Evaluation and Evaluation Method for the First (Set) Major Technical Equipment in the Energy Field

Guonengfa Technology [2022] No. 81

Chapter 1 General Provisions
Article 1: In order to implement the requirements of the "Opinions on Promoting the Demonstration and Application of the First (Set) Major Technical Equipment" (Development and Reform 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 and Technology [2018] No. 49), and to standardize the evaluation and evaluation of the first (Set) major technical equipment in the energy field, this method is formulated.
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 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, including the first three sets or the first three batches of 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 first major technical equipment list in the energy field. The evaluation referred to in these Measures refers to the evaluation of the demonstration effect of the first major technical equipment (set) in the energy field after one year of operation based on the project, and the proposal of evaluation opinions.

Article 4: The evaluation and evaluation of the first major technical equipment (set) in the energy field shall be organized and implemented by the National Energy Administration, mainly including application, commissioning of third-party institutions for evaluation, publicity, announcement, demonstration, and effectiveness evaluation.

Chapter 2 Work Procedures

Article 5: In principle, the first major technical equipment (set) in the energy field shall be declared by the user enterprise in conjunction with 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 declare it based on the breakthrough situation of the technical equipment.

Article 6: The energy regulatory departments of each province (autonomous region, municipality directly under the central government) and Xinjiang Production and Construction Corps shall be responsible for organizing the application work in their respective regions, determining the recommended list based on relevant industry plans, construction conditions, support policies, etc., and making it public. After that, the list shall be uniformly submitted to the National Energy Administration. The relevant technical equipment of central enterprises can be 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 review of the first major technical equipment in the energy field. The review 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 and equipment, form expert groups in different professional fields, hold review meetings, review the declared technical equipment, and form review opinions. If necessary, the company can organize a defense or on-site inspection.

（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 an official document.

Article 8: The National Energy Administration shall evaluate the feasibility of technical equipment and its supporting projects reviewed by third-party organizations in accordance with relevant documents such as industry planning and industrial policies.

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 in real name during the public notice period, and supporting materials for the issues raised should be provided. The objector is responsible for the authenticity of the provided materials.

Article 10: The objection decided to be accepted shall be forwarded by the National Energy Administration to the original third-party institution for investigation and verification of the content of the objection. If necessary, expert review shall be organized, and the review expert group shall be composed of the original review experts and relevant professional peer experts. If necessary, enterprise defense or on-site inspection may be organized. The National Energy Administration forms the final review opinion based on the opinions of third-party organizations.

Article 11: If the objection is found to be 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 objection 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 regularly updating it.

Chapter 3 Work Requirements

Article 13: The materials required for the application of the first major technical equipment (set) in the energy field include: introduction to the basic information 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 domestic and foreign technical equipment, main technical specifications and levels, operational safety risk assessment, scientific and technological achievement appraisal (or evaluation) materials, scientific and technological novelty report, independent intellectual property certificate, etc. For technical equipment that has not yet been applied or has been applied for less than six months, scientific and technological achievement identification (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 The specific format can be found in 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 application 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 review expert in the energy field must 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 must cover all relevant professional directions of the reviewed project, and the number of experts in the expert group shall not be less than 7. Experts in the previous technical scheme review shall be avoided.

Article 17: Energy technology equipment supported by relevant national science and technology projects and "short board" technology equipment in the energy field shall be prioritized for inclusion in the list of the first major technology equipment (set) in the energy field after evaluation.

Article 18: For major technological equipment urgently needed in the energy field, one may be evaluated based on the progress of technological equipment development.

Chapter 4 Supporting Policies

Article 19: The National Energy Administration shall actively coordinate with user enterprises to undertake the first major technological equipment demonstration task in the energy field based on user willingness.

Article 20: The first major technical equipment and its supporting projects in the energy field, including the first three sets or the first three batches of other energy projects that apply this technical equipment, shall enjoy the relevant support policies specified in the "Opinions on Promoting the Demonstration Application of the First Major Technical Equipment" (Development and Reform Industry [2018] No. 558) and the "Notice of the National Energy Administration on Promoting the Demonstration Application of the First Major Technical Equipment in the Energy Field" (National Energy Development and Reform Science 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 and the first major technological equipment insurance compensation mechanism to strengthen risk protection.

Chapter 5 Supervision and Evaluation

Article 22: The undertaking unit of the first major technical equipment (set) in the energy field shall timely report to the National Energy Administration on the implementation of the project and major issues affecting the project implementation. If the technical equipment relying on the project is determined, and from the date of the release of the first major technical equipment list in the energy field, if the construction of the supporting project is not started within three years and no reasons are reported, its first qualification will be automatically cancelled. If it is found that there are false declaration behaviors such as material fraud, the National Energy Administration will cancel its qualification for the first (set) major technical equipment in the energy field, and relevant units are not allowed to reapply within three years.

Article 23: After one year of operation of the first major technical equipment (set) in the energy field, the user unit shall cooperate with the technical equipment development unit and entrust a qualified and authoritative institution to carry out demonstration application self-evaluation, 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: 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 major technical equipment (set) in the energy field, and entrust a third-party organization to organize experts to evaluate the demonstration application of the first major technical equipment (set) in the energy field based on the self-evaluation report, and make the final evaluation opinion.

Article 25: The first major technical equipment (set) that has been successfully evaluated and demonstrated shall be included in the "Catalogue for the Promotion and Guidance of Energy Industry Technical Equipment", and relevant local governments and enterprises may promote and apply it in subsequent energy project construction based on this.

Chapter 6 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 Measures for the Evaluation and Evaluation of the First (Set) Major Technical Equipment in the Energy Field (Trial) shall be abolished simultaneously.