert review; F 对项目审核理事会审核通过的项目，由国家发展和改革委员会会 同科技部和外交部办理批准手续 NDRC approves, jointly with MOST and MOFA, project activity that has passed the Board’s review; 12 2021/6/4

实施程序 Project Development and Implementation Procedures (contd. ) 项目申请及审批程序：Application and approval procedures: F 从项目受理之日起，国家发展和改革委员会、在二十日之内（不 含专家评审的时间）作出是否予以批准的决定 NDRC will make a decision on whether or not to approve the project activity within 20 days (expert review time not included) as of the date of receiving the application F 实施机构邀请经营实体对项目进行独立评估，并将评估合格的项 目报清洁发展机制执行理事会登记注册 Project developer invites DOE to validate the project activity and applies for registration; F 实施机构在接到清洁发展机制执行理事会批准通知后，应在十日 内向国家发展和改革委员会报告执行理事会的批准状况 Project developer shall report to NDRC the decision of the Executive Board within 10 days as of the date of receiving the notice of EB 13 2021/6/4

实施程序 Project Development and Implementation Procedures (contd. ) F 具体 程建设项目的审批程序和审批权限，按国家有关规定办理 Rules and procedures for the approval of the CDM project activity as a construction project shall conform to the current prescriptions; F 项目的实施和监督程序：Implementation and monitoring of the project activity F 实施机构按照有关规定向国家发改委提交项目实施和监测报告 Project developer shall submit to NDRC implementation and monitoring reports F 为保证项目实施质量，国家发改委对项目的实施进行管理和监督 NDRC supervises the implementation of the project activity F 国家发改委或受其委托机构将执行理事会签发的减排量登记 NDRC will make a record of the CERs issued by the Executive Board 14 2021/6/4

其它: Others F 项目因转让减排量所获得的收益归中国政府和实施项目的企业所有。 分配比例由中国政府确定。确定前归该企业所有 Benefits from the transfer of CERs will be owned jointly by the Chinese Government and project developer, with allocation ratio to be determined by the Chinese Government. Before the determination, the benefits will be owned by project developer. F 本办法由国家发展和改革委员会商科学技术部、外交部解释 These rule will be interpreted by NDRC, in consultation with MOST and MOFA 15 2021/6/4

地方参与各方的基本要求 The local stakeholder process requirement 主要是常规项目的审批问题，包括土地利用审查、环境和社会 影响评价等必要的项目审查和批准程序 Mainly for the normal project approval processing requirements, such as land use, environment & social assessment and other necessary approval procedures 16 2021/6/4

其他应该注意的问题 Other issues of the participants of CDM project F 特别要求参与CDM项目的企业必须是中资控股(不少于51%) Ownership issue, Chinese enterprises should take the majority (51%) F 保留必需的原始记录和相关证据 Keep the original record for monitoring 17 2021/6/4

CDM 项目要求：project criteria F CDM项目应与非附件I国家可持续发展战略保持一致。 Project in line with non-Annex I Party's strategies on achieving sustainable development (KP Art. 12. 2) F 可持续发展：能满足当代的需要，同时不损及未来世代满足其需要 之发展（共同的未来 1987：世界环境与发展委员会） Development that meets the needs of the present without compromising the ability of future generations to meet their own needs）（source: our common future 1987, World Commission on Environment and Development ） G 社会：social dimension G 经济：economic dimension G 环境：environmental dimension 18 2021/6/4

三大基本国策Three national basic policies • 计划生育和人口控制 Population control • 环境保护 Environmental protection • 资源综合利用和循环经济 Resources high efficient utilization 19 2021/6/4

可持续发展标准：sustainable development criteria F 社会标准：提高生活质量，消除贫困，改进公平 Social Criteria: Improve quality of life, Alleviate poverty, Improve equity F 经济标准：提高地方投资回报率，增进收支平衡，新技术转移 Economic Criteria: Provide financial returns to local entities, Result in a positive impact on balance of payments, Transfer new technology F 环境标准：温室气体减排，保护自然资源，减轻地区环境压力 Environmental Criteria: Reduce GHG emissions, Conserve local resources, Reduce pressure on local environments 20 2021/6/4

中国 21世纪初可持续发展行动纲要 Program of Action for Sustainable Development in China in the Early 21 st Century 我国 21世纪初可持续发展的总体目标是：可持续发展能力不断增强， 经济结构调整取得显著成效，人口总量得到有效控制，生态环境明显 改善，资源利用率显著提高，促进人与自然的和谐，推动整个社会走 上生产发展、生活富裕、生态良好的文明发展道路。 The objectives of 21 st century sustainable development G Growing capacities for sustainable development G Marked progress in economic restructuring G Population aggregate brought under effective control G Significant improvement in the ecological environment G Markedly increased efficiency in utilization of resources G Sustainable path of development characterized by rising productivity, G prosperous livelihood and a well-preserved environment. 21 2021/6/4

重点领域：Priority Areas F 一、经济发展 Economic development F 二、社会发展 Social development F 三、资源优化配置、合理利用与保护 Resource Allocation, Utilization and Protection F 四、生态保护和建设 Ecological Conservation and Development F 五、环境保护和污染防治 Environmental Protection and Pollution Control F 六、能力建设 Capacity Building 22 2021/6/4

能源可持续战略 Strategies of sustainable energy F 调整经济结构、加快技术进步、提高能源利用效率 Adjust economic structure, accelerate technical development and increase energy efficiency F 大力发展清洁利用煤炭和热电联产集中供热技术， Greatly develop clean coal and thermal-power central heating technology; F 强化能源节约 F 提高能源利用效率 strengthen energy conservation; Improve efficiency of energy utilization, F 调整能源结构：Improve the energy structure F 合理开发国内资源, 特别是天然气、煤层气、水电等优质资源 Exploit resources reasonably, especially those high quality energy resources, such as natural gas, layer coal gas and large scale hydro power F 加快开发利用可再生能源： Apply RE immediately F 实施“走出去”战略，积极利用国际资源，主要是油气资源 Implement active strategy therefore to use international resources, main of which is petrol gas. 23 2021/6/4

固体废物污染防治：Solid waste control F 逐步实行垃圾分类收集，实现垃圾的无害化、减量化、资源化，提高 垃圾无害化处理率和综合利用率 Gradually introduce garbage sorting, collection and recycling and increase environment-friendly garbage disposal rate and recycling rate. F 进一步提高固体废弃物中可利用物质的综合利用率 Further raise the recycling rate for solid wastes F 加强危险废物的安全处置 Improve the safe disposal of hazardous wastes. 24 2021/6/4

与能源效率有关的政策法规： law & regulation and policy related to the energy efficiency F 中华人民共和国节约能源法 Energy conservation law F 中华人民共和国清洁生产促进法 http: //www. sdpc. gov. cn/ http: //www. china 5 e. com/laws/ Clean production promotion law F 中国节能技术政策大纲 National policy for the saving energy technology F 能源节约与资源综合利用“十五”规划 The 15 th national planning for the energy saving and resource usage F 《能源效率标识管理暂行办法》 The regulation of energy efficiency labels 25 2021/6/4

与能源结构有关的政策法规： law & regulation and policy related to the energy construction F 中华人民共和国节约能源法 Law of the People's Republic of China on Conserving Energy F 中华人民共和国清洁生产促进法 http: //www. sdpc. gov. cn/ Republic of China on the Promotion of Clean Production F 中华人民共和国电力法 Electric Power Law F “可再生能源中长期发展规划” Middle and Long Term Program of Renewable Energy Development F 新能源和可再生能源产业发展“十五”规划 The 15 th national planning for the new energy and renewal energy industry F 国家能源技术政策 National Energy Technology Policy 26 2021/6/4

与垃圾处理有关的政策法规： law & regulation and policy related to the solid waste disposal http: //www. zhb. gov. cn/ F 中华人民共和国固体废物污染环境防治法 http: //www. ep. net. cn/ Law of the People's Republic of China on the Prevention and Control of Environmental Pollution by Solid Waste F 城市生活垃圾处理及污染防治技术政策 National Technical policy for city garbage disposal & pollution prevention F 实行城市生活垃圾处理收费制度促进垃圾处理产业化的通知 The charge regulation of city garbage disposal to accelerate the industrial development 27 2021/6/4

即将出台的有关法规: Laws to be issued F 中华人民共和国可再生能源法：起草2004年 12月提交全国人 大常委会审议 Renewable Energy Law: to be submitted to National People Congress for discussion in Dec. 2004 F 计划建立：循环经济法律体系 Circle Economy series law and regulations F 准备修订节能法 Energy Conservation Law: to be revised 28 2021/6/4

其他参考信息：other information F http: //www. sdinfo. net. cn/intro. html F http: //www. china. org. cn/chinese/zhuanti/ F http: //sd-ep. cei. gov. cn/ 29 2021/6/4