关于对环境保护领域失信生产经营单位及其有关人员开展联合惩戒的合作备忘录

　　关于对环境保护领域失信生产经营单位及其有关人员开展联合惩戒的合作备忘录——2016.8.10

　　The Memorandum of Understanding on Taking Joint Disciplinary Actions against Dishonest Production and Operation Entities and Relevant Persons in the Field of Environmental Protection

　　——2016.8.10

　　EHS.CN注：

　　Notes by EHS.CN

 

　　2016年2月23日，发改委等44部委联合发布《关于对失信被执行人实施联合惩戒的合作备忘录》。2016年5月9日，18部门联合发布对安全生产领域失信行为联合惩戒的备忘录。2016年8月10日，31部委联合发布了对环境保护领域失信行为联合惩戒的备忘录。联合惩戒会为企业带来怎样的改变呢?现进行如下解读：

 

　　On February 23, 2016, 44 national commissions and ministries including the National Development and Reform Commission jointly issued the Memorandum of Understanding on Taking Joint Disciplinary Actions against Dishonest Persons Subject to Enforcement. On May 9, 2016, 18 departments jointly issued the memorandum of understanding on taking joint disciplinary actions against dishonest acts in the Field of Work Safety. On August 10, 2016, 31 national commissions and ministries jointly issued the memorandum of understanding on taking joint disciplinary actions against dishonest acts in the field of environmental protection. What changes will be brought to enterprises by joint disciplinary actions? The interpretations are as followed.

 

　　一、联合惩戒对象

　　Firstly, it is about parties subject to joint disciplinary actions.

 

　　联合惩戒对象为在环境保护领域存在严重失信行为的生产经营单位及其法定代表人、主要负责人和负有直接责任的有关人员。

 

　　Parties subject to joint disciplinary actions are production and operation entities and their legal representatives, chief persons in charge and relevant persons with directly responsibilities with serious dishonest acts in the field of environmental protection.

 

　　那么，哪些行为属于环保领域严重失信行为呢?由于备忘录详细内容尚未公布，我们无从得知环保失信的具体界定。但不妨参考《企业环境信用评价办法(试行)》(环发[2013]150号)。仅列举部分严重失信行为如下：

 

　　So, what behaviors are serious dishonest acts in the field of environmental protection? Since the details of the Memorandum have not been issued to the public, we have no way of knowing the specific definition of dishonest acts in the field of environmental protection. However, we can refer to the Measures for the Evaluation of Enterprise Environmental Trustworthiness (for Trial Implementation) (No. 150 [2013] of the Ministry of Environmental Protection). Parts of serious dishonest acts are listed as followed.

 

　　1)因为环境违法构成环境犯罪的;

 

　　2)建设项目环评文件未通过审批，擅自开工的;

 

　　3)建设项目环保设施未建成、环保措施未落实、未通过竣工环保验收或者验收不合格，主体工程正式投入生产或者使用的;

 

　　1) constitute an environmental crime by breaking the environmental law;

 

　　2) start the commencement without permission where the documents of environmental impact assessment for the construction project have not been examined and approved;

 

　　3) the main part of a project are put into production or use when environmental protection facilities of the construction project have not been built, environmental protection measures have not been carried out or it has not passed or has failed the checkup for environmental protection acceptance of a completed project.

 

　　EHS.CN注：

　　Notes by EHS.CN

 

　　过去，环保失信企业往往依旧可以实现路路畅通。联合惩戒将让失信者付出沉重代价，除了改正错误，无路可走。具体的环保领域严重失信行为请大家参考《企业环境信用评价办法(试行)》。联合惩戒的措施怎样呢，不妨往下看。

 

　　In the past, it seemed that nothing bad would happen to dishonest enterprises of environmental protection. The joint disciplinary actions will make dishonest persons pay a heavy price, and there will be no way to go except correcting the errors. For detailed dishonest acts in the field of environmental protection, please refer to the Measures for the Evaluation of Enterprise Environmental Trustworthiness (for Trial Implementation). What are joint disciplinary measures? Let's carry on the interpretation.

 

　　二、惩戒措施

　　Secondly, it is about disciplinary measures.

 

　　1、惩戒对象：环保失信生产经营单位

 

　　I. Parties Subject to Disciplinary Actions: dishonest production and operation entities of environmental protection

 

　　(一)禁止类

　　i. Prohibited Measures

 

　　1)禁止作为供应商参加政府采购活动;

 

　　2)对弄虚作假的机动车排放检验机构，撤销其检验检测机构资质;

 

　　3)失信生产经营单位申请适用海关认证企业管理的，海关不予通过认证;

 

　　4)对失信生产经营单位，不得授予文明单位等荣誉称号，已获得荣誉称号的予以撤销。

 

　　1) prohibited to participate in government procurement activities as a supplier;

 

　　2) if an inspection institute of motor-driven vehicles’ emissions play fraud, its qualification of inspection and testing shall be revoked;

 

　　3) where dishonest production and operation entities apply for the enterprises management certified by the customs, the customs shall not issue the certification;

 

　　4) dishonest production and operation entities shall not be awarded the honorary title of civilized units, and the honorary title having obtained shall be revoked.

 

　　(二)限制类

　　ii. Restricted Measures

 

　　1)限制取得政府供应土地;

 

　　2)限制取得工业产品生产许可证;

 

　　3)限制参与财政投资公共工程建设项目投标活动;

 

　　4)限制参与基础设施和公用事业特许经营;

 

　　5)依法限制取得安全生产许可证;

 

　　6)限制发行企业债券及公司债券;

 

　　7)限制注册非金融企业债务融资工具。

 

　　1) restricted to obtain the land supplied by the government;

 

　　2) restricted to obtain the production license for industrial products;

 

　　3) restricted to participate in the bidding activity of public construction projects invested by public finance;

 

　　4) restricted to participate in the concession for infrastructure and public utilities;

 

　　5) legally restricted to get the work safety license;

 

　　6) restricted to issue the corporate bonds;

 

　　7) restricted to register the debt financing instruments of non-financial enterprises.

 

　　(三)停止优惠政策类

　　iii. measures of ceasing the preferential polices

 

　　1)对于享受环保电价加价的燃煤电厂，没收二氧化硫、氮氧化物、烟尘排放超标相应时段的环保电价款，并从重处以罚款。

 

　　1) for the coal-fired power plant enjoying the prices of electricity with environmental protection measures, the electricity price for the corresponding period of discharging the sulfur dioxide, nitrogen oxides, smoke and dust that exceeded the prescribed standards shall be confiscated and it will be given a heavier punishment in fine.

 

　　2)因违反环境保护法律法规受到处罚的，根据财政部、国家税务总局相关规定，自处罚决定下达的次月起36个月内，不得享受资源综合利用产品和劳务增值税即征即退政策。

 

　　2) in accordance with relevant provisions made by the Ministry of Finance and the State Administration of Taxation, an enterprise punished by breaking environmental protection laws shall not enjoy the police of immediate refund upon payment for the value-added tax for products and labor services involving the comprehensive utilization of resources within 36 months as of the next month after the issuance of a punishment decision.

 

　　3)存在超过污染物排放标准或者超过重点污染物排放总量控制指标排放污染物等违法行为的，按照财政部、国家税务总局相关规定，停止执行已经享受的环境保护项目企业所得税优惠。

 

　　3) in case of having law-violated actions of discharging any pollutant in excess of the standards or of that the total volume of key pollutants emitted exceeds the total volume control index, the preferential enterprise income tax policies for environmental protection projects that have been enjoyed shall be ceased to perform.

 

　　4)停止执行相关财政性资金支持，或者限制其申请财政性资金项目。

 

　　4) cease to perform the support by financial funds or restricted to apply for the projects supported by public finance.

 

　　5)停止执行投资等领域相关优惠性政策，或者对其关于享受相关优惠性政策的申请不予批准。

 

　　5) cease to perform relevant preferential policies in the field of investment, or not to approve its apply for enjoying other relevant preferential policies.

 

　　(四)其他惩戒措施

　　iv. other disciplinary measures

 

　　1)将生产经营单位的失信信息作为股票发行审核及在全国中小企业股份转让系统公开转让审核的参考;

 

　　1) dishonest information about the production and operation entities shall be referred to while the examination and verification for stock issuance and the examination and verification for the public transfer on the National Equities Exchange and Quotations;

 

　　2)推动各金融机构将失信生产经营单位的失信情况作为融资授信的参考;

 

　　2) promote the financial institutions to take the dishonest information of production and operation entities as the reference for the credit extension for the financing;

 

　　3)推动各保险结构将失信生产经营单位的失信记录作为厘定环境污染责任保险费率的参考;

 

　　3) promote the insurance institutions to take the dishonest information of production and operation entities as the reference for defining the insurance rates for environmental pollutions responsibilities;

 

　　4)在上市公司或者非公众上市公司收购的事中事后监管中，对有严重失信行为的生产经营单位予以重点关注;

 

　　4) during the interim and post supervision for the mergers and acquisitions of listed companies or non-listed companies, special attention shall be paid to production and operation entities with serious dishonest acts;

 

　　5)各市场监管、行业主管部门将失信生产经营单位作为重点监管对象，加大日常监管力度，提高抽查的比例和频次;

 

　　5) market regulation departments and competent industry departments shall list the dishonest production and operation entities as the key regulatory objects, enhance the daily supervision and increase the frequency of the selective examination;

 

　　6)有关部门将失信生产经营单位信息，通过“信用中国”网站和国家企业信用信息公示系统向社会公布。

 

　　6) relevant departments shall reveal the information about dishonest production and operation entities to the public through the website of “Credit China” and the national system for publicity of enterprise credit information.

 

　　7)各部门依法实施的其他惩戒措施。

 

　　7) other disciplinary measures legally carried out by various competent departments.

 

　　EHS.CN注：

　　Notes by EHS.CN

 

　　过去，一些企业一边拿着国家的脱硫脱硝补贴，一边偷排超排，是环保失信的典型。20多项具体的惩戒措施，看似兴师动众，实则不然。一旦失信，被各方果断“拉黑”，方可形成“环保失信人人喊打“的社会氛围，还公众以青山绿水。

 

　　In the past, some enterprises are enjoying the subsidy for the desulfidation and the denitration while simultaneously discharging pollutants illegally, which is a typical example of dishonesty of environmental protection. The 20+ specific disciplinary measures hereof seem to “make a fuss and draw in a lot of people”, but actually it is not. Once being dishonest, production and operation entities will be “listed in the blacklist” decisively by relevant departments, which can form the social atmosphere of “dishonest environmental protection provokes a hue and a cry” and return the “blue mountains and green waters” to the public.

 

　　2、惩戒对象：法定代表人、主要负责人和负有直接责任的有关人员

　　II. Parties subject to Disciplinary Actions: legal representatives, chief persons in charge and relevant persons with directly responsibilities.

 

　　1)失信生产经营单位相关负责人适用中央企业负责人经营业绩考核有关规定的，视情节轻重和影响程度，扣减年度经营业绩考核综合得分，直至降低其年度经营业绩考核和任期经营业绩考核等级，并相应扣发企业负责人绩效年薪和任期激励收入;情节严重的，给予纪律处分或者对企业负责人进行调整。

 

　　1) where relevant provisions of the measures for business performance appraisals of persons-in-charge at central enterprises applies to relevant persons-in-charge of dishonest production and operation entities, the comprehensive score of the annual business performance appraisals shall be deducted till to cut down the annual business performance appraisals and the level of the business performances appraisals during the term of office and to deduct the annual salary of performance assessments and the incentive income of the term of office of enterprises’ persons-in-charge according to the seriousness of circumstances and the degree of the impact; if the circumstances are serious, he or she shall be given a disciplinary action or the person-in-charge of the enterprise shall be adjusted.

 

　　2)失信生产经营单位相关负责人适用中央统战部等14个部门关于非公有制经济代表人士综合评价有关规定的，不应推荐其为人大代表候选人、政协委员人选，也不得评优表彰。

 

　　2) where the provisions about the comprehensive evaluation of representatives from the non-public sectors of the economy that is stipulated by the United Front Work Department of CPC Central Committee and other 13 departments applies, relevant persons-in-charge of dishonest production and operation entities shall not be recommended as candidates of the NPC deputies or members of the CPPCC and not be praised.

 

　　3)对失信生产经营单位法定代表人、主要负责人和直接责任人，不得授予道德模范、五一劳动奖章等荣誉称号，已获得荣誉称号的予以撤销。

 

　　3) legal representatives, chief persons-in-charge and relevant persons with directly responsibilities of dishonest production and operation entities shall not be awarded the honorary title such as the moral model and the labor award, and the awarded honorary title shall be revoked.

 

　　以下18条限制内容来自：关于印发对失信被执行人实施联合惩戒的合作备忘录的通知(2016年2月23日)

 

　　The following 18 restricted clauses are from the Notice on Taking Joint Disciplinary Actions against Dishonest Persons Subject to Enforcement (February 23, 2016)

 

　　1)限制担任国有企业法定代表人、董事、监事;

 

　　1) restricted to be enterprises’ legal representatives, directors, supervisors;

 

　　2)限制登记为事业单位法定代表人;

 

　　2) restricted to register as the public institution's legal representative;

 

　　3)限制招录(聘)为公务员或事业单位工作人员;

 

　　3) restricted to be recruited (hired) as civil servants or staff of public institutions;

 

　　4)禁止参评文明单位、道德模范;

 

　　4) restricted to participate in the appraisal of civilized units or moral model;

 

　　5)限制乘坐飞机、列车软卧等其他非生活和工作必需的消费行为;

 

　　5) restricted to take a flight, take the soft berth of train and conduct other non-essential life and working consumer behaviors;

 

　　6)限制住宿较高星级宾馆、酒店;限制在夜总会、高尔夫球场消费;

 

　　6) restricted to live in the guest houses or hotels with higher stars; restricted to consume in nightclubs, golf courses;

 

　　7)限制购买不动产及国有产权交易;

 

　　7) restricted to purchase the real estate and to trade state-owned property rights;

 

　　8)限制在一定范围的旅游、度假;

 

　　8) restricted to spend holidays within certain areas;

 

　　9)限制子女就读高收费私立学校;

 

　　9) restricted their childrens to study at private schools with high tuition fee;

 

　　10)查询身份、护照、车辆财产信息;协助查找失信被执行人;限制出境;协助查封、扣押车辆;

 

　　10) inquire the information about identity, passport, vehicles and properties; assist in finding the dishonest persons subject to enforcement; restricted to departure from China; assist in sealing up and detain vehicles;

 

　　11)限制使用国有林地;限制申报重点林业建设项目;限制国有草原占地审批;限制申报重点草原保护建设项目;

 

　　11) restricted to use state-owned woodlands; restricted to apply for the key forestry construction projects; restricted to the examination and approval of the coverage of state-owned grasslands; restricted to apply for key grassland protection construction projects;

 

　　12)查询失信被执行人海关认证资格情况;限制成为海关认证企业;对进出口货物实施严密监管;

 

　　12) inquiry the qualification information of the customs’ certification for the dishonest persons subject to enforcement; restricted to be enterprises certificated by customs; strict supervision shall be carried out for imported and exported goods;

 

　　13)查询安全生产许可审批等信息;限制从事药品、食品等行业;限制担任生产经营单位主要负责人及董事、监事、高级管理人员;

 

　　13) inquiry the approval information about the work safety licenses; restricted to engage in the industry of drugs and foods; restricted to be the chief person-in-charge, directors, supervisors and senior executives of production and operation entities;

 

　　14)查询渔业船舶登记信息;

 

　　14) inquiry the registration information of fishing vessels;

 

　　15)查询客运、货运车辆登记信息;

 

　　15) inquiry the registration information of passenger vehicles and freight vehicles;

 

　　16)查询律师登记信息;限制参与评先、评优;

 

　　16) inquiry the lawyer registration information; restricted to participate in the advanced or excellent appraisal;

 

　　17)查询婚姻登记信息;

 

　　17) inquiry the marriage information;

 

　　18)以拒不执行判决、裁定罪处罚。

 

　　18) be subject to liability for the refusal to satisfy a judgment or ruling.

 

　　EHS.CN小结：

　　Conclusion by EHS.CN

 

　　不管是生产经营单位，还是其法定代表人、主要负责人和负有直接责任的有关人员，一旦被列为失信惩戒对象，将寸步难行，甚至波及到自己的家庭。

 

　　No matter for the production and operation entities or for legal representatives, chief persons-in-charge and relevant persons with directly responsibilities, once they are listed in as the dishonest parties subject to disciplinary actions, they will be unable to move even a single step, and even it will influence their family.

 

　　只要存在安全、环保领域的严重失信行为，即会被联合惩戒。因此，各位EHS朋友们，必须要打起十二分的精神了;各位公司高层们，安全问题、环保问题已经到了刻不容缓，不得不关注的时刻了;各位老板们，还是以身作则，高度重视吧。

 

　　Once there are serious dishonest acts regarding to the work safety or environmental protection, joint disciplinary actions will be carried out. Therefore, our EHS friends, must pay full attention to it: every top executives of companies, the problems of work safety and environmental protection are of great urgency and demand immediate attention; every boss, please set a good sample with your own conduct and put a high value on them.