Provisions of Pudong New Area of Shanghai Municipality on Promoting the Innovative Application of Driverless Intelligent Connected Vehicles

(November 23,2022)

No.141

(Adopted at the 46th Session of the Standing Committee of the 15th Shanghai People's Congress on November 23, 2022 )

Article 1

With a view to further regulating and promoting the innovative application of driverless intelligent connected vehicles in Pudong New Area, promoting the high-quality development of the relevant industries, and guaranteeing road traffic safety, these Provisions are formulated in accordance with the basic principles of relevant laws and administrative rules, and in the light of the actual circumstances of Pudong New Area.

Article 2

These Provisions shall apply to the innovative application activities such as road testing, demonstration application, demonstration operation and commercial operation of driverless intelligent connected vehicles in the designated road sections and areas within the administrative region of Pudong New Area, as well as the relevant supervision and administration over these activities.

The term “driverless intelligent connected vehicle” in these Provisions means the intelligent connected vehicle with no driver or test safety officer in the vehicle.

Article 3

The innovative application activities of driverless intelligent connected vehicles in Pudong New Area shall adhere to the principles of encouraging innovation, inclusiveness, prudence and gradual progress, implement hierarchical and classified administration, and ensure safety, order and risk control in accordance with the requirements from low-risk scenarios to high-risk scenarios and from simple types to complex types.

Article 4

The Municipal People’s Government shall establish and improve the coordination mechanism, policies and measures for promoting the development of the intelligent connected networked vehicle sector, and optimize the environment for the innovative application.

The municipal departments of economy and informatization, transportation, and public security, and other relevant departments shall establish a mechanism for the promotion of intelligent connected vehicle testing and application, coordinate and advance the testing and application of intelligent connected vehicles in the whole Municipality, guide the innovative application of intelligent connected vehicles in Pudong New Area, and do a good job in related administration according to their respective functions and duties.

The municipal development & reform department shall be responsible for coordinating the building of new infrastructure related to the innovative application of intelligent connected vehicles.

Pudong New Area People’s Government and China (Shanghai) Pilot Free Trade Zone Lin-gang Special Area Administration (hereinafter referred to as the Lin-gang Special Area Administration) shall establish a working mechanism to promote the innovative application of intelligent connected vehicles, formulate supporting policies and implement support measures, and be responsible for the administration of the innovative application of intelligent connected vehicles within their jurisdictions according to their respective functions and duties.

The municipal departments of planning and natural resources, market regulation, cyberspace administration, and communications, as well as the Pudong New Area departments of technology and economy, construction and transportation, public security, planning and natural resources, and big data management shall, according to their respective functions and duties, do a good job in the administration of the innovative application of intelligent connected vehicles in Pudong New Area.

Article 5

Enterprises that carry out road tests, demonstration application and demonstration operation of driverless intelligent connected networked vehicles shall apply for the authoritative confirmation of safety self-declaration. If the safety self-declaration of a driverless intelligent connected vehicle is authoritatively confirmed, a vehicle license plate may be applied for it from the traffic administrative department of the public security organ; if a vehicle license plate is obtained, the vehicle may run on the road; it may not be used for road transport demonstration operation activities unless having been examined and approved by the transportation department.

Article 6

Enterprises applying for the confirmation of safety self-declaration shall meet the following requirements:

1.Having independent legal personality;

2. Having the relevant technical capability;

3 Having vehicles that meet the corresponding conditions for road testing, demonstration application and demonstration operation;

4. Having been equipped with a remote monitoring system and having emergency interveners. The emergency interveners shall have the capability of controlling the driverless intelligent connected vehicles and the driver’s license for driving the corresponding type of motor vehicles, and have obtained specialized knowledge, and undergone training of on-site operation and emergency handling; and

5. Having bought or promised to buy compulsory motor vehicle traffic accident liability insurance, and corresponding commercial insurance in accordance with relevant provisions.

Article 7

To carry out road testing activities, vehicles for which a confirmation of safety self-declaration is applied shall meet the following requirements:

1.Having the operation mode with the minimum risk, meeting the technical standards and requirements of functional safety and information security, and the design operation scope covers the relative scenes of the road testing;

2.Having been equipped with display devices and post-failure or post-accident warning devices for a driverless status, and having been installed with night-time fluorescent devices that meet the standards; and

3. Having passed the road test of intelligent connected vehicles with drivers in accordance with relevant provisions and reached the prescribed testing mileage or time, and having no traffic violations, or safety accidents caused by the vehicles, and the intervention rate under the prescribed value.

Where a high-risk road test is to be carried out, the testing vehicle shall pass a low-risk road test of prescribed mileage or time, with no serious traffic violations, or safety accidents caused by the vehicle, and the intervention rate under the prescribed value.

Article 8

To carry out demonstration application activities of carrying passengers and freight with piloting or trial effect, the vehicle for which the confirmation of safety self-declaration is applied shall pass a road test of prescribed mileage or time, with no traffic violations, or safety accidents caused by the vehicle, and the intervention rate under the prescribed value.

Article 9

To carry out demonstration operation activities of carrying passengers or freight or operation in specific scenes, the vehicle for which the confirmation of safety self-declaration is applied shall meet the following requirements:

1.Conforming to the standards or specifications of technical performance, exterior dimension, shaft load, net weight, and safety performance required for the demonstration operation; and

2.Having passed the demonstration application of prescribed mileage or time, with no traffic violations, or safety accidents caused by the vehicle, and the intervention rate under the prescribed value.

Article 10

In case of application for the confirmation of safety self-declaration for road tests, demonstration application and demonstration operation of driverless intelligent connected vehicles, the municipal departments of economy and informatization, transportation, and public security, the Pudong New Area technical and economy department, and Lin-gang Special Area Administration shall, according to their respective functions and duties, organize relevant departments, third-party institutions and experts to confirm the safety self-declaration for the corresponding stage.

The Pudong New Area technical and economy department and Lin-gang Special Area Administration shall be responsible for receiving the safety self-declaration and relevant certification materials submitted by the enterprises, and shall inform the enterprises, in writing, of the decision on whether to make the confirmation thereof or not.

Where trans-regional matters are involved, the municipal departments of economy and informatization, transportation, and public security shall strengthen their work guidance for and communication and coordination with the Pudong New Area departments of technology and economy, construction and transportation, and public security, and Lin-gang Special Area Administration.

Article 11

When confirming the safety self-declaration, the relevant competent department may take the enterprises’ test results obtained outside Pudong New Area as a reference, so as to simplify the relevant test procedures and test items.

If road tests, demonstration application and demonstration operation of driverless intelligent connected vehicles reach the prescribed mileage or time, with no traffic violations, or safety accidents caused by the vehicle, and the intervention rate under the prescribed value, the enterprise may apply to the Pudong New Area technical and economy department or Lin-gang Special Area Administration for confirmation of a batch of vehicles of the same model and at the same stage, and submit the consistent technical parameters, performance and safety test reports. The relevant competent department shall organize a third-party institution to conduct a random check of the consistency, and make a decision based on the results of the random check.

Article 12

Where an enterprise has obtained the confirmation of safety self-declaration, it may submit to the traffic administrative department of the municipal public security organ relevant materials needed to apply for a vehicle license plate, so as to apply for a temporary license plate and a vehicle identification plate.

If the valid period of the temporary license plate expires, a new temporary driving license plate may be applied for by virtue of the valid safety self-declaration and other relevant materials. It is not necessary to apply for a new temporary license plate if the safety self-declaration of the next stage is confirmed within the valid period of the temporary license plate.

Article 13

If a driverless intelligent connected vehicle has gone through the confirmation of safety self-declaration for road tests and obtains a temporary license plate and vehicle identification plate, it may run on the road to engage in testing activities, but it may not carry passengers unrelated to the testing activities or freight other than those used for counterweight.

Article 14

If a driverless intelligent connected vehicle has gone through the confirmation of safety self-declaration for demonstration application and the temporary license plate is within the valid period, it may carry relevant passengers or freight in accordance with the provisions, but shall not load passengers or freight that exceed its allowed passenger capacity or approved load capacity, or carry dangerous freight. If it carries relevant passengers or freight, the enterprise shall notify its clients of the possible risks explicitly, and take necessary safety measures.

Article 15

Enterprises that carry out demonstration operation activities of driverless intelligent connected vehicles shall meet the following requirements:

1.having the corresponding qualifications or conditions for road transport operation, or cooperating with enterprises that have the corresponding qualifications for road transport operation;

2.having vehicles that are appropriate for the business operation and have passed testing;

3.proposing relatively fixed operation areas and operation periods; and

4.having a sound safety management system.

The enterprise may apply to the Pudong New Area transportation department or Lin-gang Special Area Administration for handling relevant vehicle operation certificates by virtue of the confirmed safety self-declaration for demonstration operation, the temporary license plate within the valid period, the operation plan and other relevant materials.

Those who have obtained the vehicle operation certificates prescribed in the preceding Paragraph may engage in demonstration operation activities with the driverless intelligent connected vehicles and may charge fees. The charge rate of fees that are covered in the government’s pricing scope shall be set by the government or under its guidance, and that of other fees shall be set by the market. The fee charge rate shall be specified in the operation plan, and if charges are made to unspecified objects, the charge rate shall be made public.

Article 16

A driverless intelligent connected vehicle that has obtained market access or that has been identified as a product with the same qualifications may, upon registration with the traffic administrative department of the public security organ, may obtain the registration certificates such as the vehicle license plate and the paper vehicle license.

An enterprise that uses the driverless intelligent connected vehicles that meet the requirements set in the preceding Paragraph for commercial operation shall obtain the qualification for road transport operation. The vehicle shall be appropriate for the business operation, pass the testing, and obtain the vehicle operation certificate according to law.

The management of fee charges for commercial operation shall be carried out in accordance with the provisions of relevant laws, rules and regulations.

Article 17

The Pudong New Area technical and economy department and Lin-gang Special Area Administration shall strengthen the daily supervision and administration of the operation of driverless intelligent connected vehicles, and take measures to enhance the backstage regulation.

Enterprises that carry out road tests, demonstration application and demonstration operation of driverless intelligent connected vehicles shall install monitoring devices in accordance with the provisions, connect relevant data to designated data platforms, upload them to the municipal data platform in real time, and regularly submit reports on the innovative application to the Pudong New Area technical and economy department or Lin-gang Special Area Administration.

Article 18

The municipal transportation department shall, jointly with the municipal departments of public security, economy and informatization, and communications administration, delimit the road sections and areas for the innovative application of intelligent connected vehicles according to the basic road conditions and the actual needs and organize the acceptance inspection. After the  road sections and areas are accepted after the inspection, the municipal transportation department shall announce them to the public, and set up corresponding signs and safety tips in them and their surrounding areas.

The term “road sections and areas” mentioned in the preceding Paragraph refers to the road sections and areas used for the passage of social motor vehicles.

It is supported to gradually expand the road sections and areas, and to open certain whole areas for road test, and to enrich the testing and application scenarios in Pudong New Area for the innovative application of intelligent connected vehicles.

Article 19

The Pudong New Area departments of technology and economy, and construction and transportation, and Lin-gang Special Area Administration shall make overall plans and coordinate to promote the building of vehicle-road integration infrastructure and the vehicle-road integration cloud control platform, and support information sharing between the vehicle-road integration infrastructure and the cloud control platform, roadside signal control facilities and intelligent connected vehicles under safe and controllable conditions.

The vehicle-road integration infrastructure and the vehicle-road integration cloud control platform shall realize data interactive encryption, communications network protection, and real-time security monitoring, and effectively guard against risks such as data tampering, data leakage and cyber attacks.

Article 20

This Municipality shall, under the authorization of the relevant competent department of the State, support enterprises engaged in the innovative application of intelligent connected vehicles in carrying out pilot application of high-precision maps in specific regions of Pudong New Area. The municipal and Pudong New Area departments of planning and natural resources shall strengthen the guidance in and regulation of the pilot application of high-precision maps.

Enterprises that carry out innovative application of intelligent connected vehicles shall strictly protect the data security of high-precision maps in accordance with relevant provisions.

Article 21

Any enterprise that carries out road tests, demonstration application and demonstration operation of driverless intelligent connected vehicles shall report to the Pudong New Area technical and economy department or Lin-gang Special Area Administration if it makes an software upgrade (including remote upgrade) or hardware change that may affect its functions and performance.

In case of major upgrade or change affecting vehicle safety performance, the enterprise shall submit a new safety self-declaration for reconfirmation.

Article 22

Where a driverless intelligent connected vehicle runs on the road, it shall have an obvious identification mark, place or paste the temporary license plate and vehicle identification plate as required, and comply with the relevant traffic regulations of road traffic safety laws, rules and regulations.

Demonstration application and demonstration operation of driverless intelligent connected vehicles shall be carried out in an orderly manner under the guidance of the relevant competent department.

Article 23

Enterprises that carry out innovative application of driverless intelligent connected vehicles shall strengthen dynamic remote supervision over the vehicles. In the case of bad weather, road construction, large-scale activities, etc., the enterprise shall promptly adjust its operation plan according to the requirements of the relevant administrative department. Where the public security organ implements temporary control on the spot according to law, the enterprise shall follow the instruction of the public security organ, immediately take measures such as give-way, suspension and termination of operation, etc.

Article 24

Enterprises that carry out innovative application of driverless intelligent connected vehicles shall, in accordance with the mandatory requirements of relevant laws, rules and regulations on network security, and with the information security standards, establish a network security management system, implement a classified network security protection system, and take technical measures and other necessary measures, so as to improve network security protection and ensure the safe and stable operation of the network.

Article 25

Enterprises that carry out innovative application of driverless intelligent connected vehicles shall, in accordance with the requirements of relevant laws, rules and regulations on data security, establish and improve the management system for whole-process data security and personal information protection, and fulfill the responsibility for data security and personal information protection. Where data leakage, damage or loss involving national security or personal information occurs or may occur, the enterprise concerned shall immediately take remedial measures, and promptly inform the users and report to the relevant competent department in accordance with the provisions.

Important data collected and produced in the course of carrying out the innovative application shall be stored in the mainland of China according to law; if it is necessary to supply them to overseas due to business needs, a safety assessment shall be carried out in accordance with relevant state provisions. Exit security administration of personal information and data shall be carried out in accordance with relevant laws and administrative rules.

Article 26

During the period of innovative application, if a driverless intelligent connected vehicle breaks down, the enterprise shall make a judgment according to the relevant technical requirements, and take corresponding measures to ensure that the vehicle is in a safe state.

The enterprise conducting the innovative application shall transmit relevant fault information   to the designated regulation platform and keep it for at least one year.

Article 27

During the period of innovative application, if a traffic accident occurs to a driverless intelligent connected vehicle, the enterprise shall immediately suspend the operation of the vehicle, turn on the danger warning device, give an alarm, and dispatch personnel to deal with the accident on the spot as the circumstance requires; within two hours after the accident, the video information of at least 90 seconds before the accident shall be uploaded to the designated data platform.

The enterprise that carries out innovative application of driverless intelligent connected vehicles shall, with the whole-process participation of relevant competent department, conduct technical analysis of the process of the accident and prepare an accident analysis report accordingly. The relevant information on the process of the accident and the accident analysis report shall be promptly submitted to the traffic administrative department of the public security organ of Pudong New Area and be kept for at least one year.

Article 28

Where any traffic violation occurs during the innovative application of a driverless intelligent connected vehicle, the public security organ shall deal with the owner or manager of the vehicle in accordance with the laws, rules and regulations on road traffic safety.

Article 29

Where a traffic accident occurs during the innovative application of a driverless intelligent connected vehicle, the traffic administrative department of the public security organ shall determine the liability for the traffic accident in accordance with the laws, rules and regulations on road traffic safety.

If a driverless intelligent connected vehicle has a traffic accident and causes damage, and the vehicle party shall be liable according to law, the enterprise to which the vehicle belongs shall make compensation in advance, and may recover such compensation from the responsible  automatic driving system developer, vehicle manufacturer, equipment provider, etc. in accordance with law. Where compulsory liability insurance or commercial insurance for motor vehicle traffic accidents has been bought, the relevant provisions shall apply.

The data collected by the driverless intelligent connected vehicle and the vehicle-road integration cloud control platform can be used as the basis for identifying the traffic violation and the liability for the traffic accident after being investigated and verified as true by the traffic administrative department of the public security organ.

Article 30

Where driverless intelligent connected vehicles are used for freight service, the enterprise shall buy the carrier’s liability insurance; where they are used to carry out passenger transportation services, liability insurance shall be bought for the persons on board.

Relevant industrial organizations and enterprises shall be encouraged to jointly set up VC funds. Insurance companies shall be encouraged to develop insurance products that adapt to the features of driverless intelligent connected vehicles.

Article 31

In case of any of the following circumstances during the road test, demonstration application or demonstration operation of driverless intelligent connected vehicles, the Pudong New Area technical and economy department or Lin-gang Special Area Administration shall suspend the relevant innovative application activities of the enterprises concerned and order them to make rectification within a time limit; after the rectification is completed, relevant innovative application activities can be resumed:

1. The driverless intelligent connected vehicle fails to meet the requirements in the test;

2. The enterprise, vehicle or emergency intervener that carries out the innovative application has changed and no longer meets the prescribed requirements;

3. The enterprise fails to carry out relevant innovative application activities in accordance with the stage, time periods and road sections specified in the safety self-declaration;

4. In violation of the provisions concerning the carrying of passengers or freight;

5. Failure to upload relevant data to the designated data platform in accordance with the provisions;

6. Failure to report software upgrade or hardware change in accordance with the provisions;

7. Failure to take corresponding measures in accordance with the provisions when a vehicle breaks down or a traffic accident occurs;

8. Failure to transmit and keep the information of vehicle break-down and accident or failure to submit the accident analysis report in accordance with the provisions;

9. Major systematic defects exist in software or hardware; or

10. Network security or data security accidents occur.

Where a driverless intelligent connected vehicle carrying out a relevant road test, demonstration application or demonstration operation falls under one of the following circumstances, the Pudong New Area technical and economy department or Lin-gang Special Area Administration shall suspend the relevant innovative application activities of the vehicle or vehicles of the same model, and order them for rectification within a prescribed time limit; after the rectification is completed, relevant innovative application activities can be resumed:

1.failure to place the vehicle identification plate as required;

2. general road traffic violations for three or more times, or serious road traffic violations such as failing to follow the instructions of traffic signals, violating instructions, or going the opposite direction; or

3. having a road traffic accident for which it bears equal or higher responsibilities.

Article 32

In any of the following circumstances during a road test, demonstration application or demonstration operation of driverless intelligent connected vehicles, the Pudong New Area technical and economy department or Lin-gang Special Area Administration shall terminate the relevant innovative application activities of the relevant enterprise, and the relevant license plates, vehicle identification plates and operation certificates shall become invalid:

1. Refusing to make rectification after the suspension of innovative application activities or still failing to meet the requirements after rectification;

2. Providing false safety self-declaration, false data, information or reports, or other false materials; or

3. Endangering national security or public security, or the program design violates ethical requirements and poses major security risks.

Where a vehicle carrying out a road test, demonstration application or demonstration operation of driverless intelligent connected vehicles falls under one of the following circumstances, the Pudong New Area technical and economy department or Lin-gang Special Area Administration shall terminate relevant innovative application activities of the vehicle or vehicles of the same model; if the circumstance is serious, the relevant innovative application activities of the enterprise concerned shall be terminated:

1.having committed serious road traffic violations such as disobeying traffic signal instructions while in operation, violating instructions of the signs and marking lines, going the opposite direction, etc., for three or more times; or

2. having a road traffic accident for which it bears the main or full responsibilities.

Those who carry out relevant activities without authoritative confirmation of the safety self-declaration or without obtaining the temporary license plates or relevant vehicle operation certificates shall be ordered by the Pudong New Area technical and economy department or Lin-gang Special Area Administration to immediately terminate the relevant activities, and shall be dealt with by the relevant competent departments according to law.

Article 33

As for the driverless equipment such as unmanned delivery machine and unmanned cleaning machine in operation on roads, reference shall be made to the applicable road traffic safety laws, rules and regulations on non-motor vehicles. The specific provisions on the administration of road testing and demonstration operation of unmanned driving equipment shall be formulated by Pudong New Area and Lin-gang Special Area Administration under the guidance of the relevant municipal competent department.

Article 34

These Provisions shall be effective as of February 1, 2023.