Codeofchina.com is in charge of this English translation. In case of any doubt about the English translation, the Chinese original shall be considered authoritative.
In May 2017, the Special Equipment Safety Supervision Bureau (hereinafter referred to as "the SESSB") of the former General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China (hereinafter referred to as “the former AQSIQ”) issued the drafting assignment of the Regulation for production licensing of special equipment (hereinafter referred to as the "Licensing Regulation") to China Special Equipment Inspection and Research Institute (hereinafter referred to as the "CSEIRI") in order to cooperate with the administrative licensing reform of special equipment and improve relevant supporting requirements. According to this assignment, a comprehensive safety technical regulation for production and filling licensing of special equipment shall be formed on the basis of the original licensing related regulations, normative documents, safety technical regulations and the revision of relevant equipment licensing rules and conditions that have been successively carried out in the previous period. In May 2017, the CSEIRI established a drafting team composed of relevant experts and held a working conference in Beijing to formulate a drafting scheme for the Licensing Regulation and determine the formulation principles, main issues, to-be-resolved key points and structural (clause) framework of the Licensing Regulation; it also established a comprehensive team and drafting groups for licensing conditions of various equipment, specifically divided the drafting works and specified the time schedule requirements. The Draft of Licensing Regulation was finalized in October 2017. After that, the drafting team of the Licensing Regulation and various groups held several working conferences according to the relevant requirements of the administrative licensing reform of special equipment and the adjustment of the licensing catalog, to revise and improve the contents of the draft. The Exposure Draft was finalized in January 2019. In February 2019, the State Administration of Market Supervision issued a public announcement to solicit opinions from basic departments, organizations concerned, experts and citizens, and reported to WTO/TBT at the same time. In March 2019, the drafting groups held separate meetings to study and discuss the opinions received, and then formed the Draft for Review through revision. The SESSB submitted the Draft for Review to the Special Equipment Safety and Energy Saving Technical Committee for review. The drafting group formed the Draft for Approval through revision and improvement according to the review opinions. On May 13, 2019, the Licensing Regulation was approved and issued by the State Administration for Market Regulation.
The Licensing Regulation is appropriately adjusted according to the requirements of laws, regulations and documents such as Special Equipment Safety Law, Administrative Licensing Law, Regulations on Safety Supervision of Special Equipment and Production Licensing Catalog of Special Equipment, on the basis of the original licensing conditions for various equipment, to unify the general conditions, procedures and requirements for production and filling licensing of special equipment, clarify the special licensing conditions for various special equipment and form a comprehensive regulation for production and filling licensing of special equipment.
Contents
Foreword i
1 General provisions 1
2 Licensing conditions 2
3 Licensing procedures and requirements 5
4 Supplementary provisions 14
Annex A Format of Production License of Special Equipment 17
Annex B Licensing conditions for production unit of boilers 21
Annex C Licensing conditions for pressure vessel production units and transportable pressure vessel filling units 37
Annex D Production and filling licensing conditions of cylinder 73
Annex E Licensing conditions for pressure pipeline production unit 99
Annex F Licensing conditions for production unit of safety accessories 141
Annex G Licensing conditions for elevator production unit 158
Annex H Licensing conditions for production unit of lifting appliance 175
Annex J Licensing conditions for production unit of passenger ropeways 194
Annex K Licensing conditions for production unit of large-scale amusement devices 211
Annex L License conditions for production unit of special purpose motor vehicles in defined fields 227
Annex M Basic requirements for quality assurance system of special equipment production unit 237
Regulation for production and filling licensing of special equipment
1 General provisions
1.1 Purpose and basis
The Regulation is formulated based on relevant laws and regulations such as Special Equipment Safety Law of the People's Republic of China, Administrative Licensing Law of the People's Republic of China and Regulations on Safety Supervision of Special Equipment to regulate the production (design, manufacturing, installation, reformation and repair) and filling licensing of special equipment.
1.2 Application scope
The Regulation is applicable to the design, manufacturing, installation, reformation, repair and filling licensing of special equipment used within the territory of the People's Republic of China.
1.3 Licensing entity
The entities performing the production and filling licensing of special equipment are the State Administration for Market Regulation and the department of provincial people's government in charge of the special equipment safety supervision and administration (the State Administration for Market Regulation, hereinafter referred to as “SAMR”, and the department of provincial people's government in charge of the special equipment safety supervision and administration, hereinafter referred to as the provincial special equipment safety supervision and administration department, are hereinafter collectively referred to as the issuing authority).
1.4 Licensing catalog
The categories, items, sub-items, parameters and levels (hereinafter collectively referred to as licensing scope) and the issuing authority of the production and filling licensing of special equipment are implemented in accordance with the Production Licensing Catalog of Special Equipment issued by the SAMR; the types, categories and varieties of equipment in licensing items and sub-items are implemented in accordance with the Special Equipment Catalog.
1.5 License and its validity period
The special equipment licenses include the "Production License of Special Equipment of the People's Republic of China” and the "Filling License of Transportable Pressure Vessel/Cylinder of the People's Republic of China" (hereinafter referred to as “licenses”, with formats shown in Annex A), of which, the validity period is 4 years.
2 Licensing conditions
2.1 General requirements
The applicant of production and filling license of special equipment (hereinafter referred to as the applicant) shall have legal qualification and the resources suitable for licensing scope, establish and effectively implement the quality assurance system and safety management system suitable for the licensing scope, and be equipped with the technical capability of ensuring the safety performance of special equipment.
2.1.1 Resources
The applicant shall have the following resources suitable for licensing scope and meeting the production needs:
(1) personnel, including management personnel, technical personnel, testing personnel, operating personnel, etc.;
(2) workplaces, including sites, factories, offices, warehouses, etc.;
(3) equipment and facilities, including production (filling) equipment, technological equipment, testing instruments, test apparatus, etc.;
(4) technical data, including design documents, technological documents, construction schemes, inspection procedures, etc.;
(5) regulations and standards, including laws, regulations, rules, safety technical regulations and relevant standards.
Specific resources and requirements are detailed in Annexes B~L of the Regulation respectively.
2.1.2 Quality assurance system
The applicant shall, in accordance with the requirements of the Regulation, establish a quality assurance system suitable for the licensing scope and implement it effectively; thereof, the quality assurance system of the special equipment manufacturing, installation, reformation and repair units shall conform to the requirements of Annex M "Basic requirements for quality assurance system of special equipment production unit", that of pressure vessel and pressure pipeline design units shall conform to the requirements of C1.4 and E1.4, and that of transportable pressure vessel and cylinder filling units shall conform to the requirements of C3.7 and D2.7.
2.1.3 Technical capability ensuring safety performance and filling safety of special equipment
The applicant shall be equipped with technical capability ensuring the safety performance and filling safety of special equipment, and carry out product design, manufacturing, installation, reformation, repair and filling activities in accordance with the requirements of the safety technical regulations for special equipment and relevant standards.
2.2 General requirements for resources
2.2.1 Personnel
The technical personnel in resources shall have professional education background in science and technology, obtain technical titles of relevant discipline and have relevant working experience.
The safety management personnel, testing personnel and operating personnel in resources, where included in the administrative licensing of special equipment, shall obtain the corresponding qualification certificate for special equipment personnel.
For the engineering and technical title requirements for personnel in resources, the personnel without corresponding engineering and technical title shall have corresponding academic qualification in science and technology and technical working years. See Table 2-1 for comparison between the engineering and technical titles and the academic qualification and technical working years.
Table 2-1 Comparison between the engineering and technical titles and the academic qualification and technical working years (Note 1)
Engineering and technical title Academic qualification and technical working years
Doctor graduate Master graduate Bachelor graduate Junior college graduate
Senior engineer Working for more than 4 years Working for more than 10 years Working for more than 13 years Working for more than 15 years
Engineer Working for more than 1 year Working for more than 4 years Working for more than 7 years Working for more than 9 years
Assistant engineer — Working for more than 1 year Working for more than 2 years Working for more than 3 years
Note 1: technical work refers to the work related to the production, filling, inspection, testing, use and management of corresponding special equipment. The senior technician and technician may be equivalent to engineer and assistant engineer respectively; the technical working year requirements for graduates from technical secondary school may be implemented by reference to those of junior college graduates.
2.2.2 Lease of workplaces, equipment and facilities
2.2.2.1 Workplaces
The sites, factories, offices and warehouses of the production and filling units may be leased. If the workplace is leased, the parties shall sign a lease contract, of which, the lease term shall cover the validity period of the applied license; moreover, the lessor's land use certificate and property ownership certificate or other valid certificates issued by the land management department shall be provided.
2.2.2.2 Equipment and facilities
Generally, the production (filling) equipment (except the lifting equipment attached to the factories), technological equipment, testing instruments and test apparatus required by resources of the production and filling units are not allowed to be leased. Any other requirements in Annexes B~L, if available, shall prevail.
2.2.3 Outsourcing (subcontracting)
(1) The outsourcing of works such as design, material pretreatment, heat treatment, non-destructive testing and physical and chemical inspection shall meet the requirements of Annexes B~L;
(2) Where outsourcing is allowed, the entrusted unit shall be equipped with corresponding capability. The non-destructive testing and the design of pressure vessel and pressure pipeline shall be outsourced to the unit (organization) having obtained corresponding qualification for special equipment, but shall not be outsourced to its own inspection organization in charge of supervision, inspection and type test; the entrusting unit shall sign a contract (agreement) with the entrusted unit to determine the specific items and detailed requirements of the outsourcing; the entrusting unit is responsible for the quality control of outsourcing and incorporates into the control scope of its quality assurance system.
(3) For the works to be outsourced, the personnel and equipment resources directly related to the outsourced work are not required. Any other requirements in Annexes B~L, if available, shall prevail; the entrusting unit shall be equipped with responsible personnel of corresponding quality control system (if subjected to the quality control system requirements).
2.2.4 Conditions sharing
2.2.4.1 The same unit
(1) For the same applicant applying for different licensing items, the corresponding licensing conditions specified in Annexes B~L are allowed to be shared;
(2) Where the same licensing sub-item product is jointly completed in multiple manufacturing addresses (Note 2) of the same applicant, the sum of resources of such addresses shall meet the licensing conditions specified in Annexes B~L (any other requirements in Annexes B~L, if available, shall prevail), and a unified quality assurance system shall be established.
Note 2: multiple manufacturing addresses shall comply with the requirements of 3.2.2.
2.2.4.2 Companies and subsidiaries (companies and branches)
(1) For a company applying for a license, with the consent of its subsidiary, the subsidiary may be specified as a manufacturing address in the license, but may not apply for a license separately, and the licensing conditions specified in Annexes B~L may be shared; if a company and its subsidiary apply for licenses separately, the licensing conditions specified in Annexes B~L may not be shared;
(2) A company and its branch, where engaged in relevant licensing activities, may apply for a license in the name of the company or separately; when applying for a license in the name of the branch, the branch shall be authorized by the company legal person; if a company applies for a license with its branch as resource, the branch address shall be specified in the license, and the licensing conditions specified in Annexes B~L may be shared; if a company and its branch apply for licenses separately, the licensing conditions specified in Annexes B~L may not be shared;
(3) The situations described in Items (1) and (2) of this article, when involving multiple manufacturing addresses, shall also meet the requirements of 2.2.4.1(2).
Foreword i
1 General provisions
2 Licensing conditions
3 Licensing procedures and requirements
4 Supplementary provisions
Annex A Format of Production License of Special Equipment
Annex B Licensing conditions for production unit of boilers
Annex C Licensing conditions for pressure vessel production units and transportable pressure vessel filling units
Annex D Production and filling licensing conditions of cylinder
Annex E Licensing conditions for pressure pipeline production unit
Annex F Licensing conditions for production unit of safety accessories
Annex G Licensing conditions for elevator production unit
Annex H Licensing conditions for production unit of lifting appliance
Annex J Licensing conditions for production unit of passenger ropeways
Annex K Licensing conditions for production unit of large-scale amusement devices
Annex L License conditions for production unit of special purpose motor vehicles in defined fields
Annex M Basic requirements for quality assurance system of special equipment production unit
Codeofchina.com is in charge of this English translation. In case of any doubt about the English translation, the Chinese original shall be considered authoritative.
In May 2017, the Special Equipment Safety Supervision Bureau (hereinafter referred to as "the SESSB") of the former General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China (hereinafter referred to as “the former AQSIQ”) issued the drafting assignment of the Regulation for production licensing of special equipment (hereinafter referred to as the "Licensing Regulation") to China Special Equipment Inspection and Research Institute (hereinafter referred to as the "CSEIRI") in order to cooperate with the administrative licensing reform of special equipment and improve relevant supporting requirements. According to this assignment, a comprehensive safety technical regulation for production and filling licensing of special equipment shall be formed on the basis of the original licensing related regulations, normative documents, safety technical regulations and the revision of relevant equipment licensing rules and conditions that have been successively carried out in the previous period. In May 2017, the CSEIRI established a drafting team composed of relevant experts and held a working conference in Beijing to formulate a drafting scheme for the Licensing Regulation and determine the formulation principles, main issues, to-be-resolved key points and structural (clause) framework of the Licensing Regulation; it also established a comprehensive team and drafting groups for licensing conditions of various equipment, specifically divided the drafting works and specified the time schedule requirements. The Draft of Licensing Regulation was finalized in October 2017. After that, the drafting team of the Licensing Regulation and various groups held several working conferences according to the relevant requirements of the administrative licensing reform of special equipment and the adjustment of the licensing catalog, to revise and improve the contents of the draft. The Exposure Draft was finalized in January 2019. In February 2019, the State Administration of Market Supervision issued a public announcement to solicit opinions from basic departments, organizations concerned, experts and citizens, and reported to WTO/TBT at the same time. In March 2019, the drafting groups held separate meetings to study and discuss the opinions received, and then formed the Draft for Review through revision. The SESSB submitted the Draft for Review to the Special Equipment Safety and Energy Saving Technical Committee for review. The drafting group formed the Draft for Approval through revision and improvement according to the review opinions. On May 13, 2019, the Licensing Regulation was approved and issued by the State Administration for Market Regulation.
The Licensing Regulation is appropriately adjusted according to the requirements of laws, regulations and documents such as Special Equipment Safety Law, Administrative Licensing Law, Regulations on Safety Supervision of Special Equipment and Production Licensing Catalog of Special Equipment, on the basis of the original licensing conditions for various equipment, to unify the general conditions, procedures and requirements for production and filling licensing of special equipment, clarify the special licensing conditions for various special equipment and form a comprehensive regulation for production and filling licensing of special equipment.
Contents
Foreword i
1 General provisions 1
2 Licensing conditions 2
3 Licensing procedures and requirements 5
4 Supplementary provisions 14
Annex A Format of Production License of Special Equipment 17
Annex B Licensing conditions for production unit of boilers 21
Annex C Licensing conditions for pressure vessel production units and transportable pressure vessel filling units 37
Annex D Production and filling licensing conditions of cylinder 73
Annex E Licensing conditions for pressure pipeline production unit 99
Annex F Licensing conditions for production unit of safety accessories 141
Annex G Licensing conditions for elevator production unit 158
Annex H Licensing conditions for production unit of lifting appliance 175
Annex J Licensing conditions for production unit of passenger ropeways 194
Annex K Licensing conditions for production unit of large-scale amusement devices 211
Annex L License conditions for production unit of special purpose motor vehicles in defined fields 227
Annex M Basic requirements for quality assurance system of special equipment production unit 237
Regulation for production and filling licensing of special equipment
1 General provisions
1.1 Purpose and basis
The Regulation is formulated based on relevant laws and regulations such as Special Equipment Safety Law of the People's Republic of China, Administrative Licensing Law of the People's Republic of China and Regulations on Safety Supervision of Special Equipment to regulate the production (design, manufacturing, installation, reformation and repair) and filling licensing of special equipment.
1.2 Application scope
The Regulation is applicable to the design, manufacturing, installation, reformation, repair and filling licensing of special equipment used within the territory of the People's Republic of China.
1.3 Licensing entity
The entities performing the production and filling licensing of special equipment are the State Administration for Market Regulation and the department of provincial people's government in charge of the special equipment safety supervision and administration (the State Administration for Market Regulation, hereinafter referred to as “SAMR”, and the department of provincial people's government in charge of the special equipment safety supervision and administration, hereinafter referred to as the provincial special equipment safety supervision and administration department, are hereinafter collectively referred to as the issuing authority).
1.4 Licensing catalog
The categories, items, sub-items, parameters and levels (hereinafter collectively referred to as licensing scope) and the issuing authority of the production and filling licensing of special equipment are implemented in accordance with the Production Licensing Catalog of Special Equipment issued by the SAMR; the types, categories and varieties of equipment in licensing items and sub-items are implemented in accordance with the Special Equipment Catalog.
1.5 License and its validity period
The special equipment licenses include the "Production License of Special Equipment of the People's Republic of China” and the "Filling License of Transportable Pressure Vessel/Cylinder of the People's Republic of China" (hereinafter referred to as “licenses”, with formats shown in Annex A), of which, the validity period is 4 years.
2 Licensing conditions
2.1 General requirements
The applicant of production and filling license of special equipment (hereinafter referred to as the applicant) shall have legal qualification and the resources suitable for licensing scope, establish and effectively implement the quality assurance system and safety management system suitable for the licensing scope, and be equipped with the technical capability of ensuring the safety performance of special equipment.
2.1.1 Resources
The applicant shall have the following resources suitable for licensing scope and meeting the production needs:
(1) personnel, including management personnel, technical personnel, testing personnel, operating personnel, etc.;
(2) workplaces, including sites, factories, offices, warehouses, etc.;
(3) equipment and facilities, including production (filling) equipment, technological equipment, testing instruments, test apparatus, etc.;
(4) technical data, including design documents, technological documents, construction schemes, inspection procedures, etc.;
(5) regulations and standards, including laws, regulations, rules, safety technical regulations and relevant standards.
Specific resources and requirements are detailed in Annexes B~L of the Regulation respectively.
2.1.2 Quality assurance system
The applicant shall, in accordance with the requirements of the Regulation, establish a quality assurance system suitable for the licensing scope and implement it effectively; thereof, the quality assurance system of the special equipment manufacturing, installation, reformation and repair units shall conform to the requirements of Annex M "Basic requirements for quality assurance system of special equipment production unit", that of pressure vessel and pressure pipeline design units shall conform to the requirements of C1.4 and E1.4, and that of transportable pressure vessel and cylinder filling units shall conform to the requirements of C3.7 and D2.7.
2.1.3 Technical capability ensuring safety performance and filling safety of special equipment
The applicant shall be equipped with technical capability ensuring the safety performance and filling safety of special equipment, and carry out product design, manufacturing, installation, reformation, repair and filling activities in accordance with the requirements of the safety technical regulations for special equipment and relevant standards.
2.2 General requirements for resources
2.2.1 Personnel
The technical personnel in resources shall have professional education background in science and technology, obtain technical titles of relevant discipline and have relevant working experience.
The safety management personnel, testing personnel and operating personnel in resources, where included in the administrative licensing of special equipment, shall obtain the corresponding qualification certificate for special equipment personnel.
For the engineering and technical title requirements for personnel in resources, the personnel without corresponding engineering and technical title shall have corresponding academic qualification in science and technology and technical working years. See Table 2-1 for comparison between the engineering and technical titles and the academic qualification and technical working years.
Table 2-1 Comparison between the engineering and technical titles and the academic qualification and technical working years (Note 1)
Engineering and technical title Academic qualification and technical working years
Doctor graduate Master graduate Bachelor graduate Junior college graduate
Senior engineer Working for more than 4 years Working for more than 10 years Working for more than 13 years Working for more than 15 years
Engineer Working for more than 1 year Working for more than 4 years Working for more than 7 years Working for more than 9 years
Assistant engineer — Working for more than 1 year Working for more than 2 years Working for more than 3 years
Note 1: technical work refers to the work related to the production, filling, inspection, testing, use and management of corresponding special equipment. The senior technician and technician may be equivalent to engineer and assistant engineer respectively; the technical working year requirements for graduates from technical secondary school may be implemented by reference to those of junior college graduates.
2.2.2 Lease of workplaces, equipment and facilities
2.2.2.1 Workplaces
The sites, factories, offices and warehouses of the production and filling units may be leased. If the workplace is leased, the parties shall sign a lease contract, of which, the lease term shall cover the validity period of the applied license; moreover, the lessor's land use certificate and property ownership certificate or other valid certificates issued by the land management department shall be provided.
2.2.2.2 Equipment and facilities
Generally, the production (filling) equipment (except the lifting equipment attached to the factories), technological equipment, testing instruments and test apparatus required by resources of the production and filling units are not allowed to be leased. Any other requirements in Annexes B~L, if available, shall prevail.
2.2.3 Outsourcing (subcontracting)
(1) The outsourcing of works such as design, material pretreatment, heat treatment, non-destructive testing and physical and chemical inspection shall meet the requirements of Annexes B~L;
(2) Where outsourcing is allowed, the entrusted unit shall be equipped with corresponding capability. The non-destructive testing and the design of pressure vessel and pressure pipeline shall be outsourced to the unit (organization) having obtained corresponding qualification for special equipment, but shall not be outsourced to its own inspection organization in charge of supervision, inspection and type test; the entrusting unit shall sign a contract (agreement) with the entrusted unit to determine the specific items and detailed requirements of the outsourcing; the entrusting unit is responsible for the quality control of outsourcing and incorporates into the control scope of its quality assurance system.
(3) For the works to be outsourced, the personnel and equipment resources directly related to the outsourced work are not required. Any other requirements in Annexes B~L, if available, shall prevail; the entrusting unit shall be equipped with responsible personnel of corresponding quality control system (if subjected to the quality control system requirements).
2.2.4 Conditions sharing
2.2.4.1 The same unit
(1) For the same applicant applying for different licensing items, the corresponding licensing conditions specified in Annexes B~L are allowed to be shared;
(2) Where the same licensing sub-item product is jointly completed in multiple manufacturing addresses (Note 2) of the same applicant, the sum of resources of such addresses shall meet the licensing conditions specified in Annexes B~L (any other requirements in Annexes B~L, if available, shall prevail), and a unified quality assurance system shall be established.
Note 2: multiple manufacturing addresses shall comply with the requirements of 3.2.2.
2.2.4.2 Companies and subsidiaries (companies and branches)
(1) For a company applying for a license, with the consent of its subsidiary, the subsidiary may be specified as a manufacturing address in the license, but may not apply for a license separately, and the licensing conditions specified in Annexes B~L may be shared; if a company and its subsidiary apply for licenses separately, the licensing conditions specified in Annexes B~L may not be shared;
(2) A company and its branch, where engaged in relevant licensing activities, may apply for a license in the name of the company or separately; when applying for a license in the name of the branch, the branch shall be authorized by the company legal person; if a company applies for a license with its branch as resource, the branch address shall be specified in the license, and the licensing conditions specified in Annexes B~L may be shared; if a company and its branch apply for licenses separately, the licensing conditions specified in Annexes B~L may not be shared;
(3) The situations described in Items (1) and (2) of this article, when involving multiple manufacturing addresses, shall also meet the requirements of 2.2.4.1(2).
Contents of TSG 07-2019
Foreword i
1 General provisions
2 Licensing conditions
3 Licensing procedures and requirements
4 Supplementary provisions
Annex A Format of Production License of Special Equipment
Annex B Licensing conditions for production unit of boilers
Annex C Licensing conditions for pressure vessel production units and transportable pressure vessel filling units
Annex D Production and filling licensing conditions of cylinder
Annex E Licensing conditions for pressure pipeline production unit
Annex F Licensing conditions for production unit of safety accessories
Annex G Licensing conditions for elevator production unit
Annex H Licensing conditions for production unit of lifting appliance
Annex J Licensing conditions for production unit of passenger ropeways
Annex K Licensing conditions for production unit of large-scale amusement devices
Annex L License conditions for production unit of special purpose motor vehicles in defined fields
Annex M Basic requirements for quality assurance system of special equipment production unit
