GB/T 40064-2021 English PDF (GB/T40064-2021)

GB/T 40064-2021: Assessment guidelines for energy saving technology
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GB/T 40064-2021
GB
NATIONAL STANDARD OF THE
PEOPLE’S REPUBLIC OF CHINA
ICS 27.010
CCS F 01
Assessment guidelines for energy saving technology
ISSUED ON: APRIL 30, 2021
IMPLEMENTED ON: NOVEMBER 01, 2021
Issued by: State Administration for Market Regulation;
Standardization Administration of the People’s Republic of
China.
Table of Contents
Foreword ... 3 
1 Scope ... 4 
2 Normative references ... 4 
3 Terms and definitions ... 4 
4 General principles ... 4 
5 Assessment contents ... 5 
6 Assessment methods ... 6 
7 Assessment procedures ... 6 
8 Assessment requirements ... 7 
9 Assessment conclusion verification ... 11 
References ... 12 
Assessment guidelines for energy saving technology
1 Scope
This document specifies the general principles, assessment contents,
assessment methods, assessment procedures, assessment requirements, and
verification of assessment conclusions for energy saving technology.
This document applies to the implementation of energy saving technology
assessment.
2 Normative references
The contents of the following documents constitute the indispensable clauses
of this document through normative references in the text. For dated references,
only the version corresponding to that date is applicable to this document; for
undated references, the latest version (including all amendments) is applicable
to this document.
GB/T 13234, Determination of energy savings in organizations
GB/T 28750, General technical rules for measurement and verification of
energy savings
GB/T 32045, Guidance on implementation of measurement and verification
of energy savings
3 Terms and definitions
There are no terms and definitions that need to be defined in this document.
4 General principles
The assessment of energy saving technology shall comply with the following
requirements.
a) Based on true and reliable information and data, use scientific assessment
methods, to put forward assessment conclusions that are in line with
reality.
b) Completely record the calculation method, data source, and assessment
process to facilitate the review and verification of the results.
calculation methods of economic benefit assessment can refer to the
requirements of GB/T 13471 and GB/T 32039.
f) Applicability assessment. The industries and application scenarios to which
the technology is applicable under typical conditions shall be assessed.
6 Assessment methods
The following applicable methods can be used for energy saving technology
assessment.
a) Standard control method. Assess relevant energy saving technologies
against relevant energy saving laws and regulations, industrial policies,
standards and norms.
b) Analogy analysis method. Compare and analyze the leading energy
efficiency level with the application cases of comparable technologies of
the same kind; assess related energy saving technologies.
c) Expert judgment method. Use expert experience, knowledge and skills to
assess relevant energy saving technologies; experts are responsible for
the results of the review.
7 Assessment procedures
The procedures of energy saving technology assessment include: formulating
assessment work plans, collecting data, determining assessment indicator
systems, technical reviews (including necessary investigations or tests),
forming assessment conclusions and reports, and verifying assessment
conclusions. See Figure 1 for the assessment flow chart.
h) Other relevant requirements.
During the assessment process, the assessment work plan can be revised
according to the actual situation; the revision of the assessment work plan shall
be recorded in detail.
8.2 Collect data
The organization that conducts the assessment shall, according to the
characteristics of the technology and the assessment work plan, collect relevant
information for assessment, including:
a) Basic information of the technology provider, including name, address,
contact information;
b) Basic technical information, including technical name, scope of application;
c) Technical principles, including key technical methods, technological
processes, main technical and economic parameters;
d) Law and regulation requirements or standard specifications which are
related to the technology and its application;
e) Relevant technical appraisal, technical identification, intellectual property
certification;
f) Data related to typical application cases, including energy consumption
data, operating data, inspection and monitoring data, economic data and
its calculation process;
g) Relevant data and materials on advanced technologies, analogy cases at
home and abroad;
h) Other necessary documents.
8.3 Determine assessment indicator system
8.3.1 The organization that conducts the assessment shall develop a targeted
assessment indicator system based on the characteristics of energy saving
technologies and the assessment work plan.
The first-level indicators of the assessment indicator system should include
compliance indicators, energy-saving capability indicators, technical reliability
indicators, technical advancement indicators, and economic benefit indicators.
The contents of the first-level indicators are as follows:
a) Compliance indicators include compliance with laws, regulations, policies
or mandatory standards;
8.4.3 When necessary, the organization that conducts the assessment may
adopt methods such as defense and inquiries; the technology provider shall
explain the energy saving technology and application status.
8.4.4 When necessary, the organization that conducts the assessment may
conduct on-site investigations or tests to verify the integrity and accuracy of the
energy saving technology data, and to understand the actual application of the
energy saving technology.
8.4.5 The organization that conducts the assessment may invite external
experts to form an assessment team to conduct technical reviews.
8.5 Assessment conclusion and report
8.5.1 The organization that conducts the assessment shall, based on the results
of the technical review, form an assessment conclusion and issue an
assessment report.
8.5.2 The assessment conclusion can be a conformity assessment conclusion
or a technical-level assessment conclusion.
The conformity assessment conclusion shall give a conclusion on whether the
technology is an energy saving technology.
The technical-level assessment conclusion can be based on the difference
between the technical indicators and the benchmark value; the energy saving
technical-level assessment conclusion can be given through different
assessment levels. The assessment level can be divided into leading energy
saving technology, advanced energy saving technology and general energy
saving technology.
8.5.3 The assessment report should include the following:
a) Basic information of related parties, including relevant information of
technology providers and organizations that conduct the assessment;
b) Detailed information of the energy saving technology, including technical
principles and content, relevant technical appraisal, technical identification,
intellectual property certification, typical application cases;
c) Preparation of the assessment work, including preparation of assessment
work plan, data collection;
d) Assessment indicator system and its determination basis;
e) Technology applicable industries and application scenarios;
f) Technical review and assessment conclusions;
GB/T 40064-2021
GB
NATIONAL STANDARD OF THE
PEOPLE’S REPUBLIC OF CHINA
ICS 27.010
CCS F 01
Assessment guidelines for energy saving technology
ISSUED ON: APRIL 30, 2021
IMPLEMENTED ON: NOVEMBER 01, 2021
Issued by: State Administration for Market Regulation;
Standardization Administration of the People’s Republic of
China.
Table of Contents
Foreword ... 3 
1 Scope ... 4 
2 Normative references ... 4 
3 Terms and definitions ... 4 
4 General principles ... 4 
5 Assessment contents ... 5 
6 Assessment methods ... 6 
7 Assessment procedures ... 6 
8 Assessment requirements ... 7 
9 Assessment conclusion verification ... 11 
References ... 12 
Assessment guidelines for energy saving technology
1 Scope
This document specifies the general principles, assessment contents,
assessment methods, assessment procedures, assessment requirements, and
verification of assessment conclusions for energy saving technology.
This document applies to the implementation of energy saving technology
assessment.
2 Normative references
The contents of the following documents constitute the indispensable clauses
of this document through normative references in the text. For dated references,
only the version corresponding to that date is applicable to this document; for
undated references, the latest version (including all amendments) is applicable
to this document.
GB/T 13234, Determination of energy savings in organizations
GB/T 28750, General technical rules for measurement and verification of
energy savings
GB/T 32045, Guidance on implementation of measurement and verification
of energy savings
3 Terms and definitions
There are no terms and definitions that need to be defined in this document.
4 General principles
The assessment of energy saving technology shall comply with the following
requirements.
a) Based on true and reliable information and data, use scientific assessment
methods, to put forward assessment conclusions that are in line with
reality.
b) Completely record the calculation method, data source, and assessment
process to facilitate the review and verification of the results.
calculation methods of economic benefit assessment can refer to the
requirements of GB/T 13471 and GB/T 32039.
f) Applicability assessment. The industries and application scenarios to which
the technology is applicable under typical conditions shall be assessed.
6 Assessment methods
The following applicable methods can be used for energy saving technology
assessment.
a) Standard control method. Assess relevant energy saving technologies
against relevant energy saving laws and regulations, industrial policies,
standards and norms.
b) Analogy analysis method. Compare and analyze the leading energy
efficiency level with the application cases of comparable technologies of
the same kind; assess related energy saving technologies.
c) Expert judgment method. Use expert experience, knowledge and skills to
assess relevant energy saving technologies; experts are responsible for
the results of the review.
7 Assessment procedures
The procedures of energy saving technology assessment include: formulating
assessment work plans, collecting data, determining assessment indicator
systems, technical reviews (including necessary investigations or tests),
forming assessment conclusions and reports, and verifying assessment
conclusions. See Figure 1 for the assessment flow chart.
h) Other relevant requirements.
During the assessment process, the assessment work plan can be revised
according to the actual situation; the revision of the assessment work plan shall
be recorded in detail.
8.2 Collect data
The organization that conducts the assessment shall, according to the
characteristics of the technology and the assessment work plan, collect relevant
information for assessment, including:
a) Basic information of the technology provider, including name, address,
contact information;
b) Basic technical information, including technical name, scope of application;
c) Technical principles, including key technical methods, technological
processes, main technical and economic parameters;
d) Law and regulation requirements or standard specifications which are
related to the technology and its application;
e) Relevant technical appraisal, technical identification, intellectual property
certification;
f) Data related to typical application cases, including energy consumption
data, operating data, inspection and monitoring data, economic data and
its calculation process;
g) Relevant data and materials on advanced technologies, analogy cases at
home and abroad;
h) Other necessary documents.
8.3 Determine assessment indicator system
8.3.1 The organization that conducts the assessment shall develop a targeted
assessment indicator system based on the characteristics of energy saving
technologies and the assessment work plan.
The first-level indicators of the assessment indicator system should include
compliance indicators, energy-saving capability indicators, technical reliability
indicators, technical advancement indicators, and economic benefit indicators.
The contents of the first-level indicators are as follows:
a) Compliance indicators include compliance with laws, regulations, policies
or mandatory standards;
8.4.3 When necessary, the organization that conducts the assessment may
adopt methods such as defense and inquiries; the technology provider shall
explain the energy saving technology and application status.
8.4.4 When necessary, the organization that conducts the assessment may
conduct on-site investigations or tests to verify the integrity and accuracy of the
energy saving technology data, and to understand the actual application of the
energy saving technology.
8.4.5 The organization that conducts the assessment may invite external
experts to form an assessment team to conduct technical reviews.
8.5 Assessment conclusion and report
8.5.1 The organization that conducts the assessment shall, based on the results
of the technical review, form an assessment conclusion and issue an
assessment report.
8.5.2 The assessment conclusion can be a conformity assessment conclusion
or a technical-level assessment conclusion.
The conformity assessment conclusion shall give a conclusion on whether the
technology is an energy saving technology.
The technical-level assessmen...