Rules for the Administration of Permission to Produce Alternative Energy Vehicles
新能源汽车生产准入管理规则
The Rules specify the qualifications for production of alternative energy vehicles and the administration of the vehicle production enterprises and products.
(Promulgated by the National Development and Reform Commission on October 17 2007 and effective as of November 1 2007.)
Announcement of the NDRC [2007] No.72
PART ONE: GENERAL PROVISIONS
Article 1: These Rules have been formulated in order to promote progress in motor vehicle technologies, protect the environment, promote energy conservation and sustainable development, encourage enterprises to research, develop and produce alternative energy vehicles and thoroughly implement the Development Policy for the Motor Vehicle Industry.
Article 2: The National Development and Reform Commission (the NDRC) is responsible for the administration of the permission to produce alternative energy vehicles.
Article 3: For the purposes of these Rules, the phrase “administration of the permission to produce” means the act whereby an enterprise legal person submits an application and, after review by the NDRC, is granted permission to produce alternative energy vehicles.
Article 4: Enterprises that engage in the manufacture of alternative energy vehicles in the People's Republic of China shall abide by these Rules.
Article 5: These Rules shall govern the administration of the permission to produce in respect of alternative energy vehicle enterprises and products.
Article 6: For the purposes of these Rules, the term “alternative energy vehicle” means a vehicle that applies advanced technical principles, that has new technologies and a new configuration, and that is created by using a non-conventional motor vehicle fuel as its power source (or using conventional motor vehicle fuel with a new type of power device) and comprehensive advanced vehicle power control and drive technology.
Alternative energy vehicles include hybrid power vehicles, battery electric vehicles (BEV, including solar energy vehicles), fuel cell electric vehicles (FCEV), hydrogen engine vehicles and other alternative energy vehicles (e.g. vehicles with highly efficient accumulators and dimethyl ether vehicles).
PART TWO: CLASSIFICATION OF ALTERNATIVE ENERGY VEHICLES AND METHODS OF ADMINISTRATION
Article 7: Technical stages are divided into the initial stage, development stage and mature stage based on the degree of maturity of the technology in the whole vehicle, its systems and key assemblies, the degree of comprehensiveness of the state and industry standards and the degree of commercialization.
The term “initial stage product” means a product whose technical principles are still in the early stages of research, and that lacks relevant state and industry standards and is still not ready for commercialization.
The term “development stage product” means a product whose technical principles are essentially well understood, that the state and industry standards therefor still need improvement, and that meets the preliminary conditions for commercialization.
The term “mature stage product” means a product whose technical principles are clear, whose product technology and production technology are mature, that the state and industry standards therefor are essentially complete, and that is ready for commercialization.
Article 8: The NDRC, in consultation with the state's science and technology administrative department, shall engage relevant experts to comprise an alternative energy vehicle panel of experts responsible for determining and adjusting the technical stages of types of alternative energy vehicle products and giving recommendations on the technical conditions and inspection standards applicable to such vehicles.
Article 9: Products at different technical stages shall be subject to different methods of administration.
Initial stage products may be produced only in small quantities, be operated on a trial basis within the approved area and scope and under the approved conditions and the operational state of all the vehicles shall be subject to real time monitoring by an appropriate method.
Development stage products shall be permitted to be produced in mass, may only be sold and used in the approved area, for the approved period of time and under the approved conditions and the operational state of not less than 20% of the vehicles sold shall be subject to real time monitoring by an appropriate method.
The administration method by announcement for mature stage products shall be identical to that for conventional vehicles and in terms of sale and use shall be identical to conventional road motor vehicles.
PART THREE: QUALIFICATIONS FOR THE PRODUCTION OF ALTERNATIVE ENERGY VEHICLES
Article 10: An enterprise wishing to engage in the production of alternative energy vehicles shall obtain permission to do so from the NDRC before it can obtain the production qualifications. alternative energy vehicle producers and products shall be subject to administration by inclusion in the NDRC's Vehicle Producer and Product Announcement (the Announcement).
Article 11: The conditions for permission to produce alternative energy vehicles are set forth below:
(1) complying with state laws, regulations, relevant rules, state industrial policy, and macroeconomic control policies;
(2) being an whole vehicle producer or a converted commercial vehicle producer included in the Announcement; a newly established motor vehicle enterprise or an existing motor vehicle producer that wishes to cross product lines to produce an assembled alternative energy vehicle product of another type shall complete project check and approval or record-filing procedures in accordance with the Development Policy for the Motor Vehicle Industry;
(3) having the production capacity commensurate with the production of the vehicle products it is to produce;
(4) having the capabilities to design and develop the products;
(5) having the capacity to sell and provide the after-sales services for the products;
(6) its produced vehicle products satisfying the requirements of state standards and provisions, rules for vehicle product type testing, and specific technical conditions and inspection standards applicable to alternative energy vehicles; and
(7) having the capacity to ensure production consistency in the products.
The Conditions for Permission to Produce Alternative Energy Vehicles and Assessment Requirements (the Production Permission Conditions) are attached as Appendix One.
Article 12: The conclusions of the assessment of the permission to produce are divided into pass or fail. Following assessment, an enterprise or product that satisfies the conditions for the permission to produce shall be deemed to have passed, and one that does not shall be deemed to have failed.
Once an enterprise has passed the assessment of permission to produce alternative energy vehicles and obtained its production qualifications, it may produce alternative energy vehicles of the same type (here and hereinafter refers to products that are of the same type as the conventional vehicles already in the Announcement), if it is a whole vehicle producer, or, if it is a converted commercial vehicle enterprise, it may itself manufacture chassis to produce alternative energy vehicles of the same type; however, the self-manufactured chassis may only be used by the enterprise itself.
Article 13: The NDRC shall entrust intermediary organizations to conduct onsite technical examinations and product technical examinations for the permission to produce alternative energy vehicles.
Article 14: The testing of alternative energy vehicles shall be carried out by testing organizations recognized by state laboratories and designated by the NDRC.
PART FOUR: ADMINISTRATION OF PRODUCERS AND PRODUCTS
Article 15: When an enterprise makes a filing for an alternative energy vehicle product, it shall submit the following information to the NDRC:
(1) a form for record filing for the main technical parameters and principal configuration and a testing plan;
(2) a description of the principles of the new technologies and new configuration relating to the alternative energy vehicle;
(3) the enterprise standards or technical specifications for the product (including the whole vehicle and its power, drive and control systems);
(4) the inspection specifications (which shall at minimum include the testing method, judgment rules, comparison of control vehicle and tested items, road conditions and mileage distribution, etc.) for the product (including the whole vehicle and its power, drive and control systems); and
(5) other matters that require explanation.
Article 16: If an alternative energy vehicle product for which an enterprise is making a filing is an initial stage product or development stage product, the following shall additionally be included among the application materials:
(1) an after-sales service undertaking (which shall at minimum include a product quality warranty undertaking, the geographical scope of the sales and after-sales services, establishment of the after-sales service network, training of the after-sales service personnel and product users, the after-sales service items and the details thereof, provision of spare parts, quality warranty term, recovery of whole vehicles and parts and components (e.g. batteries), handling of claims, feedback on issues uncovered in the course of the provision of after-sales services, recall measures in the event that severe product quality, safety, environmental protection or other such issues arise, etc.);
(2) a description of the territory where the sales are to be made and the approval document from the competent provincial level governmental department of the place where the product is to be used concerning the trial operation territory; and
(3) the agreement executed with the work unit that intends to use the vehicles, the vehicle operation management provisions of the work unit and a statement on the number of vehicles it intends to use (applicable only to initial stage products).
Article 17: At the time of the initial filing for an alternative energy vehicle product, the enterprise shall additionally submit the following relevant materials:
(1) an Application for Permission to Produce Alternative Energy Vehicles (see Appendix Two); and
(2) a report on the self-assessment carried out by the enterprise in accordance with the requirements of the Production Permission Conditions.
Article 18: With respect to an enterprise making its first filing for an alternative energy vehicle product, the NDRC will entrust an intermediary organization to examine the materials submitted by the enterprise (when necessary, the intermediary organization shall arrange for experts to conduct an onsite technical examination of the enterprise) and submit the results of its examination to the NDRC.
The specifics of, and the judgment principles for, onsite technical examinations shall be handled in accordance with the Production Permission Conditions.
Article 19: The NDRC will review the production permission examination report submitted by the intermediary organization and, if the requirements are satisfied, it will announce the same on its website.
Article 20: The NDRC will complete its review of the alternative energy vehicle enterprise in a timely manner based on the production permission examination report submitted by the intermediary organization and the announcement results. Enterprises that satisfy the conditions for the permission to produce will be announced by way of the Announcement whereas those that do not satisfy the conditions may not, in principle, submit another application for six months.
Article 21: The technical information on an alternative energy vehicle product submitted by an enterprise shall be examined by the intermediary organization, which shall confirm the testing plan. As appointed by the enterprise, the testing organization shall test the alternative energy vehicle product based on the testing plan confirmed by the intermediary organization and submit the testing report to the intermediary organization.
The intermediary organization shall arrange for the technical examination of the product, issue an opinion upon examination and submit the same to the NDRC if the product satisfies the requirements.
Article 22: The NDRC will review the opinion upon examination of the product submitted by the intermediary organization and, if the product satisfies the requirements, it will announce the same by way of the Announcement.
Article 23: An enterprise that produces an initial stage product or development stage product shall provide after-sales services to users in accordance with its after-sales service undertakings. The enterprise shall open a file for each vehicle and track the operation of such vehicles until they are no longer used or are decommissioned.
The producer of an initial stage product shall, together with the users, submit to the NDRC annual trial operation reports.
Article 24: If a producer discovers a serious issue in a product that jeopardizes safety, environmental protection, energy saving, etc., it shall promptly cease production and sale of the relevant vehicle product, recall those that have been sold and timely submit a report to the NDRC and the competent department of the provincial level government of the place where the product is used.
PART FIVE: SUPPLEMENTARY PROVISIONS
Article 25: Regulation of alternative energy vehicle producers and products shall be effected in accordance with relevant provisions on the administration of the Announcement.
Article 26: The NDRC is in charge of interpreting these Rules.
Article 27: These Rules shall be effective as of November 1 2007.
Appendices:
1. Conditions for Permission to Produce Alternative Energy Vehicles and Assessment Requirements
2. Application for Permission to Produce Alternative Energy Vehicles.
Appendix One
CONDITIONS FOR PERMISSION TO PRODUCE ALTERNATIVE ENERGY VEHICLES AND ASSESSMENT REQUIREMENTS
(国家发展和改革委员会于二零零七年十月十七日发布，自二零零七年十一月一日起实施。)
| A | Production Capacity and Conditions |
| 1 | The enterprise should have the necessary production premises, storage premises or facilities and a suitable and tidy production environment. |
| 2* | The processing precision and capacity of the production equipment should match the requirements in respect of the product's features. |
| B | Design and Development Capabilities |
| 3 | The enterprise should establish a product research and development organization responsible for all the work during the design and development of an alternative energy vehicle product. It should have the professional technical personnel suitable for the design and development work, be capable of keeping up with the newest domestic and foreign developments in alternative energy vehicle technologies in a timely manner, be capable of tracking, evaluating and applying state and industry technical standards and regulations and be capable of completing system development, whole vehicle matching and other such tasks. |
| 4 | The enterprise should formulate design specifications and operational guidelines that are appropriate to its design and development work process and for guiding the specific design work. They should, at minimum, cover products embodying its own intellectual property and the entire whole vehicle design process, technical document management, standardization, etc., and be applicable during the course of actual work. |
| 5* | The enterprise should, at minimum, have mastery of the core technology of the onboard energy system, drive system or control system of alternative energy vehicles. |
| 6* | The enterprise should have the trial manufacturing capabilities appropriate for the whole alternative energy vehicles, systems and key assemblies that it produces. |
| 7 | The design and development inputs in the products and manufacturing process should be sufficient and appropriate. The design and development outputs from the products and manufacturing process should be put forward in a manner that is capable of verifying the design inputs, and they should be evaluated, verified and confirmed, and the relevant records should be kept. |
| 8 | Before effecting variations in the design of the product and/or the manufacturing process (including variations arising due to suppliers), a new evaluation (including an evaluation of the impact of the design variations on the component parts of the product and on the products that have already been delivered), verification and approval should be carried out, and, when appropriate, the customers' consent should be obtained. Furthermore, the requirements of production consistency and product traceability need to be satisfied. |
| C | Capacity to Ensure Production Consistency |
| 9 | Persons who have a role in product quality should have the appropriate capabilities and carry out their work in strict accordance with the procedure documents, operational guidelines or the relevant process documents. The enterprise should establish and implement a system for evaluating and assessing the capabilities of its personnel and keep appropriate records. |
| 10 | The enterprise should prepare testing rules or testing guidelines for important purchase testing, process testing and final testing, carry out the testing and verification based on the specified items, methods, frequencies and limits, and pay special attention to compliance with safety, environmental protection and energy saving regulations, special customer requirements and requirements in respect of specific test items relevant to alternative energy vehicles. The enterprise should prepare operational guidelines for key procedures and special processes, clarify process requirements and control methods, regulate operations and implement process monitoring and measurement. |
| 11 | The enterprise should establish a complete product traceability system covering the range from the suppliers of key parts, components and assemblies to the finished vehicle leaving the plant. If a major generalized problem in the product relating to quality, safety, environmental protection, energy saving, etc., arises, the system should permit rapid ascertainment of the reason and determination of the scope of the recall. When a customer requires repairs or spare parts, it should permit rapid determination of the technical status of the required parts. |
| 12* | The products (whole vehicles, parts, components and assemblies) should satisfy the requirements of state mandatory standards and confirmed technical specifications. Products that have entered the regular production stage should additionally satisfy the requirement of production consistency. In the event that the enterprise's capacity to ensure production consistency (including personnel capabilities, production/testing equipment, procured raw materials, parts, components and assemblies, and the suppliers thereof, production processes, work environment, management system, etc.) undergoes a major change, there must be sufficient evidence showing that the products can still satisfy the original requirements. |
| D | Product Sales and After-Sales Services |
| 13 | The enterprise should establish a complete documented sales and after-sales service management system, which includes personnel training (the enterprise's own personnel, outside sales persons and repair personnel and personnel of the customer or user), establishment of the sales and after-sales service network, provision of repair services, provision of spare parts, claims handling, information feedback, whole vehicle recall, recovery of whole vehicles, parts and components (e.g. batteries), customer management, etc., and have the capabilities to implement such system. The requirements with respect to the establishment of a sales and after-sales network apply only to mature stage products. |
| 14 | The repair services and provision of spare parts should satisfy all customer requirements and be capable of ensuring that reliable parts, repairs and information services are provided to the customers during the life of the product and the service period undertaken by the enterprise. The after-sales service undertakings for initial stage products and development stage products should be sufficient and appropriate, be clearly communicated to all relevant parties and be strictly performed. |
| 15 | The enterprise should establish a prompt quality information feedback mechanism. For a product in the initial stage or development stage, the enterprise should create a file for each vehicle, track the use of such vehicles and manage information on vehicle quality. |
发改委公告 [2007] 第72号
Notes:
1. The requirements in respect of production conditions in the table are divided into two types, general and essential. Those marked with an asterisk are essential items.
2. Judgement principles:
(1) In an onsite assessment, satisfaction of the requirements of all the essential items and dissatisfaction of not more than 20% of the requirements of the general items is considered a pass.
(2) If the results of the onsite assessment fail to meet the requirements of Item (1) of this note, the applicant may, within two months, attempt rectification of those items that failed to meet requirements. If, after verification, the requirements of Item (1) of this note are found to be satisfied, the enterprise will be deemed to have passed the assessment. If it is verified that the requirements of Item (1) are not satisfied, the enterprise will be deemed to have failed and may only apply again after a lapse of six months. Verification of rectification will be carried out only once.
第一章 总 则
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