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To implement the important instructions of General Secretary Xi Jinping on production safety, strengthen the supervision of safety evaluation institutions, improve the quality of safety evaluation services, promote safety evaluation institutions and practitioners to strictly abide by the bottom line of safety, legal red line and moral standards, build a comprehensive management system of "enterprise main body responsibility, institution integrity practice, departmental coordination supervision, industry self-discipline management, and public supervision", and effectively play the supporting role of safety evaluation in accident prevention, this guidance is formulated in accordance with the "Safety Production Law of the People's Republic of China", "Safety Evaluation and Inspection Institutions Management Measures" and other laws, regulations and departmental regulations.

1. Strict source control

(I) Strict access management of evaluation institutions. First, provincial emergency management departments and coal mine safety supervision departments (hereinafter referred to as qualification accreditation authorities) should promote the inclusion of the development of the safety evaluation industry in the development plan of local modern service industries, and build a safety evaluation service system that is compatible with the needs of production safety and economic and social development. Second, the qualification accreditation authorities should carefully handle the reform of the qualification accreditation of evaluation institutions. Without the basis of laws, administrative regulations or decisions of the State Council, the qualification accreditation authority shall not be delegated to the relevant departments at the lower level through authorization, decentralization, etc., to ensure that they have the responsibility and fulfill their duties. Third, the qualification accreditation authorities should establish a directory of institutions and their branches that have cancelled, revoked or revoked their safety evaluation qualifications and actively disclose them to the public. The above-mentioned entities should strictly follow the laws and regulations when applying for or reapplying for evaluation qualifications in other places.

(II) Strictly manage the qualifications of practitioners. First, strictly verify the professional capabilities and qualifications of safety evaluation practitioners. Use the relevant platforms of the Ministry of Human Resources and Social Security, the Ministry of Education and other relevant national competent departments to strictly verify the qualification certificates, academic degrees and professional and technical titles of safety evaluation practitioners. If any clues of illegal and irregular activities such as fraud are found, they shall be transferred to the relevant competent departments in accordance with the principles of "who trains, who is responsible", "who issues the certificate, who is responsible" and "who is in charge, who is responsible", and transfer them to the relevant competent departments to investigate the responsibilities of the institutions and personnel involved in accordance with the law. Second, severely crack down on the act of renting and lending qualification certificates. Social insurance, personal tax payment records, salary flow, etc. are used as important references for identifying full-time safety assessment practitioners, and the behavior of paying multiple social insurances in different places to obtain relevant certificates is strictly prevented. Third, strictly guard against the use of practitioners' frequent mobility to obtain evaluation qualifications. In the case of frequent changes of practitioners' institutions, the qualification accreditation authority shall follow up on the qualification maintenance of the safety assessment institution, carry out targeted inspections, and strengthen the dynamic supervision of full-time safety assessment practitioners used for qualification application and qualification maintenance. Fourth, it is strictly prohibited to set up obstacles for safety assessment practitioners in violation of regulations, and registration management, continuing education, designated training, etc. shall not be used as preconditions for identifying full-time safety assessment practitioners. All kinds of technical personnel who have signed legal labor contracts or labor contracts with safety assessment institutions can carry out evaluation activities that match their professional capabilities, participate in the preparation of evaluation reports, and bear corresponding legal responsibilities in accordance with the law.

(III) Strictly implement the statutory derivation of evaluation matters. First, strictly follow the "Safety Production Law of the People's Republic of China" and other laws, administrative regulations and decisions of the State Council to determine the statutory scope of safety evaluation and the scope of qualification accreditation of evaluation institutions. Second, if administrative agencies need to entrust safety evaluation agencies to provide technical services during the administrative approval process, they shall select agencies through competitive means in accordance with the law and bear the service fees themselves. They shall not pass on the burden to market entities, and cut off the illegal interest relationship between evaluation agencies and enterprises. Enterprises shall not be forced or forced in disguise to choose specific evaluation agencies to engage in other evaluation and assessment intermediary services. Third, non-statutory safety evaluation matters that are not included in the list of intermediary services in the government service field shall be carried out in accordance with the principle of "who requests, who organizes, who is responsible", and shall not be passed on to market entities. Safety evaluation matters that enterprises take the initiative to carry out to improve their own safety production level shall be organized by the enterprises themselves.

2. Strict process management

(IV) Implement the disclosure of safety evaluation reports. Before disclosing the safety evaluation report, the parts involving state secrets, commercial secrets and personal privacy shall be declassified in accordance with regulations. First, safety evaluation agencies shall establish and implement a service disclosure and report disclosure system in accordance with the relevant provisions of the "Safety Production Law of the People's Republic of China", and disclose the statutory safety evaluation reports completed in the previous quarter on the website of the agency before the 15th of the first month of each quarter. Second, all types of enterprises, especially listed companies, are encouraged to actively disclose safety evaluation reports to the public as an important reference for fulfilling corporate social responsibility.

(V) Strengthen the local supervision of branches. Safety evaluation institutions and their branches should be managed in a full process and in an integrated manner. First, branches outside the province (autonomous region, municipality directly under the central government) of safety evaluation institutions must meet the requirements for professional competence in the corresponding business scope stipulated in the "Regulations on the Administration of Safety Evaluation, Testing and Inspection Institutions". Second, the maintenance of professional competence and practice of branches should be included in the supervision scope of their location. Third, safety evaluation institutions should establish and improve a process control management system covering branches, external experts, and third-party support units to form a complete and traceable evaluation process file.

(VI) Strictly manage the dynamic evaluation of qualifications. Qualification accreditation authorities should include the maintenance of the qualifications of the safety evaluation institutions they accredit in the annual supervision and inspection plan in accordance with the "Regulations on the Administration of Safety Evaluation, Testing and Inspection Institutions". During the supervision and inspection process, if it is found that the safety evaluation institution has issued an inaccurate safety evaluation report, its qualification maintenance status shall be extended to the inspection. If the qualification conditions are not met due to personnel changes, site changes, etc., the safety evaluation business shall not be carried out, and the organization shall be ordered to make corrections within a time limit. If the corrections are not made within the time limit, the scope of its qualifications shall be reduced or its safety evaluation qualifications shall be revoked in accordance with regulations and announced to the public to strictly prevent the safety evaluation institutions from operating in violation of regulations.

(VII) Implement credit management for safety evaluation. In accordance with the relevant requirements of the "Guiding Opinions of the General Office of the State Council on Further Improving the Dishonesty Constraint System and Building a Long-term Mechanism for Integrity Construction" (Guobanfa [2020] No. 49), credit management in the field of safety evaluation shall be implemented. First, the qualification accreditation authorities shall establish and implement systems such as credit evaluation, credit classification and classification supervision, credit incentives and punishments, and credit repair for safety evaluation institutions and practitioners in accordance with laws and regulations. Second, the Ministry of Emergency Management will rely on the information on safety evaluation institutions, practitioners, evaluation reports, and administrative penalties to improve the information query system for safety evaluation institutions and build a credit supervision platform for safety evaluation institutions and practitioners. Third, in accordance with the "Opinions of the CPC Central Committee and the State Council on Promoting Reform and Development in the Field of Work Safety", it is encouraged that third parties implement the credit evaluation system for safety evaluation institutions and strengthen credit constraints.

(VIII) Strengthen self-discipline in the safety evaluation industry. Encourage industry associations and societies to formulate industry rules and regulations, group standards, standardize professional behavior, and cultivate a healthy industry culture; encourage safety evaluation institutions to form industry self-discipline alliances, publicly make honest commitments to the society, and consciously resist malicious competition and other bad behaviors.

III. Strictly implement responsibilities

(IX) Implement the main responsibilities of construction units and production and operation units. First, when construction units and production and operation units entrust third parties to conduct safety evaluations, they must provide basic information truthfully, implement rectification suggestions, and be responsible for the integrity and authenticity of the information provided, and ensure that the responsibility for safe production still lies with the unit. If the safety evaluation report is false due to incomplete and untrue information provided by the construction unit and production and operation unit, the construction unit and production and operation unit shall bear the corresponding responsibility. Second, if the safety production conditions of the construction unit and production and operation unit have changed significantly and the safety evaluation has not been re-conducted in accordance with regulations, they shall be responsible for the relevant consequences. Third, construction units and production and operation units shall not entrust statutory evaluation projects to intermediary institutions that do not have the corresponding qualifications in the form of bundled bidding or package entrustment; in the contract signed with the safety evaluation agency, obtaining relevant safety production permits shall not be a contractual clause, and the qualified evaluation conclusion shall not be a performance payment clause. Fourth, in accordance with the "Decision of the State Council on the Third Batch of Cleaning up and Standardizing the Administrative Approval Intermediary Service Matters of the State Council Departments" (Guofa [2017] No. 8), during the design review of safety facilities for construction projects, the safety pre-evaluation report of metal smelting construction projects and coal mine construction projects can be prepared by the applicant himself or entrusted to relevant institutions. Construction units that prepare safety pre-evaluation reports on their own are responsible for the evaluation content and conclusions.

(X) Implement the direct responsibilities of safety evaluation agencies and practitioners. First, the safety evaluation agency shall truthfully reflect the actual situation of safety production to the entrusting party, issue objective and fair evaluation conclusions, and be responsible for the legality and authenticity of the safety evaluation report and conclusions. Second, if the safety assessment agency issues a false report that causes damage to others, it shall bear the liability for compensation according to law; if it rents qualifications, ties up with others, or issues a false report that causes damage to others, it shall bear joint and several liability for compensation with the production and operation unit. If it constitutes a crime, it shall be transferred to the judicial organs for criminal prosecution in accordance with the relevant provisions of the Criminal Law. Third, the person in charge of the safety assessment agency, the person in charge of technology, the person in charge of process control, and the leader of the project team shall strengthen the management of safety assessment activities and the control of the quality of the assessment report in accordance with the requirements of laws, regulations and standards. Fourth, the leader of the safety assessment project team shall organize on-site inspections and participate in the preparation of safety assessment reports throughout the process. The leader of the project team and the person in charge of the inspection shall conduct the inspection work at the actual site, record the on-site inspection situation truthfully, and retain on-site images and other supporting materials.

(XI) Implement the responsibility of the project review and licensing departments to check and control. In the review of the "three simultaneous" safety facilities of the construction project and the administrative license for production safety, if the relevant departments find that the safety assessment report contains false, untrue and other illegal and irregular situations, the safety assessment report shall not be accepted and the relevant administrative license shall not be passed. At the same time, according to industry regulations and management norms, the facts and circumstances of violations of laws and regulations shall be identified, and qualitative descriptions shall be made. Administrative penalties shall be implemented or transferred to the safety assessment agency qualification accreditation department for implementation in accordance with the law.

IV. Strictly investigate and punish violations of laws and regulations

(XII) Strictly punish violations of laws and regulations. First, if a safety assessment agency commits two or more violations of laws and regulations within one year, it shall be subject to key supervision. Second, if a safety assessment agency issues an untrue evaluation report (the determination of untrue evaluation reports is shown in Appendix 1), it shall be ordered to suspend business for rectification and be given administrative penalties in accordance with the law. It may continue to carry out safety assessment business only after acceptance by the qualification accreditation authority. Third, if a safety assessment agency issues a false report (the determination of false evaluation reports is shown in Appendix 2), the qualification accreditation authority shall revoke its qualifications in accordance with the law and announce it to the public, give administrative penalties in accordance with the law, and include the safety assessment agency and relevant responsible persons in the list of serious untrustworthy entities in production safety in accordance with regulations.

(XIII) Improve the investigation and punishment connection mechanism. First, the qualification accreditation authorities should improve the mechanism for transferring clues and filing cases of illegal safety evaluation behaviors, establish a linkage working mechanism between qualification accreditation and internal institutions such as industry safety supervision and administrative law enforcement, and impose administrative penalties in accordance with the law if it is found that production and operation units and safety evaluation institutions collude to commit fraud. It is necessary to strengthen the connection between administrative law enforcement and criminal justice, and promptly transfer cases suspected of crimes and criminal liability according to law to judicial organs for criminal prosecution in accordance with the law. Second, if the qualification accreditation authorities and regulatory departments find that the safety evaluation institutions have issued false or inaccurate reports, they should promptly notify the "three simultaneous" review of safety facilities of the construction project or the administrative licensing department for work safety, and re-examine the conditions for work safety licenses of the construction unit or production and operation unit to prevent the applicant from using false or inaccurate evaluation reports to defraud the license. Third, if a production and operation unit obtains relevant work safety licenses by using false safety evaluation reports, the relevant departments shall, while revoking the licensing decision in accordance with the law, impose penalties on the production and operation units, safety evaluation institutions and responsible personnel involved in accordance with the law.

(XIV) Smooth social supervision channels. The public is encouraged to report illegal and irregular behaviors in safety evaluation. Emergency management departments and coal mine safety production supervision departments should promptly investigate and handle relevant clues of problems transferred by the public through the safety production reporting system and other channels, and reward those that are verified to be true in accordance with relevant regulations. Encourage the media to dig out positive and negative examples in accordance with laws and regulations, and strengthen public opinion supervision of the safety evaluation service industry.

V. Strengthen organizational implementation

(XV) Improve institutional guarantees. In accordance with the relevant provisions of the "Safety Production Law of the People's Republic of China" and the "Amendment to the Criminal Law of the People's Republic of China (XI)", improve the "Safety Evaluation and Inspection Institutions Management Measures" and supporting systems, and continuously improve the safety evaluation technical standard system. Encourage local governments to introduce local laws, government regulations and standards based on actual supervision to create a good legal environment for the practice of safety evaluation institutions.

(XVI) Strengthen policy guidance. Cultivate a number of large-scale, strong, reputable and highly professional demonstration institutions in different industries. Encourage colleges and universities, scientific research institutes, enterprises and institutions to carry out basic theoretical research on safety evaluation, three-dimensional scene construction, risk assessment modeling, etc., continue to innovate evaluation methods, and promote the iterative upgrading of safety evaluation technical methods.

(XVII) Improve the effectiveness of supervision. Qualification accreditation authorities should conduct regular reviews of statutory safety evaluation reports, and regularly spot check the implementation of evaluation institutions' qualification maintenance and process control management; make full use of "Internet + supervision" means, adopt satellite positioning, face recognition, electronic fences and other technical means to improve supervision efficiency and promote the interconnection of supervision and law enforcement information. Strengthen the comprehensive evaluation of qualification accreditation authorities. For those who frequently engage in fraud in safety evaluation, lax qualification accreditation, and ineffective investigation and punishment of illegal and irregular behaviors, the Ministry of Emergency Management will take measures such as notification, interviews, and suspension of their qualification accreditation rights as appropriate.

(XVIII) Implement typical guidance. Emergency management departments and coal mine safety production supervision departments at all levels should make rectification of the professional behavior of safety evaluation institutions a regular task, maintain a high-pressure situation of combating illegal activities, summarize and expose typical cases of fraud, and continuously purify the safety evaluation service market; focus on promoting the demonstration practices of safety evaluation institutions in preventing and resolving major risks, assisting in eliminating accident hazards, and innovating evaluation technologies and methods, and continuously enhance the sense of professional honor of safety evaluation institutions and their practitioners, and effectively maintain the positive, healthy and orderly development of the industry.

Appendix: 1. Determination of false safety evaluation reports

2. Determination of false safety evaluation reports

Ministry of Emergency Management

September 29, 2023

Appendix 1

Determination of false safety evaluation reports

A safety evaluation report shall be deemed false if any of the following circumstances exist:

(i) In the safety status evaluation or acceptance evaluation report, the enterprise layout, process parameters, and surrounding environment do not match the actual situation during the evaluation period, affecting the evaluation conclusion;

(ii) Important areas, key equipment and facilities, main materials and buildings (structures), main safety facilities, important public auxiliary facilities, renovation (expansion) conditions, etc.

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(ii) Omissions or errors in description of important areas, key equipment and facilities, main materials and buildings (structures), main safety facilities, important public auxiliary facilities, renovation (expansion) conditions, etc., affecting the evaluation conclusions;

(iii) Omissions or errors in the main clauses of laws, regulations, and standards, or the use of abolished laws, regulations, and standards, affecting the evaluation conclusions;

(iv) The state's restricted or eliminated processes or equipment are not identified or are incorrectly identified, resulting in inaccurate evaluation conclusions;

(v) Failure to identify and classify major hazardous sources of hazardous chemicals or serious deviations, affecting the evaluation The evaluation report does not provide a conclusion on the evaluation;

(vii) There are safety production conditions that do not comply with the mandatory national and industry regulations, and the evaluation report omits items that are not evaluated;

(vii) There are major accident hazards listed in the industry's major production safety accident hazard determination standards, and the evaluation report omits items that are not evaluated;

(viii) The countermeasures and measures are inconsistent with the problems of the evaluated project;

(ix) The mining process of underground coal mines and the mining and stripping process of open-pit coal mines have not been clearly investigated;

(x) The main quantitative calculation and analysis required by the relevant documents and regulations of metal and non-metal mines is missing.

Appendix 2

Determination of false safety evaluation reports

A safety evaluation report shall be deemed false if any of the following circumstances exist:

(i) Deliberate falsification;

(ii) Fraud in important contents such as the surrounding environment, major buildings (structures), processes, devices, equipment and facilities, resulting in discrepancies with the actual situation during the evaluation period, affecting the evaluation conclusion;

(iii) Concealment of major accident hazards and rectification implementation of production and operation units, major disaster levels, etc., affecting the evaluation conclusion;

(iv) Forgery or tampering of relevant information, data, technical reports or conclusions of production and operation units, affecting the evaluation conclusion;

(v) Deliberate use of questionable third-party certification materials and monitoring and inspection reports, affecting the evaluation conclusion;

(vi) Other fraudulent acts that affect the evaluation conclusion.