新開(kāi)發(fā)銀行是金磚國(guó)家的王牌

The ninth annual BRICS summit is being held amid turbulent times for the five countries. In the wake of the recent Doklam stand-off, India and China relations remain delicate. Engulfed in economic and political turmoil, South Africa and Brazil are likely to play a less active role at the meeting in Xiamen.

在第九屆金磚國(guó)家(Brics)年度峰會(huì)召開(kāi)之際，5個(gè)金磚國(guó)家并不平靜。在最近多蘭高原(Doklam Plateau,中國(guó)稱(chēng)洞朗地區(qū)——譯者注)對(duì)峙之后，印度和中國(guó)的關(guān)系依然微妙。南非和巴西陷入了經(jīng)濟(jì)和政治動(dòng)蕩，可能在廈門(mén)峰會(huì)上扮演不太活躍的角色。

But if question marks on the future of BRICS are repeatedly raised, the New Development Bank (NDB) is probably the most concrete avenue through which the grouping can deepen co-operation. Last month the NDB Board of Directors approved four projects in China, Russia and India with loans totalling more than $1.4bn.

但如果說(shuō)金磚國(guó)家的未來(lái)反復(fù)引起疑問(wèn)的話(huà)，新開(kāi)發(fā)銀行(NDB)可能是讓該集團(tuán)深化合作的最具體的平臺(tái)。上月，新開(kāi)發(fā)銀行董事會(huì)批準(zhǔn)了在中國(guó)、俄羅斯和印度的4個(gè)項(xiàng)目，貸款總額超過(guò)14億美元。

The second tranche of projects broadens the scope of NDB’s activities from renewable energy to areas ranging from information technology to energy conservation. This includes a $2bn sovereign project finance facility for flood control and water quality extended to Hunan province in China, and a $470m sovereign project loan for developing the rural drinking water supply scheme in the Indian state of Madhya Pradesh. Going forward, another $30bn in loans, including a total of 15 projects by the end of 2017 and up to 50 in 2021, has already been announced.

這第二批項(xiàng)目將新開(kāi)發(fā)銀行的業(yè)務(wù)范圍從可再生能源擴(kuò)大到信息科技和節(jié)能等領(lǐng)域。其中包括為中國(guó)湖南省防洪和改善水質(zhì)提供的20億元人民幣主權(quán)項(xiàng)目融資貸款，以及開(kāi)發(fā)印度中央邦(Madhya Pradesh)鄉(xiāng)村飲用水供應(yīng)項(xiàng)目的4.7億美元主權(quán)項(xiàng)目貸款。此外該行還宣布了300億美元的貸款，為到2017年底總計(jì)15個(gè)項(xiàng)目以及到2021年的多達(dá)50個(gè)項(xiàng)目提供融資。

According to the Bank’s five-year strategy, approximately two-thirds of all projects will be devoted to sustainable infrastructure development. The NDB’s stated commitment to sustainable infrastructure is perhaps its most important differentiating feature, carving out a niche for itself among existing multilateral development banks.

根據(jù)該行的5年戰(zhàn)略，近三分之二的項(xiàng)目將集中于可持續(xù)的基礎(chǔ)設(shè)施建設(shè)。新開(kāi)發(fā)銀行做出的可持續(xù)基礎(chǔ)設(shè)施建設(shè)承諾或許是其最重要的區(qū)別特征，為自己在現(xiàn)有的多邊開(kāi)發(fā)銀行當(dāng)中找到了獨(dú)特的位置。

In 2015 almost 190 countries, accounting for more than 98 per cent of greenhouse-gas emissions, agreed to a global climate-change strategy. Each country submitted a voluntary plan that set out how it would move its economy on to a lower-carbon growth pathway. With the recent withdrawal of the US from the Paris Agreement, countries such as India and China may well provide a new kind of leadership to climate change efforts.

2015年，約190個(gè)國(guó)家就全球氣候變化戰(zhàn)略達(dá)成一致——這些國(guó)家排放了全球逾98%的溫室氣體。每個(gè)國(guó)家提交了詳述如何轉(zhuǎn)型為低碳增長(zhǎng)經(jīng)濟(jì)模式的自愿減排計(jì)劃。隨著美國(guó)最近退出《巴黎協(xié)定》(Paris Agreement)，印度和中國(guó)等國(guó)家可能為氣候變化方面的努力提供新的領(lǐng)導(dǎo)力。

Attention now shifts towards how to implement and finance sustainable development. While these voluntary plans will take years to play out, one thing likely to happen is to direct investment towards ensuring the sustainability of infrastructure. Given the scale of investment required, creating the right conditions for these investments is essential. From 2015 to 2030, global demand for new infrastructure could amount to more than $90tn from a total estimate of $50tn in 2015. In India alone, this amount could reach $646bn over the next five years. Doing it sustainably will probably increase upfront capital costs by 6 per cent for individual projects.

現(xiàn)在注意力已經(jīng)轉(zhuǎn)向如何實(shí)施可持續(xù)發(fā)展以及如何融資。盡管這些自愿計(jì)劃需要數(shù)年時(shí)間實(shí)施，但一種可能是引導(dǎo)投資來(lái)確保基礎(chǔ)設(shè)施的可持續(xù)建設(shè)。鑒于所需投資規(guī)模龐大，為這些投資創(chuàng)造合適條件至關(guān)重要。從2015年到2030年，全球?qū)π禄A(chǔ)設(shè)施的需求可能從50萬(wàn)億美元上升至逾90萬(wàn)億美元。僅在印度一個(gè)國(guó)家，今后5年的基礎(chǔ)設(shè)施需求就可能達(dá)到6460億美元。可持續(xù)基礎(chǔ)設(shè)施建設(shè)將可能讓單個(gè)項(xiàng)目的前期資金成本增加6%。

But apart from stating that sustainable development will be linked to the financing of infrastructure projects, the NDB has been less clear about how it will ensure that these projects will be rooted in sound social and environmental practices. Addressing this question will be critical as the NDB implements its five-year strategy and realises its vision around sustainable development.

但除了聲明可持續(xù)發(fā)展將與基礎(chǔ)設(shè)施項(xiàng)目融資掛鉤以外，新開(kāi)發(fā)銀行沒(méi)有明確表示將會(huì)如何確保這些項(xiàng)目扎根于良好的社會(huì)和環(huán)境實(shí)踐。在新開(kāi)發(fā)銀行實(shí)施其5年戰(zhàn)略并實(shí)現(xiàn)可持續(xù)發(fā)展愿景之際，解決這個(gè)問(wèn)題將至關(guān)重要。

An ongoing research study by BRICS scholars at the Center for African, Latin American and Caribbean Studies (CALACS) at O.P. Jindal Global University, India, and Conectas Human Rights, Brazil, in collaboration with the Center for BRICS Studies at Fudan University, China, has found that there is no common definition nor a unified approach to sustainable infrastructure. A working definition of sustainable infrastructure coupled with a framework for assessing the actual sustainability of NDB’s projects would equip the bank with the necessary policy tools to fully articulate its mandate. Some institutions have gone further and developed methodologies for assessing sustainability of infrastructure projects and institutions’ commitments to sustainable development. These experiences point to important lessons for the BRICS to apply within the context of the NDB.

印度金德?tīng)柸虼髮W(xué)(O.P. Jindal Global University)非洲、拉美和加勒比研究中心(CALACS)以及巴西人權(quán)組織Conectas Human Rights的金磚國(guó)家學(xué)者，與中國(guó)復(fù)旦大學(xué)金磚國(guó)家研究中心正在合作進(jìn)行的一項(xiàng)研究發(fā)現(xiàn)，可持續(xù)基礎(chǔ)設(shè)施建設(shè)既沒(méi)有共同的定義，也沒(méi)有統(tǒng)一的方法。一個(gè)可持續(xù)基礎(chǔ)設(shè)施建設(shè)的有效定義，加上評(píng)估新開(kāi)發(fā)銀行項(xiàng)目實(shí)際可持續(xù)性的框架，將讓該行擁有充分闡述其使命所必需的政策工具。一些機(jī)構(gòu)更進(jìn)一步，發(fā)展出評(píng)估基礎(chǔ)設(shè)施項(xiàng)目可持續(xù)性以及各機(jī)構(gòu)對(duì)可持續(xù)發(fā)展的承諾的方法。這些經(jīng)驗(yàn)為金磚國(guó)家就新開(kāi)發(fā)銀行的工作提供了重要借鑒。

First, the negative spillovers of sustainable infrastructure projects on the environment and local communities are normally corrected via safeguards. But safeguards are limiting in that they do not necessarily unlock the transformational nature of development itself. Sustainable infrastructure projects should not only aim to compensate or mitigate adverse impacts on the environment and vulnerable groups, but go beyond the “do no harm” approach to generate positive impacts in borrowing countries.

首先，可持續(xù)發(fā)展基礎(chǔ)設(shè)施項(xiàng)目對(duì)環(huán)境和當(dāng)?shù)厣鐓^(qū)的負(fù)面溢出，通常通過(guò)保護(hù)性措施進(jìn)行修正。但保護(hù)性措施的局限性在于，它們不一定會(huì)釋放發(fā)展本身的轉(zhuǎn)變本質(zhì)?？沙掷m(xù)發(fā)展基礎(chǔ)設(shè)施項(xiàng)目的目標(biāo)不應(yīng)該只是補(bǔ)償或者減輕對(duì)環(huán)境和相關(guān)弱勢(shì)群體的不利影響，而是超越“不傷害”的角度，對(duì)借款國(guó)產(chǎn)生積極影響。

Second, emphasis on each pillar of the sustainability triple bottom-line is context-specific and should follow a country’s development priorities and trajectories. While India and South Africa may place greater emphasis on social aspects such as job creation and service delivery, China would likely place more emphasis on economic growth. Moving forward pragmatically, without being overly prescriptive, is a must.

第二，對(duì)可持續(xù)發(fā)展三大支柱中每一個(gè)支柱的強(qiáng)調(diào)，都應(yīng)考慮具體的環(huán)境，并且應(yīng)該遵循相關(guān)國(guó)家的發(fā)展重點(diǎn)和軌道。印度和南非可能更強(qiáng)調(diào)就業(yè)增長(zhǎng)和提供服務(wù)等社會(huì)方面，而中國(guó)可能更強(qiáng)調(diào)經(jīng)濟(jì)增長(zhǎng)。務(wù)實(shí)地向前推進(jìn)，而不過(guò)度強(qiáng)調(diào)條條框框，這是必須的。

Third, the social dimension of sustainability is not exactly framed under a “rights-based approach” to development. Even though requirements on consultation, participation, transparency, accountability and non-discrimination are present in most existing frameworks, people’s rights are not necessarily reflected therein. This is particularly important since infrastructure projects can cause heavy social impacts.

第三，可持續(xù)發(fā)展的社會(huì)維度并不完全構(gòu)建于“以權(quán)利為基礎(chǔ)”的發(fā)展模式下。雖然大多數(shù)現(xiàn)有框架都存在咨詢(xún)、參與、透明、問(wèn)責(zé)和不歧視的要求，但其中并不一定會(huì)反映人權(quán)。由于基礎(chǔ)設(shè)施項(xiàng)目可能造成重大社會(huì)影響，這一點(diǎn)格外重要。

Financial and non-financial incentives, such as long-term repayment terms and lower interest rates, could be further designed to stimulate countries to submit projects that meet these sustainability criteria and to ensure that projects remain as such throughout their entire lifecycle.

金融和非金融方面的激勵(lì)措施——比如長(zhǎng)期償還條款和低利率——可能進(jìn)一步用來(lái)刺激相關(guān)國(guó)家提交滿(mǎn)足這些可持續(xù)發(fā)展標(biāo)準(zhǔn)的項(xiàng)目，并確保項(xiàng)目在整個(gè)生命周期中滿(mǎn)足標(biāo)準(zhǔn)。

Linking sustainability criteria to incentives would encourage countries to think about sustainable practices not as bureaucratic formalities or risks to be avoided, but as actions conducive to better development outcomes. This would represent a major shift in the way environmental and social standards are conceived in the international financial architecture, ultimately moving beyond do no harm’s and bottom lines to unravelling the “new” in the New Development Bank.

把可持續(xù)標(biāo)準(zhǔn)和激勵(lì)措施聯(lián)系在一起，可以鼓勵(lì)相關(guān)國(guó)家不從官僚程序或需要避免的風(fēng)險(xiǎn)的角度來(lái)考慮可持續(xù)發(fā)展實(shí)踐，而是把它看作有利于改善發(fā)展結(jié)果的行動(dòng)。這意味著國(guó)際金融架構(gòu)在考慮環(huán)境和社會(huì)標(biāo)準(zhǔn)的方式上的重大轉(zhuǎn)變，最終將超越“不傷害”、三大支柱等標(biāo)準(zhǔn)，釋放新開(kāi)發(fā)銀行的“新”。

Prof Karin Costa Vazquez is Executive Director of the Center for African, Latin American and Caribbean Studies (CALACS) and Assistant Dean for Global Engagement at O.P. Jindal Global University School of International Affairs, India.

卡林•科斯塔•巴斯克斯教授(Prof Karin Costa Vazquez)是印度金德?tīng)柸虼髮W(xué)國(guó)際事務(wù)學(xué)院(School of International Affairs)非洲、拉美和加勒比研究中心的執(zhí)行主任、全球參與項(xiàng)目的副主任

Supriya Roychoudhury is a Senior Associate Researcher at the Center for African, Latin American and Caribbean Studies (CALACS) at O.P. Jindal Global University School of International Affairs, India.

塞博利亞•羅喬和里(Supriya Roychoudhury)是印度金德?tīng)柸虼髮W(xué)國(guó)際事務(wù)學(xué)院非洲、拉美和加勒比研究中心的高級(jí)副研究員

Caio Borges is a lawyer with Conectas Human Rights in Brazil

卡約•博爾熱斯(Caio Borges)是巴西人權(quán)組織Conectas Human Rights的律師