| Order of the National Development and Reform Commission | | 国家发展和改革委员会令 |
| (No. 6) | | （第6号） |
| | 依据《中华人民共和国节约能源法》和《国务院关于加强节能工作的决定》，为加强固定资产投资项目节能管理，特制定《固定资产投资项目节能评估和审查暂行办法》，现予发布施行。 |
| | 国家发展和改革委员会主任：张平 |
| | 二〇一〇年九月十七日 |
| Interim Regulations on Energy Efficiency Assessment and Examination with Respect to Fixed-Asset Investment Projects | | 固定资产投资项目节能评估和审查暂行办法 |
| Chapter One General Provisions | | 第一章 总则 |
| Article 1 These Regulations are formulated pursuant to the Energy Efficiency Law of the People's Republic of China and the Decision of the State Council on the Strengthening of Energy Saving Efforts in order to enhance energy efficiency management on fixed asset investment projects, promote the scientific and rational use of energies, curb energy waste at the source and improve energy use efficiency. | | 第一条 为加强固定资产投资项目节能管理，促进科学合理利用能源，从源头上杜绝能源浪费，提高能源利用效率，根据《中华人民共和国节约能源法》和《国务院关于加强节能工作的决定》，制定本办法。 |
| Article 2 These Regulations shall apply to any fixed asset investment projects that are constructed within China under the management of the development and reform departments of the people's governments at various levels. | | 第二条 本办法适用于各级人民政府发展改革部门管理的在我国境内建设的固定资产投资项目。 |
| Article 3 The term "Energy Efficiency Assessment" as mentioned herein shall mean the acts of conducting analysis and evaluation on whether any energy use in fixed asset investment projects is scientific and rational and preparing energy efficiency assessment reports and statements (hereinafter "Energy Efficiency Assessment Documents") or filling in energy efficiency registration forms. | | 第三条 本办法所称节能评估，是指根据节能法规、标准，对固定资产投资项目的能源利用是否科学合理进行分析评估，并编制节能评估报告书、节能评估报告表（以下统称节能评估文件）或填写节能登记表的行为。 |
| The term "Energy Efficiency Document Examination" as mentioned herein shall mean the acts of examining Energy Efficiency Assessment Documents for projects and issuing opinions based on the examination or filing energy efficiency registration forms. | | 本办法所称节能审查，是指根据节能法规、标准，对项目节能评估文件进行审查并形成审查意见，或对节能登记表进行登记备案的行为。 |
| Article 4 The Energy Efficiency Assessment Documents for fixed asset investment projects and the opinions based on the examination, energy efficiency registration forms and opinions about registration and filing in relation thereto shall constitute preconditions for project examination, approval or construction commencement and a major basis for project design, construction and acceptance of completed construction. | | 第四条 固定资产投资项目节能评估文件及其审查意见、节能登记表及其登记备案意见，作为项目审批、核准或开工建设的前置性条件以及项目设计、施工和竣工验收的重要依据。 |
| With respect to those fixed asset investment projects that have failed to receive energy efficiency examination or have failed to be accepted upon energy efficiency examination pursuant to these Regulations, the project examination or approval authorities shall not grant approval to the same, the construction entities shall not commence construction, and any completed construction shall not be put into production or operation. | | 未按本办法规定进行节能审查，或节能审查未获通过的固定资产投资项目，项目审批、核准机关不得审批、核准，建设单位不得开工建设，已经建成的不得投入生产、使用。 |
| Chapter Two Energy Efficiency Assessment | | 第二章 节能评估 |
| Article 5 Energy Efficiency Assessment for fixed asset investment projects shall be managed by classifying them into different types according to the annual energy consumption after the projects are constructed and put into operation. | | 第五条 固定资产投资项目节能评估按照项目建成投产后年能源消费量实行分类管理。 |
| (1) With respect to those fixed asset investment projects with an annual total energy consumption of more than 3,000 ton standard coal (inclusive, with the equivalent value taken as the electricity conversion coefficient, the same hereinafter), or with an annual electricity consumption of more than 5 million kilowatts, or an annual oil consumption of more than 1,000 tons, or an annual natural gas consumption of 1 million cubic meters, separate Energy Efficiency Assessment Reports shall be prepared. | | （一）年综合能源消费量3000吨标准煤以上（含3000吨标准煤，电力折算系数按当量值，下同），或年电力消费量500万千瓦时以上，或年石油消费量1000吨以上，或年天然气消费量100万立方米以上的固定资产投资项目，应单独编制节能评估报告书。 |
| (2) With respect to fixed asset investment projects with an annual total energy consumption of 1,000-3,000 ton standard coal (excluding 3000 tons, the same hereinafter), or with an annual electricity consumption of 2-5 million kilowatts, or with an annual oil consumption of 500-1000 tons, or with an annual natural gas consumption of 500,000-1,000,000 cubic meters, separate energy efficiency assessment statements shall be prepared. | | （二）年综合能源消费量1000至3000吨标准煤（不含3000吨，下同），或年电力消费量200万至500万千瓦时，或年石油消费量500至1000吨，或年天然气消费量50万至100万立方米的固定资产投资项目，应单独编制节能评估报告表。 |
| With respects to projects other than set forth in the preceding paragraphs, energy efficiency registration forms shall be completed. | | 上述条款以外的项目，应填写节能登记表。 |
| Article 6 Energy Efficiency Assessment Reports for fixed asset investment projects shall contain the following items: | | 第六条 固定资产投资项目节能评估报告书应包括下列内容： |
| (1) The basis for assessment; | | （一）评估依据； |
| (2) An overview of the project; | | （二）项目概况； |
| (3) Energy supply assessment, including the energy resource conditions of the place where the project is located and an assessment of the impact of the project on the local energy consumption; | | （三）能源供应情况评估，包括项目所在地能源资源条件以及项目对所在地能源消费的影响评估； |
| (4) Energy efficiency assessment for the project construction plan, including the energy efficiency assessment in relation to project site selection, overall layout, production processes, energy use technologies and equipment. | | （四）项目建设方案节能评估，包括项目选址、总平面布置、生产工艺、用能工艺和用能设备等方面的节能评估； |
| (5) Energy consumption and energy efficiency assessment for the project, including the analysis and assessment with respect to energy consumption quantity, energy consumption structure, energy use efficiency and so forth. | | （五）项目能源消耗和能效水平评估，包括能源消费量、能源消费结构、能源利用效率等方面的分析评估； |
| (6) Energy-saving measure assessment, including the assessment of technical measures and management measures; | | （六）节能措施评估，包括技术措施和管理措施评估； |
| (7) Existing problems and suggestions; | | （七）存在问题及建议； |
| (8) Conclusion. | | （八）结论。 |
| The energy efficiency documents and energy efficiency registration forms shall be prepared in accordance with the requirements for content depth and format as set forth herein. | | 节能评估文件和节能登记表应按照本办法附件要求的内容深度和格式编制。 |
| Article 7 The construction entities for fixed asset investment projects shall engage competent institutions to prepare Energy Efficiency Assessment Documents. The project construction entities may complete the energy efficiency registration forms on their own. | | 第七条 固定资产投资项目建设单位应委托有能力的机构编制节能评估文件。项目建设单位可自行填写节能登记表。 |
| Article 8 The expenses for the preparation of Energy Efficiency Assessment Documents for fixed asset investment projects shall be included in the budget estimate for the projects pursuant to relevant State regulations. | | 第八条 固定资产投资项目节能评估文件的编制费用执行国家有关规定，列入项目概预算。 |
| Chapter Three Energy Efficiency Document Examination | | 第三章 节能审查 |
| Article 9 Energy efficiency document examination with respect to fixed asset investment projects shall be managed by classifying them into different types according to project administration authority. With respect to projects to be examined and submitted by the State Development and Reform Commission to the State Council for approval and projects subject to examination or approval by the State Development and Reform Commission, the State Development and Reform Commission shall be responsible for the energy efficiency document examination in relation to such projects. With respect to projects to be examined or approved by, filed with or submitted by the development and reform departments of local people's governments to the people's governments of the same level for examination and approval, the development and reform departments of local people's governments shall be responsible for the energy efficiency document examination in relation to such projects. | | 第九条 固定资产投资项目节能审查按照项目管理权限实行分级管理。由国家发展改革委核报国务院审批或核准的项目以及由国家发展改革委审批或核准的项目，其节能审查由国家发展改革委负责；由地方人民政府发展改革部门审批、核准、备案或核报本级人民政府审批、核准的项目，其节能审查由地方人民政府发展改革部门负责。 |
| Article 10 With respect to fixed asset investment projects subject to examination and approval under relevant regulations, the construction entities shall, at the same time of submitting the feasibility study reports or project application reports, submit the Energy Efficiency Assessment Documents for examination or energy efficiency registration forms for record filing. | | 第十条 按照有关规定实行审批或核准制的固定资产投资项目，建设单位应在报送可行性研究报告或项目申请报告时，一同报送节能评估文件提请审查或报送节能登记表进行登记备案。 |
| With respect to fixed asset investment projects for which the record filing system shall be implemented in accordance with relevant regulations of the provincial people's governments, energy efficiency assessment and examination shall be conducted pursuant to the relevant regulations of the provincial people's governments at the places where the projects are located. | | 按照省级人民政府有关规定实行备案制的固定资产投资项目，按照项目所在地省级人民政府有关规定进行节能评估和审查。 |
| Article 11 Upon receipt of the Energy Efficiency Assessment Documents for the projects, the examination authority shall engage relevant institutions to review the same and issue opinions that shall constitute a major basis for energy efficiency document examination. | | 第十一条 节能审查机关收到项目节能评估文件后，要委托有关机构进行评审，形成评审意见，作为节能审查的重要依据。 |
| The reviewing institutions that have accepted the engagement shall provide their opinions about the assessment within the period specified by the energy efficiency document examination authority. At the time of conducting the assessment, the assessment institutions may require the project construction entities to provide explanation or supplementary materials for relevant issues. | | 接受委托的评审机构应在节能审查机关规定的时间内提出评审意见。评审机构在进行评审时，可以要求项目建设单位就有关问题进行说明或补充材料。 |
| Article 12 The expenses for the review of Energy Efficiency Assessment Documents for fixed asset investment projects shall be put in place by the public finance department of the same level as the energy efficiency document examination authority in the amount specified by relevant rules of the State. | | 第十二条 固定资产投资项目节能评估文件评审费用应由节能审查机关的同级财政安排，标准按照国家有关规定执行。 |
| Article 13 The energy efficiency document examination authority shall conduct the examination of the Energy Efficiency Assessment Documents under the following terms: | | 第十三条 节能审查机关主要依据以下条件对项目节能评估文件进行审查： |
| (1) Proper application of the laws, regulations, standards, specifications, policies and so forth that govern the energy efficiency assessment; | | （一）节能评估依据的法律、法规、标准、规范、政策等准确适用； |
| (2) Compliance of the content depth of Energy Efficiency Assessment Documents; | | （二）节能评估文件的内容深度符合要求； |
| (3) Objectivity and Accuracy of the analysis of energy use in projects, scientificity of the assessment methods and the correctness of the assessment conclusions; and | | （三）项目用能分析客观准确，评估方法科学，评估结论正确； |
| (4) Reasonableness and feasibility of the measures and suggestions presented in the Energy Efficiency Assessment Documents. | | （四）节能评估文件提出的措施建议合理可行。 |
| Article 14 The energy efficiency document examination authority shall issue opinions about the energy efficiency document examination within 15 working days from receipt of the Energy Efficiency Assessment Reports for Fixed Asset Investment Projects and within 10 working days from receipt of the energy efficiency assessment statements, and shall carry out record filing formalities within 5 working days from receipt of the energy efficiency registration forms. | | 第十四条 节能审查机关应在收到固定资产投资项目节能评估报告书后15个工作日内、收到节能评估报告表后10个工作日内形成节能审查意见，应在收到节能登记表后5个工作日内予以登记备案。 |
| The time spent on the authorized review of the Energy Efficiency Assessment Documents shall not be counted in the period of examination as set forth in the preceding paragraph, and the time for energy efficiency document examination (including authorized review) shall not exceed the specified period for project examination and approval. | | 节能评估文件委托评审的时间不计算在前款规定的审查期限内，节能审查（包括委托评审）的时间不得超过项目审批或核准时限。 |
| Article 15 The energy efficiency document examination opinions for fixed asset investment projects shall be printed and distributed together with project examination or approval documents. | | 第十五条 固定资产投资项目的节能审查意见，与项目审批或核准文件一同印发。 |
| Article 16 If new application is filed for examination and approval or for the extension of the valid term of the approval document with respect to fixed asset investment projects, new energy efficiency document examination shall be conducted contemporaneously or the examination and approval of the energy examination opinions shall be postponed. | | 第十六条 固定资产投资项目如申请重新审批、核准或申请核准文件延期，应一同重新进行节能审查或节能审查意见延期审核。 |
| Chapter Four Supervision and Penalty | | 第四章 监管和处罚 |
| Article 17 In the process of the design, construction and operation of fixed asset investment projects, the energy efficiency document examination authority shall be responsible for supervising and examining the implementation of the Energy Efficiency Assessment Documents and energy efficiency assessment opinions, energy efficiency registration forms and record filing opinions | | 第十七条 在固定资产投资项目设计、施工及投入使用过程中，节能审查机关负责对节能评估文件及其节能审查意见、节能登记表及其登记备案意见的落实情况进行监督检查。 |
| Article 18 If any construction entity causes the energy efficiency assessment to be approved through improper means such as splitting up projects or providing fraudulent materials, the energy efficiency document examination authority shall cancel the energy efficiency document examination opinions or energy efficiency record filing opinions for the project, and the project examination and approval authority shall cancel the approval of the project. | | 第十八条 建设单位以拆分项目、提供虚假材料等不正当手段通过节能审查的，由节能审查机关撤销对项目的节能审查意见或节能登记备案意见，由项目审批、核准机关撤销对项目的审批或核准。 |
| Article 19 If any institution for the preparation of energy assessment documents resorts to falsification, causing the content of Energy Efficiency Assessment Documents to be misleading, the energy efficiency document examination authority shall order it to make correction and impose sanctions according to law. | | 第十九条 节能评估文件编制机构弄虚作假，导致节能评估文件内容失实的，由节能审查机关责令改正，并依法予以处罚。 |
| Article 20 If any personnel in charge of energy efficiency review, examination and acceptance causes the review conclusion to be seriously misleading or the energy efficiency document examination to be approved through irregular means due to exploitation of their position for corrupt or improper ends, abuse their official powers or dereliction of duty, administrative sanctions shall be imposed on such personnel. If crimes are constituted, they shall be prosecuted for criminal liabilities according to law. | | 第二十条 负责节能评审、审查、验收的工作人员徇私舞弊、滥用职权、玩忽职守，导致评审结论严重失实或违规通过节能审查的，依法给予行政处分；构成犯罪的，依法追究刑事责任。 |
| Article 21 If any personnel in charge of project examination and approval arbitrarily and in violation of these Regulations approve any fixed asset investment projects that have failed to receive energy efficiency document examination or failed to receive approval for energy efficiency document examination, administrative sanctions shall be imposed on such personnel. If crimes are constituted, they shall be prosecuted for criminal liabilities according to law. | | 第二十一条 负责项目审批或核准的工作人员，对未进行节能审查或节能审查未获通过的固定资产投资项目，违反本办法规定擅自审批或核准的，依法给予行政处分；构成犯罪的，依法追究刑事责任。 |
| Article 22 If any fixed asset investment projects that fail to receive energy efficiency assessment and examination or fail to receive approval for energy efficiency document examination commence construction or put into operation or use without approval, the energy efficiency document examination authority shall order the construction, production or use to be ceased and the projects to be reconstructed within a specified period. With respect to any manufacturing projects that are unable to be reconstructed or fail to be reconstructed within the specified period, the energy efficiency document examination authority shall request the people's government at the same level to order the same to be closed according to regulations of the State Council and hold relevant responsible people liable therefor. | | 第二十二条 对未按本办法规定进行节能评估和审查，或节能审查未获通过，擅自开工建设或擅自投入生产、使用的固定资产投资项目，由节能审查机关责令停止建设或停止生产、使用，限期改造；不能改造或逾期不改造的生产性项目，由节能审查机关报请本级人民政府按照国务院规定的权限责令关闭；并依法追究有关责任人的责任。 |
| Chapter Five Supplementary Provisions | | 第五章 附则 |
| Article 23 The development and reform departments of the provincial people's governments may formulate detailed implementing procedures pursuant to the Energy Conservation Law of the People's Republic of China, the Decision of the State Council on Strengthening Energy Saving Efforts and these Regulations. | | 第二十三条 省级人民政府发展改革部门，可根据《中华人民共和国节约能源法》、《国务院关于加强节能工作的决定》和本办法，制定具体实施办法。 |
| Article 24 The State Development and Reform Commission shall be responsible for interpreting these Regulations. | | 第二十四条 本办法由国家发展和改革委员会负责解释。 |
| Article 25 These Regulations shall be effective as of November 1, 2010. | | 第二十五条 本办法自2010年11月1日起施行。附件1： |
| | 固定资产投资项目节能评估报告书 |
| | 内容深度要求 |
| | 一、评估依据 |
| | 相关法律、法规、规划、行业准入条件、产业政策，相关标准及规范，节能技术、产品推荐目录，国家明令淘汰的用能产品、设备、生产工艺等目录，以及相关工程资料和技术合同等。 |
| | 二、项目概况 |
| | （一）建设单位基本情况。建设单位名称、性质、地址、邮编、法人代表、项目联系人及联系方式，企业运营总体情况。 |
| | （二）项目基本情况。项目名称、建设地点、项目性质、建设规模及内容、项目工艺方案、总平面布置、主要经济技术指标、项目进度计划等（改、扩建项目需对项目原基本情况进行说明）。 |
| | （三）项目用能概况。主要供、用能系统与设备的初步选择，能源消耗种类、数量及能源使用分布情况（改、扩建项目需对项目原用能情况及存在的问题进行说明）。
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