上海市物价局及湖北省物价局于2014年9月11日分别对克莱斯勒(中国)汽车销售有限公司(下称“克莱斯勒”)及上海部分经销商、一汽-大众销售有限责任公司（下称“一汽-大众”）及湖北部分奥迪经销商的价格垄断行为作出处罚。苹果公司的iPhone 6手机产品获得中国的进网许可。
On September 11, 2014, the Shanghai Price Bureau and the Hubei Price Bureau imposed penalties for monopolistic pricing on, respectively, (1) Chrysler (China) Motors Ltd. ("Chrysler") and certain of its dealers in Shanghai and (2) FAW - Volkswagen Sales Co., Ltd. ("FAW - Volkswagen") and certain Audi dealers in Hubei. Apple Inc. (“Apple”) finally obtained a network access license for its iPhone 6 mobile phone products in China.
一、克莱斯勒及上海部分经销商：因价格垄断被上海物价局处罚 Chrysler and Certain of Its Shanghai Dealers: Fined by the Shanghai Price Bureau for Monopolistic Pricing
2014年9月11日，上海市物价局对克莱斯勒及其部分上海地区经销商上海越也、上海名创、上海信佳汽车销售服务有限公司（统称“上海经销商”）的价格垄断行为分别作出了处罚决定,其中对克莱斯勒处罚款3168.20万元，对上海经销商处罚款共计人民币214.21万元 [1]。
On September 11, 2014, the Shanghai Price Bureau fined Chrysler and certain of its dealers in Shanghai for their monopolistic practices in regard to pricing. The dealers included Shanghai Yue, Shanghai Ming Chuang and Shanghai Xin Jia (collectively, the “Shanghai Dealers”).
Chrysler was fined RMB 31.682 million and the Shanghai Dealers were collectively fined RMB 2.1421 million [1].
（一）背景 Background
上海市物价局查明, 2012年至2014年克莱斯勒在汽车销售过程中，与经销商签订了含有维持转售价格条款的经销协议，发布了含有维持转售价格内容的商务政策；对电话报价低于厂商建议零售价的经销商，以扣减返利、罚款等形式进行了处罚，并向全体经销商发布通告；对于实际成交价格低于或略高于批售价格的经销商，采取资源分配冻结(即对于某些热销车型暂时推迟向经销商供货)或暂缓配置试驾车等措施进行惩罚。
The Shanghai Price Bureau discovered that, when selling automobiles from 2012 to 2014, Chrysler signed distribution agreements incorporating resale price maintenance provisions with its dealers and released a business policy incorporating resale price maintenance. Chrysler punished dealers whose quotations were lower than the manufacturer's recommended retail prices by means of deducting rebates, imposing fines and other sanctions, and circulating notice of the punishment to all dealers. Chrysler punished dealers who sold automobiles at prices lower or slightly higher than the wholesale prices by freezing resource allocations (i.e., temporarily delaying the delivery of certain best-selling automobiles), suspending the allocation of cars for test driving and imposing other punitive measures.
上海市物价局另查明，上海经销商于2014年4月25日下午在上海越也公司会议室召开会议，签订了《关于统一规范克莱斯勒、JEEP、Dodge品牌车辆维修保养等相关价格协商备忘》，对同城经销商的保养工时、配件价格、做漆价格以及执行时间作了统一约定，并在会后执行了协议达成的价格。
The Shanghai Price Bureau also discovered that the Shanghai Dealers held a meeting during the afternoon of April 25, 2014 at Shanghai Yue Ye and signed a Memorandum Regarding Standardizing the Price for Maintenance Services for the Automobiles of Chrysler, JEEP and Dodge. The memorandum standardized the hourly rates for maintenance services, the prices of auto parts and painting, and the duration of the price-fixing arrangements among the dealers in the same city.
上海市物价局认为，克莱斯勒达成并实施“固定向第三人转售商品价格”、“限定向第三人转售商品最低价格”垄断协议，违反了《反垄断法》第十四条的规定；上海经销商达成并实施固定或者变更商品价格的垄断协议，违反了《反垄断法》第十三条的规定。克莱斯勒及其上海经销商的行为，排除和限制了市场竞争，扰乱了正常的市场竞争秩序，损害了其他经营者和消费者的合法权益。
The Shanghai Price Bureau determined that Chrysler entered into and enforced monopoly agreements to “fix the resale price” and “restrict the minimum resale price”, which violated Article 14 of the Chinese Anti-Monopoly Law (the “AML”). The Shanghai Dealers agreed to and enforced monopoly agreements to fix or change prices, which violated Article 13 of the AML. Chrysler and the Shanghai Dealers eliminated and restricted market competition, disrupted the normal market order and impaired the legitimate rights and interests of other operators and consumers.
上海市物价局依据《反垄断法》第四十六条对克莱斯勒处以上一年度相关销售额3%的罚款，共计人民币3168.20万元；上海经销商依法作出处罚，对其中起到组织作用的上海越也处以上一年度相关销售额6%的罚款，对上海名创、上海信佳处以上一年度相关销售额4%的罚款，共计人民币214.21万元。
Under Article 46 of the AML, the Shanghai Price Bureau fined Chrysler in the amount of 3% of Chrysler’s sales revenue in the previous year, i.e., RMB 31.682 million. The Shanghai Price Bureau also fined the Shanghai Dealers. Shanghai Yue Ye, which organized the monopolistic transactions, was fined 6% of its sales revenue in the previous year. Shanghai Ming Chuang and Shanghai Jia Xin were fined 4% of their respective sales revenue in the previous year. The total amount of fines levied against the three dealers was RMB 2.1421 million.
（二）关注要点 Next Steps
目前，克莱斯勒已停止违法行为，根据法律规定修改了经销协议和商务政策，并向被处罚的经销商返还了罚款；同时宣布对旗下旗舰车型及零配件实施降价，并放开了零配件销售渠道。上海经销商已废止违法协议，并承诺不会与具有竞争关系的其他经销商商讨价格，坚持企业依法自主定价。
Chrysler has since ceased its misconduct, rectified its distribution agreements and business policies in accordance with the relevant laws and reimbursed its dealers for the fines previously imposed by Chrysler. At the same time, Chrysler announced a reduction in the prices of its flagship models and auto parts and relinquished its control over the distribution and sale of auto parts. The Shanghai Dealers have abolished the illegal agreements and have promised that they will not negotiate auto prices with competitors and will determine prices independently.
二、一汽-大众及湖北部分奥迪经销商：价格垄断被湖北省物价局处罚 FAW – Volkswagen and Certain Audi Dealers in Hubei: Fined by the Hubei Price Bureau for Monopolistic Pricing
2014年9月11日，湖北省物价局对一汽-大众及部分奥迪经销商在湖北省内实施的价格垄断行为分别作出了处罚决定，其中对一汽-大众处罚款2.4858亿元；对湖北鼎杰、湖北中基等8家奥迪经销商处罚款共计2996万元 [2]。
On September 11, 2014, the Hubei Price Bureau fined FAW – Volkswagen and certain Audi dealers for their monopolistic practices, which took place in Hubei Province. The fine against FAW – Volkswagen was RMB 248.58 million; the total fine against eight Audi dealers, including Hubei Ding Jie and Hubei Zhong Ji, was RMB 29.96 million [2].
（一）背景 Background
湖北省物价局查明，2012年以来，一汽-大众下属的奥迪销售事业部多次组织湖北省区域内的湖北鼎杰、湖北中基等10家奥迪经销商（统称“湖北经销商”）达成并实施整车销售及服务维修价格的垄断协议。以召集经销商签订《武汉地区奥迪限价表》、《华中小区价格方案保证书》等形式组织经销商达成并实施整车销售及服务维修价格垄断协议；通过直接下发《华中区湖北省严格执行奥迪标准价格体系通知》、《湖北省服务营销管理规定》、成立竞争秩序规范小组等形式督促经销商落实一汽-大众的价格管理措施。
The Hubei Price Bureau discovered that, since 2012, the Audi Sales Department of FAW – Volkswagen repeatedly coordinated Hubei Ding Jie, Hubei Zhong Ji and other eight Audi dealers in Hubei (collectively, the “Hubei Dealers”) to execute and enforce monopoly agreements in relation to automobiles sale and maintenance services. The Audi Sales Department executed and enforced monopoly agreements by coordinating Hubei Dealers to sign the Audi Restricted Price Program of Wuhan District, Guarantee to the Price Program of Central China. For the purpose of monitoring the Hubei Dealers’ enforcement of the price program, the Audi Sales Department issued the Notice on Strictly Implementing the Audi Standard Price System in Hubei Province Central China and the Hubei Service Marketing Management Rules, and established competition-controlled groups.
湖北省物价局另查明，2013年以来，部分湖北经销商除了参与一汽-大众组织的上述整车销售和服务维修价格垄断协议外，还通过签订《武汉经销商同盟价格表》、会议纪要等形式，达成并实施了整车销售的价格垄断协议。
The Hubei Price Bureau also discovered that, since 2013, certain Hubei Dealers also entered into and enforced monopoly agreements in relation to automobile sales, which are evidenced by the Unified Price Program for Dealers of Wuhan and meeting memorandums.
湖北省物价局认为，一汽-大众组织湖北经销商达成并实施整车销售和服务维修价格的垄断协议，其目的在于控制经销商对第三人转售的整车销售和售后维修价格，剥夺、干预了下游经营者的定价权，抬高了整车和备件的销售价格，排除、限制了整车和备件市场的正常竞争秩序，损害了消费者权益。上述行为违反了《反垄断法》第十四条的规定，属于“固定向第三人转售商品的价格”和“限定向第三人转售商品的最低价格”的违法行为。湖北经销商的行为违反了《反垄断法》第十三条的规定，属于“固定或者变更商品价格”的违法行为。一汽-大众在组织经销商达成并实施整车销售及服务维修价格垄断协议的过程中，起到了明显的主导和推动作用，各经销商在其中处于从属地位。
The Hubei Price Bureau determined that FAW – Volkswagen, in an effort to control the resale prices of automobiles and the prices of maintenance services between dealers and third parties, organized the entry and enforcement of the monopoly agreement. The monopoly agreements in relation to automobile sales and maintenance services interfered with the exercise of operators’ rights to determine prices, raised the prices of automobiles and auto parts and eliminated and restricted normal competition in the automobile and auto parts market. The monopoly agreements were regarded as “fixing the resale price” and “restricting the minimum resale price” in violation of Article 14 of the AML. The conduct of the Hubei Dealers was deemed to be “fixing or changing the price” in violation of Article 13 of the AML. FAW – Volkswagen was deemed as playing a leading role and the Hubei Dealers was deemed as playing a secondary role in the execution and/or enforcement of monopoly agreements.
湖北省物价局依据《反垄断法》第四十六条、《行政处罚法》第二十七条以及《反价格垄断行政执法程序规定》第十四条的规定，对一汽-大众处上一年度相关市场销售额6%的罚款2.4858亿元；对7家湖北经销商分别处上一年度相关市场销售额1%至2%的罚款；对主动报告达成价格垄断协议的有关情况并提供重要证据的湖北奥泽免除处罚，对华星汉迪按照上一年度相关市场销售额的1%减轻50%的处罚；对违法行为轻微并及时纠正，没有造成危害后果的武汉奥嘉不予处罚。8家奥迪经销商处罚共计2996万元。
Under Article 46 of the AML, Article 27 of the Administrative Punishment Law and Article 14 of the Regulations on Procedures for Administrative Enforcement of Anti-Price Monopoly, the Hubei Price Bureau fined FAW – Volkswagen an amount equivalent to 6% of the sales revenue in the previous year, i.e., RMB 248.58 million. Seven of the Hubei Dealers were fined 1- 2% of their respective sales revenue in the previous year. Since Hubei Ao Ze, on its own initiative, reported the relevant details of the price monopoly agreements and provided sufficient material evidence of the same, its penalty was rescinded. Hua Xing Han Di were fined 1% of its sales revenue in the previous year with a 50% reduction. Wuhan Ao Jia was not sanctioned because it timely rectified its minor violation and was not responsible for any harmful consequences. Eight of the Hubei Dealers were fined a total amount of RMB 29.96 million.
（二）法律点评 Legal Review
上海市物价局、湖北省物价局于同日分别对克莱斯勒及一汽-大众的价格垄断行为进行处罚。虽然克莱斯勒及一汽-大众均被认定达成并实施“固定向第三人转售商品的价格”和“限定向第三人转售商品的最低价格”的垄断协议，但是两者的行政处罚标准不一，克莱斯勒被处以上一年度相关销售额3%的罚款，一汽-大众却被处以上一年度相关市场销售额6%的罚款。上海市物价局、湖北省物价局的行政处罚公告并未解释罚款金额比例的依据。
The Shanghai Price Bureau and the Hubei Price Bureau sanctioned Chrysler and FAW – Volkswagen, respectively, on the same day. Despite the fact that both Chrysler and FAW – Volkswagen engaged in practices resulting in “fixing the resale price” and “restricting the minimum resale price,” Chrysler was fined the equivalent of 3% of its sales revenue in the previous year, by contrast, FAW – Volkswagen was fined the equivalent of 6% of its sales revenue in the previous year. Neither price bureau disclosed the basis for the assessment.
《反垄断法》规定，经营者达成并实施垄断协议的，由反垄断执法机构责令停止违法行为，没收违法所得，并处上一年度销售额百分之一以上百分之十以下的罚款；尚未实施所达成的垄断协议的，可以处五十万元以下的罚款。因此上海市物价局、湖北省物价局的行政处罚决定符合《反垄断法》规定的比例。
If operators implement price-fixing agreements, the AML stipulates that the anti-monopoly enforcement authority may order the parties to cease the misconduct, confiscate illegal gains and impose a fine equivalent to 1% to 10% of each offending operator’s sales revenue in the previous year. If the operators have not implemented price-fixing agreements, the anti-monopoly enforcement authority will impose a fine under RMB 500,000. The penalties assessed by both price bureaus, however, were within the range stipulated in the AML.
《反垄断法》同时规定，经营者主动向反垄断执法机构报告达成垄断协议的有关情况并提供重要证据的，反垄断执法机构可以酌情减轻或者免除对该经营者的处罚。《反价格垄断行政执法程序规定》进一步明确，第一个主动报告达成价格垄断协议的有关情况并提供重要证据的，可以免除处罚；第二个主动报告达成价格垄断协议的有关情况并提供重要证据的，可以按照不低于50%的幅度减轻处罚；其他主动报告达成价格垄断协议的有关情况并提供重要证据的，可以按照不高于50%的幅度减轻处罚。
The AML further stipulates that where an operator, on its own initiative, reports the relevant details of a price-fixing agreement and provides sufficient material evidence to the anti-monopoly enforcement authority, the latter may exercise its discretion to reduce or rescind the fine. In addition, the Regulation on Procedures for Administrative Enforcement of Anti-Price Monopoly provide that the first operator that, on its own initiative, reports the relevant details of the price-fixing agreements and provides sufficient material evidence of the same may avoid sanctions; the second operator to do so may receive a sanction reduced by no less than 50%; and other operators to do so may receive sanctions reduced by no more than 50%.
如果经营者实施价格垄断协议的，建议尽早主动向国务院及地方价格主管部门，即国家发改委、地方发改委或物价局报告达成垄断协议的有关情况并提供重要证据，以便价格主管部门可以酌情减轻甚至免除处罚。
In order to reduce or even rescind the fine, the operator that implemented the price-fixing agreement should report the details of the price-fixing agreement and provide sufficient material evidence to the price authorities of the central government and the local government (i.e., the National Development and Reform Commission (“NDRC”), the local office of the NDRC and the local Price Bureau).
克莱斯勒及一汽-大众因价格垄断行为被行政处罚的更多背景信息及法律点评请见2014年8月的外商投资要闻简讯。
Please refer to our August Foreign Investment Bulletin for details on the background and our legal review of this case.
（三）关注要点 Next Steps
一汽-大众及湖北经销商均积极进行了整改，停止了违法行为，并于8月1日下调了奥迪原装备件价格；湖北经销商已全面废止违法协议，修改了营销政策，并承诺严格遵守反垄断法，杜绝违法行为。
FAW - Volkswagen and the Hubei Dealers have actively rectified and ceased their misconduct and, effective as of August 1, 2014, have reduced the prices of Audi original auto parts. The Hubei Dealers have fully abolished the illegal agreements, modified their marketing policies and promised to strictly abide by the AML and to prevent any future violations.
三、苹果公司： iPhone 6手机产品获得中国的进网许可 Apple: Obtained Network Access License for iPhone 6 in China
2014年9月30日，工业和信息化部向苹果公司的iPhone 6手机产品发放进网许可 [3]。苹果公司于同日公布将于2014年10月17日在中国发售iPhone 6和iPhone 6 Plus [4]。
On September 30, 2014, the Ministry of Industry and Information Technology (the “MIIT”) granted a network access license to Apple's iPhone 6 mobile products [3]. Apple announced on the same day that iPhone 6 and iPhone 6 Plus would be available in China on October 17, 2014 [4].
（一）背景 Background
工业和信息化部于2014年9月17日公布的《无线电发射设备型号核准信息公开》目录 [5]显示，苹果公司四个型号的蓝牙移动电话机（即iPhone 6和iPhone 6 Plus）获得无线电发射设备型号核准。
The Approved Radio Transmitting Equipment Types Catalog published by the MIIT on September 17, 2014 [5], reveals that Apple received four Radio Transmitting Equipment Type Approvals for its Bluetooth mobile phones (i.e., iPhone 6 and iPhone 6 Plus) .
2014年9月30日，国家工业和信息化部向苹果公司的iPhone 6手机产品发放进网许可。
On September 30, 2014, the MIIT granted a network access license for Apple's iPhone 6 mobile products.
（二）法律点评 Legal Review
智能手机既是一种无线电发射设备，又是一种电信终端设备。无线电发射设备是指各种发射无线电波的设备，但不包含可辐射电磁波的工业、科研、医疗设备、电气化运输系统、高压电力线及其他电器装置等。电信终端设备是指连接在公用电信网末端，为用户提供发送和接收信息功能的电信设备。
Smart phones are not only radio transmitting equipment but also telecommunications terminal equipment. Radio transmitting equipment refers to a variety of devices emitting radio waves, but does not include industrial equipment with electromagnetic radiation, scientific equipment with electromagnetic radiation, medical equipment with electromagnetic radiation, electrified transportation systems, high voltage power lines and other electrical devices. Telecommunications terminal equipment refers to the telecommunications equipment at the end of a public telecommunications network, which allows users to send and receive information.
智能手机只有获得由工业和信息化部核发的“无线电发射设备型号核准证”、型号核准代码以及进网许可证后，方可接入公用电信网使用和在国内销售。
In order to access the public telecommunications network and sell smart phones in China, manufacturers must receive Radio Transmitting Equipment Type Approval, Type Approval Code and a network access license from the MIIT.
智能手机给用户带来便利的同时，也带来泄漏个人隐私的风险。为维护用户个人信息安全和合法权益，保障网络与信息安全，2013年11月1日起生效的《工业和信息化部关于加强移动智能终端进网管理的通知》要求，生产企业不得在移动智能终端（含智能手机）中预置具有以下性质的应用软件：（一）未向用户明示并经用户同意，擅自收集、修改用户个人信息的；（二）未向用户明示并经用户同意，擅自调用终端通信功能，造成流量消耗、费用损失、信息泄露等不良后果的；（三）影响移动智能终端正常功能或通信网络安全运行的；（四）含有《中华人民共和国电信条例》禁止发布、传播的信息内容的；（五）其他侵害用户个人信息安全和合法权益以及危害网络与信息安全的。
Users may enjoy the convenience of smart phones, but may also incur the risk of personal information leaks. In order to protect the safety of users’ personal information and their legitimate rights and interests as well as to ensure the safety of the network and data, the MIIT issued the Circular of the Ministry of Industry and Information Technology on Strengthening the Administration of the Network Access of Mobile Intelligent Terminals (the “MIIT Circular”), which is effective as of November 1, 2013. The MIIT Circular provides that manufacturers cannot pre-install on mobile devices (such as smart phones) any application software that contains any of the following functions: (1) collecting and modifying users’ personal information, without explicit notice and the users’ prior consent; (2) changing communication functions and, thereby, causing adverse consequences, such as increasing network consumption and expenses as well as personal information leaks, without explicit notice and the users’ prior consent; (3) affecting the normal function or the safe operation of the telecommunications network; (4) containing any information that cannot be released or disseminated under the Regulation on Telecommunications of the People's Republic of China; and/or (5) infringing the security of personal information and the legitimate rights and interests of the users and jeopardizing the network and information security by other means.
（三）关注要点 Next Steps
有媒体报道苹果公司iOS系统的三个后台服务程序存在泄漏个人隐私风险，有被恶意利用的可能性。工业和信息化部委托国内信息安全权威检测机构对iOS系统进行了严格的安全性检测，检测表明三个后台服务程序存在被利用的可能性。工业和信息化部就此事专门约谈了苹果公司，提出了相关安全管理要求。苹果公司向工业和信息化部提交了正式材料，表示这三个后台服务程序为诊断工具，“不允许苹果公司在没有用户同意的前提下介入任何信息，”同时，“已经在iOS8中采取了措施，允许用户清除已授信电脑的名单列表，从而使恶意使用诊断工具变得更加困难，”“进一步提升用户的安全性和隐私保护，”承诺“从未与任何国家的任何政府机构就任何产品或服务建立过所谓的‘后门’”，并且“永远不会” [6]。
According to news reports, three of Apple’s iOS operating systems may be at risk of allowing unauthorized access to personal data and allowing malicious use. The MIIT authorized a domestic information security testing institution to conduct a rigorous security test on the iOS operating system. The test results indicate that the iOS operating systems are likely to be utilized maliciously. The MIIT discussed the above concerns with Apple and proposed requirements for the management of data security. In response, Apple explained that the problematic functions of the operating systems identified by the MIIT are only used for troubleshooting and diagnosing issues. Apple also asserted that, it “is not allowed to access any information without users’ prior consent”. At the same time, Apple “has taken measures in iOS8 allowing users to clean up their lists of authorized computers. It becomes more difficult to utilize the troubleshooting tools maliciously.” Apple “will enhance the security and the protection of privacy for users”. Apple also provides the following pledge to consumers: “Apple promised that it “has never worked with any government agency from any country to create a ‘back door’ in any of our products or services. We have also never allowed any government access to our servers. And we never will [6].”
我们将持续关注移动智能终端设备个人隐私的保护的实践及立法发展。
We will continue to monitor the practice and legislative development of personal privacy protection in relation to smart phones.
[1] http://www.chinadevelopment.com.cn/qgjgzs/2014/09/691583.shtml
[2] http://www.hbpic.gov.cn/chn201201110924533/article.jsp?articleId=45084
[3] http://www.miit.gov.cn/n11293472/n11505629/n11506554/n11517516/n11517732/n11920225/16152545.html
[4] http://www.apple.com/cn/pr/library/2014/09/30iPhone-6-iPhone-6-Plus-Available-in-China-on-Friday-October-17.html
[5] http://www.miit.gov.cn/n11293472/n11293832/n12845605/n13916943/16136239.html
[6] http://www.miit.gov.cn/n11293472/n11505629/n11506554/n11517516/n11517732/n11920225/16152545.html