中国CDM能力建设项目培训讲义

1、2021-11-17Slide 1中国CDM能力建设项目培训讲义Training Material Building Capacity for the CDM in ChinaCDM 项目国内要求national reuqirements of CDM Projects in China2021-11-17Slide 2介绍的主要内容介绍的主要内容Presentation OutlineF 管理办法简介Brief introductionF 审批程序CDM approval and authority processF 地方参与各方的基本要求The local stakeholder proc

2、ess requirementF 参与企业应该注意的问题Other issues of the participants of CDM project in China2021-11-17Slide 3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 ChinaF 发改委、科技部和外交部联合发布Issued by the State Development and Reform Commissioun, the Ministry of Science and Techno

3、logy ( 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 2021-11-17Slide 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 activit

4、ies 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

5、和可追究的责任 Implementation of CDM project activities shall ensure transparent, efficient and traceable responsibilities 2021-11-17Slide 5许可条件:Admission RequirementsF 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 Chinas laws and regulations, sustainability development str

6、ategy 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

7、Parties shall be additional to the current ODA and their fund obligations under the Convention2021-11-17Slide 6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 technologyF 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

8、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工程项目概况和筹资情况相关说明 CDM project developer shall submit to the Designated National CDM Authority CDM PDD, certificate of enterprise status, as well as general information of the construction project and descriptions of proje

9、ct financing2021-11-17Slide 7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 National Coordination Committee on Climate Change (the Committee), and a national CDM project management authori

10、ty will be established under the BoardF 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 standardsG 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 2021-11-17Slid

11、e 8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 include State E

12、nvironmental Protection Administration, China Meteorological Administration, Ministry of Finance and Ministry of Agriculture2021-11-17Slide 9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 activitiesF 参与资格：participants eligibilityF 项目设计

13、文件：Participation requirements PDDF 减排量交易价格：CERs priceF 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 projectF 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 implementation of CDM project acti

14、vities, 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 rules2021-11-17Slide 10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 Chinas Designated National CDM AuthorityF 受理清洁发展机制项目的申请：Re

15、ceive 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 proj

16、ect 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. 2021-11-17Slide 11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

17、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 whic

18、h 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 Boards review; 2021-11-17Slide 12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

19、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

20、 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 EB2021-11-17Slide 13实施程序Project Development and Implementation

21、 Procedures (contd.)F 具体工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 activityF 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 s

22、hall submit to NDRC implementation and monitoring reportsF 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 activityF 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 2021-11-17Slide 14其它:OthersF 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

23、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

24、rule will be interpreted by NDRC, in consultation with MOST and MOFA 2021-11-17Slide 15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

25、 and other necessary approval procedures2021-11-17Slide 16其他应该注意的问题Other issues of the participants of CDM projectF 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 monitoring2021-11-17Slide 17政府对不同类型项目的收费比例G

26、overnment Levy on Different Types of Projects2005年8月26日气候变化协调小组会议商定结果Decision by the NCCCC on Aug. 26 2005 about the rates of government levy on CDM projects of different areas：2 优先领域 、小型项目、造林、再造林项目；priority areas, small scale projects, and afforestation and reforestation projects30% N2O65% HFCs, PF

27、Cs, SF6在政府明确收费比例之前批准的项目，在其计入期中，免于缴纳这些收费。Projects approved before the levy rates are specified will be exempted from paying the levy.2021-11-17Slide 18港、澳、台企业的参与资格Eligibility of Hong Kong, Macao, and Taiwanese enterprises港澳台企业在中国大陆开展CDM项目，视为中资企业Hong Kong, Macao, and Taiwan enterprises, if they implem

28、ent CDM project activities on Chinas mainland, will be regarded as Chinese enterprises during DNA review and approval；香港、澳门当地立法机构决定是否将联合国气候变化框架公约及该公约的京都议定书引申适用于当 Hong Kong SAR and Macao SAR legislation agencies shall determine whether the UNFCCC and the Kyoto Protocol ratified by China is applicable

29、 in Hong Kong and Macao or not;香港特区政府宣布：公约从2003年5月5日起适用于香港；而京都议定书将于其正式生效后在香港适用。The Hong Kong SAR government announced that from May 5, 2003, the UNFCCC shall apply in Hong Kong; after the entry into force of the Kyoto Protocol, it will also apply in Hong Kong. 2021-11-17Slide 19出具不反对意见函的基本要求Basic re

30、quirements for no-objection letter issuance“气候办” 可以应中国境内企业申请，考虑出具CDM项目不反对意见函。申请应符合以下要求In response to application by enterprises within the territory of China, Office of the National Climate Change Coordination Committee can consider issuing a no-objection letter to a CDM-project proposal: (一)CDM项目不反

31、对意见函的申请单位必须是该项目的中方实施企业The applicants for no-objection letter to a CDM project must be the Chinese proponents of the project.(二)申请不反对意见函需要提供的材料Materials to be submitted during no-objection letter application:1. 要求出具不反对意见函的申请An application for the issuance of no-objection letter;2. 申请单位资质证明（企业法人营业执照复印

32、件）Qualification certificates of the applicant entities；2021-11-17Slide 20出具不反对意见函的基本要求(续)Basic requirements for no-objection letter issuance(contd)3. 项目的情况介绍，包括Background information about the project, including:（1）申请单位的概况与联系方式、国外合作方的概况General information and liaison information of the applicant ent

33、ity, general information of the foreign partner;（2）项目地理位置、减排类型、工艺流程、投资规模、筹资情况的说明Geographic location, emission reduction type, technical process, total investment, and fund-raising information on the project；（3）项目采用的方法学，以及由此预计的减排量Methodology applied by the project, and the estimated emission reductio

34、n；（4） 到申请时为止项目的进展情况Progress of the project till the application submission.2021-11-17Slide 21如何对待国家和/或部门政策与法规EB 16次会议报告附件Treatment of national and/or sectoral policies and regulations - EB 16 Report Annex 3The Executive Board agreed to differentiate ways to address the following four (4) types, i.e.

35、 E+, E-, L+, L-, of national and/or sectoral policies1 in determining a baseline scenario:Type E+: Existing national and/or sectoral policies or regulations that create policy driven market distortions which give comparative advantages to more emissions-intensive technologies or fuels over less emis

36、sions-intensive technologies or fuels.E+型：型：现有国家和/或部门政策或法规，导致市场扭曲，有利于排放高的技术或燃料，不利于排放低的技术或燃料。Only “Type E+” national and/or sectoral policies or regulations that have been implemented before adoption of the Kyoto Protocol by the COP (decision 1/CP.3, 11 December 1997) shall be taken into account when

37、 developing a baseline scenario. If “Type E+” national and/or sectoral policies were implemented since the adoption of the Kyoto Protocol, the baseline scenario should refer to a hypothetical situation without the national and/or sectoral policies or regulations being in place.只有在COP通过京都议定书之前（1997年1

38、2月11日）之前的“E+”型国家和/或部门政策，才需要在设定基准线时予以考虑。如果是在1997年12月11日之后实施的国家和 /或部门政策，基准线应为假设不存在该国家和/或部门政策或法规。2021-11-17Slide 22如何对待国家和/或部门政策与法规EB 16次会议报告附件(续) Treatment of national and/or sectoral policies and regulations - EB 16 Report Annex 3Type E-: National and/or sectoral policies or regulations that give pos

39、itive comparative advantages to less emissions-intensive technologies over more emissions-intensive technologies (e.g. public subsidies to promote the diffusion of renewable energy or to finance energy efficiency programs). “E-”型型是相对于排放高的技术，更有利于排放低的技术的国家和/或部门政策或法规（如促进可再生能源发展的政府补贴或对节能项目的资金支持） “Type E

40、-” national and/or sectoral policies or regulations that have been implemented since the adoption by the COP of the CDM M&P (decision 17/CP.7, 11 November 2001) may not be taken into account in developing a baseline scenario (i.e. the baseline scenario should refer to a hypothetical situation wi

41、thout the national and/or sectoral policies or regulations being in place). 2001年11月11日之前已经实施的“E-”型国家或部门政策，在设定基准线视，可以不加考虑（即：基准线情景应该假定该政策或法规不存在的情形）。2021-11-17Slide 23(c) Type L-: Sectoral mandatory regulations adopted by a local or national public authority motivated by the reduction of negative loca

42、l environmental externalities and/or energy conservation and which would incidentally also reduce GHG emissions.L-型型：地方或国家机关为了改善当地环境、治理环境和/或节能而颁布的、附带也能减少温室气体排放的部门强制性规定。(d) Type L+: Sectoral mandatory regulations adopted by a local or national public authority motivated by the reduction of negative l

43、ocal environmental externalities and which incidentally prevent the adoption/diffusion of less GHG emitting technology. L-型：地方或国家机关为了改善当地环境、治理环境和/或节能而颁布的、附带也能妨碍温室气体排放较低的技术的采用/推广的部门强制性规定。(Note: The Executive Board noted that the Meth Panel is to continue to consider possible additional recommendation

44、s regarding national and/or sectoral policies or regulations of types L- and L+.)（注：EB指示方法学小组继续研究如何对待类型L-和L+型国家和/或部门政策或规定，并提出建议）如何对待国家和/或部门政策与法规EB 16次会议报告附件(续)Treatment of national and/or sectoral policies and regulations - EB 16 Report Annex 32021-11-17Slide 24管理和实施机构 CDM Authorities and Project De

45、velopers (contd.)项目实施机构的义务：Project developer shall:F 负责项目的工程建设，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

46、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 202

47、1-11-17Slide 25CDM 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 Partys 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 a

48、bility 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 dimensionG 环境：environmental dimension 2021-11-17Slide 26三大基本国策Three national basic policies计划生育和人口控制Population control环境保护Envir

49、onmental protection资源综合利用和循环经济Resources high efficient utilization2021-11-17Slide 27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

50、 local entities, Result in a positive impact on balance of payments, Transfer new technologyF 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 environments2021-11-17Slide 28中国21世纪初可持续发展行动纲要Program of Action for Sustainable De

51、velopment in China in the Early 21st 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 21st century sustainable development GGrowing capacities for sustainable development GMarked progress in economic restructu

52、ring GPopulation aggregate brought under effective control GSignificant improvement in the ecological environment GMarkedly increased efficiency in utilization of resources GSustainable path of development characterized by rising productivity, Gprosperous livelihood and a well-preserved environment.

53、 2021-11-17Slide 29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 20

54、21-11-17Slide 30能源可持续战略 Strategies of sustainable energyF 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 efficiencyF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 strengthen energy conservat

55、ion;F提高能源利用效率 Improve efficiency of energy utilization,F 调整能源结构：Improve the energy structureF 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 reasonable, especially those high quality energy resources, such as nature gas, layer coal gas and large scale hydro powerF 加快开发利用可再生能源： Apply RE immediatelyF 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.2021-11-17Slide 31固体废物污染防治：Solid waste controlF 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 sor