SustainableFinanceFrameworkAugust20242 32.ContributiontoSust 4 74.ExternalReview-SecondPartyOpinion外部核查-第二方意見 5.AmendmentstothisFramework本框架的修訂 3HenanInvestmentGroupCo.,Ltd.(“HenanInvestment”)wasestablishedin1991andisthefirststate-ownedassetsoperationenterpriseinHenanProvincedesignatedtooperateandmanagestate-ownedassetsasauthorisedbytheHenanProvincialPeople’sGovernment.Asastate-ownedcompanywithstrongprofitability,diversifiedinvestmentportfolioandexcellentinvestmentcapabilities,theGroupplaysanimportantroleinsupportinginfrastructureinvestmentinHenanProvince,cultivatingandprovidingguidanceonthedevelopmentofemergingindustriesofstrategicimportance,andmobilisingandleveragingsocialcapitalforthedevelopmentofHenanProvince.Withtheaimstobuildupaplatformforthemanagementandoperationofstate-ownedassetsinHenanProvinceandtopromotethemobilisationandcooperationofsocialcapital,industrialupgradingandtransformationaswellasmutualdevelopmentoftheprovinceandmunicipalities,theGroupconductsinvestmentsprimarilyinthestrategicareasandsupportsindustrialupgradingandtransformation,state-ownedenterprisereformandinfrastructureconstruction.Overtheyears,theGrouphasestablishedastrongpresenceandleadingmarketpositioninHenanProvinceanddevelopedadiversifiedbusinessportfoliocovering,including,amongothers,powergeneration,papermaking,financialservices,infrastructureconstructionandtechnologyandwell-beingservices.TheGroup’sbusinesssegmentsareasfollows:?PowerGeneration–TheGroupinvestsinandoperatesanumberofpowergenerationprojectsandplantsacrossHenanProvincethroughitssubsidiariesandassociatecompanies.Asat31December2023,theGroupheldequityinterests(includingbothcontrollingandminorityinterest)in13powergenerationcompanies,withatotalinstalledcapacityof18,560MWandattributableinstalledcapacityof10,665MW.AllelectricitygeneratedbytheGroup’spowergenerationplants(otherthanelectricitywhichisrequiredtobeusedbytheGroup’spowergenerationplantsandwasteelectricity)istransmittedintoandsoldontheelectricitygridoperatedbyStateGridHenanElectricPowerCompany,whichisalocalsubsidiaryofStateGridCorporationofChina.?InfrastructureConstruction–TheGroup’sinfrastructureconstructionbusinessmainlyincludesthedevelopment,constructionandoperationofenvironmentalandmunicipalprojectswithrespectto,suchas,wastepowergeneration,watersupply,sewagetreatmentandurbanenvironmentalsanitation,environmentalequipmentmanufacturing,constructionofroads,bridgesandotherpublicfacilitiesandtollhighwayoperation.?TechnologyandWell-beingServices–TheGroupengagesintechnologyandwell-beingservicesbusinessprimarilythroughitssubsidiaryE-cityHoldings.Historically,theGroup’stechnologyandwell-beingservicesbusinessmainlyincludedrealestatedevelopment,hotelmanagementandagricultureandforestry.Inrecentyears,theGrouphasbeengraduallyshiftingitsfocustotechnologyandwell-beingservicesbusinesstocoverthekeybusinesslinesofindustrialparkdevelopmentandoperation,healthcareandelderlycareservicesandculturaltourism.?PaperMaking–TheGroup’spapermakingbusinessprimarilyincludestheproductionandsaleofpaperproductsandpoplarwoodchemicalandmechanicalpulp(楊木化機漿).?FinancialServices–TheGroup’sfinancialservicesbusinessconsistsprimarilyofsecuritiesbusiness,trustbusiness,assetmanagementandfundinvestmentandmanagement.?NaturalGasOperations–TheGroup’snaturalgasoperationsbusinessprimarilyconsistsofsale,transmission,storageandtransportationofnaturalgas.?InformationIndustryInvestment–TheGroupengagesininformationindustryinvestment,primarilyconsistingoftheproductionandsaleofsolarphotovoltaicultra-clearrolledglass,high-qualityfloatglass,TCOglass,energy-savingglassandfoodadditivesandpharmaceuticalintermediates.4?Others–TheGroupalsogeneratesrevenuesfromotherbusinessactivities,consistingprimarilyofprovisionofloanstoentitiesoutsidetheGroupandotherbusinesses.河南投資集團有限公司（“河南投資”）成立于1991年，是河南省首家指定運營管理河南省人民政府授權(quán)國有資產(chǎn)的國有資產(chǎn)運營企業(yè)。作為一家具有強大盈利能力、多元化投資組合和卓越投資能力的國有企業(yè)，河南投資在支持河南省基礎(chǔ)設(shè)施投資、培育引導(dǎo)新興戰(zhàn)略產(chǎn)業(yè)發(fā)展，以及動員和撬動發(fā)展河南省的社會資本等方面發(fā)揮著關(guān)鍵作用。河南投資以搭建河南省國有資產(chǎn)管理營運平臺、促進省市社會資本動員合作、產(chǎn)業(yè)升級轉(zhuǎn)型及共同發(fā)展為目標，集團主要在戰(zhàn)略領(lǐng)域，支持產(chǎn)業(yè)升級轉(zhuǎn)型、國企改革和基礎(chǔ)設(shè)施建設(shè)方面進行投資。多年來，集團在河南省建立了強大的市場影響力和領(lǐng)先地位，形成了多元化的業(yè)務(wù)投資組合，涵蓋發(fā)電、造紙、金融服務(wù)、基礎(chǔ)設(shè)施建設(shè)、科技和民生服務(wù)等。集團主要業(yè)務(wù)如下：?發(fā)電–集團通過其子公司和聯(lián)營公司在河南省投資運營多個發(fā)電項目和發(fā)電廠。截至2023年12月31日，集團持有13家電力公），兆瓦，權(quán)益裝機容量達到10,665兆瓦。集團發(fā)電廠生產(chǎn)的所有電力（除集團發(fā)電廠所需電力和垃圾發(fā)電外）均輸送至國網(wǎng)河南省電力公司（國家電網(wǎng)有限公司的地方子公司）運營的電網(wǎng)并在該電網(wǎng)上銷售。?基礎(chǔ)設(shè)施–集團的基礎(chǔ)設(shè)施建設(shè)業(yè)務(wù)主要包括垃圾發(fā)電、供水、污水處理、城市環(huán)境衛(wèi)生、環(huán)保設(shè)備制造、路橋和其他公共設(shè)施建設(shè)和收費公路運營等環(huán)保和市政項目的開發(fā)、建設(shè)和運營。?科技和民生服務(wù)–集團主要通過其子公司頤城控股有限公司從事科技和民生服務(wù)業(yè)務(wù)。集團的科技和民生服務(wù)業(yè)務(wù)過去主要包括房地產(chǎn)開發(fā)、酒店管理和農(nóng)林業(yè)。近年，集團逐步將重點轉(zhuǎn)向科技和民生服務(wù)，涵蓋產(chǎn)業(yè)園區(qū)開發(fā)運營、健康和養(yǎng)老服務(wù)及文化旅游等主要業(yè)務(wù)線。?造紙–集團的造紙業(yè)務(wù)主要包括紙制品和楊木化機漿的生產(chǎn)和銷售。?金融服務(wù)–集團的金融服務(wù)業(yè)務(wù)主要包括證券業(yè)務(wù)、信托業(yè)務(wù)、資產(chǎn)管理和基金投資管理。?天然氣運營–集團的天然氣運營業(yè)務(wù)主要包括天然氣銷售、輸送、儲存和運輸。?信息產(chǎn)業(yè)投資–集團從事信息產(chǎn)業(yè)投資，主要業(yè)務(wù)包括太陽能光伏超白壓延玻璃、優(yōu)質(zhì)浮法玻璃、TCO玻璃、節(jié)能玻璃以及食品添加劑及醫(yī)藥中間體的生產(chǎn)和銷售。?其他–集團還從其他業(yè)務(wù)活動產(chǎn)生收入，主要包括為集團以外實體提供貸款及其他業(yè)務(wù)。2.1SupportingtheEnergyTransitioninHenanProvince推動河南省的能源轉(zhuǎn)型TheGroup’scomprehensiveenergysectorfocusesonmaintainingsecurityofenergysupplywhileachievinglow-carbontransition,havingdevelopedacomprehensiveenergyfootprintinareasofwindpower,solarpower,hydropower(includingpumperstorage),andenergystorage.AstheGroup’ssubsidiary,YunengHoldingsistheonlyprovincially-ownedlistedpowercompanyinHenanProvincewhichpowergenerationaccountsfor14%oftheProvince’s,theGrouphastostrategicallybalanceenergysecurityneedstoensurethestabilityofpowersupply,whileachievingthelow-carbontransition.TheGroupdoesthisbyacceleratingitsinvestmentsintorenewablestocompletelytransformitsenergymixby2028.5Currently,themajorityoftheGroup’spowergenerationassetsareinthermalpowergeneration.However,theGroupiscommittedtoupgradingitspowergenerationportfolioandpursuingcleanenergydevelopments(suchaswindpower),whichisalsoinlinewiththePRCgovernment’sinitiativestoincreasethepowergeneratedfromcleanandrenewablesources.Asof31December2023theGrouphad26powergenerationplantsandprojectsthatwereunderconstruction,whichareprincipallycomprisedofrenewableenergyprojectsincludingpumpedstorage,photovoltaicwindpowerandelectrochemicalenergystorageprojects.TheGroupexpectsthatitstotalinstalledcapacityofcontrollablepowergenerationwillexceed20,000MWby2028,ofwhichtheproportionthatisarisingfromrenewableenergy(includingphotovoltaic,wind,biomassandpumpedstorage)couldcomprise60%oftheoverallmix.TheGroupstrategicallyfocusesonsupportingcleanenergyonboththecleanenergystorageandgenerationfronts.Inparticular,theGrouphasdevelopedlandmarkpumpedstorageprojectsinLushanandLinzhouGongshang,andisexploringtheapplicationofnewtechnologiessuchascompressedair,moltensaltandelectrochemicalenergystoragebyconductingnationaldemonstrationprojects.Onthesupplyside,theGrouphasobtainedtherighttodeveloprooftopPVin25countiesanddistrictsacrosstheProvinceanddeveloped366MWofwindpowerprojects,withadditional2,000MWwindpowerprojectsinpipelineinAnyang,Puyang,Hebi,Pingdingshan.集團的綜合能源產(chǎn)業(yè)聚焦能源保供，同時實現(xiàn)低碳轉(zhuǎn)型，布局“風(fēng)光水（包括抽水蓄能）儲”綜合能源。作為集團旗下子公司，豫能控股是河南省唯一省屬電力上市企業(yè)，發(fā)電量占全省14%，承擔(dān)著平衡河南省能源安全需要，確保供電穩(wěn)定，同時實現(xiàn)低碳轉(zhuǎn)型的重要職責(zé)。集團通過加速投資可再生能源來實現(xiàn)該目標，到2028年徹底改變其能源結(jié)構(gòu)。目前集團的發(fā)電資產(chǎn)大多數(shù)為火電生產(chǎn)。然而，集團致力于升級其發(fā)電投資組合，尋求清潔能源開發(fā)），擁有26個在建發(fā)電廠和項目，主要包括抽水蓄能、光伏風(fēng)電和電化學(xué)能源儲能項目等可再生能源項目。集團預(yù)計到2028年，集團可控發(fā)電裝機總規(guī)模將突破雙千萬千瓦，其中可再生能源（包括光伏、風(fēng)電、生物質(zhì)和抽水蓄能）裝機總規(guī)模占比可達60%。集團戰(zhàn)略聚焦清潔能源存儲和發(fā)電以推動清潔能源。其中，集團的魯山、林州弓上抽水蓄能項目打造省內(nèi)標桿，并通過開展國家級示范項目，探索壓縮空氣、融鹽、電化學(xué)儲能等新技術(shù)應(yīng)用。在供應(yīng)方面，集團取得全省25個縣區(qū)的屋頂光伏開發(fā)權(quán)，并開發(fā)36.6萬千瓦風(fēng)電項目，另在安陽、濮陽、鶴壁、平頂山等地儲備約200萬千瓦風(fēng)電項目。2.2FocusingonEnvironmentalProtection聚焦環(huán)保TheGroup’sinfrastructureconstructionbusinessmainlyincludesthedevelopment,constructionandoperationofenvironmentalprotectionandmunicipalprojectswithrespectto,suchas,wastepowergeneration,watersupply,sewagetreatmentandurbanenvironmentalsanitation,environmentalequipmentmanufacturing,constructionofroads,bridgesandotherpublicfacilitiesandtollhighwayoperation,whichareprimarilyconductedthroughitssubsidiaries,namelyCityDevelopmentandEnvironmentCompanyandHenanMunicipalDevelopmentandInvestmentCompanyCityDevelopmentandEnvironmentCompany,istheonlynationalandcomprehensiveenvironmentalprotectionlistedcompanyinHenanProvince,andisstrategicallyimportantforHenanProvincetoimplementitsstrategyofecologicalprotectionandhigh-qualitydevelopmentalongtheYellowRiver.TheCompany’sdailysolidwasteprocessingrepresents40%oftheProvince,andtheelectricwastedismantlingbusinessrankssecondinChina.Furthermore,thecompanyverticallyextendeditsenvironmentalprotectionindustrychaininthedevelopmentofcomprehensiveurbansanitationservicesandintegratedenvironmentalprotectionsolutionsadvisoryastheupstreambusiness,andwasteresourceutilizationanddual-carbon6resourceservicesasthedownstream,whilehorizontallyexpandedkitchenwastes,sludge,medicalwastes,hazardouswastes,watersupply,sewage,andcleanheatingandotherenvironmentalprotectionbusinesses.集團的基礎(chǔ)設(shè)施建設(shè)業(yè)務(wù)主要包括垃圾發(fā)電、供水、污水處理、城市環(huán)境衛(wèi)生、環(huán)保設(shè)備制造、路橋和其他公共設(shè)施建設(shè)和收費公路運營等環(huán)保和市政項目的開發(fā)、建設(shè)和運營，主要由其旗下子公司城發(fā)環(huán)境和河南城市發(fā)展投資進行。城發(fā)環(huán)境是河南唯一一家全國化、綜合性環(huán)保上市公司，是河南省落實黃河流域生態(tài)保護和高質(zhì)量發(fā)展戰(zhàn)略的重要抓手。公司的固廢日處理規(guī)模占全省40%，電廢拆解業(yè)務(wù)規(guī)模全國第二。此外，公司縱向延伸環(huán)保產(chǎn)業(yè)鏈，在前端形成城市環(huán)衛(wèi)綜合服務(wù)和環(huán)保方案集成咨詢，在末端布局廢棄物資源化利用、雙碳資源服務(wù)等，橫向拓展餐廚、污泥、醫(yī)廢、危廢、供水、污水、清潔供熱等環(huán)2.3HealthcareandElderlyCareServicestosupportanAgeingSociety健康養(yǎng)老服務(wù)，支持老TheGroupconductsitshealthcareandelderlycareservicebusinessprimarilythroughitswholly-ownedsubsidiaryE-cityHoldingsandthejointventureswithrelevantlocalcompanyoroperatingentity.TheGroupconsolidatestheresourceswithinHenanProvince,suchaselderlycarefacilitiesandidleproperties,todevelopitshealthcareandelderlycareservicebusiness,whichincludeshealthcareandelderlycarecommunityservicesandelderlycareinstitutionservices.elderlycareinstitutions.ThisaimstoservethebroaderissueofAgeingsocietyinChina,aswellasaninsufficientsupplyofinclusivenursinghomesthatserveapressinggapwithinChinesesociety.集團主要通過其全資子公司頤城控股及與當?shù)叵嚓P(guān)公司或經(jīng)營實體的合資公司開展健康養(yǎng)老服務(wù)業(yè)務(wù)，整合河南省內(nèi)養(yǎng)老設(shè)施、閑置物業(yè)等資源，發(fā)展健康養(yǎng)老服務(wù)業(yè)務(wù)，包括健康養(yǎng)老社區(qū)服務(wù)及養(yǎng)集團提供的養(yǎng)老機構(gòu)服務(wù)秉承“普惠”理念，主要包括公建民營項目和閑置物業(yè)改造項目兩類項目。＂公建民營＂項目一般由政府負責(zé)養(yǎng)老機構(gòu)基礎(chǔ)設(shè)施建設(shè)，集團在取得管理運營權(quán)后負責(zé)該等養(yǎng)老機構(gòu)的改造、管理及運營。至于河南省的閑置物業(yè)改造項目，集團在取得該等閑置物業(yè)的使用權(quán)后，將在該等閑置物業(yè)進行改造，然后投入養(yǎng)老機構(gòu)使用。這旨在解決中國老齡化社會的廣泛問題，以及填補中國社會普惠養(yǎng)老機構(gòu)供應(yīng)不足的迫切需要。7HenanInvestmentanditssubsidiariesintendtousethisSustainableFinanceFramework(the“Framework”)asthebasistoissueGreen,SocialorSustainabilityBondsandLoans(“SustainableFinancingInstruments”).TheSustainableFinancingInstrumentswillfundEligibleGreenand/orSocialProjectsthatconformtothesustainablefinanceprincipleslistedbelow:?theInternationalCapitalMarketAssociation(“ICMA”)GreenBondPrinciples(“GBPs”)2021(withJune2022Appendix1)1,SocialBondPrinciples(“SBPs”)20232andSustainabilityBondGuidelines(“SBGs”)20213;and/or?theLoanMarketAssociation(“LMA”)GreenLoanPrinciples(“GLPs”)20234andSocialLoanPrinciples(“SLPs”)20235.Inaligningwiththeaboveprinciplesandguidelines,HenanInvestment’sSustainableFinanceFrameworkispresentedthroughthefourcorecomponentsoftheGBPs,SBPs,SBGs,GLPsandSLPsaswellastheirrecommendationforexternalreview:?UseofProceeds;?ProcessforProjectEvaluationandSelection;?ManagementofProceeds;and?Reporting.BondsandloansissuedunderthisFrameworkmaytaketheformofpublictransactionsorprivateplacements,inbearerorregisteredformat,andmaytaketheformofseniorunsecuredorsubordinatedissuances.SuchbondsandloansenteredintounderthisFrameworkwillbestandardrecourse-to-the-issuerobligationsandinvestorswillnotbearthecreditriskoftheunderlyingallocatedeligibleassetexposures.河南投資及其子公司希望以本可持續(xù)發(fā)展融資框架（“框架”）作為基礎(chǔ)發(fā)行綠色、社會或可持續(xù)發(fā)展債券和貸款（“可持續(xù)融資工具”）?？沙掷m(xù)融資工具將為符合以下可持續(xù)融資原則的合格綠色和／或社會項目提供資金。?國際資本市場協(xié)會的2021年綠色債券原則（及2022年6月附錄）、2023年社會責(zé)任債券原則和2021年可持續(xù)發(fā)展債券指引；和／或?貸款市場協(xié)會的2023年綠色貸款原則和2023年社會貸款原則。根據(jù)上述原則和指引，河南投資可持續(xù)融資框架以綠色債券原則、社會債券原則、可持續(xù)發(fā)展債券指引、綠色貸款原則和社會貸款原則的四個核心組成部分及其面對外部審查的建議提出：?募集資金用途；?項目評估和選擇過程；?募集資金管理；及1InalignmentwithICMAGreenBondPrinciples,June2021(withJune2022Appendix1),/green-social-and-sustainability-bonds/green-bond-principles-gbp/2InalignmentwithICMASocialBondPrinciples,June2023,/sustainable-finance/the-principles-guidelines-and-handbooks/social-bond-principles-sbp/3InalignmentwithICMASustainabilityBondGuidelines,June2021,/sustainable-finance/the-principles-guidelines-and-handbooks/sustainability-bond-guidelines-sbg/4InalignmentwithLMAGreenLoanPrinciples,February2023,/content/green-loan-principles/5InalignmentwithLMASocialLoanPrinciples,February2023,/content/social-loan-principles-slp/8根據(jù)本框架發(fā)行的債券和貸款可以采用公開發(fā)行或私募、不記名或記名、高級無擔(dān)?；虼渭壈l(fā)行的形式。根據(jù)本框架簽訂的債券和貸款對發(fā)行人有一般標準追索權(quán)義務(wù)，投資者將不承擔(dān)相關(guān)合格資產(chǎn)的3.1UseofProceeds募集資金用途HenanInvestmentanditssubsidiarieswillallocateanamountatleastequivalenttothenetproceedsoftheGreenandSustainableFinancingInstrumentsissuedunderthisFrameworktofinanceand/orre-finance,inwholeorinpart,greenand/orsocialprojectswhichmeettheeligibilitycriteriaofthefollowingEligibleGreenand/orSocialProjectcategories,asdefinedasbelow.Amaximum3-yearlook-backperiodwouldapplyforrefinancedprojectsandHenanInvestmentexpectseachissuanceunderthisframeworktobefullyallocatedwithin2yearsfromthedateofissuance.TheGroupwill,wherepossible,disclosetoinvestorstheexpectedshareofnewfinancingversusrefinancingforanySustainableFinanceInstrument.TheGroupcommitstoallocateatleast25%ofproceedstowardsnewfinancing.河南投資將分配至少相當于在本框架發(fā)行綠色或可持續(xù)融資工具的募集資金金額，于全部或部分融資和／或再融資綠色和／或社會項目。項目將符合以下合格綠色和／或社會項目類別的資格，其定義如再融資項目最長回溯期為3年，河南投資預(yù)計本框架下的每筆發(fā)行將在發(fā)行之日起2年內(nèi)完成分配。集團將向投資者披露針對任意可持續(xù)發(fā)展融資工具的預(yù)期新融資與再融資份額。集團承諾至少25%募集資金用于進行新融資。3.1.1EligibleGreenCategories合格綠色類別GBPCategory綠色債券原則類別EligibilityCriteriathefollowingrenewablesources(includinginfrastructureandma?WindPower(onshoreandoffsProjectsrelatedtodevelopment,hydropowerstorage(aimingatpromotingthedevelop與下列可再生能源的發(fā)電、輸電和儲能有關(guān)的項目（包括此類基礎(chǔ)設(shè)施的維護?太陽能（光伏發(fā)電）?風(fēng)電（陸上和海上）與電池儲能系統(tǒng)和抽水蓄能等儲能設(shè)施的開發(fā)、建設(shè)、安裝和維護相關(guān)的項目（旨在促進可再生能源的發(fā)展和／或取代環(huán)境友好度較低的機組生產(chǎn)的峰值電9GBPCategory綠色債券原則類別EligibilityCriteriaincludingconstructiofossilfueltechnologieswillbeexclu與提高大宗能源服務(wù)效率相關(guān)的項目，包括建設(shè)和運營可節(jié)省30-50%能源的facilities,systemsorequipm?Kitchenwaste,sewageandsludgetreatmentfacilitieswhichinvolves?Waste-to-energyprojectsfor?餐廚、污水污泥厭氧消化或發(fā)酵、以及污泥干化焚燒處理設(shè)施?處理城市固體廢物或混合殘余廢物（在焚化前對可回收物進行分類并回收底灰）的垃圾發(fā)電項目orupgrades,ofwatersupplyandwastewaterrelatedfacilitinfrastructures,such?Watersupplyplants(includingwaterpurificastationsandassociateddistributionne?WaterandwastewatertreatmentplantsForwatersupplyandwastewaterrelatedfacilitiaverageenergyconsumptionforabstractionandtreatmen0.5kWhpercubicmeterpr6Suchwastetreatmentexcludethetreatmentofhazardouswaste廢物處理不包括有害廢物處理7Anaerobicdigestionofbio-wastewillhavemonitoringandcontingencyplansinplacetominimizemethaneleakage,andutilizetheproducedbiogasforelectricityandheatgenerationorupgradedtobio-methaneforinjectioninthenaturalgasgrid,withtheproduceddigestatetobeusedasfertiliserorsoilimprover.生物廢物的厭氧消化將有監(jiān)測和應(yīng)急計劃，以最大限度地減少甲烷泄漏，并利用產(chǎn)生的沼氣發(fā)電和供熱或升級為生物甲烷注入天然氣管網(wǎng)，產(chǎn)生的消化物將用作肥料或土壤改良劑。GBPCategory綠色債券原則類別EligibilityCriteria?供水廠（包括凈水廠）、泵站和相關(guān)配水管網(wǎng)，以提高供水系統(tǒng)的效率，改善水質(zhì)和優(yōu)化水資源利用?水和污水處理廠供水和污水相關(guān)處理設(shè)施和基礎(chǔ)設(shè)施取水和處理水的平均凈能耗不得超過每立方米生產(chǎn)供水或處理水0.5千瓦時。ofdedicatedcharginginfrastructureandbatteryswappingstationselectrifiedrailtransitfacilities,aswellasexpextendedassetlifespanwithpresequipment)meetingth?ConstructionofthereConstructionofinfrastruc(asdefinedabove),suchasgroundprepassengerservices,faoperationofthenetwork,utilitiesForavoidanceofdoubt,infrastructurededicatedtothe設(shè)施的擴建、維護和升級，從而提高服務(wù)水平或延長資產(chǎn)使用壽命，并保持承?制造、購買和維護符合下列標準的電氣軌道運輸車輛（包括機車、貨車車廂、客車車廂及能使相關(guān)電力機車系統(tǒng)驅(qū)動的零配件以及相關(guān)設(shè)備）?建設(shè)鐵路運輸相關(guān)的基礎(chǔ)設(shè)施（軌交網(wǎng)絡(luò)和線路），包括線路、軌道和隧道建設(shè)直接支持低碳交通（如上定義）的基礎(chǔ)設(shè)施，如地面準備、車站、信號設(shè)備、軌交網(wǎng)絡(luò)換乘設(shè)施（包括乘客通道）、客運輔助設(shè)施、網(wǎng)絡(luò)安全、清潔和GBPCategory綠色債券原則類別EligibilityCriteriaoperationalplans,certificationaccordingtothird?ChineseGreenBuildingEvaluationStandard-minimumcertifica?U.S.LeadershipinEnerminimumcertificati?BEAMPlus-minimumcertificationlevelofGold;or?ChinaAssociationofBuildingEner?中國綠色建筑評價標準—最低認證水平為二星；或?美國領(lǐng)先能源與環(huán)境設(shè)計—最低認證水平為金級；或?綠建環(huán)評—最低認證水平為金級；或?中國建筑節(jié)能協(xié)會—超低能耗建筑SBPCategory社會責(zé)任債券原則類EligibilityCriteriaAccesstoEssentialServicesinitiatedbutprivatelyoperatedbythe3.1.2ExclusionsCriteria排除標準Inanycase,eligibleassets/projectsexcludethetypesofactivitieslistedintheInternationalFinanceCorporationExclusionList(2007)8:?Productionortradeinanyproductoractivitydeemedillegalunderhostcountrylawsorregulationsorinternationalconventionsandagreements,orsubjecttointernationalbans,suchaspharmaceuticals,pesticides/herbicides,ozonedepletingsubstances,PCB's,wildlifeorproductsregulatedunderCITES;?Productionortradeinweaponsandmunitions;8/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/sustainability-at-ifc/company-resources/ifcexclusionlist?Productionortradeinalcoholicbeverages(excludingbeerandwine);?Productionortradeintobacco;?Gambling,casinosandequivalententerprises;?Production,generationortradeinfossilfuel;and?Productionoractivitiesinvolvingharmfulorexploitativeformsofforcedlabor/harmfulchildlabor.在任何情況下，合格資產(chǎn)／項目不包括國際金融公司排除清單（2007）中列出的活動類型：?根據(jù)東道國法律法規(guī)或國際公約和協(xié)議被視為非法，或受國際禁令約束的任何產(chǎn)品或活動，例如藥品、殺蟲劑／除草劑、消耗臭氧層物質(zhì)、多氯聯(lián)苯、受《瀕危野生動植物種國際貿(mào)易公約》下規(guī)管的野生動物或產(chǎn)品的生產(chǎn)或貿(mào)易；?武器和彈藥的生產(chǎn)或貿(mào)易；?酒精飲料的生產(chǎn)或貿(mào)易（不包括啤酒和葡萄酒）；?煙草生產(chǎn)或貿(mào)易；?賭博、賭場和同等企業(yè)；?化石燃料的生產(chǎn)、產(chǎn)生或貿(mào)易；及?涉及危害或剝削形式的強逼勞工／危害童工的生產(chǎn)或活動。3.2ProjectEvaluationandSelectionProcess項目評估和篩選過程TheProjectEvaluationandSelectionProcesswillensurethattheproceedsofanyHenanInvestmentSustainableFinancingInstrumentareallocatedtofinanceorrefinanceEligibleGreenand/orSocialProjectsthatmeetthecriteriaandobjectivessetoutaboveinsection2.1,UseofProceeds.HenanInvestment’sSustainableFinanceWorkingGroup(the“SFWG”)willberesponsibleforgoverningandimplementingtheinitiativessetoutintheFramework.TheSFWGiscomprisedofseniorrepresentativesfromthefollowingdepartmentsfortheselectionandevaluationoftheEligibleGreenand/orSocialProjects:TreasuryManagementDepartment,DevelopmentPlanningDepartment,InvestmentResearchteamanddedicatedresearchinstitutewhichincludesteamswithacademicexpertisededicatedtoresearchingsustainabledevelopmenttopics.TheSFWGmaybesupplementedfromtimetotime,orexpanded,bytheinclusionofrepresentativesfromotherrelevantteams.TheSFWGwill:?Meetatleasttwotimeseachyear,endeavouredtobedistributedevenlythroughouttheyear;?RatifyEligibleGreenand/orSocialProjects,whichareinitiallyproposedbytheindividualbusinessunits,reviewedbytheSFWG(ledbytheDevelopmentPlanningdepartment),andobtainfinalsign-offfromthecompanymanagement;?Ensurethatprojectscomplywithapplicablenationalandlocalgovernmentalregulations;?UndertakeregularmonitoringoftheassetpooltoensuretheeligibilityofGreenand/orSocialProjectswiththecriteriasetoutinHenanInvestment’sSFFSection1,UseofProceeds,whilstreplacinganyineligibleGreenand/orSocialProjectswitheligiblenewGreenand/orSocialProjects;?FacilitateregularreportingonanySustainableFinancingInstrumentissuanceinalignmentwithourReportingcommitments;?ManageanyfutureupdatestothisFramework;and?EnsurethattheapprovalofEligibleGreenand/orSocialProjectswillfollowtheCompany’sexistingcredit/loan/investmentapprovalprocesses.TheCompanyissubjecttoenvironmentallawsandregulationsconstructionandoperationofrenewableenergygenerationfacilities,noisecontrol,airandwateremissions,waterandgroundprotection,hazardoussubstancesandwastemanagement.AsrequiredbythePRClawsandregulations,eachprojectthatweoperateisrequiredtoundergoenvironmentalassessmentsandwearerequiredtosubmitanenvironmentalimpactassessmentreporttotherelevantgovernmentalauthoritiesforapprovalbeforecommencementoftheconstruction.TheGrouphasalsoimplementedseveralenvironmentallyresponsiblepractisesandhighenvironmentalstandardsinitsproductionprocess.Forexample,withrespecttopowergenerationbusiness,theGrouphasestablishedathree-levelenvironmentalprotectionnetworktoconductperiodicalreviewandexaminationtoscreenoutpotentialrisks,andithasalsostrengthenedtheemergencyandrescueplansystemtoincreasetheemergencymanagementcapabilities,whichincreasestheGroup’senvironmentalprotectionmanagement.項目評估和篩選過程將確保河南投資可持續(xù)融資工具的募集資金獲分配，為符合以上第2.1節(jié)募集資金用途的標準和目標的合格綠色和／社會項目提供融資或再融資。河南投資可持續(xù)融資工作組負責(zé)管理和實施本框架內(nèi)的舉措。可持續(xù)融資工作組由以下部門的高級代表組成，以篩選和評估合格綠色和／或社會項目：財務(wù)管理部、發(fā)展計劃部、投資研究團隊和專門的研究院，其中包括致力于研究可持續(xù)發(fā)展主題的學(xué)術(shù)專家團隊。工作組成員可能會不時補充或擴大，以包括其他相關(guān)團隊的代表。工作組成員將：?每年至少見面兩次，力求全年平均分配；?批準由個項目公司動議的合格綠色和／或社會項目，由可持續(xù)融資工作組（由發(fā)展計劃部領(lǐng)導(dǎo)）審議，并獲得公司管理層的最終簽核；?確保項目符合國家及當?shù)氐恼ㄒ?guī)；?對資產(chǎn)池進行定期監(jiān)控，以確保綠色和／或社會項目符合河南投資可持續(xù)融資架第1節(jié)募集資金用途中規(guī)定的標準，同時將任何不合格的綠色和／或社會項目替換為符合條件的新綠色和/?根據(jù)我們的報告規(guī)條，進行任何可持續(xù)融資工具發(fā)行的定期報告；?管理及更新此框架；及?確保符合條件的綠色和／或社會項目將遵循公司現(xiàn)有的信貸/貸款/投資審批流程進行審批。公司須遵守可再生能源生產(chǎn)設(shè)施建設(shè)運營、噪音控制、空氣和水排放、水和地面保護、有害物質(zhì)和廢物管理的環(huán)境法律法規(guī)。根據(jù)中國法律法規(guī)的規(guī)定，公司每個經(jīng)營項目均需進行環(huán)境評估，并需在開始施工前向相關(guān)政府部門提交環(huán)境影響評估報告以供審批。集團還在生產(chǎn)過程中實施了多項環(huán)保責(zé)任實踐和高環(huán)境標準。例如，集團的發(fā)電業(yè)務(wù)制定了三級環(huán)保網(wǎng)絡(luò)，進行定期檢查監(jiān)督以排查潛在風(fēng)險，并加強了應(yīng)急救援預(yù)案系統(tǒng)，提升應(yīng)急管理能力，從而提升集團的環(huán)保管理。3.3ManagementofProceeds募集資金管理TheproceedsofeachHenanInvestment’sSustainableFinancingInstrumentwillbedepositedinHenanInvestment’sgeneralfundingaccountsandearmarkedforallocationtowardstheEligibleGreenand/orSocialProjects.HenanInvestmentwillmaintainaSustainableFinanceRegistertotracktheuseofproceedsfortheSustainableFinancingInstrument.TheCompanywillperiodicallyadjustthebalanceofthetrackedproceedstomatchallocationtoeligibleprojects.TheSustainableFinanceRegisterwillcontainthefollowinginformation:I.SustainableFinancingInstrumentdetails:ISIN(ifapplicable),PricingDate,MaturityDateandetc.;II.AllocationofProceeds:TheEligibleGreenand/orSocialProjectsList,includingforeachEligibleGreenand/orSocialProject,theEligibleGreenand/orSocialProjectcategory,projectdescription,projectlocation,totalloanamount,theCompany’sloanamount,amountdisbursed,settledcurrency,etc.;andIII.AmountofunallocatedProceeds(ifany)AnyproceedstemporarilyunallocatedwillbeinvestedaccordingtotheCompany’sstandardliquiditypolicy.Foravoidanceofdoubt,unallocatedproceedswouldnotbeinvestedinanyofthesectors/activitiesincludedintheExclusionCriteriaaswellasanyhighlypolluting,high-carbonemissionorresource-intensiveprojects.河南投資可持續(xù)融資工具募集資金將被存入一般性賬戶，并根據(jù)分配和使用情況撥給指定合格綠色和/或社會項目。河南投資將對可持續(xù)融資工具進行注冊，以追蹤可持續(xù)融資工具募集資金的具體使用。公司將定期調(diào)整跟蹤募集資金以匹配合格項目的資金分配?？沙掷m(xù)融資注冊將包括以下信息：I.可持續(xù)融資工具詳情：ISIN（如適用）、定價日期、到期日等；II.募集資金分配：合格綠色和／或社會項目清單，包括每個合格綠色和／或社會項目、合格綠色和／或社會項目類別、項目描述、項目位置、貸款總額、集團貸款額、發(fā)放金額、結(jié)算貨幣等；及III.未分配的收益金額任何暫時未分配的募集資金將根據(jù)公司的一般性流動性政策。為避免歧義，未分配資金將不會被投資到該框架所述的排除項目中所列的任何行業(yè)/活動，包括任何高污染、高碳排放或資源密集型項目。3.4Reporting報告Onanannualbasis,HenanInvestmentwillproduceanallocationreportandanimpactreportonitsEligibleGreenand/orSocialProjects,asdetailedbelow.ThisreportingwillbeupdatedannuallyuntilfullallocationofthenetproceedsofanySustainableFinancingInstrumentissued.Furthermore,additionalreportsareintendedtobeproducedonatimelybasisincaseofmaterialdevelopments.河南投資將每年準備綠色和／或社會項目分配報告和影響報告（詳情如下）。報告將每年進行更新，直到任何已發(fā)行的可持續(xù)融資工具的募集資金被完全分配。此外，在發(fā)生重大事件的情況下將會及時另行準備報告。3.4.1AllocationReporting分配報告I.ListofEligibleGreenand/orSocialProjects;II.TheamountofProceedsallocatedtoeachEligibleGreenand/orSocialProjectcategory;III.Whenpossible,descriptionsoftheEligibleGreenand/orSocialProjectsfinanced,suchasprojectlocations,amountallocated,etc.;IV.Selectedexamplesofprojectsfinanced;V.Shareofrefinancingtonewfinancing;andVI.AmountofunallocatedProceeds.I.合格綠色和／或社會項目清單；II.分配給每個合格綠色和／或社會項目類別的收益金額；III.在允許的情況下，對受資助合格綠色和／或社會項目進行說明，例如項目地點、分配金額等；IV.受資助項目的例子；V.融資和再融資金額比例及VI.未分配收益金額。3.4.2ImpactReporting影響報告TheCompanywillprovidereportingontheenvironmentaland/orsocialbenefitsoftheEligibleGreenand/orSocialProjects.Subjecttodataavailabilityandconfidentiality,