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Implementation Opinions of the Ministry of Environmental Protection on Tightening Interim and Ex-Post Regulation of Environmental Impact Assessment of Construction Projects [Effective]
环境保护部关于强化建设项目环境影响评价事中事后监管的实施意见 [现行有效]
【法宝引证码】

Implementation Opinions of the Ministry of Environmental Protection on Tightening Interim and Ex-Post Regulation of Environmental Impact Assessment of Construction Projects 

环境保护部关于强化建设项目环境影响评价事中事后监管的实施意见

(No. 11 [2018] of the Ministry of Environmental Protection) (环环评[2018]11号)

The environmental protection departments (bureaus) of all provinces, autonomous regions, and municipalities directly under the Central Government; and the Environmental Protection Bureau of Xinjiang Production and Construction Corps: 各省、自治区、直辖市环境保护厅(局),新疆生产建设兵团环境保护局:
According to the requirements of the CPC Central Committee and the State Council for the reform of simplification of administrative procedures, delegation of powers, and transformation of government functions, the environmental protection authorities at all levels continue to advance the reform of the environmental impact assessment (hereinafter referred to as the "EIA") rules, tighten the interim and ex-post regulation of EIA while simplifying, delegating, canceling administrative licensing items relating to the EIA, and has made positive progress in the work. However, some regions have ineffectively changed their mindset, and there are still phenomena of "paying attention to approval but neglecting regulation" and "paying attention to ex-ante items but neglecting ex-post ones;" in some regions are there occasionally EIA documents with fake data and falsification; and some regions have not implemented the EIA interim and ex-post regulation mechanism, and the EIA lacks "rigid" restraint effect. For the purpose of practically guaranteeing the force of the EIA rules, these Implementation Opinions on tightening interim and ex-post regulation of the EIA of construction projects are hereby offered. 根据党中央、国务院简政放权、转变政府职能改革的有关要求,各级环保部门持续推进环境影响评价(以下简称环评)制度改革,在简化、下放、取消环评相关行政许可事项的同时,强化环评事中事后监管,各项工作取得积极进展。但是,一些地方观念转变不到位,仍然存在“重审批、轻监管”“重事前、轻事中事后”现象;一些地方编造数据、弄虚作假的环评文件时常出现;一些地方环评事中事后监管机制不落地,环评“刚性”约束不强。为切实保障环评制度效力,现就强化建设项目环评事中事后监管,提出本实施意见。
I. General requirements   一、总体要求
1. Establishing a comprehensive regulatory system. The environmental protection authorities at all levels shall, according to the general requirements for simplification of administrative procedures and delegation of powers, with a problem-oriented approach, with the aim of improving the force of the EIA, adhere to the principles of determinate responsibility, collaborative regulation, openness and transparency, and credit restraint, improve the interim and ex-post regulation working mechanism for approval of project EIA, technical assessment, fulfillment of the responsibility for environmental protection by construction employers, operations of EIA entities, and all other links, and accelerate the establishment of a comprehensive regulatory system featuring government regulation, enterprises' self-regulation, and the public participation, so as to ensure that the EIA effectively plays its role in preventing environmental pollution and ecological damage from the source. (一)构建综合监管体系。各级环保部门要按照简政放权、转变政府职能的总体要求,以问题为导向,以提升环评效力为目标,坚持明确责任、协同监管、公开透明、诚信约束的原则,完善项目环评审批、技术评估、建设单位落实环境保护责任以及环评单位从业等各环节的事中事后监管工作机制,加快构建政府监管、企业自律、公众参与的综合监管体系,确保环评源头预防环境污染和生态破坏作用有效发挥。
2. Improving regulatory content. In order to tighten interim regulation, as for the environmental protection authorities, their conduct of approving the EIA, approval procedure compliance, and approval results compliance shall be inspected as priorities; as for technical assessment institutions, their capacity for technical assessment, independent technical assessment of EIA documents, and offer of assessment opinions according to the laws and regulations and whether they collect charges arbitrarily shall be inspected as priorities; as for EIA entities, whether they engage in operations in accordance with the laws and regulations and ensure the authenticity of the data and information of EIA documents, correctness of analysis methodologies, and the rationality and creditability of conclusions shall be supervised as priorities; and as for construction employers, their performance of EIA procedure and organization of public participation shall be supervised as priorities. In order to tighten ex-post regulation, as for the environmental protection authorities, their supervisory inspection of "simultaneous design, construction and use" for environmental protection of construction projects shall be inspected in priority; as for EIA entities, the quality of assessment documents shall be placed under priority in random inspection and reexamination; as for construction employers, the implementation of EIA documents and approval requirements and the implementation of "simultaneous design, construction and use" for environmental protection in design, building, acceptance check, and operation or use of projects shall be supervised in priority. (二)完善监管内容。加强事中监管,对环保部门要重点检查其环评审批行为和审批程序合法性、审批结果合规性;对技术评估机构要重点检查其技术评估能力、独立对环评文件进行技术评估并依法依规提出评估意见情况,是否存在乱收费行为;对环评单位要重点监督其是否依法依规开展作业,确保环评文件的数据资料真实、分析方法正确、结论科学可信;对建设单位要重点监督其依法依规履行环评程序、开展公众参与情况。加强事后监管,对环保部门要重点检查其对建设项目环境保护“三同时”监督检查情况;对环评单位要重点开展环评文件质量抽查复核;对建设单位要重点监督落实环评文件及批复要求,在项目设计、施工、验收、投入生产或使用中落实环境保护“三同时”及各项环境管理规定情况。
3. Specifying regulatory responsibility. According to the principle of "who grants approval is responsible," the EIA approval authorities at all levels shall be responsible in routine administration for the inspection of EIA matters of "simplification of administrative procedures, delegation of powers, combination of decentralization and control, and optimization of services" and the operations of technical assessment institutions and EIA entities. According to the principle of "territorial jurisdiction," the environmental supervisory law enforcement and nuclear and radiation safety regulators at all levels shall in routine administration tighten the inspection of the implementation of the "simultaneous design, construction and use" for environmental protection by construction employers. The Ministry of Environmental Protection and provincial environmental protection authorities shall fully use environmental protection supervision and other working mechanisms to supervise the implementation of the EIA rules by the local governments and relevant authorities. (三)明确监管责任。按照“谁审批、谁负责”的原则,各级环评审批部门在日常管理中负责对环评“放管服”事项和技术评估机构、环评单位从业情况进行检查。按照“属地管理”原则,各级环境监察执法、核与辐射安全监管部门在日常管理中加强建设单位环境保护“三同时”要求落实情况的检查。环境保护部和省级环保部门要充分运用环境保护督察等工作机制,对地方政府和有关部门落实环评制度情况开展监督。
II. Effectively supporting regulation   二、做好监管保障
4. Reforming the EIA rules according to the law. Local governments shall be encouraged to issue reform measures relating to "simplification of administrative procedures, delegation of powers, combination of decentralization and control, and optimization of services" in the EIA subject to the law, according to the principle of heightening the EIA's role in prevention in the source. The superior environmental protection authorities shall conduct supervisory guidance of the compliance of the EIA reform measures of the subordinate environmental protection authorities, require them in a timely manner to correct possible deviation, and ensure the correct direction of the reform. If the power of EIA approval is delegated, the capacity and conditions for takeover of the takeover authorities shall be comprehensively assessed, the power of the approval of the EIA of petrochemical, nonferrous metals, steel, paper making, and other projects featuring great environmental impact and high environmental risk shall be delegated prudentially, and the approval procedure and approval results of the takeover authorities shall be supervised, so as to ensure effective delegation, takeover and control. (四)依法开展环评制度改革。鼓励地方在强化环评源头预防作用的原则下,“于法有据”地出台环评“放管服”有关改革措施。上级环保部门对下级环保部门环评改革措施的依法合规性进行督导,对可能出现的偏差及时要求纠正,保证改革沿着正确的方向前行。下放环评审批权限,应综合评估承接部门的承接能力、承接条件,审慎下放石化化工、有色、钢铁、造纸等环境影响大、环境风险高项目的环评审批权,并对承接部门的审批程序、审批结果进行监督,确保放得下、接得住、管得好。
5. Determining and holding "three lines and one list." The environmental protection authorities at and above the level of cities divided into districts shall, according to the requirements of the red line of ecological protection, the bottom line of environment quality, the upper limit of resource utilization, and the environment assess negative list (hereinafter referred as to the "three lines and one list"), offer optimization of layout, structural adjustment, control of size, preservation of functions, and other regulatory strategies and environment control guiding requirements and set up regional and industry restrictive or prohibitory conditions for environment access. The environmental protection authorities at all levels shall, during the EIA approval, according to the requirements of the Notice on Strengthening Environmental Impact Assessment Administration Centering on Improving Environmental Quality (No. 150 [2016], Ministry of Environmental Protection), establish a mechanism for connection between the approval of project EIA on one side and the EIA of plans, environmental administration of existing projects, and regional environmental quality on the other side, heighten the rigid restraint effect of the "three lines and one list," and abstain from violating, changing or reducing standards. (五)架构并严守“三线一单”。设区的市级及以上环保部门要根据生态保护红线、环境质量底线、资源利用上线和环境准入负面清单(简称“三线一单”)环境管控要求,从空间布局约束、污染物排放管控、环境风险防控、资源开发效率等方面提出优布局、调结构、控规模、保功能等调控策略及导向性的环境治理要求,制定区域、行业环境准入限制或禁止条件。各级环保部门在环评审批中,应按照《关于以改善环境质量为核心加强环境影响评价管理的通知》(环环评〔2016〕150号)要求,建立“三挂钩”机制(项目环评审批与规划环评、现有项目环境管理、区域环境质量联动机制),强化“三线一单”硬约束,项目环评审批不得突破变通、降低标准。
6. Implementing list-based administration. Classification administration shall be implemented, construction project EIA documents shall be prepared according to the requirements of the Catalog of Classification Administration of Environmental Impact Assessment of Construction Projects, and the classifications of the EIA documents shall be not be changed or lowered without authorization. The hierarchical approval shall be rigorous, and the environmental protection authorities at all levels shall approve the EIA according to the Catalog of Construction Projects Whose Environmental Impact Assessment Are Subject to the Approval of the Ministry of Environmental Protection and the provisions on the hierarchical approval of EIA documents developed by all provinces in accordance with the law; the power of approval shall be delegated and adjusted according to the statutory procedures, and the superior environmental protection authorities shall not arbitrarily recover the delegated EIA approval items; and the approval of the EIA documents shall be authorized according to the law, and the environmental protection authorities authorizing the approval shall bear the legal liability for the consequences of authorized approval. The Ministry of Environmental Protection shall develop the principles for approval of EIA documents of construction projects and a list of definitions of material changes by industry. The provincial environmental protection authorities shall be encouraged to develop principles for approval of EIA documents of the other industries within their respective administrative regions in accordance with the laws and regulations. The local environmental protection authorities at all levels shall strictly implement the requirements for approval of EIA documents of construction projects and definitions of material changes and unify the standards for EIA administration of construction projects.
......
 (六)实施清单式管理。落实分类管理,建设项目环评文件的编制应符合《建设项目环境影响评价分类管理名录》要求,不得擅自更改和降低环评文件类别。严格分级审批,各级环保部门开展环评审批应符合《环境保护部审批环境影响评价文件的建设项目目录》和各省依法制定的环评文件分级审批规定;下放调整审批权限应履行法定程序,对下放的环评审批事项,上级环保部门不得随意上收;环评文件委托审批应依法开展,委托审批的环保部门对委托审批后果承担法律责任。环境保护部分行业制定建设项目环评文件审批原则和重大变动界定清单。鼓励省级环保部门依法依规制定本行政区内其他行业的环评文件审批原则。地方各级环保部门应严格执行建设项目环评文件审批和重大变动界定要求,统一建设项目环评管理尺度。
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