《十大正规网堵平台》解读

       On January 9, 2015, the Ministry of Environmental Protection issued the Measures for the Filing and Management of Emergency Plans for Environmental Emergencies in Enterprises and public Institutions (Trial Implementation) (Huanfei [2015] No. 4) (hereinafter referred to as the Measures for the Filing and Management), which will come into force as of the date of promulgation。The "Filing Management Measures" is a normative document regulating the filing management of local environmental protection authorities (hereinafter referred to as "environmental protection departments") for enterprises and public institutions (hereinafter referred to as "enterprises") emergency plans for environmental emergencies (hereinafter referred to as "environmental emergency plans")，The scope of application, basic principles and the preparation, implementation and supervision of the record management of enterprise environmental emergency plans are clearly stipulated。

　　一、为什么要制定备案管理办法

　　（一）落实新修订的《十大正规网堵平台》的需要

　　The third paragraph of Article 47 of the newly revised Environmental Protection Law stipulates that "enterprises and public institutions shall, in accordance with the relevant provisions of the State, formulate emergency plans for environmental emergencies and report them to the competent environmental protection authorities and relevant departments for the record", defining the formulation and filing of environmental emergency plans as the legal obligations of enterprises。In order to implement the Environmental Protection Law, systematically refine and standardize the filing behavior of enterprises and the regulatory behavior of environmental protection departments, it is necessary to formulate a supporting "Filing Management Measures".。

　　（二）落实企业主体责任的需要

　　The enterprise is the main body responsible for developing the environmental emergency plan, and the environmental emergency plan is a "living document", which needs to be revised and improved constantly by the enterprise through its own efforts to ensure that it is practical, effective and useful。However, in practice, some enterprises do not carry out the necessary risk assessment and emergency resources survey, just copy, or completely entrust the preparation work to technical service agencies, and then put it on the shelf, which is inconsistent with the implementation of the requirements of the main responsibility of the enterprise。There are also some local environmental protection departments in order to ensure the quality of enterprise environmental emergency plans, the record is set as "non-license approval", or give some of the color of administrative permission, in essence, is to share the main responsibility of the enterprise。Some environmental protection departments focus on the supervision of enterprise environmental emergency plans on "access", and the guidance and use of the plans that have been filed are not enough, and the management is not in place。These practices are not in line with the spirit of the state's reform of the administrative examination and approval system of "effectively preventing the increase of administrative license items while decreasing, the increase of open and dark, and strengthening and improving the supervision during and after the event", and need to be standardized through the "Measures for Record Management"。

　　（三）环境应急预案管理的实践需要

　　In 2010, after the Ministry of Environmental Protection issued the Interim Measures for the Management of Emergency Plans for Environmental Emergencies (No. 113, 2010) (hereinafter referred to as the Interim Measures for emergency Plans), various localities have carried out a lot of useful exploration and practice for the management of environmental emergency plans, and initially established a filing system。但预案备案管理还存在一些问题。First, the filing rate is not high, the progress is unbalanced, has prepared environmental emergency plans of enterprises, the overall filing rate is less than 80%, and some places are only 38%。二是现场处置预案偏少，可操作性不强。The Interim Measures of the Plan divides the environmental emergency plan into three categories: comprehensive plan, special plan and on-site disposal plan。However, less than half of the enterprises have prepared on-site disposal plans, and more enterprises have only comprehensive plans, and the content is mostly principled provisions。三是属地管理不够、信息收集不全面。The "Interim Measures for the Plan" sets the state-controlled pollution sources as provincial environmental protection departments for the record, which is a "stopgap" in the beginning stage of environmental emergency plan management, and it is difficult to meet the requirements of "territory-based" and early disposal by the people's government at the county level。地方在执行时，实行分级备案的占74%。Due to the lack of information transmission requirements, some lower-level environmental protection departments cannot obtain corporate environmental emergency plans and cannot fully grasp relevant information。Fourth, level by level filing has increased the burden on enterprises, 26% of localities implement level by level filing, requiring enterprises to file with multiple levels of environmental protection departments, which is not in line with the spirit of the central government to streamline administration and delegate power。五是分级管理要求差异大。In the classification management of the record, there are many situations in which pollutant emissions, EIA levels, risk levels, cross-regional, industry factors, and environmental sensitivity are classified, and some places are two-level management, and some places are three-level management。为解决这些问题，有必要制定《十大网堵平台》。

　　二、制定备案管理办法的主要依据有哪些

　　《十大网堵平台》主要依据《十大正规网堵平台》、《十大网堵平台》，As well as the Marine Environmental Protection Law, Solid Waste Environmental Pollution Prevention and Control Law, Water Pollution Prevention and Control Law and other laws and regulations，参考了《十大网堵平台》相关规定，And The General Office of the State Council "Emergency emergency plan Management Measures" (2013) No. 101) on the emergency plan management of enterprises and institutions。

　　三、备案管理办法主要有哪些内容

　　The "Measures for the Administration of the Record" consists of five chapters 26, on the basis of absorbing the relevant contents of the "Interim Measures for the Plan" and summarizing the practical experience of work in recent years, the content of five aspects is stipulated。

　　第一章总则。对备案管理的目的、概念、范围、原则等一般性内容进行了规定。It is clear that the record management should follow the principles of standardized preparation, territorial-based, unified record filing, and hierarchical management, emphasizing that hierarchical management should be implemented according to the size of environmental risks, and enterprises should actively disclose relevant environmental emergency plan information。

　　第二章备案的准备。Based on the requirements of filing, provisions are made for the preparation of environmental emergency plans, such as the formulation, implementation and revision。It is emphasized that the enterprise is the main body responsible for the formulation of environmental emergency plans, and the environmental emergency plans should be formulated through the steps of setting up a preparation group, carrying out assessment and investigation, preparing plans, reviewing and practicing, signing and issuing plans, and revising them in time。

　　第三章备案的实施。对备案时限、文件、方式、受理部门进行了规定。It is clear that the enterprise shall record the environmental emergency plan within 20 working days after the release of the environmental emergency plan and the filing documents to be submitted。It is clear that the county-level environmental protection department is the main filing acceptance department, and the review and treatment method of the filing acceptance department。

　　第四章备案的监督。对备案后环保部门的监管和企业、环保部门责任进行了规定。It is clear that the environmental protection department shall summarize, sort out and archive the environmental emergency plans filed in a timely manner, and guide enterprises to continuous improvement through spot checks and other means。还明确了企业和环保部门违反规定应承担的责任。

　　Chapter V supplementary provisions, with the Environmental Protection Law, article 47, paragraph 3 "Report to the competent department of environmental protection and relevant departments for the record", and explain the implementation date。

　　四、关于几个重点问题的说明

　　（一）什么是企业环境应急预案

　　Article 2 of the Measures for the Administration of the Record points out that the environmental emergency plan refers to the work plan formulated in advance by the enterprise in order to take emergency measures in response to various accidents and natural disasters to avoid or minimize the entry of pollutants or other toxic and harmful substances into the environmental media such as the atmosphere, water body and soil outside the factory boundaries。This is the first time that the concept of enterprise environmental emergency plan has been formally proposed to distinguish it from enterprise production safety accidents and other emergency plans, so as to facilitate the implementation and management of enterprises and environmental protection departments。

　　（二）企业环境应急预案如何定位

　　The focus of enterprise environmental emergency plan is on-site disposal plan, focusing on clarifying the work tasks and procedures during on-site disposal, reflecting the characteristics of self-rescue and mutual rescue, information reporting and early disposal。For whether to prepare comprehensive plans, special plans and the combination of these categories, the filing management Measures put forward guidance rather than mandatory requirements。企业可以根据自身实际自主选择。

　　The environmental emergency plan of the construction unit is a plan formulated for the unexpected environmental events that may be faced after the construction project is put into production or use, not a plan during the construction period。The environmental emergency plan during trial production refers to the environmental emergency plan prepared before trial production, which includes the environmental emergency plan formulated for the unexpected environmental events that may be faced during trial production。Before trial production, there may be objective realities such as environmental risk assessment and preparation of plans that are difficult to be in place，The Measures for the Administration of the Record stipulate that the environmental emergency plan during the trial production of construction projects shall be formulated and filed "with reference" to these Measures;The pilot production of construction projects is different from the formal production，建设单位需要根据实际情况，在试生产期间对环境应急预案进行修订，形成适用于正式生产的环境应急预案。

　　（三）备案的目的是什么

　　企业环境应急预案备案是不属于行政许可、行政确认的一种行政行为。对于企业而言，备案是为了规范编修、提高质量、履行法定义务。对于环保部门而言，备案是为了收集信息、存档备查、事后管理。

　　（四）哪些企业需要备案

　　《十大网堵平台》规定了三类企业要进行环境应急预案备案。一是可能发生突发环境事件的污染物排放企业。"The possibility of sudden environmental events" will produce noise pollution units, the production of pollutants is not large or small harm units excluded, such as restaurants。Due to the difference between sewage and domestic waste centralized treatment facilities and general pollutant discharge enterprises, it is emphasized in the "filing management Measures" with "sewage and domestic waste centralized treatment facilities operating enterprises"。二是可能非正常排放大量有毒有害物质的企业。Combined with the case of the incident, it emphasizes the enterprises involved in hazardous chemicals, hazardous waste and tailings ponds, which are prone to and prone to environmental emergencies。Third, other enterprises that should be included in the scope of application, which is a backstop clause, give local environmental protection departments a certain degree of autonomy。In order to further clarify the scope of application, it is stipulated that "provincial environmental protection authorities may, according to the actual situation, issue a list of enterprises that should be filed with environmental emergency plans in accordance with the law."。

　　（五）企业如何进行备案准备

　　The Environmental Protection Law stipulates that enterprises shall formulate emergency plans for environmental emergencies in accordance with relevant state regulations。The second chapter of the "Filing Management Measures" is a refinement of this provision, making it clear that enterprises prepare environmental emergency plans on the basis of environmental risk assessment and emergency resource investigation, and sign and issue environmental emergency plans after review and exercise。The environmental risk assessment report, emergency resource investigation report and review opinions generated during the preparation of the record are necessary documents for the record。

　　（六）企业环境应急预案何时需要修订

　　The filing Management Measures require companies to conduct retrospective assessments of environmental emergency plans at least once every three years。If there are major changes in environmental risks, emergency management organization and command system and responsibilities, environmental emergency measures, important emergency resources, or problems found in actual responses and drills, and other circumstances that need to be revised, the environmental emergency plan shall be revised in time, and the revision procedure shall be carried out with reference to the formulation procedure。

　　目前大部分企业已经按照《十大正规网堵平台》，制定了环境应急预案。After the implementation of the "filing Management Measures", local environmental protection departments shall guide enterprises to carry out assessments in a timely manner, revise environmental emergency plans, and implement the "filing Management Measures" when revised.。

　　（七）企业应该向哪里备案

　　Enterprise environmental emergency plan record implementation of territorial management, unified record, record acceptance department for county-level environmental protection departments。建设单位也需要向建设项目所在地县级环保部门备案。If the trial production and formal production of the construction project have basically no change, the environmental emergency plan does not need to be revised, and the filing documents submitted by the construction unit before the trial production are complete, it can be regarded as having completed the filing before the formal production。

　　Environmental emergency plans of enterprises in administrative areas at or above the county level may be prepared by county or administrative units and filed with the environmental protection departments at the county level involved along the route or across the region。

　　确定县级环保部门作为备案受理部门，It is required by the Emergency Response Law, the Oil and Gas Pipeline Protection Law and other laws and regulations，符合环境应急实际和收集信息的需要，符合“省直管县”的行政管理体制改革方向，有助于环境应急预案由过去的“下级抄上级”、由上到下的编制方式，转变为从企业逐步向上延伸、由下到上的编制方式，有助于夯实政府环境应急预案编制基础，有助于推动基层环保部门应急管理能力的提升，也便于企业执行。

　　考虑到有的县级环保部门能力不足、难以满足备案需要等客观现实，个别地方具有较成熟的市级备案管理经验，The filing Management Measures also provide that "provincial environmental protection authorities can be based on the actual situation.，将备案受理部门统一调整到市级环境保护主管部门”，给予地方环保部门一定的自主权。

　　（八）企业如何进行备案

　　When the enterprise first records, within 20 working days from the date of signing and issuing the environmental emergency plan, the environmental emergency plan record form, environmental emergency plan and preparation instructions, environmental risk assessment report, environmental emergency resources investigation report, environmental emergency plan review opinions and other five documents submitted to the filing and acceptance department。企业收到受理部门签章的环境应急预案备案表，则完成了首次备案。

　　When the enterprise makes a major revision of the environmental emergency plan, it shall also file the change with the original accepting department within 20 working days from the date of the release of the revised content。The change filing does not require the submission of all the filing documents required for the first filing, but only the revised documents。Individual content adjustment, do not need to change the record, only need to inform the original acceptance department in the form of documents。

　　（九）受理部门如何进行受理

　　受理部门在收到企业提交的备案文件后，5个工作日内进行核对。If the documents are complete, a record form of emergency plan for environmental emergencies with the seal of the administrative organ shall be issued。受理部门就完成了对环境应急预案的备案。

　　The acceptance department's verification of the filing documents is only a formal review, examining whether the filing documents are complete, and does not conduct a substantive review of the content of these documents。

　　In addition to the "face to face" filing in the office of the filing acceptance department, combined with the online filing practice carried out in some places, in order to reduce the burden on enterprises and adapt to the work requirements, the "filing Management Measures" put forward principled requirements on the filing methods such as letters and electronic data exchange。地方环保部门可以结合实际，开展电子备案、信函备案等相关工作。

　　（十）备案后环保部门如何进行监督

　　The supervision of the environmental protection department on the record of enterprises mainly includes three ways: summary, guidance and backward responsibility check。Summarizing, sorting, archiving and establishing a database is mainly to collect and sort out information and consolidate the foundation of the government's plan。The record guidance is based on the requirements for environmental protection departments to improve the quality of enterprise environmental emergency plans, including individual key guidance in the form of archive inspection, field verification, and overall guidance in the form of summary analysis of random inspection results, and the time node is after the record。Liability backtracking means that after the occurrence of an environmental emergency, the environmental protection department will incorporate the development, filing, daily management and implementation of the environmental emergency plan into the scope of incident investigation and treatment。The "Measures for the Administration of the record" also provides for the disclosure of record information, requiring the record acceptance department to publish the list of record enterprises in a timely manner, and enterprises to actively disclose relevant information about environmental emergency plans。

　　环保部门的监督，按照企业环境风险大小实施分级管理。The filing Management Measures provide that county-level environmental protection departments will submit the filing documents of larger or more environmental risk enterprises to municipal environmental protection departments within 5 working days, and major or more to provincial environmental protection departments。省级、市级环保部门根据掌握的备案文件实施重点监管。

　　For enterprise environmental risk assessment and classification, the Ministry of Environmental Protection issued the Technical Guide for Risk Assessment of Enterprise Environmental Emergencies (Trial) (Environmental Affairs Office [2014] No. 34), which gives the general method of environmental risk assessment, covering most of the enterprises prone to and prone to environmental emergencies。At present, the Ministry of Environmental Protection will also introduce the method and standard for the classification of environmental risk levels of enterprise environmental emergencies, and further strengthen the technical guidance for the classification of enterprise environmental risk。In practice, some places have also formulated and implemented documents on enterprise environmental risk management, and implemented hierarchical risk management for enterprises and institutions。The "Filing management Measures" also stipulates that local environmental protection departments at or above the county level can refer to the relevant risk assessment standards or guiding technical documents for environmental emergencies, and guide enterprises to determine environmental risk levels in combination with actual conditions。

　　（十一）企业违反备案管理办法需要承担什么责任

　　为了督促企业规范制定环境应急预案并备案，对于企业不制定、不备案，或者提供虚假文件备案的行为，由县级以上环保部门责令限期改正，In accordance with the Marine Environmental Protection Law, the Law on the Prevention and Control of Environmental Pollution by Solid Waste, the Law on the Prevention and Control of Water Pollution and other laws and regulations as well as the rules formulated by the Ministry of Environmental Protection，给予罚款等处罚。

　　（十二）环保部门违反备案管理办法等相关规定需要承担什么责任

　　In order to regulate the record management behavior of environmental protection departments and their staff, the illegal and disciplinary behaviors such as non-record filing, disorderly record filing, and non-notification are listed and the boundaries of responsibility are clearly defined。

　　（十三）备案制度如何与其他管理制度衔接

　　The connection between filing and other environmental management systems has been reflected in some regulations and normative documents。Such as hazardous chemicals Environmental Management Registration Measures (Trial) (Ministry of Environmental Protection Order No. 22) Article 9，When an enterprise producing and using hazardous chemicals applies for the registration of environmental management for the production and use of hazardous chemicals，An emergency plan for environmental emergencies shall be submitted;Article 19 of the Measures for the Prevention and Control of Waste Hazardous Chemicals Pollution (Order No. 27 of the State Environmental Protection Administration)，产生、收集、贮存、运输、利用、处置废弃危险化学品的单位，应当制定废弃危险化学品突发环境事件应急预案，Report to environmental protection departments at or above the county level for the record;Article 31 of the New Environmental Management Measures for Chemical Substances (Ministry of Environmental Protection Order No. 7)，常规申报的登记证持有人和相应的加工使用者，Emergency plans and emergency handling measures shall be formulated;Notice on Further Strengthening Environmental Impact Assessment Management to Prevent Environmental Risks (2012) No. 77)，相关建设项目申请试生产时，应提交企业突发环境事件应急预案的备案材料。未来还可以在其他文件中进一步强化。

　　（十四）今后企业环境应急预案的管理如何进一步深化

　　《十大网堵平台》是企业环境应急预案管理的纲领性文件。In the future, the environmental protection department mainly realizes the guidance and management of enterprise environmental emergency plans through the filing of this starting point。As the development and implementation of environmental emergency plans involve a lot of technical content, in order to continuously improve the level of plan management, the Ministry of Environmental Protection will successively issue supporting documents such as the compilation guide of key industry plans, the survey guide of emergency resources, and the drill guide。All localities can also issue relevant implementation rules and guiding documents according to the actual situation, constantly improve the management level, and promote the continuous improvement of the enterprise plan。