Direction for Use of DFV Operation...
Transcript of Direction for Use of DFV Operation...
E1959v6
Direction for Use of DFV Operation Manual
According to the World Bank's new policy, DFV Operation Manual was amended in
Sept. 2008, both in Chinese and English versions.
The revised contents are summarized below:
a. Revision of Annex 1 Appendix 2 - CRITERIA
b. Revision of Annex 3 - Environmental Impact Analysis Policy Framework;
c. Revision of Annex 4 - Resettlement and Land Acquisition Policy Framework;
d. Supplement of Annex 10 - Anti-Corruption Guidelines (2008).
The World Bank Executive Board has approved on September 27, 2007 a significant
simplification and a reduction in IBRD loan and guarantee pricing. The new pricing is
available fro all new loans signed on or after May 16, 2007. The commitment fee and
waivers have been eliminated, and the repayment terms are flexible, subject to policy
limits on average repayment maturity of 18 years and final loan maturity of 30 years.
As to the final financial terms of Shanghai Urban Environmental Project Phase IIIplease see the Loan Agreement.
Shanghai Chengtou Environment Asset Management Co.,Ltd (CEAM)
Sept. 25, 2008
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4 X-99,JAM4JN4,H q Tfn Nf EfiPf t3WAAM (2008)
1. INTRO DUCTIO N lI , ............................................................................................................................................. 3
2. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK 61, W# f f ................................. 4
2.1. ENVIRONMENTAL IMPACT ASSESSMENT 4fl i t . . . ....................... .......... 4
2.1.1. EIA supporting laws & regulations . ....................... 42.1.2. EA Procedures .f. 42.1.3. The EIA Stage ......................................
2.2. "THREE SYNCHRONIZATION" PRINCIPLE "- f- R4 " A M ....................................... 6
2.3. ENVIRONMENTAL STANDARDS ................................................ 72.4. WORLD BANK ENVIRONMENTAL SAFEGUARDS ................................ 7
3. EIAFRAMEWORK ff nV........................................................ 9
3.1. PRINCIPLE OF ENVIRONMENTAL IMPACT ASSESSMENTS 414W[Inn fto,JqIJ ..................................... 93.1.1. Project Environmental Screening 4..............................123.1.2. Project Environmental Assessment Requirements 5...........................123.1.3. Environmental Assessment ofLinked Projects 6......................13
3.2. PREPARATION OF EIA t * fl ................................................... 143.2.1. Selection of Consultants A ......................................... 14
3.2.2. WORKING OUT of TORs of EA i t . . ..................................................... ............................... 153.2.3. Preparation of Full EA IMPACT 15
3.2.3.1. Strategic Environmental Considerations f . ................................ 16
3.2.3.2. Project Analysis E n A s.......................................................... 163.2.3.3. Environm ental Baseline Projes.....................................173.2.3.4. Water Quality Impact Assessment *MWA WlIf . . ................................... 173.2.3.5. Noise impact Assessment n if/t..............................................18
3.2.3.6. Air Quality Impact Assessment ........................... 183.2.3.7. Biological Systems and Scenery Impact Assessment IVAi*,kAf n..........18
3.2.3.8. Construction Phase Impact Assessment A J.............................. 183.2.3.9. Mitigation Planning .............................................. 193.2.3.10. Environmental Management Planning -#T . . .....................................193.2.3.11. Monitoring and Evaluation A ltf i.................................. ........ 20
3.3. PUBLIC CONSULTATION ........................ 203.3.1. Major Methods of Public Consultation 4.............................203.3.2. Grievance Redress Mechanism 4...............................22
PR. 1: ENVIRONMENTAL STANDARDS IN PRC1
PRA~ 2: SUMMARY TABLE CONCERNING WORLD BANK SAFEGUARD POLICIES tfA f
PRA~ 3: SCOPING TABLE CONCERNING WORLD BANK SAFEGUARD POLICIES JA f
Ik 4: RECOMMENDED TABLE OF CONTENTS FOR EIA REPORTS
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上海区县环境治理项目融资平台 操作手册 附件 3:环评政策框架 (2 008)
简称、簩写词和单位
CSEM户 Construction Site Environmental Management Plan施工现场环境管理计划EIA Environmental lmpact Assessment 环境影响评价任M户 任nvironmental Management and Monitoring户lan环境管理监测计划EMS Environmental Monitoring Station环境监测站EPB Environmental Protection Bureau 环保局ESD PMO一Environmental and Social Division项目管理办公室― 环境和社会保障处任SFI 任nvironmental and Social Field Inspector环境和社会保障现场督检员GEF Global Environment Facility全球环境基金GIS Geographic Information System地理信息系统150 14001 Quality Standard for任nvironmental Management System环境管理体系质量标准MNR Municipal Nature Reserve市级自然保护区NCP Nuisance Control Plan损害控制计划NGO Non一Government organization非政府组织NNR National Nature Reserve 国家自然保护区户A户 户roject Affected户erson受项目影响的个人户lu 户roject lmplementation Unit项目实施单位户Mo 户roject Managemento衍ce 项目管理办公室PPE Personal Protective Equipment人身保护设施PRC People&5 Republic of China中华人民共和国RAP Resettlement Action Plan移民安置行动计划SA Social Analysis社会分析NoRC National oevelopment and Reform Commission国家发展和改革委员会MEP Ministry of Environmental Protection of the People,5 RepubliC of China
(formerly SE户A)中华人民共和国环境保护部(国家环保总局)SNE Sewer Network Extension管网扩建工程SRS Standard Site Inspection Review Sheet 标准现场检验审核表55 Suspended Solids悬浮固体TA Technical Assistance技术援助WB World Bank 世界银行WWTP Wastewater Treatment Plant 污水处理厂
CURRENCIES货币
RMs Chinese Yuan(Renminbi)中国 (人民币)元USD United States Dollar 美元
P八GEZ
上海区县环境治理项目融资平台 操作手册 附件 3:环评政策框架 (2 008)
1.IN下Roouc下loN前 言
As part of the Shanghai Urban Environment Program(SHLIEP)Adaptable Program Loan StageZ(APLZ).the Shanghai Municipal Government(SMG)proposed to establish a centralizedmechanism through which a portion of the proceeds of the World Bank loan can be distributed toD istrict Governments and theira 角Iiated companies for long 一term 石nancing of environmentalinfrastructure.This mechanism 15 called the&District Financing Vehicle&,or DFV.It 15 managedthrough a Special purpose Subsidiary corporation that has been formed by Shanghai ChengtouCorporatjon.This company 15 named&Shanghai Chengtou Environmental Assets Management Co.Ltd.&(CEAM).CEAM 15 the legal entity that provides financing to distriCt projects.The rationale forthe DFV 15 Iodged in the enormous urban growth pressures that Shanghai 15 fecing in its inner andOUteF SUbUFban SFe8S.
作为世行贷款上海 A户L 二期环境治理项目的组成部分之一,上海市政府建立了一种集约化机制,通过它将部分世行贷款分配给各区县政府及其项日公司,从而为区县环境治理基础设施的建设提供长期资金。这一机制称为 “上海区 (县)环境治理项目融资平台”,简称 OFV。以上海市城市建设投资开发总公司专门成立的一个法人实体为实施主体,为上海区县环境治理项目提供融资,该法人实体的名称为上海城投环保产业投资管理有限公司 (以下简称城投环保,英文简称为 CEAM)。OFV机制的诞生源于上海市中心城区和周边区县所共同面临的城市急剧扩张的压力。
The core function of DFV 15 to provide funds for the 行nancing of environmental infrastructure byD istrict governments and their proiect companies.DFV provides three types of funds:1)proceedsfrom APL loans from the World Bank;2)other long 一term and low cost inVestments with a tenor of10 一20 years;and3)grant 一based capital investments.Financing instrumentl)15 managed on the
basis of practices and procedures that conform to requirements of the World Bank.DFV acts asintermediary between 行nal users in Distrjcts and the Shanghai Municipal Government and theWorld Bank.DFV ensures that all projects in which it invests meet the requirements of SMG andthe World Bank,thereby assuming the management tasks and reporting obligations that wouldothe 阴 ise be incurred by District borrowers in the absence of DFV&5 intermediary function.
OFV的核心功能是为上海区县政府及其项目公司提供资金以支持其环境治理基础设施建设。OFV提供三种形式的资金:1)来自世界银行的A户L贷款;2)其他期限为 10至 20年的长期低成本资金:3)赠款性质的资金。来源 ,)的资金必须遵循世界银行规定的要求和程序进行管理。OFv在区县最终用户、上海市政府及世界银行之间担当了一个中介角色。OFV将确保其融资项目的运作满足上海市政府和世界银行的要求,从而 OFV将扼担一定管理、上报职能。而这些职能在没有 OFV这一中介平台时,是由区县借款人直接承担的。
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2. POLICY, LEGAL AND ADMINISTRATIVE FRAMEWORK
2.1. ENVIRONMENTAL IMPACT ASSESSMENT P_,4WCa
2.1.1. EIA SUPPORTING LAWS& REGULATIONS FTIWOnii if
Since the 1980s, the EIA process in China has been exercised under the Environmental ProtectionLaw (for trial 1979). Several national laws and regulations provide a legal basis for EIA:
20 ft2 80 (1979 4-:i4IT) lr.3
" Environmental Protection Law (1989 4H)
" Environmental Impact Assessment Law (2002q: )
" Environmental Administration Regulations for Construction Projects (1998, by the StateCouncil) 31i_,U) H ( 1998 4H, M * R4tt)
" Regulations on the Certificate for the EIA of Construction Projects (2005 SEPA) 31j9:1 119 JY)0 -A ( 2 00 5 4H, W * 4, NS M. ZN
" Catalogues of the EIA Categorisation Management for Construction Projects 31 al ! H 4,(2002 If-, M, *9N8n Zia)
" Technical Guidelines for Environmental Impact Assessment (HJIT 2.1-2.3-93)41AV, uh(HJIT2.1-2.3-93)
" Technical Guidelines for Environmental Impact Assessment - Acoustic Environment(HJ/T 2.4-1997)91AWA if *TA* VYF11J-M4iA(HJ[T 2.4-1995)
" Technical Guidelines for Environmental Impact Assessment - Non-pollution EcologicalImpact (HYT 19-1997)4iAWA f fftJA*- VY111-dH3 411LMT,-A(HYT 19-1997)
Technical regulations for EIA consist of environmental quality standards, basic health standards,public safety standards, standards for controlling toxic and radioactive substances, and pollutantemission standards.
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Except for the pollutants emission standards, local governments are not allowed to adopt their ownprescriptions.
21.2. EIA PROCEDURES
Environmental regulations in China require developers to submit EIA reports to the EnvironmentalProtection Bureau (EPB) and other concerned departments. Each EIA report must specifymeasures to ensure that environmental standards are met in the design, construction, andoperation phases
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EIA reports must be prepared by specialists/institutions that hold a Certificate for Assessmentissued by state environmental protection administration.
In practice, EIA reports for large projects are normally handled in conjunction with the SEPA whichplays a leading role. Small and local projects are generally reviewed and approved by localenvironmental agencies (EPBs).
For projects funded by international institutions such as the World Bank or the Asian DevelopmentBank, the EIA requirements are slightly different, with the obligation to fulfill also the requirementsof the concerned institution. However, differences between both requirements are limited, most ofthe requirements from both side being the same. Differences concern mainly specific points as theanalysis of project alternative and public consultation of target population and beneficiaries.
'iii ~ ~ ~ -d AAMiI~ 4:~ lL JXIM, 0
2.1.3. THE EIA STAGE l
The core of the projects feasibility study is the EIA. Based on the extent of environmental impacts,a way of categorisation management is exercised for the EIA of construction projects. Cataloguesof the EIA categorisation management for construction projects are to be worked out and issued bythe environmental protection administration agency of the State Council.
Project proponents shall prepare one of documents below, namely, environmental impactstatement (EIS), environmental impact form (ElF), or environmental impact register (EIR) (allreferred to EIA documentation hereafter), according to following conditions:
01ER (EIR)
* In the case of likely causing significant environmental impacts, an EIS shall be prepared to take
a full assessment on the environmental impacts; H f tit&RzEnI@, 9Wf
* In the case of likely causing light environmental impacts, an ElF shall be prepared to make an
analysis on the environmental impacts or carry out special assessment; X49N P Gi
* In the case of causing slight environmental influences without requirement for conducting EIA,an EIR shall be filled in. q a l\, Hng,4WOn- JR,+,
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The project proponent/owner will commission an EIA specialist/institution to prepare the Terms ofReference (TOR) for the EIA report (huanping dagang) to be consulted by relevant environmentalagencies (EPB, SEPA). Once it gets through, the project proponent will finalize a contract with theEIA specialist/institution who will then prepare the EIA study and reports. The EIA report has to bedrafted with reference to applicable environmental quality standards and pollutant emissionstandards
Once finished, the EIA report is first examined by the commercial and industrial authorities thathave jurisdiction over the project, followed by the Environmental Agency (EPBs, MEP/SEPA)
If the project is believed to have significant environmental impacts or to involve complicatedenvironmental issues, it can be requested the EIA specialist/institution to testify before a panel ofexperts organized by the environmental agency. The environmental agency has the final authorityto accept or reject the EIA report. It also applies to other activities resulting in adverseenvironmental impacts, that are, (a) directly and significantly related to the Bank-assisted project,(b) necessary to achieve its objectives as set forth in the project documents; and (c) carried out, orplanned to be carried out concurrently with the project.
2.2. "THREE SYNCHRONIZATION" PRINCIPLE "=RIOf " Jfl1]
Facilities for the environmental protection specified in the feasibility study report and justified in theETA report as prescribed measures should be designed, constructed and put into operation at thesame time as the principal elements of the project would be done. It is the "three synchronization"principle, another fundamental system for the environmental management besides the EIA. Theeffectuality of EIA basically relies on the implementation of this principle. Once the ETA report hasbeen approved by the environmental agency, the project proponent/owner will take theresponsibility to ensure the implementation of the "three synchronization" principle. The projectproponent/owner should commission the design and construction of the environmental facilities torelevant institutions/companies at the same time during the implementation of the whole project,and submit a progress report on a regular basis to the environmental agency, who will makeinspection and give necessary comments.
i~MU itP 6 3A-tM W I # IM M' I
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When the construction of a projeCt 15 Completed and ready to start its operation,the projeCtproponen 灯owner must submit an application for the commissioning to the environmental agencywho has approVed the EIA report.The enVironmental agency will inspeCt and make sure that the
environmental prescriptions speci 行ed in the EIA report are followed,and the fecilities are workab!eand acceptable according to their specification.
项目建设完成并准备开始投入运行时,项目单位/业主必须向批准环评报告的环保机关提交试运转申请。环保机关将对环评报告中的环保措施落实情况进行检查和确认,同时确认相关环保设施是否合格,是否能够正常运转并发挥其技术性能。
2.3.ENVIRONMENTAL STANDARDS环境标准
Most of the Commonly used appliCable standards inCluding enVironmental quality standards andpollutant emission standards are listed as follows:
包括环境质量标准和污染物排放标准在内的一般环境标准如下:
.EnVironmentalQualityStandardforSurfacewater(GB3838 一2002)地表水环境质量标准(GB 3838一2002)
Ambient Air Quality Standard(GB 3095一1996)环境空气质量标准(G日3095·1996)
Quality Standard for Groundwater(GBIT 14848一93)地下水质量标准(GBfl- 14848一93)
EnVironmental Quality Standard for 50115(GB 15618一1995)土壤环境质量标准(G日15618-1995)
Standard of Ambient Noise of Llrban Area(GB 3096一93)城市区域环境噪声标准(G日3096 一93)
Standard of Ambient Vibration in Urban Area(GB 10070一88)城市区域环境振动标准(G日10070 一88)
integrated wastewater DisCharge Standard(GB 8978一1996)污水综合排放标准(G日5975-1996)
D ischarge Standard of Pollutants for Municipal Wastewater Treatment Plant(GB18918-
2002)城镇污水处理厂污染物排放标准 (GB18918一2002)
Shanghai Integrated Wastewater Discharge Standard(D日311199一1997)上海市污水综合排放标准(DB 311199一1997)
Water Quality Standard for Drinking Water Sources(CJ 3020一1993)生活饮用水水源水质标准(CJ 3020一1 993)
Integrated Emission Standard of Air Pollutants(GB 16297一1996)大气污染物综合排放标准(GB 16297一1996)Noise Limits for ConstruCtion Site(GB 12523一90)建筑施工场界噪声限值(GB 12523一90)
Control Standards for Poilutants in Sludges for Agricultural Use(GB 4284一1984)农用污泥中污染物控制标准(GB 4284一1984)
or other speCifiC seCtoral appliCable standards.其他特殊行业适用的环境保护标准
2.4.WORLD BANK ENVIRONMENTAL SAFEGUARDS世界银行环境安全保障措施
The World Bank requires environmental assessment(EA)of projects proposed for行nancing to heipensure that they are environmentally sound and sustainable,and thus to improve decision making.
世行要求拟融资项目的环境评价能够确保该项目是合乎环境要求的,是可持续的,从而有助于世行作出决策判断。
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For any project processed with the participation of an International Funding Agency, in addition tothe fulfilment of national requirements, the proponent must also satisfy the requirements of thefunding organisation.
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Environmental and social policies of the World Bank are as follows:
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Operational Policy 4.01, Environmental Assessment, January 1999
4.01, 1999 IF 1 J1
Operational Policy 4.04, Natural Habitats, June 2001
4.04, 9;1Pe#,6,49, 2001 IF 6 J1
Operational policy 4.09, Pest management, December 1998
4.09, 1998 IF 12 A
Operational Policy 4.11, PhysicalCultural Resource, 2006
MriWV4.11, 90Zft0Af3F, 2006
Operational Policy 4.12, Involuntary Resettlement, December 2001
M,-!FAT 4.12, 4 'Aff#X, 2001 IF 12 A
Operational Directive 4.20, Indigenous Peoples, September 1991
4.20, )FffX, 1991 IF 9 A
Operational Policy 4.36, Forests, September 1993
-!FAT, 4.36, #-ilk, 1993 IF 9
Operational Policy 4.37, Safety of Dams, October 2001
V 4.37, 2t#X7J , 2001 IF 10 J1
Operational Policy 7.50, Projects on International Waterways, June 2001
k) !FAX 7.50, 2001 IF 6 A
" Operational Policy 7.60, Projects in Disputed Areas, June 2001.
" k*NV 7.60, 2001 IF 6 A
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3. EIA FRAMEWORK ff #kVOn4
3.1. PRINCIPLE OF ENVIRONMENTAL IMPACT ASSESSMENTS 511W0n W W1
In accordance with the policy of the Bank, development options under consideration will beenvironmentally sound and sustainable, environmental issues will be identified early in the projectcycle, and environmental improvements will be designed into the project to avoid, mitigate orcompensate for adverse impacts. The EA flowchart of any project financed by DFV is illustrated asbelow:
It+f1W,G DFV 9t H fLfT :
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上海区县环境治理项目融资平台 操作手册 附件 3:环评政策框架 (2 008)
EA Flowchart of DFV Financed projects
于Note:the aCtivities with yellow highlight will be done by DFV.
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3.1.1. PROJECT ENVIRONMENTAL SCREENING JAHTTJARA
The type of project is first screened to determine its probable impacts to the locality. Incollaboration with DFV technical personnel, the PIU or project proponents are to evaluate theproject according to the magnitude and sensitivity of the environmental issues raised. Screeningdetermines the type of environmental analysis to be conducted for the project, ranging from nofurther analysis to a full EIA. In the course of screening, the reviewer may recommend theincorporation of mitigating measures in the project design that will be cost out as part of the totalproject package.
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The DFV Safeguard Team shall review and approve the results of the Project EnvironmentalScreening. In accordance with World Bank policy (OP 4.01), projects are assigned to one of threecategories on the basis of the type, location, sensitivity, and scale of the project and the nature andmagnitude of its potential environmental impacts:
FV Pi /:ft R ry- /1, ffi 444f A , ft?M I)Q H _ff, I),$ A ft om z 151 H M J I
Category A: Project is likely to have significant adverse environmental impacts that aresensitive, diverse, or unprecedented. These impacts may affect an area broader than thesites or facilities subject to physical works. Such projects require a full EIA, including anenvironmental management plan (EMP).
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Category B: Project may have adverse environmental impacts, but these are less adversethan those of Category A projects. These impacts are site-specific; few if any of them areirreversible; and in most cases mitigation measures can be designed more readily than forCategory A projects. Such projects may not require a full EIA, but an environmentalanalysis is still appropriate, since the project may have specific environmental impacts.
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Category C: Project is unlikely to have any significant adverse environmental impacts.Such projects do not normally require any environmental assessment beyond screening.
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3.1.2. PROJECT ENVIRONMENTAL ASSESSMENT REQUIREMENTS A F13 FWYc*
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上海区县环境治理项 目融资平台 操作手册 附件 3:环评政策框架 (2 008)
The DFV Safegua 闭 Team shall determine specific requirements for additional enVironmentalassessments that must be completed and approved by the SafeguaFd Team before the projeCt 15qualified to receive DFV funding.These requirements will be based on results from the ProjeCtEnvironmental Screening and any previous environmental assessments conducted by the projectcompany or project proponents.
项目被确定获得 OFV融资前,OFV安全保障工作小组将明确需要完成的增加的具体环境评价要求。这些要求将基于项目环境筛选结果及项日公司或项目发起人之前开展的任何环评工作。
For proposed projects that have not yet received formal EA approval from the EPB,the DFVSafegua闭Team will identify specific issues and requirements that must be addressed in the EIA orany other required environmental assessment studies and reports to comply with World Bankpolicies and guidelines,and will ensure that these are incorporated into the terms of reference(TOR)for the consultants conducting these studies.
对于尚未获得环保局正式环评批复的拟选项目,OFV安全保障小组将明确环评报告或其他必须的环评研究必须遵守世行政策所要求的特别事项和要求,并确保其与开展这些研究工作的咨询顾问或单位的工作大纲相结合。
For proposed projects that have already received formal EA approval from the EPB,the DFVSafeguard Team will identify any additional enVironmental assessment issues and requirementsthat must be addressed to comply with World Bank policies and guidelines,and will prepare termsof referenCe(TOR)for conducting such additional required work,the results and conclusions fromwhich are to be submitted in a Supplementary Environmental Assessment Report for review andapproval by the DFV Safeguard Team.
对于已经获得环保局正式环评批复的拟选项目,OFV安全保障小组将识别、明确遵守世行政策需要增加的环评事项和要求,准备开展这些增加工作的工作大纲,提交的环评补充报告的结论必须通过OFV安全保障小组审核。
3.1.3.ENVlR0NMENTALASSESSMENT0FLlNKEDPR0JECTS关联项目的环评
When the projeCt proposed for DFV funding represents one component of a larger scherne that willbe implemented as two or more separate projects,the DFV Safeguard Team must consider thepotential enVironmental impacts of the entire scheme,rather than limiting its evaluation to thespeCifiC projeCt(s)that are proposed for DFV fUnding,
当 OFV拟选融资项目是被分成两个或更多单独实施的项目的大型计划的一部分,OFV安全保障小组必须考虑整体计划的潜在环境影响,而不是局限于对 OFV拟选融资项目的评价。
For the project(s)speci行cally proposed to receive DFV fUnding,the DFV SafeguaFd Term shoulddetermine the specific environmental assessment requirements in accordance with World Bankpoljcies as described in Section 3.1.2above.
对 OFV拟选融资项目,OFV安全保障小组将按照上述 3.1.2节所述的,根据世行政策,明确具体环评要求。
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一
上海区县环境治理项目融资平台 操作手册 附件 3:环评政策框架 (2 008)
For other Component projeCts(not proposed for DFV funding),it may not be possible or praCtiCalfor DFV to insist on full compliance with World Bank policies regarding environmental assessment.In such cases,the DFV Safeguard Team shall,as a minimum:(a)review and approve results ofaProject Environmental Screening conducted for all component projecte in the scheme(eitherseparately or together)to identify potential environmental impaCts assoCiated with eaCh ComponentprojeCt;(b)review conclusions andlor relevant sections of EIA reports prepared for each of thenon一DFV一funded component projects in the sCheme to 石nd out their potential environmentalimpacts(as identi行ed in item(a)above)and assoCiated mitigation measures;(c)confirm that allcomponent projects in the scheme have received formal EA approval from the EPB before givingits own石nal approval to the project(s)proposed for DFV funding;and(d)inciude in the ProjectAppraisal DoCument a summary of the environmental assessment reviews ConduCted for otherComponent projeCtS in the sCheme identifying all major environmental impaCts and mitigationmeasures associated with these projects.
对于其他项目 (非 OFV融资支持的),OFV 要求项目环评完全遵守世行政策的要求不可能,也不可行。在这样的情况下,OFV安全保障小组应,最低限度(a) (分别或整体)审阅、通过构成计划的所有项目的环境筛选的结果,识别每个项目的潜在环境影响;(b)审阅非 OFV融资支持的每个项目的环评报告的结论及相关章节,发现它们的潜在环境影响 (如(a)所述)及相应的减缓措施;(c)在最终同意 OFV拟选融资项目前,确认计划中的所有项目获得环保局的正式环评批复;(d)项目评估文件中应包含对计划中其他项目环评摘要的回顾,确认这些项目主要的环境影响及减缓措施。
3.2.PREPARATi0N OF EIA环境影响评价的准备工作
When physical investments of a project for the DFV are being de们ned,a sitelcomponent speCi们cE IA will need to be conducted to identify and quantitatively evaluate potential impacts in greaterdetails,to analyse alternatives,and to plan measures for mitigating potential adverse impacts.TheE IA for each component will be conducted through the following tasks.
OFV子项目的投融资意向明确后,需要对其展开详细的环境评价,识别并量化评价项目的潜在环境影响,分析项目比选方案,制定潜在不利环境影响的缓解措施。各子项目环评编制步骤如下:
Selection of Consultants(Institutions or Companies)to undertake EIA选择编制环评报告的咨询顾问/单位
Working out of TORs of EIA编写环评大纲
Preparation of EIA report(EIS)编写环评报告书Preparation of EMP编写环境管理计划
The EIA reports and EMP for first four subprojects being prepared for the DFV component will bereviewed by World Bank and DFV,and approved by the World Bank.The EIA reports for latersubprojects will be reviewed and approved by DFV,and sent to the World Bank for records.
OFV首批确认的四个子项目的环评报告和环境管理计划将由世行和 OFV进行审查,并且由世行批准。后续子项目的环评报告将由OFV审查批准,并送交世行备案。
3·2.1.SELECT10N OF CONSULTANTS选择环评咨询顾问
The CEAM Safeguards Team will assist project proponents in the selection of consuitants forConduCting EIAs by:
CEAM的安全保障小组将通过下列方式协助子项目单位选择编制环评报告的咨询单位:
ReCommending proposed EIA Consultants;推荐环评单位
Review of the SCope of Works of the proposed consultants审查环评单位的工作内容
PAo〔14
±*X A JT I M V4 H MIXF7 RI# ITTWalf-M (2008)
3.2.2. WORKING OUT OF TORS OF EIA W93TW )QM
The EIA will include considerations of the World Bank's ten safeguard policies (see Appendix 2).Those which are likely will undertake a screening and, if triggered, a full assessment should bedone. The likely application of safeguards policies in the DFV funded project components are asfollows:
4, 1 W *,y -t 80 Y- J ftij Wj +IT i f 9 P# A X- (,M 91 IL 2) . V] - R Wj A V.-TH X1j3-kLbADFVRWVTi
Full Application
OP/BP/GP 4.01, Environmental Assessment; 4.01, ffjffljand
OD 4.30, Involuntary Resettlement.A *,90J, U n EM fScreening and if triggered, full application: A screening will first be conducted for the
following policies. If the screening results exceed the thresholds, a full assessment will betriggered. If the screening results do not exceed the thresholds, the application of theparticular policies in this EIA will be terminated:
OXXIMMAPR
OP/GP 4.36, Forestry; A*AAWLAAM 4.36 #0
OP/BP 4.04, Natural Habitats; 4.04 n AMA.+ ,
OP 4.11, Physical Culture Resource; A *AM OP 4.11, tMi -MOM and
OP4.09, Pest Management. A*iAM 4.09, rN-t-T-Iffa
Not applicable: The DFV funded project components do not involve issues related to thefollowing safeguards policies and they will therefore not applied in the EIA.-T it J : D FV R R J IT H -T 6 R U -F 1 -- f* P:O iTA X M +H ) (P] JN, VA k T 3 d ITA X -T it J -T
D F V --f 4T H IYJ J , I W fj .Safety of Dams (OP/BP 4.37)
Indigenous People (OD 4.20)
Projects in Disputed Areas (OP/BP/GP 7.60); --4tiYJ0X 0, :EWTi W (J MAM/4*1TAX/,LAiTAM 7.60)andProjects on International Waterways (OP/BP/GP,LAiAM 7.50)
3.2.3. PREPARATION OF FULL
The Safeguards Team of DFV will provide assistance to the PlUs during project preparation, andwill be responsible for reviewing and commenting on both draft and final EIA reports submitted bythe project proponents, in particular.
AITi H X* Pi R, DFV 911.44 ) IK, W 93k *RNlj VMVi . I A ift '94 W L 1) W V,nN z 0, 4,
W TR +0 V fn A 9 M -
An overall outline of the expected contents of a typical EIA Report is provided in Appendix 4 of thisframework. The following paragraphs provide specific notes.
T-- tA-TJR,4iqfl.
PAGE 15
1IfAVP RT: AWKV (2008)
3.2.3.1. STRATEGIC ENVIRONMENTAL CONSIDERATIONS &DO f 5k
Aside from the scoping of impacts and environmental issues to be covered by the EIA, some moregeneral and strategic environmental considerations should apply in the selection of alternatives.
From the environmental point of view, the selection of the best site for the environmentalinfrastructure should rely on:
A4,1nA~h**, 44M ,J1tby-A K* Residential areas: should be as far as possible from residential areas, in order to avoid
nuisance and conflicts with surrounding population.
* Uf M : P JIZLS JTkU WIKtA O* Access to site should be easy from large axis, and should not cross dense residential or
commercial areas. If any transport is involved, this may result in increased traffic in suchcrowded areas.
* Size of the site should be appropriate to allocate enough area, for possible extensionreserve and for tree plantation around the site.
*J)ITh±L~ H M4&vt 1 ) 74,{LMA WM t* In the case of wastewater discharge involved, the outfall should be located as
downstream as possible in order to favor a better dilution of treated effluent, and tominimise the risk of impact on sensitive water use during backflow.
3.2.3.2. PROJECT ANALYSIS Ik H ft
The objective of a project analysis is to identify pollutant sources, quantity, discharge loads anddischarge routes through analysis and understanding of proposed physical investments. As such,the analysis will also determine the key factors which could potentially bring in adverse impacts ofthe projects to the surrounding ecosystem and socio-economic environments, help determine thefeasibility of various mitigation measures and provide a basis for the impact assessment andmitigation planning. I 0 ftl 0 MAitWJ&tW , M Jt f
The methodology used for the project analysis will include collection and review of availableinformation and existing data, particularly components planning, feasibility and other project studydocuments, analogy with similar operating projects elsewhere, for the types and intensity ofpollution, and site investigation as necessary. 41,f iti T h*tA W matE
PAGE 16
X 4 XF MpJ ) 1__FI,W F ff ~{3:JFW X* (2008)
3.2.3.3. ENVIRONMENTAL BASELINE 54AW*N
Understanding of environmental baseline in the project region and project sites is critical to analyzealternative sites and evaluate the potential impacts in the later stage of the EIA. The baselineconditions include existing air quality, water quality and hydrology, soil and hydro-geology, floraand fauna, acoustic conditions, and sensitive receptors such as drinking water sources, residentialareas, natural habitats, cultural properties, etc. A complete inventory of sensitive receptors in theproject area is important as they will be the focus of impact assessment and mitigation planning.
Environmental baseline data are obtained through collection of historical data, supplemented byenvironmental monitoring programs designed specifically for the project. Detailed investigations ofthe project sites and the surrounding areas are essential for understanding environmental baseline.
3.2.3.4. WATER QUALITY IMPACT ASSESSMENT 7C liAfyft
Dependent on the characteristics of the receiving water, a variety of one- and/or two-dimensionalmodelling tools will be required to analyse the impact of the discharges on surface water bodies inthe Shanghai area. , /
The one-dimensional model will be generally used to analyse impacts at the river basin level,outside of the mixing zone. Because of tidal effects within Shanghai, this will generally consist of acoupled dynamic hydraulic-water quality model. -4 A '4Jfl -MiLJAF, N M A
In general two- (possibly three-) dimensional model will be used to investigate impacts within themixing zone of outfalls or impacts within the estuary/bay/lakes. R ( gggy
The water quality model will be primarily used for assessment of project impact and should becalibrated with respect to existing conditions. z W ERAWIk, T]Eff&#+
Water impact assessment must be closely related to the conditions and sensitivity of the receivingwater including the nature of the riverside land uses, future development plan of the riverside,functioning and water quality category designation of the receiving water bodies, locations ofdrinking water intakes and fish habitats, visual impacts and environmental aesthetics, and etc. *M
PAGE 17
±*XR91*m v~I~f a ATl 4 AW1 4 (2008)
3.2.3.5. NOISE IMPACT ASSESSMENT 0
Noise impact will be predicted by using models which have been proven to fit the project siteconditions. The results of the noise prediction modeling will be applied to determining the potentialimpacts of the project construction and operation in comparison with the applicable standards witha focus on sensitive receptors. The modeling results are particularly relevant as a reference fordevelopment of mitigation measures. W Ptnn4 A NA, R M A B n
3.2.3.6. AIR QUALITY IMPACT ASSESSMENT ! tI"V IWA r
Air emissions sources from various project facilities in both construction and operation stages willbe identified. The impact of such emissions will be assessed through dispersion modeling todetermine the potential adverse impacts on the areas immediately surrounding the project areas,particularly the sensitive receptors such as schools and residential areas, as well as regionalimpactsA~ l R 3*-afNL-9P)i.
3.2.3.7. BIOLOGICAL SYSTEMS AND SCENERY IMPACT ASSESSMENT ±#A** It AARVW
The scope of the impact assessment for biological systems and scenery will include all plants andmajor scenery within 200 m of proposed sites. Impacts to trees and greens areas will bedetermined based on the potential damages or removal/occupation. The scenery assessment willbe mostly conducted through visual observations. l
~AtF~~ 200
3.2.3.8. CONSTRUCTION PHASE IMPACT ASSESSMENT XiPfr&WAlW
Construction phase impact assessment will be conducted based on the understanding ofconstruction activities for DFV projects. For many components, construction is the main activitieswhich could result in adverse impacts and therefore is the focus of the impact assessment. Thepotential impacts will include, but not limited to:
* Air quality primarily from airborne dust caused by excavation, demolition, materialshandling and increased traffic; EiX, F, MMi)I T,iti%
* Noise from construction machinery and construction trucks, particularly at night andother sensitive time periods near the sensitive receptors;AIAf4:-j n MWI
* Water pollution from construction camps discharges and machinery or constructionvehicle washing; construction activities in or near water could also impact the waterbodiespotentially through increased suspended solids, oil and grease and impacts on hydrology;
PAGE 18
3:36WOAM (2008)
* Impacts on traffic, particularly in the congested areas in the urban centers, as many ofthe construction activities would require temporary occupation of urban roads, forcedthem to semi- or completely closed during construction; and , )iXA$$h
* Construction materials exposure and transportation, such as sand, gravel and earth,spoiled materials disposal, construction camps, traffic disruption, site safety, hazardousmaterials handling, etc.g gMl#i * ,it9 TiMi ±4, 4WA A
3.2.3.9. MITIGATION PLANNING 0A11M tt
Mitigation planning will be based on the result of the impact assessment. The overall objective is toavoid, reduce or minimize the adverse impacts to the acceptable levels. The general criteria foracceptable impacts will be compliance with applicable state and local discharge and/or ambientenvironmental quality standards. The mitigation measures will be developed for three stages of theproject: Afitij MhiT-AfA4HU 'Mb9*"
* Design stage: those which need to be incorporated into project engineering design, suchas noise mitigation, wastewater treatment, emission treatment and solid waste landfilldesign modifications, etc. Rift'9c: @ IBRit t, n
* Construction stage: those which will be applied in the construction stage such asmitigation measures to be implemented by contractors at the construction sties; and AI
* Operation stage: those which will be implemented in operation stage such as those to beimplemented by the operation company. i I tLP: UWMA, RP
The mitigation measures will cover air, noise, water, biological systems, and socio-economicsystems, and will be specific and detailed enough for implementation and supervision. flrA
3.2.3.10. ENVIRONMENTAL MANAGEMENT PLANNING & ihR']
Based on the impact assessment results and mitigation planning, an environmental managementplan will be developed for DFV funded projects covering both the construction and operation stages.The environmental management plan will have, but not limited to, the following key components:JS
* Environmental management organizations and their specific responsibilities in the DFVproject development; DFV J- H ff ifflU+ M AARtit]&ARI{RV;1W
* Key impact mitigation measures; fflWIPME
* Environmental monitoring programs for both construction and operation stages, focusingon monitoring of the receiving environment of the project; tfAfI f n)&M ililJA
* Environmental training; and fnJPAURI )I
* Cost estimate for environmental management. h EMMA{n.
PAGE 19
上海区县环境治理项 目融资平台 操作手册 附件 3:环评政策框架 (2 008)
Besides a chapter in the EIA report,a stand alone Environmental Management Plan(EMP)will beprepared as part of the EIA documentation tor the DFV project.除了在环境影响评价报告中要包含环境管理计划这一章节外,应单独制定一份环境管理计划 (EM户)作为 OFV子项目环评文件的一个组成部分。
3.2.3,11.MONITORINGANDEVALUAT10N监测和评估
During the implementation of EMP,DFV will prepare and submit consolidated internal monitoringreports every 6 months based on the EMP Progress and Monitoring Reports submitted by eachsubproject owner,and field VerifiCation.For eaCh subproject,DFV will require eaCh subprojeCtowner to employ an independent third party to be responsible for external monitoring andevaluation of the EMP implementation,and the external monitoring reports will be prepared and
submitted semi一annually.环境管理计划开始实施后,OFv应每6个月编制并提交子项目的内部监测报告,内容包括项目环境管理计划的工作进展,子项目业主提交的监测报告,和现场检查情况。对每一个子项目,OFV将要求子项目业主聘请独立第三方负责环境管理计划实施的外部监测和评估,外部监测报告将每6个月编制和提交一次。
DFV&5 Safeguard Team should regularly perform project monitoring and evaluation,and visit the5 ite to assess progress and identify problems,and ask the project company to take measures tosolVe problems,if any.OFv 安全保障小组应定期进行项目监测和评估,并进行实地检查评估工程进度、及时发现项目存在的问题,并要求项目公司采取相应措施予以解决 (如有)。
3.3.PUBLIC ColMSULTAT10N公众参与
3.3.1.MAJORMETHODSOFPUBLICCONSULTAT10N公众参与的主要方式
There will be at least two rounds of pubtic consultation:the 月rst round will be carried out at the EIAterms of reference stage to inform the public of the projeCt and solicit public concerns and opinions.The second stage will be at the dratt EIA report stage to inform the public of the results of theassessment,including assessment of issues raised by the publiC in the 们rst round of consultation.A 150 in the second round,the mitigation measures planned for the project will be communiCated tothe public,focusing on those raised by the publiC,to determine whether the affected and ConCerned
Publicis satis触d with the miligation proPosed.公众参与应至少举行两轮:第一轮在编写环评工作大纲阶段举行,告知公众项目信息,并征询公众所关心的相关事宜。第二轮在起草环评报告初稿阶段举行,告知公众环境评价的初步结果,包括对第一轮征询中公众提出的意见进行的评估。同时在第二轮征询中,还应告知公众拟定的项 目环境影响缓解措施,尤其侧重于针对公众提出的环境 问题的簓解措施,并要确认受影响、以及较为关心的相关民众是否对拟定的缓解措施表示满意。
一rhe major methods of public consultation will include:举行公众参与的主要方法包括:户ublic meetingslhearings;召开会议l听证会;
Interviews with selected public members or institutions;and选取部分民众或机构进行采访;
Questionnaires.问卷调查;
The publiC consultation will focus primarily on those groups or individuals who will be directlyaffeCted by the project construction and operation.More speci石cally,these include schools,urbanresidenCes,rural villages,shops.institutionslo角ce towers,and factories within the project impactedareas.公众参与主要针对受项目建设和运行直接影响的团体或个人,尤其是学校、城镇居民区、农村、商铺、机构/办公大厦,以及在项目影响区域内的工厂等。
PAoE 20
±JqXA91M04 H W5 TZ AJIFT-M VVt 3:31TW A.V493V (2008)
To reach the affected public, public notice for the consultation process will be distributed oradvertised to ensure those who are concerned and wish to express their opinions on theenvironmental issues of the project have the opportunities to express their thoughts. In addition,EIA TOR, draft report and final report, when finished, will be released and displayed in publicaccessible places such as public libraries, village committee for review. Public consultation andinformation release are a continued process and the EIA team will maintain such a processthroughout the EIA process as well as recommending project executing agencies to continue theconsultation process during project construction and operations.) T aATVMPJ a, fA-
71 a 'V--l I I a f**H Afn q& Jjpk H M T4-11 no Eli 1k i±% ' A M a M tp
fjle -73- V aAihpq I a _11t AF A ff a if 9AX f offt IWAARL1 -1, 40n j1N, J+W+ffiA4J-fA N?!EV'11P-1WTilf .
The following table provides an Aide Memoire to the various stages of public consultation andinformation disclosure to be undertaken as part of DFV
T A t D FV i E JPk H P)'(& 4f A a ff A 119 iii) f 0 f NA4A A T flf 0,
TABLE 1: PUBLIC CONSULTATION & INFORMATION DISCLOSURE AIDE MEMOIRE A 1:
SUBSTANCE P4AF BY WHOM ?F*A WITH WHOM -0t WHEN 111011 WHERE AA WORLD BANK'SREQUIREMENT
Aff N* -Interview during field OD 4.30 and OP
social economic survey 4. 01 -&-4 V,A7Yand follow-up field 4.30 0&-44Xsurveys V-49#9 00 4.01
; V] MV0 Fff M#r 1 0Draft EIA TOR OP4.0:
consultation *jftR consultation
Pyl ffl r// a I y hf 41 during TOR stage
(their work donebefore OP
requirement)&-T
1 tRpag)"&
-40j04.0AU _EIA TOR consultation OP4.01:
consultation
during TOR stage(their work done
before OP
requirement) &T
40X 4. 0 1 A 1&:
Distribution ofquestionnaires and keyEIA messages in bulletpoint format in first
public meetings
Distribution ofproject OP4.01:information and draft Consultation priorEIA in second public to finalization ofmeetings &A9=V ,;9f draft report et IY)W
949 3 Vt 999)W &-4
OS4.01 Al'f
Final EIA *if qji4
DOCUMENT-tJ+ DATE OFDISCLOSURE LoCATiO N YA A, BANK's REQUIREMENT
PAGE 21
-LX94MJ)ff H 95- 4{Tff M3:&W, (2008)
Copies of EIA TOR iftM OP 4. 01; BP 17.50 Vk4p/1/ 94.01; 44W917.50Questionnaires and key EIAmessages /
Draft EIA reports JFinal EIA reports #Notice for availability of EIAreport on Web Site R
3.3.2. GRIEVANCE REDRESS MECHANISM &TW 9'$J
In any case where there are complaints that arise from the conduct and implementation of theenvironmental assessment, complainants can submit its position at the local level to theEnvironmental Protection Bureau which should in turn forward to the local executive at thetownship/district level and the project proponent for their action. Copies of the complaints can beforwarded to the DFV Safeguards Team for their appropriate corrective action. As a matter of proofthat valid environmental and social concerns raised are adequately addressed, the correspondingmitigating measures will be examined during review and appraisal of the EIA. Failure to addressthe concerns could result in the delay of approval of the loan applications.
PAGE 22
上海区县环境治理项目融资平台 操作手册 附件 3:环评政策框架 (2008)
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PAGE 23
上海区县环境治理项目融资平台 操作手册 附件 3:环评政策框架 (2 008)
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上海区县环境治理项目融资平台 操作手册 附件 3:环评政策框架 (2 008)
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Annex I Appendix 2 CRITERIA
1: Screening Criteria
0 Preparation
Has sufficient preparatory work been completed to carry out an initial assessment of desirability
and feasibility?
* Conformity to Master Plan
Is the project in conformance with the Master Plan? If not, are there any clear reasons for
proposing it?
Is the project a part of the District Five-Year Plan? If not, are there any clear reasons for proposing
it?
* Demandlneedforproject
Is there any reasonable assurance that demand exists for the project -e.g. expected wastewater
volumes, etc.?
If the project is not addressing a market demand, does it address a District or SMG social
objective? How will the community benefit?
Are there any significant public safety considerations that help to justify the project?
* Land and resettlement
Are possible resettlement impacts acceptable, given the mitigation measures suggested?
* Environmental impact
Are possible environmental impacts acceptable, given the mitigation measures suggested?
Financial viability
Are estimated costs in line with estimates in the Annual or Five-Year Plans? Are the costs
reasonable when compared with experience in similar projects in Shanghai? Are estimated annual
operating costs reasonable?
Is the financing plan achievable? Does it place a financial burden on the District, which is
insupportable given the District's resources? Have non-governmental sources of financing been
considered -e.g., private equity, foreign equity or loans?
Has any potential revenue of the project been considered? Does it appear that revenues could
cover investment and operating costs?
* Responsibilities
Have responsibilities for each stage of project development been clearly and accurately identified?
* Risks and contingencies
Are there any design issues that could dramatically alter the cost of the project or render it
infeasible?
What if the expected financing is not available?
Is the level of demand that justifies the project likely to change?
2: Evaluation Criteria
* Relevance to District Objectives
Does the project address District objectives? What are those objectives? In which way and to
which extent?
附件 1 附录 2 项目筛选和评估标准
1、筛选标准. 描番工作项目需求性及可行性的初步评估所需的准备工作是否已充分完成?
. 夸奋徽斑划时丫翁蹬
项 目是否符合总体规划的要求? 如果不符合,那么提出该项目建议的明确理由是什么?
项 目是否属于区县五年计划的一部分?如果不属于,那么提出该项目建议的明确理由是什么?
. 项厅斋成理是否能够提供项目需求性的证明材料,例如预期污水量等?如果项 目未体现市场需求性,那么该项目是否有助于实现区县或上海市的社会 目标?即该项
目的开展将产生何种社会效益?
该项目建议是否出于重大公共安全考虑?
. 士泄柳动拆迁安窗
在考虑减簓措施后,可能产生的移民安置影响是否能被接受?
. 邓瀚矛时可能产生的环境影响,在考虑到减轻措施之后,是否可以被接受?
. 刀芬可疗蹬项目成本估算是否与年度计划或五年计划中的估计相符?与上海类似项目相比,该项目的成
本是否合理?项目的年度运营成本估算是否合理?
项目财务测算的可行性如何?如果区县的财政收入有限,该项目的实施是否会成为区县的财
政负担?是否考虑采用非政府来源的融资计划,例如接受民间资本、外国资本或贷款?是否已经考虑了项目的所有的收入来源?项目的收入是否能够抵偿投资和运营成本?
. 度刀咨乃姻则如砚苛项目开发每一阶段的工作职责是否已经清楚并予以明确?
. 风脸匆篡办笋岸是否存在可能显著改变项目成本或者导致项目无法实施的设计问题?如果预期融资无法实现将如何应对?项目需求程度是否有可能发生变化,从而影响项目的合理性分析?
2、评估标准
. 与区咨潇亥刀奋肘尖粤蹬硕万是香与区咨菇对刀奋拍尖群尸是那些刀奋尸理过岸滋岸成才李C 茬黄如海尸
DFV Operations Manual Annex 10 Anti -Corruption Guidelines (2008)
GUIDELINES
On Preventing and Combating Fraud and Corruption in ProjectsFinanced by IBRD Loans and IDA Credits and Grants
Dated October 15, 2006
Purpose and General Principles
1. These Guidelines are designed to prevent and combat fraud and corruption that mayoccur in connection with the use of proceeds of financing from the International Bank forReconstruction and Development (IBRD) or the International Development Association(IDA) during the preparation and/or implementation of IBRD/IDA-financed investmentprojects. They set out the general principles, requirements and sanctions applicable topersons and entities which receive, are responsible for the deposit or transfer of, or take orinfluence decisions regarding the use of, such proceeds.
2. All persons and entities referred to in paragraph I above must observe the higheststandard of ethics. Specifically, all such persons and entities must take all appropriatemeasures to prevent and combat fraud and corruption, and refrain from engaging in, fraudand corruption in connection with the use of the proceeds of IBRD or IDA financing.
Legal Considerations
3. The Loan Agreement' providing for a Loan 2 governs the legal relationships betweenthe Borrower 3 and the Bank 4 with respect to the particular project for which the Loan ismade. The responsibility for the implementation of the project 5 under the LoanAgreement, including the use of Loan proceeds, rests with the Borrower. The Bank, forits part, has a fiduciary duty under its Articles of Agreement to "make arrangements toensure that the proceeds of any loan are used only for the purposes for which the loan wasgranted, with due attention to considerations of economy and efficiency and withoutregard to political or other non-economic influences or considerations 6 ." TheseGuidelines constitute an important element of those arrangements and are madeapplicable to the preparation and implementation of the project as provided in the LoanAgreement.
Scope of Application
1 References in these Guidelines to "Loan Agreement" include any Guarantee Agreement providing for aguarantee by the Member Country of an IBRD Loan, Financing Agreement providing for an IDA Credit or IDAGrant, agreement providing for a project preparation advance, or Institutional Development Fund (IDF) Grant,Trust Fund Grant Agreement providing for a recipient-executed trust fund Grant in cases where these Guidelinesare made applicable to such agreement, and the Project Agreement with a Project Implementing Entity related toan IBRD loan or IDA credit or grant.2 References to "Loans" include IBRD loans as well as IDA credits and grants, project preparation advances, IDFgrants and recipient-executed trust fund grants for projects to which these Guidelines are made applicable underthe agreement providing for such grant, but excludes development policy lending, unless the Bank agrees with theBorrower on specified purposes for which loan proceeds may be used3 References in these Guidelines to the "Borrower" include the recipient of a grant. In some cases, an IBRD Loanmay be made to an entity other than the Member Country. In such cases, references in these Guidelines to"Borrower" include the Member Country as Guarantor of the Loan, unless the context requires otherwise. In somecases, the project, or a part of the project, is carried out by a Project Implementing Entity with which the Bank hasentered into a Project Agreement. In such cases, references in these Guidelines to the "Borrower" include theProject Implementing Entity, as defined in the Loan Agreement.4 References in these Guidelines to the "Bank" include both IBRD and IDA.5 References in these Guidelines to the "project" means the Project as defined in the Loan Agreement.6 IBRD's Articles of Agreement, Article 111, Section 5(b); IDA's Articles of Agreement, Article V, Section I (g).
2
DFV Operations Manual Annex 10 Anti-Corruption Guidelines (2008)
4. The following provisions of these Guidelines cover fraud and corruption that mayoccur in connection with the use of Loan proceeds during the preparation andimplementation of a project financed, in whole or in part, by the Bank. These Guidelinescover fraud and corruption in the direct diversion of Loan proceeds for ineligibleexpenditures, as well as fraud and corruption engaged in for the purpose of influencingany decision as to the use of Loan proceeds. All such fraud and corruption is deemed, forpurposes of these Guidelines, to occur "in connection with the use of Loan proceeds".
5. These Guidelines apply to the Borrower and other all persons or entities which eitherreceive Loan proceeds for their own use (e.g., "end users"), persons or entities such asfiscal agents which are responsible for the deposit or transfer of Loan proceeds (whetheror not they are beneficiaries of such proceeds), and persons or entities which take orinfluence decisions regarding the use of Loan proceeds. All such persons and entities arereferred to in these Guidelines as "recipients of Loan proceeds", whether or not they arein physical possession of such proceeds7 .
6. The Bank's specific policy requirements on fraud and corruption in connection with theprocurement or execution of contracts for goods, works or services financed out of theproceeds of a Loan from the Bank, are covered in the Guidelines: Procurement underIBRD Loans and IDA Credits, May 2004, as revised October 2006 ("ProcurementGuidelines") and the Guidelines: the Selection and Employment of Consultants by WorldBank Borrowers, May 2004, as revised October 2006 ("Consultant Guidelines"). Forease of reference, the relevant sections of the Procurement Guidelines and ConsultantGuidelines are set forth in the Annex to these Guidelines.
Definitions of Practices Constituting Fraud and Corruption
7. These Guidelines address the following defined practices when engaged in byrecipients of Loan proceeds in connection with the use of such proceeds8 :
A "corrupt practice" is the offering, giving, receiving or soliciting, directly orindirectly, of anything of value to influence improperly the actions of anotherparty'.
A "fraudulent practice" is any act or omission, including a misrepresentation,that knowingly or recklessly'o misleads, or attempts to mislead, a party to obtaina financial or other benefit or to avoid an obligation.
A "collusive practice" is an arrangement between two or more parties designedto achieve an improper purpose, including to influence improperly the actions ofanother party.
A "coercive practice" is impairing or harming, or threatening to impair or harm,
Certain persons or entities may fall under more than one category identified in paragraph 5. A financialintermediary, for example, may receive payment for its services, will transfer funds to end users and will make orinfluence decisions regarding the use of loan proceeds.8 Unless otherwise specified in the Loan Agreement, whenever these terms are used in the Loan Agreement,including in the applicable General Conditions, they have the meanings set out in paragraph 7 of these Guidelines.
Typical examples of corrupt practice include bribery and "kickbacks".o To act "knowingly or recklessly", the fraudulent actor must either know that the information or impression
being conveyed is false, or be recklessly indifferent as to whether it is true or false. Mere inaccuracy in suchinformation or impression, committed through simple negligence, is not enough to constitute fraudulent practice.
3
DFV Operations Manual Annex 10 Anti-Corruption Guidelines (2008)
directly or indirectly, any party or the property of the party to influenceimproperly the actions of a party.
An "obstructive practice" is (i) deliberately destroying, falsifying, altering orconcealing of evidence material to the investigation or making false statementsto investigators in order to materially impede a Bank investigation intoallegations of a corrupt, fraudulent, coercive or collusive practice; and/orthreatening, harassing or intimidating any party to prevent it from disclosing itsknowledge of matters relevant to the investigation or from pursuing theinvestigation, or (ii) acts intended to materially impede the exercise of theBank's contractual rights of audit or access to information'
8. The above practices, as so defined, are sometimes referred to collectively in theseGuidelines as "fraud and corruption".
Borrower Actions to Prevent and Combat Fraud and Corruption in connection withthe Use of Loan Proceeds
9. In furtherance of the above-stated purpose and general principles, the Borrower will:
(a) take all appropriate measures to prevent corrupt, fraudulent, collusive,coercive and obstructive practices in connection with the use of Loan proceeds,including (but not limited to) (i) adopting appropriate fiduciary andadministrative practices and institutional arrangements to ensure that theproceeds of the Loan are used only for the purposes for which the Loan wasgranted, and (ii) ensuring that all of its representatives 12 involved with theproject, and all recipients of Loan proceeds with which it enters into anagreement related to the Project, receive a copy of these Guidelines and aremade aware of its contents;
(b) immediately report to the Bank any allegations of fraud and corruption inconnection with the use of Loan proceeds that come to its attention;
(c) if the Bank determines that any person or entity referred to in (a) above hasengaged in corrupt, fraudulent, collusive, coercive or obstructive practices inconnection with the use of Loan proceeds, take timely and appropriate action,satisfactory to the Bank, to address such practices when they occur;
(d) include such provisions in its agreements with each recipient of Loanproceeds as the Bank may require to give full effect to these Guidelines,including (but not limited to) provisions (i) requiring such recipient to abide byparagraph 10 of these Guidelines, (ii) requiring such recipient to permit the Bankto inspect all of their accounts and records and other documents relating to theproject required to be maintained pursuant to the Loan Agreement and to havethem audited by, or on behalf of, the Bank, (iii) providing for the earlytermination or suspension by the Borrower of the agreement if such recipient isdeclared ineligible by the Bank under paragraph 11 below; and (iv) requiringrestitution by such recipient of any amount of the loan with respect to whichfraud and corruption has occurred;
Such rights include those provided for, inter alia, in paragraph 9(d) below.12 References in these Guidelines to "representatives" of an entity also include its officials, officers, employeesand agents.
4
DFV Operations Manual Annex 10 Anti-Corruption Guidelines (2008)
(e) cooperate fully with representatives of the Bank in any investigation intoallegations of fraud and corruption in connection with the use of loan proceeds;and
(f) in the event that the Bank declares any recipient of Loan proceeds ineligibleas described in paragraph 11 below, take all necessary and appropriate action togive full effect to such declaration by, among other things, (i) exercising theBorrower's right to terminate early or suspend the agreement between theBorrower and such recipient and/or (ii) seeking restitution.
Other Recipients of Loan Proceeds
10. In furtherance of the above-stated purpose and general principles, each recipient ofLoan proceeds which enters into an agreement with the Borrower (or with anotherrecipient of Loan proceeds) relating to the Project will:
(a) carry out its project-related activities in accordance with the above-statedgeneral principles and the provisions of its agreement with the Borrower referredto in paragraph 9 (d) above; and include similar provisions in any agreementsrelated to the Project into which it may enter with other recipients of Loanproceeds;
(b) immediately report to the Bank any allegations of fraud and corruption inconnection with the use of loan proceeds that come to its attention;
(c) cooperate fully with representatives of the Bank in any investigation intoallegations of fraud and corruption in connection with the use of loan proceeds;
(d) take all appropriate measures to prevent corrupt, fraudulent, collusive,coercive and obstructive practices by its representatives (if any) in connectionwith the use of loan proceeds, including (but not limited to): (i) adoptingappropriate fiduciary and administrative practices and institutional arrangementsto ensure that the proceeds of the loan are used only for the purposes for whichthe loan was granted, and (ii) ensuring that all its representatives receive a copyof these Guidelines and are made aware of its contents;
(e) in the event that any representative of such recipient is declared ineligible asdescribed in paragraph 11 below, take all necessary and appropriate action togive full effect to such declaration by, among other things, either removing suchrepresentative from all duties and responsibilities in connection with the projector, when requested by the Bank or otherwise appropriate, terminating itscontractual relationship with such representative; and
(f) in the event that it has entered into a project-related agreement with anotherperson or entity which is declared ineligible as described in paragraph 11 below,take all necessary and appropriate action to give full effect to such declaration by,among other things, (i) exercising its right to terminate early or suspend suchagreement and/or (ii) seeking restitution.
Sanctions and Related Actions by the Bank in Cases of Fraud and Corruption
5
DFV Operations Manual Annex 10 Anti-Corruption Guidelines (2008)
11. In furtherance of the above-stated purpose and general principles, the Bank will havethe right to take the following actions:
(a) sanction any recipient of Loan proceeds 3 other than the Member Country 4
(and/or, if such recipient is an entity rather than a natural person, any of itsrepresentatives); sanctions include (but are not limited to) declaring such personor entity ineligible to receive the proceeds of any loan made by the Bank orotherwise to participate further in the preparation or implementation of theproject or any other project financed, in whole or in part, by the Bank, if at anytime the Bank determines' 5 that such person or entity has engaged in corrupt,fraudulent, collusive, coercive or obstructive practices in connection with the useof loan proceeds' 6 ;
(b) if the Bank determines that any such recipient of Loan proceeds is also apotential provider of goods, works or services, declare it ineligible underparagraph 1.8 (d) of the Procurement Guidelines or paragraph 1.11 (e) of theConsultant Guidelines (as appropriate); and
(c) declare a firm, consultant or individual ineligible under paragraph 11 (a)above if such firm, consultant or individual has been declared ineligible underparagraph 1.14 of the Procurement Guidelines or under paragraph 1.22 of theConsultant Guidelines.
Miscellaneous
12. The provisions of these Guidelines do not limit any other rights, remedies' 7 orobligations of the Bank or the Borrower under the Loan Agreement or any otherdocument to which the Bank and the Borrower are both parties.
13 As in the case for bidders in the procurement context, the Bank may also sanction persons and entities whichengage in fraud or corruption in the course of applying to become a recipient of Loan proceeds (e.g., a bank whichprovides false documentation so as to qualify as a financial intermediary in a Bank-financed project) irrespectiveof whether they are successful.14 Member Country includes officials and employees of the national government or of any of its political oradministrative subdivisions, and government owned enterprises and agencies that are not eligible to bid underparagraph 1.8(b) of the Procurement Guidelines or participate under paragraph 1.11(b) of the ConsultantGuidelines.15 The Bank has established a Sanctions Board, and related procedures, for the purpose of making suchdeterminations. The procedures of the Sanctions Board sets forth the full set of sanctions available to the Bank.16 The sanction may, without limitation, also include restitution of any amount of the loan with respect to whichsanctionable conduct has occurred. The Bank may publish the identity of any entity declared ineligible under
paragraph 11.The Loan Agreement provides the Bank with certain rights and remedies which it may exercise with respect to
the Loan in the event of fraud and corruption in connection with the use of Loan proceeds, in the circumstancesdescribed therein.
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反腐败指导方针
“关于预防和打击国际复兴开发银行货款利国际开发协会信货和猫款资助项目中
的欺诈和腐致行为的指导方针”
关于预防和打击国际复兴开发银行贷款和国际开发协会
信贷和赠款资助项目中的欺诈和腐败行为的指导方针
发布日期:2006年10月15日
目的和总则
1.
为了预防和打击在国际复兴开发银行 (IBRD) /国际开发协会 (IDA)出资的投资项目的筹备和 (或)执行中,可能发生的与国际复兴开发银行或国际开发协会所提供融资资金佼用有关的腐败和欺诈行为,特制定本指导方针。本指导方针规定的一般原则、要求和制裁,适用于接收此等资金、负责寄放或转移此等资金、或作出或影响此等资金佼用决策的个人和实体。
2.
上文第 1段所指的所有个人和实体均必须遵守最高的道德操守标准。具体而言,所有此等个人和实体均必须采取适当的措施以预防和打击欺诈和腐败行为,并且不得犯下与国际复兴开发银行或国际开发协会融资资金使用有关的欺诈和腐败行为。
法律事项
3.
借款人’与世行”在提供贷款3的具体项目上的法律关系受该贷款之 “贷款协议”4管
l
本指导方针中提及的 “借款人”包括赠款的接受方。有些情况下,IBRD贷款可能是发给一个实体,而不是发给会员国。在这种情况下,本指导方针提及的 “借款人”包括作为贷款担保人的会员国(除非上下文有其他要求)。有些情况下,项目或项目的一部分是由与世行签订了 “项目协议”的“项目执行机构”来执行。在这种情况下,本指导方针提及的 “借款人”包括 “贷款协议”所定义的 “项 目执行机构”。2本指导方针提及的 “世行”包括国际复兴开发银行和国际开发协会。3
“贷款”包括国际复兴开发银行贷款利国际开发协会信贷和赠款、项目筹备基金、机构发展基金 (IDF)赠款以及由接受方参与发起设立的信托基金为赠款协议规定适用本指导方针的项目提供的赠款,但不包括开发政策贷款,除非世行与借款人就贷款资金可使用的指定用途达成协议。4
辖。 《贷款协议》项下的项目5执行,包括贷款资金的使用,由借款人负责。世行在其 《协定》项下扼担受托责任,即 “规定办法,保证使任何贷款的款项只能用于提供贷款所规定的目的,并佼之充分注意节约和效率,但不得顾及政治的或其他非经济性的影响或考虑”。6本指导方针构成这些办法的重要组成部分,并适用于 《贷款协议》所规定的项目筹备和执行。
适用范围
4.
本指导方针的下列规定涵盖世行全部或部分出资项目的筹备和执行中在贷款资金的佼用上可能发生的欺诈和腐败行为。本指导方针涵盖直接挪用贷款资金以支付不合格费用的欺诈和腐败行为,以及为了影响关于贷款资金使用的决策而犯下的欺诈和腐败行为。在本指导方针范围内,所有此等欺诈和腐败行为均视作 “与贷款资金使用有关”。
5.
本指导方针适用于借款人和其他所有出于自身用途而接收贷款资金的个人或实体 (例如 “最终佼用人”)、负责寄放或转移贷款资金的个人或实体 (例如财政机构,无论其是否系此等资金的受益人),以及作出或影响贷款资金使用决策的个人或实体。在本指导方针范围内,所有此等个人和实体,无论其是否在实体上占有此等资金,一律称为 “贷款资金接受方”。7
6.
对于与经费来源于世行贷款资金的货物、工程或服务合同之获得或履行有关的欺诈和腐败行为,世行具体的政策要求见述于 ((国际复兴开发银行货款和国际开
发协会信货采购指导方针》 (2004年5月制定,2006年修订,以下简称 《采购指导
方针》)和 ((世界银行借款人选择和聘请咨询顾问指导方针》 (2004年5月制定,2006年 10月修订,以下简称 《咨询顾问指导方针》)。
构成欺诈和腐败的行为的定义
7.
本指导方针提及的 “贷款协议”包括规定会员国为国际复兴开发银行贷款提供担保的任何 “担保协议”、规定国际开发协会信贷或国际开发协会赠款的 “融资协议”、规定项 目筹备基金的协议、规定或机构发展基金 (IDF)赠款的协议、规定接受方参与发起设立之信托基金所提供赠款的 “信托基金赠款协议” (前提是佼本指导方针对该协议适用)以及与 “项目执行机构”关于国际复兴开发银行贷款或国际开发协会信贷或赠款的 “项目协议”。5本指导方针中提及的 “项 目”系指 “贷款协议”所定义的 “项 目”。{‘国际复兴开发银行协定’第三条第5节(b)款“国际开发协会协定’第五条第’节(g)款。某些个人或实体可能同时属于第5段所列的多个类别。例如,金融中介机构可收取服务费,将资金转移给最终佼用人,同时还作出 (或影响)贷款资金使用决策。
本指导方针系针对贷款资金接受方与此等资金的使用有关的、符合以下定义的行为:8
(a)
“腐败行为”:系指直接或间接地提供、给予、接受或要求任何有价值物品,来不正当地影响另一方的行为。”
(b)
“欺诈行为”:系指通过任何作为或不作为 (包括错误表述),蓄意或肆意’”误导、或企图误导某一方,以谋取财务等利益或逃避义务。
(c)
“共谋行为”:系指两方或更多方之间的安排,以实现不正当目的,包括不正当地影响另一方的行为。
(d)
“胁迫行为”:系指直接或间接地危害或损害、或威胁危害或损害任一方或该方的财产,来不正当地影响某一方的行为。
(e)
“妨碍行为”:系指 (i)故意销毁、伪造、篡改或藏匿对调查有重要意义的证据,或向调查人员作出虚假的陈述,以图严重妨碍世行对腐败行为、欺诈行为、胁迫行为或共谋行为指控进行调查;以及/或者威胁、骚扰或恐吓任一方,以阻止该方披露其掌握的与调查有关的情况,或阻止该方进行调查;或 (ii)意图在于严重妨碍世行履行审计或调阅信息之契约权利的行为。11
8.上段定义的行为,在本指导方针中有时统称为 “欺诈和腐败行为”。
借款人采取行动来预防和打击与贷款资金使用有关的欺诈和腐败行为
9. 为了推进上述目的和一般原则,借款人将做到:
(a)采取所有适当的措施,以预防与贷款资金使用有关的腐败行为、欺诈
8
除非 “贷款协议”另有规定,否则这些术语在 “贷款协议” (包括相关的 “通用条件”)中使用时均具有本指导方针第7段所规定的意义。9贿赂和 “回扣”是典型的腐败行为。】0
“蓄意或肆意”是指:欺诈行为人必须知道所传递的信息或印象是虚假的,或者对真假毫不在意。仅因疏忽而导致此等信息或印象不准确,不足以构成欺诈行为。,’此等权利还包括下文第9段 (d)款等处所规定的权利。
行为、胁迫行为和妨碍行为,包括 (但不限于):(i )制定适当的受托人及行政规定和制度安排,保证贷款资金只能用于提供贷款所规定的目的;以及 (ll) 保证借款人参与项目的所有代表’”以及所有与借款人就 “项目”签订协议的贷款资金接受方均获得一份本 《指导方针》,并知悉其内容;
山)立即向世行报告借款人接到的对与贷款资金使用有关的欺诈和腐败行
为的指控;
(c)在世行认定上文 (a)款提及的任何个人或实体犯下了与贷款资金使
用有关的腐败行为、欺诈行为、胁迫行为或妨碍行为时,采取令世行满意的、及时和适当的行动来立即处理此等行为;
(d)在借款人与每个贷款资金接受方的协议中,按世行的要求加入赋予本
指导方针全部效力的条款,包括 (但不限于)以下条款: (i)要求该接受方遵守本指导方针的第10段; (ii) 要求该接受方允许世行检查其根据 “贷款协议”的规定而设籮的所有账目、记录以及与项目有关的其他文件,由世行亲自或委托他人对其进行审计; (iii)如果世行依据下文第11段的规定宣布该接受方无资格,借款人可提前终止或暂停该协议;以及 (iv)要求该接受方归还发生了欺诈和腐败行为的任何贷款款项;
(e)在调查关于与贷款资金佼用有关的欺诈和腐败行为的指控时,与世行
的代表充分合作;以及
沟在世行依据下文第11段的规定,宣布任何贷款资金接受方无资格,采
取所有必要和适当的行动佼该宣布充分生效,主要是 (i)履行借款人提前终止或暂停借款人与该接受方之间协议的权利;以及 (或) (ii) 寻求追回款项。
其他贷款资金接受方
10.
为了推进上述目的和一般原则,每个与借款人 (或其他贷款资金接受方)签订与 “项目”有关之协议的贷款资金接受方均将做到:
(a)根据上述一般原则以及其如上文第9段 (d)所述与借款人之协议的规
定,执行其与项目有关的活动;并且在该接受方可能与其他贷款资金接受者
,2本指导方针提及的实体 “代表”,还包括该实体的官员、高级管理人员、雇员和代理。
签订的与 “项目”有关的任何协议中加入类似的条款;
山)立即向世行报告该接受方接到的对与贷款资金使用有关的欺诈和腐败
行为的指控;
(c)在调查关于与贷款资金佼用有关的欺诈和腐败行为的指控时,与世行
的代表充分合作;
(d)采取所有适当的措施,以预防该接受方代表 (如有)犯下与贷款资金
佼用有关的腐败行为、欺诈行为、胁迫行为和妨碍行为,包括 (但不限于)(i)制定适当的受托及行政规定和制度安排,保证贷款资金只能用于提
供贷款所规定的目的;以及 (的 保证该接受方所有代表均获得一份本指导方针,并知悉其内容;
(e)在该接受方的任何代表依据下文第11段的规定被宣布无资格时,采取
所有必要和适当的行动,佼该宣布充分生效,主要是免去该代表与项目有关的所有职责和责任,或应世行的要求或出于其他适当的理由终止该接受方与该代表的契约关系;以及
(D如果与该接受方签订与项目有关的协议的其他个人或实体依据下文第
11段的规定被宣布无资格,则采取所有必要和适当的行动,使该宣布充分生效,主要是 (i)履行该接受方提前终止或暂停该协议的权利和 (或) (的寻求追回款项。
世行对欺诈和腐败行为的制裁及相关行动
11. 为了推进上述目的和一般原则,世行将有权采取下列行动:
(a)如果世行在任何时候认定’3该个人或实体犯下了与贷款资金使用有关的腐败行为、欺诈行
为、胁迫行为或妨碍行为,则有权制裁除会员国’4以外的任何贷款资金接受方”(和/或该接受方的代表,前提是该接受方是一个实体,而不是自然人);制裁措施包括 (但不限于):宣布该个人或实体无资格取得世行所提供的贷款资金,或无资格以其他方式进一步参与筹备或执行该项目或世行提供全部或一部分资金的任何其他项目;&6
山)如果世行确定任何此等贷款资金接受方还是潜在的货物、工程或服务提供者,可依据 《采购指导方针》第1.8段 (d)款或 《咨询顾问指导方针》第1.11段 (e)款 (以适用者为准),则有权宣布其无资格;以及
(c)如果已依据 《采购指导方针》第1.14段或依据 《咨询顾问指导方针》第1.22段宣布某公司、咨询顾问或个人无资格,则有权依据上文第11段 (a)款宣布该公司、咨询顾问或个人无资格。
其他
12.
本指导方针的条款不限制 “贷款协议”或世行及借款人均为其签署方的其他文件规定的世行或借款人的其他权利、补救方法’7或义务。
13
世行已成立一个制裁委员会,并制定有关的程序,以进行此等认定工作。制裁委员会的程序规定了世行可采取的所有制裁措施。14
“会员国”包括中央政府或其任何政治或行政分支的官员和雇员,以及依据 《采购指导方针》第1.8段 (C)款没有投标资格或依据 《咨询顾问指导方针》第1.11段 (c)款没有参与资格的由政府拥有的企业和机构。15
与对待采购领域的投标人一样,世行也可制裁在申请成为贷款资金接受方的过程中犯下欺昨或腐败行为的个人和实体 (例如一家银行提供虚假文件,以便有资格在世行资助项 目中担任金融中介机构),而无论其申请是否成功。16
此外,制裁还可包括 (但不限于)追回应制裁行为所涉及的任何贷款款项。世行可公布任何依据第11段被宣布没有资格之实体的身份。之7
“贷款协议”为世行提供了若干权利和补救方法,供世行在发生与贷款资金使用有关的欺诈和腐败行为时根据具体情况行使
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
1·objectives of the Policy Framework移民安置计划政策框架的目标
This document defines the policies and procedures that DFV and sub一projectcompanies will follow to assess and mitigate impacts of unavoidable resettlementcaused by Iand acquisition and Ieasing.
OFV和子项目公司应按照本附件规定的政策和程序,评估并减除因项目征、借地所引起的无法遼免的动拆迁影响。
During its design,all Sub一projects under the Shanghai DFV will take full considerationto avoid or minimize permanent and/o r temporary occupancy of land that would resultin involuntary resettlement 一 rhis document 15 formulated according to the WorldBank,5 OP 4.12 and China,5 laws and regulations related to land and resettlement,and its main objectives are as follows
OFV所有子项目在项目设计阶段就应充分考虑避免或减少由于永久和/或临时的土地占用所导致的非自愿动拆迁的情况。本附件的制订依据世行 Op4.12 政策和中国有关土地和动拆迁的法律法规,主要目标如下:
1)Ensuring that the implementation of the project exaCtly follows the WorldBank&5 OP 4.12 and the laws and regulations of China 确保项 目实施严格遵照世行Op4.12条款和中国的法律法规;
2)Avoiding or minimizing potential negative impact on thosea 能 cted,bypermanent and temporary occupancy of land due to and/or duringconstruction period.If unavoidable,resettlement plan should be formulated
to eliminate or minimize the negative impacts 避免或减少由于项 目实施和/或施工期间永久和临时的占用土地而给受影响人员所带来的潜在负面影响。如果此类影响是不可遼免的,应该以消除或减少这种负面影响为 目的,制定移民安籮计划。
3)If land acquisition occurs in the implementation of project activities,aResettlement Action Plan(RAP)15 a pre一requisite before the sub一project 15invesied匕y OFV.如果实施项目需要征地,则必须在 OFV为该子项目筹措资金之前首先制定项目移民安置计划。
4)During the implementation of a project close attention should be paid tothosea 能 cted in order to improve or,at Ieast,restore their living conditions;在项目实施期间,应密切关注受影响的居民以便改善或至少恢复他们动拆迁之前的生活水平。
5)Strengthening,monitoring and evaluating resettlement,in order to identify ina timely manner the impacts due to land acquisition and leasing in theProject construction;对动拆迁工作应予以重视,并应加强监督和评估,以便及时发现项目施工中因征、借地所带来的负面影响。
6)C larifying and carrying out measures regarding social adjustment,publicparticipation and information disclosure;明确并落实动拆迁调整、公众参与和信息披露等措施。
7)Clarifying management organizations and their responsibilities.明确相应的管理机构及其职责。
1
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Af _Tffi #K3M+Ma%*V
2. Measures to Avoid or Minimize Resettle mentj9*.PAW>MN 31± n F A
1 ) Taking full consideration in the design alternatives with regard to the socio-economic impacts of the project should be an important factor in theeconomic analysis of a ;01U,tMT M. 41 19FVPP, H 9M#-
2) Making project design to steer clear of residential areas, units and farmland;
H A101 00fr VKUX K Ex , _F LNMflVJ_t3) Minimizing scope of permanent and temporary occupation of land;)] -MWPA A,
*.X n 0 RI, L±Jt r ffl M VE M4) Abbreviating construction period and land leasing duration in order to
minimize the negative impacts due to the
,PA:)fl M W, UA 1, I-R, H i": I M f)k ffi W a P5) Temporary land usage will be undertaken between autumn harvest and
winter planting seasons if possible. The necessary compensation for land
and its green crops would be compensated before the land usage;01FT
6) Any land usage would be strictly controlled and any land acquirement andleasing will be submitted for approval.) fr -41 $11 :Li-tiP-M, ffl-1±Jtff, f8i:
IT) 1V1Ai11qT0W -
3. Laws and Regulations for Resettlement and Land Usej #Z
1) Based on the OP4.12 of the World Bank, case resettlement and landacquisition cannot be avoided. The RAP should therefore be prepared and followedin order to ensure improvement to the affected or at least restoration of their living
standards. f K 1 RIT OP4.12 fA STUJt,4, V, Rk, t T N iiE OA AL W,- 01-19 K A M V 1± 2 T M I it 4 M, 1 i
2) Land acquisition and leasing should exactly follow the laws and regulations,such asaJt,
9 Land Administration Law of the P.R.CRelevant provisions of Land administration Law of the People s Republic of China;
" Compensation Rates for Property on Collective Land to be Acquired by ShanghaiLand Administration Bureau in 2007;
,rM _L*- 9 4 J fT ))Ht5 R, It JXR 2007 4- R_ff Ili &tWhiWt 9 M
" Shanghai Administration Regulations for Land for Construction, issued in January,1992 and revised in December 1997;_Uk-r1i3±jQ#JJ_VJXA8, 1992 4- 1 )]%Ai
,Aj; 1997 12 )] 011 W
" Notice on Implementation of Land Administration Laws of PRC;) T MrP*)"K
2
Approval of Adjusting Compensation Rates of Land Requisition, by ShanghaiPrice Bureau and Shanghai Finance Bureau in 1999;L-rVt ) -L-1-V4AA 1999 WAi #L#*%MiMW t6aMf1t
Notice of Supplementary of Shanghai Taxes for Using Cultivated Land Regulation, byShanghai Finance Bureau in1998;*-r W 1998 d
*Shanghai Resettlement Regulations for Agricultural Population with Collective LandRequisitioned for House Construction, issued with Shanghai People's GovernmentOrder No.62 on April 22,1994; i1994 4 4 )J22 HLARKW6# 62 9* Notice of Increasing Pension for People Affected by Land Requisition, by
Shanghai Labor and Social Security Bureau in 2002; M2002 ii )yJ U
3) Utilization of the above laws and regulations in the project IMLSEMAU±I- iE H rP n,
* Land usage for the project should abide by the Law of the PRC on LandAdministration, the Implementation Regulations of the Law of the PRC on LandAdministration and related laws, regulations issued by Shanghai Government;IN
* According to the Land Administration Law of People's Republic of China, a landuse payment system is in place. Construction units must abide by the approvalprocedures stipulated by the law, submit their application to the local landadministration authority and acquire the land use right through the administrativeallocation and financial compensation. Each level of governments' land bureaureviews the land law's application at each level and monitors the land use. Anyland acquisition must be submitted for government approval above county level.
* The compensation for land in urban areas of Shanghai City is calculatedaccording to the market price, whereas the compensation for other land will bebased on the Notice of Compensation Rates for Property on Land Requisitionedfor Construction; K i ,-. A±ftn
* According to the land law, if developments for township infrastructure need theuse of land, it should be reviewed and approved by the township government first,then an application must be submitted to the county land bureau. The county landbureau should review the project before implementation and submit to thegovernment above county level for approvaI.&VhWM) , 90% TRR
* For temporary acquisition of land, compensation for green crop should bereasonably paid in accordance with the physical loss. In principle, thecompensation criteria should be based on local market price or re-purchasingprice. When the temporary land acquisition is completed, the land should be
3
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
resiored to cultiVation.对于临时性征地,青苗补偿应按照有形损失合理给付。原则上,补偼标准应根据当地市场价格或重新购买的价格进行计算。临时性征地结束后,应将土地恢复为耕地。Practical compensation standard should be formulated in accordance with Iandadministration methods and relevant policies promu}gated by Shanghai
Govemment.实际补偼标准的制定应按照上海市政府发布的土地管理方法以及相关政策进行。
4)The compensation for house and other structures in urban areas of Shanghai Cityw 111 be based on the De 妇iI8d Management Regu 伯tions of House Demolition 加Shanghai UFban Area,issued in 2001;and houses in other areas will be paid at theirrePlaCement Price leVel.对于位于上海市区范围内的房屋和其他建筑物的拆迁补偿应按照上海市政府2001年发布的 《上海功城成房厨拆迁誉理丈落纫皿灿 ;其他地区房屋的拆迁按照当地重新安籮的价格标准进行补偿。
5) Compensation for other affected assets will follow the related regulations.其他受影响的资产将根据有关法规予以补偿。
4 .Basic Principles Related to Resettlement and
Compensation有关动拆迁和补偿的基本原则
1)Involuntary resettlement and land acquisition will be avoided/minimized as much
as possible;应尽量避免/减少非自愿动拆迁和征地;2)If resettlement and land acquisitjon cannot be avolded,RAPs will be prepared for
compensation and rehabilitation of the affected people ;如果动拆迁和征地是无法遼免的,应制定移民安籮计划对受影响人员进行补偿并帮助其恢复生活水平;
3)Adequate funds will be provided in a timely manner for implementing such RAPs;
实施移民安籮计划时,应保证资金及时足额到位;4)Preparation and implementation of such action plans will be conducted in
consultation with the local governments and the affected people,on all issues
related to the resettlement and compensation ;制订和实施移民安置计划过程中,应与当地政府和受影响人员就所有与动拆迁和补偿相关的问题进行沟通协商;
5) Compensationwillbepaidatreplacementcostswithoutdepreciation;andsuchpayments will be made prior to the move and acquisition of land;补偿金应按照重新安籮的费用支付,不得因折旧或贬值等原因而减少支付金额,且应在征地和搬迁之前予以支付;
6)一rhe aff6cted people will be assisted during relocation and in their livelihoodrehabilitation activities;在重新安置受影响人员并重建其生活环境过程中,应给予受影响人员一定帮助;
7) 一rhe living standards of the aff6cted people will be either restored or improved,after resettlement activities动 拆迁完成之后,受影响人员的生活水平应得到恢复或改善;
8)Absence of Legal or formal title will not be an obstacle for the aff6cted to get
compensation and assistance during the resettlement implementation ;如果受影响人员没有合法有效的房地产契据,在实施动拆迁时,不应阻碍其获得补偿和帮助;
9)All the costs related to Iand acquisition and structure demolition will be included in
the project cost budget;有关征地和建筑物拆除的所有费用应全部计入项目成本预算;
4
4 1 M 3M JA H E 5 _ Y 71 4
10) Adequate supervision and monitoring should be conducted with respect toresettlement management in order to timely identify the potential issues related tothe land usage and resettlement;M f 0 i)J VT_ UE r M * A M 1%;
11) Clarifying the resettlement organizations and their responsibilities at the projectpreparation stage;Y±0 11 H M*P, &I
94;12) The RAP will be prepared for each District or County sub-project in which DFV
has invested or will invest, and the plans will be reviewed by theprovince/municipality and be accepted by the World Bank before the relevant civilengineering work; and
13) Those policies apply to all subprojects that result in involuntary resettlement,regardless of the source of financing. It also applies to other activities resulting ininvoluntary resettlement, that in the judgment of the World Bank, are (a) directlyand significantly related to the Bank-assisted project, (b) necessary to achieve itsobjectives as set forth in the project documents; and (c) carried out, or planned tobe carried out, contemporaneously with the project.
M a ) A 4 11 Hd 0' - I IT 1HR J)T H M A M 4 4, ( b H C 4& 41 TH' Lh 0 t ALI
PfT 'JZ M MZ M M M; (c) -Ij 131 H N M Z A ---I t M. YA M M 4 M
5. Preparation and Planning of Resettlement Action Plan#K5 _ N _ F ti M I% M *fl 0 ti
1. All activities involving land acquisition and resettlement will formulate a plan forland acquisition and resettlement and implementation, which will serve as the basisfor initiation of the activities. 4 aitllbIT) PM mi MT_IT nmfM Clt
2. Where less than 200 people are affected, an abbreviated plan would be preparedincluding PAI-v-i)jl, -9 u-n,ktA200,ki k-F,
(a) a census survey of displaced persons and valuation of assetsMi±A.M", M P nA*fnW'ffM;(b) description of compensation and other resettlement assistance to be providedlot 4 It I r, & f U -A 0 M NT j± M M T_ IT -T- 1 4 9 it;(c) consultations with displaced people about acceptable alternatives- jmi±AyAmi± ;(d) institutional responsibility for implementation and procedures for grievancere d re s s & W A 9F fTJT- f U #L IT Z- M #L f4 _E IT TR 94 ;
(e) arrangements for monitoring and implementation; andffi2M; 4a(f) a timetable and budget. 4 M HJ NJ AfkAfUNiff
3 If more than 200 people are affected, a full plan would be prepared. A basicoutline of a full Land acquisition and resettlement plan (see Annex 1) would include n
5
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
果受动拆迁影响人数超过200人 ,则应制订全面详尽的实施计划 。 (基本要点见附录, )包括:
(a)The objective for land acquisition and its location and scope征地的目的及位置和范围;(b)The principles for the land acquisition and relevant policy and law征地的原则及相关政策和法律;(c)Social and economic investigation of the scope of land acquisition征地范围内的社会经济调查;(d)lmpact of land acquisition and compensation standard征地影响和补偿标准;(e)Measures for restoring livelihood and production of affected people受征地影响人员生产和生活状况的恢复措施;(f)Cost estimates and fund management for land acquisition征地的费用估算和资金管理;(g)lmplementation schedule实施进度表;(h)Establishment of land acquisition institution and personnel allocation征地机构的建立和人员配置;(i)Public participation公众参与;O)What impact will land acquisition bring to伯rmers and community?征地将对当地的农民和社区产生怎样的影响?(k)Complains and grievance投诉和不满;(I)Monitoring&eValuation and report system监测、评估和报告制度;(m)Annex,maps and tables附录、地图和表格。
The RAPs for first four subprojects being prepared for the DFV component will bereviewed by World Bank and DFV,and approved by the World Bank.The RAPsfor later subprojeCts will be reviewed and approved by DFV,and sent to theWorld Bank.OFV 首批四个子项目的移民安置计划将由OFV和世行进行审查,并由世行批准。今后子项目的移民安籮计划将由OFV单独审查和批准,并递交世行备案。
6 .Design Procedures for Land Acquisition and Resettlement征地和动拆迁的程序设置
1 lnVestigationonsocialandeconomicsituationinthewould 一belandacquisition
areas(a Socio一eCOnomic Survey);对待征地区域进行社会经济形势调查研究 (社会经济调查) ;2 lnvestigationandregisteringofaffectedpopujation(persons,households,villages,
types and quantities and the affected scope etc.,i.e.census and inventory);受影响人员 (受影响个人、家庭、村庄的类型、数量和受影响范围等,例如人口调查和登记财产清单)的调查和登记;3 Formulati 门gmeasuresforIandacquisitionandresettlementinIinewithrelevantpolicy,law,regulation and compensation standard.根据相关政策、法律法规和补偿标准制定的征地、动拆迁的实施措施。
6
He 4
7. Information Dissemination during P1anning1LJ' ff)KMfHJMalftAl-l
1. From project inception up to the end of resettlement implementation, informationabout the project and the resettlement related national laws and regulations have andcontinue to be publicized through public participation activities. Resettlement workersand local governments are responsible for informing project affected people of thefollowing: affected assets; the calculation process for compensation standards;means of compensation; relocation methods; the disbursement and utilization ofresettlement compensation; their rights and preferential policies; etc.)>kT) H A M Y1J#
E IT T- 11 bA 1 4 T9 H * P 1 4 R4 H M A Ih M *M4*MWA lar lq
2. RAPs of the project will be available both in village committee halls and inlibraries at City and County level for the stakeholders and resettlers. 4
3. The resettlement information booklets will be distributed to all the affectedhouseholds. The issuance of these information booklets will be of paramountimportance in ensuring awareness of all project affected people, enhancingtransparency, and increasing the efficiency of resettlement operations. M
TUT) A 5 M AxQHNR,
8. Grievance Redress Mechanism*W*AVF$AJfJ
During project resettlement planning the affected people and units' rights will be fullyrecognized, maintained, and protected. In addition to some adequate compensation,opportunities and rights for further development will be made available for them. Themechanism of claiming will be regulated and set up in the action plan of the landacquisition and resettlement. In particular, if any project affected person has justifiedgrievances during implementation, they will have an adequate channel to report toand make claims to the department(s) concerned. Such claims must be settledquickly if they are found in conformity with the plan and policy. -A$11 V)ff H mNi± t:U
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9. Monitoring and Evaluationg-MIfflWt
1. After resettlement implementation begins, DFV will prepare and submitconsolidated internal monitoring reports to the World Bank every 6 months based onthe Resettlement Progress and Monitoring Reports submitted by each subprojectowner, and field verification. For each subproject involving land acquisition andresettlement, DFV will employ an independent third party to be responsible forexternal monitoring and evaluation of the land acquisition, resettlement andcompensation, and the external monitoring reports will be prepared and submitted
7
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
semi一annually.In addition,Project Companies should include construction land,landacquisition and compensation items in the project progress table when submitting itto OFV.移民安籮工作启动之后,OFV应根据各子项目公司提交的动拆迁进展和监测报告以及现场考察情况,每6个月簖制并提交世行一份完整的内部监测报告。对所有涉及征地和动拆迁的项目,OFV应聘请独立的第三方机构负责开展征地、动拆迁和实施补偼的外部监测和评估工作。外部监测报告应当每半年编制并提交一次。另外,项目公司在 向OFV提交项 目进度表时,同样应包括建设用地、动拆迁和补偿实施情况等信息。2 .Monitoring and eValuation personnel should regularly check and Visit the site toassess progress and identify problems,and ask the project company to takemeasureS to SoIVe problems,if any.监测评估人员应当定期安排实地考察,评估工作进展情况,发现问题,并要求项 目公司采取相应措施予以解决 (如有)。3.Main monitoring indicators would include:主要监测指标包括:
Resettlement baseline survey and follow一up investigation;移民安置的基准调查和追踪调研;Signing land acquisition agreement ;签署征地协议;Payment of compensation expenses ;支付补偿费用;Time to raise compensation funds and its disbursement period;补偿金筹集及
支付的时间安排;Relocation of the affected households ;受影响家庭的重新安置;ChangeS of the aff6cted household economic situation;受影响家庭经济状况的
变化;lmplementation of the planned measures ;影响减除措施的实施;Substantial Support for the vulnerable groups;弱势群体的实质性支持;USage of the occupied land;and 对占用土地的使用;以及Re一cultiVation time of the temporarily acquired land.l陆时征用土地的复耕时
间。
10.Resettlement Management organizations and TheirResponsibilities 动拆迁管理机构及其职责
The coordination of resettlement projeCts.Given the multiplicity of locations of DFVinvestments across Shanghai Municipality,eVery project Supervisor appointed byDFV will also be responsible to coordinate the resettlement aSSignments of eachsubproject while a senior manager empioyee will be appointed to coordinate all theinvested projects.The tasks of the resettlement safeguard specialist are to cooperatew ith staff from each sub一project,to organize and implement the resettlement actionp lan,and to summarize and report the outcome of the resettlement situation 一 rheresettlement Safeguard specialist will:
动拆迁的工作协调:考虑到OFV子项 目遍布上海多个区县 ,OFV的各个项 目经理应同时负责协调各项 目的动拆迁工作,并且OFV应指派一名高级项目经理负责总体协调所有项目的动拆迁工作。该社会安全保障专家的任务是协助各子项目的工作人员,组织实施移民安籮计划,总结和报告工作开展情况。社会安全保障专家应负责:
organize and supervise the resettlement structure of the Project to realize therese川ement target Of the project;组织和指导项目建立动拆迁管理机构,确保
其实现项目的动拆迁目标;Direct the construction units to follow this document to forrnulate RAPs;指导建
设单位遵照本文件要求制定项 目移民安置计划;
8
_L*X A 4 1 igngg N MMiFTI W4:
Coordinate the setup of the resettlement management system under sub-projects, and try to solve other issues such as funding of resettlement; MAM 91
Supervise and/or implement the reseftlement;L"RfU/---14 )AMNif-;Coordinate relationship between the construction units and those affected;t
Summarize the resettlement implementation progress and report semi-annually the resettlement progress and effects to the World Bank, as well assupply cooperation to the supervision of the World Bank Mission;tMMV i±
Employ and supervise external monitoring
The RAP flowchart of DFV financed projects is shown below:D FV 9 j -, E 4J;! H M 4 K 2Z W t J ,I] T J AffY M H _F:
I * x -9J F 4P 1 4iF1 E% -1L 4' W : 4
RAP Flowchart of DFV Financed Projects
For Projects Applying for DFV Financing
Explore all Viable Alternative Designs to Avoid or Minimize Resettlement Impacts
Identify Resettlement Impacts according to Optimized Design
RAP required?
YES NO
Conduct Survey and Prepare RAP by Project ConstructionQualified Organizations
Revise RAP by Above-mentionedQualified Organizations
Review RAP
ReceiveAcceptanceby DFV?
Yes No
Approve RAP Provide Comments and Instructions
Arrange Internal Monitoring by Project Implementation Units,Engage Qualified Independent Monitoring Organizations
Review Resettlement Monitoring Reports, SuperviseResettlement Implementation, and Take all the Necessary
Measures to Ensure RAP Objective can be Achieved
Note: the activities with yellow highlight will be done by DFV.
10
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
DFv融资项目移民安置计划工作流程图
竺 半 翌口
匕 糌 坐 答 吵 型口匕一 婴 圣一
少匕 糼矍矍二口}糼,聂髦“蠢,黑“若”霞类,季,嘻馨,⋯注:黄色背景标注的工作由OFV负责。
11
叮 ,一什一 + + 厂=十一,,一一〕
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
11.Resettlement ManagementCapacitystrengthening 加强动拆迁管理能力
l)Each resettlemento衍ce at various Project Companies should be staff6d 1 toZworkers and be equipped with basiC faCIlities suCh as vehicles,computers,fexes andphones 一 rhe resettlement training program should cover each resettlement office,and the training cost should be included in the total budget of the project.各子项目公司的动拆迁办公室应配籮1到2名工作人员,并配备诸如车辆、计算机、传真机和电话等基本办公设备。各动拆迁办公室应参与动拆迁工作培训,并将培训成本计入项目预算。2)Training program for resettlement staff.In order to strengthen the managementcapacity of the resettlement staff,it 15 necessary to set up a training system.Thetraining program would include teChniCal Iectures,seminars,on site project visits andtraining on duty.The contents of training will cover动拆迁工作人员的培划11计划:为了加强动拆迁人员的管理能力,有必要建立一套培训制度。培训方案可包括技术讲座、专题研讨会、实地参观和在岗培训。培训内容可包括:
Resettlement policy and management method;动拆迁政策和管理方法;Management of Plan and design ;动拆迁计划和方案设计管理;lmplementation Management ;执行手段;Management of the implementation progress;动拆迁实施的过程管理;Financial management ;财务管理;Quality control;质量控制;Management information system ;管理信息系统;Resettlement supervision ;动拆迁监督;Resettlement monitoring and evaluation;动拆迁监测和评估;Project Management.项目管理。
12.Reporting system 报告制度
1)DFV should develop a set of reporting tables to collect and manage information of
resettlement information from each sub一project.DFV应当建立一套报告表格,用于收集和管理各个子项目的动拆迁信息。2)DFV should semi 一annually prepare a progress document durlng resettlementimplementation and submit to the Bank.DFV 应在移民安置实施过程中每半年编制一份进度文件 ,并提交世界银行。3)The extemal monitor should semi一annually prepare a resettlement monitoring report and
submit it to the DFv and the Bank.外部监测应每半年编制一份移民安置监测报告,提交DFV和世界银行。4)UPon completion ofthe project,aresett1ementimplementationcomp1etionreport(ICR)should be pr即ared and submitted to the Bank.项目结束前应编制移民安置完工报告提交世界银行。
12
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
Annexl 附录 1TOC of RAps移民安置计划大纲下eXt内容:IProjectDescription项目概述1.1 BriefintroductionofthePro」ect项目简介1·2 Areas AffectedlBenefited BytheProject受项目影响或因项目而获益的地区1.asocio一economicbackgroundoftheprojectarea 项目所在地的社会经济背景1.4ApprovaloftheprojeCt项目审批7,SDesignprocessoftheproject 项目的设计过程1.6户rojectownershipandorganizations项目的产权和机构组织1 .7 Target of resettlement and rehabilitation动拆迁和影响恢复的目标ZProjectlmpacts 项目影响2·1 Definitionofaffectedpeoplebytheproject 受项目影响人员的定义2.2 lmpacts oftheproject 项目的影响2.2.1 Components ofthe projects项目的组成2.2.2 Project lmpacts项目影响2.3 lmpacts Analysis影响分析2.3.1 lmpactAnalysisonLandUsedTemporarily 临时用地的影响分析2.3.2 lmpact Analysis on Land Acquisition征用土地的影响分析3 SoCioeconomic Survey社会经济调查3·1 ProCedureofsocioeconomicsurvey 社会经济调查的程序3.2 Analysis of the Socio一economic Situation社会经济形势分析3.3 Interview with the affected采访受影响人员4 Resettlement Policies and Compensation Rates动拆迁政策和补偿标准4.1 Laws and Regulations法律法规4.2 Administration Procedures行政程序4·3ResettlementPoliciesoftheProject 项目的动拆迁政策4.4 Compensation Rates补偿标准4·4.1 Land compensation土地补偿4.4·2 House compensation房屋补偿4.4.3 other compensation其他补偿5 Rehabilitation Scheme for PAPs&Production and Living受影响人员的生产生活恢复方案5.1 ResettlementofResidents 居民的动拆迁5·2 Resettlement Scheme for Enterprises Affected受影响企业的动拆迁方案5.3 Environment Protection环境保护6 CostandBudget 费用和预算6.1 Cost 费用6.1.1 BasicCost基本费用6.1.2Managementfee 管理费用6.1.3Contingenciesfee 应急费用6·1.4SurveyandDesignCost 调查和设计费用6.1.5MonitoringandevaIuationcosts 监测和评估费用6.2 Annual Investment Plan年度投资计划6.3 Fund Source资金来源6.4 Cash Flow现金流7 PubliC PartiCipation and Appealing公众参与和申诉7.1 Public Participation and Information Publication公众参与和信息发布7·2 Procedures ofAppealing申诉程序8 organizations and Management组织和管理8·1 Concerned 0rganizationsforResettlementAction负责动拆迁的有关机构8.2 Responsibilities of Each organization各个机构的职责8.2.1 organizations in Charge主管机构
13
上海区县环境治理项目融资平台 附件:4操作手册 移民安置计划政策框架
5.2.2 organizations&Responsibilities机构职责8·2·3 External Monitoring Unit外部监测单位8·3 Measures for institutional strengthening机构加强措施8.4 Monitoring监测8·4·1 Internal Monitoring内部监测8·4.2 External Independent Monitoring外部独立监测8.4.3 Monitoring Indicators监测指标gscheduleofimplementation 项目实施进度表9·1 ResettlementandlmplementationoftheProject 项目动拆迁和实施安排9.2 lmplementation Schedule of Resettlement动拆迁实施进度表9.2.1一rhe principles for making schedule of acquisition and resettlement征地和动拆迁进度表的制定原则9.2.2 overall Plan of Land Acquisition and Resettlement征地和动拆迁的总体计划10 Entitlement Matrix权利矩阵
List of Tables表格清单List of Photos图片清单List of Maps地图清单List of Annexes附录清单
14
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。Fv 操作手。 ⋯
第一章 绪 言
1.背景
1作为世行贷款上海 APL二期环境治理项目的组成部分之一,上海市政府建立了 性息宗城卜建设没
一种集约化机制,通过它将部分世行贷款分配给各区县政府及其项目公司,从而为 奢干发匕公可为三洛书仪
区县环境治理基础设施的建设提供镼期资金.这一机制称为 “上海区 (县)环境 打所有 工凌从事上奇 卜
治理项目融资平台”,简称DFV。以!几海.11城,[l建设投资)F发总公.d’专门成立的一 黔基斑花进四枚秀“;仁设个法人实体为实施主体,为上海区县环境治理项目提供融资,该法人实体的名称为卜海城投环保产业投资苦理有限公.d (以卜简称城投环保,英之简称为C EAM、,.2 药二触划泛二保产
业役士卡浑右毛公司是
ZD 扒产机制的诞生源于上海市中心城区和周边区县所共同面临的城市急剧扩张 研v 仁劣约笑,妇东 水手
的压力。城投环保预测,到 2020年上海市的人 口将达到约二千四百万,相对于 2003 册飞共内件华所有对。卜、
年的城市人口一千八百万,足足增加 了六百万。而且 ,上海人 口的快速增长将 主 才口 又务峋规定灼由上滋
要出现在周边区县区域 。这就意味着在上海区县需要增加处理能力为 700,000m3/天 城投只休 广‘找委扣,喻
的污水处理设施以满足区县对环境治理基础设施的需求。 卜踌公司列二
3 由于上海市行政区域内各个区县级政府分别扼担了建设新的环境治理基础设 3 月厂J乏烤毛衬经劳
施并提供相应服务的责任 ,他们不得不为此筹措大量资金。而传统的投融资模式所 扫忙 公周巷砍议先砷月
带来的高额融资成本,可能对地方财政造成巨大冲击:区县政府的项 目公司通常需 灼琴效,次运性越好 杏
要筹措项 目成本 70% 的资金,一般操作为向商业银行申请中期贷款 (3一8 年)〕。 功日去奋范为们 戈未友
如此操作,不仅增加了项 目的资金成本,同时区县政府还必须面对每笔贷款到期后 的少产汇、们越卜币淞 项
可能产生 的展期风险 。另外 .对于规模相对 较小的单体区县投资项目,不仅交易 日的贷幻义、.但长斗货
成本高,而且一些地方政府发现从商业银行获取贷款己经越来越难。 铁“不可避免取负之沈的
凡险 月离丁j 方J包区约布
4 世界银行的贷款期限为 20 年,并有 5 年宽限期。贷款利率是基于 LIBOR 的 业惊牙:一磷、只对,行卜价
浮动利率,大大低于上海地区商业银行利率。而 DFV 平台的建立旨在利用世行 APL 有巩盈高的借今下提拱最
二期贷款帮助区县政府获得镼期、低成本 的资金用于环境治理基础设施的建设。 长期l从为5 扎的资款 舟泛
些贷款铸畏奔左“次也压红
2.DFV的目标 」。场
5 DFV 具有两个主要的操作 目标和政策目标。操作 目标是:l )直接向区县/镇
级环境治理基础设施项 目提供镼期贷款;2)建立一个集约化平台,协助并推动区
县/镇政府及其项目公司获得世界银行的支持,发展郊区环境治理基础设施的建设.
6 DFV 的两个政策目标是:l)通过在项目准备和项目管理工作中引入国际标
准,来提高区县/镇基础设施项目的投资效能;2)改善区县/镇环境治理基础设施
的服务能力和效率.
23
,OFV 操作手册 O「V操作手册
7.DFv在其发展的中期哪 3一5年后)可能增加两个政策目标:.)促进基 第二章 DFV的工作内容础设施项 目从国 内资本市场筹措资金;2) 在上海行政区域内,促进公私合营模式
(PPP)在环境治理基础设施建设和服务领域内的推广 1.融资操作
3.本操作手册的组成 10 DFv的核心功能是为上海区县政府及其项目公司直接或间接提供资金以支持其环境治理基础设施建设。DFV 提供三种形式的资金:l)来 自世界银行的 APL
S 本手册的制定是为了指导 DFV在其创立及其第一年初始阶段的操作方式及程 贷款 ;2 )赠款性质的资金;3) DFV 还可筹措第三方贷款 .第一种来源 资金的
序 在 DFV 运行一年后本手册会根据其实际经验进行相应调整。更新的手册同样 管理必须遵循世界银行规定的要求和程序 。DFV 在区县最终用户、上海市政府及世
会遵守 APL 二期贷款协议中的各项规定和要求,并在取得上海市政府的批准和世界 界银行之间担当了一个中介角色,DFV将确保其融资项目的运作满足上海市政府和 /
银行的无反对 函后生效 。 或世界银行的要求,从而 DFV 将承担一定管理、上报的职能,而这些职能在没有
DFV 这一中介平台时 ,是由区县借款人直接承担的
9 本手册 内容组成如下:第二章介绍了 DFV 的融资操作及技术支持服务,描
述了合格的资金佼用者、合格的项 目,以及 DFV 的资金佼用范围。第三章描述了 11.DFV 只对自筹至少 30%资本金的公司实体提供融资。对于那些利用借贷来
项目周期每个阶段的主要工作任务,以及在每个阶段 DFV和项目单位分别需要完成 满足 30%资本金要求的公司实体 ,DFV 将不予融资 。
的工作。第四章介绍了 DFV 如何对其金融产品和提供的服务定价 。第五章主要介 . DFv 将利用世行 APL 二期贷款支付不超过子项目总投资 45%的费用,为子项
绍了 DFV 的组织机构及其资金流。第六章介绍 了 DFV 的社会、环境保障机制。 目采购设备 、土建工程 、咨询 服务以及 培训。
本手册还包括附件: 2.金融产品l 、项 目筛 选手册 ;
2 、项 目评估报告 TOC 样本: 12 除了直接向区县项 目公司提供资金,如果需要,DFv 也可以利用其自身的
3 、环评政 策框架 : 信用优势 (作为上海城投的子公司以及作为世界银行的借款主体 )、同商业银行一
4 、移 民安籮计 划政 策框架 ; 直以来的战略合作关系、及其专业技术,帮助区县项目公司为环境治理基础设施项
5 、项 目单位和担保方信息要求 ; 目融资。这些支持包括争取赠款性质的资金.以及中期商业贷款 。DFV 将在世行
6 、信用评 估模型 ; 贷款协议顺利执行的前提下.以接受项 目公司委托的方式开展这些工作。
7 、采购计划 样本 ;
8 、人力 资源发展规划 ; 13 DFV也可代表上海市政府向郊区提供赠款性质的资金用以建设环境治理基础
9 、协 议样 本 。 设施 。这些资金将提供给有需求的项目,和 DFV 自身提供的金融产品联合使用,
降低项 目的总资金成本。
3.技术支持和培训
14 DFv 可以在环境治理基础设施项 目的立项 、筹备到实施的整个过程中为区
县政府及其项 目公司提供帮助 。DFV 提供的咨询服务具体包括:
.制定投融资方案
.项目融资
.公私合营(P PP)模式构建
.项目管理
.采购管理
45
O「V操作手册 OFV操作手册
:5 针对上述内容,DFv还可以为区县政府及其衅 公司提供专门的培训。 第三章 DFv的操作程序
16 DFv将仅对己提供融资服务的项目实体及其所在区县政府提供上述技术支持和培训 ,以及那些处于项 目准备、审批阶段,一旦顺利通过 DFv 就将提供融资的 24 DFv 的运作贯穿于项目开发、准备、实施的整个项 目周期内(见图 l)。项
项 目。DFV 将就提供的技术支持和培训服务收取一定费用 。 目周期可概括为七个阶段 :
4.符合条件的DFV融资对象 l)项目选择:DFv将通过市场途径、政策指引或经地方政府和项目公司的推荐等方法寻 找潜在项 目;
1 7 DFV在初始阶段只对公司法人实体提供融资,并且该公司实体应致力于建设和发展环境治理基础设施。 2)项 目预评估:DFv 将对项目单位准备的预可研报告(或项目建议书)进行评
1 8 DFV 可以对公私合营企业提供融资。 估 ;
19 融资额度需求小于 10,000,00。人民币或借款期限少于 8年的项 目,DFV 将不
予考 虑 。 3 )项 目评估:对 于经过市政府可研审批的项 目,DFV 将从技术 、经济、
20 初始阶段.DFV只在上海市行政区域内对环境治理基础设施项 目提供融资。 财 务、安全保 障、机构、信用等方面对项 目进行 全面评估;
5.合格的项目 4)项目融资:在这一阶段DFv与符合条件的项目公司共同起草、谈判并签 定融资协议,如有需要,DFV 还可 以从其它途径协助项 目融资:
21 DFV 只对两种类型的项 目提供融资:
.新建的、能产生收益的给水、污水收集管道、污水处理、固废处理等环境 5)项 目设计:项目公司根据国家有关法规、规定获得项 目的所有审批 、许
治理基础设施项 目。 可,这也是 DFV 在融 资协议中规定项目公司必须完成的工作;
.不产生收益的公用基础设施 。
6 )项 目实施:双方根据融资协议 的规 定进行采购 、建设和运营等工作;
6.资金的使用范围7 )投 资回收:项 目公司对 DFV 的融资予以偿 还。
22.DFv 资金只能用于新建项 目的合格支付(包括设备 、土建工程、咨询服务
和培训) APL 贷款不得用于项 目公司的运 营支出,或用于偼还以前所借贷款,不 25 具体程序及操作详见后页所示图表。
得用于征地 、动拆迁等工作。只有通过了上海市政府、区县政府和镇政府所有必
要审批的项 目才可以使用 DFV 资金
23 DFV 的操作必须满足中国政府和世界银行有关采购的政策和程序规定。
67
OFv 操作手册 0 「v 操作手册
阶段 1.项目选择
.具体程序及操作图示 PP的工作 1 PPI
阶段 l :项 目选择
任务:向 DFV 提交项目信息
主要责任人:DFv 融资借贷方的授权人或所在 区县政府或镇政府
.工作方针 :
项 目单位将按照 DFV 的要求填写项 目信息表,以便 DFV 识别、筛选项目,该
信息表的标准样本见本手册附件 1。
.具体工作内容:
项 目单位应向 DFV 提供所有项目相关信息,帮助 DFV 对项 目做 出初步评估,
并应尽快安排 DFv 工作人员对项目的技术、经济、财务、社会和环境影响等方面
展开 评估 。
.工作成 果:
向 DFV 提交项 目相关信息.
.需要 取得 的批准 :
在正式 向 DFV 提交项目基本信息前,项 目单位 的授权人应确保该项 目、以及
将该项 目纳入 DFV 平台的申请 己获得所在公司、区县政府或镇政府的所有必要批
准 、 许 可 。
DFV的工作 1 DFVI
阶段 l :项 目选择
任务:甄选新的投资机会
主要 贵任 人:DFV 总经理、市场 开发及培训部
.工作 方针:
DFV 的设计初衷为一个滚动式基金,并且不断会有新的资金注入 DFV ,因此
D曰产自身应具备甄选符合条件的新投资机会的能力。本手册第二章详细规定了 DFV
资金的合格接受者。
.具体工作内容:
针对第二章所描述的环境治理项 目,DFV 的工作人员将至少每三个月实地了解
区县政府、行业主管部门的项 目开发计划 ,并起 草市场调研报告。
.工作 成果:
和项 目单位明确投 资项 目。
.需要 取得的批准:
无 ,
89
DFV操作手册 DFV操作手册
DFv 的工作 2 DFv2 .具体工作内容:
项目的预可研报告将由 上海市政府指定的有资质的机构编制,并应遵循国家相关规
。、~ .~~. ‘、. 定 。阶段 1 :项 目选择 ~
任务:项目初子筛选 项目单位应将项 目预可研报告提交所有需报请批准的部门,并在获得必须的批
主要贵任人:项 目经理 准后将报告提交 DFv.
.工作方 针: .工作成果 :
为遼免备选项 目不符合第二章所规定的融资条件,造成项 目单位及 DFv 的资源 经所有相关部门批准的项 目预可研报告。
浪费,DFv 应首先对备选项目进行初步筛选。 .需要取得的批准:
.具体工作内容: 项目预可研报告必须获得上海市发改委的批准,发改委负责会同政府其他相关
DFV 收到项目的基础性资料后将指定一名项 目经理进行初步筛选工作 本手册 部委办对该报告进行 审批 ·
附件 l 描述 了对项 目进行初步筛选的方法。
DF汽珊镖潺篡糼簪黔总鲤默黑糕霆 。Fv的“3 。Fv3经理将会同项目单位授权人签籲项目合作谅解备忘录,表明 DFV 对该项目有融资兴
, ,曲栩二谓 曰~ ~_ ,人, ,~、击二、~ , _。人。 ,、,~、~ ‘二二、‘ ,、. 阶段 2 :项 目预评估趣 ,并将根据项 目在第二阶段 (预评估 )和第三阶段 (评估)得 出的结论,以 r,I~& ~ 目’&&“目
及 DFv 投资决策委员会的决议具体明确投资意向,同时要在谅解备忘录中明确项目 任务:协助项目单位编制项 目预可研报告及报批
二、、。~。,,,&, ,。。。、, .~. .一 ,,&, ~、翻卜 主要贵任人:DFV 项 目经理单位接受 DFv 的融资服务并扼诺服从 DFv 的管理安排 一一六“沪、‘~& ’洲曰~~
.工作成 果: .工作方针 :
师 目播汉说明. 以乃愉越票京寻 应项目单位要求,DFv 可 以协助编制项 目预可研报告及报批,DFv 和项目单
位应就这一服务内容签定协议,协议的形式须符合 DFv 标准合同样本
.需要取 得的批准: 如果 DFV 需要另外聘请专业咨询公司参与全部或部分项目预可研工作,则应按
DFv 总经理批准进入项 目周期的第二阶段。 照世界银行采购指南的有关规定实施咨询服务采购。
.具体 工作 内容:
阶段’顶目预评估‘如需要’‘ 糼篡篡嘿黑默箕翼裂曹篡篡粼森行的, “乃 快”.&,&PP 的工作 2 PPZ 采购指南采购咨询服务·DFv 的项目经理具体管理技术服务合同,包括批准付款。
伯弓‘品冷矛几有f 心乞破尧好
r 从狱 有价 C勺为又」介 阶段 2 :项 目预评估 .工作成果 :
笋 任 务:簖制项 目预可研报告并提交审批部门 DFV与项目单位之间的合作协议 ,以及与提供咨询服务的第三方签订的服务协议。
主要 责任人:项目单位的项 目经理.工作方针 : .需要 取得 的批准:
当 DFV 完成对备选项 目的初步筛选,并表明了进入下一工作阶段一 项 目预评 DFv 的总经理需批准并签署 DFv 同项目单位之间的合作协议
估 的意向,项目单位应按照国家规定组织编制项目预可研报告,以及正式的项 目建
议 书 。
10 11
,............... 一 .州
:OFV 操作手册 OFV操作手册 ·
DFV的工作4 DFV4 可行性研究报告应包括满足国内要求及世界银行规定的移民安置计划和环境影响评价。移 民安籮计划应遵循本手册附件 4 里所列的 RAP 政策框架。
阶段 2 :项 目预评估 环评报告应遵循本手册附件 3 中所列的 EIA 政策框架 ,包括环境管理计划 。
任务 :审核项目预可研报告 项目单位应将项目可行性研究报告提交所有需报请批准的部门,并在获得必须
主要贵任人:DFv 项 目经理 的批准后将报告提交 DFv·
.工作方针: .工 作成果 :
DFv 应审核每一个备选项 目的预可研报告 。 经所有必要批准的项 目可行性研究报告 ·
.具体工作 内容 : .需要取得的批准:
对预可研报告的审核,应就项 目的技术、环境和社会影响、经济、财务和机 可行性研究报告需取得上海市发改委会同所有相关部委办的批准。
构等方面形成一份完整而客观的评估报告,还应包括对备选项目提出的比选方案进
行分析评估。 DFV的工作5 DFVS项目经理应起草项目预评估的审核报告,并提交总经理批准。急经理将决定项
目是否进入第三阶段― 项目评估。 阶段 3 :项 目评估
任务:协助簖制项目可行性研 究报告及报批
.工 作成果: 主要责任人:DFv 的项 目经理
项 目预评估的审核报告.工 作方针 :
.需要取得的批准: 如项 目单位提出要求 ·DFv 将协助编制项目可行性研究报告及报批。DFv 和
总经理批准项 目进入第三阶段. 项 目单位应就这一服务内容签定协议,协议的形式须符合 DFv 标准合同样本 。
如果 DFV需要另外聘请专业咨询公司参与全部或部分项目可研工作,则应按照
世界银行采购指南的有关规定实施咨询服务的采购。
阶段3.项目评估.具体工作 内容
PP的工作 3 PP3DFv 的项目经理应协助项目单位按照国家有关规定编制项目可行性研究报氰如有必要聘请第三方为可研报告提供技术支持,项目经理应根据世界银行 的采
阶段 3 :项 目评估 购指南采购咨询服务 ·DFv 的项 目经理具体管理技术服务合同,包括批准支付 ·
任务:簖制项目可行性研究报告并报批
主要贵任人:项目单位的项 目经理 .工作 成果 :
DFV与项目单位之间的合作协议:Dry 与提供咨询服务的第三方签订的服务协议。
.工作 方针:
如果该项目原则上通过了 DFv 的项 目预评估,并且 DFv 完成 了项 目预评估审核 .需要取得的批准,
报告,项 目单位应根据有关国家规定簖制项 目可行性研究报告。 DFv 总经理需要批准并签署 DFv 同项 目单位之间的协议 ·
.具体工作内容:
项目的可行性研究报告将由上海市政府指定的有资质的机构编制,并应遵循国
家相关规 定。
12 13
OFV操作手册 O「V操作手册
DFV的工作6 DFV6 .具体工作内容:DFV 的项 目经理应对项 目实施单位进行全面评估,并分析该公司过去的业绩,
阶段 3 :项目评估 及其优势和劣势。项 目经理同时应分析 、判别项目设计 的比选方案 ,对需要改进
任务:对可行性研究报告进行评估 的部分提出建议,并针对项目单位需要增强的方面提供技术支持和培训。项 目经理
主要责任人:DFV 项目经理和安全保障小组 应就上述服务内容与项 目单位作出合同安排 。
DFV 项 目经理应对项 目实施计划 (附件 2)进行评估 ,该计划 的编制应遵循
.工作方针 : 世界银行 BPI 。刀O。
DFV 应审核每一个备选融资项 目的可行性研究报告。 DFv 项 目经理应评估项 目单位的技术、财务、商务及机构等方面的安排,以
确保项目得以有效开展 。项目经理应核实项 目单位编制了运营计划,并经过了 DFV
.具体工作内容: 的审核, 对计划中需要改进 的方面提出意见。
对可行性研究报告 的审核 ,应就项 目的技术、环境和社会影响、经济、财务
和机构等方面形成一份完整而客观的评估报告,还应包括对项 目提出的比选方案进行 .工 作成果 :
分析 评估 。 对项 目单位的组织机构评估应包含在项目评估报告中。
评估 的重点之一是移民安籮工作 (即 RAP) ,该计划必须满足本手册附件 4 中
所列 的 RAP 政策框架,以及世界银行现行的的业务政策和规定。 .需要取得的批准:
评估 的另一重点是项目环境影响评价 (即 EIA) ,该部分应满足本手册附件 3 同 DFv6.
中所列的 E认 政策框架,以及世界银行现行的的业务政策和规定.项 目单位还应编
制完成环境管理计划(EMP).并提交DFv审核。 DFV的工作 8 DFVSDFv 的项 目经理应根据本手册附件 2 列出的纲要完成项目评估报告,并提交
DFV 总经理审核。若总经理审核通过,则提交 DFv 董事长审核并决定是否提交投 阶段 3 :项目评估
资决策委员会 。投资委员会在审查项目评估报告后将最终决定是否对项 目融资,并 任务 :信用风险评估
提 出融资协议 中应包含 的主要条件。 主要责任人:DFv 项 目经理
.工作成果 : .工作方针 :
项 目评估报告 。 DFv 将对所有项 目单位及其担保人做 出客观的风险评估,以判断是否对项目进
行融资,以及 如何安排融 资,如何对融 资服 务定价。
.需要取得的批准:
DFV 董事镼审批项 目评估报告:投资决策委员会批准进入项目融资协议谈判。 .具体工作 内容:
本手册第四章和附件 6 对 DFv 信用风险评估程序做出了具体介绍。
DFV的工作 7 DFV7.工作成果 :
阶段 3 :项目评估 对项目单位 的信用风险评估应包含在项目评估报告附件中。
任务:评估项目单位及运营单位的组织机构能力
主要责任 人:DFv 项 目经理 .需要取得的批准:
同 DFV6 。
.工 作方针 :
项 目单位应具备足够的组织机构能力来开展项目的建设和运营,以确保按时、
足额偼还 DFv 融资款。
14 15
}
OFV操作手册 OFV操作手册
阶段4.项目投融资 .工作成果:信用提升方案及实施措施。
PP的工作4 PP4.需要取得的批准:
阶段 4 :项 目投融资 项 目单位 内部 审批 。
任务:筹措资本 金
主要责任人:项目单位的授权代表 PP的工作 6 PP6
.工作方针 : 阶段 4 :项 目投融资
DFV 投资决策委员会批准拟定项目启动融资谈判后,项目便进入了第四阶段: 任务:DFV 融资协议谈判
项 目投 融资。 主要贵任人:项 目单位 /借款人的授权代表
DFV要求项 目单位至少投入相当于项目总投资 30%的自有资金作为资本金,并
将其作为开展融资谈判的前提条件。 .工作方针:
无具体说 明。
.具体工作内容:
项目单位应在双方合作谅解备忘录中扼诺至少投入 30% 的项目资本金。 .具体工作 内容 :
项目单位应尽快与 DFV 开展融资协议谈判。
.工作 成果:
项 目单位对项 目资本金的书面承诺。 .工作成果
与 DFV 签定融资协议。
.需要 取得的批准:
融资谈判的前提条件;在融资协议中作出承诺。 .需要取得 的批准:
项 目单位 内部审批。
PP的工作 5 PPSDFV的工作9 DFVg
阶段 4:项 目投融 资
任务:落实信用提升机制 阶段 4 :项目投融资
主要 贵任人:项 目单位的项 目经理 任务:项 目融资安排
主要责任人:资金管理部门经理
.工作方针 :
项 目单位可以通过信用提升,减小信贷风险,向 DFV 申请延长贷款期限。主 .工作方 针:
要方式有:l )第三方担保;2 )将项 目的收益质押给 DFV;3 )将项目的固定 如项目单位需要,DFV 可以协助筹措其他形式的资金.借助上海城投的背景以
资产抵押给 DFv;4 )将其他公司的资产抵押给 DFv 。 及与商业银行的良好关系,DFv 可以帮助项 目单位进行信用提升,从而获得较长期
限贷 款 。
.具体工作内容
项目单位将设计信用提升方案,并采取必要的法律及行政措施确保其生效。 .具体工作内容:
DFV 会根据项 目的实际信贷能力,为其设计融资方案 .融资完成后,DFV 将
对该项服务一次性收取服务费用
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OFV操作手册 OFV操作手册
.工作成果 : .具体 工作 内容 :
完整 的融资方案 ,以及签籲的融资协议 项 目单位 应委托 设计、勘察单位完成下列工作: l) 地质勘察;2 )概念 设
计:3 )初步设计;4 )施工图设计 。项 目单位应负责所有必需的工程 建设登记
.需要取得的批准: 手续 ,并获得上海市政府及 区县政府部门的所有必要许可。
DFV董事镼将在融资协议签籲前进行审核,以确保该方案符合 DFV的投融资规范。
.工作成果 :
DFV 的工作 10 DFV10 地质勘察报告、招标文件、概预算文件。
阶段 4 :项 目投融资 .需要取得的批准:
任务:融资协议谈判 l) 建设 工程 登记:2 )项 目公司营业执照 ;3 )项目立项许可;4 )土 地
主要负责人:DFV 总经理 佼用 许可 ;5 )概念设 计批复 ;6 )初步 设计批复; 7 )施工 图设 计批复; 8)
施 工用地 红线批复; 9 )规 划许可证; LO)施工许可证 。
.工作方针 :
DFv融资协议应符合本手册第二章所介绍的合格项目的标准,并符合� DFv投资 DFV 的工作 11 DFVll决策委 员会的决议。
阶段 5 :项 目工程设计
.具体 工作 内容: 任务:协助项 目单位组织工程设计
DFV将尽全力组织开展融资协议谈判及协议签籲,并应确保协议内容符合 DFv 主要 贵任人:DFV 的项 目经理
的政策方针 ,及投资决策委员会的决议 .
.工作方针 :
.工作成果 : 如有需要 ,DFV 可以协助项 目单位开展工程设计工作,并收取一定服务费。
签定融资协议 。 DFV和项目单位应就这一服务内容签定协议,协议的形式须符合 DFV标准合同样本。
.需要取得的批准: .具体工作内容:
董事镼代表 DFv 批准并签定融资协议。 DFv 应协助下列工作,并进行审核:l)根据世界银行借款人选择和聘请咨询顾
问指南簖制、发布、评审项目设计招标文件。2) DFV 将以代理的身份审核项 目工
程设计过程中的所有文件,以确保在设计过程中无违规操作。3)如果 DFV 发现违规
阶段5.项目工程设计 操作 DFV总经理将通知项目单位采取相应的纠正措施。如果违规操作没有被纠正,DFV可以终止融资协议或收回不合格工程部分的投资。
PP的工作 7 PP7.工作成果 :
阶段 5 :项 目工程设计 DFV 同项目单位之间的合作协议;项 目单位与设计单位和勘察单位之间的协议。
任务:组 织施工设计
主要贵任 人:项目单位的项 目经理 .需要取得 的批准:
DFV 总经理将批准并签籲与项目单位之 间的合作协议 。
.工作 方针 :
项 目单位需获得上海市政府及区县政府部门的所有必要许可。
18 19
:0 「v 操作手册 OFv 操作手册
阶段6.项目实施阶段 .需要取得的批准:DFV 总经理负责审批所有的采购计划 。
PP的工作 8 PPSDFV的工作 13 DFV13
阶段 6 :项 目实施
任务:组织项 目实施 阶段 6 :项 目实施
主要 责任人:项 目单位 的项 目经理 任务:协助完成采购工作
主要贵任人:DFV 的项目经理
.工作 方针:
项 目单位需获得上海市政府及区县政府部门的所有必要许可,并组织项目实施。 .工作方针 :
经项目单位委托,DFV 可以协助项目单位按照国家有关规定以及世界银行业务
.具体工作内容: 政策 (OP 1 100 :采购)开展采购工作。
项 目单位应负责所有必需的工程建设登记手续,及上海市政府及区县政府部门
的所有必要许可,并组织项 目实施 。 .具体工作内容:
经项目单位委托,DFV 将协助项 目单位发布招标公告、进行评标及授予合同
.工作 成果:
所有必须的施工许可 、项 目实施计 划、进度报告。 .工作成 果:
在总的采购计划框架下.DFV 的项 目经理应为每一次采购编写独立 的报告并提
.需要 取得的批准 : 交 DFV 总经理审核。
所有必须 的批准 。
.需要 取得 的批准:
DFV的工作 12 DFV12 DFv总经理负责批准并签署委托采购代理合同。
阶段 6 :项 目实施
任务:协助起草和执行采购计划 阶段7.投资回收主要 贵任人:DFV 的项 目经理
PP的工作 9 PPg.工作 方针:
经项目单位委托,DFV 可以协助制定项目的采购计划,该计划应符合国家有关 阶段 7 :投资回收
规定以及世界银行业务政策(OP 1100 :采购)。 任务:确保向 DFv 还款
主要 责任人:项 目单位的授权代 表
.具体工作内容
经项目单位委托,DFv 可以协助制定项目采购计划.该计划应符合本手册附件 .工作 方针:
7 中的标准采购计划样本。采购工作的实施应符合国家有关规定以及世界银行业务政 项目单位应按照融资协议的规定定期 向 DFv 还款 ·
策(OP 1 100 :采购)。
.工作成 果: .具体工作 内容 :
项 目采购计 划;招标通知 、评标 文件 、采购合同。 项 目单位每半年还款入 DFv 的银行帐户 。
20 21
{OFV 操作手册 OFV操作手册
.工作成果 : 督促项 目单位加快付款进度,并可按照融资协议中的规定收取滞纳金。如果项 目单
还款给 D FV 。 位违约,DFV 将根据融资协议的规定采取相应措施确保欠款的偿还。违约行为将导
致协议立即终止,直到项目单位的信用度根据 DFV 的信用评估标准 (详见本手册
.需要取得的批准: 第 四章)恢复到最高等级 。
项 目单位内部审批
.工 作成 果:
PP 的工作 10 PP10 确保还款。
阶段 7 :投资回收 .需要取得 的批准 :
任务:向第三方 还款 因违约造成的融资协议的终止必须经 DFV 董事长的批准,同时董事长将批准追
主要责任人 :项目单位的授权代表 索机制 的启 动。
.工作方针: DFV 的工作 巧 DFV巧DFV 要求项目单位按时、足额向第三方贷款方还款,以确保项 目单位不会产生
违约行为而影响 DFV 的投资回收。 阶段 7 :投资回收
任务:DFV 盈余资金的管理
.具体工 作内容 : 主要贵任人 :资金管理部门经理
DFV融资协议早应明确要求项目剼 立按时、足额向第三方迅款。项目发起人在 DFV
融资期限内要定时向 DFV汇报对第三方还款的情况 Dry 保留审核还款情况的权利。 .工 作方 针:
DFV 可以在符合国家法律法规的前提下,谨慎运作其盈余资金。
.工作成果 :
项目单位定期向 DFV 汇报对第三方还款情况。 .具体工作内容:
DFV应保持足够向市财政局偼还三个月债务的资本公积 金.
.需要取得的批准: 在保持了一定资本公积金的基础上,并且在符合国家法规的条件下,DFV 可以
项 目公 司内部 审批 。 将其盈余资金投入到衍生金融产品、债券和短期证券市场。资金管理部经理应制定
季度盈余资金管理计划,并提交董事镼审核,后上报投资决策委员会作最终审批。
DFV的工作 14 DFV14 DFv总经理负责盈余资金管理计划的实施.
阶段 7 :投资 回收 .工作成果 :
任务:确保项目单位向 DFV 还款 来自非主业投资的回报
主要责任人:资金管理部门经理
.需要取得的批准:
.工 作方针: DFV的核心主业即区县环境治理基础设施建设发展以外的投融资活动 ,均应由
DFV 应尽 可能确保项 目单位按时、足额向 DFv 支付还款。 DFV 投资决策委员会在审核 DFV 季度盈余资金管理计划的基础上予以批准。
.具体工作 内容 :
DFv 应于偼付 日前两周通知项目单位还款,项目公司应在偿付 日之前一周还款
给 DFv ,以便 DFv 有足够的时间安排外汇登记及购汇。如果还款延迟 ,DFv 应
22 23
O「V操作手册 O「V操作手册
DFv的工作16 DFV16 第四章 为DFv的金融产品及服务定价
阶段7:投资回收 1.信用风险评估任务 :向上海市财政局还款
主要 贵任人:DFV 蓝事镼 26 DFV 通过对信用风 险的充分分析来确定: I)是否对项目进行投融资;2)
投融 资期限; 3 )所需 的担保 。
.工作方 针:
DFV 应按时、足额向上海市财政局偼还 APL 二期贷款。 27 区县环境治理基础设施大都为新建项 目,通常最终借款主体为一个新成立
的公司实体 ,基本没有历史信用记录。在这种情况下,项目公司应落实其担保方,
.具体工作内容: 通常由区县城投或其它区县/镇属企业担任。因为中国预算法禁止地方政府直接借贷
DFv 应确保按时、足额向上海市财政局偼还 APL 二期贷款 。如果 DFv 资本公 或提供贷款担保 ,区县/镇属公司可 以代表地方政府提供担保 。然而,这些公司的
积金连续六个 月低于应偼付本金及利息所需的水平,DFV董事镼应立即报告上海城 财务状况一般都是严格保密的,DFV 将来可能较难获取并核实这些公司的信用信
投总经理,并申请协助解决财务困难。 息。DFV 将尽可能要求借款主体和担保主体提供本手册附件 6 所列明的信息 。
.工作成果 : 28 在大 多数情况下,DFV 还需对区县政府本身的信用风险进行评估。然而这
偼还世行 APL 二期贷款 项工作将同样难以开展,因为地方政府通常只公布其财政收入和开销,并不会公布
包括政府所拥有的企业在内的实际收益及支 出,也不会公布其下属公司未付清的债
.需要取得 的批准: 务和贷款状况 。公开的财务信息只能部分说明政府的信贷能力,因此,DFV 还需
对上海市财政局 的还款需经 DFV 董事镼的审批。 要分析其他的经济指标以综合衡量区县政府的经济实力,其基本考虑为经济实力强
的地方政府将可以创造更多的税收和其他收入,来为其下属公司借贷 DFV 的融资提
供强有力的担保 。
29 DFV 将进行两个层 面的信用风险评估: l)项 目公司;2) 地方担保方。
对项目公司的信用评估包括:l)项 目公司的财务状况;2)项 目公司的管理能力;
3)投融资项目本身的保障,包括对所建基础设施 的需求是否迫切、主要还款来源
是否明确 (通常指当地水价、排污费等收费水平 ),以及项 目公司所提供的信用
提升方案。对担保方 的信用评估包括: l )当地经济状况;2 )区县政府 的财政
能 力 。
30 DFV 的信用等级评估系统是由一个数据表构成的,各种衡量指标均具有一
定权重 (加在一起为 100% )。根据此系统,� DFV 将对项目公司及区县政府进行综
合评分 (分数将分布在 0.0 到 1 .0 之间)。本手册附件 6 中有详细介绍。
31 DFV 将扼诺尽可能地协助区县项目公司及担保方实现财务信息的公开化、透
明化 ,包括利用 DFV 的 lsT 资金组织必要的专业及能力培训。在初始时期 ,DFV
将更多地采用间接的信用等级评估系统作为其评估信用风险的第一步,并将评估结
果整合进 DFV 所提供的金融产品中为其产品及服务定价.
32.在 DFv 运作的第一年年底.将对其信用等级评估系统作一次全面的审核。
24 25
OFV操作手册 O「V 操作手册
2.信用风险的评估影响 4.为技术支持服务定价
33 DFV 在郊区的市场竞争力建立在三个基础上:l)对项 目公司的融资成本: 38 DFV 可以提供有偿的技术支持和培训服务.其收费标准根据雇员工资和一
2) DFV 的投融资期限:3) DFV 在项 目管理方面的能力及其与世界银行的关系. 般企业管理 费计算,不另收 费用。对某些具体项 目,DFV 将酌情给予优 惠
前两项是决定 DFV 金融产品市场认可度的最主要因素,DFV 之所以具有市场竞争
力,主要在于其提供的融资成本低于商业银行所能提供的最长期限的贷款成本.
第五章 DFV的管理模式34.世行 APL贷款的利率为 LIBOR加浮动利差。DFV将对其世行贷款的融资操
作收取不低于15%的管理费 其中包含了DFv的营业利润。商业银行所能提供的 1.董事会最镼贷款期限与 DFV 最镼 20年的融资期限之间的差距体现了 DFV 的竞争优势。对
借款项目公司的信用等级评估将影响设定 DFv 的融资期限:信用等级越高,融资 39 DFv 公司章程规定董事会最多有 3 位董事 。董事会由上海城投总公司的两
期限越 镼 (最 高达 20 年)。以表 1 举例: 位高层领导和上海城投环境投资有 限公司的一名高层领导组成 。董事会的职能在
DFV 公司章程里有详细描述
薰彝墨士幸一 爹 ’~40 DFV 公司理事会将从政府管理、行业政策等方面为 DFV 提供咨询。同时,
粼岁翼立也可以指导 DFV 公司的运作及发展。
41 理事会由以下人员组成 :
.上海城投环保产业投资管理有限公司董事长
.上海市发展和改革委员会代表
.上海市建设和管理委员会代表
.上海市财政局代表
表 1:根据项 目单位信用等级评估确定 DFV 融资期限举例 .上海市外汇管理局代表
.以及两位与政府及其下属关联企业无雇佣关系的外部顾问
35 以上原则表明 DFv 在开始融资谈判时对融资条件并不会坚持一成不变,可
以根据投资决策委员会的决策加以调整。其它因素也可能影响最终还款期限的确 3.投资决策委员会定 ,包括项目单位可能提供的信用提升方案等.
42 投资决策委员会由 DFV 公司董事会任命,决策 DFV 的融资意向。人员组
36DFV 信用风险评估系统及其评估方式将随 DFV的发展不断变化。具体更改 成 为 :
将反映在操作手册的修订上,操作手册的修订须经 DFV 董事会的批准.并需得到 .上海城投环保产业投资管理有限公司董事长
上海市政府的许可和世界银行的无反对函。 .上海城投环保产业投资管理有限公司总经理
.上海城投总公司财务分管领导
3.为融资服务定价 .上海城投环境投资有限公司总经理.上海城投环境投资有限公司副总经理
37 如项目单位要求,DFv 可以为项 目单位另外筹措其它形式的资金,DFv 将 .上海城投环境投资有限公司财务总监
对此一次性收取一定费用。 43 DFV 公司总经理为投资决策委员会秘书。
26 27
OFV操作手册 OFV操作手册
4.DFv 公司组织架构 。)通过组织上海城投或城投环境的股权投资、担保项目商业信贷等为项目提供配套资金,并依照前述的担保机制与项 目公司、区财政分担资金风险;
44 上海城投环保产业投资管理有限公司由四个部门组成 (如图 2 )。 d)项 目建议书、可研报告 、环评(EIA)与移民安置行动计划(RAP )等的组织落
实 ;
叠篡嘉e)工程与服务采购招投标的组织落实;
f)世行项目贷款偼还、世行贷款资金帐户及流程 、使用的管理 。
53 DFV 作为世行贷款资金的借款人,负责办理各项与世行资金使用相关的具
体事宜,同时负责世行贷款 的还贷工作,并承担相应 的资金风险。
54.在 DFv 一项目单位层面,项 目单位与 DFv 签订一份合作框架协议 ,由项
目单位委托 DFv 代理设备、土建、咨询服务等采购事宜,DFv 与项目单位共同对
图 2:上海城投环保产业投资管理有限公司的组织架构 外签订采购合同,采购费用由 DFv 以世行贷款垫付,垫款偿还事宜 由 DFv 与项 目
单位另行订立还款协议予以明确,在项目单位明确承诺还贷的前提下,DFv 所采购
45 市场和培训部行佼如下职能 : l)市场研究,了解上海郊区相关市场发展趋 货物 的所有权属于项 目单位。
势及市场 需求;2)对外联络 ,包括:与区县、镇级政府、上海 市政府 ,以及潜
在投资者的联系;3)业务开发,甄选投资机会并分析其风险:4)该部门同时为 DFv55 市财政一 DFv :市财政局设有世行贷款专用帐户 (外币户 ).DFv 按照
工作 人员、区县相关人员组织并实施培训 。 世行有关规定提款报账
46 项目管理部为 DFv 公司提供技术支持,参与所有融资项 目的管理工作,包 56.DFv 设有外汇帐户和还本付息 (人民币户)两个帐户 DFv 依据与项目
括项 目评估和采购管理等。 单位签订的委托合同,和项 目单位一起与供货商或承包商签订采购合同,并将采购
合同、发票等商业单据及支付凭证的复印件提交上海市财政局提款报帐,后者审核
47 资金管理部负责项 目融资、向市财政局还款 ,以及盈余资金的管理 . 无误后将世行贷款从市财政局划至 DFV外汇帐户,再由 DFV直接支付给相应的供货
商或扼包商。还本付息时,还款资金经 DFv 划入市财政局世行资金专户 ,由市财
48 财务和行政管理部负责 DFv 公司的会计、人事等 内部管理事务 政局统一对外还款,
49 这些部门的人员安排以及公司人力资源发展计划在本手册附件 8中有详细介绍。 57 DFv 一项 目单位:各项 目单位也设有一个还本付息专户 (为人民币户),
项目单位凭供货商或扼包商开具的发票及采购合同将货物或土建的采购入帐。还本
5.DFV的资金流 付息时,项目单位依据与DFv签订的还款协议将还款资金划入DFv还本付息帐户。
50 对于世行贷款及其它配套资金的管理框架详述如下. 58 该情形下,DFV 具有项 目甄选及项 目管理的职能.并承担了相应的融资风
险,充分发挥 了融 资平 台、资金池的作用。
51 DFV 是世行贷款的借款人,负责贷款偿还,项目配套资金由项目单位 自筹 。
59 具体的操作程序如下:
52 上海市财政局与 DFv 签定世界银行贷款再转贷协议。DFv 的职责范围包括:
a)接受项 目单位委托 ,提供项 目前期与期中的技术服务,以及其他项 目的前期 60 货物采购。国际采购 :DFv 代理采购及提款报账:项目公司与 DFv 签署
开发、期 中管理事 宜: 委托境外货物采购合同,依据该委托合同,DFv 和项 目公司一起与境外供应商签订
b)代理世行项目监督的部分职责; 货物采购合同,并将采购合同、提单、信用 证、发票、保险单等商业 单据及支
28 29
O「V 操作手册 0 「V操作手册
付凭证复印件提交上海市财政局,后者审核无误后将相应的世行贷款款项划至 DFV
外债专户或直接向供应商支付。 第六章 DFv的社会、环境保障机制
61 货物进 口:货物进 口报关单采用双抬头【即 DFv 作为买方 (Buyer )而项 70.考虑到 DFv 子项目在社会、环境安全保障方面 的重要意义.作为世界银行
目公司作为最终佼用者 (E nd User)],DFv 同时申请外贸经营权及进口代理商专 APL项目中DFv机制的实施实体,上海城投环保产业投资管理有限公司成立了安全用 的自印发票,发票上载明货物到岸价 、关税、进口增值税、国 内运输费、进 保障小组 .其责任是确保 DFv 投资的郊 区项 目满足世界银行的安全保障政策.以
口代理费以及实际买方 等内容。 及国家和地方 的社会环境保护政策。
62 项 目公司登记入帐:因项目公司为进 口货物的实际买方 (End User) ,项 71 安全保障小组直接向城投环保的董事长汇报工作 ,并且每半年向公司理事
目公司提货后可直接凭供货商开具的发票、委托合同及采购合同将采购的货物作为 会提交报告 ,内容应包括: l)对子项 目环境影响评价报告 E认 (包括 EMP),
“在建工程 ”或 “固定资产” 登记入 帐 移民安籮行动计划 RAP 的审核,以及小组对各个项 目的环境、社会影响减除措施
的建议;2 )环评 、社评方面的政策颁布及修订,或小组建议在公司环评、社评
63 项 目公司对 DFV 还款:完成货物采购后,DFV为此垫付的款项,形成 DFV 工作方面 的策略调整;3) 在项 目实施阶段,审核项 目单位对 EMP 及 RAP 的履行
对项 目公司的镼期债权;而对于项 目公司而言,采购的货物则成为公司资产 。项 情况:4 )为确保项 目公司履行融资协议中对安全保障的承诺所 安排或即将安排 的
目公司将与 DFv 签订还款协议书.详细约定项目公司偼还 DFv 所垫采购款等事宜 工作,并确保在 EMP、RAP 和执行监测报告中指 出的问题己经得到了落实或改进:
项 目公司应偼付的债务包括:世行贷款本息及相关费用、DFv 作为代理人所收取的 5)监督环评报告及移民安置行动计划至少在投资决策做 出前 20 天向公众公布。安
管理费用 (可按世行贷款总额的 I%一15 %计收)等。项目公司的还款期限应与世 全保障小组提交给理事会的报告副本应抄送给世界银行。
行贷款的还款期限相匹配。
72 安全保障小组的主要工作如下:
64 项目公司还款担保:为确保还款,项 目公司应将其主营业务收入收费权质 .在项目甄选和初始阶段从项目的安全保障方面协助审核,帮助 DFV完成项目筛
押给 DFv ,并 由银行或区 (县 )城投等资信较高的实体为项 目公司提供担保 。 选,并提 高 DFv 项目选择 的效率。如果拟定项 目对社会、环境 的负面影响严
重,DFv 将要求项 目单位考虑替换方案(选址、规划、设计等),避免或尽可能
65 营业税:DFv 需支付其收取管理费的 5%作为营业税。 降低不利影响。之后 DFv 才会考虑对项 目提供融资。
.协助区县项目公司(世行贷款的实际佼用者)选择并委托独立的安全保障专家,“ 国内采购。DFv 提款报账: DFv 依据委托合同,和项目公司一起 与国内 根据本手册附件 3 中的 E认 政策框架和附件 4 中的 RAP政策框架编制 E认(包括
供应商签订货物采购合同.DFv 将采购合同、发票等商业单据及支付凭证的复印件 EMP )、RAP 报告;同时安全保障小组应协助报告编制工作。
提交上海市财政局提款报帐,后者审核无误后将相应 的世行贷款款项划入 DFv 外汇 .对项 目公司 EIA(包括 E MP)、RAP 编制的范围、深度和广度提供建议 ,并根
帐 户 。 据项目的性质、规模,以及对环境、社会可能产生的影响确定所需完成的各项
分析 工作 .
67 项 目公司登记入帐:采购完成后,项 目公司凭境内供应商开具的增值税专 .评估项 目的 ElA(包括 EMP)、RAP 报告,并对项 目单位提出安全保障方面的
用发票 、委托合同及采购合同将货物作为资产入帐 . 要 求 。
.审核项 目 E认(包括 EMP)、RAP 报告的评价结果及建议 ,判断是否具备接受
68.其它事项:至于项目公司与 DFv 所订的还款协议、还款担保及税负等问题 DFv 融 资的条件
分析同上述境外货物采购, .在项目融资协议中增加 安全保障方面的条款。
.指导第三方独立机构在项 目实施阶段进行外部监督.确保项 目全面符合安全保
69 土建工程的采购。操作流程与上述境 内货物采购大致相同,项目公司作为 障 要 求 。
业 主 (建设单位)的身份不变,招投标及建设用地许可证等四证仍以项 目公司名 .为项 目单位提供必要的培训
义办理,产权归于项 目公司。
30 31
DFV 1.41TH*ffi DFV Operations Manual
ContentsA.Introducdon
I.Background
2.Objectives of the DFV
73. DFV 3 VRtf 4 Mlk*3M EIA(tM EMP). RAP 3.Structure of this Manual
B. H%al the DFVDoes
I.Investment Financing Operations
1 Ifti N X A#ix ttt MRfT 2.Arranging Financing
3.Technical Assistance and Training
74. 4.Ebgible Recipients of DFV Investment
tM+Afk %KTM *ig, i4 IJI-W4A)UlDFV2-SKZ, 5.Eligible Projects
6.Eligible Uses of Funds
CHowtheDFV0perates
1.1dentiffication
2.Pre-Feasibifity Assessment
75. 31easibility Assessment
4.Project Financing
5.Project Design
41XWRIIT2 qm 6.Project Implementation
RAP WROWW90[g. 7.1nvestment Recovery
DFVRHkl Tttf M %P*+-" -M, W0±0*4flWATf , D-How the DFVPrices Financing Producty and S ices
I.Assessing Credit Risks
2.Factoring Credit Risks
3.Pricing Financial Arranging Services
4.Pricing Technical Assistance Services
E. How the DFVis Managed
I.Board of Directors
2.Advisory Council
3.Investment Decisions
4.Corporate Structure
5.Flow of Funds
F. How DFV Ensures Social and Environmental Safeguards
ANNEXES.
I.Project Pre-screening Approach
2.Sample Table of Contents for Project Appraisal Report
3.EnvirorLmental tmpact Analysis Policy Framework
4.Resettlernent and Land Acquisition Policy Framework
5.1nformation, Requirements on Project Proponent and Guarantors
6.Credit Assessment Methodology
7.Sample Procurement Plan
8.Human Resources Development Plan
9.Model Agreements
32 33
DFV Operations Manual
A. Introduction
1. Background
1. As part of the Shanghai Urban Environment Program (SHUEP) Adaptable Program Loan I shChce,tern-Stage 2 (APL2), the Shanghai Municipal Government (SMG) has established a centralized .no . .;.1nvdened Dh
mechanism through which a portion of the proceeds of the World Bank loan can be distrib- Sh,mgh, eni-par I eo,uted to District Governments and their affiliated companies for long-term financing of envi- -- nd, t 's Sut> n-ronmental infrastructure. This mechanism is called the "District Financing Vehicle", or the rip'' er nfreen.'wm He-
DFV. It is managed through a special purpose subsidiary corporation that has been formed 'ciopment aJ n
by Shanghai Cliengtou Corporation . This company is named "Shanghai Chengtou EnNiron- 'nmpan or muc,
ment Asset Management Co,, ltd." (ClAM)-. CEAM is the legal entity that provides
financing to Districts. 2 S smeCE Wue unple-
2. The rationale for the DFV is lodged in the enormous urban growth pressures that Shanghai i,nos ;he !ace' c, Or.is facing in its inner and outer suburban areas. CEAM estimates that Shanghai's population aunsho a J'wLfons ae-
could reach approximately 24 million by 2020, an increase of 6 million people from the 2003 hiedf- frl r -- 'ai
population of 18 million. Virtually all of this growth will occur in suburban Districts. ' h.
Implication for the provision of environmental infrastructure is that an additional 700,000 ho,d h d r (F4A
m'/d of installed capacity for wastewater treatment will be needed in the suburbs.
3. The allocation of functional responsibilities for the provision of most forms of environ- itm1, nl-, praI
mental infrastructure services in the Shanghai Municipality means that District governments .ngeN, ;di n.a
will need to assume most of the investment in new infrastructure. This could have major JuUi-,a co 4Cr. -
fiscal impacts since current practices result in high costs of fmancing: the typical practice is sibie hr,,e -ii lea ofh
for District governments' project companies to fiance up to 70% of capital costs through -ri'lrlrm, as' .0-
medium-term (3-8 year) loans from commercial banks. Not only is the cost of capital w-re 'r,er? io assac pcr-increasing, but also Districts could face significant rollover risks when loans become due'. .fhg'zo pq fo, he
Moreover, the comparatively small size of individual District investments adds to transac- wn'idp l -- hd,
tion costs and some governments are finding access to credits from commercial banks is L-Qc, rems al r
becoming problematic. higher revo cornnwban-', xIn Shanghazxvurrn i
4. Loans from the World Bank have a 20 year term with 5 years' grace on interest payments; -- i- ..... m
rates are floating based on the LIBOR rate, which are considerably less than commercial bank 'v § ye. .... aN--rates in Shanghai. The DFV has been established to facilitate access by District governments 1- nth h, ar -rd!
to long-term, lower-cost financing of environmental infrastructure initially under the aegis of morolr,.g, 7h,is ar /eh
the World Bank APL2 Loan. rnh,e
34 35
DFV Operations Manual DFV Operations Manual
2. Objectives ofthe DFV B. What the DFV Does
5. The DFV has two principal operational objectives, and two policy objectives. The 1. Investment Financing Operations
operational objectives are to: 1) directly provide long-term financing for District and Town-
level urban environmental infrastructure; and 2) provide a central vehicle for facilitating 10. The core function of the DFV is to provide funds directly and indirectly to assist in the
accelerated access by District and Town governments and their operating companies to financing of environmental infrastructure by District governments and their pmject companies.
World Bank support for the development of environmental infrastructure. The DIV provides three types of funds: 1) proceeds fromAPL loans from the World Bank; and
2) grant-based capital investments; 3) The DFV can also help to arrange third party lending.
6. The two policy objectives are to: 1) improve the efficiency of capital investments in The financing instrument of 1) is managed on the basis of practices and procedures that
District and Town-level infrastructure through project preparation and management to inter- conform to requirements of the World Bank. The DFV acts as intermediary between final users
national standards; and 2) improve the effectiveness and efficiency of delivery of environ- in Districts and the Shanghai Municipal Government and the World Bank. The DFV ensures
mental infrastructure services at the District and Town levels. that all projects in which it invests meet the requirements of SMG and/or the World Bank,
thereby assuming the management tasks and reporting obligations that would otherwise be
7. In the medium term (3-5 years), The DFV may pursue two additional policy objectives: 1) incurred by District borrowers in the absence of the DFV's intermediary function.
promotion of access to local capital markets for infrastructure financing; and 2) facilitation of
public-private partnerships in the delivery of environmental infrastructure services within I1. The DFV will only finance to entities that commit at least 30% of capital costs from their
Shanghai Municipality. own self-raised funds. The DFV will not finance to entities that apply debt instruments of
any kind to meet the minimum 30% capital contribution requirement.
3. Structure of this Manual * The DFV will invest APL proceeds at 45% of total sub-project costs, for goods, civil
works and consultant services and training.
8. This Operations Manual is meant to guide practices and procedures of the DFV at its
establishment and for an initial period of one year. It will be updated based on actual 2. Arranging Financing
experiences after the DFV's first year of operation. The updated Operations Manual will
continue to meet the parameters and requirements of the APL2 Loan Agreement, and will be 12. Asidc from providing investment financing directly to District level entities, if requested,
adopted after approval by the Shanghai Municipal Government and notification of no- The DFV will use its preferred credit profile (as a subsidiary of Shanghai Chengtou Corpo-
objection by the World Bank. ration and as a borrower of World Bank funds), its ongoing relationships with strategic
commercial lenders, and its professional expertise, to assist District entities in arranging the
9. This Manual is structured as follows. Chapter B describes what the DIV docs in terms of debt financing required for environmental infrastructure projects. This includes grant-based
financing operations and technical assistance, eligible users and projects, and use of funds. financing and medium-term commercial lending. The DFV provides this service on a com-
Chapter C describes key activities in each stage of DFV project cycle, and what the DFV and mission basis, which is conditional on the successful execution of loan agreements.
Project Proponents separately are expected to do for each activity. Chapter D outlines how
the DFV prices its financing products and services. Chapter E describes how the DFV is 13. The DFV also acts on behalf of the Shanghai Municipal Government in distributing
organized and the flow of funds. Chapter F describes how DFV ensures social and environ- grants to Districts for construction of environmental infrastructure. These grants are needs-
mental safeguards. This Manual also includes 9 annexes: * I)Project Pre-screening Approach; based and are blended with the DFV's financing products to reduce the overall cost to Project
* 2)Sample Table of Contents for Project Appraisal Report; 03) Environmental Impact Companies.
Analysis Policy Framework; *4)Resettlement and Land Acquisition Policy Framework;
* 5)Information Requirements on Project Proponent and Guarantors; * 6)Credit Assess-
ment Methodology; * 7)Sample Procurement Plan; e 8)Human Resources Development
Plan; 09)Model Agreements.
36 3
DFV Operations Manual DFV Operations Manual
3. Technical Assistance and Training 6. Eligible Uses of Funds
14. The DFV can also assist District govemments and theirproject companies in identifying, 22. DFV funds can only be used to fmance eligible costs of new capital investments (goods,
preparing, and implementing environmental infrastructure projects. Specifically, the DFV civil works, and consultant services and training). APL loans cannot be used to finance
provides consulting services in: operational costs of project companies, or to re-france prior loans for capital projects. APL
*Capital Investment Planning loans cannot be used to finance the costs of land acquisition or resettlement. DFV funds will
*Project Financing only be used for capital projects that have obtained all of the required approvals of the
*Structuring of Public-Private Partnerships Shanghai Municipal Government, District governments, and Town governments, as applicable.
* Project Management
* Procurement Management. 23. The DFV must conform to both State and World Bank-approved procurement policies
and procedures.
15. The DFV also provides training in these activities to District and Town Governments and
their operating companies. C. How the DFV Operates
16. The DFV provides these technical assistance and training services only to District and 24. The DFV operates within the framework of the project delivery cycle shown on Figure
Town governments and their operating companies to which the DFV has committed financing, 1. This cycle consists of seven stages:
or to whom it is considering providing financing subject to the successful preparation and * 1) Project Identification, in which potential projects are either identified by the DFV
appraisal of project proposals. The DFV does so on a fee for service basis. through its marketing efforts and policy guidance, or are proposed by eligible compa-
nies or governments;
4. Eligible Recipients ofDFVInvestment * 2) Pre-Feasibility Assessment, in which the DFV appraises Pre-Feasibility Studies
(Project Proposals) provided by eligible proponents;
17. The DFV will initially finance only incorporated project companies whose principal * 3) Feasibility Assessment, in which the DFV conducts technical, economic, financial,
purpose is the development and operation of environmental infrastructure. safeguards, institutional and credit appraisals of proposed projects for which Feasibil-
ity Studies have been approved by government authorities;
18. The DFV can provide financing to Public-Private Partnership (PPP) Project Companies. 0 4) Project Financing, in which the DFV structures, negotiates and executes financing
agreement(s) with eligible project companies, and in which, if requested, it arranges debt
19. The DFV will not participate in transactions for which DFV's investment is less than financing with other sources;
RMB 10 million or for tenors less than 8 years. * 5) Final Design, in which the proponent obtains approvals as required by State
regulations, and which is the covenants in the DFV/Project Company Financing
20. Initially, the DFV will only invest in environmental infrastructure development within Agreement;
Shanghai Municipality. * 6) Project Implementation, in which procurement, construction and commissioning
are conducted according to the francing agreement; and
5. Eligible Projects * 7) Investment Recovery, in which the DFV recoups its investment and obtains
returns on investment from Project Companies.
21. The DFV provides financing only to two kinds of projects:
* New, revenue-generating capital investments in water supply, sewage, wastewater 25. Specific procedures and practices that are required for Project Proponents (PP) and by
treatment, solid waste management and other similar environment-related infrastructure; the DFV are described by Stage below.
* Capital investments in non revenue-generating public sector infrastructure projects.
3B 39
DFV Operations Manual DFV Operations Manual
Stage 1: Identification
By: Project Proponent PPI
Stage Actvties Stage 1: Project IdentificationBy Project Proponent(PP) By DFV Activity: Submit Preliminary Project Proposal to DFV
1. tdentificanon DFV:idtify Principal Responsibility Authorized Person ofEligile Borrower orDistrictor County
opportunities Government or Town Government
)FV2Bconduct Pje-screening of pro-tviit Situbmi y Project Proposal to DFV PosYd oj
Key Policies:
2. Pre-Feasbtily 1PP2prepare Pre.feasibility Study ad DFV3:sist in pr tion of P-Fes- The DFV maintains a standard protocol governing information required from Project Propo-
L inubmut to approv agencies bsubmison nents for the DFV to consider Preliminary Project Proposals. This protocol is described in
DFV4eview Pre-Feasibly Sty Annex I of this Manual.
3. FeasibIlity PP3:prpare Feasibility Study and sub- DFV5:aist in preparation of Faibil- Key Sub-Acivides:Assessment mit to approval agences ity Study and appoval submison.s Project Proponents are expected to make available to the DFV all supporting information
IDFV6:appiri Feasibility Study required for a prope initial assessment of the Preliminary Project Proposal, and to expedi-
DFV7:apprase insituionai d rgani- tiously arrange meetings for DFV staff to review technical, economic, financial, social, andztional capacities of Proponent and oP- environmental aspects of the Proposal.
DFVS:ppi credit risk Ouuts:
4. ProJect The key output of this activity is the formal submission of the Preliminary Project ProposalFn.ng PP4.comm,t equity financing DFY9arrainge fnacing packge and supporting information to the DFV.
PP5:sccurc credit enhancernents_______Required Approvalts:
PP6 negoti.le DFV financing agree- DFVIO:negoiate DFV fmancing
DtF-Vaiec tt EVf, By formally submitting the Preliminary Project Proposal to the DFV, the Authorized Person
from the Project Proponent warrants that before requesting the DFV to consider the Proposal,5. Project Design~ 5. Project Design Pplixonannission enginering designt it has received all requisite approvals from the Corporation or District or Town governmeit.
K.__
6.Projecr Pfr:Orapoizpr iPjecn ianpisemnttaoon DFVt2P miit Pnrc Poppsianl of By: DFV DFV1lunplenuatat- rouea Plan Stage : Projed mdentfication
E)FV1I3-it in undiacting ~e~ Activ~ity: Identi~fy possible new investment opportunities
Principal Responsibility: Manager, Marketing and Training Dept.7. Invesevent irometa aspect of1:- tc P
PP9:pay DFV return ont n-- ] . DV4nuePe o~atnand s r information Key Policies:
PP10:service deb pya.ta to 3d DFV5 p DFVapi e Since the DFV is stiuctured as a revolving financing vehicle, and since additional capital willpafPy Penders h
FV sit in ag be added from time to time, the DFV will maintain internal capacity t identi potetial new
Binvestments that conform to the eligibility criteria outlined in Chapter B of this Manual
40 41
DFV Operations Manual DFV Operations Manual
Key Sub-Activities: Required Approvals:
DFV staff will review with District governments, sector authorities progress on capital General Manager's approval to proceed to Stage 2.
investment programs in the sectors outlined in Chapter B of this Manual. These reviews will
be conducted at least every three months and market research reports should be drafted.
Stage 2: Pre-Feasibility Assessment (if necessary)4
Outputs:
Identified projects with Proponents. By: Project Proponent PP2 4'hzm'
Stage 2: Pre-Feasibility Study ... ......
Required Approvals: Activity: Prepare Pre-feasibility Study and submit to approvals agencies Asu pron,n
None required for this activity. Principal Responsibility: Project Manager ofProject Proponent
By: DFV DFFP2 Key Policies:
Stage I: Project Identification Once the DFV has screened the Preliminary Project Proposal and indicated its interest in
Activity: Conduct Pre-screening ofproposed Project having the project proceed to the Pre-feasibility assessment stage, the PP will be required to
Principal Responsibility: Project Manager prepare a Pre-feasibility Study and a formal Project Proposal as per State regulations.
Key Policies: Key Sub-Activides:
To minimize expenditure of Proponent and DFV resources in reviewing proposals for projects The Pre-feasibility Study will be prepared by technical and financial organizations that are
that do not meet the eligibility criteria outlined in Chapter B of this Manual, the DFV will authorized by the Shanghai Municipal Government to conduct such studies. The Pre-
pre-screen Preliminary Project Proposals. feasibility Study will conform to State regulations.
Key Sub-Activiies: The Pre-feasibility Study will be submitted by the Project Proponent to all requisite approv-
Once the DFV receives a Preliminary Project Proposal, it will appoint a Project Manager to als agencies and will be submitted to the DFV once these approvals have been obtained.
conduct pre-screening. Annex I of this Manual documents the pre-screening toot that the
DFV uses to review Preliminary Project Proposals. Outputs:
Pre-feasibility Study with all requisite approvals.
Once a Project is pre-screened, the Project Manager will prepare a Project Concept Note that
will be reviewed with the Project Proponent and submitted to DFV General Manager. The Required Approvals:
GM will then decide if the project should proceed to the next stage of Pre-Feasibility The Pre-feasibility Study will require formal approval from the Shanghai Municipal Devel-
Assessment. The GM will execute a Memorandum of Understanding with the Project opment and Reform Commission which consults with all related municipal agencies in ren-
Proponent indicating the DFV's interest-in-principle in investing subject to the findings of dering its decision.
Stage 2 (Pre-Feasibility Assessment) and Stage 3 (Feasibility Assessment), and to the deci-
sion of DFV Investment Committee, as well as indicating the Project Proponent's commit- By: DFV DFFVment of applying the DFV's financing service and its management arrangements. Stage 2: Pre-feasibility Assessment
Activity: Assist in preparation of Pre-Feasibility Study and approvals submissions
Outputs: Principal Responsibility: Project Manager
Project Concept Note and Memorandum of Understanding.
42 4
DFV Operations Manual DFV Operations Manual
Key Policies: proposed project, including options from which the proposed project was selected.
If requested by the Project Proponent, the DFV will assist in the preparation of the Pre-
feasibility Study and in securing approvals of that Study. This assistance will be rendered The Project Manager will prepare a Pre-feasibility Study Review Report and submit it for
through a Contract between the Project Proponent and the DFV that conforms to the Model approval to the General Manager, and the General Manager will decide whether to proceed
Contract of the DFV. to Stage 3: Feasibility Assessment.
Should the DFV engage consultants to conduct all or part of the Pre-feasibility Study, Outputs:
procurement will be conducted in conformance with the World Bank's procurement guidelines. Pre-feasibility Study Review Report.
Key Sub-Activities: Required Approvals:
The Project Manager will assist in the preparation of the Project Pre-feasibility Study Approval by the General Manager to proceed to Stage 3.
consistent with State regulations.
If technical assistance from third parties is required to prepare the PFS, the Project Manager Stage 3: Feasibility Assessmentwill manage procurement of thesc services consistent with the World Bank Guidelines noted
above. The Project Manager will manage the technical assistance contracts, including ap- By: Project Proponent PP3
proval of payments. Stage 3: Feasibility Assessment
Activity: Prepare Feasibility Study and submit to approvals agencies
Outputs: Principal Responsibility: Project Manager ofProject Proponent
Contract between the DFV and the Project Proponent; Contracts with third parties for
provision of services. Key Policies:
Once the DFV has given approval-in-principle to the Project Proposal based on its assess-
Required Approvals: ment of the Pre-feasibility Study, the PP will be required to prepare a Feasibility Study as
The General Manager will approve and execute the Contract between the DFV and the per State regulations.
Project Proponent.
Key Sub-Activides:
By:DFV DFV4 The Feasibility Study will be prepared by technical and financial organizations that are
Stage 2: Pre-feasibility Assessment authorized by the Shanghai Municipal Government to conduct such studies. The Feasibility
Activity: Review Pre-feasibility Study Study will conform to State regulations.
Principal Responsibility Project Manager
The Feasibility Study will include a Resettlement Action Plan (RAP) and Environmental
Key Policies: Impact Assessment (EIA) consistent with State regulations and World Bank Operational
The DFV will conduct a review of the Pre-feasibility Study for every project that it is Policies. The RAP will follow the policies and procedures outlined in the Resettlement and
approached to finance. Land Acquisition Policy Framework contained in Annex 4 of this Manual.
KeySub-Activities: The EIA will follow the policies and procedures outlined in the Environmental Impact
The review of the Pre-feasibility Study will constitute a thorough and objective assessment Analysis Policy Framework contained in Annex 3 of this Manual. It will include an Environ-
of the technical, environmental, social, economic, financial and institutional viability of the mental Management Plan (EMP).
44 45
DFV Operations Manual DFV Operations Manual
The Feasibility Study will be submitted by the Project Proponent to all requisite approvals Required Approvals:
agencies and to the DFV once these approvals have been obtained. The General Manager will approve and execute the Contract betwcen the DFV and the
Project Proponent.
Outputs:
Feasibility Study with all required approvals. By: DFV DFV6
Stage 3: Feasibility Assessment
Required Approvals: Activity: Appraise Feasibility Study
The Feasibility Study will require formal approval from the Shanghai Municipal Develop- PrincipalResponsibility: Project Manager & Safeguard Team
ment and Reform Commission which consults with all related municipal agencies in rendering
its decision. Key Policies:
The DFV will conduct a review of the Feasibility Study for every project that it is to
By: DFV DFV5 approach the financing.
Stage 3: Feasibility Assessment
Activity: Assist in preparation ofFeasibility Study and approvals submissions Key Sub-Activides:
Principal Responsibility: Project Manager The appraisal of the Feasibility Study will constitute a thorough and objective assessment of
the technical, environmental, social, economic, financial and institutional viability of the
Key Policies: proposed project, including options from which the proposcd project solution was selected.
If requested by the Project Proponent, the DFV will assist in the preparation of the Feasibil-
ity Study and in securing approvals of that Study. This assistance will be rendered through The appraisal will pay particular attention to the RAP and ensure that it meets the policies
a Contract betwcen the Project Proponent and DFV that conforms to the Model Contract of and procedures of the Resettlement and Land Acquisition Policy Framework contained in
the DFV. Annex 4 of this Manual, and current versions of the World Bank's Operational Policies (OP
4.12: Involuntary Resettlement) and Bank Procedures (BP 4.12: Involuntary Resettlement).
Should the DFV engage consultants to conduct all or part of the Feasibility Study, procure-
ment will be conducted in conformance with the World Bank's procurcment guidelines. The appraisal will also pay particular attention to the EIA and ensure that it meets the
policies and procedures of the Environmental Impact Assessment Policy Framework con-
KeySub-Aedvities: tained in Annex 3 of this Manual, and current versions of the World Bank's Operational
The Project Manager will assist in the preparation of the Project Feasibility Study which is Policies (OP 4.01: Environmental Assessment) and Bank Procedures (BP 4.01: Environmen-
consistent with State regulations. tal Assessment). An Environmental Management Plan (as detailed in Annex C of BP 4.01)
must be prepared by the Project Proponent and appraised by the DFV.
If technical assistance from third parties is required to prepare the FS, the Project Manager
will manage pmcurement of these services consistent with the World Bank Guidelines noted The Project Manager will prepare a Project Appraisal Report following the outline in Annex
above. The Project Manager will manage the technical assistance contracts, including ap- 2 of this Manual, and submit it for approval to the General Manager. If the General Manager
proval of payments. approves the report, it will be submitted to the President for a final decision on whether to
submit the project to DFV Investment Committee for consideration. The Investment Com-
Outputs: mittee will review the Project Appraisal Report and make a final decision on whether the
Contract between the DFV and the Project Proponent; Contracts with third parties for DFV will finance the project, and outline key conditions of a financing agreement.
provision of services.
Outputs:Project Appraisal Report.
46 47
DFV Operations Manual DFV Operations Manual
Required Approvals: By: DF V DF VApproval by President of Project Appraisal Report; Approval by Investment Committee
for Financing Negotiations. Stage 3: Feasibility Assessment
Activity: Appraise credit risk
BY: DFV DFV7 Principal Responsibility: Project Manager
Stage 3: Feasibility Assessment Key Policies:
Activity: Appraise institutional and organizational capacities ofProponent and op- The DFV will objectively assess the credit risk of all potential Proponents and Guarantors
erators and factor this risk in deciding on whether to finance a project, and how to structure and price
Principal Responsibility Project Manager each investment.
Key Policies: Key Sub-Activities:
The DFV will finance Proponents who demonstrate the institutional and organizational The credit risk assessment process that the DFV follows is documented in Chapter D and
capacities to develop and operate the proposed project in a manner that will provide for the Annex 6 of this Manual.full and timely repayment of the DFV financing.
Outputs:Key Sub-Activities: Credit risk assessment annex to Project Appraisal Report.The Project Manager will assess the Proponent and the entities responsible for carrying out
the project, and analyze their past performance and strengths and weaknesses. The Project Required Approvals:
Manager will identify alterations in project scope or design to take such factors into account, Included in Activity DFV6.make recommendations for any needed improvement, and describe any technical assistance
and training which should be provided to strengthen these entities. The Project Manager will
identify and describe the contractual arrangements for carrying out the project.
Stage 4: Project FinancingThe Project Manager will appraise the Project Implementation Plan which should be pre-
pared in accordance with World Bank BP 10.00, Annex B. By: Project Proponent PP4
The Project Manager will describe the Proponent's technical, financial, commercial, and Stage 4: Project Financing
institutional arrangements to ensure effective project operation. The Project Manager will Activity: Commit equityfinancing
confirm that the Proponent has an operational plan, which the DFV has appraised, and Principal Responsibility: Authorized Person ofProponent
recommend aspects of the plan that may need to be modified in the future.
Key Policies:Outputs: Should DFV Investment Committee approve financing negotiations for the proposed project,The institutional and organizational appraisal will be fully documented in the Project Ap- the project cycle will continue to Stage 4: Project Financing.
praisal Report.
The DFV will require the Project Proponent to invest at least 30% of the project's capitalRequired Approvals: cost in the form of borrower's equity. This will be a condition for entering into financing
Included in Activity DFV6. negotiations.
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DFV Operations Manual DFV Operations Manual
Key Sub-Acdvities: Key Policies:
The Project Proponent should clearly indicate its investment of at least 30% of the project's Not applicable.
capital cost in the Memorandum of Understanding where the two sides show their commit-
ments for cooperation. Key Sub-Activides:
The Project Proponent will use its best efforts to expeditiously negotiate the financing
Outputs: agreement with the DFV.
Written promise of the Proponent's equity contribution to the project.
Outputs:
Required Approvals: Executed financing agreement with the DFV.
Condition for entering financing negotiations; covenant in the project financing agreement.
RequiredApprovals:
By: Project Proponent PPS Internal approval of Project Proponent's corporation.
Stage 4: Project Financing By: DFV DF V9Activity: Secure credit enhancements
Principal Responsibility: Project Manager ofProponent Stage 4: Project Financing
Activity: Arrange debtfinancing package
Key Policies: Principal Responsibility: Manager, Fund Management Dept.
Project Proponents can extend the tenor of DFV investments if they mitigate credit risks by
providing credit enhancements. These could include: 1) third party guarantees; 2) attach- Key Policies:
ment of project revenue streams to the DFV; 3) attachment of project fixed assets to the If requested by Project Proponent, the DFV will assist in arranging debt financing for the
DFV; and 4) attachment of other company assets to the DFV. project in addition to DFV investment. The DFV's backing by Shanghai Chengtou and its
relationships with major commercial lenders could enhance the financing terms for the Project
Key Sub-Acivities: Proponent.
The Project Proponent will structure a credit enhancement package and execute the legal and
administrative measures needed to put the package into effect. Key Sub-Activides:
The DFV will structure a debt financing package specific to the project's credit capacity.
Outputs: The DFV will charge a one-time commission for this service on a success fee basis.
Credit enhancement package and executed instruments.
Outputs:
Required Approvals: Completed debt financing package with executed agreements.
Internal approval of Project Proponent's corporation.
Required Approvals:
By: Project Proponent PP6 The President will approve the terms of the debt financing package prior to its execution to
ensure its consistency with terms of DFV financing.
Stage 4: Project Financing
A ctivity: Negotiate DFVfinancing agreement
Principal Responsibility: Authorized Person ofProject Company/Borrower
50 51
DFV Operations Manual DFV Operations Manual
By: DFV DFVIO Required Approvals:Stage 4: Project Financing 1) Project Construction Registration; 2) Enterprise Business License; 3) Project Identifica-
Activity: Negotiate DFVfinancing agreement tion Approval; 4) Project Land Permit; 5) Conceptual Design Approval; 6) Preliminary
Principal Responsibility: General Manager Design Approval; 7) Construction Design Approval; 8) Site Red Line Confirmation; 9)Project Planning Permit; 10) Project Construction Permit.
Key Policies:
DFV financing agreements will be consistent with the eligibility criteria outlined in Chapter By: DFV DFVII
B of this Manual and with directions from the Investment Committee on terms specific to Stage5: Project Design
the project transaction. Activity: Assist in commissioning engineering designPrincipal Responsibility:, Project Manager
Key Sub-Activities:
The DFV will use its best efforts to negotiate and execute the financing agreement which is Key Policies:
consistent with DFV investment policies and directions from the Investment Committee. If requested, the DFV will assist the Project Proponent in commissioning and preparing the
engineering design for the project on a fee for service basis. This assistance will be rendered
Outputs: through a Contract between the Project Proponent and the DFV that conforms to the Model
Executed financing agreement. Contract of the DFV.
Required Approvals KeySub-Activies:
The financing agreement will be approved and signed bythe President on behalfDof the DFV. The DFV will assist in and review preparation, issue and evaluation of tenders in a manner
consistent with the current Guidelines for Selection and Employment of Consultants by
Stage 5: Project Design World Hank Borrowers.
By: Project Proponent PP7 The DFV will act as an Agent in the course of project design to review all necessary docu-
StageS5: Project Design ments to ensure there wouldn't be any non-compliance in the project design process. If the
Activity: Commission engineering design DFV identifies any non-compliance with the financing agreement, the General Manager will
Principal Responsibility: Project Manager of the Project Proponent notify the Project Proponent to seek to rectify designs accordingly. If non-compliance is not
rectified, the DFV may decide to cancel the financing agreement or to withhold investment
Key Policies: for the portion of the work that does not comply.
The Project Proponent is required to obtain all statutory approvals for the project from
municipal and district authorities. Outauts:
Contract between the DFV and Project Proponent; executed contracts between Project
KeySub-Activities: Proponent and design and surveying institutes.
The Project Proponent will commission design and surveying institutes to prepare: 1) a
geotechnical survey 2) conceptual design; 3) prelimwinary design; and 4) construction design. Required Approvals
The Project Proponent will conduct all statutory registrations and obtain all project approv- The General Manager will approve and execute the service contract between the DFV and the
als required by municipal and district regulations. Project Proponent.
Outputs:
Geotechnical survey; tender documents; fi3al cost estimates.
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DFV Operations Manual DFV Operations Manual
Stage 6: Project Implementation Outouts:Project Procurement Plan; tender notices; tender evaluations; procurement contracts.
By: Project Proponent PP8
Stage 6: Project Implementation Required Approvals:
Activity: Organize project implementation The General Manager will approve every Procurement Plan.
Principal Responsibility: Project Manager ofthe Project Proponent
By: DFV DFVl3Key Policies: Stage 6: Project Implementation
The Project Proponent is required to obtain all statutory approvals for the project from Activity: Assist in conducting procurement
municipal and district authorities and organize project implementation. Principal Responsibility: Project Manager
Key Sub-Activities: Key Policies:
The Project Proponent will conduct all statutory registrations and obtain all project approv- The DFV will, consigned by the project client, assist in conducting procurement in a manner
als required by municipal and district regulations and organize project implementation. that is consistent with World Bank Operational Policies (OP 11.00: Procurement) and State
regulations.
Outputs:
All necessary construction permits, and project implementation plan and progress report. Key Sub-Activides:
The DFV will, consigned by the project client, assist in preparing all tender notices, tender
Required Approvals: evaluations and contract awards made by the project company.
All necessary approvals.
Outputs:By: DFV DFVl2 The Project Manager will prepare individual reports on all procurements under the Procure-
Stage 6: Project Implementation ment Plan and submit these to the General Manager.
Activity: Assist in preparing and implementing Procurement Plan
Principal Responsibility: Project Manager Required Approvals:
The General Manager will execute all consigned procurement agreements.
Key Policies:
Consigned by the Project Client, the DFV will assist in preparing a Procurement Plan that
conforms to State regulations and that is consistent with World Bank Operational Policies Stage 7: Investment Recovery(OP 11.00: Procurement).
By: Project Proponent PP9Key Sub-Activities: Stage 7: Investment Recovery
Consigned by the Project Client, the DFV will assist in preparing a Procurement Plan for the Activity: Ensure Project Company Payments to DFV
project that is consistent with the Sample Procurement Plan contained in Annex 7 of this Principal Responsibility: Authorized Person ofProject Company
Manual. Procurement will be conducted in accordance with State regulations and World
Bank Operational Policies (OP 11.00: Procurement). Key Policies:
The Project Company will make regular payments to the DFV as outlined in the financing
agreement.
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DFV Operations Manual DFV Operations Manual
Key Sub-Acdvities: Key Sub-Activides:
The Project Company will transfer funds into the DFV's bank account on a semi-annual The DFV will remind the Project Company two weeks before all debt repayments are due
basis. and the Project Company will be requested to repay the debt one week before the due date
in order for the DFV to have enough time to conduct foreign debt verification and exchanging
Outputs: currency. Should payments be late, the DFV will follow up to expedite payment, including
Payments to the DFV. late payment penalties which will be defined in the financing agreement. Should the financing
become in default, the DFV will instigate actions specified under the financing agreement to
Required Approvals: secure all arrears. Agreements in default will be immediately terminated until such time that
Internal approval of Project Company. its creditworthiness reaches the highest rating according to DFV credit rating system (see
Chapter D of this Manual).
By: Project Proponent PP10Stage 7: Investment Recovery Outputs:
Activity: Service debt repayments to 3rd party lenders Debt repayments.
Principal Reiponsibility: Authorized Person ofProject Company
Required Approvals:
Key Policies: The termination of agreements in default will be approved by the President. Actions to
The DFV requires that the Project Proponent services debt to third party lenders on a full trigger recourse mechanisms in the financing agreement will be approved by the President.
and timely basis to ensure that defaults do not encumber DFV's investment.
Key Sub-Acivities: By: DFV DFV15
Full and timely servicing of third party debt will be a requirement in the DFV financing Stage 7: Investment Recovery
agreement. The Project Proponent will regularly report to the DFV debt repayments to all Activity: Manage DFVcapitalsurpluses
third parties during the period of the DFV investment. DFV reserves the right to verify such Principal Responsibility: Manager, Funds Management Department
payments.
Key Policies:
Outputs: The DFV will invest its capital surpluses in a diligent manner that conforms to all State
Regular reporting to the DFV of third party debt repayments. regulations.
Required Approvals: Key Sub-Activities:
Internal approval of Project Company. The DFV will maintain a capital reserve sufficient to service 3 months of its debt owing to
Shanghai Finance Bureau from proceeds ofAPL2.
By: DFV DFV14Stage 7: Investment Recovery Subject to maintaining its capital reserve and conforming to State regulations, the DFV will
Activity: Ensure Project Company Payments to DFV invest prudently in derivatives, bonds and short-term securities in addition to holding cash
Principal Responsibility: Manager, Fund Management Department on deposit. The Manager of the Treasury Department will prepare a quarterly Surplus
Capital Management Plan that will be sent to the President for review and subsequent
Key Policies: submitted to the Investment Committee which will give final approval, the DFV General
The DFV will make its best efforts to ensure the full and timely payment of returns on the Manager will execute the Surplus Capital Management Plan.
investments that it makes.
56 5
DFV Operations Manual DFV Operations Manual
Outputs:etuets. D.How the DFV Prices Financing Products and Services
Retumns from non-core investments.
Required Approvals:
All DFV investments that are not part of the DFV's core business of financing the develop-
ment of District and Town infrastructure will be approved by the Investment Committeement of istrict nd Towninfrastrcture wll be aproved 26.heThevsDmenfullyittecountThefor fcreditcounksfoincdecidingk i on:eciin whether w tothr nvestnein anproject;twithin the parameters of the quarterly Surplus Capital Management Plan.withn te pramtersof he uarerlySurlusCaptal anaemet Pan.2) the tenor of the investment; and 3) the security to be pledged against the investment.
By: DF V DFVI6By. FV D V1627.Since much of the infrastructure that is financed by the DFV in suburban districts is
Stage 7: Investment Recovery entirely new, in many cases the final Borrower will be a new corporation with no creditActiity, Srvie det t Shnghi Fianc Bueauhistory. In these cases, the Borrower will be backed up by a Guarantor, usually the District
Activity: Service debt to Shanghai Finance Bureau
Principal Responsibility:DFV President UDIC or another District or Town-owned corporation. While China's Budget Law prohibitssub-national governments from borrowing directly or from providing loan guarantees, Dis-
Key olices:trict and Town-owned corporations can act as guarantors on behalf of sub-municipalKey Policies:
The DFV will service its debt repayment ofAPL2 proceeds to Shanghai Finance Bureau governments. However, the financial records of these corporations are tightly held, and the
fully and in a timely fashion. DFV will be likely to have difficulty in obtaining and verifying credit information on theseguarantors for the foreseeable future. The DFV will use its best efforts to do so by requesting
Key ub-Ativies:the information on Borrowers and Guarantors outlined in Annex 6 of this Manual.Key Sub-Activities:
The DFV will make full and regular repayments of its proceeds from the APL2 loan to
Shanghai Finance Bureau. Should the balance of the DFV's capital reserve fall below the level
required to repay principal and interest to MFB for consecutive 6 months, the President of
the DFV will report to the President of Shanghai Chengtou Corporation the possibility of revenetn editures: they do not report l t sand expndituelate payments and seek assistance in resolving its financial difficulty. liabilities ofgoverment-owned corporations. Therefore, since reported fiseal performance
Outputs: provides only a parlial measure of credit capacity, the DFV also assesses the underlyingWorl Bak AL2 oanrepymets.economic conditions in Districts as a proxy indicator of the full financial strength of District
World Bank APL2 loan repayments.governments. The rationale is that a strong local economy is more likely to generte tax and
Requred pproals.other revenues that can buttress the financial strength of government-owned guarantors ofRequired Approvals: DVivsmns
The President will approve all debt repayments to Shanghai Finance Bureau. DVivsmns
29. Two sets offcredit risks age therefore assessed by the DFV 1) of the Project Company;
and 2) of the Guarantor in the form of District governments. Project Company eredit risks
are assessed in terms of. 1) financial condition of the Project Company; 2) management
strength of the Project Company; and 3) the security of the investment transaction itselfin
terms of effective demand for the infrastructure service, the strength of the primary repay-
ment source (usually the tariff revenue stream), and the credit enhancements offered by the
68 59
DFV Operations Manual DFV Operations Manual
Project Company in the form of collateral and guarantees. Guarantor credit risks are assessed Tenor (yrs) based onin terms of: 1) economic performance of the District governments; and 2) fiscal performance Credit Rating
of District governments. ProponentA 100 20
ProponentB 50 16
30. The DFV's credit rating system consists of a spreadsheet in which these criteria are ProponentC 48 16
weighted (out of 100%) and each District and Project Proponent is rated (on a scale of0.0 to ProponentD 22 14
1.0 points) to provide for an overall rating. The criteria are contained in Annex 6 of this Table 1: Examples of Factoring Credit Ratings into Tenors of DFV Financing
Manual.
35. These principles define the opening position for the DFV at financing negotiations,31. The DFV is committed to using its best efforts to foster full and transparent disclosure subject to directions from the Investment Committee. Other factors will come into play
of financial conditions of Project Companies and Guarantors in suburban Districts, including during these negotiations that could affect the final tenor, including the mix of credit enhance-
through training and capacity building attached to DFV investments. In the interim, the DFV ments that the Project Proponent may be prepared to offer.
will use its more indirect credit rating system as a first step in assessing credit risks and
pricing these risks into its financing products. 36. The DFV's approach to factoring credit risk is subject to ongoing development. Changes
will be reflected in amendments to this Manual which will be subject to approval by the32. A full review of the credit rating system will be conducted at the end of the first year of DFV's Board of Directors, and agreement of the Shanghai Municipal Government and notice
operations. of no-objection from the World Bank.
2. Factoring Credit Risks 3. Pricing Financial Arranging Services
33. The marketability of the DFV to Districts and Towns rests on three foundations: 1) cost 37. If requested, the DFV will arrange for the balance of project debt financing in addition to
of financing to Project Companies; 2) tenor of DFV investment; and 3) the DFV's capacity the DFV financing. The DFV charges a one-time fee of non-DFV funds that it arranges for
to manage capital investment projects and relations with the World Bank. Cost and tenor of the Borrower.
financing are the prime determinants ofmarket acceptance ofDFV financing products. To be
marketable, DFV investments must cost less than the longest tenor loans available from 4. Pricing Technical Assistance Servicescommercial banks.
38. The DFV provides technical assistance and training services at cost. Only salary and
34. The cost of funds from APL2 to DFV is LIBOR plus a total spread. The DFV requires overhead costs are charged to clients with no additional margins. The DFV may decide to
a minimum of 1.5% of the APL2 funds transferred through the DFV to perform its core discount the prices for these services on a project basis.
business functions: this constitutes the DFV's rate of return. The spread in years between
the longest commercial loan tenors and the maximum 20-year tenor of DFV financing is
DFV's competitive range. The credit rating of the Borrower determines the tenor ofa DFV E.How the DFV is Managedinvestment: the higher the credit rating, the longer the tenor (max. 20 years). Table I illus-
trates these principles. 1. Board ofDirectors
Longest tenor of Commercial Loan (yrs) 12 39. The Articles of Incorporation provide for a maximum of 3 Directors. The Board of
Longest tenor of DFV financing (yrs) 20 Directors is comprised of two senior officers from Shanghai Chengtou Corporation and one
Spread between tenors (yrs) 8 senior officer from Shanghai Chengtou Environment. The functions of the Board are elabo-
rated in the Articles of Incorporation.
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DFV Operations Manual DFV Operations Manual
2. Advisory Council 45. The Marketing and Training Department performs the following functions: 1) market
research, or the identification of market trends and demands in suburban districts; 2) external
40. The DFV is advised by an Advisory Council that advises on sector government policies relations, i.e. with District and Town governments, the Shanghai Municipal Government,
and programs that may affect the operations of the DFV. It also advises, where appropriate, and potential investors; 3) business development, or the identification of capital investment
on best practices and on business trends that may affect the DFV. opportunities and analysis of risks associated with these opportunities. It also designs and
41. It is comprised of: delivers training for DFV staff, and for personnel from Districts and Towns.
*President of CEAM
*Representative of Shanghai Development and Reform Commission 46. The Project Management Department provides technical services to CEAM, and con-
*Representative of Shanghai Construction and Management Commission ducts the management of all projects, including appraisal and procurement management.
*Representative of Shanghai Finance Bureau
*Representative of Shanghai Administration of Foreign Exchange 47. The Funds Management Department manages project investments, loan repayments to
*Two external Directors with no corporate officer or employment relationships with Shanghai Finance Bureau, and surplus funds.
the Shanghai Municipal Government or any of its corporations.
48. The Finance and Administration Department provides intemal corporate support services,
3. Investment Decisions including accounting, human resources management etc..
42. All investment decisions of the DFV are made by a permanent Investment Committee 49. The staffing of these Departments and CEAM's Human Resources Development Plan
appointed by the Board of Directors. This Committee is comprised of: are contained in Annex 8 ofthis Manual.
* President of CEAM*General Manager of CEAM 5. Flow ofFunds*ChiefFinancial Officer ofUDIC
*General Manager of UDIC Environment 50. The capital management framework for the Bank loan and other supporting funds is as
*Vice General Manager ofUDIC Environment follows.
*Chief Financial Officer ofUDIC Environment
43. The General Manager is the secretary of this Committee. 51. The DFV is the loan borrower, responsible for loan repayment, and counterpart funding
is provided through self-raised funds by the Project Company (PC).
4. Corporate Structure52. The Shanghai Finance Bureau and the DFV sign an Agreement of World Bank Loan
44. CEAM is organized in four Departments (Figure 2). Secondary On-lending. The DFV would be responsible for:
* Being retained by the project client to provide technical assistance during the project's
Advisorypreliminary and intei stages, and other business relating to the project identification
and preparation and interim managements;
Safeguards Team President Investment Committee S Partial project supervision on behalfofthe Bank;
* Providing counterpart grant financing with municipal urban construction funds ear-
Generalmarked for districts' infrastructure investment, nds from Chengtou Corp or Chengtou
Environment Company for equity investment, or providing guarantee etc.. Sharing the
Marketing and Project Mgmt. Funds Finance And borrowing risks with project clients and district financial bureaus;Tranin Det. eprtmnt anaemnt Det Adi.Det Arranging the preparation of Project Proposal, Feasibility Study Report Environ-
=Training Dept. I Department iManagement Dept.I Admin. Dept.
Figure 2: Corporate Structure of CEAM
62 63
DFV Operations Manual DFV Operations Manual
mental Impact Appraisal (EIA) and Resettlement Action Plan (RAP) etc.; 59. The detailed procedure is as follow:
* Arranging tendering for contractors & services procurements;
* Debt service, managing Bank loan accounts, transfers and usages. 60. Procurement of Goods: Intcmational Procurement: DFV Withdrawal & Reimbursement:
Based on the Consignment Agreement, the DFV will, together with the project client, sign
53. The DFV, as the borrower of the Bank loans, is responsible for the detailed business procurement contract with international supplier. The DFV is then supposed to provide
relating to the usage of the Bank loans, the repayment and relevant risks of the borrowing. Shanghai Finance Bureau (SFB) with commercial documents of such deal, including copies of
such procurement contract, bill of lading, letter of credit, invoice, and insurance policy, as
54. On the level between the DFV and project client, a Cooperation Framework Agreement well as payment certificates under the name of the DFV. Having satisfactorily reviewed on
would be signed between the two parties. The DFV would be entrusted by the project client all these documents, SFB will allocate corresponding amount of loan proceeds to either an
for the procurement of goods, works and services based on Consigned Procurement Agree- account exclusively for the DFV or directly to the international supplier.
ments with the client. In this case, the DFV would use (part of) the Bank loan to pay for
these procurements. Another agreement would be signed between the DFV and the project 61. Import of Goods: To clearly write on the Custom Declaration Form that the DFV is the
client regarding repayments. Provided that the project client clearly promises to repay, the Buyer and Project companies are the End Users. Under such approach, the DFV at same time
ownership of the facilities and goods will belong to the project client. needs to apply for qualification of foreign trade, and related right to print invoices solely for
import agent; the invoice usually records clearly the CIF price, custom duty, import VAT,
55. MFB - DFV: The Municipal Financial Bureau holds a special account (foreign currency freight, service charge, and the name of End User etc..
account). The required World Bank procedures would be used by the DFV for reimbursements.
62. Booking In By Project Companies: As Project companies are the actual buyer (end users)
56. Two accounts would be set up under the DFV respectively for foreign debt (foreign of imported goods, they may directly book in such procurement in their accounts as "Con-
currency account) and repayment ofprincipal and interest (RMB account). The DFV would struction on-going" or "fixed assets" after receiving delivery of goods, based on invoice
sign Consigned Procurement Agreements with the project client and sign procurement con- issued by supplier, consignment contract, and procurement contract related.
tracts with suppliers or contractors. Then the DFV would submit the copies of the relevant
documents to the MFB for payments. After the MFB has reviewed the submissions, the 63. Repayment to the DFV by Project Companies: Upon the completion of such procure-
World Bank loan will be transferred into the foreign currency settlement account from MFB ment of goods, the first payment made by the DFV will become the long term debt of project
and the DFV could manage the payment to relevant suppliers or subcontractors. The loan companies payable to the DFV; at same time, the goods procured will become the assets of
repayment will be transferred to the special account for World Bank loans in MFB through project companies. Project companies are to sign with the DFV an agreement for repayment
the repayment account so that the MFB would take the general control of repayment to the of such debt, which stipulates in detail the repayment to the DFV for goods procured. The
Bank. debt to be served by Project companies shall include first payment made through use of
World Bank Loan, and service charge to the DFV as an agent etc.. The repayment term shall
57. DFV - Project Client: The project client would also set up a repayment bank account be consistent with the required repayment term of World Bank loan.
(RMB account) and would input the procurement costs into this account based on the
invoices from the suppliers and contractors, and consigned procurement contracts. In terms 64. Guarantee for Repayment by Project Companies: To assure the repayment is to be made
of repayment, funds for repayment would be transferred from the project client's repayment properly, the Project companies shall place the right of service charge/collection, which is the
account to the DFV repayment account in accordance with the repayment agreement be- main source of revenue generation, in pledge to the DFV; in addition, guarantee for repay-
tween project client and the DFV. ment shall be provided by commercial banks or UDIC at district (or county) level who are
credited as financially strong.
58. In this scenario, the DFV plays a role both in project identification and managements. In
addition, the DFV also takes some financial risks, giving the function of financing vehicle and 65. Business Tax: DFV is to pay 5% of its service charge as business tax.
funding pool into full play.
64 65
DFV Operations Manual DFV Operations Manual
66. Domestic Procurement: DFV Withdrawal & Reimbursement: Based on the Consignment that the Team proposes to be enacted by CEAM; 3) compliance of project companies with
Agreement, the DFV will, together with the project client, sign procurement contract with Environmental Management Plans and Resettlement Action Plans during project implemen-
domestic suppliers. The DFV is to provide Shanghai Finance Bureau (SFB), for the purpose tation period; 4) actions that CEAM has taken or is preparing to take to ensure compliance
of review and reimbursement, with commercial documents of such deal including copies of by project companies with safeguards covenants in financing agreements, and to ensure any
such procurement contract, invoice, and payment certificates etc. under the name of the issues identified in the EMP and RAP progress and monitoring reports is implemented or
project client. Having satisfactorily reviewed on all these documents, the SFB shall allocate corrected properly; and 5) verifying that the EtA and RAP reports that should be disclosed
corresponding amount of loan proceeds to the foreign exchange account designated for the to the public at least 20 days before investment decisions are made. A copy of the Safeguards
DFV. Team's semi-annual report to the Advisory Council will be provided to the World Bank.
67. Booking In By Project Companies: Upon the completion of such procurement, the 72. The CEAM Safeguard Team will:
Project companies may directly book in such procurement in their accounts accordingly, * carry out project safeguard pre-screening during the project identification and pre-
based on VAT invoice issued by local supplier, consignment contract, and procurement liminary preparation stages to support decision making and improve the efficiency of
contract related. DFV project selection; If a proposed project is likely to have significant negative
potential environmental or social risks and impacts, the DFV will require the proponent
68. Others: The arrangements regarding repayment agreement, repayment guarantee, and to explore alternative options (siting, planning, design etc.) to prevent or minimize the
taxation issue etc. for international procurement are also relevant and applicable to domestic negative impacts before the DFV considers the project for financing;
procurement. * assist the district project companies (the end-user of WB funds) to select and com-
mission independent Safeguard experts/consultants to conduct EtA and RAP studies in
69. Procurement of Civil Works (Essentially NCB): The operational process for procure- accordance with the RAP Framework in Annex 4 of this Operations Manual, and the
ment of civil works is generally similar to the above captioned process for domestic procure- EIA Framework in Annex 3 of this Operations Manual;
ment of goods. Project companies are still the owner of the Project, whose name will appear * advise the district project companies the breadth, depth, and type of safeguard
on the application formats for bidding & tendering, and for four permits including land use analysis that the EIA (including EMP) and RAP should take into account depending on
permit. The Project companies hold the ownership of the Project upon the effectiveness of the nature, scale, and potcntial environmental and social impacts of the proposed
the procurement contract. projects;
* appraise the EIA (including EMP) and RAP of the proposed projects and advise the
F. How DFV Ensures Social and Environmental Safeguards borrower on the Safeguard requirements;
* review the findings and recommendations of the EIA (including EMP) and RAP to
70. Given the importance of social and environmental safeguards to the DFV's operation, determine whether they have provided an adequate basis for processing the project for
Shanghai Chengtou Environment Asset Management Co., Ltd. (CEAM), the executive agency DFV financing;
of DFV component in the World Bank APL Program, has set up a Safeguard Team within * draft safeguards covenants for each project financing agreement;
CEAM. The responsibility of the CEAM Safeguard Team is to ensure that the district * supervise the independent third party responsible for external monitoring during
projects the DFV finances satisfy the requirements of the World Bank's Safeguard Policies, project implementation to ensure that projects are implemented in a manner fully
and State and Municipal environmental and social policies. consistent with the safeguard policies;
* provide necessary training to project clients.
71. CEAM's Safeguard Team will report directly to CEAM's President and will prepare
semi-annual reports to the Advisory Council, outlining: 1) ElAs (including EMP) and RAPs 73. CEAM will only consider for financing projects that have ETAs and RAPs prepared in
appraised by the Team and mitigation actions that the Team required for projects that were accordance with Annexes 3 and 4 of this Operations Manual. If the Safeguards Team judges
financed by CEAM; 2) changes to safeguards policies and procedures that were enacted or that social and/or environmental impacts of a proposed project represent risks that it finds
66 67
DFV Operations Manual DFV Mf$Tf&
unacceptable, it will recommend to the CEAM Investment Committee that it will not finance
the project until all the associated risks are satisfactorily resolved. This recommendation will
be made in writing and copied to the World Bank.
74. During monitoring of implementation and operation, if the Safeguards Team finds a el. 1
project company is not complying with safeguards covenants in its financing agreement with a 1.2 H M
CEAM, the Team will advise the President of the non compliance and outline a time-bound 2.V7)N 1&IA
corrective action plan. The President will advise the project company in writing of its non * 2. 1 4 R K
compliance and outline time-bound corrective actions that CEAM requires. A copy of this 0 2.2 i
notice will be provided to the World Bank. If these actions are not taken by the project * 2. 3 JX H
company, CEAM will find the project company in breach ofthe financing agreement, cease will I JilAM4 &further financing, and take whatever measures that are necessary to immediately retrieve Wi4 2 ] l $A*nfW*
funds that it has provided to the project company. *.
e2. Wd#
75. At startup of operations, CEAM's Safeguard Team will be structured with technical AjiPMA
expertise in water supply, wastewater management, and solid waste management. Detailed
staffing of CEAM's Safeguard Team is outlined in the attachment. When CEAM expends its
business to other infrastructure sectors (for example, urban road, urban rehabilitation etc.), it
will bring specialists of these sectors into the safeguard team accordingly. The general man-
ager of CEAM will be assigned as the safeguard team leader so that he could be kept in close
and direct contact with the Safeguard assessment. Two associate specialists will take eharge
of routine EMP and RAP safeguard review and monitoring respectively. The project super-
visors are also safeguard team members who will mainly work as project coordinators to
ensure any issues identified in the safeguard progress and monitoring reports will be imple-
mented or corrected properly, while a senior manager employee will be appointed by CEAM
to coordinate all Safeguard assignments for invested projects.
76. The Safeguards Team will obtain training as outlined in Annex 8 of this Operations
Manual (Human Resources Development Plan) and will coordinate training in environmental
and social safeguards for key staff of project companies, as outlined in Annex 8.
68 69
&OFV 操作手册 OFV操作手册
别昭娜项目筛选文件1吏用手册 议书之前,应会同DFv核对确认最新的筛选标准。
1.概述 评分表格为电子数据表,区县可以对数据表中每一项标准赋予一定权重,从而加权得出项目获得的总分。不同项目之间的分数比较将为区县政府及 DFV提供项 目
11 序言 开发选择的依据。
本手册所介绍 的内容是关于上海区县环境治理项目融资平台 (简称 DFV )对
各区县项 目融 资申请进行筛选的方法 电子数据表可以方便地显示权重的改变对评估结果的影响一使用者可以根据项 目
具体情况简便地在权重栏内做 出相应调整。
12 目的
区县制定基本建设投资计划的第一步是起草初步的项目建议书。项 目建议书被 关于该工具各组成部分 的使用方法 ,下文将予 以详细描述 。
采纳后 ,将 展开全面的项 目可行性研究.包括项目规模 、地点 、设计 、成本 、
收益、融资安排和进度计划等全面信息。由于项目可行性研究需花费大量的时间和 2.1项目建议书模板资源,因而只应在项 目已被确认比较可行的前提下开展。
该模杼采用微软文字文档表格形式,在填写信息时.每一个单元都可以相应扩
因此,在项 目开发的初期,DFv 应在大量工作开展之前佼用 该工具对项 目初始 展。因此,对每一个事项的说明内容是没有篇幅限制的。不过 ,内容应该尽量保持
建议书进行筛选,以便 DFv 和区县共同确定项 目的可行性和风险。例如,采用该 简明。该阶段的项目建议书是对项 目的一个概要描述,而并非详细的说明。
工具,区县可以利用较少信息完成筛选阶段使用 的项 目初始建议书 。这样 ,就可
以遼免在那些明显不具备可行性的项目上浪费资源,只有可行性较强的项目才能进 下面将对每一单元要求填写的信息进行说明:
入 下一个 开发阶段
.筛选阶段所需的项目信息
2.初步筛选工具 下述的信息分类是用来获取项目的基本信息。如果该项目必需提供的信息不足或不到位,DFV 可以将建议书退回 申请人,要求申请人进行补正。如果所提供的
初步筛选工具由以下三部分组成: 信息显示该项 目不具备可行性或没有实际意义,DFv 可以回绝项目建议书或要求其
进行 修改 。
.初步筛选阶段的项目建议书模板
.项目建议书的评估标准 .项目标识
.项 目建议书各项评估标准的权重和评分表格 建议项 目书中必须写明项 目的名称 、编号和 申请人 (区县名称和相关政府部
门/公司名称 ),保证 DFV 在处理 申请时可立即识别项 目。
区县在 DFV 协助下依据模杼完成项 目初始建议书,虽然该阶段的项 目信息非常
有限,但初始建议书必须包括对项 目关键 因素的描述,比如项目规模、成本、融 .项目概况
资安排、社会和环境影响以及重大的风险等。通常这些定性信息是基于个人判断而 本单元要求对项 目的要点做一个简明的说明,包括项 目的性质、项 目的出发点
口口口口 非严格的调查研究。 和基本考虑、项目规模和选址以及项 目的成本和收益。尽管有些信息在其他单元中 侧芬留盼
口口姐目 会有所重复,项目发起人还是应该在该单元尽量地对所有要点进行一次综合性的阐 臻血叙
口困口 依据该工具,筛选阶段的项目初始建议书都应包含相同类别的基本信息,并采 述· 填写的信息建议至多不超过一页,如果项目发起人需要向DFv领导当面作出 愚M瀚口口 用相似的格式。 几分钟的项目汇报,项目说明只需包含其汇报的所有要点即可。 麟纂
DFv 应预先制定项 目筛选标准。本手册提供了一套参考标准予以说明,DFv .已完成的准备工作
将视需求另外制定具体的标准,并且每年更新。区县在准备项 目筛选阶段的初始建 如果项 目已完成了一些准备工作 ,项 目发起人应在本单元对此简要说明,例
70 71
O「V操作手册 O「V 操作手册
如,初步设计方案、初步成本估算以及初步的项目需求分析等。此阶段虽不要求 动拆迁安置:项目发起人应针对动拆迁安置方面的问题给予一定的说明。如果完成大量的准备工作,项 目发起人仍应完成一定量足够的工作,以评估项目的成本 有可能,发起人应提供需重新安置的居 民和企业 的大致数量 。
费用 和影 响,同时要说明该项目的市场需求。
.可能产生的环境形响
.与总体规划和五年计划的一致性 尽管该阶段的环境影 响评价并未完成 ,但项 目发起人可以对其认为的,最重
本单元 应明确以下问题: 要的环境影响 (包括 正面及 负面影响)以及如何减轻 负面影响进行 说明。
拟定项目是否被列入总体规划?
是否与总体规划中拟定选址相同? .财务概算
是否与总体规划中拟定的实施时间相同? 尽管没有详细的成本核算,但申请人应提供项 目总投资的估算,包括土地、动
拟定项目是否被列入区县的五年计划? 拆迁安籮和资金成本等.同时应简要说明上述估算的依据 (例如,参考其他类似
的工程项 目,以及有经验的工程师的判断)以及该估算的可信度
D即 将对没有被列入总体规划的初选项目作认真考虑。DFV 认可总体规划可能 如有可能,项 目发起人还应提供年度运营维护费用的估算。
无法全面涵盖所有项 目需求的事实,因此在某些情况下,对没被列入总体规划的项
目,或者项目的实施要求比总体规划所预定的要早的项目,同样有充足的理由提出 .拟定融资计划立项 申请。但 申请人应 当详细说明与总体规划不一致的地方 。 确认项目资金的来源非常重要。项 目申请人应 明确申请人 、DFV 、世行贷款 、
私人投资或贷款 ,和外国投资或贷款等在项目总投 资中所占的比例
.项目的台理性 申请人应同时明确项目运营、维护费用的来源― 公用基础设施的收费资金是
项目发起人应清楚地说明拟定项目的合理性,并以该阶段己有的全部信息加以 否足够支付运营、维护开支,还是项 目的运营维护需要依靠政府补贴 ?
佐证 ,例如,符合 市场需求、体现社会需求或者是符合 公共安全的要求。
.项目职贵
市场需求:在该阶段,虽然项目发起人可能无法完整地对项 目作出具体市场需 区县应该确定项 目具体负责单位,并明确该单位负责完成可行性研究、设计、
求预测,但发起人仍应尽量填写已掌握的所有信息。 建设和运营等各个阶段 的工作
社会需求:项 目发起人应简要说明项 目所体现 的社会需求和 目标 。 .项目相关风险
项目发起人应在该单元中说明项目的主要风险以及可能对项目可行性产生影响的
公共安全保障:项 目发起人应说明项 目所符合的任何相关安全保障要求.即项 未 知因 素 。
目的紧迫性是怎样的?例如,目标地区是否即将再次面临洪水灾害,而可能引发公 例如:项 目的选址地点是否可能遭受 自然灾害?项 目是否存在潜在的环境影
共卫生安全危机 ? 响,是否涉及复杂的设计问题 ,是否可能导致社会动乱,以及其他风险因素?
若项 目需求来 自土地开发,那么预期的土地开发是否存在被取消或者被推迟的
项 目的合理性分析可包含上述内容。 风险?
融资计划是否确定?如果预期的资金来源无法获得将如何应对?
_ .项目选址 一
口 亩口 项目发起人应对项目选址进行描述,并附上简单的位置地图。如果存在多个选 .与区县施政目标的关联性 瀚戒瓷整口潜口 址供选择,则应对所有的可选择地点进行标注说明,并充分论证推荐的选址地点的 项目发起人应在该单元说明该项目与区县施政目标之间的关联性。例如,如果 取瓣 日口口口 合理性。 项目涉及污水截流工程的建设,其主要作用可能在于扩大所服务人群和企业数量。 烤玲踏― 该项目的实施将对该目标的实现产生怎样的影响也应在该单元的适当位置予以简要说 ―
土地佼用 :项目发起人应 明确任何妨碍土地佼用 的限制因素 (例如,土地己 明。例如,如果项 目涉 及污水处理的新技术,则该项 目的主要作用将 是 “符合卫
被租用或者该土地 已被其他政府部门占用 )。如果发起人无法立即直接使用该土 生和环 境法规 的要 求 ”.
地,则应简 要说 明征地工作进行的方式 。
72 73
n 己 了棍化生皿 O「V 操作手册U 卜V 课 T卜月尸朋 ~&. ’一‘「J ‘川
项目发起人可以自行对项目的关联性打分。分数应在 O至 卜O之间。如果项 目 电子数据表格将各项标准下的得分乘以其权重值得出该项标准下的评分,然后
对完成特定 目标没有任何作用,评分应为 O。如果项目与特定目标关联密切且作用 再将各项评分相加 ,得 出相应 的 “项 目筛选评分 ”和 “项 目评估评分 “。两者
巨大 ,则评分可为 09 或 10 。 的平均 值就是该项 目的总分 (在数据表的最底行 )。依据该项 目的总分,决定项
目是否进入下一个项 目开发阶段。
2.2初步筛选的标准制定项 目初步筛选表格仅仅是一种简化程序操作的工具,可使用计算器进行相同的
初步筛选的标准制定应反映判定项 目是否有资格进入下一个项目开发阶段的所有 计算 过程 。
因素,例如,项 目前期准备工作是否到位、项 目与总体规划和政府政策是否符合,
对项 目合理性的判定,项目成本、财务分析及主要环境和社会影响等.这些标准
由 DFv 制定并应每年更新。标准的样本在附录 2 中。
根据不同标准 的相对重要程度 ,每个标准都被赋予了一定权重。例如,如果
在一个特定年度内,融资是主要的限制条件,那么与项目融资可行性相关的标准将
被赋予较高权重。如果环境保护是首要因素,那么与环境相关的标准就会被赋予较
高权 重。权重之 和为 10 ,使得整体计算比较 简便 .
标准和权重数值的制定包括以下几步:
.每个参与区县提出标准制定的建议以供 DFV 参考;
.DFv 制定一套复合标准,并与区县进行商讨;
.如有必要 ,DFv 可以对复合标准进行调整,DFv 有权决定标准的采用;
.DFV 将根据对次年不同标准相对重要程度的判断,为每一个标准设定权重:
.DFv 将就最终确定的筛选标准和权重值与区县进行沟通 。
DFv 每年应对项 目筛选标准和权重值进行复核和更新。
2.3项目建议书评分
根据项目各项标准的分值及其权重,DFv 将对项目建议书进行评分,作为初始
项 目审查的一部分。各项标准下的评分可分布在 0 至 to 之 间,并且项目的总得分
不超过 10。DFv 的评分可以与项 目发起人所提供的项 目评分不同。DFv 和发起人
将会就两者评分的差异进行相关商讨。
.... . 在项 目可行性研究报告完成之前,每份建议书的总得分将保持不变。待项 目可 ·减卿照
口韭砚 行性研究报告完成后,将根据补充和更新的信息对项目重新展开评估。 硕滋脚
口口口 附录 3中的项目初步筛选表格佼得项目评分过程更简洁 它包含两份电子数据 翻砚馨― 表格,一份是依据项目筛选标准进行评分 另一份是依据项 目评估标准进行评分 。 · ―
将制定好 的各条标准的权重值填写进表格后,即可对各个项 目依据标准进行评分 。
74 75
OFV操作手册 OFV操作手册
取职系阳录早项目筛选和评估标准
l、筛选标准
.准备工作
项 目需求性及可行性的初步评估所需的准备工作是否已充分完成?
奋与总体规划的一致性
项 目是否符合总体规划的要求? 如果不符合,那么提出该项目建议的明确理由
是什么?
项 目是否属于区县五年计划的一部分 ?如果不属于,那么提出该项 目建议的明
确理 由是什么?
.项目需求性
是否能够提供项目需求性 的证明材料,例如预期污水量等?
如果项目未体现市场需求性.那么该项目是否有助于实现区县或上海市的社会
目标 ?即该项 目的开展将产生何种社会效益?
该项 目建议是否出于重大公共安全考虑?
.土地和动拆迁安置
项 目用地是否可以以一种可接受的成本并及时地被征用 ?
动拆迁安籮规模在费用和政治影响上是否可以被接受?
奋环境影响
可能产生的环境影响,在考虑到减轻措施之后 ,是否可以被接受?
.财务可行性
项 目成本估算是否与年度计划或五年计划中的估计相符?与上海类似项目相比,
该项 目的成本是否合理?项 目的年度运营成本估算是否合理?
项 目财务测算 的可行性如何?如果区县的财政收入有限,该项 目的实施是否会
成为区县 的财政负担?是否考虑采用非政府来源的融资计划,例如接受民间资本、
外国资本或贷款?
. 颇;;糼籮蒸蒸犷一投资和运营成本’ 鬓78 79
DFV Operations Manual
Project Pre-Screening Tool Users Manual
ContentsL Overview
0 1.1 Foreword
0 1.2 Purpose of the Tool
Z The Pre-screeWng tool
0 2.1 Project Proposal Template
0 2.2 Pre-screening Criteria
0 2.3 Rating project proposals
Appendiv I Prq ed Proposal Template
Appendix 2 Criteria
1: Screening Criteria
2: Evaluation Criteria
Project Screening Evaluation Grid
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Project Pre-Screening Tool Users Manual Through this approach, all screening level project proposals contain the same basic catego-
ries of information in a similar form.
1.OVER VIEWThe DFV will pre-define the set of criteria for project-screening. A sample set of criteria is
I.IForewrd provided in this Manual to illustrate the concept. The DFV will set specific criteria and
update them annually. Districts should check with the DFV to establish the up to date
This manual describes the tool, which the Shanghai District Financing Vehicle (DFV) will use criteria before preparing a screening level proposal.
to screen initial requests from Districts for financing.
The grid is a spreadsheet that allows the District to enter weights for each criterion and to rate
1.2 Purpose ofthe Tool each project against the criteria to obtain a total score for each project. The comparative
scores between projects provide a strong basis for the District and the DFV to decide on
The first step in the Districts'capital investment planning process is the generation of initial which projects shall go forward.
project proposals. These proposals, if accepted, must then be developed into full scale
project feasibility studies including comprehensive information on required project size, The spreadsheet format makes it easy to test what happens if the weights are changed-the
location, design, cost, benefits, financing, and schedule. Such feasibility studies take consid- user can simply change the entries in the weighing column.
erable time and resources to complete and should only be conducted on projects that are
viable. The use of each element of the tool is described in detail below.
So, at an early stage in project development, the DFV will screen proposals by using this tool 2.1 Project Proposal Template
to allow the DFV and the Districts to determine project viability and risks before too much
work is done. For example, by using this tool, Districts can produce screening levcl project The template is a Microsoft Word table where each box expands as text is entered. Thus there
proposals with only limited information. Thus, resources are not wasted on proposals that are no constraints to the amount of explanation that can be provided for each item. However,
are clearly non-viable. Only the better proposals are chosen for further development. efforts should be made to keep it concise. A project proposal at this stage should be a general
picture of the project, not a detailed description.
2. THE PRE-SCREENING TOOLThe followings explain the information that should be entered in each box:
The pre-screening tool has three parts:
*Screening Level Information
*A template for preparing screening level project proposals; The following categories are designed to capture basic information about the project. If the
*A set of criteria for evaluating project proposals; information is inadequate, the DFV may return the proposal to the applicant for completion.
*A grid for weighing the criteria and for rating the project proposals. If the information provided indicates that the project is not viable or not realistic, the DFV
may reject the proposal or ask it to be amended.
The Districts will complete the template, with appropriate support from the DFV. The
DFV recognizes that, at this stage, the proponent has only limited information about the *Project Idendfiersproject. However, the screening level proposal must include estimates on key items like size, The project name, number and applicant (name of District and relevant Bureau/Company)
cost and financing, social and environmental impacts, and significant risks. Often this will be ensure that the project is uniquely identified as the DFV processes the application.
qualitative information based on personal judgment rather than rigorous research.
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DFV Operations Manual DFV Operations Manual
oDescription Public Safety and Security
This provides a concise description of the main points of the project - the nature of the Describe any safety and security concerns to be addressed by the project. How urgent
project, the source of the idea, the rationale for proposing it, its size and location, and its is the problem? For example, is the target area subject to recurrent flooding that would
major costs and benefits. Though some of this information is repeated in other boxes, the cause public health risks?
proponent should use this section to "tie all the threads together".A maximum of one page is
suggested. It should contain those points that the proponent would make if he had a few The justification for project can be a combination of the above categories.
minutes to cxplain the project, in person, to the DFV's leadership.
*Site
*Preparatory Work Completed The site should be identified and described, and accompanied by a simple location map. If
In this box, the proponent should indicate that, if any, preparatory work has been completed there are alternative sites, all alternatives should be identified and described along with the
- for example, preliminary design, preliminary costing, preliminary demand analysis, etc.. It support for the recommended location.
is not expected that substantial preparation has been done, but the proponent should have Availability of Land
carried out enough work to estimate costs and impacts, and should establish that there Any constraints to the immediate availability of the land should be identified (for
appears to be a demand for the project. example, the land is leased; the land is being used by anothcr Bureau). If the land is not
immediately available to the proponent's organization, the means of acquiring it should
*Conformity to Master Plan and Five Year Plan be described.
This box should address questions like:
-Is the proposed project in the Master Plan? Resettlement
-Is it in the same location as proposed in the Master Plan? A general statement on the extent of any resettlement problem should be given. If
-Is the timing as same as proposed in the Master Plan? possible, give an approximate numbers of households and enterprises to be relocated.
-Is the project in the District's Five-Year Plan?
*Possible Environmental Impacts
Initiatives that are not included in the Master Plan will be seriously considered. The DFV Though an environmental impact study may not be complete at this stage, provide a descrip-
recognizes that the Master Plan cannot forecast all eventualities and, in some cases, that there tion of what you believe would be the most important environmental impacts (positive and
will be valid reasons for proposing a project that is neither in the Plan nor is required earlier negative) and how negative impacts might be mitigated.
than suggested by the Plan. Applicants should explain differences from the Master Plan.
*Financial
*Justification Though detailed costing may not be complete, applicants should provide estimates of the
The justification for the proposed project should be clearly explained, backed up by what- total investment required, including land, resettlement and capital costs. Indicate the sources
ever supporting information available at this early stage - e.g. meeting a market demand, of these estimates (for example, other similar project items,judgment of experienced engineers),
addressing a social need, or meeting a public security need, and indicate your degrce ofconfidence in the estimates,
Market Demand
Specific demand forecast of the project may not be complete at this stage, but the If possible, also provide estimates of annual operating and maintenance costs.I IaktDmnproponent should enter any available information.
*Proposed Financing
Social Need It is important that expected sources of project financing be identified. What proportions of
Indicate the social objectives to be addressed, total investment will come from the applicant, the DFV, bank loans, private equity or loans,
foreign equity or loans, etc.?
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DFV operations Manual DFV Operations Manual
The applicant should also identify the sources of operating and maintenance expenses - will Each criterion is assigned a weight based on its importance relative to the other criteria. For
user fees cover these expenditures or will they be subsidized by the Government. example, if fmancing is a major constraint in a given year, criteria related to the feasibility of
financing a project would be assigned higher weights. Ifenvironmental protection has the top
eResponsibilities priority, environmental criteria would receive higher weights. It makes it easier mathemati-
The District should specify its agency which is responsible for the project. The District cally if the total of all the weights add to 10.
should also specify the agency's responsibility of successful completion of each phase of the
project cycle - feasibility study, design, construction, operation. The process for defining the criteria and weights includes the following steps:
* Each participating District suggests criteria for the DFV to consider,
*Project RelatedRisks * The DFV develops a composite set of criteria and discusses it with the participating
This section is used to identify major risks or unknowns that could affect the viability of the Districts;
project. * The composite set of criteria will be adjusted if necessary and is adopted by the DFV;
For example:Are there any significant risks to be caused by the nature of the site, potential 6 The DFV assigns weights to each criterion based on itsjudgment of the relative importance
environmental impacts, complicated design issues, possible community disruption, or other of different factors during the coming year;
factors? * The final criteria and weights are communicated to the Districts.
Does the demand for the project come from expected land developments that might not occur The DFV reviews and updates both the criteria and weights annually.
or might be delayed?
How certain is the financing plan? What if expected sources of financing are not available? 2.3 Rating Project Proposals
*Relevance to District Objectives The DFV rates each proposal against the weighed criteria as part of its initial project review.
In this box, the proponent describes how the project addresses its objectives. For example, Ratings can range from 0 to 1.0, giving a maximum total score for any proposal of 10. The
if the project concerns construction of a new sewerage interceptor, its primary contribution DFV ratings can be different from those given by the proponent. Rating differences provide
might be to "maximize the number of people and businesses served". A concise statement of a basis for project related discussions between the DFV and proponents.
its impact on that objective would be inserted in the appropriate box. If it concerns a new
treatment technology at the treatment plant, it probably contributes to the objective of The total score for each proposal stays with that proposal until a feasibility study is
"Meeting health and environment regulations." completed and the project is re-evaluated with additional or updated information.
Then the proponent, from his own perspective, rates the project in terms of its relevance to The pre-screening grid in Appendix 3 is used to facilitate the rating process. There are two
each objective. Ratings should be between 0 and 1.0. Where a project has no impact on Microsoft Excel spreadsheets, one for rating against the screening criteria and one for rating
achieving a particular objective, the rating against that objective is 0. Where the impact against the evaluation criteria. The agreed weights for each criterion are entered, and each
relative to a particular objective is large, the rating might be 0.9 or 1.0. project is rated against each criterion.
2.2 Pre-screening Criteria The spreadsheet calculates scores by multiplying the rating by the weights, and then adds the
scores. The "screening score" and the "evaluation score" are averaged to obtain a TOTAL
The pre-screening criteria reflect factors that qualify or disqualify a project from further SCORE for the project (in the bottom row). It is the TOTAL SCORE for a project that helps
consideration - e.g. sufficient preparation, conformity to master plans and policies, determine whether that project should be considered further.
justification, cost and financing, and major environmental and social impacts. These criteria
are established by the DFV and are updated annually. A sample set of criteria is in Appendix 2. The pre-screening grid is onlya tool to make the process a little easier. The calculations could
equally be done by calculator.
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DFV Operations Manual DFV Operations Manual
Resettlement
PROJECT PROPOSAL TEMPLATEBASIC INFORMATION FOR PROJECT SCREENING
Possible environmental impacts
Project title Project number
District Responsible Division/Company
Description Financial
Total investment, including land, resettlement and capital costs
Annual operating and maintenance costs
Preparatory work completed
Proposed financing
District
DFV
Conformity to Master Plan and Five Year Plan Bank loans
Private equity or loans
Foreign equity or loans
Justification Other
Market demand
Sources of Operating and Maintenance finds
Social need Responsibilities -who is responsible for the various aspects of the project
Feasibility study
Public safety and security Design
Construction
Site (or alternative sites) Availability of land
Operation
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DFV Operations Manual DFV Operations Manual
J3=Append& 2
Project Related Risks CRITERIA
1: Screening Criteria
Relevance to District Objectives
Reliable infrastructure 01reparaton
Rating: Has sufficient preparatory work been completed to carry out an initial assessment of desir-
Maximize number of people and businesses served ability and feasibility?
Rating:
Meet service and performance requirements at minimum sustainable cost Conformity to Master Plan
Rating: Is the project in conformance with the Master Plan? If not, are there any clear reasons for
Sufficient infrastructure proposing it?
Rating:
Meet health and environment regulations Is the project a part of the District Five-Year Plan? If not, are there any clear reasons for
Rating: proposing it?
Satisfied customers
Rating: oDemandlneedforproject
Safe infrastructure Is there any reasonable assurance that demand exists for the project - e.g. expected wastewa-
Rating: t*r volumes, etc.?
If the project is not addressing a market demand, does it address a District or SM social
objective? How will the community benefit?
Are there any significant public safety considerations that help to justify the project?
*Land and resettlementCan the land be made available in time and at an acceptable cost?
Is the amount of resettlement financially and politically acceptable?
*Environmental impactAre possible environmental impacts acceptable, given the mitigation measures suggested?
oFinancial viability
Are estimated costs in line with estimates in the Annual or Five-Year Plans? Are the costs
reasonable when compared with experience in similar projects in Shanghai? Are estimated
annual operating costs reasonable?
Is the financing plan achievable? Does it place a financial burden on the District, which is
insupportable given the District's resources? Have non-governmental sources of financing
been considered - e.g., private equity, foreign equity or loans?
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DFV Operations Manual DFV Operations Manual
C= ppendix3.
Has any potential revenue of the project been considered? Does it appear that revenues could
cover investment and operating costs? o
*Responsibilities
Have responsibilities for each stage of project development been clearly and accurately a
identified?
o o ooo o . . . . . . o*Risks and contingencies
Are there any design issues that could dramatically alter the cost of the project or render it
infeasible?
What if the expected financing is not available?
Is the level of demand that justifies the project likely to change?
2: Evaluation Criteria
*Relevance to District Objectives
Does the project address District objectives? What are those objectives? In which way and
to which extent?
0 o c . a n a . c o
a aS
0 auE ta UUUz o .oO
Eo 'o Z; 7- Ea Mmc..0 .a o Iw acc1 Q
94 95
DFVIAfVT-ffi DFV Operations Manual
Sample Table of Contents for Project Appraisal Report
3. 11 W r P 14:lft-V tJ Ij
P 1 5J, I',] & A - 1. Introduction 1. ProponentP 16:46M*A&Mf *01FI&
2. Projcet Dvciview
2ANIJ 3. Advisors
4. Project States
2. Project 1. Loestion and Basic Context Map. location in Shanghai
4.4 JA W 11 1.91 Deseription Map location in Diana
2.iEfT Map- Site Plan
3. ) W 2. Pro)ect Purpose
5. VL t4 * W 111 jg 1. 131M C *1 A Market Dernand Tsblel: District population and infira dc=nd
2. V;i #L Y1 W projections
3. it WO A )i Table2. Service arca population and infirs de,
6. 1. 1 H &Z, -0 it orand projections
2A H PJffTit .2 Existing Supply Map: existing wmccs
3.-'j DFV H 6M-Rit Tabl.3: -isung services
.3 Gaps between Dentand and Supply Tablc4: derriand and supply gaps4.1i P, 3 Re
.4 Project Objectives Map: Service Area
.5 D.-d Served Tablc5- Proportion ofDisaria Dernard Smcd
by Project_Tablai: Proportion ofSavice Area's Dentand
Scivod by Project
.6 I.,-'s lIcl.li.nship -11thift-ructure, Service Dclivery
3. Technical Design Plans
Process Schematics
4 Options Considered M.Ps/schernstics
TWO: Surnanary ofCapitil Costs5. Financial Assessorent
Table 8: Annual Operating Costs
Tablc9 Expend- Profile of Baer, Costs
Tablcl0- SurrunaryofForeigri Exchange CivitsTable [ 1: Proposed Project Financing
6. Procurement Plan Tb[cl2: Projectlinpicinentation Schedule
Table 13 P,---nt Schedule
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DFV Operations Manual DFV IITfM
IEl3. Social Impacts 1 Affordability Tablel4: TariffSchedule
Table 15: Per Capita Incomes
Tablel6; Tariffs as Per Cent ofAnnual
Household Incomes M2. Resettlement 2 ;
3. Impacts on Residents * 2.I.f)F1t*f*4. Impacts oEntem.pnses N8
4. Environmental I. Construcion
Impacts 2. Operation
3. De-commissionmng *2.2.F71IIIt bFJ
5. Institutional 1. Existing Institutional Arrangements *
Issues 2. Proposed Insttutional Arrangements 0
3. Planning and Managmem Capacities
6. Conclusions 1. Project Desirability
2. Project Feasibility 3.2. 3 fli * T fV3. Consistency with DFV's Objectives ) I , t W J4.ipliations for DFV Partfotio 2
5. Recemmunedations ____________ 32 qflNjFwi.* VIf
3.2.3.1 W W
3.2.3.. Jf "1 A 13.2.3.3.
3.2.3.4. & f3.2.3.5. if gl&M i±
* .3.7.I A T11 fAR tAW
3.2.38 ATPIRAW
3.2.3.1. iblFJAXItit)t
3.2.3.2.WATlUitt
3.2.3.31. kflf]Wi
3.3. 4.7)CREJ W
A32 4 MMW
3.2..6.4 W1*WEWR
100 101
O「V 操作手册 OFV操作手册
脚泌种简称、簩写词和单位 环评政策框架CSEMP 施工现场环境管理计划
E认 环境影响评价 1.前言EMP 环境管理计划
EMS 环境监测站 作为世行贷款上海 APL 二期环境治理项 目的组成部分之一,上海市政府建立了
EPB 环保局(国家环保总局) 一种集约化机制,通过它将部分世行贷款分配给各区县政府及其项 目公司,从而为
ESD 项目管理办公室一环境和社会保障处 区县环境治理基础 设施的建设提供长期 资金。这一机制称 为 “上海区 (县)环境
EsFI 环境和社会保障现场督检员 治理项目融资平台”,简称 DFv 。以上海市城市建设投资开发总公司专 门成立的一
GEF 全球环境基金 个法人实体为实施主体,为上海区县环境治理项目提供融资,该法人实体的名称为
Gls 地理信息系统 上海城投环保产业投资管理有限公司 (以下简称城投环保,英文简称为 CEAM )。
150 14001 环境管理体系质量标准 DFV机制的诞生源于上海市中心城区和周边区县所共同面临的城市急剧扩张的压力。
MNR 市级自然保护区
NcP 损害控制计划 DFv的核心功能是为上海区县政府及其项 目公司提供资金以支持其环境治理基础
NGo 非政府组织 设施建设 DFv 提供三种形式的资金: l)来 自世界银行的 APL 贷款:2) 其他
NNR 国家自然保护区 期限为 10至 20年的镼期低成本资金;3)赠款性质的资金。来源 l)的资金必须遵
PAP 受项目影响的个人 循世界银行规定的要求和程序进行管理。DFv 在区县最终用户、上海市政府及世界
Plu 项 目实施单位 银行之间担当了一个中介角色 DFV将确保其融资项目的运作满足上海市政府和世
PMO 项目管理办公室 界银行的要求,从而 DFV 将承担一定管理、上报的职能 而这些职能在没有 DFV
PPE 人身保护设施 这一中介平台时,是由区县借款人直接承担的
PRC 中华人民共和国
RAP 移民安籮行动计划 2.政策、法律和行政框架SA 社会分析
NDRC 国家发展和改革委员会 . 21 环填影响评价
口目� SEPA 国家环保总局 为 ‘环填影响评价所依据的法律法规 礴魂瓤口形阴 SNE 管籑扩建工程 20世纪80年代以来,环境影响评价依据中国环境保护法(l979年试行)的规 熟么才口皿日 SRs 标准现场检验审核表 定而逐渐推行· 部分国家法律法规为环境影响评价提供了法律依据: 黑群口口 ss 悬浮固体 ”中华人民共和国环境保护法(l989年) 滋 铃
TA 技术援助 .中华人民共和国环境影响评价法 (2002 年 )
WB 世界银行 .建设项 目环境保护管理条例 (1 998 年 ,国务院颁发)
wWTP 污水处理厂 .关于建设项 目环境影响评价资格证书的规定 (1 989 年 ,国家环保总局颁发)
.大中型建设项 目分类标准
.环境影响评价技术导则 (HJ/T 21 一23 一93)
货 币 。环境影响评价技术导则一 声环境(HJfr24一1 997)RMB 中国 (人民币)元 .环境影响评价技术导则― 非污染生态影响(HJ汀 19一1997)
USD 美元
汇率: lusD=SRMB 有关环境影响评价的技术法规包括环境质量标准 、基本卫生标准、公共安全
― 标准 、有毒和放射性物质控制标准和污染物排放标准。
除了污染物排放标准之外,地方政府不允许采用其 自行规定的标准 。
102 103
O「V操作手册 O「V操作手册
户沉 环晚影响评价的程序 评报告拥有认可或拒绝的最终权力。这也同样适用于可能导致不利环境影响的其他
中国环保法规要求项目开发商必须向环保局和其他相关部门提交环境影响评价报 活动,这些活动包括:(a)直接和明显与该世行 资助项目相关的活动;(b)在项 目文件
告 每份环评报告都必须详细说明其采取的相应措施,以确保项 目在设计、建设 中阐明了为实现该项目目标而必需进行的活动;(c)与项 目同时实施或计划同时实施的
和运营阶段都满足环境标准的要求。 活 动 。
环评报告必须由持有评估资质证书的专业人员/机构编写,该评估资质证书由国 . 22 “三 同时 ”原则
家环保行政部 门或相关省级或直辖市部门颁发。 建设项 目在可行性研究报告中作出详细说明,经环评报告合理论证的必要环境
保护设施必须与主体工程同时设计、同时施工和同时投产使用 。这就是 “三同时”
依照法律规定,无论项目规模的大小,省或直辖市的环保机关有权审查和批准 原则,也是除了环评制度之外环境管理体系内的另一个基本制度.环评的有效性主所有项目的环评报告。在具体实施中,大型项目的环评报告一般由地方和国家环保 要依赖于 “三同时”制度的实行。环评报告在得到环保机关的批准之后,项目单总局协同审批,同时国家环保总局行佼主要审批权 。小型地方项 目通常由地方环保 位/业主应确保 “三 同时 ”原则的实行。在全部项目实施的同时,项目单位 /业主
机关负责审查和批准 。 应委托相关单位进行环保设施的设计和施工,以及向环保机关定期提交进度报告,
环保机关将对此进行监督检查并提 出必要的反馈 意见.
对于由世界银行或亚洲发展银行等国际组织投资的项目,环评的要求有细微 的
差别,即项 目同时必须遵循这些国际组织的要求和程序。不过.其差别非常有限, 项 目建设完成并准备开始投入运行时,项 目单位/业主必须向批准环评报告的环
并且两者的大部分 内容都是相同的。差别主要涉及到一些具体的问题,如:项 目 保机关提交试运转申请。环保机关将对环评报告中的环保措施落实情况进行检查和
比对方案的分析和有关 目标粤体和受益人的公开听证。 确认,同时确认相关环保设施是否合格 ,是否能够正常运转并发挥其技术性能。
2 飞环婉影响评价的阶段 .23 环境标准
项目可行性研究的核心就是环境影响评价。通过对项目建议书的详细审查,环 包括环境质量标准和污染物排放标准在内的一般环境标准如下:
堡部妙确定各项目环评报告的具体格式·而环保局通过筛分项目来决定项目的类 ·地表水环境质量标准。”3838一2002)别 归属 。 一- 一 -一、
项目分类主要有以下 3 种: .环境空气质量标准(G B 3095一1996)
口曰曰 .对环境有重大影响的项目,对此类项目要求有详尽的环评报告; .地下水质量标准(GB厅 14848一1993) 属瓣 瑟
口哪沮 .对环境影响有限且较易减轻影响的项目,对此类项目仅要求有简单的环评报 _上,二她,二、.一。,, ,。。,、 轰婆黯~ · ,/ ~ 加,· 门,-认叨 · 二,,曰一 ,川-/一 \二小 川叼干阴-盯 ·琳 .土壤环境质量标准(GB 15618一95)~
- · 对环境影一 咖 有的项目,对此类项目要求填写一张环评表翻 可。 · 城枢 域环境噪声标娜 3096一1995) 麒- .城市区域环境振动 标准(G B 10070一8) 一
项目单位/业主应委托环评专业人员/机构起草环评大纲,向环保机关 (环保 .污水综合排放标准(G B 8978一1996)
黑糼碧糯粔撇纂嚣黔霖篡掇毖糼髯黑 ·上海市污水综合排放标准二31/199一97)境质量标准和污染物排放标准。 .饮用水质量标准(G J 302。一1993)
.农作物保护标准(oB 9173名s)
环评报告完成之后将首先送交对项 目具有管辖权的行业主管部门审查,然后送 .大气污染物综合排放标准(G B 16297一1996)
交环保机关 (环保局 、国家环保总局 )审批。.建筑施工场界噪声限值(G B 12523一90)
如果预计项目会产生重大环境影响或者涉及复杂的环境 问题,可以要求环评专 .农用污泥中污染物控制标相 GB 4284一1984)
业人员/机构在由环保机关组织的专家评审过程中作出说明。环保机关对该项目的环 .其他特殊行业适用的环境保护标准
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.24 .世界银行环境安全保障措施 . 32 环境影响评价的准备工作
世行要求拟融资项 目的环境评价能够确保该项目是合乎环境要求的,是可持续 DFv 子项目的投融资意向明确后,需要对其展开详细的环境评价,确认并量化
的,从而有 助于世行作 出决策判断. 项目的潜在环境影响,分析项目比选方案,制定潜在不利环境影响的减除措施。各
对于有国际金融机构参与 的任何项 目,项 目单位除了满足国家规定的要求之 子项目环评编制步骤如下;
外,还必须满足该金融组织规定 的要求。 .选择编制环评报告的咨询顾 问
.簖写环评大纲
世界银行环境社会政策规定如下: .编写环评报告
.业务政策 401 ,环境评价. 1999 年 1 月 .编写环境管理计划
·业务政策40确然环境,200,年‘” 查.翼喜婴段黔蒸擎翼纂篡髦裴咒矍黔叹翼絮.业务政策 409 ,有害生物管理, 1998 年 12 月 案
.业务政策 411 ,文化财产, 1999 年 8 月
.业务政策 412 ,非自愿移民,2001 年 抢 月 3 引 选择环评咨询顾问CEA州的安全保障小组将通过下列方式协助子项目单位选择编制环评报告的咨询
.业务导则 420 ,原住民,1991 年 9 月 顾 问 :
.业务政策 436 .森林, 1993 年 9 月 .推荐并审查环评顾问
.业务政策 437 ,水坝安全,2001 年 10 月 .审查环评顾问的工作内容
.业务政策 750 ,国际水道工程项目,2001 年 6 月 冲 :编写环评大纲
.业务政策 7石。,有争议地区的建设项目,2001 年 6 月 环境评价应考虑到世行的十项安全保障政策 (见附件 2)。因各个项目的具体
内容不同,需与这些政策 的具体要求一一对照,并且如有必要,需要针对某些政
策簖写完整 的评估报告 。DFV 投融资项 目所适用的安全保障政策如下所示:
3.环境影响评价的框架 .完全适用:口口口口 ·业务政策/基本政策/总政策 401 ,环境评价 J 皿豁龟口系糔 .31 环境影响评价的原则 一业务导则430,非自愿移民 豁J 姗口日刃 依照世界银行的政策,备选开发项目应该是合乎环境要求的和可持续的,应在 。对照审核,如相关,则予以采用: 眼谓缓口恤日 项目周期的早期就明确该项目可能涉及的环境问题,同时环境改善措施也应在项目 首先对照下列政策的具体要求一 审核,如果对照结果超过了审核限定标准, 嗯襄组― 设计阶段予 以考虑 ,以遼免 、减轻或补偼不利影响 则需开展完整的评估工作。如果审核结果未超过开展评估工作的限定标准,该项政 ―
策将无 需在环评中体现:首先应对项 目类型进行判别,然后判断其对项 目所在地可能产生的影响。项 一业务政策/总政策 436 ,林业
目发起人或项 目立项单位,与项目实施单位的技术人员共同配合,进行评估时要考 一业务政策/基本政策 404 ,自然栖息地
虑到项 目所涉及的环境问题的影响范围和敏感程度。项目甄选过程同时也决定了项 一业务政策 l 卜03 (即将改编为 4.1 万),文化财产
目环境影响分析的类型,影响较小的项 目无需展开进一步的环评工作,而影响较大 一业务政策 409 ,有害生物管理
的项目需要簖制详尽的环评报告。项目审查者可以在项目甄选过程中提出环境影响 . 不适用 :
减除措施并要求在项 目设计阶段予以考虑,包括在项 目投资中一揽子考虑相应的环 DFV 投融资项 目不涉及以下安全保障政策的相关问题,因此下列政策不适用于
境影响减除措施费用。 DFV 子项 目的环境评价 。
一业务政策 /基本政策 437 ,水坝安全
一业务导则 420 ,原住民
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一业务政策/基本政策八急政策 760 ,有争议地区的工程项目 境监测方案予以补充。在项目所在地及周边地区进行详细的调查对了解该地环境条
一业务政策/基本政策/总政策 750 ,国际水路项 目 件 非常重要 。
飞2 ,簖制详尽的环境影响评价 3.234 水质影响评价 --一-一-一一-一-一-一-一-一-一-一-一-一-一-一--一-一-一-一-一-一-一-一-一
在项目筹备阶段 ,DFV 安全保障小组将为项 目实施单位提供协助。重点负责 根据接受水体的特性.使用一维和 /或二维模型工具来分析排污对上海地区地表
审查项 目单位提交的环评报告初稿和最终稿。 水 的影 响 。
一维水质模型通常用于江河流域水位线附近,混合区域以外的影响分析。受上
本环评政策框架附录 4 列明了常规环评报告所要求的基本内容大纲,下文提供 海地区潮汐的影响.该模型通常由一个祸合动态水力水质模型组成.
了具体 说明 。 通常二维 (也可能是三维 )水质模型用于调查在排放 口混合区域 内的影响或者
在河口/海湾 /湖内的影响。
3231 战略性环境研究一-一-一-一-一-一-一一-一一-一-一一-一-------一-一-一-一----一----一 水质模型主要是用于项 目环境影响评价,同时应该根据现有的条件进行调整、
除了在环评中所涉及的环境问题和影响范围以外,在作方案 比选时还应包括一 校 准 。
些更综合和具有战略性意义的环境考虑。 水质影 响评价必须与接受水体的条件和敏感性密切相关,包括河岸土地的属
从环境的角度来看,环保设施的最佳选址应 以下列为据: 性、未来河岸开发计划、接受水体的功能和水质等级要求、饮用水取水 口的位置
.居民区:应尽可能远离居民区,遼免扰民以及与设施周边居 民发生争执 。 和鱼类栖息地情况、感官影响和环境景观等
.选址应考虑与主干道相连或相近,同时应避免穿越相对稠密的居民区和商业
区。因为与项 目建设、运营有关的运 输车辆将有可能加剧这些地区的交通问题 . 3235 噪声影响评价--一-一---一-一-一一-一一-一一-一-一-一一---一-一-一一-一-一-一-一-一
.项目用地要适宜,要为工程扩建考虑预留用地,并适当考虑设施周边绿化用 噪声影响将通过模型来预测 .这些模型要求已经被证实符合项 目所在地的实际
地 。 条件。噪声预测模型得出的结果将与适用的标准进行对比从而确定项 目建设和运营
.如项 目涉及污水排放,排放口应尽量设籮在下游位籮以便处理出水获得更好 期间的潜在噪声影响,并着重关注对敏感受体的影响。模型预测结果同时也为环境
的稀释效果,同时也便于在排放水体发生倒灌时尽可能减轻对敏感水体的影 响。 影响减除措施的制定提供参考.
3232 项 目分析一-一--一-一-一-一一--一-一-一一一--一 一--一-一一-一-一--一-一-一-一-一一 3.23.6 .空气质量影响评价 --一----一-一-一----一-一-一-一----一-一-一-一-一一-一-一-一-一-一
日口口口 项目分析的 目的是通过对拟投资项 目的分析和理解,确定项目的污染源 、数 项目建设和运营阶段所有可能造成空气污染的设施都要作为潜在空气污染源予以 ‘鬓舞落
口口蛆 量、排放负荷和排放路线.同时,通过项目分析也可以确定对项目周边的生态系 确认。空气污染的环境影响应通过离散模型进行预测,以确定其对项目周围环境的 肠石鬓黔日麟困 统和社会经济环境可能造成潜在不利影响的主要因素,有助于判别各种影响减除措 潜在不利影响,尤其是对诸如学校和居民区等敏感受体,以及区域性的不利影响。 渤激 妻口即 施的可行性,从而为环境影响评估和影响减缓计划提供依据· 瀚黝
项目分析的方法包括收集和审核可用信息和 已有信息,特别是项目建议书、可 3237 生物系统和 自然风景影响评价 --一-一-一-一-一一-一-一一-一-一-一一-一-一-一-一一
行性报告及其他项 目研究文件,针对污染 的类型和强度与其他类似项目进行 比照, 生物系统和自然风景影响评价的范围包括拟定工程所在地方圆 200米范围内的全
并且进行必要的现场调查。 部植物和 主要 自然景观 。对林木和植被区域的影响包括潜在的危害,以及由清除/
占有带来的影响。 自然景观影响评估将主要通过目视观察来进行。
3233 .环境条件一-一-- -一-一-一-一--一-一-一-一一_____________________________
环境评价的后期阶段,了解项 目区域和项目所在地的环境条件,对分析选址比 3.23.8 .施工阶段影响评价 --一----一一-一-一-一-一-一-一-一-一一-一-一-一-一-一-一一-一一
选方案和评估潜在环境影响非常重要。环境条件包括 目前的空气质量、水质和水文 施工阶段影响评价将基于对 DFv 子项目建设活动 的了解而进行。很多项 目都是
情况、土壤和地质 、动植物粤、声学条件、敏感受体.比如饮用水源、居民区、 在施工阶段导致不利的环境影响,因此施工阶段成为环境影响评价的重点。项目施
自然栖息地 、文化财产等。在项 目区域内进行全面的敏感受体调查非常重要,因 工对环境造成的潜在影响包括但不限于以下内容:
为这是环境影响评估和影响减除计划的重点。 .由挖掘、拆除、原材料加工和额外的交通运输所导致的空气质量 (主要是
环境条件有关数据主要通过收集历史记录获得,并通过为该项 目专 门设置的环 扬 尘 )影 响 ;
108 109
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.施工机械和车辆带来的噪声影响,尤其在敏感受体附近,以及在夜晚和其他 告,内容包括项 目环境管理计划的工作进展,子项目业主提交的监测报告,和现
敏感时 间段 ; 场检查情况。对每一个子项 目.DFV 将聘请独立第三方负责环境管理计划实施的外
.建筑工地临设区域排放的污水和施工机械或车辆的冲洗污水所导致的水质污染 部监测和评估,外部监测报告将每 6 个月编制和提交一次。
问题:在水体中或水体附近进行 的施工建设还可能引起水体的悬浮物 、油类和油脂
增高以及其他不利 的水文影响; DFv 安全保障小组应定期进行项目监测和评估,并进行实地检查评估工程进
.对交通的影响,尤其是在市中心的人口稠密区。很多的施工活动需要临时占 度、及时发现项 目存在 的问题,并要求项 目公司采取相应措施予 以解决 (如有)。
用城市道路 ,佼其被迫处于全封 闭或半封闭状态 ;
. 建筑 材料的运输和处籮.比如砂、碎砾、土等,受损 原材料的处理、施
工临时设施 、交通阻断 、施工场地 的安全 、危险材料的处 置等。 .33 公开征询意见
洲 l 公开征询意见的主要方式
3239 环境影响减簓计划一一一-一-一----一一-一-一-一一-一-一一-一-一-一-一-一一______
减簓计划的制订将以环境影响评价的结果为依据。其整体 目标是遼免、降低或 公开的意见征询应至少举行两轮:第一轮在编写环评工作大纲阶段举行 ,告知
减少不利影响至可接受的水平。可接受的环境影响的一般标准应 当符合相应的国家 公众项 目信息,并征询 公众所关心的相关事宜。第二轮在起草环评报告初稿阶段举
和地方排放标准和 /或外部环境质量标准。减簓措施将根据项 目的三个不同阶段予以 行.告知公众环境评价的初步结果,包括对第一轮征询中公众提出的意见进行的评
制 定 : 估.同时在第二轮征询 中,还应告知公众拟定的项目环境影响减除措施,尤其侧
.设计阶段:要考虑在施工图设计中必须包含的减除措施,比如噪声减除、污 重于针对公众提出的环境 问题的减除措施,并要确认受影响、以及较为关心的相关
水处理、废气处理和固体废弃物填埋等减除措施的设计改进; 民众是否对拟定的减除措施表示满意 .
.施工阶段:要考虑在施工阶段实施的减除措施,例如承包商在施工现场予以
实施的减簓措施等;以及 举行公开意见征询的主要方法包括:.运营阶段:要考虑运营阶段实施的减除措施,即运营公司实施的减除措施 。 .召开会议/听证会 ;
减除措施要涵盖空气、噪声、水、生物系统和社会经济系统等多个方面,并 .选取部分民众或机构进行采访;
应确保减除措施足够详细和具体 以便进行实施和监督。 . 民意测验 。
口口口口 3231 。‘环境管理计划一-一-一-一-一-一-一-一-一-一-一-一一一一一-一-一-一-一-一-一-一-一-一 公开意见征询主要针对受项 目建设和运行直接影响的团体或个人,尤其是学 声点封口口口口口 -一~一“ ~曰一r‘刊哪 一/&~z“一 带一一 r ~ 、~~一 一 ‘一⋯ ~~ 一 、 ~ -一’ f 州谈二
日哪口 基于环境影响评价的结果和影响减除计划,DFv投融资的子项目需制订涵盖施 校、城镇居民区、农村、商铺、机构/办公大厦,以及在项目影响区域内的工厂 袄、牛福口芭困 工和运行两个阶段的环境管理计划。环境管理计划包括但不限于以下重要部分: 等 。 〕 户介口口目 .DFv项目开发过程中的环境管理组织机构及具体工作职责; 奋冬洲
.主要环境影响的减除措施 ; 为了让受影响的公众了解情况,应发布意见征询公告,以确保相关公众和有意
.针对施工和运营阶段的环境监测计划,重点是对项目周边 的环境受体进行监 对项 目的环境问题表达观点的公众有机会表达他们 的想法。此外,当环评大纲、环
测 ; 评报告初稿和最终稿完成后,应该将这些文件公布,并展示在公共图书馆、村委
.环境保护方面 的培训;和 会等公共场所,接受评议 。公开征询意见和信息披露是一个持续的过程,环评小
.环境管理的成本估算。 组将负责在整个环评期间落实上述工作,同时应建议项 目执行单位在项 目施工和运
行阶段持续推进公开意见征询工作。
除了在环境影响评价报告中要包含环境管理计划这一章节外,应单独制定一份
环境管理计划 (EMP )作为 DFv 子项目环评文件 的一个组成部分。 表 1为 DFv 在项 目各个阶段推进公开意见征询和信息披露工作的备忘录。
3.23.11 监测和评估 一-一-一-一-一一_一______________________________________
环境管理计划开始实施后,DFv 应每 6 个月编制并提 交子项 目的内部监测报
1 10 111
DFV 49, it -Tffi DFV Operations Manual
Environmental Impact Analysis Policy FrameworkA E; 4 A A 4 % 4.3 0 R 4
fqgj.N;aiAA *RV4.01 Contents
9WtfflM%W& 1. INTRODUCTION
k*RJV 4.0 WT 2. POLICY LEGAL ANDADMINISTRATIVE FR"EWORK
2. 1. ENVIRONMENTAL IMPACT ASSESSMENT
2*RX4.01 WT 1 1, EIA supporting laws & regulationsI EIA Procedures
The EIA Stage
zviviF If Za e 2.2. "THREE SYNCHRONIZATION" PRINCIPLE9 e 2.3. ENVIRONMENTAL STANDARDS
tM=1t1Aff e 2.4. WORLD BANK ENVIRONMENTAL SAFEGUARDS
R± at* H f9 -V*6jV 4.01 tkF 3. EL4 FR"E WORK,;ft111,iT+BfA e 3.1. PRINCIPLE OF ENVIRONMENTAL ASSESSMENTS
W it 9 1 M e 3.2. PREPARATION OF EIA
Selection of Consultants
lkff H M ItA tiffir* Establishment of TORs of EIA
M; f )z fm V FP 4 k*kJM4.01,** I Preparation of Full EIA
RM 17.50 3.2.3. 1. Strategic Environmental Considerations
3.2.3.2. Project Analysis
FF f 49aVIIA 3.2.3.3. Environmental Baseline
3.2.3.4. Water Quality Impact Assessment
3.2.3.5. Noise Impact Assessment
3.2.3.6. Air Quality Impact Assessment
3.2.3.7. Biological Systems and Scenery Impact Assessment
3.2.3.8. Construction Phase Impact Assessment
3.2.3.9. Mitigation Planning
3.2.3.10. Environmental Management Planning
3.2.3.11. Monitoring and Evaluation
3.3. PUBLIC CONSULTATION
-1 Major Methods ofPubhc Consultation
4 . 4? A ZZ' FP i4 M Y 0 31 V-- - Grievance Redress Mechanism
W R 2 9 W IR 4:1 V: Q F$ lk;k -EI k 3& Appendix I Enviyvnowntal Standards in PRC
WA3 DIVYARZFiXV: %P*RXiEffl)IN* Appendix 2 Sunionary Table Concerning World Bank Safeguard PoUcies
WA4 WTN M RP V;kffl Appen&0 Scoping Tabk Concerning Warid Bank Safeguard PoUcks
Appendix 4Remmmended 7kbkqfCon1enbjbrEL4 Reports
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Abbreviations and Units Environmental Impact Analysis Policy Framework
CSEMP Construction Site Environmental Management Plan
EIA Environmental Impact AssessmentEMP EvrnetlMngmn n oioigPaEMS Environmental Mngmn n Monitoring Stati n As a laon of the Shanghai Urban Environment Program (SHUEP) Adaptable Program LoanEPS Environmental Protcting Sutauof PA Stage 2 (APL2), the Shanghai Municipal Government (SMG) proposed to establish a cen-EPB PEnvironmental atcin Socia(o DvSion) tralized mechanism trough which a portion of the proceeds of the World Bank loan can beESDPM EniomnaanSoilDvsnESFI Environmental and Social Field Inspector distributed to District Govemnments and their affiliated companies for long-term financing of
GEF Global Environment Facility environmental infrastructure. Thin mechanism is called the "District Financing Vehicle", or
G1s Geogmaphir Information System DFV. It is managed through a special purpose subsidiary corporation that has been formed
150 14001 Quality Standard for Environmental Management System by Shanghai Chengtou Corporation-. This company is named "Shanghai Chengtou Environ-
MNR Municipal Nature Reserve ment Asset Management Co., Ltd."(CEAM). The CEAM is the legal entity that provides
NCP Nuisance Control Plan financing to Districts. The rationale for the DFV is lodged in the enormous urban growth
NGO Non-Government Organization pressures that Shanghai is facing in its inner and outer suburban areas.
NNR National Nature Reserve
PAP Project Affected Person The core function of DFV is to provide funds for the financing of environmental infrastruc-
PIU Project Imaplementation Unit tore by District Governments and their project companiss. DFV provides three types of
PMO Project Management Office funds: 1) proceeds from APL loans from the World Bank, 2) other long-term and low cost
PPE Personal Protective Equipment investments with a tenor of 10-20 years; and 3) grunt-based capital investments. Financing
PRC People's Republic of China instrument 1) is managed on the basis of practices and procedures that conform to requirc-
RAP Resettlement Action Plan ments of the World Bank. DFV acts as intermediary between final users in Districts and the
SA Social Analysts Shanghai Municipal Govemnment (SMG) and the World Bank. DFV ensures that all projects
NDRC National Development and Reform Commission in which it invests meet the requirements of the SMG and the World Bank, thereby assuming
SEPA State Environmental Protection Administration the management tasks and reporting obligations that would otherwise be incurred by District
SNE Sewer Network Extension borrowers in the absence of DFV's intermediary function.
SRS Standard Site Inspection Review Sheet 2.Policy, Legal and Administrative Framework
TA Technical AssistanceWB Wrld ank 2.L Environmental Impact Assessment
WWTP Wastewater Treatment Plan "I ! IA Supporting Laws & Regulations
Since I1980s, the EIA process in China has been exercised under the Environmental Protection
Law (for trial 1979). Severul national laws and regulations provide a legal background for
Currencies EtA:
RMB Chinese Yuan(Reninbi) *Environmental Protection Law (1989)
USD United States Dollar 0 Environmental Impact Assessment Law (2002)
Conversion ruts 1 USD = 8RMB *Environmental Administration Regulations for Construction Projects (1998, by the
State Council)
e Regulations on the Certificate for the EIA of Construction Projects (1989 NEPA)
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*Regulations on Criteria for the Classification of Construction Project on a Large and I 3 The EtA Stage
Medium Scale The core of the project's feasibility study is the ElA. In the scrutiny of the project proposal,
*Technical Guidelines for Environmental Impact Assessment (HJT 2.1-2.3-93) the environmental agency will decide on the proper format of the ElA report. The EPB
*Technical Guidelines for Environmental Impact Assessment - Acoustic Environ- screens the project in order to decide which category the project belongs to.
ment (HJT 2.4-1997)
*Technical Guidelines for Environmental Impact Assessment - Non-pollution Eco- The 3 categories are:
logical Impact (HJT 19-1997) *Category 1: Project with significant impacts, for which a full ElA is required;
*Category 2: Project with limited impact that can be easily mitigated, for which only a
Technical regulations for EIA consist of environmental quality standards, basic health simplified EtA is required;
standards, public safety standards, standards for controlling toxic and radioactive substances, *Category 3: Project with little or no impact for which only an ElA table to be filled is
and pollutant emission standards. required.
Except for the pollutants emission standards, local govemments are not allowed to adopt The project proponent/owner will then commission an ElA specialist/institution to prepare
their own standards. the Terms of Reference (TOR) for the EIA report (huanping dagang) to be approved by the
Environment Agency (EPB, SEPA). Once they are approved, the project proponent will
2i-2 EIA Procedures fasalize a contract with the EtA specialist/institution who will then prepare the ElA study
Environmental regulations in China require developers to submit ElA reports to the Environ- and reports. The EtA report has to be drafted with reference to local environmental quality
mental Protection Bureau (EPB) and other concerned departments. Each ElA report must standards and pollutants emission standards.
specify measures to ensure that environmental standards are met in the design, construction,
and operation phases. Once finished, the EtA report is first examined by the commercial and industrial authorities
that have jurisdiction over the project, followed by the Environmental Agency (EPBs, SEPA).
ElA reports must be prepared by specialists/institutions that hold a Certificate for Assess-
ment issued by either the State Environmental Protection Administration (SEPA) or a related If the project is believed to have significant environmental impacts or to involve complicated
provincial or municipal authority. environmental issues, it can be requested that the ElA specialist/institution testifies before a
panel of experts organized by the environmental agency. The environmental agency has the
Legally, the environmental agencies at provincial or municipal levels have the authority to final authority to accept or reject the ElA report. It also applies to other activities resulting
review and approve all ElAreports regardless ofthe project's scale. In practice, EIAreports in adverse environmental impacts, which are, (a) directly and significantly related to the
for large projects are normally handled in conjunction with the SEPA which plays a leading Bank-assisted project, (b) necessary to achieve its objectives as set forth in the project
role. Small and local projects are generally reviewed and approved by local environmental documents; and (c) carried out, or planned to be carried out, contemporaneously with the
agencies (EPBs). project.
For projects funded by international institutions such as the World Bank or the Asian *2.2. "Three Synchronization "Principle
Development Bank, the EIA requirements are slightly different, with the obligation to also Facilities for the environmental protection specified in the feasibility study report and
fulfill the requirements of the concerned institution. However, differences between both justified in the ElA report as prescribed measures should be designed, constructed and put
requirements are limited, most of the requirements from both side being the same. Differ- into operation at the same time as the principal elements of the project would be done. It is
ences mainly concern some specific points, such as the analysis of project altemative and the "three synchronization" principle, another fundamental system for the environmental
systematic public hearing of the target population and beneficiaries, management besides the ElA. To make the ElA effectually relies on the implementation of
this principle. Once the ElA report has been approved by the environmental agency, the
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project proponent/owner will take the responsibility to ensure the implementation of the Environmental and social policies of the World Bank are as follows:
"three synchronization" principle. The project proponent/owner should commission rel- *Operational Policy4.01, Environmental Assessment, January 1999
evant units to carry out the design and construction of the facilities at the same time as the *Operational Policy4.04, Natural Habitats, June 2001
whole project do, and submit a progress report on a regular basis to the environmental *Operational policy 4.09, Pest management, December 1998
agency, who will make inspection and give necessary comments. *Operational Policy 4.11, Cultural Property, August 1999
*Operational Policy 4.12, Involuntary Resettlement, December 2001
When the construction of a project is completed and ready to start its operation, the project *Operational Directive 4.20, Indigenous Peoples, September 1991
proponent/owner must submit an application for a commissioning to the environmental *Operational Policy 4.36, Forests, September 1993
agency that has approved the EIA report. The environmental agency will inspect and make *Operational Policy 4.37, Safety of Dams, October 2001
sure that the environmental protection measures specified in the EIA report are followed, and *Operational Policy 7.50, Projects on International Waterways, June 2001
the facilities are workable and acceptable according to their specification. *Operational Policy 7.60, Projects in Disputed Areas, June 2001.
*2.3. Environmental Standards 3.EfA FrameworkMost of the commonly used applicable standards including environmental quality standards
and pollutant emission standards are listed as follows: *3.1. Principle ofEnvironmental Impact Assessments
*Environmental Quality Standaird for Surface Water (GB 3838-2002) In accordance with the policy of the Bank, development options under consideration will be
*Ambient Air Quality Standard (GB 3095-1996) environmentally sound and sustainable, environmental issues will be identified early in the
*Groundwater Quality Standards (GB/T 14848-1993) project cycle, and environmental improvements will be designed into project to avoid, miti-
* Soil Quality Standard (GB 15618-95) gate or compensate for adverse impacts.
*Ambient Noise Standard for Urban Area (GB 3096-1995)
*Ambient Vibration Standard for Urban Area (GB 10070-88) The type of project is first screened to determine its probable impacts on the locality. In
*integral Wastewater Discharge Standards (GB 8978-1996) collaboration with the Project Implementation Unit (PIU) technical personnel, the project or
* Shanghai Integral Discharge Standard ofWastewaters (DB 31/199-97) project proponents are to evaluate according to the magnitude and sensitivity ofthe environ-
*Standards for the Protection of Crops (GB 9173-88) ducted for the project, ranging from no further analysis to a full EIA. In the course of
*Integral Emission Standard of Air Pollutant (GB 16297-1996) screening, the reviewer may recommend the incorporation of the mitigating measures in the
oLimiting Values for Construction Area(GB 12523-90) project design that will be cost out as a part of the total project package.
*Standard of Sludge for Agricultural Use (GB 4284-1984)
0Other specific sectoral applicable standards. *3.2. Preparation ofEIA
When physical investments of project proponents for the DFV are being defined, a site/
*2.4. World Bank Environmental Safeguards component specific EIA will need to be conducted to identify and quantitatively evaluate
The World Bank requires the environmental impact assessment (EIA) of projects proposed potential impacts in greater detail, to analyse alternatives, and to plan measures for mitigating
for financing to help ensure that they are environmentally sound and sustainable, and thus to potential adverse impacts. The EIA for each component will be conducted through the
improve its decision making. following tasks.
0 Selection of Consultant to undertake EIA
For any project processed with the participation of an International Funding Agency, in 0 Establishment of TORs of EIA
addition to the fulfilment of national requirements, the proponent must also satisfy the 0 Establishment of EIA
requirements of the funding organisation. 0 Establishment of EM
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The EIAs and the EMP for the first four subprojects being prepared for the DFV component An overall outline of the expected contents of a typical EIA Report is provided in Appendix
will be reviewed by the World Bank and the DFV, and approved by the World Bank. The 4 of this framework. The following paragraphs provide specific notes.
EIAs for later subprojects will be reviewed and approved by the DFV, and sent to the World
Bank. 3.2.3.1.Strategic Environmental Considerations-------------------------
37: ? Selection of Consultants Aside from the scoping of impacts and environmental issues to be covered by the ETA, some
The CEAM Safeguards Team will assist project proponents in the selection of consultants more general and strategic environmental considerations should apply in the selection of
for the preparation of the EIAs by: alternatives.
*Recommending and vetting proposed EIA Consultants; From the environmental point of view, the selection of the best site for the environmental
*Review of the Scope of Works of the proposed consultant. infrastrmcture should rely on:
* Residential areas: should be as far as possible from residential areas, in order to avoid
3.2 Establishment of TORs of EIA nuisance and conflicts with surrounding population.
The EIA will include considerations of the World Bank's ten safeguard policies (see Appen- * Access to site should be easy from large axis, and should not cross dense residential or
dix 2). Those that are likely will undertake a screening and, if triggered, a full assessment. The commercial areas. If any transport is involved, this may result in increased traffic in
likely application of safeguards policies in the DFV funded project components are as such crowded areas.
follows: * Size of the site should be appropriate to allocate enough area, for possible extension
* Full Application reserve and for tree plantation around the site.
- OP/BP/GP 4.01, Environmental Assessment; *In the case of wastewater discharge involved, the outfall should be located as down-
- OD 4.30, Involuntary Resettlement, stream as possible in order to favor a better dilution of treated effluent, and to minimise
*Screening and if triggered, full application: A screening will first be conducted for the the risk of impact on sensitive water use during backflow.
following policies. If the screening results exceed the thresholds, a full assessment will
be triggered. If the screening results do not, the application of the particular policies in 3.2.3.2.Project Analysis----------------------------------------
this EIA will be terminated:
- OP/GP 4.36, Forestry; The objective of a project analysis is to identify pollutant sources, quantity, discharge loads
- OP/BP 4.04, Natural Habitats; and discharge routes through analysis and understanding of proposed physical investments.
- OPN 11.03 and soon to be OP 4.11, Cultural Property, As such, the analysis will also determine the key factors which could potentially bring in
- OP4.09, Pest Management. adverse impacts of the projects on the surrounding biophysical and socio-economic
*Not applicable: The DFV funded project components do not involve issues related to environments, help determine the feasibility of various mitigation measures and provide a
the following safeguards policies and they will therefore not apply to the EIA. basis for the impact assessment and mitigation planning.
- OP/BP 4.37, Safety of Dams;
- OD 4.20, Indigenous People; The methods used for the project analysis will include collection and review of available
- OP/BP/GP 7.60, Projects in Disputed Areas; information and existing data, particularly, components proposal, feasibility report and
- OP/BP/GP 7.50, Projects on International Waterways. other project study documents, comparison with similar operating projects elsewhere re-
garding the types and intensity of pollution, and site investigation if necessary.
3.2. Preparation of Full EIA
The Safeguards Team of the DFV will provide assistance to the PIUs during project 3.2.3.3.Environmental Baseline --------------------------------------
preparation. In particular they will be responsible for reviewing and commenting on both
draft and final ETAs provided by the project proponents. Understanding of environmental baseline in the project region and project sites is critical to
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DFV Operations Manual DFV Operations Manual
analyze alternative sites and evaluate the potential impacts in the later stage of the EIA. The cable standards with a focus on sensitive receptors. The modelling results are particularly
baseline conditions include existing air quality, water quality and hydrology, soil and hydro- relevant as a reference for development of mitigation measures.
geology, flora and fauna, acoustic conditions, and sensitive receptors such as drinking water
sources, residential areas, natural habitats, cultural properties, etc.. A complete inventory of 3.2.3.6.Air Quality Impact Assessment-------------------------------
sensitive receptors in the project area is important as they will be the focus of impact
assessment and mitigation planning. Air emissions sources from various project facilities in both construction and operation
stages will be identified. The impact of such emissions will be assessed through dispersion
Environmental baseline data are obtained through collection of historical data, supplemented modelling to determine the potential adverse impacts on the areas immediately surrounding
by environmental monitoring programs designed specifically for the project. Detailed inves- the project areas, particularly the sensitive receptors such as schools and residential areas, as
tigations of the project sites and the surrounding areas are essential for understanding envi- well as regional impacts.
ronmental baseline.
3.2.3.7.Biological Systems and Scenery Impact Assessment---------------------
3.2.3.4.Water Quality Impact Assessment------------------------------
The scope of the impact assessment for biological systems and scenery will include all plants
Dependent on the characteristics of the receiving water, a vanety of one dimensional and/or and major scenery within 200 m from proposed sites. Impacts on trees and green areas will
two dimensional modelling tools will be required to analyse the impact of the discharges on be determined based on the potential damages or removal/occupation. The scenery assess-
surface water bodies in the Shanghai area. ment will be mostly conducted through visual observations.
The one dimensional model will be generally used to analyse impacts at the river basin level, 3.2.3.8.Construction Phase Impact Assessment---------------------------------
outside of the mixing zone. Because of tidal effects in Shanghai, this will generally consist of
a coupled dynamic hydraulic-water quality model. Construction phase impact assessment will be conducted based on the understanding of
construction activities for DFV projects. For many components, construction is the main
In general, two (possibly three) dimensional models will be used to investigate impacts activity which could result in adverse impacts and therefore is the focus of the impact
within the mixing zone of outfalls or impacts within the estuary/bay/lakes, assessment. The potential impacts will include, but not limited to:
0 Air quality primarily from airborne dust caused by excavation, demolition, materials
The water quality model will be primarily used for assessment ofproject impact and should handling and increased traffic;
be calibrated with respect to existing conditions. 0 Noise from construction machinery and construction trucks, particularly at night and
other sensitive time periods near the sensitive receptors;
Water impact assessment must be closely related to the conditions and sensitivity of the 0 Water quality from construction camps discharges and machinery or construction
receiving water. Nature of the riverside land uses, future development plan of the riverside, vehicle washing; In and near water construction could also impact the waterbodies
functioning and water quality category designation of the receiving water bodies, locations of potentially through increased suspended solids, oil and grease and impacts on hydrology;
drinking water intakes and fish habitats, visual impacts and environmental aesthetics, etc.. 0 Impacts on traffic, particularly, in the congested areas in the urban centers, as many
of the construction activities would require temporary occupation of urban roads,
3.2.3.5. Noise Impact Assessment--------------------------------- - - forcing them to be semi- or completely closed during construction;
* Construction materials exploration and transportation, such as sand, gravel and earth,
Noise impact will be predicted by using models which have been proven to fit the project site spoiled materials disposal, construction camps, traffic disruption, site safety, hazard-
conditions. The results of the noise prediction modelling will be applied to determine the ous materials handling, etc..
potential impacts of the project construction and operation in comparison with the appli-
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3.2.3.9.Mitigation Planning --------------------- --------------- -- internal monitoring reports every 6 months based on the EMP Progress and Monitoring
Reports submitted by each subproject owner, and field verification. For each subproject, the
Mitigation planning will be based on the results of the impact assessment. The overall DFV will employ an independent third party to be responsible for external monitoring and
objective is to avoid, reduce or minimize the adverse impacts to an acceptable extent. The evaluation of the EMP implementation, and the external monitoring reports will be prepared
general criteria for acceptable impacts will be in compliance with applicable state and local and submitted semi-annually.
discharge and/or ambient environmental quality standards. The mitigation measures will be
developed for the three stages of the project: The DFV Safeguard Team should regularly perform project monitoring and evaluation, and
* Design stage: those which need to be incorporated into project engineering design, visit the site to assess progress and identify problems, and ask the project company to take
such as noise mitigation, wastewater treatment, exhaust waste gas treatment and solid measures to solve problems, if any.
waste landfill design modifications, etc.;
* Construction stage: those which will be applied in the construction stage, such as *3.3.Public Consultation
mitigation measures to be implemented by contractors at the construction sties; and
* Operation stage: those which will be implemented in operation stage, such as those Major Methods of Public Consultation
to be implemented by the operation company.
There will be at least two rounds of public consultation: the first round will be carried out at
The mitigation measures will cover air, noise, water, biological systems, and socio-economic the EIA terms of reference stage to inform the public of the project and solicit public concerns
systems, and will be specific and detailed enough for implementation and supervision, and opinions. The second stage will be at the draft EIA report stage to inform the public of
the results of the assessment, including assessment of issues raised by the public in the first
3.2.3.1O.Environmental Management Planning------- ------------ round of consultation. Also in the second round, the mitigation measures planned for the
project will be communicated to the public, focusing on those raised by the public, to
Based on the impact assessment results and mitigation plan, an environmental management determine whether the affected and concerned public is satisfied with the proposed mitiga-
plan will be developed for DFV funded projects covering both the construction and opera- tion measures.
tion stages. The environmental management plan will have, but not limited to, the following
key components: The major methods of public consultation will include:
* Environmental management organizations and their specific responsibilities in the * Public meetings/hearings;
DFV project development; * Interviews with selected public members or institutions; and
* Key impact mitigation measures; * Public opinion polls.
* Environmental monitoring programs for both construction and operation stages,
focusing on the monitoring of the environment receptor of the project; The public consultation will focus primarily on those groups or individuals who will be
* Environmental training; and directly affected by the project construction and operation. More specifically, those include
* Cost estimate for environmental management. schools, urban residence, rural villages, shops, institutions/office towers, and factories within
the project impacted areas.
Besides a chapter in the EIA report, a stand alone Environmental Management Plan (EMP)
will be prepared as a pan of the EIA documentation for DFV projects. To reach the affected public, public notice for the consultation process will be distributed or
advertised to ensure those who are concerned and wish to express their opinions on the
3.2.3. I.Monitoring and Evaluation----------------------------------- environmental issues of the project have the opportunities to express their thoughts. In
addition, the EIA TOR, draft report and final report, when finished, will be released and
After the implementation of the EMP begins, the DFV will prepare and submit consolidated displayed in public accessible places such as public libraries, village committee for review.
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DFV Operations Manual DFV Operations Manual
Public consultation and information release is a continued process and the EIA team will K 'Grievance Redress Mechanism
maintain such a process throughout the EIA process as well as recommend project executing
agencies to continue the consultation process during project construction and operation. In any case where there are complaints that arise from the conduct and implementation of the
environmental assessment, complainants can submit their position to the Environmental
The following table provides an Aide Memoir to the various stages of public consultation and Protection Bureau at the local level which should in turn forward to the local executive at the
information disclosure to be undertaken as a part of the DFV: township/district level and the project proponent for their action. Copies of the complaints
can be forwarded to the DFV Safeguards Team for their appropriate cure action. As a matter
Table 1: Public Consultation & Information Disclosure Aide Memoire of proof that valid environmental and social concerns raised are adequately addressed, the
conesponding mitigation measures will be examined during review and appraisal of the EIA
Failure to address the concerns could result in the delay of approval of the loan applications.
Substance By whom With whom When Where World Bank's rquwrement
interview during field World Bank'ssocial economic survey requnementard follow-up field OD 4.30 and OP 4.01 Appendic1 Environmental Standardsin PRCsurveys
Draft EIA TOR OP4.0 consultauon Appendbc 2 Summary Table Concerning World Bank Safeguard Policiesconsultation dunng TOR stage (their Appendix 3 Scoping Table Concerning World Bank Safeguard Policies
work done before OPreuirement) Appendix d Recommended Table of Contents for EIA Reports
EIA TOR consultation OP4.01: consultation (NOTINCLUDED)dunng TOR stage (theirwork done before OPrequirement)
Distbution ofquestionnaires and keyEIA messages in bulletpoit format in the firstpublic meeting
Distribution of project OP4.0:information and draft Consultation pnor toEIA in the second finalization of draftpubhc meetmg report
Final EIA
Document Date of Dislosure Location World Bak's requirement
Copes of EIA TOR OP 4.01; BP 17.50 -
Questionnaires and key EIAmessages
Draft EIA report
Final EIA reports
Notice for availability of EIAreport on Web Site
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移民安籮计划政策框架
1 移民安籮计划政策框架的目标
2 遼免或减少动拆迁的措施
3 有关动拆迁和土地使用的法律法规
4 有关动拆迁和补偿的基本原则
5 移民安籮计划的编制和规划
6 征地和动拆迁的程序设置
7 工作开展期间的信息发布
8 投诉救济制度
9 监测和评估
10动拆迁管理机构及其职责
11加强动拆迁管理能力
12报告制度
附录 l 移民安置计划大纲
. 霎
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咖袭翻移民安籮计划政策框架 节,因此.为了保证改善或者至少恢复受影响居民在动拆迁之前的生活标准,应
该按照要 求簖制并实施移民安置计划。
1.移民安籮计划政策框架的目标.2 .征地、借地应严格遵照有关法律法规执行,例如:
DFV 和子项目公司应按照本附件规定的政策和程序,评估并减除因项目征、借 .中华人民共和国土地管理法:
地所引起的无法遼免的动拆迁影响二 中华人民共和国土地管理法的相关条例;
.上海市土地管理局 199。年关于试行 《上海市国家建设征地财物补偿标准》的
DFV所有子项目在项 目设计阶段就应充分考虑避免或减少由于永久和/或临时的 通 知 ;
土地占用所导致的非自愿动拆迁的情况。本附件的制订依据世行 0P412 政策和中国 .上海市土地管理局 1 993 年关于调整 《上海市国家建设征地财物补偿标准(试
有关土地和动拆迁的法律法规,主要 目标如下: 行)》中房屋及附属设施补偿标准的通知;
.上海市建设用地管理办法 , 1992 年 1 月颁布. 1997 年 12 月修订;
l)确保项目实施严格遵照世行 0P412 条款和中国的法律法规二 关于实施中华人民共和国土地管理法的通知;
2)遼免或减少由于项目实施和/或施工期间永久和临时的占用土地而给受影响人员 .上海市物价局、上海市财政局 1999 年关于调整上海市征地补偿标准的批复;
所带来的潜在负面影响。如果此类影响是不可遼免的,应该以消除或减少这种 .上海市财政局 1998 年关于上海市耕地占用税若干具体政策规定的补充通知;
负面 影响为 目的,制定移民安籮计划。 .上海市住宅建设征用集体所有土地农业人 口安置办法,L 994年 4 月 22 日上海市
3)如果实施项目需要征地,则必须在 DFv 为该子项 目筹措资金之前首先制定项 目 人民政府令第 62 号;
移民安籮计划,并应提交世行进行预先审查。 .上海市劳动和社会保障局 2002年关于提高征地养老人员生活费发放标准的通知.
4)在项 目实施期间,应密切关注受影响的居民以便改善或至少恢复他们动拆迁之
前的生活水平 。 . 3 以上法律法规在项目中的应用:
口口. 5)对动拆迁工作应予以重视,并应加强监督和评估,以便及时发现项目施工中因 .项目的土地使用应遵守中华人民共和国有关土地管理的法律、实施条例以及由 顾 蓬爱
口川粗 征、借地所带来的负面影响。 上海市政府颁布的相关法规。 瓤是蒸
口日口 6)明确并落实动拆迁调整、公众参与和信息披露等措施。 。根据中华人民共和国土地管理法的规定,土地采取有偿使用制度。建设单位必 酬豁)口口 7)明确相应的管理机构及其职责· 须按照法律规定的审批程序,向当地土地管理部门提交申请,然后通过行政划拨 鄙馨
和经济补偼取得土地佼用权。各级政府土地管理局审查相应级别的土地法的贯彻
2.遼免或减少动拆迁的措施 情况并且负责监控土地的使用情况。土地征用必须获得县级以上政府的批准.上海市城区土地的补偼金应根据市场价格进行计算,其他土地的补偿金应按照
l)簖制设计比选方案时要充分考虑不同方案产生的不同社会经济影响,并将其作 《上 海市国家建 设征地财物补偿标 准 (试 行 )》的通 知进行计算 。
为项 目经济分析 的重要因素。 .根据土地法的规定,如果属于发展乡镇基础设施用地,则土地开发 申请首先要
2)设计阶段要考虑项 目选址尽可能遼让居民区、工厂企业和耕地 。 经过乡镇政府的审查和批准,然后将申请送交县级土地管理部门。县级土地管理
3)尽量减少永久和临时性土地占用的范围。 部门应在实施之前对项目进行审查,然后提交县级以上政府批准 .
4)尽可能簩短建设周期和土地借用期限,以减少项 目产生的负面影响。 .对于临时性征地,青苗补偿应按照有形损失合理给付.原则上,补偿标准应
5)如有可能,临时性土地 占用最好选在秋收之后.冬季农作物播种之前。在占 根据 当地市场价格或重新购买的价格进行计算 。临时性征地结束后,应将土地恢
用土地之前.应就土地佼用和青苗作物给予必要补偿 复 为耕地 。
6)应严格控制土地佼用,任何土地征、借行为必须得到批准 .实际补偼标准的制定应按照上海市政府发布的土地管理方法以及相关政策进行。
3.有关动拆迁和土地佼用的法律法规 .4对于位于上海市区范围内的房屋和其他建筑物的拆迁补偿应按照上海市政府2001年发布的 《上海市城市房屋拆迁管理实施细则》;其他地区房屋的拆迁按照 当地重
.1 根据世行 0P412 政策条款规定,鉴于征地、动拆迁是项 目实施无法避免的环 新安置的价格标准进行补偿 。
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.5 其他受影响的资产将根据有关法规予以补偼 。 (e)移民安置计划监测和实施安排;以及
(O 实施时间进度表和预算。
4.有关动拆迁和补偿的基本原则.3 如果受动拆迁影响人数超过 200 人,则应制订全面详尽的实施计划.(基本要
.1 )应尽量遼免/减少非自愿动拆迁和征地; 点见附录 l) 包括:
.2 )如果动拆迁和征地是无法遼免的,应制定移民安籮计划对受影响人员进行补偿 (a)征地的目的及位置和范围;
并帮助其恢复 生活水平; (b)征地的原则及相关政策和法律;
.3 )实施移 民安籮计划 时,应保证资金及时足额到位; (c)征地范围内的社会经济调查;
.4 )制订和实施移民安籮计划过程中,应与当地政府和受影响人员就所有与动拆迁 (d)征地影响和补偿标准;
和补偼相关的问题进行沟通协商; (e)受征地影响人员生产和生活状况的恢复措施;
.5 )补偼金应按照重新安籮的费用支付,不得因折旧或贬值等原因而减少支付金 (0 征地的费用估算和资金管理;
额,且应在征地和 搬迁之前予 以支付; (g)实施进度表;
.6 )在重新安籮受影响人员并重建其生活环境过程中,应给予受影响人员一定帮 伍)征地机构的建立和人员配置;
助 ; (i) 公众参与;
.7 )动拆迁完成之后 ,受影响人员的生活水平应得到恢复或改善; O 征地将对当地的农民和社区产生怎样的影响?
.5 )如果受影响人员没有合法有效的房地产契据,在实施动拆迁时,不应阻碍其获 恤)投诉和不满;
得补偼和 帮助; (1)监测、评估和报告制度;
.9 )有关征地和建筑物拆除的所有费用应全部计入项目成本预算; (m )附录、地图和表格.
必 10)应全面监督动拆迁管理工作,以及时发现土地使用和动拆迁中的潜在问题;
口日口口 . 11)在项 目准备阶段,应明确负责动拆迁工作的组织机构及其工作职责; DFv 首批四个子项 目的移民安置计划将由 DFv 和世行进行审查,井由世行批 渡暇魏
口侧肠 .12)DFv己投资的或将要投资的区县子项目应当簖制移民安籮计划,且该计划应在 准 今后子项目的移民安置计划将由DFv 单独审查和批准,井递交世行备案 札澎碧口峨口 相关土建工程开工之前由省/市主管部门进行审查并需得到世行的认可;以及 黝溺期口口 .&3)以上政策适用于所有导致非自愿动拆迁的子项目,不论项目的资金来源如何·6 .征地和动拆迁的程序设置 罐哪
该政策同样适用于其他导致非自愿动拆迁的作业活动,根据世行的判断要求,该作
业活动为:(a)直接且明显与世行贷款项目相关的活动;(b)项目文件中指出的为实现 . t 对待征地区域进行社会经济形势调查研究 (社会经济调查 );
项目目标所必须完成的活动;(c)与项 目同期实施或计划同期实施 的活动。
.2 受影响人员 (受影响个人 、家庭 、村庄 的类型、数量和 受影响范 围等 ,例
5.移民安籮计划的簖制和规划 如人口调查和登记财产清单)的调查和登记:
. 卜涉及征地和动拆迁的所有工作都应制定相应的实施计划,作为启动该项工作的 . 3 根据相关政策、法律法规和补偿标准制定的征地、动拆迁 的实施措施 .
基础性 文件。
7.工作开展期间的信息发布.2 .如果受动拆迁影响人数在 200 人以下,可以准备一份简略的计划,包括下述内
容: .亘从项目启动到移民安籮工作全部完成,与项目本身以及项目动拆迁工作相关的国
(a)动迁人员的户 口调查和财产评估; 家法律法规信息应持续 以公众参与活动方式进行发布。从事移民安置的工作人员以及
(b)就补偼情况和其他动拆迁辅助工作予以描述 ; 地方政府应负责告知受影响人员以下信息:影响范围;补偿标准的计算方法;补偿
(c)与动迁人员就动迁比选方案进行协商; 方式;动拆迁方案;动拆迁补偿金的支付和使用;受影响人员的权利和可享受的优
(d)投诉救济程序和执行实施机构工作职责; 惠政 策等 。
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。Fv 操作手册 。Fv 操作手册 }
.2 项目的移民安籮计划将被公布于村委会、行政会堂 · 和市 /县图书馆以供受影 动拆迁的工作协调:考虑到 DFv 子项 目遍布上海多个区县,DFv 的各个项 目
响企业股 东和动拆迁人 员查阅 · 经理应同时负责协调各项 目的动拆迁工作,并且 DFv 应指派一名高级项目经理负责
总体协调所有项目的动拆迁工作.该社会安全保障专家的任务是协助各子项 目的工.3 动拆迁信息手册应分发至所有受影响的家庭· 单位· 信息手册的发放对于确保 作人员,组织实施移民安置计划,总结和报告工作开展情况。社会安全保障专家所有受项目影响的人员了解项目情况、增加透明度和提高动拆迁的工作效率具有非 应 负 责:
常重要 的意义。 .组织和指导项目建立动拆迁管理机构 ,确保其实现项 目的动 拆迁 目标;
.指导建设单位遵照本文件要求制定项 目移民安置计划:
8.投诉救济制度 。协助建立子项目的动拆迁管理体系,并协助解决诸如落实动拆迁资金等事宜;.监督和/或实施动拆迁;
在制定项 目动拆迁计划期间就应充分认识受影响人员和单位的应有权利,并予 .协调建设单位与受动拆迁影响人员之间的关系;以支持和保护。除支付足额的补偼金之外,还应进一步给予受影响人员和单位改善 .总结动拆迁工作进展及效果并向世行上报半年报告,同时配合世行代表团进行或恢复生产生活的机会和权利 · 移民安籮计划中还应规定和设立索赔机制,特别需 检 查 ;
要落实投诉渠道以确保受影响人员在项目实施期间进行合理投诉并向有关部门要求索 .聘请并指导外部监测单位。
赔 如果这些索赔符合相关计划和政策的规定,必须迅速予 以落实。
11.加强动拆迁管理能力9.监测和评估
.1 各子项目公司的动拆迁办公室应配籮 l 到 2 名工作人员,并配备诸如车辆、计.1 移民安籮工作启动之后,DFV应根据各子项目公司提交的动拆迁进展和监测报 算机、传真机和电话等基本办公设备。各动拆迁办公室应参与动拆迁工作培训 ,并告以及现场考察情况,每 6 个月簖制并提交世行一份完整的内部监测报告。对所有 将培训成本计入项 目预算 。
口糩 涉及征地和动拆迁的项目,DFv应聘请独立的第三方机构负责开展征地、动拆迁和 蔡豁日期 实施补偼的外部监测和评估工作· 外部监测报告应当每半年簖制并提交一次· 另 .2动拆迁工作人员的培训计划:为了加强动拆迁人员的管理能力,有必要建立一 瞥嚎砚 日 外,项目公司在向DFv提交项目进度表时,同样应包括建设用地、动拆迁和补偼 套培训制度。培训方案可包括技术讲座· 专题研讨会、实地参观和在岗培训。培 鬓暴口口 实施情况等信息· 训内容可包括: 鬓鬃蒲
.动拆迁政策和管理方法:.2 监测评估人员应当定期安排实地考察,评估工作进展情况,发现问题 ,并要 .动拆迁计划和方案设计管理;
求项 目公司采取相 应措施予以解决 (如有)o .执行手段;
.动拆迁实施 的过程管理;.3 主要监测指标包括: .财务管理;.签籲征地协议 ; .质量控制;
.支付补偼费用 ; .管理信息系统:.补偼金筹集及支付的时间安排; .动拆迁监 督;
.受影响家庭经济状况的变化; .动拆迁监测和评估 ;.影响减除措施的实施; .项 目管理
.对 占用土地的使用:以及
”临时征用土地的复耕时间·12 .报告制度
10.动拆迁管理机构及其职责 .IDFv应当建立一套报告表格.用于收集和管理各个子项目的动拆迁信息。.ZDFV 应每半年簖制一份进度文件 ,并提交世界银行 。
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4.4.2 8 & 4Ffft 9.2.1
4.4.3 MtPFfft 9 2.2 9tfDMNiIM8WttJ
0 5.1 RKMiObFif r ig X 41
05.2 IE lb ;I
0 5.3 F FJAQY' tok [E I
136 137
DFV Operations Manual DFV Operations Manual
Resettlement and Land Acquisition Policy Framework 4) Abbreviating construction period and land leasing duration in order to minimize the
negative impacts due to the project;
LObjectives of the Policy Framework 5) Temporary land usage will be undertaken between autumn harvest and winter
planting seasons if possible. The necessary compensation for land and its green crops
This document defines the policies and procedures that the DFV and sub-project companics would be compensated before the land usage;
will follow to assess and mitigate impacts of unavoidable resettlement caused by land acqui- 6) Any land usage would be strictly controlled and, any land acquisition and leasing
sition and leasing. shall obtain approval.
During its design, all sub-projects under the Shanghai DFV will take full consideration to 3.Laws and Regulations for Resettlement and Land Useavoid or minimize permanent and/or temporary occupancy of land that would result in
involuntary resettlement. This document is formulated according to the World Bank's OP 4. 0 1) Based on the OP4.12 of the World Bank, as resettlement and land acquisition cannot be
12 and China's laws and regulations related to land and resettlement, and its main objectives avoided, the RAP should therefore be prepared and followed in order to ensure improvement
are as follows: of the affected or at least restoration of their living standards.
1) Ensuring that the implementation of the project exactly follows the World Bank's 0 2) Land acquisition and leasing should exactly follow the laws and regulations, such as:
OP 4.12 and the laws and regulations of China; 0 Land Administration Law of the P.R.C;
2) Avoiding or minimizing potential negative impacts on those affected, by permanent * Relevant Provisions of Land Administration Law of the People's Republic of China;
and temporary occupancy of land due to and/or during construction period. If 0 Notice of Compensation Rates for Property on Land Requisitioned for Construction
unavoidable, resettlement plan should be formulated to eliminate or minimize the nega- by Shanghai Land Administration Bureau in 1990;
tive impacts; 0 Notice of Adjusting Compensation Rates for Property and Land Requisitioned for
3) If land acquisition occurs in the implementation of project activities, a Resettlement Construction (proposal) and Compensation Rates for Houses and Attachments, by
Action Plan (RAP) is a pre-requisite before the sub-project is invested by DFV. This Shanghai Land Administration Bureau in 1993;RAP would be submitted to the World Bank for prior review; 0 Shanghai Administration Regulations for Land for Construction, issued in January,4) During the implementation of a project close attention should be paid to those 1992 and revised in December ,1997;
affected in order to improve or, at least, restore their living conditions; * Notice on Implementation of Land Administration Laws of PRC;
5) Strengthening, monitoring and evaluating resettlement, in order to identify in a 0 Approval of Adjusting Compensation Rates of Land Requisition, by Sbanghai Price
timely manner the impacts due to land acquisition and leasing in the project construction; Bureau and Shanghai Finance Bureau in 1999;
6) Clarifying and carrying out measures regarding social adjustment, public participa- * Notice of Supplementary of Shanghai Taxes for Using Cultivated Land Regulation,tion and information disclosure; by Shanghai Finance Bureau in1998;
7) Clarifying management organizations and their responsibilities. * Shanghai Resettlement Regulations for Agricultural Population with Collective Land
Requisitioned for House Construction, issued with Shanghai People's Government
2.Measures to Avoid or Minimize Resettlement Order No.62 on April 22,1994;
* Notice of Increasing Pension for People Affected by Land Requisition, by Shanghai
I) Taking full consideration in the design alternatives with regard to the socioeconomic Labor and Social Security Bureau in 2002.
impacts of the project should be an important factor in the economic analysis of a
project; * 3) Utilization of the above laws and regulations in the project.
2) Making project design to steer clear of residential areas, units and farmland; * Land usage for the project should abide by the laws of the PRC on LandAdministration,
3) Minimizing scope of permanent and temporary occupation of land; the Implementation Regulations of the Law of the PRC on Land Administration and
138 139
DFV Operations Manual DFV operations Manual
related rules issued by Shanghai Municipal Government: with the local governments and the affected people, on all issues related to the resettlement
*According to the Land Administration Law of People's Republic of China, a land use and compensation;
payment system is in place. Construction units must abide by the approval procedures * 5) Compensation will be paid at replacement costs without depreciation; and such pay-
stipulated by the law, submit their application to the local land administration author- ments will be made prior to the move and acquisition of land;
ity and acquire the land use right through the administrative allocation and financial * 6) The affected people will be assisted during relocation and in their livelihood rehabilita-
compensation. Govemmental land bureau at each level reviews the land law's applica- tion activities;
tion at each level and monitors the land use. Any land acquisition must be submitted for 0 7) The living standards of the affected people will be either restored or improved, after
government approval above county level. resettlement activities;
*The compensation for land in urban areas of Shanghai Municipality is calculated 0 8) Absence of lawful or formal title will not be an obstacle for the affected to get compen-
according to the market price, whereas the compensation for other land will be based on sation and assistance during the resettlement implementation;
the Notice of Compensation Rates for Property on Land Requisitioned for Construction. 0 9) All the costs related to land acquisition and structure demolition will be included in the
*According to the Land Law, if developments for township infrastructure need the use project cost budget;
of land, a land development application should be reviewed and approved by the 0 10) Adequate supervision and monitoring should be conducted with respect to resettle-
township government first, then the application must be submitted to the county land ment management in order to timely identify the potential issues related to the land usage and
bureau. The county land bureau should review the project before implementation and resettlement;
submit the application to the government above county level for approval. e 1I)Clarifying the resettlement organizations and their responsibilities at the project prepa-
eFor temporary acquisition of land, compensation for green crop should be reasonably ration stage;
paid in accordance with the physical loss. i principle, the compensation criteria should * 12)The RAPs will be prepared for each District or County sub-project in which the DFV
be based on a local market price or a re-purchase price. When the temporary land has invested or will invest, and the plans will be reviewed by the provincal/municipal au-
acquisition is completed, the land should be restored to cultivation. thorities and be accepted by the World Bank before the relevant civil engineering works; and
*Practical compensation standard should be formulated in accordance with land admin- 0 13)Those policies apply to all subprojects that result in involuntary resettlement, regard-
istration methods and relevant policies promulgated by Shanghai Municipal Government. less of the sources of financing. They also apply to other activities resulting in involuntary
resettlement, which in the judgment of the World Bank, are (a) directly and significantly
* 4)The compensation for house and other structures in urban areas of Shanghai Municipal- related to the Bank-assisted project, (b) necessary to achieve its objectives as set forth in the
ity will be based on the Detailed Management Regulations of House Demolition in Shanghai project documents; and (c) carried out, or planned to be carried out, contemporaneously with
Urban Area, issued in 2001; and houses in other areas will be paid at their replacement price the project.
level.
5.Preparation and Planning of Resettlement Action Plan* 5) Compensation for other affected assets will follow the related regulations.
* 1.All activities involving land acquisition and resettlement will need formulation of a plan
4.Basic Principles Related to Resettlement and Compensation for land acquisition and resettlement and implementation, which will serve as the basis for
initiation of the activities.
* 1) ivoluntary resettlement and land acquisition will be avoided/minimized as much as
possible; 0 2.Where less than 200 people are affected, an abbreviated plan would be prepared, including:
* 2) If resettlement and land acquisition cannot be avoided, the RAPs will be prepared for (a) a census survey of displaced persons and evaluation of assets;
compensation and rehabilitation of the affected people; (b) description of compensation and other resettlement assistance to be provided;
* 3) Adequate funds will be provided in a timely manner for implementing such RAPs; (c) consultation with displaced people about acceptable alternatives;
0 4) Preparation and implementation of such action plans will be conducted in consultation (d) institution's responsibility for implementation and procedures for grievance redress;
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DFV Operations Manual DFV Operations Manual
(e) arrangements for monitoring and implementation; and publicized through public participation activities. Resettlement workers and local govem-
(f) a timetable and budget. ments are responsible for informing project affected people of the following: affected assets;
the calculation process for compensation standards; means of compensation; relocation
*3.If more than 200 people are affected, a fill plan would be prepared. Abasic outline of a methods; the disbursement and utilization of resettlement compensation; their rights and
full land acquisition and resettlement plan (see Appendix 1) would include: preferential policies; etc..
(a) The objective for land acquisition and its location and scope;
(b) The principles for the land acquisition and relevant policies and laws; * 2.The RAPs of the project will be available both in village committee halls and in libraries
(c) Social and economic investigation within the scope of land acquisition; at City and County level for the stakeholders of affected units and affected people.
(d) Impacts of land acquisition and compensation standards;
(e) Measures for restoring livelihood and production of affected people; * 3.The resettlement information booklets will be distributed to all the affected households.
(f) Cost estimates and fund management for land acquisition; The issuance of these information booklets will be of paramount importance in ensuring
(g) Implementation schedule; awareness of all project affected people, enhancing transparency, and increasing the effi-
(h) Establishment of land acquisition institution and personnel allocation; ciency of resettlement operations.
(i) Public participation;
(j) What impact will land acquisition bring to farmers and community? 8. Grievance Redress Mechanism(k) Complaints and grievance;
(1) Monitoring & evaluation and report system; During project resettlement planning the affected people and units' rights will be fully
(in) Annex, maps and tables. recognized, maintained, and protected. In addition to adequate compensation, opportunities
and rights for further development will be made available to them. The mechanism of claiming
The RAPs for the first four subprojects will be reviewed by World Bank and the DFV, and will be regulated and set up in the RAPs. In particular, if any project affected person has
approved by the World Bank. The RAPs for later subprojects will be reviewed and approved justified grievances during implementation, they will have an adequate channel to report to
by the DFV, and be sent to the World Bank. and make claims to the department(s) concerned. Such claims must be settled quickly if they
are found in confonnity with the plans and policies.
6.Design Procedures for Land Acquisition and Resettlement9.Monitoring and Evaluation
* I.Investigation on social and economic situation in the would-be land acquisition areas
(a socio-economic survey); * ILAfter resettlement implementation begins, the DFV will prepare and submit consoli-
dated internal monitoring reports to the World Bank every 6 months based on the Resettle-
* 2.Investigation and registration of affected population (persons, households, villages, ment Progress and Monitoring Reports submitted by each subproject owner, and field
types and quantities and the affected scope etc., i.e. census and property list); verification. For each subproject involving land acquisition and resettlement, the DFV will
employ an independent third party to be responsible for external monitoring and evaluation
* 3.Formulating measures for land acquisition and resettlement in line with relevant policies, of the land acquisition, resettlement and compensation, and the external monitoring reports
laws, regulations and compensation standards. will be prepared and submitted semi-annually. In addition, Project Companies should in-
clude construction land, land acquisition and compensation items in the project progress
.Information Dissemination during Planning table when submitting it to the DFV.
* I.From project inception up to the end of resettlement implementation, information about a 2.Monitoring and evaluation personnel should regularly check and visit the site to assess
the project and the resettlement related national laws and regulations have and continue to be progress and identify problems, and ask the project company to take measures to solve
problems, if any.
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DFV Operations Manual DFV Operations Manual
* 3.Main monitoring indicators would include: a 2)Training program for resettlement staff. In order to strengthen the management capacity
*Signing land acquisition agreement; of the resettlement staff, it is necessary to set up a training system. The training program
*Payment of compensation expenses; would include technical lectures, seminars, on site project visits and training on duty. The
*Timetable of raising compensation funds and disbursement period; contents of training will cover:
*Changes of the affected household's financial situation; *Resettlement policy and management method;
0 Implementation of the planned measures; *Management of the RAPs and design;
*Usage of the occupied land; and *Imuplementation Management;
* Re-cultivation time of the temporarily acquired land. *Management of the implementation process;
* Financial management;
10.Resettlement Management Organizations and Their Responsibilities *Quality control;
*Management information system;
The coordination of resettlement projects: Given the multiplicity of locations of DFV in- *Resettlement supervision;
vestments across Shanghai Municipality, every project supervisor appointed by the DFV *Resettlement monitoring and evaluation;
will also be responsible for coordinating the resettlement assignments of each subproject *Project Management.
while a senior manager employee will be appointed to coordinate all the invested projects.
The tasks of the resettlement safeguard specialists are to cooperate with the staff from each 12.Reporting System
sub-project, to organize and implement the RAPs, and to summarize and report the outcome
of the resettlement situation. The resettlement safeguard specialists will: * 1) The DFV should develop a set of reporting tables to collect and manage resettlement
*Organize and supervise the resettlement structure of the Project to realize the re- information from each sub-project.
settlement target of the project; * 2)The DFV should semi-annually prepare a progress document and submit it to the Bank.
*Direct the construction units to follow this document to formulate the RAPs;
*Assist to set up the resettlement management system under sub-projects, and try to
solve other issues such as funding of resettlement;
*Supervise and/or implement the resettlement;
*Coordinate the relationship between the construction units and those affected;
*Summarize the resettlement implementation progress and report semi-annually the
resettlement progress and effects to the World Bank, as well as supply cooperation to
the supervision of the World Bank Mission;
*Employ and guide external monitoring unit.
ll.Resettlement Management Capacity Strengthening
* 1)Each resettlement office at various Project Companies should be staffed I to 2 workers
and be equipped with basic facilities such as vehicles, computers, faxes and phones. The
resettlement training program should cover each resettlement office, and the training costs
should be included in the total budget of the project.
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DFV Operations Manual DFV IRCfif
TOC of RAPs N -*ffiU V WIîlå9
Text: A. ]
1.ProjectDescription 61.1 BasicCost y4 iY-t3W -* 1C J)-$4 -nf 2 4f-tt y
* 1.1 Brieflntroducionofthe Projec 6.1.2Ma mnaeentfee †, fl|E- j1 .2 Areas Affected/Benefited By the Prtject 6 1.3 Contngencies fee -]l
* 1.3 Soto-economac background of the project anea 6.1.4 Survey and Design Cass
* 1.4 Apptovalf the projae 6.1.5 Monitoing and evaluainon cost
* 1.5 Design process of the project * 6.2 Annad Investient Plan i| n
* 1.6 Prjcet onership and orgamzations * 6 3 Funding Sources
Sl 7 Target ofresettlement and rehabilitamin 5 6.4Cash F1oe
2.Project lmpacss 7.Public Psrtifi pation and Appoaling
* 2.1 Definition ofaffced people bythe project 5 7 1 Pubihe Pamicipanion and Informaton
* 2.2 Impacts of the project Pubhlicaion ¯]¯,|)]
2.2.1 Components of the piojectas 7.2 Procedures of Appealing 41
2 2.2 Peojects 8Oiprcig S a0niziosianand Management 2|b
* 2 3 Impact Analysis 5 8.1 Conicemed Institnions for Resetlement Acto
2.3.1 Inpac Analysson Land Tempoantly Used * 8.2 Responsibilties of Esch Organization $ åå
2.3.2 Impact Analysis et Land Acquisition 8.2.1 Authorities en Charge
3.Socienmic Survny 8.2.2 Institumons' Responsibhtlies 2 C* 3.1 Procedue fSocioeconeSoicSurey 8.2.3 Extemal Monitoring Unit 2 C9 3.2 Analysts of the Socio-economic Situation 5 8.3 Measures for institutional strengthening ]
0 3.3 Inievet with the affaced 5 8.4 Monitonng
4.Resettlemn t Policies and Compenatdn hans 8.4.1 Internal Monitotg
* 4.1 Laws snd Regulations 8.4.2 Extmeral Independent Monitoring
* 4.2 Administration Procedues 8.4.3 Moning Indicators
* 4.3 Resenlemen Polises of the Project 9.Schidule of Iplmsnfstatin
* 4.4 Compensaton Rats 9.1 Resettlement and Implentation of the Prjentct Ztå& A
4 4.1 Land compensation * 9.2 Implementation Schedule of Resettlement 2C
4.4.2 Hasse compensation 9 2.1 The principles for making schedule of (f r t1vfa% )
4.4.3 Other compensaton acqaition and resettlement Xfikå2
5.Rehabihition Scheme f.r PAPs' Peoductiet 9.2.2 Oterall PIt of Land Acquis,ton and 2k
and Living Resettlemeat [ - J5.1 Resettlemet ofResidents 10.Enitlement Matrix
9 5.2 Resetlemntet Schema fan Affecied Urts List ofTables
* 5.3 Envronmenit Pmtection Lis, of Photos )
6.C.st and Budget List of Maps
* 6.1 Cosi List of Appendises AQ dm
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OFV操作手册 OFV操作手册
一一不 而 丽孤百一一下一一一门一一一可一一一丁一一一下一一一 .4经济/财务信息服冬猜粔而 1}}}} .计划投资项目
牛 产能 为 (千 方 ) }}}}} .现有投资项 目、投资金额和 资金来源
夫姑登水昌/产量 } I}{} .其他贷款一一请详述
事朴单价 l}}}1 .注册资本金:
下、}卜田户 l}}}1 .详细的债 务情况 (包括内部持股 )
郡 竺塑鲤址一一尸二尸二尸落一 落蔽 二赢露表燕箭粼丽忐橇石蔽儡赢 黔琴口皿月 营仲种圭 } }}} } 间和转移 的数量是多少? 甘卜、
口哪 不蔽而骊不一一一一一寸一一一仁一 。贷款是否被公司直接剥离? i犷 蕊己付金额 } }}}} ”公司是否在偿还贷款?.公司目前是否欠税?如果存在欠税,是多少? .公司是否收到上海市政府的划拨资产?
.公司是否享受免税 (营业税或其他) ? .公司是否收到通过发行国债募集到的资金?
.如果公司享受免税,原因是什么 ,何时开始 ,免税的期限?
拳川车习二.现行收费情况
忑兴粉兰广主.3 公司员工 . SDFV 项目融资和组织机构情况
吊丁雇田粉量知性系桔军 { }}l}.DFv 融资项目的总投资是多少?l陈时下 } i}l} .请摘兰七七贯全之明琐衣。
不才茸酬 入吊 } {}}} .项目公司是否负责偿还 DFV 的融资?
.公司是台有拖欠工资的行为? 11
.请附上详细的公司组织机构图 } }
148 149
OFV操作手册 OFV操作手册
.现行收费情况
孽拼布才一 蒸共兰牢书兰.污水处理公司是否直接收取上述污水费?
.9 公司员工 . 11.DFV 项目投融资和组织机构情况
员工雇用数量和详细情况⋯ ⋯ ⋯ ⋯ ⋯ ”~融资项目的总投资是多少,一一业丝二一一一一一一 阵一一卜一 ”请提供资金明细表·
带井李弃卞 巡置翼些一_ ”公司是否有拖欠工资的行为’ 一 一斗一一一一一一一一 __砚 ”请附上详细的公司组织机构图 一 粼盛鹅 .’。经济‘财务信息 .&2报表 犷补目口 .计划投资项目 请向DFV提供过去3年的财务报表和未来1年的预算,包括现金流量表、损益 陈疚宕
.现有投资项 目、投资金额和资金来源 表和 资产 负债表
.其他贷款― 请详述
尊川攀到月三.注册资本金:
攫 擎 研手军.公司债务是否已经转移至资产管理公司或其他公司?如果已转移,那么转移期
限和转移的数量是多少?
.贷款是否被公司直接剥离?
.公司是否在偿还贷款?
.公司是否收到上海市政府的划拨资产?
.公司是否收到通过发行国债募集到的资金?
.现行污水处理收费
152 153
DFV Operations Manual DFV Operations Manual
Information Requirements on Project Proponent and Guarantors % Population Change
Supply Service CoverageA. WATER COMPANIES Production Capacity ('000 MI)All information needs to be supplied on a 3 year historical and one year provisional basis, as Unbilled WateriProductionwell as the expected change oftbe new project in the firstyear ifthe new project is going to Actual Production ('000 M')increase service area, volume ofwater sold, or both ofthese. Extra information is welcome. Actual Quantity Sold ('000 MI)in I. SALES, COSTS AND REVENUE Actual Connections
Year: Year: Year: Year: With Residentialnew project Commercial
Sales Revenue InstitutionalResidential IndustrialCommercial OtherInstitutional % MeteredIndustrial % of Meters WorkingOther
Variable Costs 2.TAX AND DEPRECIATIONElectricity Year: Ymr; Year: Year: WithChemicals new project
Source Water Cost (Tax) Business tax rateOther Variable Cost PayablesFixed and Semi-Fixed Cost PaidWages and Salary 0 Dom the company currently have any tax arrears? Ifyes, how much?Allowance 0 Is the company exempted from any type of tax (business tax or other)?Maintenance 0 If yes, what's the ground? when does it begin? How long is the period?Others Income tax rateSale Cost Depreciation ratesAdministration assets under 15 yearsOther Revenue Sources assets over 15 yearsGovernmental Capital otherContribution(as Equity)
Other Equity Infusion 3.STAFF OF COMPANYTotal Equity Infusion Staff employment numbersGovernmental Operating Subsidy Wages staffInterest on Investment Salaried staffGovernmental Capital Total amount paid to the staffContribution(as Differed Income) Wages staffOther Non-operating Income Salaried staffPopulation and Production 0 Does the company have any wage arrears?Population ('000) 0 Please also attach a detailed company organization chart.
154 155
DFV Operations Manual DFV Operations Manual
a 4.FINANCING a 6.STATEMENTS
*Planned investment projects. Please provide the DPV with three year historical and one year provisional bodgets, incloding
*Current investment projects, their amount, and sources of funding. cash flow statement, tncome statement, balance shet.
*Other loans - please give details.
Long-term loan B. WASTE WATER COMPANIESShort-term loan All infortation needs to be soppied on a 3 year hittorcal and one year prvtstonal hosts, as well
Interest rate as the espected change with the new project so the first year tf the new project is going to
Repayment period increase service area, volome of water sold, or both of these Estra information is welcome.
*Registered capital.
*Debt (including employee capitalization) detailed. * 7.SALES, COSTS AND REVENUE
Year: Year Year: Year: With
Debt Interest Repayment Year: Year: Year: Year:rate period Sales Revenue
Residential
Commercial
Institutional
*Was the company's debt transferred to an asset management company or any others? Industrial
If yes, when and how much? Other
*Are loans taken out directly by the company?*Does the company pay back loans?
* Does the company receive any allocated assets from Shanghai Municipal Government? Chemicals
*Does the company receive any transfer funds raised by issuing State bonds? Source Water Cost (Tan)Other Variable Cost
*Current Tariffs Fixed and Seni-Fixe Cost
Water Tariff Waste water resourei Water fee Wages and Salary
Fatter IAllowanceFutureMatntenance
NowOthers
Last update (date)Cost
a 5.DFV PROJECT FINANCING AND INSTITUTIONAL ASPECTS Administration
*What is the total cost for DFV project? Other Revenue sources
*Please provide a funding breakdown. Governmental Capital
*Will the company be responsible for repaying the DFV investment? Contribution(as Eqoity)Other Eqoity Infosion
Project Owner Project Manager Operation and maintenance(on completion) Governmental Operating SobsidyInterest on Investment
Governmental Capttal
Controtion(as Differed Income)
t56 157
DFV operations Manual DFV Operations Manual
Other Non-operating Income * 9.STAFF OF COMPANY
Population and Production Staff employment numbers
Population ('000) Wages staff
% Population Change Salaried staff
Water Supply Coverage Total amount paid to the staff
Sewer Service Coverage Wages staff
Water Production Capacity ('000 M3) Salaried staff
Unbilled Water/Production *Does the company have any wage arrears?
Sewage Treatment Capacity ('000 M3) *Please also attach a detailed company organization chart.
Actual Water Production ('000 M)
Actual Water Sold ('000 M') * IO.FINANCING
Actual Sewage Treated ('000 M') *Planned investment projects.
Sewage Volume/Water Sold S Current investment projects, their amount, and sources of funding.
Infiltration ('000 M3) *Other loans - please give details.
Actual Connections Long-term loan
Commercial Water Short-term loan
Institutional Water Interest rate
Industrial Water Repayment period A,
Others Water *Registered capital
Residential Sewer *Debt (including employee capitalization) detailed
Commercial Sewer
Institutional Sewer Debt Interest Repayment Year: Year: Year: Year:rate period
Industrial Sewer
Others Sewer
* 8.TAX AND DEPRECIATION
Year: Year: Year Year: With *Was the company's debt transferred to an asset management company or any others?new project If yes, when and how much?
Business tax rate *Are loans taken out directly by the company?
Payables * Does the company pay back loans?
Paid *Does the company receive any allocated assets from Shanghai Municipal Government?
* Does the company currently have any tax arrears? If yes, how much? * Does the company receive any transfer funds raised by issuing State bonds?
* Is the company exempted from any type of tax (business tax or other)? *Current Tariffs collected for wastewater.
* If yes, what's the ground? when does it begin? How long is the period?
Income tax rate Water Tariff Waste water resource Water fee
Depreciation rates Future
assets under 15 years Now
assets over 15 years Last update (date)
other S Are the tariffs collected directly by the waste water company?
158 159
DFV operations Manual DFV操作手册
哪泌翻
.&DFV PRoJECT FINANCINGAND INsTITUT,oNALAsPECTs 信用评估模型.WhatisthetotalcostforD 即 project? 下面的图表概述了 DFv 对项目单位进行信用评估时所采用的评估标准。该表以.PleaseProvide&fundingbreakdownEx&l 电子表格 形式,列出了区县经济、财务可变数据信息 。.Willlhecompanyberes 加nsibleforreP 却� ngtheDFVinvestment?
· 三 ’
160 161
DFV Operations Manual DFV Operations Manual
cmCredit Assessment MethodologyThe matrix below outlines the criteria DFV will use in assessing credit risks ofproject proponents. 27 Change of the wholesale and retail section ofternary-inclustry GDP
The matrix is tied into an Excel spreadsheet that contains data on the following economic and 28 % ofthe wholesale and retail section ofShanghai's tertiary-industry GDP
financial variables at the district/county level- 29 Hotel and food services section of terria -industry GDP
30 Financial services section of tertiary-industry GDP
Shanghai Suburban Districts 31 % of the financial services section of Shanghai's tertiary-industry GDP
Demographic, Economic, and Fiscal Database OUTPUT 32 Real estate services section of tertiary-industry GDP
Spatial Scale: Districts 33 % ofthe real estate services section ofShanghai's tertiary-industry GDP
Time Period: (e.g.2000-2003) 34, Secondary and tertiary sectors as % of GDP
I Total registered population 35 Per capita GDPs of secondary-industry and tertiary-industry (including
2 % of Shanghai's total registered population migrants)
DEMOGRAPHICS 3 Estimated number of migrants 36 Proportions of per capita GDPs of secondary-industry and tertiary-
4 % of Shanghai's migrant population industry to the average of the suburban
5 Estimated total population (including migrants) 37 GDP growth during year 2000 to 2003
6 % of Shanghai's estimated total population 38 Total fiscal revenues
7 GDP 39 Proportion of Total fiscal revenues as % of GDP
8 % of Shanghai's total GDP 40 Per capita fiscal revenues (including Migrants)
9 per capita GDP (including migrants) FISCAL 41 Per resident fiscal revenues (including Migrants) in suburban Districts
10 per capita GDP as % of suburban average REVENUES _ a, % Shanghai Municipal Gove-ent's
I I Primary industry GDP 42 Change of fiscal revenues (%)
12 % of Shanghai's primary-industry GDP 43 Enterprise and business tax revenues
13 Secondary-indusny GDP 44 Change of enterprise and business tax revenues
14 % of Shanghai's secondary-industry GDP 45 Enterprise and business tax revenue as % oftotal fiscal revenues
15 Industry section of secondary-industry GDP 46 Income from state-owried enterprises
16 Change of the industry section of of secondary-industry GDP 47, Enterprise income as % oftotal fiscal revenues
17 % of the industry section of Shanghai's secondary-industry GDP 481 Total fiscal expenditures
OUTPUT 18 Change of% of the industry section of Shanghai's secondary-industry 49 Suburban districts' fiscal expenditures as; % of Shanghai Municipal
GDP Government expenditures
19 Construction section ofsecondary-industry GDP 50 Per capita fiscal expenditures (including migrants)
20 % of the construction section of Shanghai's secondary-industry GDP [51 Per capita fiscal expenditures (including migrants) in suburban districts
21, Tertiary-industry GDP as% of Shanghai Municipal Government
22 % of Shanghai's tertiary-industry GDP FISCAL 52 Fiscal expenditures on capital investment
23 Transportation and warehousing section of tertiary-industry GDP EXPENDITURES 53 Change of fiscal expenditures (%)
24 Change of the transportation and warehousing section of tertiary- 54 Capital investment as % of total fiscal expenditures
industry GDP 55 Capital investment per resident (including migrants)
25 % of the transportation and warehousing section of Shanghai's ter- 56 Suburban districts' per capita expenditures on capital construction as
tiary-industry GDP % of that of Shanghai Municipal Government's
26 Wholesale and retail section of tertiary-industry GDP 157, Fiscal expenditures on Government Operations
164 165
DFV Operations Manual DFV Operations Manual
58 Per capita fiscal expenditures on government operations Weight WI W2 W3 W4 Distnctl Distrit2
(including migrants) Borrower 30 R V R V
FISCAL 59 Suburban districts' per capita fiscal expenditures on government I.Financial 50 Sub total:
EXPENDITURES operations (including migrants) as % of that of SMG's Status 50 7.5 Cash flow to repaying debts
60 Change of per capita fiscal expenditures of government operations 10 1.5 Profitability
61 Government operation as % of total fiscal expenditures 10 1.5 Capital (shareholders' equity)
62 Fiscal Deficit 10 1.5 Liquidity of assets
63 Per capita fiscal deficit (including migrants) 20 3 Debt equity ratio
64 Suburban districts' per capita fiscal deficit (including migrants) as 2.Operation 20 Sub total:
FISCAL of that of SMG's Management 50 3 Willingness to repay
DEFICIT 65 Per capita fiscal deficit (including migrants) as % of the suburban 50 3 Quality of managementaeae3.Transaction 30 Sub total:
66 Fiscal deficit as % of GDP 50 4.5 Effective demand
67 Change of fiscal deficit during year 2000 to 2003 10 0.9 Strength of primary repayment source
10 0.9 Collateral
30 2.71 Guarantees
Surety 170
1.Economic 75 Sub total:
Benefits 10 5.3 % of the industry section of Shanghai's sec-
ondary-industry GDP of year 2003
30 16 Change of the industry section of the GDP
during year 2000 to2003
30 16 Per capita secondary-industry GDP and ter-
tiary-industry GDP of year 2003(including
migrants)
30 16 GDP growth during year 2000 to 2003
2.Fiscal 25 Sub total:
Benefits 10 1.8 Enterprise and business tax revenues as % of
total fiscal revenues of year 2003
30 5.3 Change of enterprise and business tax rev-
enues during year 2000 to 2003
10 1.8 Government operations as % of total fiscal
expenditures of year 2003
10 1.8 Change of per capita fiscalexpen-ditures of gov-
ernment operation during year 2000 to 2003
10 1.8 Fiscal deficit as % of GDP
30 5.3 Change of fiscal deficit during year 2000 to 2003
Total:
16 167
。Fv 操作手, ⋯
碱 ‘矛翻
采购计划样本DFV需认同借款人 的采购计划,该采购计划可以包含附加信息,也可以按照借
款人的要求准备不同格式的文本。初始的采购计划应 该满足项目最初 18个月的采购
要求,其后如有必要可以每年更新或者提前更新。
1.概述
&,项目信息(例如错款人,项目名称、贷款编号、项目实施单位等。DFv 耀可以根据各项目实施单位的实际情况确定不同文件内容、形式o) 犷 臀.2DFv对采购计划的批准日期(原稿:&~.&,修订稿’:&~二 默峭.3 .采购通知发布的日期: 目砚公纽
.4 .采购计划所覆盖的期限:
2,货物、土建和非咨询类服务采购
.1 事前审查限额:按照贷款协议的规定,DFV 应对达到一定限额的采购活动
进行前 审 。
馨厂二鑫.2 资格预审: x xx 项 目标段的投标人应符合世行采购指南第 29 和 210 条有
关投标人 资质要求 。
.3 其他特殊 采购安排:(如果适用的话 ,包括提前采购和使用追溯贷款)
.4 分包计划:需列明采购方式和时间安排(将需要前审的合同列在前面)
布扭丰州三168 169
DFV Operations Manual DFV Operations Manual
3.-NAMMM Sample Procurement Plan
0 L $1 r1J 4i A RIP: MfflfM V a nft , DFV ii Lflj-,T RK n3KA9 mia DFV will agree on the Borrower's procurement plan which may contain additional infirma-
tyrij 4i: tion and may be prepared in a different format as desired by the Borrower. The initial
procurementplan willcover the first 18 monthsofthe projectand then be updatedannually
AM)YA r RK or earlier as necessary.
2 LGeneral0 I.Project information: [ Example: Borrower, Project Name, Loan No., Project Implement-
ing Agency (PIA),etc.. DFV may decide to have different sections to reflect projects with
0 x7iArri%ft [511 it many P IAs ] I
W "T Lk 5t d1 IE P4 K H M M - 0 2.DFV's approval date of die procurement plan [Original : ......... ; Revision 1: .........
0 3.Date ofGeneral Procurement Notice:
0 4.Period covered by this procurement plan:
19 4. rAAK*5KAitkJ, 4tu" fn]2M ; 2. Goods and Works and Non-Sonsulting Services.
1 2 3 4 5 6 7 0 I.Prior Review Threshold: Procurement Decisions subject to Prior Review by DFV as
0_1 ;V 9 4E P 4 41 "it AA)YA RITWA ffiz*u 1 1 il stated in the Loan Agreement.
Procurement Method Prior Review Threshold Comments
I ICB and LIB (Goods)
2 NCB (Goods)
3 ICB (Works)
4 NCB (Works)
51 ICB (Non-Consultant Services)Ilk; I [Add other methods if necessary]
4.1A F1 3MMAW]
0 2.1'requalification: Bidders for shall be prequalified in accordance with the provi-
sions ofparagraphs 2.9 and 2. 10 of die World Bank's Guidelines.
Rifl44HRMW HM F1 M 0 3 Any Other Special Procurement Arrangements: [including advance procurement and
retroactive financing, ifapplicable]
6 4.Procurement Packages with Methods and Time Schedule:
[List the Packages which require DFV's prior review first and then the other packages]
1 2 3 4 5 6 7 - 9 - 9
RefNo Contract Estimated procurement Proqualifiestuon Dorriestic R-iew Expected Cornitions(Desesiplio.) Cost Method (yestno) Prefi,ionce by Bank Bid-Opening
(yes/n.) (ptior / Post) Date
170 171
DFV Operations Manual
3. Selection of Consultants
* I.Prior Review Threshold: Selection decisions subject to Prior Review by DFV as stated
in Loan Agreement:2. ),lM**9lFfMff!
Selection Method Prior Review Threshold Comments 2.1
1 Competitive Methods (Firms) a2.2
2 Single Sourcing (Firms) *2.3 AIM *ittj
[Add specific methods if necessary] 02.4 A tA-.% tfn
a 2. Short-list comprising entirely of native consultants: Short-list of consultants for ser- 4.
vices, estimated to cost less than $ _ equivalent per contract, may comprise entirely .4.1
native consultants. .4.2 4filE40 4.3 *fV
* 3.Any Other Special Selection Arrangements: [including advance procurement and retroac- 5.
tive financing, ifapplicable] @5.1 IN&M*5.2 iaj W f
* 4.Consultancy Assignments with Selection Methods and Time Schedule: . 5.3 MW,YKM LA)6. XAMSrlRAMM
1 2 3 4 5 6 7 W 4 1
Ref. No. Description Estimated Selection Review by Expected Comments W4t2of Cost Method f4ank Proposals
Assignment (Prior / Post) SubmissionDate
4. ImplVenOsAgemy CapaIty BnIlduwAdmItcM .Im chekde
* iIn this section the agreed Capacity Building Activities (reflected in the Loan Agreement)
are listed with time schedule:
No. Expectedoutione/ Estimated Estimated Start Date CommentsActivity Description Cost Duration
172 173
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O「V操作手册 O「V操作手册
一一一五石骗薪一一一一一丁一一万 阶段在机构、业务方面与雇员处在“走合”期的压力· 将有助于DFv的运行尽l曰令计师 } l}I}I 快平稳地进入状态 。
}口财务分析师 } _}l}l 在 DFv 运行一段时间后,可逐步建立起适合 DFv 业务特征,易于雇员认同的口日. 4 行政管理举 ! 1} { 有效的管理规程及相应的绩效考核办法。 奋纂叛
- 一一架黔一一十命一洲号厂 ‘.酬和人事管理 撇5刀Fv 拟聘用的城投总公司的兼职专才 . 41 薪酬管理
月拳斗一甘基于公司文化和人力资源管理策略,制定或沿用总公司薪酬管理制度,该制度
应该具备 以下特征:
.以市场化为基础 的薪酬水平;
.将薪酬和绩效 、能力进行 挂钩 ;
小计 3人 .根据职位的性质和人才的特殊性设定薪酬组合,激励员工工作积极性。
人员配备计划表中列出了当期人员数量和中期人员数量,这考虑了 OFv 在不同 . 42 福利安排
发展阶段对人员配备的不同需求侧重。在 DFv 初创阶段,人力资源计划的核心活 参照城投总公司现行的福利安排,逐步建立更具吸引力的福利机制,其特征如动是建立核心团队和人力资本投资,此阶段工作业务以项 目管理为主、资金管理为 下 :
辅。而当 DFv 发展成镼至中期阶段,人力资源计划的考虑重点则是人员在量上面 .能在招聘时向新员工推介公司富有竞争力的福利安排;的增加、职能方面的增加和管理上的细化,此时,DFv 工作应在确保项 目管理职 .具有吸 引力的退休计划或利润分享计划;
能的同时,提升并加强资金运作和管理功能二 重视各种医疗福利、灵活的病假制度和合理的带薪休假制度。
.43 人事管理
.24 人才甄选和招聘 参照城投总公司各项人事制度和管理流程,在 DFv 发展的近期和中期应考虑委基于 DFv 发展远景,并根据 DFv 人员配备计划及用人要求,在公司内部或社 托总公司代行人事管理 。部分非重要人事管理职能可以考虑实行外包 、外聘 、暂
会招聘具备 DFv 业务和发展所需的知识、经验和能力的专才。具体可以借鉴总公 聘等 灵活的用人方式。
司人才招聘和录用流程 。
5.人力资源和机构能力建设3.绩效管理
.51 培训和发展
公司 HR 按照年度部门业务 目标和部门对个人提出的工作 目标 ,对一定时期 内 培训是指 向新员工或现有员工传授其完成本岗位工作所必需的相关知识、技部门业务 目标完成情况及员工的工作业绩、工作表现和工作能力进行全面、客观的 能、价值观念 、行为规范的过程,是由企业安排的对本企业员工所进行的有计划评价,藉此提升员工工作水平、明确部门与员工的工作导 向、保障组织有效运行 、 有步骤的培养和训练.以提高员工工作能力为主 旨的培训与开发活动,可使企业拥
给予员工与其贡献相对应 的奖励 ,以此实现公司整体绩效的提升。 有更合格的工作人员,从而提高各方面工作的效率和效果:同时也促使员工不断得
到成镼,为其取得个人职业的成功营造环境。培训和发展结合了组织 目标和个人成在 DFv 初创阶段对员工的绩效考核的方式、流程 、内容 、依据 、考核类型、 长目标 ,从而为 DFv 实现发展战略和 目标提供 了保障。
时间等可参照城投总公司的现行办法 ,对之简化或暂缓实施,旨在缓解 DFv 启动
180 181
!
!DFv 操作手册 。Fv操作手册
.DFV 近期培训需求: 大学、研究院所等专业 机构等。
一环境基础设施项目信贷评估与风险控制实务;
一基础设施贷款项目经济与财务评估方法; .培训实施 :
口口 l 一基础设施融资项目的信贷和财务管理: 按照培训计划,由DFv公司培训负责人编制并发布培训通知、培训日程,组织 劣户了口麟理 一世行贷款项目的世行管理程序/国内管理程序; 并落实相关员工认真参加培训、将培训考核结果存档,并与绩效考核挂钩。 卜.户-口.日 一世行贷款基础设施项目的资金管理规程 (提款报帐、还贷安排): 乡狡·几口口 一世行贷款项目的外汇汇率风险管理与风险规避实务: · 培训评估: 矛熟 达
基础设施项目特许经营和资产运作; 由DFv 培训负责人负责收集培训反馈意见、并会同部门经理等分析培训考核结一英语能力、计算机能力的提高: 果,对公司总体培训计划做必要调整.并为下一论培训计划的制定提供借鉴。
项 目管理沟通能力的提高;
一市场 开发和研究; .52 领导力发展
一基础设施项 目的可持续性融资及成本回收: 制定为适应公司业务战略发展的领导力模型,重点提升公司管理层的能力;同
一区县基础设施项目的管理和运作。 时确定关键高层管理人员的后备人才,并通过公司的培训管理体系对这些后备人才
进行培养、培训和提拔 。
.培训对 象:
培训对象是培训活动 的主要成本因素,必须认真选择精确计算;不同需求来源 . 53 组织发展和企业文化
于不同的员工粤体 对于企业高级管理层来说,需要掌握原理和准则,而日常 充分利用组织内外部的资源进行知识管理,转化个人知识为组织知识,创造学
管理者需要接受管理技能方面的培训。有关人员培训方 面的需求和对象见表 3。 习型组织;运用科学的知识管理工具和手段在公司内部建立知识管理数据库,以支
撑公司的人才发展 ;创建并深化 “诚信 、高效 、和谐 、创新 ”的企业文化和价
.知识性培训: 值观 ,加强企业文化传播:建立 员工行为规范准则、职业道德规范、提高团队精
基于培训需求分析、培训对象 的甄选,定期或不定期举行包括世界银行项 目管 神;建设具有 “对 内增 加凝聚力 、对外增 加吸引力 ”的企业形象等 。
理知识 (包 括项 目识别、前期准备、谈判、实施 、监督、评估,经济分 析、
财务分析 、风险管理,工程管理、采购、支付等知识)在内的各种培训,使
其掌握各种所需知识· 从而提高公司运作和工作效率。这方面的培训形式可以 6.人力资源发展成本估算聘请相关领域的学者 、咨询专家来公司进行培训.或参加世界银行、世界银行
学院定期举办的各类专题培训班 、研习班等 . 鉴于 DFV 初创阶段的业务工作以项 目管理为主,而资金运作方面的培训为辅,
因此 ,世行项 目管理方面的综合知识将作为培训计划的主要内容
.技能性培训:
技能直接体现了员工对岗位工作的熟练程度,因此 .提高技能是培训的直接目
的。管理技 能、沟通技能 、语言 (英语 )技能 、计算 机技能等 。可 以通过
培训师在职培训 或外派培训 。
.培训时间:
根据培训目标和要求、培训对象的分类选择 ,确定培训期限和具体培训时间,
建议培训时间计划见表 3 。
.培训实施机构 :
包括世界银行学院 、世行北京代表处、国际国内相关领域的咨询公司和专家,
182 183
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IHtflMttAWDFV Human Resource Development Plan
Contents_____ ____~n~t____L Mission & Vision
2. Staffing ad Posidioning__ _ _ _
Af @A$4 f L T102.1 Job Analysis/Evaluation______ 2.2 HIR Sourcmg
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188 189
DFV Operations Manual DFV Operations Manual
- Investor relations
DFV Human Resource Development Plan Cooperation and liaison with the World Bank, the IFC, National Development Bank,
The objective for a human resource development plan is to focus on the strategic goals of the major commercial banks and trust companies.
company, and to plan the human resource in rational ways. Through recruitment, training,
usage, testing, evaluation, encouragement and adjustment, employee's initiatives and poten- HI Project Appraisal & Risk Management_ _____________
tials will be promoted, which would in turn create values for the company and secure the - Credit analysis & investment decision makingrealization of the strategic goals. Assess the credit of the borrowers in suburban districts (suburban district Chengtou or
project companies) and guarantors (district fiscal authorities), and appraise their eco-
1. Mission & Vision of HR Management nomic and financial performances and their profitability and anticipatory return.
- Risk management and policy
The mission and vision of HR Management will be established based on and in compliance Assess the project risks and protective measures, and design risk-minimizing security
with the DFV's long-term strategic goals. First class professional specialists would be trained, mechanisms. Based on economic and financial appraisals and risks of different projects,
appointed and reserved for the environmental facility developments and construction in provide the methods (pure credits, equity investment + eredits, or franchise, etc.) by
Shanghai suburban districts. The DFV would provide room for those specialists to realize which the DFV will participate in projects and the decision-making grounds of partici-
the unification of organization efficiency and personal career development. pation degree.
- District fiscal performance updating
2. Staffing and Positioning Keep watching on fiscal capacity and operation status of relevant district governments
as well as fiscal capacity and investment magnitudes of relevant district investment
02.1 Job Analysis'Evaluadon platform (e.g. district Chengtou).
Based on analysis of the DFV's functions, organization and structure, business sections, in - Project technical appraisal
order to realize its anticipatory functions, the foreseeable human resource demands of the Carry out preliminary technical judgement of environmental infrastructure projects
DFV in the next three to five years should include the following: such as water supply, wastewater and solid waste, etc.; prepare technical documenta-
tions of feasibility report, environmental impact assessment study, project design and
5) Project Development and MarkednR to entrust design; organize review and approval of technical documentations; prepare
-- Project identification and pipeline development corresponding technical appraisal reports.
Taking advantage of Chengtou's (a governmental and policy funding platform) influence - Project portfolio management
on the suburban infrastructure investment, potential environment and infrastructure - Project management
projects in the suburban districts in Shanghai can be identified and be got involved in the Carry out overall process managements and involvements of each DFV project.
early stage including the investment intention stage.
-- Market research and project initiation (j Financial& Assets ManagementLooking close to the conditions of infrastructure investment and service providing - Financial management
market, and the changing trend of investment demands, investment approaches and The DFV's financial operation quality management, credit scale control and fund
service provision pattern in the Shanghai districts;Studying the DFV's strategies, and arrangement; build up beneficial performance tracks so as to extend the DFV's middle
maintaining competitiveness and advantages of the DFV;Setting up data base of poten- and long term financing ( issuing trust plans and enterprise bond) and build up solid
tial environment and infrastructure projects in suburban districts and keeping updated. foundations for future transformation of the DFV (applying for qualification of non-- External relations bank financial institutions, transforming to investment funds regarding environmental
These authorities mainly include the DRC, Construction Commission, Financial Bureau, infrastructure).
the EPB, Water Authority, Sanitation Bureau, and Foreign Exchange Administration
Bureau, etc..
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DFV Operations Manual DFV Operations Manual
- Accounting Table I Human Resource Sourcing
Enterprise accounting businesses and with respect to World Bank reimbursements and
drawn. Source from existing afts
- Prouremnt maagemnt 0V Internal Human Resource of Sbmagai UDICmLUDIC OutsurcingProcurement managementvimet
Provide technical services (consultancy and design, etc.) and engineering procurement;
organize/entrust tendering; and manage various contracts. Project idestia- 1)Taktngadvstageoftrpulationofcation tad pipe- Shanghsai UDIC, identti acutely tin
Repayment monitoring and client follow up line develop- teatal eviromental projects
-- DFV treasury operationssuburbs DFV reasry oeratons2) tInvolve in earltiest time, be readyOperate the DFV's sunk assets through trust, asset/share operation (pledge funding, repur- to prepare the project starting fron
chase and withdrawal, transfer and monetization, etc.) c
1) Follow up the tread of infoismirc- 3) Periodic study on mair-tire invest=nrt oad delivery at dis- ket weeds of inflnaucture, fi-D) Administration trio level, understand the change it nancing in mid and long
- Legal review Market reseatcb nvestmnt seeds, types t srcice term is Sbangbai suborhsand project ini- delivery mede, and study on DFV and Yangtze Delta regio.
Legal affairs during the incorporation of the DFV and corporate affairs; and legitimate tiating strategy, so as to maintain the
affairs regarding the DFV's crdit/procurement contracts.tad preetion fo the 4) Thme study o pgd-regrdig DV'scretc/racremnt ontact.DFV. ing of competency of rho
-- Administration 2) Esblish and update pmject pool DFV.- HRmangemet &Traiingfor potential projects it ShasghaiHR management & Trainingbrb.
Enterprise personnel and salary managements; institution capacity strengthening plans;Coordisartion 1) Liaison, communidcation and co- 2) Liaisos, cotunication
HR allocation and development schemes. hetween DFV ordinationswithepartentsrclted and coordination withvari-and governre- to World Bnk lots (Foreigs Ex- ous Government Depart-tat authorities change Adhninistration Bureau). ments (SDRC, SMCC,
2.2 HR Sourcing SFa, EPBWatcr Athority,
Sanitation Bureau etc.)
The organization and staffing of the DFV should be simplified and make full use of the Relations be- Liaison and cooperation sith tFts
enriched resources of Shanghai Chengtou, with necessary external supplementary consultant twe DFV t (WB, IFQ, and strategic prtnesfmrancial instiou- (CDB, domnestic conmeercial bans,
service providers. In this way, the DFV's performance could be promoted and costs would tuns trust companies).
be reduced during the initialization stage of the DFV. The DFV should be careful to avoid the Credit analysis 1) Atticipatory asessment of pa- 3) Conduct credit anatysis
"small and inclusive" pattern, which has been believed to be a trap in an enterprise's growth. & invetment tntiat profitability ad etarns of ot prject sponsor (Districtdreisionmtaking projects. UDIC or project comp~any)
Based on the above analysis of the DFV's functions, on the organization and existing re- 2) tnvetment decision making and guarantor (District
sources available in Shanghai Chengtou, The DFV's human resource sourcing should be Gommett and its iscalcapacity) in H nharhan
designed as below: esntgicts.4) Cdudtuinan ialand ec-aormic analysis un selectedprojets.
Risk matage- 1) Design of risk evasio, design of 3) Prject risk esrentment a Sd p hlicy g araitee structure toiimize rI.
2) nvedon fenanciat ti coemic
analysis, as well as risk analysisprjreethe proj, decid tin degreeand mode ofin ves ment ie purecredit, eqsity + credit, or forchiwe)in oected projects.
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DFV Operations Manual DFV Operations Manual
District fiscal 1)Watchand manitoron fis-perfo mance cal capacity and perfmancemonitoring status of District
governments. lapf respect to the ahove proposed demands of human resources, the DFV should consider2) Monitor on fiscalthe following categories of pfessional staffs:mance and investment mag-nitde of investment plas- 0 Engineering:Environment engineers (water supply, wastewater treatment, solid waste),fiam (such as District UDIC) civil engineers.on an ongoing basis.
_____________ ______________ Project management:Project managers, project engineers, planning engineers, procurementUPn,jeet technical 1) Preliminary technical review on 3) Preparation of techniralappraisal environmental projects incloding documentsregardingprject
water supply, wstewsater ueatanins pre- feasibility study, EIA, staff.and solid waste disposal, and engineering license, and2) Organize and conduct review and design. 0 accountig.Credt analysis spectaiss, economists, accountants,approval on technical documents 4) Preparation of technical specialists, investment specialists, risk control specialists, fund management specialists.
evaluation reports. 0 Administration: Lawyers, puhlic relation managers.
Project portfolo 0 The resoures in Shanghai UDIC could he made availahle to DFV, including: Chieffinancialmranagett managmentofficer, chief engineer, fond management specialists.Project Full range of project management,managetent by project and by allocated person.
________ ________________ ____________ ____________ *2.3 HR Planning1) DFV financial operation quality Based on the needs of quantity, quality and allocation of human resource doe to DFV'smanagement;2) Control on credit scale, husiness development and also on the existing HR availahle (hoth from the existing supply of
Financial man- 3) Funds arrangement;agcunt 4) Build up good tracks of DFV Shanghai Chengto and the current market conditions), the following projections have heen
pefomancc, set foundation for DFV made for the DFV's human resource planning:expansion and transformation inmid and long term.
Accounting 1) Rcirmbursements and drawn with 2) Normal accountingrespect to WB's loan projects. operations. Startup tntermedtate
Current number sobeProcurement 1) Technical service such as 3) Tendering organization. number (tn initiation (is o gmanagement consultancy,designetc. stage)
procurement, engineering
procurent.2) Contracts management. Environment engineer (water sopply) I I I
Repay ment 1) Push on repayments by the Environment engineer (wastewater) 1 2 2monitoring and borrowers as scheduled. Environment engineer (solid waste) 1 1 2clicent follow up 2) Clients follow up. ±
DFV Treasury 1) Operation ofassets/equi- 2) Trusted operations for 2. Project managementoperations ties (pledge funding, repur- DFV 's such assets.
chase and withdrawal, Project manager 3transfer, monetization, etc.) Project enginer I I
1) legal affairs regarding the DFV's Planning engineerLegal revter incorporation and corporate affairs.
2) Legal affairs regarding the DFV's
credit/prcurement contracts. analysis engineer
Administration 1) Secretaries. Procurement engineer
Huarn resources 1) Institutional strengthening 3)Personnelmanagement. Contract management stal-management& planning. 4)Salary & allowanee 3. Financial &accountingTraining 2) E e : o development planning. spanageent. Investment specialist s I
civi en
DFV Operations Manual DFV Operations Manual
Risk control specialist - 1 1 the staff, ensuring the effective operation of the institution and to providing incentives to the
Fund management specialist - - 1 staff in proportion to their contributions. Thereby the overall performance and efficiency of
Credit analysis specialist I - I the DFV could be boosted.
Economist I I I - The existing practices of Shanghai Chengtou could be referred to evaluate the perfor-
Accountant I I I mance of the staff in the initiation stage of the DFV. These include the methods,
Financial analysis specialist - I 1 procedures, contents, legal basis, types and periods, which could be simplified or
4. Administration suspended executing to alleviate the pressure in the 'commission' period both for the
Lawyer I I I institution, operation and employees. Thus the operation of the DFV could quickly
Public relationship manager - - I take shape and functions start to play in a stable way.
Secretary - I
Sub total 9 14 21 - After the DFV operates for a while, the administration and evaluation procedures
5. Specialists to be appointed as secondary posts from Shanghai UDIC could be gradually improved to an extent appropriate for the operation characteristics
Chief engineer - I - of the DFV and easy for the staff to accept.
Chief financial officer - 1 -
Assets management specialist - 1 - 4. Salary, Allowance & PersonnelActuary - - -
Sub total 3 4.1 Salay
The salary and allowance systems could be promulgated or adopted from Shanghai ChengtouThis plan shows the startup number and intermediate number, which has considered the based on corporate culture and HR management strategies. In addition, these systems should
different weights of human resource demands in different stages. During the initial stage of have the following features, including:
the DFV, the HRD should focus on the building of the core team and the investment of - Market orientated salary levels;
human capitals. The major operation activities should be project managements and sup- - Salary levels to be related with the employee's performance and capabilities;
ported by fund managements. With the growth of the DFV until the intermediate stage, HRD - Salary portfolio should be designed in correspondence to the position nature and
should focus on the expansion of staff number, function improvement and administrative particularity of HR, to stimulate initiative of the staff.
structural developments. At this stage, the DFV should upgrade and intensify its functions
in fund operation and management while ensuring the function of project management * 4.2 Allowance
Referring to Shanghai Chengtou's personnel system and management procedures, a more02.4 Selection and Recruitment attractive allowance arrangement should be gradually established to reflect the following
Based on the DFV's mission and staffing plan and recruitment demand, professionals quali- features:fled with the knowledge, experience and capability required by the DFV's business and - The system should be attractive and competitive when the company is enrolling new
development should be recruited both from inside Shanghai Chengtou and from the public. staffs;Corresponding detailed HR recruitment and employment procedures of Shanghai Chengtou - Provision of attractive pension plans and benefits sharing programs;
could be taken as references. - Emphasis on various medieal insuranees, flexible sick leave systems and rational
annual paid-vacation systems.
3. Performance Management
0 4.3 Personnel PoliciesThe company would comprehensively and objectively evaluate the goal-completion situa- During the initial and intermediate stage of the DFV, Shanghai Chengtou's existing personnel
tion of departments' businesses and the performance and capacity of the staff with reference departments could be entrusted to manage the DFV's personnel system and management
to the annual goal of departments' businesses and working aim proposed by departments to
the staff, thus promoting the efficiency, clarifying the working orientation of department and
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DFV Operations Manual DFV Operations Manual
procedures. As for other supporting personnel functions, they could be proceeded in a order to make them acquire various necessary knowledge and then promote the operation and
flexible manner such as contracted out, engagement or by part-time employees. efficiency of the Company, training programs would be periodically or non-periodically
arranged on the project management ofWorld Bank, including project identification, prelimi-
5. Capacity Building nary preparation, negotiation, implementation, supervision, appraisal, economic analysis,
financial analysis, risk management, enginecring management, procurement and repayment,
5.1 Training & Development etc.. Specialists or consultants in the relevant field could be engaged to teach on training
Training is a proceeding during which new DFV staffis trained on the relevant knowledge, courses or lectures. Alternatively, trainees could attend the training courses held by World
specialties, values and disciplines on behaviors required by DFV operations, and should be Bank or World Bank Institute in regular basis.
carried out in a planned, regular and well-organized way. The training should be focusing on
the employee's capacity building to improve the work efficiency and to let enterprises to 0 Training on skills: Skills can directly reflect staff's familiarity of their positions. Therefore,
have more qualified staff. In the meantime, the employees could realize their continuous trainings should target at the enhancement of the employee's skills in the routine operations,
career developments. Training and development combine the goals of the organization and including management skills, communication skills, language (in particular, English language)
individuals, thus providing security for the DFV's realization of development strategies and skills and computer skills, etc.. The staff could be trained by trainers either in working time
goals. or spare time.
* The training demand for the short-term should include: 0 Schedule for the training program: According to training aims and requirements, category
- Environment & infrastructure credit analysis & risk management; selection of trainees, training duration and detailed schedulc should be determined. Proposed
- Economic & financial assessments; credit & financial management Training Schedule refers to Table 3.
- World Bank/domestic loan management procedures;
- World Bank loan projects: fund management procedure (reimbursements, repayments 0 Trainers: These could include World Bank Institute, World Bank Beijing representative
etc.); office, international or local consultants in the relevant fields, collegcs or universities, or other
- World Bank Loan projects: foreign currency risk management; professional institutions.
- Infrastructure projects concession operation & asset operation;
- WB project foreign exchange rate risk management practices; * Implementing the training: The relevant persons of the DFV in charge of the training
- English communication and computer skill building; should prepare the training schedules, issue the training notices, carry on organization, and
- Communication skills in project management; ensure that employees will take part in training courses, file the test results and relate the
- Market research and development; results with performance tests.
- Sustainability of infrastructure financing and cost recovery,
- Suburban infrastructure management and operation. 0 Review of the training program: The persons of the DFV in charge of the training should
collect the feedbacks from the training courses held and review the training results with the
* Trainees: The selection of trainees, which would make up as the major costs for training managers of the various operation departments, in order to make necessary adjustment to the
programs, should be carefully performed to meet the demands of different employees. The overall training schedule and provide experiences for the preparation of next round of training.
senior management levels should focus on the familiarity of company principles and manage-
ment guidelines, while the daily operation management staff should receive trainings on 0 5.2 Leadership Building and Succession Management
management skills. The demands and trainees with respect to the personnel training refers to A leadership pattern suitable for the DFV's strategic growth should be formulated in a way
Table 3. to enhance the capacity of the management levels. In the meantime, the successors for key
senior administrators could be identified, and be trained and promoted through the training
* Training on knowledge: Based on training demand analysis and selection of trainees, in management system.
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DFV operations Manual DFV Operations Manual
Triail- Content; Word Bank Institute, WBDFV capital operation and Capital monagemhiat procedures Beijing Rep Office, National
0 5.3 Organization Development & Corporate Culture agement deparnt, dis ofinfmstrocture projects sup- Developmnt Bank, or other
Resources both inside and outside organizations will be fully used to manage knowledge. mct projectcompanies. ported by WB loan, professional training4 (reimbursemnt.and withdrawal, institutionts.
Individual knowledge will be turned to organizational knowledge, thus creating a studying Number of trainee: repayment arrangement)
atmosphere for the organization; Scientific knowledge managcment tools and methods will be Ap3 12 Shd e
used to set up a knowledge management database inside the DFV to support the career course with case studies.
development of HR.; Form and promote a corporate culture and value that is'integrity, T-i,: Content:
efficiency, harmony and innovation', and enhance the transmission of the corporate culture. AssetsOpemtio and manage- Franchise operation and assets Wf Beijing Rep Offiee, Na-
Set up behavior disciplines of the staff and career ethics, and promote teamwork spirits; A rent department in pro the profession taning
DFV corporate image should feature 'internal cohesion and external attraction'. districts. Schedule: institutions.1- 3 days' intensive training
Number of truinee: course with case studies.
6. Cost & Budget Approx: 15
Trainee: Content:
Since the major operations during the initiation stage of the DFV would focus on project acofnti a iagecont o ignexhane ratis
management, with associating fund operation businesses, the training arrangements for the 6 the DFV. of projects supported by WB
DFV should be aiming at the training of World Bank project management procedures. Number of tralnee; Schedule:Approx: 8 1- 3 days' intensive training
course with case studies.
Table 3 Human Resource Training Plan & CostTriale: Content:
No Trainee & proposed number Content & schedule Trainer Training DFV all departmcnts. English capacity and computer English language trainingCost skill improvcment; English institutions, eomiputer train-
Trinee: Content World Bank Beijing Rep Communieation skill ing eenters, or other profes-DFV senior management staff, Environment infrastructure Office, National Development Number of trainee; improvemcnt. sional mining institutions.persons in charge of district credit analysis & risk control Bank, or other professional 7 Approx: 20 Schedule:
I projcct, representatives from practices; training institutions. Periodical or non-periodicalShanghai municipal govern- training emuses during work-mental authorities. Schedule: ingtime or spare time. LicensesNumber of trainee: 1-3 days' intensive teaching to be issued afler tests.Approx: 10 Proposed first round oftraining:
TrainTee: Content: World Bank ainitution, WorldDepartment directors of the Economicc& financial assess- BankCBeijing Rep OfficeB Na- Treac Content:DFV;keystfFinc financ- intntmhodsmofiafeastruture tional Development Bank or DFV project development Project research anding departments; persons in loans projectst credit & cinan- other professional training l depofteentss developtancharge of district financial cialmonagentt ofinf(ininc- institutions. Number of trsinee:
2 departments. Nnuc loans projetms. Approx: i f cnent stage
Schedule:Number of trlnee: One week's training course Tryusee: Content:Approx: 10 (alternative) with intensive District profcessionals. Stetainability and cost reeov- Professional consultants.
leaching and case studies. 9 ery of infrastructure projects.Number of tre: nee: Schedule:
Trainee: Content. World Bank Institute, WB 5Sin total foer current stage 1-3 days' intensive trainingDFV project managers, man- World Bank/domestic loan Beijing Rep Office, National course wiLh case studies.agers of district project toanagemcnt procedures; do- Development Bank, or otherprtcompa~nies. mestic project management professional training Trlnee: Content:
proems. institutions. District professionals. Management and operation of Professional consultants.3 Nuaberdofitrainee: Schedule: suburban infrastructure
Approx: 12 One week's training course 10 Number of trainee: projects.(alternative) with intensive 5Sin total for current stage Schedule:training, teaching and case 1-3 days' intensive trainingstudies. LicenNses issued after course with case studies.tests.
Total of training expenses
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DFV Operations Manual DFV Operations Manual
43 Apedtr I
Performance Evaluation Sheet - Senior Management Staff(For management staff above directors /(vice) department leaders/managers)
Name: Job name: - T otal score: __Communication Good at communication & coordination Able to cooperate with I0
& coordination others initiatively.
10% Willing to communicate with others to completejobs smoothly. 8-9
Evaluation Range of Self- Score by Able to copeate with others to rac job mclurements. 7
score scoring maaget Badcoordinatioa Hard to cary out jobs. 5-6
Leadership Good at leadership to improve efficiency. Actively realize goals 15 Umble to coordinate with others. Fail to cory out jobs. Below 5
15% and plans. Authonties & Good a assigning authonties. Actively shar knowledge to IC
Flexible leadership to realize goals and plans. 13-14 guides guide subordinates to complete jobs.
Leadership ability to merely realie goals and plans. 11-12 to% Flexible to share authorities and dispatchjobs. Eftectivelyshare 8-9
Not trusted by subordinates. Low motivation. 7.10
Bad leadership. Frequently cause disobediences or objection Below 7Able to dispatch jobs and authoites smoothly to guild sub- 7
from subordinates.
Planning Systematic planning Motivation of improvement 15 Lack dispatching authonties md guiding subordinates. Occa- 5-6
ability Ordinary ability in planning. Motivation of improvement of 13-14
15% jobs. Unable to dispatch aiffhonues and guiding subordinates. Fre Below
Qualified in planning. Ordinary job performance. 11-12 quest face disobcences and complaints from subordinates.
Only perform jobs given. No initiative of planning and 7-10 Work attitudcs Integnty, honest, strong-minded, can be deemed as model. 10
improvement. t0% Integrity, disciplined and accessible. 8-9
No planning ability. Have to depend on othcrs. Below 7 Normal behaviors with no violations to disciplines. 7
Job Complete jobs beautifully with high efficiency and outstand- 15 Obstinate and inaccessible. 5-6
completion ing innovation. Used to handle prtvate business in working time. Frequenly
and efficiency Competent at job completion with high efficiency. 13-14 leave without approval. Below
15% Complete job on time. Qualified perfmance. 11-12 cost Strong consciousness of costs. Reduce cots initiatively to 10
Barely complete jobs. Ordinary performance 7-10 consciousness avoid wasting.
Low efficiency with frequent errors Below 7 t0% Cost consciousness and able to reduce costs. 8-9
Respons,bil- Highly responsible. Complete jobs thoroughly. is Ordinary cost consciousness and able to reduce cosis. 7
ity Responsible. Complete job on time. 13-14 Lack of cast consciousness, with some wasting 5 6
15% Ordinary Responsible. Complete job on time. 11-12 Wth. cost consca.-as, ....- ty watn.
Low responsibility. Need supervision and still cannot rom- 7-10 Note: With resped to "Job Completon & Efficiency",Work Plans and Conclusions (annual or quarter) should
pleme jobs on time. be attached for reference and evaluation.
No responsibility and cannot complete jobs even under fe- Below 7
quentsupensloes. Signature (Vice) General Manager Date
202 203
DFV Operations Manual DFV Operations Manual
Performance Evaluation Sheet - Technical Operation Staff(for technical operation department staff)
Name: Job name: - Total score:Self-discipline Self-disciplhned Conform to various regulations set by the 10
ItIms & Testing Grmtnts Raip of Self- Score by 10% company.
co seorng mnr Conform to company's regulations. Need supervisions. 8-9
Job comple- Able to follow up all the way through and complete jobs before 30 Occasional late for work. Diligent when working. 7
tion required schedule. Weak consciousness of disciplines. Occasional violations to 5-6
30% Able to follow up and complete jobs on time 25-29 company's regulations.
Able to complete job under supervision. 15-25 Frequent violations to company's regulations. Arrogant when Below 5
Occasionally fail to complete job on time under supervison. Below 15 receiving notice of rectification
Job quality Excellent, accurate. No error. 20 Note. With respect to "Job Completion & Efficiency",Work Plans and Conclusions (annual or quarter) should
20% Fare. Have the space to imprve. 15-19 be attached for reference and evaluation.
Not fully careful. Occasional error. 10-14
Bad performance. Frequent errors. Below 10 Signature (Vice) General Manager Date
Job skill Adequate professional skills. Fully competent a completing 10
10% his own jobs.
Certain professional skills. Enough for handling his own jobs. 8-9
Ordinary skills. Able to complete jobs. 7
Inadequate skills. Need assistance of others to complete jobs. 5-6
Unfamiliar with the required jobs Difficult to complete daily Below 5
jobs.Work attitude Hardworking regardless of rewards Try everything to com- I5
& responsi- plete jobs.
bility Hardworking, having initiative and complete his own jobs 13-14
15% beautifully.
Responsible and having initiative. 10-12
Need pushing to complete jobs. 7-9
Work in perfunctory manner. Not responsible. Careless. Below 7
Coordination Seamless coordinnion with others. Make biggest efforts to com- 15
15% pletejobs.
Teamwork spirit Willing to help others. 13-14
Willing to help others at request. 10-12
Cooperate with others only when this is required by the job 7-9
Slack Unwilling to cooperate with others. Below 7
204 205
。Fv 操作手。 ⋯
鳞琦朝XXx项目合作框架协议
本合作框架协议 (以下简称 “本协议” )由以下双方于〔_ _ _ 年_ 月_ 日」在
中华人民共和国上海市订立:
甲方:【 」有限公司(以下简称 “甲方’)
住所:
法定代表人:
和
乙方:上海城投环保产业投资管理有限公司(以下简称 “乙方’)
住所:
法定代表人:
(以上双方单独指称某一方时称为 “一方 ”.合指各方时称为 “双 方”
鉴于,甲方将在上海市〔 〕开发建造【 」项 目(以下简称
“项 目’今。
鉴于,为更好的利用世界银行 APL上海环境项 目贷款 ,世界银行提议针对上海
区 (县)环境保护与治理项 目的开发设立一个融资及管理创新平台(即 “上海区县环境
治理项 目融资平台”.英文简称为 “D四 ,。为此,上海市政府批准设立乙方为实施
主体,负责扼担利用世界银行 APL二期贷款上海区(县)环境项目的融资和管理责任。
鉴于,乙方作为 D四 的实施主体,将从上海市财政局获得世界银行 APL二期贷
款的转贷款;并愿意对本项 目提供部分资金用于符合世界银行贷款使用条件的项 目采
购合同项下的合格支出,以实现 D四 的政策功能.为此双方同意由乙方以其所借之世
行贷款为甲方垫付部分货物、土建以及咨询服务和培训的采购款,此后由甲方分期偿还该笔垫付款及相应费用。
鉴于,乙方在环境项目方面具备一定专业能力并同时承担上述政策功能,甲方
愿意按照乙方规定的标准和条件将其项 目纳入乙方的融资及管理平台.
兹此 ,双方经友好协商达成一致协议如下:
第一条 合作内容
双方同意在以下方面开展合作:
如有需要 ,甲方亦可委托乙方为其设计一揽子项 目融资方案,授权 乙方与政策
性银行、商业银行等国内金融机构进行融资谈判,落实项 目之国内配套资金.如有必
版权所有范团肠汇衡律师事务所 207
O「V操作手册 O「V操作手册
. 要,乙方或乙方的控股股东上海市城市建设投资开发总公司可以向甲方提供委托, 、并且有权对项目实施有关的货物、场地、工作以及任何记录和文件断检查; 耀口口甲 . 211 按双方约定的时间和数量向乙方支付采购垫付款、代理费、管理费等费 游黔暇
在项 目建设期及运营期,乙方可以为甲方设计资本运作及资产重组方案。 用 ;
就本项服 务,双方应另行签订相关协议 。 . 2 抢 按照本协议以及相关附件的要求提供有效担保;
第二条 甲方义务 ·213 为履行本协议以及相关附件而应承担的其他义务,尤其是为使用世界银行贷款而必须履行的世界银行所规定的义务;
.21 在乙方 以及相关专业机构的协助下,按照有关法律、法规以及上海市政府
的要求完成项 目的立项; .2.14 上海市政府和世界银行签订的 《项目协议》附件四中的第 8 段在此被并入
本协议且构成本协议的一部分。甲方同意承担上述段落 中 “受益人 ”的全部义务。
.22 在乙方 以及相关专业机构的协助下,审查项目的技术、经济和财务要求, 如果上述第 8 段中的规定和本协议规定有冲突,则以第 8 段中的规定为准。
以及项 目执行成果 的可能性;
第三条 乙方义务.23 在乙方以及相关专业机构的协助下,编制并实施符合世界银行要求的环境
影响评价(E工A)(包括环境管理计划(EMP))及移民安籮计划(RAP);.3.1 协助甲方完成项目立项及前期准备相关的工作;
.2.4 依据乙方所能接受的适当的项目管理、财务、施工和公用设施的实践以及 . 3.2 协助 甲方完成项目建议书、工程可行性研究报告、初步设计、环评(E工A)
社会和环境标准,勤勉并高效地实施和运营项目(包括完成环境影响减除措施,即 与移民安置计划(RAP)等文件;
EMP ,以及 ,如适用的话,移民安置计划);
.33 要求甲方就乙方垫付的费用提供偿付担保;
.25 在乙方 以及相关专业机构的协助下,根据项 目进展情况,及时制定符合世
界银行要求的采购计划并向乙方提 出采购要求,签订采购 委托合同: .34 协助 甲方对工程的设计和施工进行招标、评标、定标;
.2.6 根据乙方的要求以及佼用世界银行贷款的条款和条件 ,全面履行货物、土 . 35 协助 甲方对项 目建设中需要的货物、土建、咨询服务进行采购;
建 、咨询服务等采购合同下的义务,并且仅限于将所有货物和服务用于本项 目:
.36 对项目前期准备、招投标、采购、工程进度及质量控制等项目实施中的
.27 为乙方之代理采购提供一切必要的协助 ,包括但不 限于及时免费提供相关 若干环节进行监督 ;
资料、会同乙方与相关政府部门进行沟通、协调等 ;
.37 要求甲方偼还乙方垫付款并就乙方提供的服务向甲方收取代理费、管理费
.28 在乙方满意的范围内,起草并在每年的 3 月 1 日和 9 月 1 日当日或者左右 (从 等费 用 ;
本协议签籲日后的 3 月 1 日或者 9 月 1 日开始),就项 目的进展情况向乙方提交半年报
告; .38 对 甲方佼用世行贷款情况进行检查、监督,要求甲方及时提供有关财务会
计报 表等资料;
.2.9 在合理时间内就乙方以书面形式提交的一切事宜做出书面决定;
.39 按照双方约定,完成 甲方委托的其他服务事项。
.2.10 接受乙方对其佼用世行贷款情况和有关生产经营、财务活动等的监督,乙
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. ,四条甲方扼。 .6.12除以其主营业务收入收费权提供质押担保外,甲方还应向乙方提供商、 覆州暇月 银行或【 ]的连带责任保证或乙方认可的其他担保方式。 助麟 翔
.曲口护 . 41 甲方扼诺 ,在本协议有效期内,除非乙方另行书面同意,就本协议第一 砖池搬盼
条第四款 中规定的委托 内容,不再委托其他任何人从事应由乙方承担的委托事务。 . 6.2 担保范围
采购垫付款、〔代理费、管理费〕及与上述费用相关的利息、滞纳金、损害赔偿金
.42 甲方进一步扼诺: 和实现担保的费用
(l) 自本项目所建设的设施试运营之日幼试运营日’)后的24个月开始,在每个会 ,63 甲方应按乙方指定的内容及时签订质押合同和担保合同,否则乙方有权拒
计年度中所产生的总收入应不少于折旧前的总运营成本(包括维护)以及偿债资金需 绝履行其任何本协议或者所附专项协议项 下的义务
要 量 。
(2)自试运营日后的第一个9月30日开始,在每个会计年度中的9月30日前,以 第七条不可抗力令乙方满意的方式,审核并预期当年度和下一年度对上述第 42(l )节所述要求的
履行情况,并且在完成后向乙方提供审核报告:并且 . 7.1 如果在履行本协议所规定义务时出现延误或不能履行,且该延误或不能履
(3) 如果任何此类审核显示在该审核所涵盖的会计年度可能无法满足上述第42(l )节 行是签署本协议之时不可预见 的,且其发生或后果是各方 以合理的方式无法避免又
所述 的要求,甲方应立即采取所有必要措施以满足该要求 无法克服的(“不可抗力事件,&),则任何一方均不应对因此等延误或不能履行所造
成的任何损害、成本增加或损失扼担责任 .此等不履行或履行迟延不应视为对本协
.43 本协议第 4.2 条中,诸如 ‘·总收入 ”, “总运营成本”以及 “偿债资金 议 的违约 ·
需要量”等术语应当具有世界银行和上海市政府之间就上海 A PL二期环境项目所签
订 的 《项 目协议 》中所定义 的含 义。 . 72 以下事件均应被视为不可抗力事件 :战争 (无论是否宣战)、暴乱、爆炸、
火灾 、水灾、地震 、台风、大规模流行性疾 病、其它重大 自然灾 害、牵涉到全
第五条 支付 面或部分停工的劳动纠纷、任何相关法律、法规、规章或类似效力文件的颁布或者 修 改 。
.51 甲方应为本协议及本协议所附专项协议项下乙方所提供的服务向乙方支付必
要的代理费和管理 费用 二 73 有关一方应当毫不迟延地通过传真在不可抗力事件过后十五 (15)天内向另一
方提供不可抗力事件的详细情况,并提交国家有关权威机构 出具的有效文件,证明
.5.2 乙方同意为本协议及本协议所附专项协议项下的委托采购向供应商/扼包商 其无法履行或延迟履行本协议所规定全部或部分义务的原因,并应当在造成该延迟
先行垫付部分采购 费用 ,此后由甲方分期偼还。 或不能履行的原因发生后尽快采取一切合理措施将该延迟或不能履行的影响减少到最
低程度或消除该影响,并努力恢复因不 可抗力造成的迟延或阻断了的义务履行。
.53 甲、乙方双方应就本条所规定的甲方偿付义务另行签订其格式和条件如本
协议附件四的‘委托交易偼付协议》,并严格遵照该协议执行。 第八条违约贵任
第六条 担保 ·81 任何一方违反其在本协议和/或所附专项协议项下之义务都应被视为违约行为。违约一方应对其违约行为给守约方所造成的全部损失承担损害赔偿责任.但该
.6.1 担保方式 等损失不超过违约方在签订合同时预见到或理应预见到其违约可能导致的损失范围,
并且该等损失应 为其违约行为的直接后果。
.6 11 就本协议第五条和相关附件中规定的甲方对乙方的偿付义务,甲方同意
以其主营业务收入收费权向乙方提供质押担保。 . 8.2 如果甲方违约,在不损害乙方本协议下权利的前提下,乙方有权停止为甲
方垫付本协议附件所规定的采购款 .
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. 第九条终。 .122本协议之附件为本协议的组成部分,与本协议具有同等法律效力 夔.目圈r .9.1 除非另有规定,本协议在下述任一情况下终止: .12.3 对本协议的任何修订、修改或添加必须 以书面方式作出并经双方签署,否 认二时;
则不产生效力且对任何一方无约束力。
(l )双方 以书面形式协商一致:
.124 任何一方未能执行本协议的任何条款 ,或未能行使与之相关的任何权利,
(2)如果一方完全因其责任在合同规定的时间期限内未履行其义务,并且在收到 不应被解释为放弃执行该条款或其它条款之权利,或放弃行使该权利或其它权利。
未违约方的书面要求后〔 ]日内未能消除违约影响或采取补救措施 ,未违约方有
权 向违约方发出书面通知终止本协议:或 . 125 本协议部分条款的无效或不生效,不影响其他条款的效力。
(3)不可抗力事件造成本协议无法履行超过「 】日而双方无法就合同履行另行达成 . 12.6 本协议一式〔 J份,双方各保 留一份原件,另〔 〕份原件提交给
一致而书面 同意终止本协议的。 有关机构备案 。
.92 本协议 的终止不影响任何一方的法定权利,包括但 不限于其根据本协议之
约定对 因协议终止而遭受的损害向责任方提出索赔的权利 。
第十条 争议解决 兹此为证,甲、乙双方签署本协议如下,以昭信守。(本页为签字页)
.101 由本协议所引起的或与本协议有关的任何争议,各方应 当努力通过友好协
商予 以解决 。
.10.2 如果这些争议在一方向另一方提出协商之后 2个月内不能解决,该争议应 甲方:_ 乙方 :
提交中国国际经济贸易仲裁委员会上海分会,由三位仲裁员按当时有效的 “中国国
际经济贸易仲裁委员会仲裁规则 ”仲裁解决。仲裁裁决是最终裁决并对有关各方具
有约束力 。除非仲裁庭另有规定,败诉方将承担仲裁费用。
授权代表: ________ _ 授权代表:________
.10.3 仲裁期间,除争议部分外,各方应继续履行本协议。
第十一条 通知
.11.1 除非双方另有约定.本协议项下的任何通知应 以书面形式,并应由传真
或中国邮政 EMS特快专递寄送或者当面呈送。若以传真的方式发送,则发送日后一
天通知应被视作送达 。若以 EMS特快专递方式寄送,则另一方收到之 日,通知应
被视为送达 。若以当面呈送的方式 ,则另一方收到之时即被视为通知己送达 。
第十二条 生效及其他
.12.1 本协议应 自双方正式授权的代表签字并盖章之日起生效。
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呱 肠璐口哑红 __二__. 耀. 委睬贻同(进口, &&’口,排 夔口日甲 本委托采购合同(进口)(以下简称“本合同与由以下双方于 [_ 年_ 月_ 日〕 . 2·1 因建设该项 目而需进 口货物时,甲方应根据项 目的建设需要自行选定货物 蔺妞幽盆
在中华人民共和国上海市订立: 的种类 及卖方 ,并与卖方就货物 的名称、规格、型号、性能、质量、数量 、技
委托人:〔 〕有限公司(以下简称 “甲方勺 术标 准及服 务内容、品质 、技术保证及价格条款、交货时间、检验、索赔等货
住 所: 物采购合同项下的各项事宜 (以下合称为 “货物采购条件, 达成一致 ·
法 定代 表人:
和 . 22 在甲方与卖方就拟进 口货物的采购条件达成一致后,甲方应向乙方下达进
受托人:上海城投环保产业投资管理有限公司(以下简称 。乙方 ,&) 口委托单,载明该等货物采购条件 ,乙方应根据委托单与甲方共同和卖方签订相应
住 所: 的货物采购合同 ·
法 定代 表人:
.2.3 乙方依据本合同为甲方垫付货物采购合同约定的价款.但甲方应负责支付
(以上双方单独指称某一方时称 为 “一方”,合指各方时称 为 “双方 ,&) 与货物进口有关的运费、保险费、关税 、进口环节增值税及消费税 · 手续费、报
关费、商检费、港杂 费、仓储 费等所有 费用 〔如有〕(以上合称为 “进口费用” 。
鉴于,甲方将在上海市〔 〕开发建造〔 〕项目(以下简称 “项 除非本合同另有约定,甲方应负责货物采购合同的实际履行 ·
目,,为该项目,双方己签籲 《关于 xx 项目的合作框架协议》,甲方将在乙方协助
下佼用世行贷款资金向国外供应商采购一定的设备和材料(以下合称为 “货物 ,。 ·2.4 乙方应配合甲方办理货物进口报关手续,货物进口报关单应采用双抬头 「即
乙方作为买方,甲方作为最终用户〕。货物到达目的港前 由乙方向甲方签发书面的
鉴于,乙方拥有向国外采购货物的管理经验和外贸经营权 . 收货通知,要求甲方提货;甲方接到乙方的收货通知后应按通知的到货时间及时自
行提取货物。甲方并应及时进行货物的检验 ,如果货物经检验应向卖方进行索赔
鉴于,甲方愿意委托乙方,且乙方愿意接受甲方的委托,作为甲方项 目中货 的,甲方应根据本合同第六条之规定以自己的名义 向卖方提出索赔 · 乙方对此应予
物进 口的代理人,与甲方共同对外签订采购合同和在甲方的授权范围内履行采购合 以配 合 。
同。
.2.5 乙方有权监督货物采购合同的履行状况 .
兹此,双方经友好协商达成一致协议如下:
第三条 委托采购的费用偿付第一条 委托
.31 甲方应为本合同项下的委托采购向乙方支付必要的代理费和管理费用。
.11 甲方以最终用户的身份委托乙方作为其在该项 目中进口货物的采购代理人,
乙方接受甲方委托,与甲方共同对外签订货物采购合同和在本合同规定的范围及 甲 , 32 乙方同意为本合同项下的委托采购先行垫付采购费用 ,此后 由甲方偿还。
方进一步授权的范围内履行该等货物采购合同。 乙方将为甲方应偿付的垫付货款、各项代 理费、管理费等签发付款通知 ,甲方应
按照付款通知的要求及时偼付。甲方应 自行承担与货物进 口相关的进口费用 。
。 1 .2 甲方委托乙方代理进 口之货物的范围,以甲方每次 向乙方出具的进 口委托 ·3·3 甲、乙方双方应就本条规定甲方之偿付义务另行签订 《委托交易偿付协
单 (格式见本合同附录)为准 。进口委托单中的内容应作为甲、乙双方与销售该货物 议》,并严 格遵照 该协议 执行 ·
的国外供应商(以下简称 “卖方 ”签署货物采购合同的基础 。
第四条 甲方义务.1.3 本合同的签订不构成甲、乙双方任何形式的合资或合作。乙方应严格按照
甲方委托的范围从事代理活动.不得在指定范围以外以甲方名义从事任何形式的活 ”牛 1 甲方应及时向乙方下达进口委托单,并负责会同乙方与卖方签订货物采购
动 。 合 同 。
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恤 :二:::二 二二二::: :弊钾燮嘿了 .55乙方应负责向外汇管理局办理进口付汇核销\. 鬓.43 甲方对卖方、货物和货物采购条件的确定应符合 《世界银行采购指南》的
规定。 第六条 索赔处理
.44 甲方应按照提货通知书及时做好提货工作。 . 61 因履行货物采购合同发生索赔时,甲方应 以自己的名义直接向卖方提出索
赔,乙方对此予以配合。任何索赔事项的决定应由甲方作出并由甲方承担后果。甲、
.4.5 货到 目的地后 ,甲方应及时进行货物的检验,如发现任何质量问题,应 乙双方须互相及时通报对外索赔进展情况
及时按本合 同第六条的约定向卖方提出索赔.同时通知乙方 。
.62 甲方必须认真遵守 《中华人 民共和国进出口商品检验法》,发现问题时,
.46 甲方应按照乙方出具的付款通知的规定、本合同以及 (委托交易偼付协议》 及时处理。 凡属于船方或保险责任的,应会同甲方在港口的货运代理向有关责任方
的约定及时向乙方偼付垫付款、代理费和管理费,并 自行扼担与进 口相关的进口费 面索要货损、货差证明,并通过乙方向保险公司办理有关索赔手续。 凡属于卖方责
用 。 任的短重及/或品质索赔,甲方应及时申请商检 ,并在合同规定的索赔有效期终了前
自行及时对外索赔。
.47 甲、乙双方依据本合同对外签订货物采购合同后,甲方不得要求擅 自更改
货物采购合同内容,除非要求更改的部分并不增加乙方风险,且乙方和卖方均予以 第七条 担保同 意 。
.71 甲方应为履行本合同项下甲方之义务向乙方提供担保,有关担保的具体规
.48 如因甲方迟延或未能履行本合同项下的义务或因其他可归因于甲方的原因, 定由甲、乙双方在另行签订的 《委托交易偿付协议》中予 以约定。
而导致 乙方不能或者迟延履行对卖方的货物采购合同的,甲方应赔偿乙方由此产生
的一切损失、费用。 第八条 不可抗力
.49 甲方应及时、完整地向乙方提供与进 口货物有关的一切有效单证,并随时 . 8.1 如果在履行本合同所规定义务时出现延误或不能履行.且该延误或不能履
提供一切必要协助 ,以便乙方及时办理进口付汇核销等事宜 。 行是签籲本合同之时不可预见的,且其发生或后果是各方以合理的方式无法避免又无
法克服的(&’不可抗力事件 ,,则任何一方均不应对因此等延误或不能履行所造成的任
何损害、成本增加或损失扼担责任。此等不履行或履行迟延不应视为对本合同的违
第五条 乙方义务 约。
.51 乙方应根据甲方交付的进口委托单协助制定货物采购合同,或审核、修改 . 8.2 以下事件均应被视为不可抗力事件:战争 (无论是否宣战)、暴乱、爆炸、
由卖方提供的货物采购合同.并与甲方共同签籲货物采购合同。 火灾、水灾、地震、台风、大规模流行性疾病、其它重大 自然灾害、牵涉到全面或部
分停工的劳动纠纷、任何相关法律 、法规、规章或类似效力文件的颁布或者修改
.52 乙方应根据货物采购合同的要求对外支付货款。
.8.3 有关一方应当毫不迟延地通过传真在不可抗力事件过后十五(15)天内向另一
.53 乙方应协助甲方办理进口报关和其他交接货手续。 方提供不可抗力事件的详细情况,并提交有关国家的权威机构出具的有效文件,证明
其无法履行或延迟履行本合同所规定全部或部分义务的原因,并应当在造成该延迟或
.54 乙方应及时向甲方通报其所掌握的进口合同的履行情况,及时向甲方出具 不能履行的原因发生后尽快采取一切合理措施将该延迟或不能履行的影响减少到最低
付款通知,以便 甲方 及时做好还款准 备. 程度或消除该影响,并努力恢复因不可抗力造成的迟延或阻断了的义务履行 。
,。瘾作手。 一 ‘一 DFv暴。⋯
.,*& ;。。。 或中国邮政EMS特快专递寄送或者当面线。若以传真的方式发送,则发送日后一天 瞿脚巨匆 通知应被视作送达。若以EMS特快专递方式寄送,则另一方收到之日,通知应被视为 易黝剔.日, 。 9.1 除本合同另有约定外,任何一方违反其在本合同项下之义务都应被视为违 送达。若以当面呈送的方式,则另一方收到之时即被视为通知己送达。 磷 眼牙
约行为。违约一方应对其违约行为给守约方所造成的全部损失承担损害赔偿责任,但
该等损失不应超过违约方在签订合同时预见到或理应预见到其违约可能导致的损失范 第十三条 生效及其他围,并且该等损失应为其违约行为的直接后果。
.131 本合同应 自双方正式授权的代表签字并盖章之 日起生效。
第十条 合同终止.132 本合同之附件为本合同的组成部分,与本合同具有同等法律效力。
.101 除非另有规定,本合同在下述任一情况下终止:.13.3 对本合同的任何修订 、修改或添加必须以书面方式作出并经双方签署,否
(I )双方以书面形式协商一致;或 则不产生效力且对任何一方无约束力。
(z) 如果一方完全因其责任在合同规定的时间期限内未履行其义务,并且在收到 , ]34 任何一方未能执行本合同的任何条款,或未能行使与之相关的任何权利,未违约方的书面要求后〔 〕日内未能消除违约影响或采取补救措施,未违约方有 不应被解释为放弃执行该条款或其它条款之权利,或放弃行使该权利或其它权利。
权 向违约方发出书面通知终止合同.135 本合同部分条款的无效或不生效,不影响其他条款的效力。
(3) 不可抗力事件造成合同无法履行超过〔 〕日而双方无法就合同履行另行达成合同而书面同意终止合同的 . 136 本合同一式〔 ]份,双方各保留一份原件,另〔 〕份原件提交给
有关机构备案。
.102 本合同的终止不影响合同任何一方的法定权利,包括但不限于其根据本合
同之约定对因合同终止而遭受的损害向责任方提出索赔的权利 。 兹此 为证, 甲、乙双方签署 本合同如下 ,以昭信 守 。
第十一条 争议解决 甲方二― 一一 ― 乙方:― 一一―
.11.1 由本合同所引起的或与本合同有关的任何争议,各方应 当努力通过友好协商予以解决。 授权代表: __________ _ 授权代表:_________
.11.2 如果争议在一方向另一方提出协商后 2 个月内不能解决,该争议应提交中
国国际经济贸易仲裁委员会上海分会,由三位仲裁员按当时有效的“中国国际经济贸
易仲裁委员会仲裁规则 ”仲裁解决。仲裁裁决是最终裁决并对有关各方具有约束力。
除非仲裁庭另有规定,败诉方将承担仲裁费用。
.11.3 仲裁期间,除争议部分外,各方应继续履行本合同。
第十二条 通知
.121 除非双方另有约定,本合同项下的任何通知应以书面形式,并应由传真
2 IB 219
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口口. 耽豁系 丽件1’附灵 l 呱翻敷丽俘2! 灌魏圈
口口皿 【 ]有限公司进口委托单〔编号: ) 黔砚勇
.. , 〔 浦 限公司己与下列卖方就进 口产品达成一致,特此委托上海城 本货物委托采购合同(以下简称 “本合同,&)由以下双方于〔_ _ 年_ 月_ 日」 葺硬翻姗
投环保产业投资管理有限公司与卖方签订进口合同.办理进 口事宜。 在中华人 民共和国上海市订立;
卖方名称:______ _ 委托人:〔 〕有限公司(以下简称 “甲方,&)
地 址 __________ _ 住 所 :
法定代表人:____ _ 法定 代表人 :
联系方式:___ _ 和
一、 产品订购 内容: 受托人:上海城投环保产业 投资管理有限公司 (以下简称 “乙方 ,
节犷汀犷住 所:
法定代 表人 :
(以上双方单独指称某一方时称 为 “一方 ”,合指各方时称为 “双方 ’,)
鉴于,甲方将在上海市 【 」开发建造 【 〕项目(以下简称‘项 目” ,
为该项目,双方己签籲 《关于 xx 项 目的合作框架协议》,甲方将在乙方协助下使用
世行贷款资金向国内供应商采购一定的设备和材料 (以下合称为 “货物,。
包装附加费:
备注: 鉴于,乙方拥有关于此类项 目中货物采购的管理经验 。
不含税合计:
税金: 鉴于,甲方愿意委托乙方,且乙方愿意接受甲方的委托,作为甲方项目中货物采
价款总计: 购的代理人.与 甲方共同签订采购合同和在甲方的授权范围内履行采购合同
金额(大写》
二、交货方式:_______ _ 兹此,双方经友好协商达成一致合同如下:
孟瞿粚― 第一条委托五、质量标准:_六、包装方式: ,特殊要求: 。 . 1·1 甲方以最终用户的身份委托乙方作为其在该项目中货物采购的代理人,乙
七、其他货物采购条件: 方接受甲方委托,与甲方共同对外签订货物采购合同,并在本合同规定的范围内及甲
八、本进 口委托单经受托人签收并盖章后生效。本单可以传真形式签收。传真签收的 方进一步授权的范围内履行该等货物采购合同。
采购委托单视同原件。
九 · 受托人严格按照本单内容与卖方签订进 口合同,进口合同签订后委托人不得要求 . LZ 甲方委托乙方代理采购货物的范围,以甲方每 次向乙方出具的采购委托单
受托人更改进口合同内容,除非要求更改的部分并不增加乙方风险,且受托人和卖方 (格式见本合同附录)为准 · 采购委托单中的内容应作为甲、乙双方与销售该货物的国
均同意。 内供应商(以下简称 “卖方”签署货物采购合同的基础 。
委托人:〔 〕有限公司 . L3 本合同的签订不构成甲、乙双方任何形式的合资或合作。乙方应严格按照
受托人:上海城投环保产业投资管理有限公司 甲方委托的范围从事代理活动,不得在指定范围以外以甲方名义从事任何形式的活
动。
日 期 : 签收 日期:
22。 版权所有卼 6汇衡律师事务所 版权所有卿 06汇衡律师事务所 221
一 一 .................................
OFV操作手册 OFV操作手册
. ,一二二。。排 。法律、法规和政策的规定,并确保所购货物的真实性及货物价格为正常市场价 镬. 组 另 一 乐 禾 删 文排 “·’自一 ’自~一~ ,&J,&,,&&,)jl~, ~目一 , ~&,&~&& ~ · 一 ~ .麟.
. .护 。 21 在为建设该项 目所需而拟采购货物时,甲方应根据项 目的建设需要自行选 . 43 甲方对卖方、货物和货物采购条件的确定应符合 《世界银行采购指南》的 .颐翻蔺
定货物的种类及卖方,并与卖方就货物的名称、规格、型号、性能、质量、数量、技 规定。
术标准及服务内容、技术保证及价格条款、交货时间、检验、索赔等货物采购合同项
下的各项事宜(以下合称为 “货物采购条件’)达成一致。 .44 甲方应按照提货通知书及时做好提货工作.
.22 在甲方与卖方就货物采购条件达成一致后,甲方应向乙方下达采购委托单, .45 货到目的地后,甲方应及时进行货物的检验 ,如发现任何质量问题,应
载明该等货物采购条件,乙方应根据采购委托单与甲方共同和卖方签订相应的货物采 及时按本合同第六条的约定向卖方提出索赔,同时通知乙方 。
购合 同。
.46 甲方应按照乙方出具的付款通知的规定、本合同以及 《委托交易偿付协议》
· 23 乙方将为甲方先行垫付货物采购合同约定的价款。甲方则应负责支付与货 的约定及时向乙方偿付垫付货款、代理费和管理费。
物采购有关的所有运费、保险费、增值税、仓储费等费用【如有〕(以上合称为 “采购费用 , 除非本合同另有约定,甲方应负责货物采购合同的实际履行二 4·7 甲、乙双方依据本合同对外签订货物采购合同后,甲方不得擅 自更改货物
采购合同内容,除非要求更改的部分并不增加乙方风险,且乙方和卖方均予以同意。
.2.4 甲方接到收货通知后应按通知的到货时间及时自行提取货物。甲方并应及
时进行货物的检验,如果货物经检验应向卖方进行索赔的,甲方应根据本合同第六条 .48 如因甲方迟延或未能履行本合同项下的义务或因其他可归因于甲方的原因.
之规定以自己的名义向卖方提出索赔。 而导致乙方不能或者迟延履行对卖方的货物采购合同的,甲方应赔偿乙方由此产生的
一切损失、费用。
.25 乙方有权监督货物采购合同的履行状况。.49 甲方应及时将与货物采购合同及 /或货物有关的所有单据、凭证、材料、
第三条 委托采购的费用偼付 文件的复印件提供给乙方备案·
· 31 甲方应为本合同项下的委托采购向乙方支付必要的代理费和管理费用。 第五条 乙方义务
.3.2 乙方同意为本合同项下的委托采购向卖方先行垫付采购费用,此后由甲方 . 51 乙方应根据甲方交付的采购委托单协助制定货物采购合同.或审核、修改
偼还。乙方将为甲方应偼付的垫付货款、各项代理费、管理费等签发付款通知,甲方 由卖方提供的货物采购合同,并与 甲方共同签署货物采购合同。
应按照付款通知的要求及时偼付。甲方应 自行承担与货物采购相关的采购费用。.52 乙方应根据货物采购合 同的要求先行垫付货款。
.33 甲、乙方双方应就本条规定甲方之偿付义务另行签订 《委托交易偿付协议》,并严格遵照该协议执行, .53 乙方应及时向甲方通报其所掌握的货物采购合同的履行情况,及时向甲方
出具付款通知.以便甲方及时做好还款准备。
第四条 甲方义务第六条 索赔处理
.41 甲方应及时向乙方下达采购委托单,并负责会同乙方与卖方签订货物采购合同。 . 61 因履行货物采购合同发生索赔时,甲方应 自行向卖方提出索赔。任何索赔
事项的决定应 由甲方作出并由甲方承担后果。
.42 甲方对外所做的扼诺或约定以及甲方委托乙方采购的货物必须符合中国现行
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一 一 日一一.一一 ........... 一 一
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. ,七条担, 权向违约方发出书面通知终止合同。 耀
.. , 。7 .1 甲方应为履行本合同项下甲方之义务向乙方提供担保,有关担保的具体规 (3) 不可抗力事件造成合同无法履行超过_ 日而双方无法就合同履行另行达成 濒 髓定由甲、乙双方在另行签订的 《委托交易偼付协议》中予以约定 · 合同而书面 同意终止合同的。
第八条 不可抗力 .102 本合同的终止不影响合同任何一方的法定权利,包括但不限于其根据本合同之约定对因合同终止而遭受的损害向责任方提出索赔的权利.
.81 如果在履行本合同所规定义务时出现延误或不能履行,且该延误或不能履
行是签籲本合同之时不可预见的,且其发生或后果是各方以合理的方式无法避免又无 第十一条 争议解决法克服的俨不可抗力事件 ,,则任何一方均不应对因此等延误或不能履行所造成的任
何损害、成本增加或损失扼担责任。此等不履行或履行迟延不应视为对本合同的违 . 11.1 由本合同所 引起的或与本合同有关的任何争议,各方应当努力通过友好协
约。 商予以解决
.8.2 以下事件均应被视为不可抗力事件:战争(无论是否宣战)、暴乱、爆炸、 . 11.2 如果争议在一方 向另一方提出协商后 2 个月内不能解决,该争议应提交中火灾、水灾、地震、台风、大规模流行性疾病、其它重大自然灾害、牵涉到全面或部 国国际经济贸易仲裁委员会上海分会,由三位仲裁员按当时有效的 “中国国际经济贸分停工的劳动纠纷 、任何相关法律、法规、规章或类似效力文件的颁布或者修改。 易仲裁委员会仲裁规则’,仲裁解决.仲裁裁决是最终裁决并对有关各方具有约束力
除非仲裁庭另有规定,败诉方将承担仲裁费用。.8.3 有关一方应当毫不迟延地通过传真在不可抗力事件过后十五(15)天内向另一
方提供不可抗力事件的详细情况,并提交有关国家的权威机构出具的有效文件,证明 . 113 仲裁期间,除争议部分外,各方应继续履行本合同。
其无法履行或延迟履行本合同所规定全部或部分义务的原因,并应 当在造成该延迟或
不能履行的原因发生后尽快采取一切合理措施将该延迟或不能履行的影响减少到最低 第十二条通知程度或消除该影响,并努力恢复因不可抗力造成的迟延或阻断了的义务履行。
.121 除非双方另有约定.本合同项下的任何通知应 以书面形式,并应由传真
第九条 违约责任 或中国邮政EMs特快专递寄送或者当面呈送。若以传真的方式发送,则发送日后一天通知应被视作送达。若以 EMS特快专递方式寄送,则另一方收到之日,通知应被视为
.9.1 除本合同另有约定外,任何一方违反其在本合同项下之义务都应被视为违 送达 .若以当面呈送的方式,则另一方收到之时即被视为通知已送达。
约行为。违约一方应对其违约行为给守约方所造成的全部损失承担损害赔偿责任,但
该等损失不应超过违约方在签订合同时预见到或理应预见到其违约可能导致的损失范 第十三条 生效及其他围,并且该等损失应为其违约行为的直接后果。
.131 本合同应 自双方正式授权的代表签字并盖章之日起生效第十条 合同终止
.132 本合同之附件为本合同的组成部分,与本合同具有 同等法律效力.101 除非另有规定,本合同在下述任一情况下终止:
.133 对本合同的任何修订、修改或添加必须 以书面方式作出并经双方签署,否
(l )双方以书面形式协商一致;或 则不产生效力且对任何一方无约束力 .
(2)如果一方完全因其责任在合同规定的时间期限内未履行其义务,并且在收到 . 134 任何一方未能执行本合同的任何条款 ,或未能行使与之相关的任何权利,
未违约方的书面要求后_ 日内未能消除违约影响或采取补救措施,未违约方有 不应被解释为放弃执行该条款或其它条款之权利,或放弃行使该权利或其它权利。
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曰圈 舞麒口 附再乏飞附录1 滋糊留口麟妞 . 135 本合同部分条款的无效或不生效,不影响其他条款的效力。 孚 「山玉 妻不苗 侣缝豁日口加 【 〕有限公司进口委托单(编号: ) 卿镶 组
口日护 .136 本合同一式〔 〕份,双方各保留一份原件,另〔 〕份原件提交给 〔 」有限公司已与下列卖方就进口产品达成一致,特此委托上海城 蘸峨理有关机构备案。 投环保产业投资管理有限公司与卖方签订进口合同,办理进口事宜 。
卖方名称:
兹此 为证,甲、乙双 方签籲本合同如下 ,以昭信守。 地 址: ________
法定代表人:
联系方式:
甲方: 乙方:_ 一、 产品订购内容:
~:一~:一 班料样包装附加费:
备注:
不含税合计:
税金:
价款总计:
金额(大写)
二、交货方式: _______
三、目的地为:
四、付款方式:
五、质量标准:
六、包装方式: ,特殊要求:
七、其他货物采购条件:
八、本进口委托单经受托人签收并盖章后生效.本单可以传真形式签收。传真签收的
采购委托单视同原件。
九、受托人严格按照本单内容与卖方签订进口合同,进口合同签订后委托人不得要求
受托人更改进 口合同内容,除非要求更改的部分并不增加乙方风险,且受托人和卖方
均同意.
委托人:【 〕有限公司
受托人:上海城投环保产业投资管理有限公司
日期 : 签收 日期
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口口口 呱韶口-阳件渔 霹巍口口粗 禾 澡不业 耐 12卜同 了丰 再红、 (1) 项 目名称:上海 区(县) 工程项目; 眯礴屡 l
口曰口 (2) 项目总投资: (万元)(以批准的投资概算为准); 砂履期
.口甲 本委托采购合同(土建)(以下简称“本合同,由以下双方于〔_ _ 年_月_日〕 (3) 建设地点:上海--一 区(县) 鑫麟渊
在中华人民共和国上海市订立: (4) 建设规模:_____________________;
(5) 建设内容: ______________ _。
委托人: 有限公司(以下简称 “甲方 ,
住所: .22 乙方作为甲方代理人并会同甲方,与工程承包人协商和确定工程承包合同
法定代表人: 及其他相关协议的内容,并作为代理人共同签订工程承包合同及其他的相关协议。
和
代理人:上海城投环保产业投资管理有限公司 (以下简称 “乙方, .23 乙方可协助编制或审核环评报告、动拆迁报 告、项 目可行性研究报告,初
住所: 步设计、投资概算、施工图等基础工程文件,并有权根据建设项 目实际状况,提出调
法定代表人: 整或变更意见,并督促甲方落实。
(以上双方单独指称某一方时称为 “一方”,合指各方时称为 “双方 ” .2.4 乙方有权对建设项 目的建造 、建设资金的使用进行监督,就其中存在的任
何问题提 出整改建议,甲方应予以落实。
鉴于,为保证世界银行上海 APL二期贷款项目的顺利实施,双方己签署 《关于 x
X项目的合作框架协议》,约定由乙方担纲甲方的土建采购代理并以其所借之世行贷 . 25 乙方有权审核施工监理和投资监理向甲方提交的监理报告,并对其工作进
款先行垫付部分采购费用; 行监督。
鉴于,乙方熟悉世行贷款项 目的采购和支付程序,此前又己协助甲方进行本项目 . 26 乙方有权查阅甲方的财务报表等会计资料 ,并在此基础上协助甲方编制或
的前期开发,甲方愿意借助乙方上述专业优势以推进项目顺利实施; 审核年度、季度及月度工程用款计划;有权要求甲方与工程承包人商定或调整具体的
工程款结算日期,以便佼之与世行提款时间相匹配;有权代表甲方与商业银行等其他
兹此 · 根据 《中华人民共和国合同法》,经甲方与乙方双方协商同意.签订本合 债权人协商确定项目建设期的还款计划。
同如下.
.27 在项目建设期内,受甲方另外委托,乙方可以为甲方设计资本运作及资产
第一条 委托 重组方案。
.1.1 甲方委托乙方,并且乙方接受甲方的委托协助甲方进行工程扼包合同的谈 .28 乙方有权参与项目工程竣工验收及工程决算编制工作。
判、审核和修改,并作为甲方的代理人同甲方一起.按照共同确定的合同内容与承包
人共同签订工程扼包合同 . 29 乙方审核工程进度报表,并按照工程承包合 同的约定,向承包人先行垫付
世行核定范围内的工程款。
.12 本合同的签籲并不导致双方之间形成任何形式的合营或合作。乙方应当严
格按照甲方的授权范围从事其代理活动,并且不得超出授权范围以甲方名义从事任何 . 210 甲方按 《委托交易偿付协议》(请参见本合同第三条)之约定确保向乙方偿
形式的活动。 还垫付工程款。
第二条 建设委托安排 第三条 建设代理垫付款的偿还
.2.1 项目概况 . 3.1 就本合同下的建设代理服务,甲方应当向乙方支付代理费和管理费。
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顺 .32乙方同意就本合同项下的建设耀垫付工程款,并在以后由甲~。, 程款,并凭工程承包合同及建筑业专用发票等有效单证向上海市财政局提~ 耀口班绷 甲方应当偼还的建设工程垫付款以及所有的代理费和管理费等,乙方将发出付款通 膨麟翔. .护 知,甲方应当根据付款通知的要求及时偼还垫付款。 ·52 根据甲方要求,乙方应协助编制工程采购计划和招投标文件。 截毋撼
.33 就本条款下甲方的偼还义务,双方应当另行签订 《委托交易偼付协议》并 ·53 根据项 目建造的实际需要以及 甲方的要求,乙方在力所能及的范围内参与
应严格按照该协议执行 必要的与当地政府的协调及工程的组织、协调、管理等工作。如乙方代理甲方与当地
政府主管部门进行交涉和协调时,甲方应给予必要的协助。
第四条 甲方义务.54 未征 甲方同意,乙方不得泄露与本工程有关的保密资料。
.41 甲方扼诺:咨询服务、培训以及土建的采购将按照世界银行采购指南进行。
第六条 索赔的处理.4.2 甲方应接受和采纳乙方对环评报告、动拆迁报告、可行性研究报告、初
步设计、投资概算、施工图等基础工程文件提出的调整或变更意见。 . 6.1 一旦甲方与承包人或与项目相关的任何第三方之间发生任何争议或索赔.甲
方应及时书面通知乙方,如乙方决定参与甲方与承包人或上述第三方之间争议或索赔
.43 甲方在选择扼担项目拆迁、勘察、设计、施工、监理、材料和设备供 的处理工作的,甲方并应积极配合乙方的处理工作。乙方则有权根据具体情况.决定
应及安装等工作的具备相应资质的专业单位时,应尊重乙方的意见,并要求上述单位 是否参与甲方与承包人或与项 目相关的任何第三方之间争议或索赔的处理工作
接受乙方监督。
第七条 担保.44 甲方应对乙方审核施工监理和投资监理提交的监理报告时所提出的问题给予
合理解释,并责成扼包商等相关责任人及时进行整改。 . 7.1 甲方应为履行本合同项下 甲方之义务向乙方提供担保 ,有关担保的具体规
定由甲、乙双方在另行签订的 《委托交易偿付协议》中予以约定。
.45 如乙方参与项 目工程竣工验收及工程决算编制工作的,甲方应给予必要 的
协助和配合 第八条不可抗力
.46 甲方应按批准的建设规模、建设内容和建设标准实施组织管理,严格控制 . 81 如果在履行本合同所规定义务时出现延误或不能履行 ,且该延误或不能履
项 目投资,确保工程质量 ,按期交付佼用 .甲方不得在实施过程中利用洽商或者补签 行是签署本合同之时不可预见的,且其发生或后果是各方以合理的方式无法避免又无
其他协议随意变更建设规模、建设标准、建设内容和投资额。因技术、水文、地质等 法克服的(&’不可抗力事件,,则任何一方均不应对因此等延误或不能履行所造成的任
原因必须进行设计变更的,应由设计单位填写设计变更单,并经监理单位、施工单位 何损害、成本增加或损失承担责任。此等不履行或履行迟延不应视为对本合同的违
签籲意见后,由乙方确认后提交甲方。 约 ·
.47 甲方应按 《委托交易偼付协议》的约定及时向乙方偼付代理支付的工程款、 ·82 以下事件均应被视为不可抗力事件:战争(无论是否宣战)、暴乱、爆炸、
本合同 约定的代理费以及该协议约定的任何其他费用。 火灾、水灾、地震、台风、大规模流行性疾病、其它重大 自然灾害、牵涉到全面或部
分停工的劳动纠纷、任何相关法律、法规 、规章或类似效力文件的颁布或者修改。
.4.8 甲方应在三个工作日内就乙方书面提交并要求作出决定的事宜给予书面答复。
.8.3 有关一方应当毫不迟延地通过传真在不可抗力事件过后十五(15)天内向另一
第五条 乙方义务 方提供不可抗力事件的详细情况 并提交有关国家的权威机构出具的有效文件,证明其无法履行或延迟履行本合同所规定全部或部分义务的原因,并应当在造成该延迟或
.5.1 乙方应以垫付的方式代理甲方按照工程扼包合同的约定向工程扼包人支付工 不能履行的原因发生后尽快采取一切合理措施将该延迟或不能履行的影响减少到最低
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. 程度或消除该。,并努力恢复因不可抗力造成的迟延或阻断了的义务, .,21除非双方另有、,本合同项下的任何通知应以书面。,并应由传真 耀口口系 或中国邮政EMS特快专递寄送或者当面呈送.若以传真的方式发送,则发送日后一天 裂滋霸... , 果 /‘宋 违 到 页 1丁 通知应被视作送达。若以 EMS特快专递方式寄送,则另一方收到之日,通知应被视为 脸毖笔刃
送达。若以当面呈送的方式,则另一方收到之时即被视为通知已送达。.91 除本合同另有约定外,任何一方违反其在本合同项下之义务都应被视为违
约行为.违约一方应对其违约行为给守约方所造成的全部损失扼担损害赔偼责任,但 。 1 22 为顺利完成本合同约定之建设代理工作,甲方应授权一名联系人:该等损失不超过违约方在签订合同时预见到或理应预见到其违约可能导致的损失范 〔 〕,负责本项 目的联络工作。
围,并且该等损失应为其违约行为的直接后果。
第十三条 效力及其他第十条 合同终止
.13.1 本合同之任何补充协议为本合同的组成部分,与本合同具有同等法律效力。
.101 本合同自签订之 日起生效。 132 对本合同的任何修订、修改或添加必须以书面方式作出并经双方签署,否则
不产生效力且对任何一方无约束力。.102 由于甲方的原因致佼项 目建设工作发生延误、暂停或终止,甲方应将此情况与可能产生的影响及时通知乙方,以便乙方采取相应措施 .如果甲方未及时通 . 133 任何一方未能执行本合同的任何条款 ,或未能行使与之相关的任何权利,知,乙方可暂停执行代理支付工程款义务,直至提出解除合同.甲方扼担违约责任 · 不应被解释为放弃执行该条款或其它条款之权利,或放弃行使该权利或其它权利
.103 除非另有规定,本合同在下述任一情况下终止: .13,4 本合同部分条款的无效或不生效 ,不影响其他条款的效力,(l )通过双方共 同书面合同;或
(2)如果一方完全因其责任在合同规定的时间期限内未履行其义务,并且在收到 . 135 本合同一式〔 ]份,双方各保留一份原件,另〔 〕份原件提交给有关未违约方的书面要求后_ 日内未能消除违约影响或采取补救措施,未违约方有 机构备案。
权向违约方发出书面通知终止合同;
(3) 不可抗力事件造成合同无法履行超过_ 日而双方无法就合同履行另行达成 兹此为证 ,甲、乙双方 签署本合 同如 下,以昭信守 。合同而书面同意终止合同的;
甲方 : 乙方: __.10.4 合同终止不影响终止合同任何 一方的法定权利.包括但不限于其根据本合
同之约定对因合同终止而遭受的损害向责任方提出索赔的权利。 授权代表: 授权代表:____
第十一条 争议解决
.11.1 在合同执行过程中引起的争议,双方应当协商解决.如未能达成一致,
任何一方可将争议提交主管部门协调,协调后争议仍未解决时,这些争议应提交中国
国际经济贸易仲裁委员会上海分会,由三位仲裁员按当时有效的 “中国国际经济贸易
仲裁委员会仲裁规则”仲裁解决。仲裁裁决是最终裁决并对有关各方具有约束力。除
非仲裁庭另有规定,败诉方将承担仲裁费用
第十二条 通知
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口口 姗跳口一附补飞爪 嘿魏. 归 禾 泳不众 县挫 才汗日6 守 .12 甲方必须在信用期限届满之前将因委托交易而发生的各项费用和利息向乙方 睡绪攘
日比口 全部偼付完毕。甲方所有应偼付的款项以下统称为“待偿款项”,包括如下费用与利 职豁黯
日曲沙 本委托交易偼付协议(以下简称 “本协议,,由以下双方于〔 年_月_ 日〕 息: 簇截百团
在中华人民共和国上海市订立: (l)垫付款及其利息:因委托交易而发生的由乙方垫付的款项以及相应利息;
(2)管理费:
偼付人: 【 〕有限公司(以下简称 “甲方, (a)前端费:世界银行为其贷款一次性收取的费用 ,数额为甲方所享有 的信
住所: 用额度的【025 %玉
法定代表人: (b)扼诺费:世界银行对其没有被使用的贷款额度所收取的利息,年利率为没
和 有被 占用的额度的「075 %玉
受偼 人:上海城投环保产业投资管理有限公司 (以下简称 “乙方 ” (3)代理费:乙方为委托交易而 向甲方收取的代理费用.总额为乙方实际为甲方
住所: 垫付款总额的[l5% ]。
法定代表人:
第二条 垫付款的宽限期(以上双方单独指称某一方时称为 “一方”,合指各方时称为 “双方 ”
除本协议另有规定以外,自世界银行执董会批准上海市财政局 APL 上海环境项
鉴于,甲方将在上海市〔 〕开发建造〔 〕项目(以下简称 “项 目’,), 目贷款协议 (以下简称 “世行贷款协议,之日起 5 年内为垫付款的宽限期,在此宽限
为该项目,甲方将委托乙方向国内外的供应商、建筑扼包商、咨询公司(以下统称 “第 期间内免除甲方对垫付款本金的偿付义务。
三人’,)采购一定的设备和材料或进行建设工程的发包或要求提供咨询服务(以下简称
“委托交易,。为此.甲、乙双方已于 〔 〕年〔 〕月〔 〕日签订了《xxx 第三条 垫付款及其利息的支付项 目合作框架协议》;
.31 自世界银行执董会批准世行贷款协议之日起第 6 年至第 20年为偿付期,甲
鉴于,按照上述框架协议中的约定,乙方将作为甲方的代理人并会同甲方与国内 方应在偿付期内按时足额偿付垫付款。自偿付期开始,甲方每年应分两次向乙方偿付
外供应商、扼包商或咨询公司等第三人共同签订采购合同或建筑工程扼包合同或咨询 垫付款。甲方每年的偿付日为〔 〕和 〔 ],两个偿付 日
服务合同,并且乙方将利用从上海市财政局获得的世界银行 APL贷款的转贷款 (以下 之间的时间段为一个偿付周期。本协议生效的同时,甲方应与乙方共同协商制定分期
简称 “世行转贷款,向第三人先行垫付部分交易价款,然后由甲方依本协议之约定予 还款计划表 (格式见本协议附录一)并与本协议同时生效。甲方应严格遵照分期付款计
以偼付 : 划表履行偿付义务 。
鉴于,甲方建设 〔 〕项 目的周期较镼,而且乙方 以先行垫付款项的方式向 . 32 甲方应按实际发生的垫付款金额每半年向乙方支付一次利息,但首笔利息
上海市财政局进行提款报账。乙方为此同意给予甲方一定的信用额度与期限,甲方在 的计息期应当按世行支付手册的规定执行。具体金额以乙方 出具的付款通知(格式见
信用期限内按照乙方为委托交易先行垫付的数额进行偿付; 本协议附录二)为准。
兹此,双方经友好协商达成一致协议如下: .33 就垫付款及其利息的偿还,乙方应在每个偿付日之前 2 周内按照确认的分期
付款计划表向甲方出具付款通知(格式见本协议附录二),甲方应按照付款通知的规定
第一条 待偼款项 在规定的偼付日或之前偿付付款通知所指明的款项。
· 11 乙方同意就《项目合作框架协议》项下达成的委托交易,从乙方所获得 第四条管理费的世行转贷款的总额度中给予甲方总计为人民币【 〕元的信用额度,且信用期
限为[20]年 (包括宽限期 5 年)。 .41 在世行贷款协议生效当日或者其后不久,世界银行将一次性从上海市财政
234 版权所有卼 06汇衡律师事务所 235
OFV操作手册 OFV操作手册
. 、APL项目贷款专户直接扣除全额前端费。 .83甲方应按乙方指定的内容及时提供本协议所规定的担保.否则乙方有权。 赢口口皿 绝垫付委托交易下的款项。 圈滋 黔
口日甲 .42 对于甲方没有占用的信用额度,甲方应当每半年支付一次承诺费,但首笔 魏眺 困扼诺费的支付按世行支付手册的规定执行。具体金额以乙方出具的付款通知(格式见 第九条消极担保本协议附录二)为准。
.91 在甲方尚未完全履行其在本协议项下所有义务之前 , 除非乙方另行书面同
第五条 代理费 意,甲方不应在其任何资产或收益上设立任何其他抵押、留置、质押或担保权益用以担保任何其他债务。
代理费应当由甲方分两次向乙方支付。首笔代理费应当在本协议生效当日或者
其后不久,由甲方按照其享有的信用额度的15 %向乙方支付 5。%。其余的代理费应 .92 甲方应当确保乙方在本协议项下的权利优先于任何其他商业银行对甲方拥有当在利用世行转贷款的采购全部完成后支付 ,其计算标准应当为乙方实际为甲方垫 的任何已经发生或者将会发生的债权。
付款的总额 的 1.5 %减去 甲方已经支付的代理费。
第六条 待偼款项金额的计算 .9.3 甲方如有针对商业银行或其他融资方的违约行为,则视同对乙方的违练乙方有权采取包括中止本协议、提前收回本协议项下之未偿款项在内的一切必要措
垫付款、垫付款利息、管理费(前端费和扼诺费)的具体计算方式应当按照世界 施 。
银行支付手册 的规定予 以确定,并以乙方届时发出的付款通知为准 。
第十条 违约事项第七条 滞纳金
若发生下列事项 中的任何一项或以上 ,则乙方可立即或在其后的任何时候要
如果甲方未能按本协议和付款通知的规定偼付欠款的,则除非双方另有书面约 求甲方立即偿还其全部待偿款项并赔偿乙方因此所遭受的一切损失:
定,甲方应向乙方支付滞纳金,滞纳金应以未偿付款项的【 l 添/日」的标准计算
(付款通知另有约定的,以付款通知的记载为准),甲方并应 向乙方赔偼乙方由此所 (l) 甲方未能在偿付 日支付本协议项下任何应付款项;或
遭致的超 出滞纳金部分的其他一切损失。 (2) 甲方未能遵守本协议以及该项目合作框架协议项下的任何其它条款并且该
不遵守(若可以被纠正)在 乙方 向甲方发出通知后仍持续工巧〕个营业 日未被纠正;或
第八条 积极担保 (3) 甲方进入破产或者清算程序或无力还债;或(4) 发生了根据乙方的意见将可能会对甲方履行其经济义务的能力产生实质性
.8.1 甲方应当向乙方提供如下担保: 不利影响的任何事件;
(5) 该项 目合作框架协议终止:
8 It 就本协议和相关付款通知规定的甲方应向乙方承担的偿付义务,甲方同意
以其主营业务收入收费权向乙方提供质押担保 第十一条 争议解决
812 除以其主营业务收入收费权提供质押担保以外,甲方还应向乙方提供[ 〕 . 111 由本协议所引起的或与本协议有关的任何争议 · 各方应当努力通过友好协
银行/[ 』公司的连带责任保证或乙方认可的其他担保方式。 商予以解决
.82 担保范围 . 112 如果争议在一方向另一方提出协商后 2个月内不能解决,该争议应提交中
甲方或 甲方指定的第三方为本协议提供的担保,其担保范围应包括全部待偼款 国国际经济贸易仲裁委员会上海分会,由三位仲裁员按当时有效的“中国国际经济贸
项和管理费,以及与上述费用相关的利息、滞纳金、损害赔偼金和实现担保的费用。 易仲裁委员会仲裁规则”仲裁解决。仲裁裁决是最终裁决并对有关各方具有约束力。
236 237
: 。Fv 操作手, 。Fv 操作手, ⋯
口. 耽职系丽砰不!附录1 窟爵口川妇 除非仲裁庭另有规定,败诉方将扼担仲裁费用. 丈与甘且二不挤 弓丰毛11动毒 睡姗戳
日口甲 。 113 仲裁期间,除争议部分外,各方应继续履行本协议。 偿付人:〔 〕有限公司 麟殊橙
第十二条 通知 受偼人:上海城投环保产业投资管理有限公司
。 121 除非双方另有约定,本协议项下的任何通知应以书面形式,并应由传真 应偿付款项总金额为:〔 〕
或中国邮政 EMs特快专递寄送或者当面呈送.若以传真的方式发送,则发送日后一天
通知应被视作送达。若以 EMS特快专递方式寄送,则另一方收到之日,通知应被视为 其中:
送达。若以当面呈送的方式,则另一方收到之时即被视为通知己送达。 货款为:[ 〕
第十三条 生效 前端费:〔 〕
本协议应 自双方正式授权的代表签字并盖章之 日起生效。本协议之附件为本协 承诺费:【 〕
议的组成部分,与本协议具有同等法律效力 .
第十四条 其它 档什国如 } 挫柑。 l 挫什全析
本协议一式 【 〕份,双方各保留一份原件,另【 〕份原件提交给有关机 1}~。 一一一一 一一一 一兹此 为证 ,甲、乙双方签籲本协议如下, 以昭信守 · 还款人没有按照本计划表向受款人偿付款项,还款人应自当期偿付日起,就未
偼付款项向受款人支付每日【l%o 〕的滞纳金。
甲方二 乙方:____
授权代表:_ 授权代表: __
偼付人:【 〕有限公司
日期:
受偼人:上海城投环保产业投资管理有限公司
日期:
2邹 239
版权所有迄糔帕汇衡律师事务所
DFV Operations ManualDFVIjAIVF-ffi
-4 R45 2
ff" o Cooperation Framework Agreement on XXX Project
I This Cooperation Framework Agreement (hereinafter referred to as "this Agreement") is
entered into in [ month date year ] in Shanghai, People's Republic of China, by and
AATYT_ _ IF between
H nrft H le ru
PartyA: Co., Ltd. (hereinafter referred to as "Party A")
Domicile:
Legal representative:
and
Party B: Shanghai Chengtou Environment Asset Management Co., Ltd. (hereinafter
referred to as "Party B")
Domicile:
Legal representatiw:
(both parties individually referred to as a "Party" and collectively as the "Parties").
WHEREAS, Party A will develop and construct Project (hereinafter referred to
as the "Project') in I Shanghai;
WHEREAS, to make better use of the World Bank APL loan for Shanghai environmental
projects, the World Bank proposed to establish an innovative financing as well as managing
vehicle for developing the environment protection and treatment projects in rural districts
0W) and counties ofShanghai (namely, the Financing Vehicle for Environmental Projects in Shang-
hai Suburban Districts and County, hereinafter referred to as "DFV"). In this connection, the
Shanghai Municipal Government approved the estabfishment of Party B which shall take
principal part in assuming liabilities to implement financing and managing the environmental
YA: projects in rural districts and counties of Shanghai by using the World Bank APL loan (Phase
U);
WHEREAS, Party B will, as the implementation entity of DFV, obtain from the Shanghai
Municipal Finance Bureau on-lending of the World Bank APL loan (Phase H) and be wflkg
to provide partial funds for the qualified expenditures under the Project procurement con-
tract which shall be in comphance with the terms and conditions for use of the World Bank
loan, so as to achieve the policies and functions set for DFV. Therefore, both Parties agree
that Party B will advance for Party A funds for procurement of certain goods, civil works as
well as consulting services and training with the loan obtained by Party B from the Word
Bank, and Party A shall repay by installment later such advancement as well as other related
expenses;
240 PfitRWIf C2006'?C*4ft**ffr r-opyrightC)2006 HHP Aflorneys-At-Law 241
DFV Operations Manual DFV Operations Manual
WHEREAS, in light of Party B's certain expertise and the foregoing responsibilities and (1) Tendering and bidding procedures for procurement of equipments, civil works, as
functions it bears in the environmental projects, Party A is willing to bring its Project into well as consulting services necessary for the Project;
Party B's financing and managing vehicle in compliance with the standards and conditions set
by Party B. (2) Local and overseas procurement of goods including equipments and materials for the
Project;
In consideration of the foregoing, the Parties have reached mutual understanding throughfriendly consultations and sign hereby this Agreement as follows: (3) Civil engineering and construction procurement for the Project;
Article 1 Subject of Cooperation (4) Procurement of consulting services required by the Project; and
The Parties agree to cooperate in the following subjects: (5) Other services required by Party A subject to Party B's approval.
* 1.1 Initiation, examination and approval of the Project Proposal With regard to procurement of goods at home and abroad and civil works of the Project, Party
Party B, jointly with Party A, shall apply for initiating the Project, which is subject to A shall enter into special contracts with Party B pursuant to the formats and conditions as
preparatory examinations by the competent district or county authorities before submitting specified in Annex I "Consigned Procurement Contract (Import)", Annex 2 "Consigned
the Project Proposal to the Shanghai Municipal Development and Reform Committee for Procurement Contract (Domestic)" and Annex 3 "Construction Mandate Contract " hereto
examination and approval. and all the procurement shall be undertaken in accordance with the applicable World Bank's
Procurement Guidelines.
* 1.2 Preliminary Project consultation
Party B shall, upon approval of the Project Proposal, assist Party A in examining and * 1.5 Advancement and repayment of procurement funds
justifying preliminary preparations of the Project, including project planning proposals, Party B will advance procurement funds for Party Aaccording to the formats and conditions
project selections, project economic and technical analyses, arranging governmental subsi- set by the annexes hereto. In addition, repayment of such advancement shall be otherwise
dies for the Project and project financing etc.. Party B shall advise Party A by raising its agreed in details by the Parties in Annex 4 "Consigned Transaction Reimbursement Agree-
comments and suggestions with respect thereto. ment" hereto.
* 1.3 Formulation of project documents a 1.6 Arrangement for project financing and design of capital operation proposals
Party B shall assist Party A in organizing formulation of project proposals, project feasibil- If necessary, Party A may also entrust Party B to design a package of project financing
ity study reports, environmental impact assessment (EIA), resettlement action plan (RAP), proposals for Party Aand authorize Party B to negotiate with domestic financial institutions
etc., and shall submit the said documents to the relevant govemmental authorities for exami- such as the State policy-related banks and commercial banks on financing issues to finalize
nation and approval. If such documents have been formulated by Party B prior to Party A's domestic counterpart funds for the Project When necessary, Party B or its major controlling
establishment, Party A shall also subsequently confirm the effectiveness thereof and take shareholder, namely Shanghai Chengtou Corporation, may offer consignment loans to Party
them as basic documents for the project. A for such entrustment.
* 1.4 Consigned procurement and services During the construction and operation period of the Project, Party B may design capital
To insure successful implementation of the Project, Party Awill entrust Party B or a third operation and assets restructuring plans for Party A.
party designated by Party B to assist Party A for the purpose of accomplishing the following
tasks and providing relevant services: Separate agreement shall be otherwise concluded by the Parties with regard to the said service
under Article 1.6 herein.
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DFV Operations Manual DFV Operations Manual
Article 2 Obligations ofParty A * 2.9 To make written decisions concerning all the issues submitted by Paty B in writing
* 2.1 To complete the project initiation in accordance with relevant laws, rules and regula- within a reasonable timeframe;
tions as well as the requirements of the Shanghai Municipal Government with assistance and * 2.10 To be subject to Party B's supervision on its utilization of the World Bank loan and
support from Party B and relevant professional institutions; its relevant activities of production, operation and financial affairs, etc., and to enable Party
B to inspect such goods and the sites and works included in its Project the operation thereof,
* 2.2 To investigate technical, economic and financial requirements of the Project and possi- and any relevant records and documents;
bilities of the Project achievements with assistance and support from Party B and relevant
professional institutions; 0 2.11 To make such payment to Party B as agent fee and management fee, and to repay the
procurement advancement of Party B pursuant to the time and amount agreed upon by the
* 2.3 To draw up and implement, with assistance and support from Party B and relevant Parties;
professional institutions, the environmental impact assessment (EIA), the environment man-
agement plan (EMP) and the resettlement action plan (RAP); * 2.12 To provide effective security in compliance with the requirements specified by this
Agreement and relevant annexes hereto; and
* 2.4 To carry out and operate the Project (including completion of abatement measures, the
EAP and, if applicable, the RAP), with due diligence and efficiency and in accordance with * 2.13 Other obligations for fulfilling this Agreement and the relevant annexes hereto, in
appropriate management, financial, engineering and public utility practices and social and particular such obligations as prescribed by the World Bank which have to be performed for
environmental standards acceptable to Paty B; the use of the World Bank loan;
* 2.5 To draw up timely, in line with the project progress and with assistance and support * 2.14 The provisions set out in paragraph 8 of schedule 4 to the Project Agreement signed
from Party B and relevant professional institutions, the procurement programs which shall between Shanghai Municipality and the World Bank are hereby incorporated by reference
meet the requirements set by the world Bank, to propose Party B the procurement and form an integral part of this Agreement. Part A agrees to carry out all the obligations ofthe
requirements, and to conclude relevant consigned procurement contracts; "beneficiary" set forth in said paragraph. In case of conflict between the provisions of said
paragraph 8 and the provisions of this Agreement, the provisions in said paragraph 8 shall
* 2.6 To fully perform such obligations under procurement contracts in terms of goods, civil prevail.
works as well as consulting services, etc. in accordance with the instructions from Party B as
well as any and all provisions in connection with the use of World Bank Loan, and utilize Article 3 Obligations ofParty B
such goods and services exclusively in the carrying out of the Project;0 3.1 To assist PartyA in accomplishment of the Project initiation and relevant preliminary
* 2.7 To provide Party B with all the assistance and supports necessary for Party B's preparations;
performance of consigned procurement, including but not limited to providing relevant mate-
rials free of charge and in a timely manner and communicating and coordinating with relevant * 3.2 To assist Party A in completion of such documents as the Project proposals, the
governmental authorities jointly with Party B; Project feasibility study, initial design, environmental impact assessments (EIA) and re-
settlement action plan (RAP);
* 2.8 To prepare, under terms of reference satisfactory to Party B, and furnish to Party B for
its review, on or about March I and September I of each year, commencing on the March I * 3.3 To request Party Ato provide securityon reimbursement of payment advanced by Party B;
and September 1 following the date of this Agreement to which it is a party, semi-annual
reports on the progress achieved in the carrying out of the Project during the period preceding * 3.4 To assist Party A in invitation, evaluation and rating of bids for the project design and
the date of each such report; construction;
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DFV Operations Manual DFV Operations Manual
* 3.5 To assist Party A in procuring goods, civil works as well as consulting services connection with the Shanghai Urban Envimnment Project, Phase II.
necessary in the course of the project construction; Article 5 Payment
* 3.6 To supervise several links in the course of project implementation including projectpreliminary preparations tendering and bidding process, procurement, construction sched- 6 5.1 PartyA shall make such necessary payment to Party B as agent fee and management
ules and quality control; fee for the services offered by Party B under this Agreement and the agreements in the
Annexes attached hereto.
* 3.7 To request Party A to repay Party B's advancement, and to charge PartyAAthe agent fee
and management fee pe inent to the services Party B provides; * v.2 Party B agrees to advance partial procurement funds payable to suppliers and contrac-
tors for consigned procurement under this Agreement and the agreements in the Annexes
* 3.8 To examine and supervise the World Bank loan utilization by Party A, and to request attached hereto, which Party A shall reimburse later by installment
Party A to submit relevant financial and accounting statements etc. timely, and
* 5.3 An agreement conccming Party A's obligation of payment and repayment under this
* 3.9 To accomplish other service items entrusted by Party Aas agreed upon by the Parties. Article shall be otherwise concluded by the Parties, with the same formats and conditions as
specified in Annex 4 "Consigned Transaction Reimbursement Agreement" hereto. The Par-
Article 4 Undertakings ofParty A ties shall abide by such agreement in a strict manner.
* 4.1 Party A undertakes that during the term of this Agreement, it will not entrust any other Article 6 Security
party to engage in the matters entrusted to Party B with regard to the entrusting items set by
Paragraph 4 of Article I herein, unless otherwise agreed by Party B in writing. * 6.1 Way of security
* 4.2 Party A further undertakes to: 6.1.1 Party A agrees to pledge the right to charge its main business for its obligation to
(i) Pmduce for each fiscal year, commencing 24 months after the date of commissioning Party B with regard to payment and repayment set by Article 5 herein and the relevant
("Commissioning Date") of facilities constructed under the Project, total revenues annexes hereto.
equivalentto not less than the sum of: its total operating expenses (including maintenance)
before depreciation; and the debt service requirements; 6.1.2 Party A shall, in addition to pledging the right to chage its main business, provide
(ii) Review by September 30 in each fiscal year commencing immediately upon the first Party B with a guarantee with joint and several liabilities issued by commercial banks or
September 30 following the Commissioning Date, on the basis of forecasts prepared in [ ] or other way of security acknowledged by Party B.
a manner satisfactory to Party B, to what extent it would meet the requirements set
forth in subparagraph 4.2(i) above, in respect of such year and the next following fiscal * 6.2 Scope of security
year and furnish to Party B the results of such review upon its completion; and Advanced procurement expenses, agent fee, management fee, as well as the related interest,
(iii) If any such review shows that it would not meet the requirements set forth in sub- penalty for delayed payment, damages and expenses for realizing the security.
paragraph 4.2(i) above for the fiscal years covered by such review, to promptly take all
necessary measures in order to meet such requirements. 6.3 Party A shall enter into contract of pledge and contract of security pursuant to the
contents specified by Party B in a timely manner. anot, Party B shall be entitled to refusing
* 4.3 For purpose of Section 4.2 of this Agreement, the terms such as "total revenues", to perform any of its obligations under this Agreement or any of the agreements in the
"total operating expenses", and "debt service requirement" shall have the meaning as defined annexes attached hereto.
in the Project Agreement between the World Bank and Shanghai Municipal Government in
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DFV Operations Manual DFV Operations Manual
Article 7 Force Majeure Article 9 Termination
* 7.1 Neither Party shall be liable for any damage, increased cost or loss by reason of any * 9.1 Unless otherwise provided for, this Agreement may be terminated under any of the
delay or failure in the performance of obligations under this Agreement, if such delay or following circumstances:
failure is caused by an event unforeseen at the time of conclusion of this Agreement and (1) Where the Parties have reached agreement in writing upon negotiation; or
whose occurrence or consequence the Parties can neither avoid nor overcome by reasonable
means (hereinafter referred to as "Force Majeure Events"). Such delay or failure shall not be (2) Where eithcr Party is fully accountable for its failure in performing its obligations
deemed a breach of this Agreement. within the time limit specified by this Agreement and the effect of such breach is not
removed or relevant measures to remedy such breach are not adopted within [ ]
* 7.2 Following events shall be deemed as force majeure events: wars (whether declared or days upon receipt of written notice sent by the Party not in breach, which shall have the
not), riot, explosion, fire explosion, flood, earthquake, typhoon, large-scale epidemic diseases, right to serve written notice on the breaching Party to terminate this Agreement;
other major acts of nature, labor disputes involving complete or partial stoppage of work,
promulgation or modification ofanyrelevant laws, rules, regulations, or any documents with (3) Where the Force Majeure Events have interfered with performance of this Agree-
similar effect ment for a period in excess of[ ] days while the Parties have been unable to
reach any other contracts on fulfillment of this Agreement so that agree to terminate this
* 7.3 The Party concerned shall provide the other Party with detailed information on the Agreement in writing.
Event of Force Majeure by facsimile without delay within fifteen (15) days after the occur-
rence of the Event of Force Majeure and provide as evidence a valid document issued by a * 9.2 Termination of this Agreement shall have no impact on the legal rights of either Party,
competent organization in the country concerned certifying the reasons for its inability to including but not limited to the right of claiming damages incurred by termination of this
perform or for its delay in performing all or part of its obligations under this Agreement and Agreement towards the Party responsible for such damages in accordance with the terms of
it shall take all reasonable steps to minimize or remove the effects of such delay in or failure this Agreement.
of performance as soon as possible after the occurrence of the cause thereof and attempt to
resume performance of the obligations delayed or prevented by the Event of Force Majeure. Article 10 Settlement ofDisputes
Article 8 Liabilities for Breach ofAgreement * 10.1 Any dispute arising out of or relating to this Agreement shall be settled by negotia-
tions of the Parties with good faith and to the best of their efforts.
* 8.1 Either Party's non-compliance of its obligations under this Agreement and/or any of
the agreements in the annexes attached hereto shall be deemed as breach of the Agreement. * 10.2 Should these disputes not lead to any result acceptable to both Parties within two (2)
The Party in breach shall be liable to compensate damages for all the losses incurred by the months of the submission of the matter by one Party to the other, such disputes shall be
observant Party arising from such breach, however such losses shall be limited to the scope settled by arbitration only, at China International Economic and Trade Arbitration Commis-
which the Party in breach foresees or should have foreseen as a result of its breach of sion (CIETAC), Shanghai Sub-Commission by three arbitrators in accordance with the "China
Agreement at the time of concluding this Agreement and which shall be the direct conse- International Economic and Trade Arbitration Commission Rules" as then in force. The
quences of such breach. arbitral award shall be final and binding on the Parties concerned. The costs of arbitration
shall be borne by the losing Party except as otherwise fixed by the arbitral tribunal.
* 8.2 Without prejudice to the rights of Party B hcreunder, in case of a breach of this
Agreement by Party A, Party B is entitled to suspend advancing any payment for Party A for * 10.3 During the arbitration, this Agreement shall continue to be performed by the Parties
the procurement stipulated in the Annexes to this Agreement. to the extent that is not in dispute.
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Article 11 Notice
Unless otherwise agreed by the Parties, any notice under this Agreement shall be produced in
written forms and sent by fax or by express mail service of China Post (hereinafter referred This Consigned Procurement Contract (Import) (hereinafte referred to as the "Contract") is
to as "EMS") or delivered personally. Such notice shall be deemed effective one day after the entered into by the following parties in [ month date ], [ year] in Shanghai, People's
date ofdelivery in case delivered by fax or shall be effective only if and when received by the Republic of China:
other Party in case delivered by EMS or shall be effective at the time of receiving such notice
by the other Party if delivered personally. The Entrusting Party: _Co., Ltd. (hereinafter referred to as "PartyA")Domicle:_____________________________________
Article 12 Effectiveness and Miscellaneous Provisions Legal Representative:and
* 12.1 This Agreement shall become effective as of the date on which the duly authorizcd The Entrusted Party: Shanghai Chengtou Environment Asset Management Co., Ltd.
representatives of the Parties affix signatures and seals hereto. (hereinafter referred to as "Party B")Domicile:_____________________________________
* 12.2 Annexes to this Agreement form an integral part thereof and shall have the same Legal Representative:
binding forces as this Agreement. (The above parties are individually referred to as the "Party" and collectively referred to asthe "Parties")
* 12.3 No amendment, change or addition to this Agreement shall be effective or binding on
any Party unless produced in writing and executed by both Parties. Whereas, Party A will develop and construct Project (herinafter referred to as the
"Project") in [ ] Shanghai, for which both Parties already signed the Cooperation
* 12.4 The failure of either Party to enforce any provision of this Agreement or to exercise Framework Agreement and, under assistance of Party B, Party A will purchase certain
any right in respect thereto shall not be construed as constituting a waiver of its right to equipments and materials (heeinafter collectively referred to as the "Goods") from overseas
enforce the same or any other provision or to exercise the same or any other right. suppliers by use of the World Bank loan;
* 12.5 Invalidity or ineffectiveness of any provision of this Agreement shall not affect the Whereas, Party B owns management experiences and foreign trade right in respect of pur-
validity of any other provision thereof. ehasing Goods from abroad;
S12.6TisAgreementshallbewrittenin[ originalcopies.EachPartyTshall hold Whereas, Party A is willing to entrust PartyB and Party B is willing to accept such
one original copy and the remaining [ ]shall be filed to the relevant authorities for entrustment of Party A as the agent for the import of Goods for Party A's Project to sign
record, jointly with Party A purchase contracts with third parties and perform the purchase con-
tracts within the scope of Party A's authorization;
In witness hereof, the Parties hereto have caused this Agreement to be executed as set forth
below: Therefore, the Parties through amicable negotiations agree as follows:
Article 1 Entrustment
Party A: ____________ Party B: _ _________
0 1.1 Party A, in the capacity of end user, entrusts Party B to act as its purchase agent for
Authorized Representative:__ __ Authorized Representative: the import of Goods for the Project Party B accepts Party A's entrustment to sign jointly
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with Party A contracts on purchase of the Goods with third parties and to perform such * 2.4 Party B shall cooperate with Party A in conducting the import customs declaration
contracts on purchase of the Goods within the scope provided in this Contract and further procedures for the Goods. The import customs declaration form of the Goods shall use the
authorized by Party A. double title (i.e. Party B is the buyer and Party A is the end user). Before the Goods reach the
port of destination, Party B will serve a delivery notice in writing to Party A requiring Party
* 1.2 The scope of the Goods which Party A entrusts Party B to import as agent shall be Ato pick up the Goods; Party A shall, after receiving such delivery notice from Party B, pick
subject to the Import Entrustment Sheet (the format of which referring to the Attachment up the Goods on its own on a timely basis in accordance with the arriving time of the Goods
hereto) issued by Party A to Party B each time. The contents of the Import Entrustment in such notice. Party A shall also inspect the Goods on a timely basis. Provided that there
Sheet shall be the basis of the contract on purchase of the Goods to be signed between the shall be any claims against the Seller after the inspection of the Goods, Party Ashall bring the
Parties and the overseas suppliers selling such Goods (hereinafter referred to as the "Seller"). claim against the Seller in its own name pursuant to the provisions of Article 6 of this
Contract and Party B shall provide cooperation thereon.
* 1.3 The signature of this Contract does not constitute joint venture or cooperation be-
tween the Parties of any form. Party B shall conduct the agency activities strictly pursuant * 2.5 Party B is entitled to supervise the performance status of the contract on purchase of
to the scope entrusted by Party A and shall not conduct activities of any form in Party A's the Goods.
name beyond the designated scope.
Article 3 Reimbursement for Expenses of the Entrusted Purchase
Article 2 Import Arrangement
* 3.1 Party A shall pay necessary agent fees and management fees to Party B for the
* 2.1 When the Goods are to bc imported as required by the construction of the Project, entrusted purchase under this Contract.
Party A shall at its discretion choose types of the Goods and the Seller in light of the
requirement of project construction, and shall agree on all sorts of the matters under the * 3.2 Party B agrees to advance the expenses for the entrusted purchase under this Contract
contract on purchase of the Goods such as the name, specification, type, performance, to be reimbursed by Party A thereafter. Party B will issue payment notice regarding the
quality, quantity, technical standard and service contents, character, technical warranty and advanced payment for goods, all sorts of agent fees and management fees, etc. which shall be
terms of price, delivery time, inspection and claims of the Goods (hereinafter referred to as reimbursed by Party A. Party A shall reimburse on a timely basis in accordance with the
the "Goods Purchase Condition") with the Seller. requirements of the payment notice. Party A shall bear at its own expense the import fee
relevant to the import of Goods.
* 2.2 After Party A and the Seller have agreed on the Purchase Condition of the Goods to be
imported, Party A shall issue the Import Entrustment Sheet to Party B in which such Goods 0 3.3 Both Parties shall otherwise sign a Consigned Transaction Reimbursement Agreement
Purchase Condition shall be specified. Party B shall, jointly with Party A, sign the corre- with regard to the reimbursement obligation of Party A under this Article and shall perform
sponding contract on purchase of the Goods with the Seller in accordance with the Entrust- such Agreement in a strict sense.
ment Sheet.
Article 4 Obligations of Party A* 2.3 Party B will, in accordance with this Contract, advance Party Athe price agreed in the
contract on purchase of the Goods, while Party A shall bear such payment relevant to the 0 4.1 Party A shall issue the Import Entrustment Sheet to Party B on a timely basis and shall,
import of the Goods as transportation fees, insurance premiums, tariffs, import valued jointly with Party B, sign the contract on purchase of the Goods with the Seller.
added tax and consumption tax, handling charges, customs declaration charges, commodity
inspection fees, terminal handling charges, storage fees etc, if any (hereinafter collectively 6 4.2 The external promises or agreements of PartyAand the Goods which Party Aentrusts
referred to as the "Import Fees"). Party A shall be responsible for the de facto performance Party B to import shall be in conformity with the provisions of the existing laws, regulations
of the contract on purchase of the Goods, unless otherwise agreed in this Contract. and policies of China. Party A shall ensure the authenticity of the purchased Goods and that
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the price of the Goods is normal market price. * 5.2 Party B shall make the payment to the third parties in accordance with the require-
* 4.3 The confirming ofthe Seller, Goods and Goods Purchase Condition by PartyA shall be ments of the contract on purchase of the Goods.
in conformity with the provisions of the World Bank's Procurement Guidelines. * 5.3 Party B shall assist PartyAin conducting the import declaration procedures and other
procedures of handover and takeover of the Goods.
* 4.4 Party A shall make preparation work to pick up the Goods on a timely basis in
accordance with the delivery notice. * 5.4 Party B shall inform PartyAon a timely basis of the performance status of the import
contract to its knowledge, and shall timely issue payment notice to Party A in order to allow
* 4.5 After the Goods reach the destination, Party A shall inspect the Goods timely and, in Party A to be prepared for reimbursement in due course.
the event of any quality problems, shall bring claims against the Seller pursuant to the
provisions of Article 6 of this Contract and inform Party B simultaneously thereon. 0 5.5 Party B shall be responsible for going through procedures for verification of foreign
exchange payments in import with the Foreign Exchange Administrations.
*4.6 PartyA shall reimburse Party B for the advancement, agent fees and management fees
in accordance with the provisions of the payment notice issued by Party B and the terms of 0 5.6 Party B shall assist Party Ain completing duty exemption procedures for the imported
this Contract and Consigned Transaetion Reimbursement Agreement, and shall under- Goods.
take at its own expenses the import fees relevant to the import.
Article 6 Handling of Claims* 4.7 After the Parties have signed the contract on purchase of the Goods with third parties
pursuant to this Contract, Party A shall not require at its own discretion to modify the a 6.1 In case that claims arise due to the performance of the contract on purchase of the
contents of the contract on purchase of the Goods, unless the part required to be modified Goods, Party A shall bring the claim against the Seller directly in its own name and Party B
will not increase Party B's risk and Party B and the Seller both give consents thereto. shall cooperate thereon. Any decisions in respect of the claims shall be made by Party A and
Party A shall afford the consequences thereof Both Parties shall inform each other on a
* 4.8 Where Party A's delay or failure in performing its obligations under this Contract or timely basis of the progress of the claims against third parties.
other reasons attributable to Party A result in Party B's inability to perform or delay in
performing the contract on purchase of the Goods with the Seller, Party A shall compensate 0 6.2 Party A shall abide by the Law of the People's Republic of China on Import and Export
Party B for all losses and costs arising therefrom. Commodity Inspection in an eamest sense and dispose of problems on a timely basis when
they are discovered. If the problems shall be attributable to the ship or shall be covered by the
* 4.9 Party A shall provide Party B timely and completely with all valid bills of documents insurance liability, Party A shall claim the damage of cargo and the short-landed certificate
related to the import of the Goods, and shall render at any time all necessary assistance in from the relevant liable parties jointly with its shipping agent at the port, and shall go through
facilitating Party B to complete such matters as verification of foreign exchange payments in the relevant claim procedures with the insurance company through Party B. If the shortage
import, etc.. of Goods and/or the quality claims shall be attributable to the Seller, Party Ashall on a timely
basis apply for commodity inspection and claim against third parties on its own before the
Article 5 Obligations of Party B expiry of the term of validity of the claim provided for in the Contract.
* 5.1 Party B shall assist in producing the contract on purchase of the Goods in accordance Article 7 Security
with the Import Entrustment Sheet delivered by Party A, or examine and modify the contract
on purchase of the Goods provided by the Seller, and sign the contract on purchase of the * 7.1 Party A shall provide Party B with security for the performance of Party A's obliga-
Goods along with Party A. tions under this Contract Detailed provisions in respect of the security shall be agreed in the
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Consigned Transaction Reimbursement Agreement otherwise signed by the Parties. following circumstances:
(1) Where the Parties have reached agreement in writing upon negotiation; or
Article 8 Force Majeure (2) Where either Party is fully accountable for its failure in performing its obligations
within the time limit specified by this Contract and the effect of such breach is not
* 8.1 Neither Party shall be liable for any damage, increased cost or loss by reason of delay removed or relevant measures to remedy such breach are not adopted within [ ]
or failure in the performance of obligations under this Contract, if such delay or failure in days upon receipt of written notice sent by the Party not in breach, which shall have the
performance is caused by an event unforeseen at the time of conclusion of this Contract and right to serve written notice on the breaching Party to terminate Contract;
whose occurrence or consequences the Parties can neither avoid nor overcome by reasonable (3) Where the Force Majeure Events have interfered with performance of this Contract
means ("Event of Force Majeure"). Such failure or delay in performance shall not be deemed for a period in excess of[ ] days while the Parties have been unable to reach any
as a breach of this Contract. other contracts on fulfillment of this Contract so that agree to terminate this Contract in
writing.
* 8.2 The following events shall be deemed as Events of Force Majeure: wars (whether
declared or not), riot, explosion, fire explosion, flood, earthquake, typhoon, large-scale epi- * 10.2 Termination of this Contract shall have no impact on the legal rights of either Party
demic diseases, other major acts of nature, labor disputes involving complete or partial hereto, including but not limited to the right of claiming damages incurred by termination of
stoppage of work, acts, omissions or promulgation or modification of laws, rules, regulations, this Contract towards the Party responsible for such damages in accordance with the terms
or any documents with similar effect. of this Contract.
* 8.3 The Party concerned shall provide the other Party with detailed information on the Article 11 Settlement of DisputesEvent of Force Majeure by facsimile without delay within fifteen (15) days after the occur-
rence of the Event of Force Majeure and provide as evidence a valid document issued by a e 11.1 Any dispute arising out of or relating to this Contract shall be settled by negotiations
competent organization in the country concerned certifying the reasons for its inability to of the Parties with good faith and to the best of their efforts.
perform or for its delay in performing all or part of its obligations under this Contract and it
shall take all reasonable steps to minimize or remove the effects of such delay in or failure of * 11.2 Should these disputes not lead to any result acceptable to both Parties within two (2)
performance as soon as possible after the occurrence of the cause thereof and attempt to months of the submission of the matter by one Party to the other, such disputes shall be
resume performance of the obligations delayed or prevented by the Event of Force Majeure. settled by arbitration only, at China International Economic and Trade Arbitration Commis-
sion (CIETAC), Shanghai Sub-Commission by three arbitrators in accordance with the "China
Article 9 Liabilities for Breach of Contract International Economic and Trade Arbitration Commission Rules" as then in force. The
arbitral award shall be final and binding on the Parties concerned. The costs of arbitration
* 9.1 Either Party's non-compliance of its obligations under this Contract shall be deemed as shall be bome by the losing Party except as otherwise fixed by the arbitral tribunal.
breach of the Contract, unless otherwise agreed in this Contract. The Party in breach shall be
liable to compensate damages for all the losses incurred by the observant Party arising from * 11.3 During the arbitration, this Contract shall continue to be executed by the Parties to the
such breach, however such losses shall be limited to the scope which the Party in breach extent that is not in dispute.
foresees or should have foreseen as a result of its breach of Contract at the time of concluding
this Contract and which shall be the direct consequences of such breach. Article 12 Notice
Article 10 Termination of Contract 6 12.1 Unless otherwise agreed by the Parties, any notice under this Contract shall be
produced in written forms and sent by fax or by express mail service of China Post (hereinafter
* 10.1 Unless otherwise provided for, this Contract may be terminated under any of the referred to as "EMS") or delivered personally. Such notice shall be deemed effective one day
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In = Annex1Attachment Iafter the date of delivery in case delivered by fax or shall be effective only if and when
received by the other Party in case delivered by EMS or shall be effective at the time of Import Entrustment Sheetreceiving such notice by the other Party if delivered personally.
[ ]Co., Ltd Import Entrustment Sheet ICode: I
Article 13 Validity and Miscellaneous [ ]Co., Ltd has agreed with the following Seller in respect of the product
import that it hereby entrusts Shanghai Chengtou Environment Asset Management Co., Ltd.
* 13.1 This Contract shall become effective as of the date on which the duly authorized to sign the import contract with the Seller and take charge of the import affairs.
representatives of the Parties affix signatures and seals hereto.
Nameof the Seller:
* 13.2 Annexes to this Contract form an integral part hereof and shall have the same binding Address:
forces as this Contract. Legal Representative:
Way of Contact:
* 13.3 No amendment, change or addition to this Contract shall be effective or binding on
any Party unless produced in writing and executed by both Parties. 1. Contents of the Order of Product:
Serial Nanrc of Type and Unit Nunbcr Price excluding Amount Tem of
* 13.4 The failure of either Party to enforce any provision of this Contract or to exercise any Number Product Specification Tax List excluding Tax Delivery
right in respect thereto shall not be construed as constituting a waiver of its right to enforce
the same or any other provision or to exercise the same or any other right.
* 13.5 Invalidity or ineffectiveness of any provision of this Contract shall not affect the
validity of any other provision hereof.
* 13.6 This Contract shall be written in [ ]original copies. Each Party shall hold one Additional Costs for Package:
original copy and the remaining [ ] shall be filed to the relevant authorities for record. Note:
Total Amount excluding Taxes:
In witness hereof, both Parties hereby sign the Contract as follows: Tax:
Total Amount of Price:
Sum (in words: )
Party A: Party B: 2. Terms of Delivery:_.
Authorized Representative: __ Authorized Representative: 3. Destination:_.
4. Terms of Payment: .
5. Quality Standards:_.
6. Way of Package: ,Special Requirements:_.
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7. Other Goods Purchase Conditions:.3 7.Othr GodsPurcaseConitins:Consigned Procurement Contract (Domestic)
8. This Import Entrustment Sheet shall become effective after signed for and stamped by the
Entrusted Party. This Sheet may be signed for in the form of facsimile. Import Entrustment This Consigned Procurement Contract (Domestic) (hereinafter referred to as the "Contract")
Sheet signed for in the form of facsimile shall be deemed as an original copy. is entered into by the following parties in [ month ] [date], [ year ] in Shanghai, People's
Republic of China:
9. The Entrusted Party shall sign the import contract with the Seller strictly in accordance
with the contents of this Sheet After the signature of the import contract, the Entrusting The Entrusting Party: _Co., Ltd. (hereinafter referred to as "PartyA")
Party shall not require the Entrusted Party to change the contents of the import contract, Domicile:
unless the part required to be changed will not increase Party B's risk and the Entrusted Party Legal Representative:
and the Seller both give consents thereon. and
The Entrusted Party: Shanghai Chengtou Environment Asset Management Co., Ltd.
(hereinafter referred to as "Party B")
The Entrusting Party:[ ]Co., Ltd. Domicile:
Date: Legal Representative:
(The above parties are individually referred to as the "Party" and collectively referred to as
The Entrusted Party: Shanghai Chengtou Environment Asset Management Co., ALd. the "Parties")
Date signed for:Whereas, Party A will develop and construct [ ] Project (hereinafter referred to as
the "Project") in [ ] Shanghai, for which both Parties already signed the Cooperation
Framework Agreement and, under the assistance of Party B, Party A will purchase certain
equipments and materials (hereinafter collectively referred to as the "Goods") from domestic
suppliers by use of the World Bank loan;
Whereas, Party B owns management experiences in respect of purchasing Goods for the
projects of such kind;
Whereas, Party A is willing to entrust Party B and Party B is willing to accept such
entrustment of Party A as the agent for purchase of Goods for Party A's Project to sign
jointly with Party A purchase contracts and perform the purchase contracts within the scope
of Party A's authorization;
Therefore, the Parties through amicable negotiations reach the Contract as follows:
Article I Entrustment
* 1.1 Party A, in the capacity of end user, entrusts Party B to act as its agent for purchasing
the Goods for the Project. Party B accepts Party A's entrustment to sign jointly with Party
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A contracts on purchase of the Goods with third parties and to perform such contracts on * 2.4 Party A shall, after receiving the delivery notice, pick up the Goods on its own on a
purchase of the Goods within the scope provided in this Contract and further authorized by timely basis in accordance with the arriving time of the Goods in such notice. Party A shall
Party A. also inspect the Goods on a timely basis. Provided that there shall be any claims against the
Seller after the inspection of the Goods, Party A shall bring the claim against the Seller in its
* 1.2 The scope of the Goods which Party Aentrusts Party B to purchase as agent shall be own name pursuant to the provisions of Article 6 of this Contract.
subject to the Purchase Entrustment Sheet (the format of which referring to the Attachment
hereto) issued by Party A to Party B each time. The contents of the Purchase Entrustment * 2.5 Party B is entitled to supervise the performance status of the contract on purchase of
Sheet shall be the basis of the contract on purchase of the Goods to be signed between the the Goods.
Parties and the domestic suppliers selling such Goods (hereinafter referred to as the "Seller").
* 1.3 The signature of this Contract does not constitute joint venture or cooperation be- Article 3 Reimbursement for Expenses of the Entrusted Purchase
tween the Parties of any form. Party B shall conduct the agency activities strictly pursuant
to the scope entrusted by Party Aand shall not conduct activities of any form in Party A's 0 3.1 Party A shall pay necessary agent fees and management fees to Party B for the
name beyond the designated scope. entrusted purchase under this Contract.
0 3.2 Party B agrees to advance the Seller the purchase price for the entrusted purchase
Article 2 Purchase Arrangement under this Contract to be reimbursed by Party A thereafter. Party B will issue payment
notice regarding the advanced payment for goods, all sorts of agent fees and management fees,
* 2.1 When the Goods are intended to be purchased to meet the requirements of the Project etc. which shall be reimbursed by Party A. Party A shall reimburse on a timely basis in
construction, Party A shall at its discretion choose types of the Goods and the Seller in light accordance with the requirements of the payment notice. Party A shall bear at its own
of the requirement of project construction, and shall agree on all sorts of the matters under the expense the Purchase Fee relevant to the purchase of Goods.
contract on purchase of the Goods such as the name, specification, type, performance,
quality, quantity, technical standard and service contents, technical warranty and terms of * 3.3 Both Parties shall otherwise sign a Consigned Transaction Reimbursement Agreement
price, delivery time, inspection and claims of the Goods (hereinafter referred to as the with regard to the reimbursement obligation of Party Aunder this Article and shall perform
"Goods Purchase Condition") with the Seller. such Agreement in a strict sense.
* 2.2 After Party Aand the Seller have agreed on the Purchase Condition of the Goods, Party
A shall issue the Purchase Entrustment Sheet to Party B in which such Goods Purchase Article 4 Obligations ofParty A
Condition shall be specified. Party B shall, jointly with Party A, sign the corresponding
contract on purchase of the Goods with the Seller in accordance with the Purchase Entrust- 0 4.1 PartyA shall issue the Purchase Entrustment Sheet to Party B on a timely basis and be
ment Sheet. responsible for signing, jointly with Party B, the contract on purchase of the Goods with the
Seller.
* 2.3 Party B will advance Party A the price agreed in the contract on purchase of the Goods,
while Party A shall bear such payment relevant to the purchase of the Goods as all transpor- 0 4.2 The external promises or agreements of Party A and the Goods which Party A entrusts
tation fees, insurance premiums, valued added tax and storage fees, etc., if any (hereinafter Party B to purchase shall be in conformity with the provisions of the existing laws, regula-
collectively referred to as the "Purchase Fees"). Party A shall be responsible for the de facto tions and policies of China. Party A shall ensure the authenticity of the purchased Goods and
performance of the contract on purchase of the Goods, unless otherwise agreed in this that the price of the Goods is normal market price.
Contract.
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a 4.3 The confirming of the Seller, Goods and Goods Purchase Condition by PartyA shall be 0 5.3 Party B shall inform PartyAon a timely basis of the performance status of the contract
in conformity with the provisions of the World Bank's Procurement Guidelines. on purchase of the Goods to its knowledge, and shall timely issue payment notice to Party
A in order to allow Party A to prepare for reimbursement in due course.
* 4.4 Party A shall make preparation work to pick up the Goods on a timely basis in
accordance with the delivery notice.
Anicle 6 Handling of Claims* 4.5 After the Goods reach the destination, Party A shall inspect the Goods timely and, in
the event of any quality problems, shall bring claims against the Seller pursuant to the * 6.1 In case that claims arise due to the performance of the contract on purchase of the
provisions of Article 6 of this Contract and inform Party B simultaneously thereon. Goods, Party A shall bring the claim against the Seller by itself. Any decisions in respect of
the claims shall be made by Party A and Party A shall afford the consequences thereof.
* 4.6 Party A shall reimburse Party B for the advancement, agent fees and management fees
in accordance with the provisions of the payment notice issued by Party B and the terms of
this Contract and Consigned Transaction Reimbursement Agreement. Article 7 Security
* 4.7 After the Parties have signed the contract on purchase of the Goods with third parties 0 7.1 Party A shall provide Party B with security for the performance of Party A's obliga-
pursuant to this Contract, Party A shall not require at its own discretion to modify the tions under this Contract. Detailed provisions in respect of the security shall be agreed in the
contents of the contract on purchase of the Goods, unless the part required to be modified Consigned Transaction Reimbursement Agreement otherwise signed by the Parties.
will not increase Party B's risk and Party B and the Seller both give consents thereto.
* 4.8 Where Party A's delay or failure in performing its obligations under this Contract or Article 8 Force Majeure
other reasons attributable to Party A result in Party B's inability to perform or delay in
performing the contract on purchase of the Goods with the Seller, Party Ashall compensate * 8.1 Neither Party shall be liable for any damage, increased cost or loss by reason of delay
Party B for all losses and costs arising therefrom. or failure in the performance of obligations under this Contract, if such delay or failure in
performance is caused by an event unforeseen at the time of conclusion of this Contract and
* 4.9 Party A shall timely provide Party B for its record with photocopies of all bills of whose occurrence or consequences the Parties can neither avoid nor overcome by reasonable
documents, certificates, materials and files related to the contract on purchase of the Goods means ("Event of Force Majeure"). Such failure or delay in performance shall not be deemed
and/or the Goods. as a breach of this Contract.
0 8.2 The following events shall be deemed as Events of Force Majeure: wars (whether
Article 5 Obligations ofParty B declared or not), riot, explosion, fire explosion, flood, earthquake, typhoon, large-scale epi-
demic diseases, other major acts of nature, labor disputes involving complete or partial
* 5.1 Party B shall assist in producing the contract on purchase of the Goods in accordance stoppage of work, promulgation or modification of laws, rules, regulations, or any docu-
with the Purchase Entrustment Sheet delivered by Party A, or examine and modify the ments with similar effect.
contract on purchase of the Goods provided by the Seller, and sign the contract on purchase
of the Goods along with Party A. * 8.3 The Party concerned shall provide the other Party with detailed information on the
Event ofForce Majeure by facsimile without delay within fifteen (15) days after the occur-
* 5.2 Party B shall advance payment for the Goods in accordance with the requirements of rence of the Event of Force Majeure and provide as evidence a valid document issued by a
the contract on purchase of the Goods. competent organization in the country concerned certifying the reasons for its inability to
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perform or for its delay in performing all or part of its obligations under this Contract and it Article 11 Settlement of Disputesshall take all reasonable steps to minimize or remove the effects of such delay in or failure of
performance as soon as possible after the occurrence of the cause thereof and attempt to * 11.1 Any dispute arising out of or relating to this Contract shall be settled by negotia-
resume performance of the obligations delayed or prevented by the Event of Force Majeure. tions of the Parties with good faith and to the best of their efforts.
Article 9 Liabilities for Breach of Contract * 11.2 Should these disputes not lead to any result acceptable to both Parties within two (2)months of the submission of the matter by one Party to the other, such disputes shall be
* 9.1 Either Party's non-compliance of its obligations under this Contract shall be deemed as settled by arbitration only, at China International Economic and Trade Arbitration Commis-
breach of the Contract, unless otherwise agreed in this Contract. The Party in breach shall be sion (CIETAC), Shanghai Sub-Commission by three arbitrators in accordance with the "China
liable to compensate damages for all the losses incurred by the observant Party arising from International Economic and Trade Arbitration Commission Rules" as then in force. The
such breach, however such losses shall be limited to the scope which the Party in breach arbitral award shall be final and binding on the Parties concerned. The costs of arbitration
foresees or should have foreseen as a result of its breach of Contract at the time of concluding shall be borne by the losing Party except as otherwise fixed by the arbitral tribunal.
this Contract and which shall be the direct consequences of such breach.
* 11.3 During the arbitration, this Contract shall continue to be executed by the Parties to the
Article 10 Termination of Contrad extent that is not in dispute.
* 10.1 Unless otherwise provided for, this Contract may be terminated under any of the
following circumstances: Article 12 Notice
(1) Where the Parties have reached agreement in writing upon negotiation; or * 12.1 Unless otherwise agreed by the Parties, any notice under this Contract shall be
produced in written forms and sent by fax or by express mail service of China Post (hereinafter
(2) Where either Party is fully accountable for its failure in performing its obligations referred to as "EMS") or delivered personally. Such notice shall be deemed effective one day
within the time limit specified by this Contract and the effect of such breach is not after the date of delivery in case delivered by fax or shall be effective only if and when
removed or relevant measures to remedy such breach are not adopted within days received by the other Party in case delivered by EMS or shall be effective at the time of
upon receipt of written notice sent by the Party not in breach, which shall have the right receiving such notice by the other Party if delivered personally.
to serve written notice on the breaching Party to terminate Contract;
(3) Where the Force Majeure Events have interfered with performance of this Contract Article 13 Validity and Miscellaneous
for a period in excess of days while the Parties have been unable to reach any other
contracts on fulfillment of this Contract so that agree to terminate this Contract in * 13.1 This Contract shall become effective as of the date on which the duly authorized
writing, representatives ofthe Parties affix signatures and seals hereto.
* 10.2 Termination of this Contract shall have no impact on the legal rights of either Party * 13.2 Annexes to this Contract form an integral part hereof and shall have the same binding
hereto, including but not limited to the right of claiming damages incurred by termination of forces as this Contract.
this Contract towards the Party responsible for such damages in accordance with the terms
of this Contract. * 13.3 No amendment, change or addition to this Contract shall be effective or binding on
any Party unless produced in writing and executed by both Parties.
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~9 ne 2 Attachment 1* 13.4 The failure of either Party to enforce any provision of this Contract or to exercise any
right in respect thereto shall not be construed as constituting a waiver of its right to enforce Purchase Entrustment Sheetthe same or any other provision or to exercise the same or any other right.
[ ]Co., Ltd Purchase Entrustment Sheet [Code:
* 13.5 Invalidity or ineffectiveness of any provision of this Contract shall not affect the [ ]Co., Ltd has agreed with the following Seller in respect of product purchase
validity of any other provision hereof. that it hereby entrusts Shanghai Chengtou Environment Asset Management Co., Ltd. to sign
the purchase contract with the Seller and take charge of the purchase affairs.
* 13.6 This Contract shall be written in [ ] original copies. Each Party shall hold one
original copy and the remaining [ ] shall be filed to the relevant authorities for record. Name of the Seller:
Address:
In witness hereof, both Parties hereby sign the Contract as follows: Legal Representative:
Way of Contact:
I.Contents of the Order of Product:
Party A: Party B: Serial Nane of Type and Unit Number Price excluding Amount Term ofNumber Product Specification Tax List excluding Tax Delivery
Authorized Representative: ____ Authorized Representative:
Additional Costs for Package:
Note:
Total Amount excluding Taxes:
Tax:
Total Amount of Price:
Sum (in words: )
2. Terms of Delivery:__
3. Destination: .
4. Terms of Payment: .
5. Quality Standards:_.
6. Way of Package: ,Special Requirements:_.
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KCMMnes317. Other Goods Purchase Conditions:-.
7.Ot erG ods urc aseC ndiion :__Consigned Procurement Contract (Civil Works)
8. This Purchase Entrustment Sheet shall become effective after signed for and stamped by
the Entrusted Party. This Sheet may be signed for in the form of facsimile. Import Entrust- This Consigned Procurement Contract ( Civil Works )( hereinafter referred to as " this
ment Sheet signed for in the form of facsimile shall be deemed as an original copy. Contract") is entered into in [month) [date], [ year ] in Shanghai, People's Republic of China,
9. The Entrusted Party shall sign the purchase contract with the Seller strictly in accordance Mandator: - -Co., Ltd. (hereinafter referred to as "Party A")
with the contents of this Sheet. After the signature of the purchase contract, the Entrusting Domicile:
Party shal not require the Entrusted Party to change the contents of the purchase contract, Legal representative:
unless the part required to be changed will not increase Party B's risk and the Entrusted Party and
and the Seller both give consents thereon. Agent: Shanghai Chengtou Environment Asset Management Co., Ltd. (hereinafter
referred to as "Party B")
Domicile:
The Entrusting Party:[ ]Co., Ltd. Legal representative:
Date: (both parties individually referred to as a "Party" and collectively as the "Parties").
The Entrusted Party: Shanghai Chengtou Environment Asset Management Co., Ltd. WHEREAS, to ensure smooth implementation of the World Bank APL Phase II loan project
Date signed for: in Shanghai, the Parties have concluded "Cooperation Framework Agreement on XXX
Project", under which Party B shall act as civil work procurement agent for Party Aand will
advance part of the procurement payments through its borrowing from the World Bank loan;
WHEREAS, Party B is familiar with procurement and payment procedures with regard to
the World Bank loan project. In addition, Party B has previously assisted Party A in prelirmi-
nary development of this project. Party A is willing to take advantage of Party B's profes-
sional edges as mentioned above to facilitate smooth implementation of the project;
In consideration of the foregoing, the Parties have reached mutual understanding through
consultations and sign hereby this Contract in accordance with the "Contract Law of the
People's Republic of China" as follows:
Article I Entrustment
* 1.1 Party A entrusts Party B, and Party B accepts such entrustment of Party A, to assist
Party A in negotiating, examining and verifying and modifying construction contracts, and
shall also, in the capacity of Party A's agent and jointly with Party A, conclude construction
contracts with contractors according to the contents jointly defined by the Parties.
* 1.2 The signature of this Contract does not constitute joint venture or cooperation be
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tween the Parties of any form. Party B shall conduct the agency activities strictly pursuant monthly budget plans for construction expenses; Party B shall have the right to urge Party A
to the scope entrusted by Party Aand shall not conduct activities of any form in Party A's to negotiate and identify with construction contractors or adjust specific date of settlement
name beyond the designated scope. of construction expenses, so as to ensure such date matching the drawing schedule of the
World Bank; Party B shall also be entitled to negotiate with commercial banks and other
Article 2 Construction Mandate Arrangement creditors to identify the reimbursement plans for the project construction period on behalf of
Party A.
* 2.1 Project Survey
* 2.7 During the term of project construction, Party B may, upon Party A's separate
(1) Name of project: Shanghai _ District (or County) Project; entrustment, design capital operation and assets restructuring plans for Party A.
(2) Total investment in project: (ten-thousand yuan) (referring to the * 2.8 Party B shall have the right to participate in final acceptance of completed project
approved budget proposals for investment); construction and get involved in establishing final accounts of the project construction.
(3) Location of construction: Shanghai District (or County); * 2.9 Party B shall examine and verify the construction progress statements and reports and,
in accordance with terms of construction contracts, advance contractors the construction
(4) Construction scale:_; price within the scope ofbeing examined and ratified by the World Bank.
(5) Construction items: * * 2.10 Party A shall ensure its reimbursement of the construction expenses advanced by
Party B according to "Consigned Transaction Reimbursement Agreement" (see Article 3
* 2.2 Party B shall, in the capacity of Party A's agent and jointly with Party A, negotiate herein).
with construction contractors and define the contents of construction contracts and other
relevant agreements, and conclude construction contracts and other relevant agreements. Article 3 Reimbursement for Expenses of the Construction Mandate
* 2.3 Party B may assist in formulating or examining and verifying such basic construction * 3.1 Party A shall pay agent fees and management fees to Party B for the Construction
documents as environmental impact assessment, resettlement action plan, project feasibility Mandate under this Contract.
study, initial design, budget proposals for investment, engineering drawings, etc., and shall be
entitled to raising comments and suggestions for adjustment or modification in light of actual 0 3.2 Party B agrees to advance the construction price for the construction mandate under
project status, and urging Party A to put them into practice. this Contract to be reimbursed by Party A thereafter. Party B will issue payment notice
regarding the advanced payment for the construction, all sorts of agent fees and management
* 2.4 Party B shall have the right to supervise project construction and use of construction fees, etc. which shall be reimbursed by Party A. PartyA shall reimburse on a timely basis in
funds, and may put forward suggestions for rectification and improvement of any problems accordance with the requirements of the payment notice.
with respect thereto. Party A shall implement such suggestions.
* 3.3 Both Parties shall otherwise sign a Consigned Transaction Reimbursement Agreement
* 2.5 Party B shall have the right to examine and verify the reports on supervision submitted with regard to the reimbursement obligation of Party A under this Article and shall perform
to Party A by both construction and investment supervisors, and to supervise their work such Agreement in a strict sense.
performance.
* 2.6 Party B may review Party A's accounting data such as its financial statements, and Article 4 Obligations ofParty A
thereupon assist Party A in formulating or examining and verifying annual, quarterly and
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* 4.1 Party A undertakes that the procurement for consulting services, training and civil * 4.8 Party A shall, within three (3) working days, give a written reply on matters submitted
works will be proceeded in accordance with the World Bank's procurement guideline. in writing by Party B for decision.
* 4.2 Party A shall both accept and adopt comments and suggestions for adjustment or Article 5 Obligations ofParty B
modification from Party B concerning such basic construction documents as environmental
impact assessment, resettlement Action Plan, feasibility study, initial design, budget pro- * 5.1 Party B shall pay construction contractors on behalf of Party A through advancement
posals for investment, engineering drawings, etc.. the construction fees in accordance with terms of construction contracts, and shall draw
relevant fund from and render accounts to Shanghai Municipal Finance Bureau against valid
* 4.3 Party A shall pay respect to comments and suggestions from Party B in selecting documents such as construction contracts and special invoices for architectural industry.
professional units with pertinent qualifications to undertake such tasks for the project as
relocation and resettlement, geological survey, design, construction, supervision, supply of * 5.2 In light of actual demands ofParty A, Party B shall provide his assistance in formulat-
materials and equipments and installation, and shall require such units to be subject to ing plans for construction procurement and bidding & tender documents.
supervision by Party B.
* 5.3 In light of actual demands of the project construction and Party A, Party B shall be
* 4.4 Party A shall give rational explanations to the questions raised by Party B in Party B's involved within Party B's reach in coordinating with local government and in organizing,
examination and verification of reports on supervision submitted by both construction and coordinating and managing the project construction when necessary. In case Party B commu-
investment supervisors, and shall cause relevant responsible personnel including contractors nicates and coordinates with competent local governmental deparnments on behalf of Party
to make prompt rectifications and improvements. A, the latter shall render necessary support with respect thereto.
* 4.5 Where Party B participates in final acceptance of completed project construction and * 5.4 Without prior consent by Party A, Party B shall not disclose any confidential informa-
gets involved in formulation of final accounts of project construction, Party A shall render tion relevant to this project construction.
assistance and cooperation when necessary.
Article 6 Handling of Claims* 4.6 Party A shall, according to the ratified scale, items and standard of construction,
implement organizational management, strictly control project investment, ensure construc- * 6.1 Once any disputes or claims arise between Party A and contractors or between any
tion quality and make the delivery for use on schedule. PatyAmay not by utilizing negotia- third parties related to the project, Party A shall notify Party B in writing without delay In
tions or executing other supplementary agreements modify at its own discretion the scale, case Party B decides to get involved in settling such disputes or claims between Party A and
standard and items of construction and the investment amount in the course of implementation. contractors or between the said third parties, Party A shall actively cooperate with Party B
Where modifications in design have to be made due to technical, hydrological and geological in such settlement, while Party B shall have the right to decide, as the case may be, whether
reasons, the design units shall complete design modification sheets, which shall be com- or not to participate in the settlement of disputes or claims between Party A and contractors
mented by both supervision and construction units with signatures and then submitted to or between the said third parties related to the project.
Party A upon being confirmed by Party B.
Article 7 Security* 4.7 Party A shall, in accordance with terms of "Consigned Transaction Reimbursement
Agreement", reimburse in due time the construction price advanced by Party B, the agreed * 7.1 Party A shall provide Party B with security for the performance of Party A's obliga-
agent fees under this Contract and any other expenses agreed upon under "Consigned Trans- tions under this Contract. Detailed provisions in respect of the security shall be agreed upon
action Reimbursement Agreement". under the "Consigned Transaction Reimbursement Agreement" otherwise concluded by the
Parties.
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Article 8 Force Majeure effects resulted therefrom, so as to enable Party B to adopt corresponding measures. If PartyAfals to make such notice in time, Party A may suspend its obligation to pay construction
* 8.1 Neither Party shall be liable for any damage, increased cost or loss by reason of any price on Party As behalf until it demands termination of this Contract. Party A shall assume
delay or failure in the performance of obligations under this Contract, if such delay or failure liabilities for breach of Contract.
is caused by an event unforeseen at the time of conelusion of this Contract and whose
occurrence or consequence the Parties can neither avoid nor overcome by reasonable means 0 10.3 Unless otherwise provided for, this Contract may be terminated under any of the
(hereinafter referred to as "Force Majeure Events'". Such delay or failure shall not be deemed following circumstances:
a breach of this Contract. (1) Where a written contract on termination is adopted by the Parties; or
* 8.2 Following events shall be deemed as force majeure events: wars (whether declared or (2) Where either Party is fully accountable for its failure in performing its obligations
not), riot, explosion, fire explosion, flood, earthquake, typhoon, large-scale epidemic diseases, within the time limit specified by this Contract and the effect of such breach is not
other major acts of nature, labor disputes involving complete or partial stoppage of work, removed or relevant measures to remedy such breach are not adopted within _ days
promulgation or modification of any laws, rules, regulations, or any documents with similar upon receipt of written notice sent by the Party not in breach, which shall have the right
effect. to serve written notice on the breaching Party to terminate this Contract;
* 8.3 The Party concerned shall provide the other Party with detailed information on the (3) Where the Force Majeure Events have interfered with performance of this Contract
Event of Force Majeure by facsimile without delay within fifteen (15) days after the occur- for a period in excess of__ days while the Parties have been unable to reach any other
rence of the Event of Force Majeure and provide as evidence a valid document issued by a contracts on fulfillment of this Contract so that agree to terminate this Contract in
competent organization in the country concerned certifying the reasons for its inability to writing.
perform or for its delay in performing all or part of its obligations under this Contract and it
shall take all reasonable steps to minimize or remove the effects of such delay in or failure of e 10.4 Termination of this Contract shall have no impact on the legal rights of either Party
performance as soon as possible after the occurrence of the cause thereof and attempt to which terminates the Contract, including but not limited to the right of claiming damages
resume performance of the obligations delayed or prevented by the Event of Force Majeure. incurred by termination of this Contract towards the Party responsible for such damages
according to the terms of this Contract.
Article 9 Liabilities for Breach of ContractArticle 11 Settlement of Disputes
* 9.1 Either Party's non-compliance of its obligations under this Contract shall be deemed as
breach of the Contract, unless otherwise agreed in this Contract. The Party in breach shall be 0 11.1 Any dispute arising from the implementation of this Contract shall be settled by
liable to compensate damages for all the losses incurred by the observant Party arising from negotiations of the Parties. Should these negotiations not lead to any result acceptable to the
such breach, however such losses shall be limited to the scope which the Party in breach Parties, either Party may submit such disputes to the competent department for reconciliation.
foresees or should have foreseen as a result of its breach of Contract at the time of concluding Should such reconciliation still fails, these disputes shall be settled by arbitration only, at
this Contract and which shall be the direct consequences of such breach. China International Economic and Trade Arbitration Commission (CIETAC), Shanghai Sub-
Commission by three arbitrators in accordance with the "China International Economic and
Article 10 Termination of Contract Trade Arbitration Commission Rules" as then in force. The arbitral award shall be final andbinding on the Parties concerned. The costs of arbitration shall be borne by the losing Party
* 10.1 This Contract shall take effeet as of the date of conclusion of this Contract. except as otherwise fixed by the arbitral tribunal.
* 10.2 In case of delay, suspension or termination of project construction due to reasons
attributed to Party A, Party A shall notify Party B in due time thereof and of the possible
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K=aAmt- 4]Article 12 Notice
* 12.1 Unless otherwise agreed by the Parties, any notice under this Contract shall be Consigned Transaction Reimbursement Agreementproduced in written forms and sent by fax or by express mail service of China Post (hereinafter This Consigned Transaction Reimbursement Agreement (hereinafter referred to as the
referred to as "EMS") or delivered personally. Such notice shall be deemed effective one day "Agreemen") is entaed into by and between the following parties in [month][date], [year]
after the date of delivery in case delivered by fax or shall be effective only if and when in Shanghai, People's Republic of China.
received by the other Party in case delivered by EMS or shall be effective at the time of
receiving such notice by the other Party if delivered personally. The reimbursing party: _ Co., Ltd. (hereinafter referred to as "Party A")Domicile:_____________________________________
* 12.2 To bring the project construction agency agreed under this Contract to success, Party Legal Representative:
A shall authorize a contact person: [ ], responsible for project related liaison. andThe party to be reimbursed: Shanghai Chengtou Environment Asset Manage-
Article 13 Validity and Miscellaneous ment Co., Ltd. (hereinafter referred to as "Party B")Domicile:_____________________________________
* 13.1 Any complementary agreements to this Contract form an integral part hereof and Legal Representative:
shall have the same legal forces as this Contract. (The above parties are individually referred to as the "Party" and collectively referred to asthe "Parties")
* 13.2 No amendment, change or addition to this Contract shall be effective or binding on
any Party unless produced in writing and executed by both Parties. Whereas, Party Awill develop and construct the Project (hereinafter referredto as the "Project") in Shanghai [ ] , for which Party A will purchase certain
* 13.3 The failure of either Party to enforce any provision of this Contract or to exercise any equipments and materials or require the supply ofconsulting services from, or contract the
right in respect thereto shall not be construed as constituting a waiver of its right to enforce construction work to domestic or overseas suppiers or consulting companies, or construc-
the same or any other provision or to exercise the same or any other right. tion contractors (hereinafte refered to as the "Third Parties") through Party B (hereinafter
referred to as the "Consigned Transaction"). Therefore, the Parties have executed the "Coop-
* 13.4 Invalidity or ineffectiveness of any provision of this Contract shall not affect the aation Framework Agreement on XXX Project" on [Date] [Month] [Year];
validity of any other provision hereof.Whereas, Party B will, in the capacity of Party A!s agent and jointly with Party A, sign
* 13.5 This Contract shall be written in [ ] original copies. Each Party shall hold purchase contract or construction contract or consulting service contract with third parties
one original copy and the remaining [ ] shall be filed to the relevant authorities for such as domestic or overseas suppliers, contractors or consulting companies pursuant to the
record. provisions in thc aforesaid framework agreement and Party B will use the World Bank APLloan on-lent by the Shanghai Municipal Finance Bureau to advance part of the transaction
In witness whereof, the Parties hereto have caused this Contract to be executed as set forth prices which will thaeafter be reimbursed by Party A in accordance with this Agreement;
below:Whereas, the cycle for Party 's constructing the I Project is relatively long, and
the way ofParty B's advancing the payment is to withdraw such amount from the Shanghai
Party A: ______________ Party B: Municipal Finance Bureau by submitting the relevant invoices and documents. Party B
therefore agrees to grant Party A certain credit line and credit term. Party A will reimburse
Authorized Representativev Authorized Representative: within the credit term the sum which has been advanced by Party B for the Consigned
men CopCdightoE2,e6 HHP AttorneysAt-Law 2"Par
DFV Operations Manual DFV Operations Manual
Transactions; tions to reimburse the principal of the advancement.
Therefore, the Parties through amicable negotiations agree as follows: Article 3 Payment ofAdvancement and Its interests IArticle 1 Payment to be Reimbursed a 3.1 The term of reimbursement shall start from the 6 year until the 20' year as of the date
on which the Board of Executive Directors of the World Bank approves the World Bank Loan
a 1.1 Party B agrees to grant PartyA credit line amounting to RMB [ ] from total Agreement. Party A shall make full reimbursement on a timely basis within the term of
credit line of the World Bank Loan obtained by Party B for Consigned Transactions under the reimbursement. From the beginning of the term of reimbursement, Party A shall reimburse
"Cooperation Framework Agreement on XXX Project" with the credit term being [ 20] Party B for the advancement in two installments every year. The reimbursement date of
years (including 5 years' grace period). Party Aevery year shall be [ ] and [ I. The time period between two
reimbursement dates shall be one reimbursement cycle. Party A shall, at the time of this
* 1.2 Party A shall have fully reimbursed Party B before the expiry of the credit term for all Agreement taking effect, negotiate with Party B to formulate a reimbursement schedule (the
expenses and interests attributable to the Consigned Transaction. All the expenses Party Ais format of which referring to Attachment I hereto), which shall come into force simulta-
obliged to reimburse are hereinafter referred to as the "Payments To Be Reimbursed" neously with the effectiveness of this Agreement. Party A shall strictly comply with such
collectively, including such expenses and interests as follows: reimbursement schedule to perform its reimbursement obligations.
(1) Advancement and the interests thereof: payments accrued from the Consigned * 3.2 Party A shall pay interests to Party B once a half year according to the amount of
Transactions advanced by Party B and the relevant interests thereof; advancement which has actually accrued. However, the first interest period shall be deter-
mined in accordance with the World Bank's Disbursement Handbook. Specific amount thereof
(2) Management fee; shall refer to the payment notice issued by Party B (the format of which referring to Attach-
ment 2 hereto).
(a) Front-end fee: a lump sum collected by the World Bank for the loan it provides,
the amount of which shall be [ 0.25% ] of the credit line enjoyed by Party A * 3.3 With regard to reimbursement of advancement and its interest, Party B shall deliver the
payment notice to Party A pursuant to the confirmed reimbursement schedule (the format of
(b) Commitment fee: collected by the World Bank on the principal amount of the which referring to Attachment 2 hereto) within two (2) weeks prior to each reimbursement
credit line not used from time to time at a rate equal to three fourths of one percent date, and Party A shall reimburse the sum specified by the payment notice in accordance with
[0.75% ] per annum; the provisions thereof on or prior to the prescribed date of reimbursement.
(3) Agent fee: the agent fee collected by Party B from Party A for the Consigned Article 4 Management Fee
Transactions, the total amount of which shall be [ 1.5% ] of the total advaneement paid
by Party B for Party A. * 4.1 On the date of the World Bank Loan Agreement taking effect or shortly thereafter, the
World Bank will directly deduct the front-end fee in full amount from the specific APL
Article 2 Grace Period ofAdvancement Project loan account of the Shanghai Municipal Finance Bureau.
Unless otherwise provided for in this Agreement, the grace period of advancement shall be 5 * 4.2 With regard to the credit line unused by Party A, Party A shall pay once a half year
yearseommencing from the date on which the World Bank APLII Loan Agreement (hereinafter commitment fee, however, the first payment of which shall be made in accordance with the
referred to as the "World Bank Loan Agreement") is approved by the Board of Executive provisions set by the World Bank's Disbursement Handbook. The specific amount of the
Directors of the World Bank. During such grace period, Party A is exempted from its obliga- first payment shall be referred to the payment notice issued by Party B (the format of which
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referring to Attachment 2 hereto). * 8.2 Scope of security
The scope of security rendered by Party A or a third party designated by Party A for this
Article 5 Agent Fee Agreement shall cover all the payments to be reimbursed and agent fees, management fees, as
well as interest, penalty for delayed payment, damages and expenses for realizing the security.
Agent fee shall be paid by Party A to Party B in two installments, and the first payment of
which, namely 50% thereof, shall be made by Party A to Party B on the effective date of this * 8.3 Party A shall render the security prescribed by this Agreement in a timely manner by
Agreement or shortly thereafter in an amount equivalent to 1.5% of the credit line Party A complying with the contents required by Party B. If not, Party B shall have the right to
enjoys. The remaining part of agent fee shall be paid upon completion of all the procure- refuse advancing the expenses under Consigned Transactions.
ments made by using the World Bank Loan, the calculation basis of which shall be 1.5% of the
advanced payment actually made by Party B for Party A minus the amount of agent fee Article 9 Passive Guarantee
already paid by Party A.
0 9.1 Prior to Party A's full performance of all its obligations under this Agreement, unless
Article 6 Calculation ofPayment to be Reimbursed otherwise agreed in writing by Party B, Party A shall not cause any of its assets or incomes
subject to any other mortgage, lien, pledge or security interests to secure any other obligations.
Specific calculation methods for advancement, interests of advancement and management fee
(front-end fee and commitment fee) shall be identified in accordance with the provisions of 0 9.2 Party A shall ensure that the rights of Party B under this Agreement shall prevail any
the World Bank's Disbursement Handbook, and the payment notice delivered by Party B in rights held by any other commercial banks against Party Awhich have already accrued or will
due course shall prevail. accrue.
Article 7 Penalty for Delayed Payment * 9.3 In case of breach of contracts by Party A against any commercial banks or other financing
providers, it will simultaneously constitute a breach against Party B under this Agreement and
If Party A fails to reimburse arrears in accordance with the provisions of this Agreement and Party B are entitled to take any and all necessary mcasures including but not limited to
the payment notice, unless otherwise agreed by the Parties in writing, Party A shall pay suspending performance of this Agreement, announcement of premature of the this Agreement,
penalty to Party B, the calculation basis of which shall be [ I %o per day ] of the outstanding etc..
payment (where otherwise provided for in the payment notice, such records therein shall
prevail), and shall also indemnify Party B for all other losses beyond the amount of the Article 10 Breach ofAgreementpenalty hence incurred by Party B.
Under any or more of the following circumstances, Party B may immediately or at any time
Article 8 Positive Guarantee thereafter demand Party A to reimburse at once all the Payment to Be Reimbursed and to
indemnify all the losses hence incurred by Party B:
@ 8.1 Party A shall provide Party B with following security: (1) Party A fails to make any payments due under this Agreement on the reimbursement
8.1.1 In respect of the reimbursement obligations that Party A shall assume against date; or
Party B as provided for in this Agreement and the payment notice, Party A agrees to
pledge its right to receive its main business revenues to Party B. (2) Party A fails to comply with any other provisions under this Agreement as well as
the Cooperation Framework Agreement on XXX Project, and such non-compliance
8.1.2 Party Ashall, in addition to pledging its right to receive its main business revenues, fails to be corrected (if it can be corrected) for [ 15 ] consecutive business days upon
provide Party B with a guarantee with joint and several liabilities issued by commercial notice with respect thereto having been sent by Party B to Party A, or
banks [ company ] or other way of security acknowledged by Party B.
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(3) PartyA enters into bankruptcy or liquidation proceedings or becomes insolvent; or Article 14 Miscellaneous Provisions
(4) Occurrence ofanyevents which, in Party B'sjudgment, may exert unfavorable This Agreement shall be written in [ ] original copies. Each Party shall hold onematerial impacts on Party As ability to perform its economic obligations; or original copy and the remaining [ ] shall be filed to the relevant authorities for record.
(5) Termination of the Cooperation Framework Agreement on XXX Project. In witness whereof, Party A and Party B execute this Agreement as follows:
Article 11 Settlement of Disputes
* 11.1 Any dispute arising out of or relating to this Agreement shall be settled by negotia- PartyA: Party B:
tions of the Parties with good faith and to the best of their efforts.
Authorized Representative: Authorized Representative:___* 11.2 Should these disputes not lead to any result acceptable to both Parties within two (2)
months of the submission of the matter by one Party to the other, such disputes shall be
settled by arbitration only, at China International Economic and Trade Arbitration Commis-
sion (CIETAC), Shanghai Sub-Commission by three arbitrators in accordance with the "China
Intemational Economic and Trade Arbitration Commission Rules" as then in force. The
arbitral award shall be final and binding on the Parties concemed. The costs of arbitration
shall be borne by the losing Party except as otherwise fixed by the arbitral tribunal.
* 11.3 During the arbitration, this Agreement shall continue to be executed by the Paties to
the extent that is not in dispute.
Article 12 Notice
* 12.1 Unless otherwise agreed by the Parties, any notice under this Agreement shall be
produced in written forms and sent by fax or by express mail service of China Post (hereinafter
referred to as "EMS") or delivered personally. Such notice shall be deemed effective one day
after the date of delivery in case delivered by fax or shall be effective only if and when
received by the other Party in case delivered by EMS or shall be effective at the time of
receiving such notice by the other Party if delivered personally.
Article 13 Effectiveness
This Agreement shall become effective as of the date on which the duly authorized represen-
tatives of the Parties affix signatures and seals hereto. Annexes to this Agreement form an
integral part hereof and shall have the same binding forces as this Agreement.
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Annx 4Attachment I A nne.4 Attachment 2
REIMBURSEMENT SCHEDULE PAYMENTNOTICE
The reimbursing party:[ ] Co., Ltd. To: [ ]Co., Ltd.:
The party to be reimbursed: Shanghai Chengtou Environment Asset Management Co., Ltd. Pursuant to the provisions of the Reimbursement Schedule on[ yyyy/mm/dd ]which has
been confirmed by our company, your company shall reimburse the amount of RMB
Total amount of to be reimbursed:_[ ] (in words: ) in total to our company before the reimbursement date
which is[ yyyy/mm/dd 3.Including, Payment for goods:
Payment for goods:
Front-end fee:
Front-end fee:
Commitmentfee:
Agent fee:
Cycle of Reimbursement Date of Reimbursement Amount of Reimbursement
Commitment fee:
If your company fails to remit the payment on schedule, your company shall, commencing
from the aforesaid reimbursement date, pay a penalty for the delayed payment to our
Where the reimbursing party fails to reimburse the payment which shall be reimbursed to the company at the rate of [ I 9. per day ] of the un-reimbursed payment.
party to be reimbursed in accordance with this Reimbursement Schedule, the reimbursing
party shall, commencing from the current due reimbursement date, pay the penalty for
delayed payment to the Party to Be Reimbursed at the rate of [l % per day] of the outstand-
ing payment.
Shanghai Chengtou Environment Asset Management Co., Ltd. (stamp)
The Reimbursing Party:[ ] Co., Ltd. Signature:
Date: Date:
The party to be reimbursed: Shanghai Chengtou Environment Asset Management Co., Ltd.
Date:
Copright@2006 HHP Attrneys-At-Law CopyrghtQ2006 HHP Attorneys-At-Law 287
Agenda for GDLN activities
Date/Time Proposed Potential Speakers/Presenters Potential AudienceObjectives
Thursday, Lessons learned and 0 Key Practitioners and Planners Bank StaffDecember 11, knowledge sharing involved in the Kobe National/sub national2008 seminar on post- experience officials, think tanks,
disaster recovery, with * Colleagues from academics, privatea focus on Kobe BRR/Indonesia sector practitioners,experience 0 Global Experts/Government civil society groups
staff
8:00 pm Introductory remarks by Moderator8: 10 pin Presentation by Kobe team8:30 pin Q&A/discussion9:15 pin BREAK9:35 pin Presentation by BRR/Indonesia team9:55 pin Q&A/discussion
10:40 pin Closing remarks by Moderator
Specialized seminars World Bank Treasury/TTLs with Bank Staff,on risk financing and experience in implementing Cat National/sub nationalthe Bank's new DDO and other financial products officials, think tanks,financial products and academics, private
interventions/Practitioners/GlobaI sector practitioners,Experts/Government staff civil society groups
Specialized seminars TTLs with experience in Bank Staff,on community implementing such National/sub nationalapproaches to disaster approaches/Practitioners/Global officials, think tanks,risk management Experts/Government staff academics, private
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DFV Operations Manual Annex 10 Anti-Corruption Guidelines (2008)
Annex 10
Anti-Corruption Guidelines
I. Introduction
Fraud and corruption impair development in all its dimensions. Diversion of funds fromdevelopment projects through fraud, corruption, collusion, and coercion' impairs theability of governments, donors and the World Bank to achieve the goals of reducingpoverty, attracting investment, and encouraging good governance. The money used to paya kickback or bribe must come from some part of the overall project financing generallyleading to increased prices and decreased quality or performance. That means lesseffective projects.
Rooting out corruption in development assistance requires a collaborative effort amongBorrowers, the Bank and its development partners. This calls for continued efforts on thepart of the Borrower, other recipients of loan proceeds, and the Bank to help prevent fraudand corruption wherever they are found, while simultaneously strengthening theinstitutional structures that will ultimately help stop corruption at its source.
On Oct. 15, 2006, the Bank issued the Anti-Corruption Guidelines on Preventing Fraudand Combating Corruption in Projects Financed by IBRD Loans and IDA Credits andGrants (Anti-Corruption Guidelines) for Borrowers on preventing and combatingcorruption in Bank financed projects to ensure that loan proceeds are used for theintended purpose of promoting development and reducing poverty. The Guidelines areintended to set out clearly the actions that Borrowers and other recipients of loan proceedsshould take to try to prevent cases of fraud and corruption from occurring, and to addressthem if they do occur.
II. Anti-Corruption Guidelines
The full version of the Anti-Corruption Guidelines is appended as followings.
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