Evaluation and Assessment Method for the First Major Technical Equipment in the Energy Field
Guoneng Fa Technology [2022] No. 81
CHAPTER I GENERAL PROVISIONS
Article 1: In order to implement the requirements of documents such as the "Opinions on Promoting the Demonstration and Application of the First (Set) Major Technical Equipment" (NDRC Industry [2018] No. 558) and the "Notice of the National Energy Administration on Promoting the Demonstration and Application of the First (Set) Major Technical Equipment in the Energy Field" (National Energy Development Science and Technology [2018] No. 49), standardize the evaluation and assessment of the first (Set) major technical equipment in the energy field, and formulate these measures.
Article 2: Major technological equipment in the field of energy is a national treasure, which is related to comprehensive national strength and energy security. The first (set) major technological equipment in the energy field refers to the key technological equipment in the energy field that has achieved significant technological breakthroughs, has independent intellectual property rights, and has not yet achieved market performance in bulk domestically, including the first three (sets) or first three (batches) complete sets of equipment, complete equipment and core components, control systems, basic materials, software systems, etc.
Article 3: The evaluation referred to in these Measures refers to the examination of the declared energy technology equipment and the determination of the list of the first (set) major technology equipment in the energy field. The evaluation referred to in these measures refers to the evaluation of the demonstration effect and the submission of evaluation opinions after the first (set) of major technical equipment in the energy field has been put into operation for one year.
Article 4: The evaluation and assessment of the first major technical equipment in the energy field shall be organized and implemented by the National Energy Administration, mainly including application, commissioning third-party institutions for evaluation, publicity, announcement, demonstration, and effect evaluation.
Chapter 2 Work Procedure
Article 5: The first major technical equipment in the energy field shall be jointly developed by the user enterprise and the research and development unit. For technical equipment that has not yet been determined to rely on the project, the research and development unit shall apply based on the breakthrough situation of the technical equipment.
Article 6: The energy authorities of each province (autonomous region, municipality directly under the central government) and Xinjiang Production and Construction Corps are responsible for organizing the local declaration work, determining the recommended list based on relevant industry planning, engineering construction conditions, support policies, etc., and publicizing it, and then uniformly reporting it to the National Energy Administration. The relevant technical equipment of central enterprises is applied for synchronously by relying on the provincial energy regulatory department where the project is located and the headquarters of the central enterprise group.
Article 7: The National Energy Administration entrusts a third-party organization to organize the evaluation of the first major technical equipment in the energy field. The evaluation process is as follows:
（1） Third party organizations conduct formal review of application materials, and projects that pass the review enter the expert review stage.
（2） Third party organizations organize senior experts in the field of energy technology equipment, form expert groups in different professional fields, hold review meetings, evaluate the declared technical equipment, and form review opinions. We can organize corporate defense or on-site inspections as needed.
（3） After the review meeting, the third-party organization is responsible for forming written review opinions and submitting them to the National Energy Administration in a formal document.
Article 8: The National Energy Administration shall evaluate the feasibility of the technical equipment and its supporting projects evaluated by third-party institutions in accordance with industry planning, industrial policies, and other relevant documents.
Article 9: The National Energy Administration is responsible for publicizing the evaluation results. If there are any objections, they should be reported in writing to the National Energy Administration with real names within the public notice period, and supporting materials for the issues raised should be provided. The objector is responsible for the authenticity of the materials provided.
Article 10: Objections accepted shall be forwarded by the National Energy Administration to the original third-party organization for investigation and verification of the objection content. If necessary, an expert review shall be organized. The review expert group shall be composed of the original review experts and relevant professional peer experts, and may organize enterprise defense or on-site inspections as needed. The National Energy Administration forms the final review opinion based on the opinions of third-party organizations.
Article 11: If the objection is deemed unfounded or insufficient to affect the evaluation result of the first unit (set) after re examination, the original evaluation result shall be maintained; If the objection is deemed valid or there are other issues, it will not be included in the list of the first (set) major technical equipment in the energy field.
Article 12: After the public announcement of no objections or the completion of the relevant objection handling procedures, the National Energy Administration shall issue a list of the first (set) major technical equipment in the energy field in the form of a public announcement and be responsible for regular updates.
Chapter 3 Job Requirements
Article 13: The materials required for the application of the first (set) major technical equipment in the energy field include: introduction to the basic situation of the enterprise, research and development and after-sales support capabilities, independent innovation of technical equipment, scope of application of technical equipment, current development status and application prospects of technical equipment at home and abroad, main technical specifications and levels, operational safety risk assessment, scientific and technological achievement appraisal (or evaluation) materials, scientific and technological novelty search reports, proof of independent intellectual property rights, etc. For technical equipment that has not yet been applied or has been applied for less than six months, scientific and technological achievement appraisal (or evaluation) materials may not be provided. Instead, technical scheme review opinions or product testing (testing) reports issued by qualified third-party authoritative institutions shall be used as substitutes. [For specific format, please refer to the technical equipment application report (reference)]
Article 14: The application materials shall be organized in accordance with the above requirements, with complete content, clear format, and able to truthfully, accurately, and fully reflect the relevant information of the applying unit and technical equipment.
Article 15: The first major technological equipment in the energy field shall be evaluated from the following aspects: technological advancement, technological complexity, market promotion prospects, intellectual property situation, social and economic benefits, as well as manufacturing enterprise qualifications, research and development and production capabilities, quality and after-sales guarantee capabilities, etc.
Article 16: The first major technical equipment evaluation expert in the energy field is required to have a senior professional title and have been engaged in technical work in the relevant field for more than 10 years. The members of the expert group should cover all relevant professional directions of the evaluated project, with a minimum of 7 members, and avoid the previous technical scheme evaluation experts.
Article 17: Energy technology equipment and "short board" technology equipment in the energy field supported by relevant national scientific and technological projects shall be prioritized for inclusion in the list of the first (set) major technology equipment in the energy field after evaluation.
Article 18: For major technological equipment urgently needed in the energy field, one can be evaluated based on the progress of technological equipment research and development.
Chapter 4 Support Policies
Article 19: The National Energy Administration will actively coordinate user enterprises to undertake the demonstration task of the first major technical equipment in the energy field based on user willingness.
Article 20: The first (set) of major technical equipment in the energy field and its supporting projects, including other energy projects that apply the first three (sets) or the first three batches (times) of the technology equipment, shall enjoy the relevant support policies specified in the "Opinions on Promoting the Demonstration Application of the First (Set) of Major Technical Equipment" (NDRC Industry [2018] No. 558) and the "Notice of the National Energy Administration on Promoting the Demonstration Application of the First (Set) of Major Technical Equipment in the Energy Field" (National Energy Development and Technology [2018] No. 49).
Article 21: Encourage the demonstration units of the first major technological equipment in the energy field to use commercial insurance, compensation mechanisms for the first major technological equipment insurance, etc., to strengthen risk protection.
Chapter 5 Supervision and Evaluation
Article 22: The undertaking unit of the first (set) major technical equipment in the energy field shall promptly report the project implementation status and major issues affecting the project implementation to the National Energy Administration. If the technical equipment that relies on the project is not started within three years from the date of the release of the first (set) major technical equipment list in the energy field and the reasons are not reported, the qualification for the first (set) will be automatically cancelled. If it is found that there are fraudulent materials and other false declaration behaviors, the National Energy Administration will cancel its qualification for the first (set) major technical equipment in the energy field, and relevant units shall not apply again within three years.
Article 23: After one year of operation of the first (set) major technical equipment in the energy field, the user unit shall, in conjunction with the technical equipment research and development unit, entrust a qualified authoritative institution to conduct a self-evaluation of the demonstration application, form a self-evaluation report, and submit it to the National Energy Administration through the original provincial energy regulatory department. The self-evaluation content includes: relying on the completion status of the project, demonstration effect, operation status of technical equipment, safety and reliability evaluation, etc.
Article 24: The National Energy Administration shall timely organize the evaluation of the demonstration effect of the first (set) of major technical equipment in the energy field, entrust third-party institutions to organize experts, and based on the self-evaluation report, evaluate the demonstration and application of the first (set) of major technical equipment in the energy field, and make the final evaluation opinion.
Article 25: The first (set) of major technical equipment that has been successfully evaluated and demonstrated shall be included in the "Guidance Catalog for Promoting Energy Industry Technical Equipment", and relevant localities and enterprises may promote and apply it in subsequent energy project construction based on this.
CHAPTER VI SUPPLEMENTARY PROVISIONS
Article 26: These Measures shall be interpreted by the National Energy Administration.
Article 27: These Measures shall come into effect from the date of promulgation and shall be valid for five years. The "Evaluation and Assessment Measures for the First (Set) Major Technical Equipment in the Energy Field (Trial)" shall be simultaneously abolished.
enclosure:
1. Application Report for the First Major Technical Equipment in the Energy Sector (Reference)
