中国汽车产业标准监管简介 (Bilingual)

The China Auto Industry:
An Introduction to Standards Regulation
中国汽车产业标准监管简介 ‍‍
Background
背景
China’s automotive market is widely perceived as one of the largest and most dynamic in the world today, offering attractive opportunities for automobile and automotive parts manufacturers from around the globe. But in order to succeed in any national automotive market, and avoid potentially costly mistakes and penalties, industry participants must establish and maintain an accurate understanding ofthe local standards regulation regime, while remaining alert to new developments and emerging regulatory and enforcement trends. This article is intended to help meet such needs by framing an overview of the existing standards regulation framework governing the China automotive industry, and suggesting expected directions of future development.‍
中国被广泛认为是当今世界上最有活力的汽车市场，为全球汽车及其零部件制造商提供了许多极具吸引力的机会。但为了在一国国内的汽车市场取得成功，同时避免犯下代价高昂的错误，规避潜在的行政处罚，行业参与者必须对当地该行业的标准与法规体系有精确的了解，并时刻关注其新发展与监管执法的新趋势。本文旨在通过概述现有的中国汽车产业标准监管框架，帮助行业参与者了解上述相关情况，并为未来的发展方向提供建议。‍
Standards Regulation Overview
标准监管综述
‍The automotive industry in the People’s Republic of China (the “PRC”), including automobile and automotive parts manufacturing, is governed by a regulatory system comprised of three main components: (i) laws and regulations; (ii) a system of standards established for the purpose of implementing such laws and regulations; and (iii)a system of compliance certification intended to enforce such standards, each as further described below. ‍
中国的汽车行业的监管体系（包括汽车和汽车零部件制造业）由三部分组成：（1）法律与法规；（2）为执行上述法律法规而建立的标准体系；以及（3）为执行标准而建立的合规认证体系。下文将分别详述三个部分。‍
(a) Laws and Regulations‍
1. 法律法规‍
Broadly speaking, PRC laws provide general direction while regulations (including regulations, measures and circulars) provide more detailed, implementing direction. With respect to overarching laws, no specific law has yet been promulgated that governs standards regulation for the automotive industry. Instead, relevant legal provisions are distributed in different laws. The two most pertinent PRC laws are: ‍
大体上讲，中国法律规定相关领域监管的大致方向，而法规规章（包括规章、办法和公告）则规定更为细节和可操作的监管方法。在法律层面上，迄今还没有单独发布过汽车行业标准监管的法律。相关的法律规范分散在不同的法律中，最主要的两部是：‍
Standardization Law (effective as of April 1, 1989); and‍
《标准化法》（1989年4月1日生效）；以及
Product Quality Law (effective as of August 27, 2009).
《产品质量法》（2009年8月27日生效）
Of these two laws, the most significant in terms of relative impact is the PRC Standardization Law, which regulates the formation and implementation of standards and the allocation of legal responsibilities. This law establishes the basic legal principles governing China’s standards regulation regime, broadly applicable to every industrial sector, including the automotive industry. Originally promulgated in 1989, a significant revision to this law is expected to be promulgated in the near future[1]. This revision process mainly aims atexpanding the scope of standards regulation to cover additional sectors, and eliminating out-of-date rules.‍
这两部法律中，对相关行业影响最大的是《标准化法》。该法规定了标准的形成与实施，以及法律责任的分配。《标准化法》还确立了中国标准监管体系的基本原则，这些原则对各个行业领域都适用，也包括汽车工业。该法于1989年公布，预计近期将会进行重大的修订[1]。本次修订的主要目的在于扩大现有标准监管体系的范围，并废除已经过时的规定。
In addition to the PRC Standardization Law, another law with particular importance for the China automotive industry is the PRC Product Quality Law,which regulates product quality standards and imposes obligations on both manufacturers and distributors. This law establishes the basic legal principles for product quality control, including linking standards regulation with product quality control and establishing manufacturing compliance standards.‍
除《标准化法》外，另一个对于中国汽车行业格外重要的法律是《产品质量法》。该法主要针对产品质量标准，并规定了生产商和经销商有关产品质量的法律义务。该法还确立了产品质量控制领域的基本原则，包括行业标准监管与产品质量控制相结合的原则，并建立了生产合规标准。
With respect to implementing regulations, two regulations are especially salient to China’s automotive industry: the Implementing Regulations of the PRC Standardization Law (effective as of April 6, 1990) (the “Standardization Regulations”) and the Administrative Regulations for Compulsory Product Certification (effective as of July 3, 2009) (the “Certification Regulations”). ‍
在具体实施的法规规章中，与中国汽车行业最密切的有两部：《标准化法实施条例》（1990年4月6日生效）（以下简称“《实施条例》”）和《强制性产品认证管理规定》（2009年7月3日生效）（以下简称“《认证管理规定》”）。
The Standardization Regulations regulate the administration, formation, implementation and supervision of standards, and the detailed allocation of legal responsibilities. Pursuant to the PRC Standardization Law, this regulation also formulates the basic legal principles for China’s standards regulation regime. However, in light of the direction of standardization reform in China, this regulation will also likely be revised in the near future.
《实施条例》规定了行业标准的管理、形成、实施、监督，以及法律责任的划分问题。因为是根据《标准化法》而制定，《实施条例》还构建了中国行业标准监管体系的基本原则。但是，从中国标准化改革方向来看，《实施条例》在不远的将来也很可能修改。
The Certification Regulations regulatethe implementation, management, supervision and administration of certification, and respective penalties and legal responsibilities. This regulation links the compulsory product certification with standards regulation, providing that the contents of certain certification rules incorporate corresponding compulsory requirements of national standards, industrial standards, and other standards applicable toproducts.‍
《认证管理规定》规定了产品认证的实施、管理、监督与发放，以及相应的行政处罚和法律责任。该规定将强制性产品认证与标准监管结合起来，使产品认证规则必须符合相应的强制性国家标准、行业标准或其他适用的标准。
PRC regulatory development is very active, and new regulations are frequently promulgated. Other relevant regulations include MIIT’s Administrative Provisions on the Access for New Energy Automotive Manufacturers and Products, among others, which is described in greater detail below.‍
中国的合规发展十分迅速，经常有新的法规发布。其他相关的法规规章包括工业和信息化部的《新能源汽车生产企业及产品准入管理规定》，下文将详细介绍。
‍
(b) System of Standards‍‍
2. 标准体系
Broadly speaking, China’s standards are categorized as either compulsory or voluntary standards. Compulsory standards pertain to requirements for safeguarding human health and ensuring the safety of persons and of property, while the remaining standards are voluntary. These standards are subdivided according to such standard’s source, categorized as being either “national,” “industrial,” “local” or “enterprise” standards, as described in greater detail below.‍
总的来说，中国的标准体系分为强制性标准和推荐性标准。强制性标准多为保障人体健康与生命财产安全而设置，此外的其他事项大多适用推荐性标准。根据标准的来源，又可以分为“国家标准”、“行业标准”、“地方标准”和“企业标准”，下文将分别详述。‍
National standards, which are referr‍ed to as “GB standards,” prepared and published under the primary cognizance of the PRC Standardization Administration (“SAC”)[2]， establish minimum standards for manufacturer compliance. A complete library of PRC GB standards (searchable in English) is accessible via the following URL‍
http://www.sac.gov.cn/was5/web//outlinetemplet/gjbzcx.jsp‍
国家标准，又被称为“GB标准”，主要是由国家标准化管理委员会（SAC）制定并公布的[2]，确立了生产的合格质量标准。欲获取中国国家标准的全文数据库（可用英文搜索），可以访问下列网址‍
‍http://www.sac.gov.cn/was5/web//outlinetemplet/gjbzcx.jsp‍
Industrial standards for the automotive industry, which are referred to as “QC Standards,” are prepared and published under the primary cognizance of the National Technical Committee of Auto Standardization (“NTCAS”)[3]. Such QC Standards are developed and applied when no GB standards exist, but where a unified technical requirement is still required.‍
汽车工业的行业标准，又被称为“QC标准”，主要由全国汽车标准化技术委员会（NTCAS）制定并公布[3]。行业标准在需要统一技术规范而又没有国家标准存在的领域适用。‍
Other standards categories include local standards, which are referred to as “DB Standards,” and enterprise standards, which are referred to as “Q Standards.” DB Standards are stricter than GB Standards and QC Standards, and are generated by the local Municipal Administration of Quality and Technology Supervision. These standards are typically established by a relatively more developed provincial jurisdiction in order to establish higher technical and quality requirements for products produced within such jurisdiction. Q Standards constitute the strictest standards of all, and are generated by individual manufacturers who are encouraged to generate them in order to facilitate industrial development and maintain high internal quality control levels.‍
其他标准类别还包括地方标准，也被称为“DB标准”，以及企业标准，也被称为“Q标准”。地方标准比国家标准和行业标准更加严格，由地方质量和技术监督部门制定。地方标准往往是由更发达的地方制定，对本地生产的相关产品提出更高的技术质量要求。企业标准是所有标准中最严格的，由生产商自行制定。国家鼓励企业制定企业标准，从而促进行业发展，形成高度有效的内部质量控制。
(c) Enforcement‍
‍3. 执行‍‍
Enforcement of China’s automotive standards is accomplished by means of a system of product certification, comprised of compulsory and voluntary certifications, each as further described below.‍‍
中国汽车工业标准是通过一系列的产品认证体系执行的，由强制性认证和自愿性认证组成。下文将分别详述。
Compulsory certifications are jointly administered by the PRC Ministry of Industry and Information Technology (“MIIT”)[4], the PRC Certification and Accreditation Administration (“CNCA”)[5], and the PRCMinistry of Environmental Protection (“MEP”)[6], each of which governs specific certification aspects and which, together, furnish a system of prerequisite market compulsory certification aimed at ensuring a satisfactory minimum quality level with respect to manufactured products. Prior to distributing automotive products in China, a domestic automotive manufacturer must (i) apply to be listed in the Automotive Production Enterprises and Product Announcement by MIIT together with its automotive product to be distributed, (ii) obtain a China Compulsory Certification from the CNCA, and (iii) obtain a type approval from MEP for such product. In addition, an environmental approval from local MEP must be obtained in specific areas of China including, for example, Beijing. The importation of automotive products into China by an offshore automotive manufacturer is not subject to MIIT’s announcement management while other compulsory certifications for such products remain the same.‍
强制性认证由工业和信息化部（MIIT，以下简称“工信部”）[4]，国家认证认可监督管理委员会（CNCA，以下简称“认监委”）[5]和环保部（MEP）[6]共同管理。三个机构分别负责认证的不同方面，共同构成了市场准入强制性认证体系，以确保产品生产符合质量标准。在中国市场销售汽车产品前，内地汽车生产企业应当先（1）申请将该企业及其产品列入工信部的车辆生产企业与产品公告中，（2）从认监委处获取强制性产品认证，以及（3）从环保部获得汽车的机型批准。另外，在中国部分地区，如北京，还需要获得地方环保部门的环保达标许可。海外汽车生产企业 向中国出口汽车无需适用工信部的公告管理体系，但仍需要获取其他的强制性认证。
Non-compulsory certifications are authorized and directed by CNCA, and are conducted by authorized certification centers in order for certifications of selected performance criteria, including emission, noise control, and energy efficiency. Automotive manufacturers apply for those non-compulsory certifications in order to highlight their products and attract customers. In addition, there are also non-compulsory certifications in connection with applications for governmental incentive programs. For example, if an automotive product is certified by the State Administration of Taxation according to the Exemption of Automotive Purchase Tax on New Energy Automotive, then a consumer’s purchase price could be decreased, potentially enhancing the manufacturer’s distribution volume.
非强制性认证由认监委发布，由具备授权的各领域认证中心具体发放，包括尾气排放、噪音控制和能源效率等。汽车制造商申请上述非强制性认证，以突出其产品性能精良，从而吸引消费者。此外，部分非强制性认证与政府政策优惠相关。比如，如果国家税务总局认可某新能源汽车产品可免征车辆购置税，则消费者购买该车型的花费降低，有助于提高汽车制造企业的销售量。
(d) Regulatory Authorities‍
4. 主管部门
‍‍Regulatory authorities with responsibilities for implementing China’s automotive industry standards regulation regime are divisible into two groups: (i) authorities focused on standards generation and (ii) authorities focused on standards enforcement.‍
负责实施汽车产业标准监管的主管机构可分为两类：（1）主要负责制定标准的机构和（2）主要负责执行标准的机构。
With respect to standards generation, the two dominant authorities are SAC and the PRC General Administration of Quality Supervision, Inspection and Quarantine (“AQSIQ”)[7], who work together with other authorized industrial organizations including the China Association of Automobile Manufacturers (“CAAM”) and the National Technical Committee of Auto Standardization (“NTCAS”) in order to generate standards for the China automotive industry.
制定标准的两个主要机构是国家标准化管理委员会和国家质量监督检验检疫总局（AQSIQ，以下简称“质检总局”）[7], 二者与其他授权的行业组织，包括中国汽车工业协会（CAAM）和全国汽车标准化技术委员会（NTCAS），共同合作制定汽车工业标准。
With respect to standards enforcement, MITT, CNCA and MEP, together with the National Development and Reform Commission (the “NDRC”)[8], are the primary authorities invested with responsibility for implementing PRC compulsory certifications system. Although each governs different aspects of the certification system, each possesses the power to bara product from entering into the Chinese market. In addition, the China Certification Centerfor Automotive Products (“CCAP”), a third party certification institution, is authorized by CNCA with responsibility for certifying automotive products, and provides technical support to CNCA with respect to implementation of product certification.
负责执行标准的主要机构有四个，工信部、认监委、环保部和国家发展与改革委员会（NDRC）[8]，它们负责实施强制性认证体系。尽管四个机构各自负责不同的方面，但每个机构均有禁止汽车产品进入中国市场的权利。此外，中国汽车产品认证中心（CCAP），一家第三方认证机构，拥有认监委的授权，负责认证汽车产品，并为认监委提供实施认证所需的技术支持。
Emerging Trends: Regulating the New Energy Automotive Industry
新趋势：对新能源汽车行业的监管
An example of the operation and adaptability of China’s contemporary automotive standards regime is reflected by recent developments involving new energy vehicles. In light of environmental pressures arising from increasing automotive volume and density, the improvement of energy efficiency and emission reduction has received increasing emphasis. Accordingly, the PRC government and China’s automotive industry have been working together to accelerate new energy automotive development. With respect to regulatory standards, MIIT recently promulgated the Administrative Provisions on the Access for New Energy Automotive Manufacturers and Products (the “New Energy Provisions”) (effective as of July 1, 2017), which establishes MIIT’s responsibility for administration of new energy automotive product access and supervision. These provisions specify seventeen detailed requirements, including research and development capacity, manufacturing capacity, quality control capacity, and after-sale services capacity, as well as establishing prerequisite test requirements for new energy automotive products, with thirty-nine testing standards, including both GB standards and QC standards.
近期新能源汽车的发展，对中国现有的汽车标准体系的运行方式与适应能力提出了调整。汽车保有数量和分布密度的提升给环境带来了巨大压力，提高能源效率、减少尾气排放因此成为热点。由此，中国政府和中国汽车工业共同合作加快新能源汽车的发展。在标准监管方面，工信部近期发布了《新能源汽车生产企业及产品准入管理规定》（2017年7月1日生效），确定由工信部主管新能源汽车的市场准入与监督。上述《管理规定》对新能源汽车产品提出17条准入要求，包括研究开发能力、生产能力、质量控制能力、售后服务能力，并要求通过前置检测。该前置检测有39条标准，包括国家标准和行业标准。‍
Conclusions
结论
China has an established system for standards regulation governing the automotive industry, which involves a multitude of different authorities with sometimes overlapping mandates for regulatory development, standards development and enforcement. This system is undergoing significant changes as it adapts to meet challenges arising from modern manufacturing demands, including international competition, new technologies, and environmental pressures. As this legal regime continues to develop, it will remain imperative for industry participants to remain alert to significant new developments, which may significantly impact relevant policies, technical requirements and enforcement.
中国已经建立了多部门的汽车工业标准监管体系，相关部门在法规发展、标准更新和执行上会出现职能重叠的情况。为了适应现代化生产的需求，包括国际竞争、新技术应用和环保压力，这一体系目前正在发生巨大的变化。随着相关的法律法规体系不断完善，汽车行业参与者也应当持续关注相关政策和技术要求的新发展、新变化。‍
[1] On March 26, 2015, the PRC State Council issued the “Notice on Distribution of the Reform Plan for Deepening Standardization,” aiming at reform of China’ standardization system. A deliberation of the draft of the revised PRC Standardization Law was reviewed in the 27th meeting of the Standing Committee of the 12th National People’s Congress in April, 2017. Key points include: expanding the scope of standards regulation to include additional sectors; establishing a central standards coordinating mechanism under the State Council; streamlining and consolidating mandatory standards; improving the structure for voluntary standards; fostering the development of “social organization standards;” and improving standards enforcement. 2015年3月26日，中国国务院发布了“关于深化标准化工作改革方案的通知”，旨在改革中国的标准化体系。2017年4月，第12届全国人民代表大会常务委员会第27次会议听取了国务院关于《标准化法》修订草案的说明。要点包括：扩展行业标准监管的适用范围到更多行业中；在国务院集中建立协调统一的标准体系；整合强制性标准；改善推荐性标准的结构；鼓励企业和团体自主发展制定标准；加强行业标准的实施。
[2] SAC is a vice-ministerial-level institution authorized by the State Council with responsibility for unified management, supervision and overall coordination of standardization in China. SAC represents China in such international and regional standardization organizations as the International Organization for Standardization (“ISO”), and the International Electro-technical Commission (the “IEC”). 国家标准化管理委员会（SAC）是国务院授权的副部级行政机构，主要职责是统一管理、监督、协调全国标准化工作。该委员会在国际和地区性组织中代表中国，如国际标准化组织（ISO）和国际电工委员会（IEC）。
[3] NCTAS is a sub-division of SAC, and is responsible for the organization of a number of activities, including academic communication, training courses and technical services with respect to automotive standards, enhancing the development of automotive standards, and stimulating the development of China’s automotive industry. 全国汽车标准化技术委员会（NCTAS）是国家标准化管理委员会（SAC）的一个分支机构，负责组织一系列相关活动，包括学术交流、培训课程以及汽车标准相关技术服务，以促进汽车标准和中国汽车工业的发展。
[4] MIIT is a ministerial department of the State Council, and is responsible for the regulation and development of information technology-related industries including, the postal service, internet, broadcasting, and communications. MIIT regulates the automotive industry by implementing an access announcement administration management system for automotive manufacturers and products. Manufacturers must arrange for product listing in this announcement prior to market entry. 工业和信息化部（MIIT）是国务院的组成部门，负责信息技术及相关行业的发展与监管，包括邮政、互联网、广播和通讯行业等。该部门通过实行汽车制造企业及产品市场准入公告管理制度来管理汽车行业。汽车生产企业在进入市场前必须公布产品清单。
[5] CNCA is a vice-ministerial-level institution authorized by the State Council, and is responsible for the unified management, supervision and overall coordination of certification and accreditation activities in order to main the product quality. CNCA is responsible specifically for drafting and implementing laws and regulations related to certifications, formulating the catalogue of products subject to China Compulsory Certification, and supervising and regulating certification. 国家认证认可监督管理委员会（CNCA）是国务院授权的副部级机构，负责统一管理、监督、协调全国产品质量认证认可工作。认监委还特别负责起草和实施产品认证相关法律法规，确定适用强制性认证的产品目录，并监督管理认证工作。
[6] MEP is a ministerial department of the State Council, and is responsible for organizing the implementation of national environmental protection policies, enforcing environmental laws and regulations. MEP specifically regulates the emission and pollution control with respect to the China automotive industry by establishing a basic system for environmental protection. 环保部（MEP）是国务院的组成部门，负责全国环保政策的实施，执行环保法律法规。环保部还通过建立基本的环境保护体系，监管中国汽车产业相关废气及污染排放的控制情况。
[7] AQSIQ is a ministerial administrative institution directly subordinate to the State Council, and is responsible for national quality control, commodity inspection, import-export health quarantine, import-export animal and plant quarantine, import-export food safety, certification and accreditation, standardization, as well as administrative law-enforcement. AQSIQ is the leading authority for standards regulation, supervising both SAC and the CNCA. 国家质量监督检验检疫总局（AQSIQ）是国务院的直属行政机构，负责全国质量控制、商品检验、出入境卫生检疫、出入境动植物检疫、进出口食品安全和认证认可、标准化以及相关行政执法工作。质检总局是标准监管的领头机构，监督管理国家标准管理委员会（SAC）和国家认证认可监督管理委员会（CNCA）。
[8] The NDRC is a ministerial department of the State Council, and is an administrative institution for macroeconomic and policy management with responsibility for organizing and guiding PRC social and economic development, including formulating policies and long-term plans to administer the development direction of the automotive industry in China. 国家发展与改革委员会（NDRC）是国务院的组成部门，主要职责为宏观调控和政策管理，组织和引导经济社会发展，包括确定中国汽车工业的发展方向，制定政策及长期方案。‍
We will continue to monitor the auto standards regulatory development in China and share with you any further observations and suggestions in due course. For further information on this topic, please contact Ms. Guohua (Annie) Wu at +86 13811039659 or gwu@jtnfa.com.
我们将持续关注中国汽车产业的标准监管发展，并适时与您分享新的发现与建议。如需获取更多相关信息，请通过电话+86 13811039659或电子邮件gwu@jtnfa.com联系邬国华律师。‍
Disclaimer
特别声明
This information is offered only for general informational and educational purposes. It is not offered as, and does not constitute, legal advice or legal opinions. This material is intended, but not promised or guaranteed, to be current, complete or up-to-date. Communication of the information is not intended to create, and the receipt does not constitute, an attorney-client relationship. You should not act or rely on any information contained in this material without first seeking the advice of an attorney.‍