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.)
(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。)
Announcement of the NDRC [2007] No.72
发改委公告 [2007] 第72号
PART ONE: GENERAL PROVISIONS
第一章 总 则
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.
第一条 为促进汽车产品技术进步，保护环境，推进节约能源和可持续发展，鼓励企业研究开发和生产新能源汽车，贯彻《汽车产业发展政策》，制定本规则。
Article 2: The National Development and Reform Commission (the NDRC) is responsible for the administration of the permission to produce alternative energy vehicles.
第二条 国家发展和改革委员会(以下简称国家发展改革委)负责新能源汽车生产准入管理工作。
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.
第三条 本规则所称生产准入管理是指企业法人申请，经国家发展改革委审核，准予生产新能源汽车产品的行为。
Article 4: Enterprises that engage in the manufacture of alternative energy vehicles in the People's Republic of China shall abide by these Rules.
第四条 在中华人民共和国境内从事制造新能源汽车的企业应当遵守本规则。
Article 5: These Rules shall govern the administration of the permission to produce in respect of alternative energy vehicle enterprises and products.
第五条 本规则适用于新能源汽车企业及产品的生产准入管理。
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.
第六条 本规则所称新能源汽车系指采用非常规的车用燃料作为动力来源(或使用常规的车用燃料、采用新型车载动力装置)，综合车辆的动力控制和驱动方面的先进技术，形成的技术原理先进、具有新技术、新结构的汽车。
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).
新能源汽车包括混合动力汽车、纯电动汽车(BEV，包括太阳能汽车)、燃料电池电动汽车(FCEV)、氢发动机汽车、其他新能源(如高效储能器、二甲醚)汽车等。
PART TWO: CLASSIFICATION OF ALTERNATIVE ENERGY VEHICLES AND METHODS OF ADMINISTRATION
第二章 新能源汽车分类及管理方式
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.
第七条 根据新能源汽车整车、系统及关键总成技术成熟程度、国家和行业标准完善程度以及产业化程度的不同，将其分为起步期、发展期、成熟期三个不同的技术阶段。
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.
起步期产品是指技术原理的实现路径尚处于前期研究阶段，缺乏国家和行业有关标准，尚未具备产业化条件的产品。
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.
发展期产品是指技术原理的实现路径基本明确，国家和行业标准尚未完善，初步具备产业化条件的产品。
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.
成熟期产品是指技术原理的实现路径清晰，产品技术和生产技术成熟，国家和行业标准基本完备，可以进入产业化阶段的产品。
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.
第八条 国家发展改革委商国家科技行政管理部门，聘任有关专家，组成新能源汽车专家委员会,负责确定和调整新能源汽车产品类别的技术阶段，提出适用于新能源汽车的专项技术条件和检验规范建议。
Article 9: Products at different technical stages shall be subject to different methods of administration.
第九条 对处于不同技术阶段的产品采取不同的管理方式。
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.
起步期产品只能进行小批量生产，在批准的区域、范围和条件下进行示范运行，并以适当的方式对全部车辆的运行状态进行实时监控。
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.
发展期产品允许进行批量生产，只能在批准的区域、期限、条件下销售、使用，并以适当的方式对销售车辆以不低于20%的比例进行运行状态实时监控。
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.
成熟期产品与常规汽车产品的公告管理方式相同，在销售、使用上与常规道路机动车辆相同。
PART THREE: QUALIFICATIONS FOR THE PRODUCTION OF ALTERNATIVE ENERGY VEHICLES
第三章 新能源汽车生产资格
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).
第十条 从事新能源汽车生产的企业，应当获得国家发展改革委的许可方能取得生产资格。新能源汽车生产企业及产品纳入国家发展改革委《车辆生产企业及产品公告》(以下简称《公告》)管理。
Article 11: The conditions for permission to produce alternative energy vehicles are set forth below:
第十一条 新能源汽车生产准入条件：
(1) complying with state laws, regulations, relevant rules, state industrial policy, and macroeconomic control policies;
(一)遵守国家法律、法规及有关规章和国家产业政策及宏观调控政策的规定；
(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;
(二)应当为《公告》内汽车整车生产企业或改装类商用车生产企业；新建汽车企业或现有汽车生产企业跨产品类别生产其他类别新能源汽车整车产品应按《汽车产业发展政策》的规定完成项目的核准或备案工作；
(3) having the production capacity commensurate with the production of the vehicle products it is to produce;
(三)具有与所生产车辆产品相适应的生产能力；
(4) having the capabilities to design and develop the products;
(四)具备产品的设计开发能力；
(5) having the capacity to sell and provide the after-sales services for the products;
(五)具备产品销售和售后服务能力；
(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
(六)所生产的车辆产品符合有关国家标准、规定、车辆产品定型试验规程、适用于新能源汽车的专项技术条件和检验规范的要求；
(7) having the capacity to ensure production consistency in the products.
(七)具备产品生产一致性保证能力。
The Conditions for Permission to Produce Alternative Energy Vehicles and Assessment Requirements (the Production Permission Conditions) are attached as Appendix One.
《新能源汽车生产准入条件及考核要求》(以下简称《生产准入条件》)见附件一。
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.
第十二条 生产准入考核的结论分为通过和不通过两种。经考核，符合生产准入条件规定的企业或产品为通过；反之，为不通过。
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.
企业通过新能源汽车生产准入考核，获得生产资格后，汽车整车生产企业可生产同类新能源汽车产品(指与《公告》中已有的常规车辆相同类别的产品，下同)；改装类商用车企业可自制底盘生产同类新能源汽车产品，但自制底盘仅限于本企业自用。
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.
第十三条 国家发展改革委委托中介机构进行新能源汽车生产准入的现场技术审查工作和产品技术审查工作。
Article 14: The testing of alternative energy vehicles shall be carried out by testing organizations recognized by state laboratories and designated by the NDRC.
第十四条 新能源汽车的产品检测工作，由经过国家试验室认可的、国家发展改革委指定的检测机构承担。
PART FOUR: ADMINISTRATION OF PRODUCERS AND PRODUCTS
第四章 生产企业及产品管理
Article 15: When an enterprise makes a filing for an alternative energy vehicle product, it shall submit the following information to the NDRC:
第十五条 企业在申报新能源汽车产品时，应当向国家发展改革委提供如下资料：
(1) a form for record filing for the main technical parameters and principal configuration and a testing plan;
(一)主要技术参数和主要配置备案表、试验方案；
(2) a description of the principles of the new technologies and new configuration relating to the alternative energy vehicle;
(二)新能源汽车相关的新技术、新结构原理说明；
(3) the enterprise standards or technical specifications for the product (including the whole vehicle and its power, drive and control systems);
(三)产品(包括整车及动力、驱动、控制系统)企业标准或技术规范；
(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
(四)产品(包括整车及动力、驱动、控制系统)检验规范(至少包括试验方法、判定准则、检验项目与样车对应表、路况及里程分配等)；
(5) other matters that require explanation.
(五)其他需要说明的情况。
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:
第十六条 企业申报的新能源汽车产品属于起步期或发展期产品的，申请资料还应当包括：
(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.);
(一)售后服务承诺(内容至少包括产品质量保证承诺、销售和售后服务区域范围、售后服务网络建设、对售后服务人员和产品使用人员的培训、售后服务项目及内容、备件的提供、质量保证期限、整车和零部件(如电池)回收、索赔处理、售后服务过程中发现问题的反馈、产品质量、安全、环保等方面出现严重问题时的召回措施等)；
(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
(二)拟销售区域的说明、产品使用地省级政府主管部门有关示范运行区域的批准文件；
(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).
(三)与拟使用单位签订的协议、使用单位车辆运行管理规定、使用数量说明(仅适用于起步期产品)。
Article 17: At the time of the initial filing for an alternative energy vehicle product, the enterprise shall additionally submit the following relevant materials:
第十七条 企业在首次申报新能源汽车新产品时，还应当提交下列有关资料：
(1) an Application for Permission to Produce Alternative Energy Vehicles (see Appendix Two); and
(一)《新能源汽车生产准入申请书》(见附件二)；
(2) a report on the self-assessment carried out by the enterprise in accordance with the requirements of the Production Permission Conditions.
(二)企业按照《生产准入条件》要求进行自我评估的报告。
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.
第十八条 对于首次申报新能源汽车产品的企业，国家发展改革委委托中介机构对企业提交的资料进行审查，必要时由中介机构组织专家对企业进行现场技术审查，并将审查结果上报国家发展改革委。
The specifics of, and the judgment principles for, onsite technical examinations shall be handled in accordance with the Production Permission Conditions.
现场技术审查内容和判定原则按照《生产准入条件》进行。
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.
第十九条 国家发展改革委对中介机构提交的生产准入审查报告进行审核，符合要求的在国家发展改革委网站上对其进行公示。
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.
第二十条 国家发展改革委根据中介机构上报的生产准入审查报告及公示结果，及时完成新能源汽车企业的审核工作，对符合生产准入条件的企业以《公告》形式公布；不符合生产准入条件的企业，原则上在6 个月后方可重新提出生产准入申请。
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.
第二十一条 企业上报的新能源汽车产品的技术资料，由中介机构进行审查，并确认试验方案。检测机构根据企业的委托，按照中介机构确认的试验方案对新能源汽车产品进行检验，并将检验报告提交中介机构。
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.
中介机构组织产品的技术审查，出具审查意见，对符合要求的产品，上报国家发展改革委。
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.
第二十二条 国家发展改革委对中介机构上报的产品审查意见进行审核，对符合要求的产品以《公告》的形式公布。
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.
第二十三条 生产起步期和发展期产品的企业应当按照售后服务承诺的内容，向使用者提供售后服务。企业应当为每一辆车建立相应的档案，并跟踪车辆运行情况，直至车辆停止使用或报废。
The producer of an initial stage product shall, together with the users, submit to the NDRC annual trial operation reports.
起步期产品的生产企业应当与使用者共同向国家发展改革委提交年度示范运行报告。
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.
第二十四条 生产企业如发现产品存在影响安全、环保、节能等严重问题，应当立即停止生产和销售相关车辆产品，对已销售车辆进行召回，并及时向国家发展改革委、产品使用地省级政府主管部门报告。
PART FIVE: SUPPLEMENTARY PROVISIONS
第五章 附 则
Article 25: Regulation of alternative energy vehicle producers and products shall be effected in accordance with relevant provisions on the administration of the Announcement.
第二十五条 对新能源汽车生产企业及产品的监督管理按照《公告》管理的有关规定执行。
Article 26: The NDRC is in charge of interpreting these Rules.
第二十六条 本规则由国家发展改革委负责解释。
Article 27: These Rules shall be effective as of November 1 2007.
第二十七条 本规则自2007 年11 月1 日起施行。
Appendices:
附件：
1. Conditions for Permission to Produce Alternative Energy Vehicles and Assessment Requirements
一、新能源汽车生产准入条件及考核要求
2. Application for Permission to Produce Alternative Energy Vehicles.
二、新能源汽车生产准入申请书
Appendix One
附件一：
CONDITIONS FOR PERMISSION TO PRODUCE ALTERNATIVE ENERGY VEHICLES AND ASSESSMENT REQUIREMENTS
| 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. |
Notes:
新能源汽车生产准入条件及考核要求
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.
一 | 2. Judgement principles: 生产能力和条件 |
1 | (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. 企业应当有必要的生产场地、存储场地或设施及适宜、整洁的生产环境。 |
2* | (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. 生产设备的加工精度和能力应当与产品特性要求相适合。 |
二 | 设计开发能力 |
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