亚行贷款项目环境管理工作手册

1、ADB Loan ProjectEnvironmental Management Manual亚行贷款项目环境管理工作手册 *本课程材料中所述观点为作者观点，不一定代表亚洲开发银行、亚行理事会或其代表的政府的观点和政策。亚洲开发银行不担保本课件中所含数据的准确性，而且对使用这些数据所产生的后果不承担责任。使用术语“国别”不代表作者或亚洲开发银行对任何地域实体的合法性或其它法律地位的任何判断。 Overview 概述1. Overview of ADB Loan Project 亚行贷款项目概述2. Management Procedures 环境管理的程序 3. Main Environmen

2、t Work of the Project Cycle 项目周期内的主要环保工作 4. Main Elements of Environmental Management Plan 环境管理计划的主要内容 5. Case Analysis 案例分析 1. Overview of ADB Loan Project 亚行贷款项目概述Overview of ADB Loan Project 亚行贷款项目概述Strategic Objectives 战略目标 Core Areas of Operations 核心业务领域 Features of ADB Projects 项目特点 Current Sa

3、feguard Policy 现行保障政策 Environmental Safeguard Policy Experience 环境保障政策经验Environmental Classification 环境分类 Requirements 要求Overview of ADB Loan Project 亚行贷款项目概述Strategic Objectives 战略目标 ADB announced its new Strategy 2020, a long-term strategic framework, which goal is to build an Asia and Pacific reg

4、ion free of poverty. 亚行公布了其全新的2020年战略，这一长期战略的目标是构建一个没有贫困的亚太地区。 Overview of ADB Loan Project 亚行贷款项目概述Strategic Objectives 战略目标 Focus业务重点Environmentally sustainable growth环境可持续发展Regional integration区域一体化Inclusive economic growth经济协调发展Overview of ADB Loan Project 亚行贷款项目概述Core Areas of Operations 核心业务领域

5、 ADB cannot and will not attempt to meet all needs of all DMCs. To maximize results, efficiency, and impact, ADB will employ its financial and institutional resources in five core areas. 亚行不会试图满足所有发展中成员国的共同需求，为了取得最大成果，效率和影响，亚行将大部分贷款投向5个核心业务领域。 Overview of ADB Loan Project 亚行贷款项目概述Core Areas of Opera

6、tions 核心业务领域 Infrastructure 基础设施Environment 环境RCI 区域合作和一体化Finance sector development 金融部门发展Education 教育 Five core areas5个核心业务领域Overview of ADB Loan Project 亚行贷款项目概述Features of ADB Projects 项目特点 Each ADB project has dedicated project executing agency and implementing agency, to ensure the project suc

7、cessfully implemented. 任何一个亚行项目都有专门的项目执行机构和实施机构,确保项目的顺利实施。In the early stage of project implementation, the construction unit needs to carry out field investigations and survey research, and prepare well-conceived construction plan to ensure the successful project implementation. 项目实施前期，施工单位需要深入开展实地

8、勘察和调查研究，并制订周密的施工计划，保证项目成功实施。Overview of ADB Loan Project 亚行贷款项目概述Features of ADB Projects 项目特点 ADB projects require to establish project monitoring and evaluation system before the commencement of loan, to issue project report quarterly or semiannually. 亚行项目在贷款生效前即要求建立起项目的监测和评价体系，每季度或每半年出具项目报告。In th

9、e earlier stage, ADB will require local government has indeed feasible policies and regulations in the loan project industry, and require project management following the countrys relevant policies also must comply with ADBs loan management policies. 在项目前期工作中，亚行要求当地政府在贷款项目的行业政策上有确实可行的政策法规，要求项目管理既遵循所

10、在国家的有关政策，又必须遵照亚行贷款管理政策。Overview of ADB Loan Project 亚行贷款项目概述Features of ADB Projects 项目特点 In the project preparation and implementation process, ADB focuses both on social impacts and environmental impacts, and ensures various environmental impacts and social impacts be identified through perfect me

11、chanisms, and develops practical measures to strengthen the beneficial effects, relief the negative effects. 项目在筹备和实施过程中，均注重项目产生的社会影响和环境影响，通过完善的机制保证各种环境影响和社会影响得到识别，并制定切实可行的措施强化其中的有利影响，减免其中的不利影响。Overview of ADB Loan Project 亚行贷款项目概述Current Safeguard Policy 现行保障政策 Impacts are identified and assessed e

12、arly in the project cycle 在项目早期阶段识别和评估项目影响Plans to avoid, minimize, mitigate, or compensate for the potential adverse impacts are developed and implemented 制定和实施计划以避免、减少、缓解或补偿潜在不利影响Affected people are informed and consulted during project preparation and implementation. 在项目准备和实施阶段与受影响者咨询并公开项目信息。 Ove

13、rview of ADB Loan Project 亚行贷款项目概述Environmental Safeguard Policy Experience 环境保障政策经验 ADBs Environmental Policy makes sure the principles of integrating environmental protection into ADBs various operations. 亚行的环境政策确定了将环境保护融入亚行各项业务的原则。 Environmental Policy and the Operational Manual 20 Environmental

14、Protection in various operations prescribe the procedures and requirements of environmental assessment. 环境政策和业务手册20-各项业务中的环境保护规定了环境评价的程序和要求。ADBs Environmental Assessment Guide provides specific guidance for how to implement and complete the environmental assessment proscribed in the Environmental Po

15、licy and the OM20. 亚行环境评价导则为如何实施和完成环境政策和业务手册20（OM20）中规定的环境评价工作提供了具体的指导。 Overview of ADB Loan Project 亚行贷款项目概述Environmental Classification 环境分类 Classification FeaturesBasic requirementsCategory A Projects are categorized as “A” if they could have significant adverse environmental impacts to populatio

16、n, biodiversity or natural resources, and the impacts is not reversible, changeable, or never seen before. The impacts of category A may beyond the project construction site, and an environmental impact assessment (EIA) is required to address significant impacts Category B Projects are categorized a

17、s “B” if they could have some adverse environmental impacts, but of lesser degree or significance than those for category A projects. An initial environmental examination (IEE) is required Category C Projects are categorized as “C” if they are unlikely to have adverse environmental impacts. No EIA o

18、r IEE is required Category FI Projects are classified as category “FI” if they involve a credit line through a financial intermediary or an equity investment in a financial intermediary. The financial intermediary must apply an environmental management system, unless all subprojects will result in i

19、nsignificant impacts. NoOverview of ADB Loan Project 亚行贷款项目概述Environmental Classification 环境分类 环境分类特点环境评价基本要求A类如果项目可能对人口、生物多样性或自然资源产生重大不利影响，而且影响不可逆、多变或者前所未见，那么该项目就是A类项目。A类项目的环境影响可能会超出项目施工地点。需要进行环境影响评价。B类B类项目环境负面影响小于A类项目。这些影响局限于具体项目地点；很少是不可逆的；在大多数情况下，减缓措施的制定要比A类项目容易很多。需要环境审查。C类C类项目对环境影响很小或者没有负面影响。筛选审

20、查之后，不需要做进一步的环评工作。FI类金融中介机构项目就是通过金融中介机构融资的亚行项目。需要建立相应的环境和社会管理系统。当金融中介机构项目没有社会和环境负面影响或影响很小时，可以被当作C类项目。没有特别要求。Overview of ADB Loan Project 亚行贷款项目概述 Requirements 要求A typical EIA report includes the following major elements:一份标准的环境评价报告应包括以下要素：（1） Executive summary 执行概要（2） Description of the project 项目描述（

21、3） Description of the environment 环境描述（4） Anticipated environmental impacts and mitigation measures 环境影响预测和减缓措施（5） Analysis of alternatives备选方案分析（6） Environmental management plan(s) or equivalent programme document 环境管理计划，或者同等规划文件（7） Consultation and information disclosure 咨询和信息公开（8） Conclusion and

22、recommendations 总结和建议。Overview of ADB Loan Project 亚行贷款项目概述 Requirements 要求一份标准的环境审查报告包括下列要素：A typical environmental audit report includes the following major elements: （1） Executive summary 执行概要（2） Facilities description, including both past and current activities 设施描述，包括过去和当前的所有活动（3） Summary of na

23、tional, local, and any other applicable environmental laws, regulations, and standards 国家、地方以及其它环境法律、条例和标准概述（4） Audit and site investigation procedure 审查和现场调查程序（5） Findings and areas of concern 发现和关注领域（6） Corrective action plan that provides the appropriate corrective actions for each area of concer

24、n, including costs and schedule. 补救行动方案，准备适当的补救措施，包括成本计算和时间进度安排。 2. Management Procedures 环境管理的程序Management Procedures 环境管理的程序Concept of Environmental Management 环境管理的概念 Contents of Environmental Management 环境管理的内容 Key Work Procedures of Early Stage of ADB Project 前期主要工作流程 Comparison of Project Envi

25、ronmental Management Procedures between China and ADB 中国与亚行项目环境管理程序对比 Management Procedures 环境管理的程序Concept of Environmental Management 环境管理的概念 Narrowly, environmental management mainly refers to various measures to control pollution behaviors. 狭义的环境管理主要是指控制污染行为的各种措施。Generally, environmental manageme

26、nt is in accordance with economic laws and ecological laws, use of administrative, economic, legal, technology, education and the media and other means, through a comprehensive and systematic planning, to adjust and control peoples social activities, to achieve both economic development and to meet

27、the basic human needs, and do not exceed the allowable limits of the environment. 广义的环境管理是指按照经济规律和生态规律，运用行政、经济、法律、技术、教育和新闻媒介等手段，通过全面系统规划，对人们的社会活动进行调整与控制，达到既要发展经济满足人类的基本需要，又不超过环境的容许极限。 Management Procedures 环境管理的程序Contents of Environmental Management 环境管理的内容 从环境管理的范围来划分 ：资源环境管理 区域环境管理 部门环境管理 从环境管理的性质

28、来划分 ：环境计划管理 环境质量管理 环境技术管理 Classify from the scope of environmental management ：Resources environmental management Regional Environmental Management Sector environmental management Classify from the nature of environmental management ：Environmental Plan Management Environmental Quality Management Env

29、ironmental Technology Management Management Procedures 环境管理的程序Key Work Procedures of Early Stage of ADB Project 前期主要工作流程Management Procedures 环境管理的程序Key Work Procedures of Early Stage of ADB Project 前期主要工作流程Management Procedures 环境管理的程序Comparison of Project Environmental Management Procedures betwee

30、n China and ADB 中国与亚行项目环境管理程序对比Management Procedures 环境管理的程序Comparison of Project Environmental Management Procedures between China and ADB 中国与亚行项目环境管理程序对比3. Main Environment Work of the Project Cycle 项目周期内的主要环保工作Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation Stage 项目立项阶段

31、Project Preparation and Appraisal Stage 项目准备和评估阶段 Project Approval Stage 项目审批阶段 Project Implementation Stage 项目执行阶段 Project Acceptance Stage 项目验收阶段 Post-Evaluation Stage 后评估阶段 Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation Stage 项目立项阶段 Work Description 工作内容China: prepare t

32、he Project Proposal and the Opinions of the intention of initial funding sources. 中国：编制项目建议书和初步资金来源的意向意见。ADB: For the approval of PPTA and project application listed to loan plan, the relevant environmental aspects of work include: project application in the list of candidate project, environmental

33、classification and the TOR of consultants in the preparation of technical assistance. 亚行：项目准备技术援助的批准和将项目申请列入贷款规划，涉及到的环境方面的工作包括：项目申请列入备选项目清单、环境分类和准备技术援助的咨询专家工作大纲的准备。 Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation Stage 项目立项阶段 Outcome Documents 形成的文件成果The project proposal 项目

34、建议书Preliminary identification of the opinions of the intention of the project funding sources 初步确定项目资金来源的意向意见PPTA Document项目准备技术援助文件Intention of project to be listed in loan program 项目列入贷款规划意向Candidate list of projects 备选项目清单The final report of PPTA 项目准备技术援助最终报告 Main Environment Work of the Project

35、Cycle项目周期内的主要环保工作Project Preparation Stage 项目立项阶段 Work Procedures 工作流程Project unit applies the project to local Development and Reform Commission 项目单位向当地发改委申报项目Connect with ADB 与亚行衔接 Procedures in ADB loan planning 列入亚行贷款规划的程序 ADB send project identification mission 亚行派出项目鉴定团 Project Preparation Tec

36、hnical Assistance 项目准备技术援助 Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation and Appraisal Stage 项目准备和评估阶段 Work Description 工作内容China: the preparation of the environmental chapter in Environmental Impact Report, Feasibility Study report, preliminary design and write the start

37、ing report.“ 中国：编制环境影响报告、可行性研究报告、初步设计的环境保护篇章和开工报告。Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation and Appraisal Stage 项目准备和评估阶段 ADB: The preparation of environmental reports (including environmental management plan) ,environmental component of bank reports, memorandum and u

38、nderstanding, memorandum of project management, and environmental terms of the loan agreement. 亚行：编制环境报告（含环境管理计划）、行长报告环境部分、评估谅解备忘录、项目管理备忘录、为贷款协定制定环境条款。 Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation and Appraisal Stage 项目准备和评估阶段 Outcome Documents 形成的文件成果 Environmental Impa

39、ct Report 环境影响报告 Feasibility Study Report 可行性研究报告 The Environmental Protection Chapter in the Preliminary Design 初步设计的环境保护篇章 Starting report开工报告 Environmental impact assessment report and environmental management plan 环境评价报告和环境管理计划（用于向亚行申报） Main Environment Work of the Project Cycle项目周期内的主要环保工作Proje

40、ct Preparation and Appraisal Stage 项目准备和评估阶段 Outcome Documents 形成的文件成果 Environmental component of bank President Report 行长报告的环境部分Assessment of the Memorandum of Understanding 评估谅解备忘录Project Management Memorandum 项目管理备忘录The environmental provisions of the loan agreement 贷款协定的环境条款 Main Environment Wor

41、k of the Project Cycle项目周期内的主要环保工作Project Preparation and Appraisal Stage 项目准备和评估阶段 Work Procedures 工作流程Construction units commissioned the appropriate qualified environmental impact assessment agency for the preparation of environmental impact report and apply to the environmental protection admini

42、strative departments for approval. 建设单位委托相应资质环境影响评价机构编写环境影响报告，并向项目审批环境保护行政主管部门申报Construction units commissioned the corresponding engineering consulting qualified body to finish Feasibility Study and apply to Development and Reform Commission departments for approval accompanied by the following mat

43、erials. 建设单位委托相应工程咨询资质机构完成可行性研究报告，并向项目审批发改委部门申报Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation and Appraisal Stage 项目准备和评估阶段 Work Procedures 工作流程Project organization together with ADB choose the environmental impact assessment agencies for the preparation of environmental a

44、ssessment report (including the Environmental Management Plan) 项目单位会同亚行选择环境影响评价机构编制环境评价报告（含环境管理计划）After approval of feasibility study report, project financial reports should be immediately prepared and reported to National Development and Reform Commission for approval. The report should be submitt

45、ed 30 working days before the loan agreements would be negotiated. 可研性研究报告批复后，应立即准备项目的资金申报报告，报国家发改委审批。资金申请报告的上报在贷款协定谈判前30个工作日Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Preparation and Appraisal Stage 项目准备和评估阶段 Work Procedures工作流程Environmental assessment report should be submitted

46、to ADB Board of Directors for appraisal 将环境评价报告提交亚行董事会传阅ADB release the environmental assessment summary to public (120 days before ADB will consider whether to approve the loan) 亚行向公众公开环境评价摘要（120天后才会考虑是否批准贷款）Carry out environmental reviews on the President Report 对提交亚行的行长报告进行环境审查Main Environment Wo

47、rk of the Project Cycle项目周期内的主要环保工作Project Preparation and Appraisal Stage 项目准备和评估阶段 Work Procedures工作流程After the approval of President Report by the Asian Development Bank senior management hearing, the Asian Development Bank mission will visit to China for project loan assessment (2-3 weeks) 行长报告经

48、亚行高层的“管理审议会”讨论审议批准后，亚行评估团将赴中国进行项目贷款评估考察（23周）Sign a memorandum of understanding with the China 与中国签署评估谅解备忘录Reconfirmed environment classification 再次确认环境分类Project Management Memorandum 项目管理备忘录Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Approval Stage 项目审批阶段 Work Description 工作内容China

49、: provide the approval views from environmental protection administrative department for the Feasibility Study, preliminary design, start report, financial reporting report 中国：为可行性研究报告、初步设计、开工报告、资金申报报告的审批提供环境保护行政主管部门出具的环境影响评价文件的审批意见ADB: prepare the bank president report (environmental component), th

50、e Loan Agreement (Environmental Terms) for bank loan negotiations and approval 亚行：为贷款谈判及批准准备行长报告（环境部分）、贷款协定（环境条款 Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Approval Stage 项目审批阶段 形成的文件成果贷款文件可行性研究报告的审批意见初步设计的审批意见开工报告的审批意见资金申报报告 Outcome Documents Loan documentsThe approval of the vie

51、ws of Feasibility StudyThe approval of the views of preliminary designApproval of the views of start reportFinancial Reporting Report Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Approval Stage 项目审批阶段 Work Procedures工作流程ADB management hearing or employee hearing, will discuss the Pr

52、esident draft report and the Asian Development Bank assessment mission the memorandum of understanding to form and submit those to the Board, including President Report, Loan Agreement, project agreement draft document and will send to the Chinese Government and the project implementing agencies 亚行“

53、管理审议会”或“员工审议会”对行长报告草稿及亚行评估团的评估谅解备忘录进行讨论，形成向董事会提交的行长报告、贷款协定、项目协议文件草案，并寄送给中国政府和项目执行机构Loan negotiations 贷款谈判Determine the environmental provisions of the loan agreement 确定贷款协定的环境条款Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Approval Stage 项目审批阶段 Work Procedures工作流程Initially sign the l

54、oan agreement and project agreement, sign minutes of loan negotiations meeting 草签贷款协定和项目协议书，签署贷款谈判会议纪要Board of Directors approval 董事会审批The signing of loan documents (90 days after the entry into force) 签署贷款文件（90天后开始生效）Report Feasibility Study to the Development and Reform Commission 向发改委申报可行性研究报告Mai

55、n Environment Work of the Project Cycle项目周期内的主要环保工作Project Approval Stage 项目审批阶段 Work Procedures工作流程Apply for preliminary design to the Development and Reform Commission 向发改委申报初步设计Apply for start report” to the Development and Reform Commission 向发改委申报开工报告Applying for funds request report to the Nati

56、onal Development and Reform Commission 向国家发改委报送资金申请报告应附以下文件Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Implementation Stage 项目执行阶段 Work Description 工作内容China: the project executing agency will have the initiative responsible for all the work of the project process and regularly inf

57、orm the ADB projects progress. At this stage, environmental management related work is as follows: 3-simultaneous management, construction site environmental supervision, environmental protection facilities trial operation, environmental effect monitoring. 中国：中国的执行机构将具有项目实施的主导权，负责项目过程的各项工作并定期向亚行通报项目

58、进展情况。在此阶段环境管理相关工作为：“三同时”管理、施工现场环境监理、环保设施试运行、环境影响监测。Main Environment Work of the Project Cycle项目周期内的主要环保工作Project Implementation Stage 项目执行阶段 ADB: ADB will fully supervise the project, sending the project starting mission to check the preparation effect for projects and specify details of the loan do

59、cuments, to report environmental monitoring and soil erosion monitoring, then form project management memorandum. At least once a year ADB should send inspection team to check the progress of the project, special circumstances with special inspection missions. At this stage, environmental management

60、-related work is as follows: amend the environmental management plan, review the implementation of environmental management plans. 亚行：亚行将对项目全程监管，派出项目启动团检查项目建设准备情况并具体细化贷款文件，报告环境监测和水土流失监测，形成项目管理备忘录。 每年至少派一次检查团检查项目进展情况，特殊情况还会派出特别检查团。 在此阶段环境管理相关工作为：修订环境管理计划、对环境管理计划的实施进行审查。 Main Environment Work of the P