On the Construction of National Technical Standard System

On the Construction of the National Technical Standard System Appendix I

Edition of the General Report for Soliciting Comments

June 2004

1 On the Construction of the National Technical Standard System

Contents

Preface...... 1 PartⅠ current situation and historical mission of the Development of national technical standard system...... 12 I. A Brief review on the history of standardization...... 12 II .Current situation and problems...... 15 (I) Current situation and achievements...... 15 (II) Main problems...... 18 (III) Root of the problems...... 20 (IV) Significant influence...... 38 III. Historical mission...... 45 Part II Characteristics and Enlightenments of Technical Standard System in Foreign Countries...... 50 I .Current situation and problems...... 50 (I) Voluntary standard system...... 50 (II) Multilayered technical statute system...... 52 (III) Complete implementation and supervision system of standard...... 53 (IV) Normative certification assessment procedures...... 53 (V) Inspection authorities participating in standard drafting and investigation 55 (VI) A management system featured by government authorized but non-governmental organizations playing leading roles...... 56 (VII) Market-oriented principle when establishing standard...... 58 (VIII) Information-oriented standard service...... 59 (IX) Diversified fund sources from finance support and standardization outlay 59 II. Main enlightenments...... 59

2 On the Construction of the National Technical Standard System (I) Enlightenment on the construction of standard system...... 59 (II) Enlightenment on management system of standardization...... 60 (III) Enlightenment on standard operating system...... 60 (IV) Enlightenment on standard positioning...... 61 Part Ⅲ Construction of national new technical standard system...... 63 I.Guidelines, general target and basic principle of construction of the new system..63 II. Major components of the new system...... 64 III. Construction of the new system...... 67 (I) Law and statute system of standardization...... 67 (II) Voluntary standard system...... 72 (III) Multilayered technical statute system...... 73 (IV) Management system of standard...... 76 (V) Operational mechanism of standard...... 77 (VI) Implementation system of standard...... 83 (VII) Guarantee system of standard...... 85 (VIII) Service system of standard...... 90 IV. Comparative illustrations on some key issues of new and old systems...... 93 Part Ⅳ : Implementation of national technical standard system of PRC 98 I.Implementation principle...... 98 II.Implementation procedures...... 99 III. Countermeasures...... 102 Accessory: technology supporting report...... 104

Preface

National technical standard system is an organic integration consisting of national standards, associaion standards and enterprise standards with inherent relations, which involves a series of social, economic, science &t technology and public living fields. It acts as the guidelines for the standardization practice and provides fundamental basis for the scientific and proper construction of the technical standard system in various industries and enterprises. The construction of the national technical standard system is a system engineering aiming at optimizing and improving such links as research, establishment, implementation, supervision and services of technical standards.The goals of constructing an all-round well-off society and establishing and improving a socialist market econimy set forth by the 16th NPC presents demands to accelerate and improve the construction of national technical standard new system, deepen the reform on its administrative system and operational mechanism, formulate and improve its implementation, guarantee and service system so as to achieve an all-round, coordinated, rapid and sustainable development of a standardization cause in PRC. Construction of a new national technical standard system is an urgent demand for establishment and improvement of socialist market economy system. A fine economic and market opering order may offer system foundations for a sound and steady development of national economy. It is also a necessary condition and environment for fair competition of subject of market and rational flow of resources. As a system safeguard for market operational mechanism, the national technical standard system is not only a necessary method to maintain national economic orders, but also a vital foundation for promoting economic developments and scientific & technological progress. It functions as technical backup for sharpening national competitive edge as well. It is playing a leading role for the upgrade of product’s quality, optimization of economic benefits, regulating of market orders, utilization of resources in a rational way and environmental protection, promotion of a scientific development concept featured by human-oriented economy and an all-round sustainable development society. Construction of a new national technical standard system is an urgent demand for

4 On the Construction of the National Technical Standard System promoting international trades and safeguarding national security. With the accelerating process of economy globalization and trade liberalization, domestic markets get integrated into the international markets rapidly. Therefore, technical standards sees increasingly important functions in international trades. WTO members take “technology wall” with the major contents of technology regulations, standards, qualification assessment procedures as a substitute of tariff wall. At present, the former “wall” has been a rational and effective trade protective measure. Therefore, to a great extent, competitions in the international markets has already evolved into technical standard competition. However, the current overall level of China’s technical standards lags behind. Especially in the field concerning high and new technology, the current status of being controlled by foreign advanced countries has severely impacted the competitive strength of China’s products at international market. Standardization operations lagging behind resulting in measures for five legitimate objectives protection unable to take effect in time has severely threatened the economic security of China and restricted the sustainable development of China’s economy and society as well. Construction of a new national technical standard system is an urgent demand for promoting scientific and technological progress and technology innovation. Scientific & technological progress and technology innovation is the ultimate motive power of economic and social development. It is a kind of fountain that can never be drained for the improvement of national competitive edge. Only realizing the transformation from scientific & technological achievements into practical productivity can the scientific & technological advantage be converted into competitive advantage, which in turn achieves economic advantages. Moreover, giving full play to the operation of technology diffusion of standard to promote the transformation from scientific & technological achievements to practical productivity is a very important means and measures to launch new products, form new industry and facilitate optimization and upgrade of the industrial structure. And it is a bound choice to take every effort to improve the technical level of standards so as to realize “the strategy of science and education prospering China”. Construction of a new national technical standard system is an urgent demand for the improvement of China's law and statute system. Administration according to law is an

5 On the Construction of the National Technical Standard System ultimate requirement for the construction of a socialist legal state and is an essential guarantee for propelling the development of economy and society in an all-round way. A normative and improved law and statute system offers basis for government administration according to law. The establishment and improvement of law and statute system related to standardization so as to realize the transition from the currently active mandatory standards to mandatory technology specifications and eventually transition to technical rules is the legal guarantee for the management according to law and the all-round development of standardization operations. It also functions as an important part of the law and statute system of PRC. Construction of a new national technical standard system is an urgent demand for deepening the reform of administration system.The establishment of a modern public service government is a primary goal of its administration reform, which involves government functions positioning and administrative style innovation. The primary function of government administration is to provide public articles and services reliably and efficially, and transfers to the enterprises those products and services that can be supplied by the market and enterprises.The administrative style of directly intervening markets and enterprise behaviors shall be transformed to provide legal guarantee, policy guidance and normal services for the healthy operations of markets and enterprises. The improvement of management system and operational mechanism of the new national technical standard to realize right-about–face change of the standardization management mode is a bound demand and an important content of deepening reform of government administration. Construction of a new national technical standard system is an urgent demand for sharpening competitive edge in the international market. In face of the booming and ever- changing new situations and new challenges, the current national technical standard system, which was born out of such a period with specific economy pattern featured by giving priority to planned economy whereas market economy only functioning as its complement, is far from satisfaction of the practical requirements for all-round development of economy and society concerning the following aspects as enhancing capabilities of technology innovation and aggressively tapping the market, improving quality and added value of export commodities and expanding export of high and new technology products as well as enhancing the

6 On the Construction of the National Technical Standard System capability of participating international cooperation and competition. Therefore, how to establish a new national technical standard system that is able to conform to socialist market economy system and basic rules of international trade, speed up China’s economic development and scientific & technological progress and enhance international competitive strength as soon as possible becomes a very important and urgent task to be accomplished. The architecture and construction ideas of a new national technical standard system. The Construction of a new national technical standard system consists of two large sections ,the basic system construction and the introducing system construction. As the principal part of the construction of overall new system, the basic system includes two kinds of forms, transitional period form and objective state form. During the transitional period, mandatory technical specification system and voluntary standard system will be established to ensure smooth transition of mandatory standards; while objective state will achieve complete desquamation between technical regulation and technical standard, and a sound voluntary standard system consisting of national standard, associaion standard and enterprise standard will be formed. Introducing system is a foundation for the survival and development of the basic system. It is a complicated system design which is restricted by many factors and has an wide influences. It involves the following issues as coordination and support of law and regulation, connections between mandatory technical specifications and its technology regulation system, organic incorporations with voluntary standard system as well as how to frame the management system, operational mechanism, supervision carrying out system, security system and service system inside the promotion system and their coordination and supporting operations. Therefore, construction of a national technical standard system is a significant and sophisticated system engineering, which requires an overall idea featured by integral coordination, key point breakthrough, steady implementation and substantial results ensuring. Main contents of the researching task on the construction of a new national technical standard system. An comprehensive analysis covering current situation and development trend of foreign technical standard systems and accurately taking full command of current situation and existing key problems of technical standard system of PRC offers

7 On the Construction of the National Technical Standard System foundation for the construction of the new system. The formulation of a basic system with law and regulation as basis and the voluntary standard system as principal part is the key point in construction of the new system. A reform scheme for the technical standard management system, operating mechanism, implementation supervision and the ensuring service system which is suitable for our national conditions is critical to the construction of the new system. Rectification of current technical standards so as to actively propel transformation from current mandatory standards to mandatory technical specifications until the transformation of technology regulations and the transformation from current professional standard to associaion standard is relized serves as precondition of new system construction. speeding up establishment of technical standard systems in the key areas is the penetration point in the construction of the new system. The above five important issues constitute the major contents of this reseraching task. Following are the basic theories and methods used in this report: ——Public administrative theory. In accordance with the basic positioning to roles and functions of a modern government defined by public administration theory, the government shall mainly provide public articles and services in relation to national interests and public interests of the society, while other products and services shall be completely transferred to the market and enterprises to accomplish. The government shall protect national interests and public interests of the society by laws and regulations to exercise the finite administration and macro-control. — — Principle of government economics. According to the basic principles of the government economics, the government is an entity possessing tremendous investments and outputs involving transaction costs and management benefits. Exercising administration by law and offering public services, the modern government must be an economic government with low investments but high yields, i.e., public articles and services in the form of policies as its output must consume minimum investments while gain maximum economic and social benefits. Therefore, rectification of current national technical standards, elimination of the cross and repetitive policies enacted by different government departments and establishment of a voluntary standard system will be bound to decrease public administration costs of the

8 On the Construction of the National Technical Standard System government and improve its management efficiency. — — Theory of “study by the third party”. According to “study by the third department” theory, non-profitable organizations, as “the third party” neither equal to the government nor the market, will function uniquely and make up for the dual defects taking place when both the government and the market do not work properly. By comparison with governmental public functions concerning providing public articles and services, non- profitable organizations are featured by such advantages as neutrality, diversified self- determination, wide-ranging participation, flexiability and low cost. Thus, this study lays special emphasis on exercising functions of associations---a kind of nonprofit organizations--- in the construction of the national technical standard system. And it proposes that associaion standards shall serve as a part of the voluntary standard system to fit the sharp changes of economic environments and diversified market characteristics. ——System theory. According to the structural and functional principle of the system theory, exertion of overall functions of a system not only relies on the characteristics of various factors that constitute the system, but more importantly relies on the structural relationships among those factors and the relationship between the system and the external environments. Based on the above theory elaborated, this study concern not only the construction of the basic system, but much more the construction of the promotion system that provides basis for the survival and development of the basic system as well as the coordination and harmonious development between the two systems. Consequently, the integrated functions of the national technical standard system can be effectively exercised. During the overall process of this study, the following specific research methods are adopted: — — Method of theoretical guidance in combination with empirical analysis. The construction of the national technical standard system is a research task with very strong applicability and practicality. Under the ideological guidance of such fundamental principles as public administration, government economics, theory of structural function and standardization theory, we stress on the demonstrative investigation and study of current situations of domestic and foreign

9 On the Construction of the National Technical Standard System technical standard systems and their development trends, hoping that our study will be both theorically far-seeing and practically feasible, will have practical effects on the current reform and leave some space for the forthcoming development . — — Method of vertical comparison in combination with horizontal comparison. During the process of this study, we carry out combing the development evolution of China’ standardization cause with a historically vertical comparative approach and give special emphasis on the comparison and analysis of existing problems and their historical contributing factors, which lay a factual foundation for our further analysis and study. Meanwhile, we conduct a comparative analysis for the current situation and characteristics of foreign technical standard systems with a synchronistically horizontal comparative approach, which offers reference basis to the establishment of the new national technical standard system. We see an issue on how to handle the relationship between utilization for reference and development hereby. We shall use experiences of foreign advanced countries and international practices for reference and simultaneously incorporate with China’s development characteristics at present stage. Only in this way the construction of a new system can both get integrated into international practices and be suitable for the national situation of PRC.

——Method of overall propulsion in combination with key point breakthrough. The construction of the national technical standard system is a great system engineering, so it is impossible to advance in parallel and be accomplished in one move. During the study, we stress on the overall reform of the technical standard system, at the same time we focus on taking the key issues as penetration points, thereby we can fan out from a point to an area, and combine work at selected points with that of the whole area so that mutual promotion will be achieved.

— — Method of active responses in combination with steady implementation. We stress in the study that we should not only recognize the challenge and pressure on the technical standard system generated by economy globalization and China’s economic development, but also see the deep-seated reality of enormous old system still exercising function and long-existed system problems. We should actively advance forward and steadily implement the reform at the same time so as to smoothly handle the replacement and

10 On the Construction of the National Technical Standard System connection from the old system to the new system and ensure their smooth transition.

Part Ⅰ Current Situation and Historical Mission of the Development of National Technical Standard System

I. A brief review on history of standardization.

Standardization is a process in such social practice activities as science and technology, economy & trade and management, etc. In this process, repetitive matters and concepts reach unified by the establishment and implementation of standards so as to obtain optimal order and the best effectiveness. Standardization is a subject as well as a management technology. Its range of applications almost covers all of the areas relevant to human activities. Standardization efforts have a very long history. Characters invented by the human race in remote antiquity is one of the most outstanding achievements of standardization efforts. The establishment of uniform measures and weights and the unity of the wheel base and so forth by the first emperor of Qin initiated standardization efforts in ancient China. It may be said that "Tian Gong Kai Wu (Exploitation of the Works of Nature)" , a work of science and technology of Ming dynasty (1368-1644), is a collection of grand achievements involving Chinese ancient production technology and a summary of standardization experiences. Standardization, in a modern sense, is the outcome of Industrial Revolution in western modern times. In May,1865, the representatives from 20 countries including France, Germany, Russia etc., convened in Paris and established the first international organization for standardization--- International Telegraph Union. The establishment of British Engineering Standard Committee in 1901 announced the birth of the first national standardization organization in the world. In June,1906, representatives from 13 countries including Britain, France, the United States and Japan, etc. gathered in London and formally established International Electrotechnical Commission( IEC). Till 1932, 25 countries in the world established national standardization institutions. In February,1947, the establishment of International Organization for Standardization(ISO) sponsored by 25 countries ushered in a

11 On the Construction of the National Technical Standard System new epoch in standardization history of human being. As one of the sponsor countries of ISO, china established its industrial standardization committee as early as December, 1931. Making a general survey of the development history (1) of standardization in modern times, it is not difficult for us to come to such a conclusion: industrialized mass production is the “brooder" and "propeller" of standardization operations in modern times. Firstly, only producing products in accordance with such technical requirements as uniform specifications, dimensions and so forth could the predominance of industrialization be maximally exercised and the cost reduction and productivity improvement be achieved. This is so-called production property raised in standards. Secondly, the social division of labor and the specialized production promots the demands for commonality and interchangeability of products. This is so-called trading property raised in standards. With the expansion of the industrialization scale and the market scope, especially the rise of the international trade, uniform technical requirements in a more larger range became an inherent demand in the law of economic and trading development. The birth, development and strengthening of national standard organizations, regional standard organizations and International Standard Organization are the inevitable outcomes adapted to this historical trend. Since 1960s, with the development of global economy and international trade, WTO has established important status of technical standards in the international trade by signing technological trade barriers treaty (TBT agreement) and so forth,. Its "Appropriate Behavior Norm of Formulation, Adoption and Standard Implementation" has become the code of behavior in standard institutions at all levels. International standards are not only the basis for reference when members formulate their technical regulations and standards, but also the basic grounds when they sign contracts and settle disputes in international trade. Ever since then the trading property of technical standards has been highlighted and the function of technical standards to international trades, economic developments and technology diffusions has raised to an unprecedented height. The development process of China's standardization is an epitome of its social economy development and social systems transition. From the prospective of the evolution of the China national technical standard system and the standardization management system , the

12 On the Construction of the National Technical Standard System development process of China national technical standard system can be divided into the following three stages.

The First Stage（1949-1988） A national technical standard system that accommodates socialist planned economy system has been gradually built up. The "Administrative Regulation on Standardization of the People’s Republic of China" issued in 1979 served as the legal basis and the remarkable achievement of standardization operations at this stage.This regulation stipulated that standards in China shall be divided into national standards, ministrial (specialty) standards and enterprise standards. The State Council and its departments, local governments and enterprises all shall set up institutions to administrate standardization operations. National and ministrial (specialty）standards shall be developed by those key standardization institutions designated by those authories concerned.and approved and issued by responsible departments. Furthermore, once issued, those standards shall validate and function as technical regulations and must be strictly carried out and implemented. And product standards of enterprises must be approved by the departments that is in charge of the enterprises. The main features of the composition of the national technical standard system and the mode of its operation and management at this stage are that the government played the leading role, administrative orders were exercised as basic means and the administrative compulsory means was adopted to secure implementation of standard.

The second stage（1988-2001） A national technical standard system, which offered technical basis suitable for the transition to socialist market economy system, had been gradually built up to accommodate socialist commodity economy with certain extent of plan. The "standardization law of people 'S republic of china" issued in 1988 and the "enforcement regulations on standardization law of people' S republic of china" issued in 1990 and A series of department regulations and normalization management documents that were subsequently issued served as legal basis of standardization operations and remarkable achievements at this stage.

Standard in China was divided into national standard, professional standard, local standard and enterprise standard at this stage. And standard was classified into such two types as mandatory standard and recommendation standard. From the perspective of standard formulation, more standards were referred to professional technical committee for standardization consisting of experts to take charge of draft and deliberation. And the state encouraged adaptation of international standard and foreign advanced standard. From the perspective of standard implementation, state encouraged enterprises to adopt recommendation standard of their own accord. Meanwhile, product authentication system was promoted and those qualified could make use of authentication mark. These measures were significant innovations on national standard management system and national technical standard system with reference to the operating mode of ISO and in combination with China national situation. And they established basis for connection with international practices and the development hereafter. We have to admit that as a result of limitation of objective condition and restriction from management system and operation mechanism ， national technical standard system still had not shaked off the trammel of planned economy system. Such negative factors, for instance, standardization management model characterized by plan playing the leading role and government functioning as major players in the market had hindered the full exertion of standardization operation potentials.

The third stage（2001-） A national technical standard system and a standardization management system in accommodation with socialist market economy system started to be established. In order to be seasoned with WTO rules and the demand for improving socialist market economy system, the State Council initiated China National Standards Administration Committee (SAC), which has become the origin of China national standardization reform in the new century and conducted beneficial attempt for the reform of China national technical standard system and standardization management model.

II. Current situation and problems

(I) Current situation and achievements

Ever since the establishment of the People's Republic of China(1949--), especially over twenty years development after adopted the policy of reform and open door to the outside world, remarkable achievements on national standardization operations have been gained. To the end of the year 2003, there were 20,906 items of national standard in the People’s Republic of China (excluding standards of engineering constructions after NO.GB50, 000), among which there were 2952 items of mandatory national standard, 17,899 items of recommendation national standard and 55 items of directional technical documents on national standardization, covering as many as 8 sections including foundation, method, security, sanitation, environmental protection, product, management and the other, etc.(the condition of national standard type distribution see figure 1.1); and there were over 28,000 items of professional standard, 5737 items of local standard and nearly 1,110,000 items of enterprise standard put on records. These standards have been exercising vital functions for the enhancement of China's product quality, production cost reduction and acceleration of economy development. The next step is to summarize the current state of layer structure, management system, operation mechanism and administrative organization, etc. in the existing national technical standard system so that comprehend the basic condition of existing national technical standard system from the perspective of an overall sense.

Sanitation 4% Security The 卫生 Product 3% 产品 others其他 0% 4% 安全 30% 3% 30% 0%

Foundatio n 19%基础 19% Method Management管理方法 41% Environmental环保 2%2% 41% protection 1% 1%

Figure1.1The Type Distribution of National Standard

China national standard can be divided into such four layer structures as national standard, professional standard, local standard and enterprise standard from the perspective of layer structures of national technical standard. The structure is shown as figure 1.2.

Layer structure of existing national technical standard

Layer structure of Layer structure of mandatory standard recommendation standard

Figure 1.2 Layer Structure of Existing National Technical Standard

From the perspective of management system, the organizational framework mainly consists of national standardization administration committee, relevant administration departments concerned of the State Council, standardization administration departments concerned of province and autonomous regions and municipalities directly under the Central Government and institutions of enterprise standardization. And national standard is under the centralized management of national standardization administration committee, professional

standard is mainly under the supervision of responsible administrative departments of the State Council, local standard is under the control of responsible administration departments of provinces, autonomous regions and municipalities directly under the Central Government, and enterprise standard is under the management of enterprises independently, product standard of enterprise shall be put on records. From the perspective of operational mechanism, mandatory standard is compulsorily implemented by department concerned of government; recommendation standard is adopted by the enterprises at their own will and shall be in combination with product authentication system. From the perspective of modification process, formulation and modification on national standard is mainly performed by National Standardization Administration Committee in a unified form; formulation and modification on professional standard is conducted by responsible administration departments of the State Council, formulation and modification on local standard is made by responsible standardization administration departments of provinces, autonomous regions and municipalities directly under the Central Government, and formulation and modification on enterprise standard is executed by enterprises themselves. Especially from the perspective of Frame of management and operation structure of current national, management operation process of nationalprofessional standard, and local standard professional standard and local standard, the requirement proposal, organization of formulation, promulgation and implementation of the majority of the standards are conducted by departments of government(basic management and operational frame of current national, professional and local standard is shown in diagram Demand of Raise of Layers of Forms of Promulgation Property of standard1.3). standard standard standard of standard standard S S A M E A L F N G L F S M R L A A d r o A n o o e o d a u C C a a o m r t c c t c m i c C i e m m n i l a a n a i o d o r n i l l d l l p a n n y m a i a s s l a r a a s i b

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g u i l d On the Construction of the National Technical Standard System

Diagram 1.3 Frame of Management and Operation Structure of Current National, Professional and Local Standar

Survey indicated that by the end of the year 2003,there were 362 standardization administrative agencies in provinces and municipalities (regions)；one national research institution on standardization---

China Academy of Standardization; 26 research institutions subordinated ministries and commissions and specialized standardization institutions; 158 standardization research institutions subordinated provinces, autonomous regions and municipalities directly under the Central Government(regions) ； one national standardization association and 85 standardization associations subordinated provinces, autonomous regions and municipalities directly under the Central Government(region) and 12 specialized standard associations subordinated ministries and commissions; one press on national standard ； one national standard library；and currently there are 259 all kinds of technical committees on specialized standard,

339 branch technical committees including total number of over 30,000 committee members ；And there are 100,000 research and development personnel who are engaged in standardization study in sections covering standardization academy and research institutes, universities, enterprises and institutions; and there are over 22,000 management personnel of standardization. And among them, those with senior professional titles account for 23%, intermediate professional titles account for 58% and primary professional titles account for 19% and educational background upward junior college accounts for 89%.To sum up, since its establishment, the People's Republic of China has been acquired tremendous achievements on its standardization efforts, which have been exercising undoubted functions in the development of national economy and society.

However, with economy globalization and China's entry to WTO, such series of problems rooted from the structural barriers existed in current national technical standard system, and its derivatives such as disagreement with WTO requirements on content and form of technical standard, incapable of adapting to the market demand and hindrance to the progress of science and technology, have come a bottleneck when adjust China's economic structure, standardize market order and sharpen the competitive edge of product.

This report will separately conduct study on key problems existed in current system, root of those problems and their influences by following such basic ideas as taking the discovery of problems existed as precondition, analysis on the root of the problems as key point and elimination of influences as purpose.

(II) Main problems

The principal part of current national technical standard is national, professional and enterprise standard. All of the fields in various layer structures and different kinds of technical standard constitute the essence of the basic system of national technical standard. Therefore, key problems existed in specific technical standard on each layers must be analyzed so as to objectively and accurately seize those essential problems existed in current technical standard. Meanwhile, for the purpose of mastering the defects existed in basic system of current national technical standard from a thorough and overall sense, only by conducting a thorough and detailed analysis to the rationality, integrality and scientificalness of basic system structure can a reliable argument basis be offered to the establishment of the new system. Based on the above analysis, this report firstly analyzes the problems existed in technical standard at different layer structures and in return to reveal the defects existed basic system of current technical standard. 1. Problems existed in technical standard

Currently there are 54,279 items of national, profession and local technical standard altogether. Furthermore, all of them include such two types as mandatory standard and recommendation standard, which serve as main basis for market supervision of the state and all levels of government and the production operations of businesses at all levels. Because the influential scope of national standard, professional standard and local standard is much greater than enterprise standard, for the convenience of seizing the key points, we will put emphasis

19 On the Construction of the National Technical Standard System upon discussion on the key problems existed in current national standard, professional standard and local standard. （1） Problems existed in national standard National standard is the foundation and core element of national technical standard system. In a sense, problems existed in national standard reflect the defects in current technical standard system from another aspect. Therefore, a thorough analysis on the problems existed in national standard is vital to the further analysis on system structure of national technical standard. Investigation and research indicate that there mainly exist the following aspects of problems in current national standard. ① The formulation and modification cycle of standard lasts too long, which can not satisfy the market requirement. Statistics analysis on formulation and modification project involving 8,389 items of national standard from 1993 to 2000 indicates that average formulation and modification cycle of national standard is 4.7 years. Due to its prolonged cycle on standard formulation, it can not be seasoned with the steps of technological progress and industrial upgrade.

Table1.1 Questionnaire on formulation and modification cycle of national standard project Number Cycle Quantity of Proportion（%） standard 1 Within three years 3,690 43.99 2 Within four years 1,391 16.58 3 Within five years 1,146 13.66 4 Within six years 578 6.89 5 Ten years or above 716 8.35

② Standard age is too old and outdated. Survey on 20,906 items of national standard indicates that the average age of national standard reaches as many as 10.12 years. The oldest is 41 years. And there are 30 items of national standard issued even in 1960s. National standard with age of five years upward reaches 15,205 items, which accounts for 62.73% of the gross number. The severely

20 On the Construction of the National Technical Standard System outmoded condition of national standard is one of the major reasons why China national technical standard drags behind the development of science and technology and economy concerning technology capability.

Table 1.2 Questionnaire on the age of current national standard

Year of Quantity Proportion Age promulgation 1963～1993 9,608 45.96% Exceed 10 years, extremely long 1994～1998 5,597 26.77% Five~10years, over length 1999～2003 5701 27.27% Within five years, normal International standards International stndards adopted by national standard

③Adoption rate is not low, whereas the majority of adoption is from international standard of 10 years ago. Among the existing 20,906 items national standard, 9,250 items have adopted international standard and foreign advanced standard including 4,539 items of ISO standard, 1882 items of IEC standard, 287 items of ISO IEC standard, 48 items of ITU standard and 2,494 items of other foreign advanced standard. Adoption rate reaches 44.25%, which is a relatively high proportion. But after detailed comparison, we found that in 6,708 items adopted from ISO and IEC standard (with total number of 16,910), 78.65% were standard in the year 1994 or previous of ISO and IEC. 国际标准国家标准中采用的国际标准 1400

1200 nationalnational standard standard International standards adopted by national standard 1000

200 21 0 5 7 1 7 9 7 9 3 9 1 3 9 3 5 1 3 5 1 5 7 3 6 6 6 6 7 7 7 7 7 8 8 8 8 8 9 9 9 9 9 0 0 9 9 9 9 9 9 9 9 9 0 9 9 9 9 9 9 9 9 9 9 0 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 2 2 On the Construction of the National Technical Standard System

Figure 1.4 The year distribution chart on adoption of international standard and foreign advanced standard in China national standard

Meanwhile, detailed analysis on 4,826 items of national standard adopted from ISO standard indicates that 2,984 items are adopted from current ISO standard and account for 62%; 1,106 items are adopted from renewed ISO standard and account for 23%; 736 items are adopted from canceled or invalidated ISO standard and account for 15%. This is also one of the major reasons why China national technical standard is far inferior to international similar standard concerning technology capabilities. ④ Technology capability is comparatively inferior and there exists a large gap. In some areas, national standard has to accommodate itself to current production technology level and falls behind socioeconomic development and requirement of market economy, which is unfavorable to technology innovations. By comparison with international standard and foreign advanced standard, its technology capability is comparatively inferior and there exists a large gap. For instance，the limit standard to pesticide residue in foodstuffs in China only defines maximum limit of 232 items of pesticide residues involving 92 kinds of pesticides in 30 kinds of foodstuffs. But in France, the United States and Japan,etc., a large number of standards have been established to define the specific limit of over one thousand items of pesticide residues in a wide variety of foodstuffs involving over one hundred kinds pesticides. FAO ／ WHO Codex Alimentarius Commission （ CAC ） defines 2,439 items of maximum residual limit standard for 176 kinds of pesticides and 375 kinds of foodstuffs. ⑤ there exists incoordinations and contradictions in different contents of mandatory standard There exist incoordinations or even contradictory contents between current national mandatory standards. For instance, China National Foodstuff Security Mandatory Standard GB 2721 －1996 " Table

Salt Hygienic Standard" specifies that the content of fluorine shall not exceed 25mg/kg, whereas mandatory standard GB 5461－2000 "Table Salt" specifies that the content of fluorine shall not exceed 5.0mg/ kg； mandatory standard GB10767－1997 "General Specification For Baby And Child Formula Flour And Baby

And Child Supplement Farina" specifies the enrichment quantity of iodine shall be 30μg/ 100g ～ 150μ g/100g，whereas mandatory standard GB14880 "Hygienic Standard For The Use Of Foodstuff Nutrition

Enhancer" specifies enrichment quantity of iodine shall be 25μ g/100g ～ 48μg /100g ； mandatory standard GB10767－ 1997 specifies the limit of nitrate and nitrite, whereas standard GB10769－ 1997

"Supplementary Food For Infant And Child In Ablactation Period" and mandatory standard GB10770 －

1997 "Supplementary Food For Infant And Child In Ablactation Period" dose not set limit to the quantity of nitrate and nitrite；And so forth. ⑥ The content and form of technical standard do not satisfy the requirements of WTO rules WTO/ TBT treaty specifies that product standard shall be formulated as far as possible in accordance with performance requirements of products instead of characteristic of design or description. Take product standard in national standard for example, most of China's product standards are formulated from the prospective of production instead of aiming at performance requirements of product. Attributed to stress on the requirements of product design and process, etc.. Most of the national standards possess the defects that they are miscellaneous, meticulous and only limited to the some single product. That is to say, the deficiency of technical compatibility objectively hinders the development of technology and trade of PRC. Standards in China are divided into mandatory standard and recommendation standard in accordance with their properties. They are indeed relevant to WTO/TBT treaty and featured by universal applicability, but set limit to the option of users. Therefore, they are neither inapplicable to trading nor agree with the principle of standard. In countries with market economy system, the enforceability of standard application is assigned by law and regulation. Standard itself does not possess enforceability. As a kind of normalization document, the emergency of standard is to satisfy the demand of market in the hope of decreasing meaningless economic expenses. Standards are formulated by various circles organized together involving relevant market and technology of standards. And this kind of

organizations gradually becomes recognized institutions. Standards issued by those recognized institutions are offered for the voluntary applications of various circles. Recognized institutions themselves are not legislatives, therefore, they do not possess legislative power and it is impossible for them to demand all of the circles in the society must execute their standards. Only on the strength of its outstanding applicability of standard and reputation and authority that are gradually established can its influences of standards be expanded. Only laws and regulations established by legislatives for the purpose of legislation (mainly to protect national interest and social public interests) possess the property of enforcement. When encounter some technical problems of legislations, legislatives borrows standardization’s outcome---standard to seek solutions and will quote standards. Such kind of law and regulation endow those standards quoted certain enforceability in the regulative range of related laws and regulations. And effectively limit the generation of standard's side effect thereby. The formulation procedure of China current mandatory standard is still that standard determines procedures, which has a large gap by comparison with legislative procedures; in addition, from the perspective of content, analysis on China current 2,952 items of mandatory national standards indicates that there are 1,612 items of standards exceeding the five legitimate objectives ( national security safeguard, fraud prevention, personal health and security protection, life and health of animals and plants protection and environmental protection) specified in WTO TBT treaty and account for 54.61% of the total number. And among them there are 1,113 items of mandatory national standards on products.

1200 1113

800 673 Quantity 量 600 570 数

400 221 222 200 97 53 3 0 security安全 sanitatio卫生environmental环保 product产品 foundati基础 method方法 management管理其他the others y n y protection y on y 24 On the Construction of the National Technical Standard System

Figure 1.5 Distribution chart of mandatory national standard types

From the perspective of professional standard, in addition to above similar problems existed in national standard, there still exists the following several aspects of typical problems:

① The current professional standard is the outcome of planned economy and formulated for the convenience of management and production organization by government.

With the gradual improvement of socialist market economy, original profession boundaries have already been smashed. The major users of professional standards---planned enterprises within professions have been replaced by enterprise union that adopts the market principle. Therefore, some professional standards have lost their practical users resulting in some professional standards practically performing no functions. ② The principal part conducting the project establishment, examination and promulgation on current professional standard is the department in charge of those professions. However, with the advancement of reform on China’s governmental agencies, some originally existed departments in charge on professions have been cancelled and some merged with the other ministries and commissions, which results in a group of principal parts working on the formulation and modification to professional standards have been naturally withered. The possibility of further modification, maintenance, etc., on some professional standards has been faded away thereby. So it is pointless to talk about their market applicability. ③ Current professional standards have no any essential differences with national standards no matter concerning the procedures of formulation and modification (each link of formulation and modification) or the property (mandatory and recommendation) of standards. In addition, the function of current standards has no difference with that of national standards. They are just national standards within professions. Hence, large numbers of crossing and

25 On the Construction of the National Technical Standard System repetition occur between many profession standards and national standards and among those professional standards.For instance, Department of Agriculture established the professional standard of pesticide bactericide Agritol in 1990's, but National Pesticide Standard Committee again established chemical lines standard HG3616-- 3618 - 1999 "Technical Toxicant, Missible Oil and Wettable Powder of

Agritol". The professional standard of broadcasting, film and television GY / T148 - 2000 "Technical

Requirements on Satellite Digital Television Receiver" and electronics professional standard SJ / T11219 -

2000 "General Specification on Satellite Digital Television Receiver"; professional standard of supply and distribution GH / T1027 - 2000 "Galvanized Wire Applied to Cotton Packaging" and professional standard of ferrous metallurgy YB / T 5033 - 2001 " Galvanized Wire Applied to Cotton Packaging"; professional standard of construction industry JG / T 134 - 2000 "Plumb Circulation Parking Facility" and professional standard of machinery JB / T 10215 - 2000 "plumb circulation mechanic parking facility " and so forth. The above illustrated have crossing repetitions in their contents, which result in relevant enterprises at loose ends when execute those standards. ④ By comparison with national standards, the majority of professional standards possess longer update cycle resulting in inferior technical criteria of standards. The technical contents of technical standards neither reflect the changes of market demand, nor exercise the intermediary functions of popularization and spread of advanced technologies. Take 22,260 items of professional standards for traditional industries and commerce as example, the age of standards exceeds five years but never being revised account for 60% and their technology only can be close to medium-term level in 1990's of China. What's more, China metallurgy industry standards with age exceeding 7 years account for 81%.And their technology level still remains the early period of 1990's of China. (3) Problems in the local standards In order to objectively analyze the problems in local standards, we have comprehensively investigated altogether 5,737 items of the recorded local standards belong to provinces, autonomous regions and municipalities directly under the Central Government. And there are 1,642 items of mandatory local standards and 4,095 items of recommendation local standards, which respectively account for 28.62% and 71.38% of the total number of local standards. (see figure 1.6）

Figure 1.6 Analysis and collection diagram of local standards

Analysis indicates that there mainly exist the following problems involving six areas in local standards: (1) The contents of some local standards exceed the legal scope The second item of "Management Method of Local Standards" issued by China National Bureau of Technical Supervision in Sep. 6, 1990 clearly specifies the scope of local standards: when the following demands for unification in the range of provinces, autonomous regions or municipalities directly under the Central Government, while no national standards or professional standards available to define such demands, then relevant local standards can be formulated（including the fabrication of standard samples): （a）the security and hygienic requirements of industrial products; （b）the requirements specified by law and statute on medicine, animal remedy, food sanitation, environmental protection, energy conservation, seeds, etc.;（c）other requirements specified by law and statute. Some provinces have established local standards for the objects that have already

27 On the Construction of the National Technical Standard System specified by national standards or professional standards. Take moon cake for instance, the government has established strict standards on its hygienic indices. But in recent years, the moon cake market has fallen into disorder. Under such circumstances, some provinces formulated mandatory local standards on the technical indices of this kind of products to ensure the quality. Experts point out that, most of such quality indices not only are redundant, but also have disturbed the development and innovations of foodstuffs with unique regional flavors. In some provinces, the local standards formulated for industrial products not only limit the security and hygienic requirements, but complete industrial product standards are formulated. "Aluminum Mold Clad Pipe" for example. (2) The mandatory scope of some current mandatory local standards is too broad. The “Standardization Law" specifies that, mandatory local standards only shall be formulated according to the demands on industrial products in terms of the security and hygiene as well law and statute. According to relevant requirements of WTO/TBT treaty, the formulation of technical statute must be in conformity with the following five legitimate objectives, namely national security safeguard, fraud prevention, protection of individual's health and security, protection to the life or health of animals and plants and environmental protection. However, the others do not belong to the mandatory scope. However, the mandatory scope of some current mandatory local standards is too broad. For instance, some local standards specify that, dimension, type, specification, structure and so forth shall be compulsory. While some local standards specify that certain agricultural products, foodstuffs, marine products and livestock products shall be mandatory. For instance, "Jasmine Tea" , " Big Scarlet Date Produced in Hami", "Seedless Raisins ", "Rice Noodle" and so forth. These requirements shall not be compulsorily executed were specified as mandatory, which limit the development of enterprise products and hinder the process of promoting product quality via market competition. Meanwhile they may jeopardize the administrations and enforcements of law. (3) Repetitions and contradictions occur between some local standards With the economic development and social demands increasing, such phenomena as similar local standards formulated for the same kind of products or objects are increasing by

28 On the Construction of the National Technical Standard System leaps and bounds. These conductions generate repetitions and contradictions between local standards in different regions and affect trading between different regions and shopping of consumers as well. Meanwhile, this kind of phenomena raise an urgent need for speeding up the formulation of national standards or professional standards in such areas.

Table 1.3 Repetitive illustration of mandatory local standards

Department concerned DB53/097-2002 Specification on Alcohol Content in Blood When Vehicle Drivers are Driving Alcohol Content Value And Testing Method of Blood And Expiration of Vehicle Drivers DB32/625-2003 Limit to Alcohol Content in Blood When Quality And Vehicle Drivers are Driving Technology Supervision Bureau Jiangsu Province DB31/205-2003 Specification on Alcohol Content in Blood Quality And When Vehicle Drivers are Driving Technology Supervision Bureau of Shanghai DB50/25-1999 Alcohol Content Value And Testing Method Quality And of Blood and Expiration of Vehicle Drivers Technology When They are Driving Supervision Bureau of Chongqing DB12/125-2001 Technical Specification for Security System Quality And of Residential District Technology Supervision Bureau of Tianjin DB43/159-2002 Technical Specification for Security System Quality And of Residential District Technology

Supervision Bureau of Hunan Province DB22/335-2002 Security System of Residential District Quality And Technology Supervision Bureau of Jilin Province DB31/294-2003 Technical requirements for security system Quality And of residential district Technology Supervision Bureau of Shanghai DB34/344-2003 Lead Free Gasoline Applied to Vehicle with Quality And Detersive Technology Supervision Bureau of Anhui Province DB33/409-2003 Lead Free Gasoline Applied to Vehicle with Quality And Detersive Technology Supervision Bureau of Zhejiang Province DB/37380-2003 Lead Free Gasoline Applied to Vehicle with Quality And Detersive Technology Supervision Bureau of Shandong province

Table 1.4 Repetitive illustration of recommendation local standards

Number Name Department concerned DB11/T100-1998 Quality Standard of Beauty Treatment and Quality And Hairdressing Technology

Supervision Bureau of Peking DB23/T39-2001 Quality Standard of Beauty Treatment and Quality And Hairdressing Technology Supervision Bureau of Heilongjiang Province DB36/T382-2002 Quality Standard of Beauty Treatment and Quality And Hairdressing Technology Supervision Bureau of Jiangxi Province DB62/T1032-2003 Quality Standard of Hairdressing(Haircut) Quality And and Beauty Treatment of Nanzhou City Technology Supervision Bureau of Gansu Province DB53/T086-2000 Silicon fertilizer Quality And Technology Supervision Bureau of Yunnan Province DB41/T131-1999 Silicon fertilizer Quality And Technology Supervision Bureau of Henan Province

（4）The grade division of and the index requirements for the same objects lack coherence in some local standards

There are about 10 items of national standards, professional standards and local standards concerning all kinds of rice in China. And the names include top grade and the first grade refined rice, washing-free rice and standard rice, nuisance free high quality rice and so forth. In face of so many rice standards, no wonder people may feel puzzled: are those standards in different provinces the same?" If all of the standards are the same, why not adopt

31 On the Construction of the National Technical Standard System a uniform national standard or professional standard ？If those standards are not the same, then which one is the better? Indices of the first grade refined rice listed in local standard DB42/T228 2002 of Hubei Province are higher than that of the top grade specified in local standard of Jiangxi Province and cutin rate requirement is added in Hubei as well. But in Tianjin city, the rice is divided into such two types as washing-free and standard rice in the local standard DB12/T132 2001. And the quality index of washing-free rice is higher than corresponding standard rice of the same grade. Furthermore, its quality indices such as moisture, unsound kernel, yellow granule rice, impurity, broken rice and so forth are higher than corresponding indices of local standard of the other provinces. In Jiangxi Province ,the local standard DB36 T375 -2001 for nuisance free high quality rice (suitable for sticky rice), besides quality indices, it also specifies 18 limit indices of pesticide residue；except the above mentioned, it also specifies 6 kinds of heavy metal limit indices involving benzopyrene, fluoride, chloride, cyanogen compound and carbon bisulfide, etc. Actually the above hygienic standards are formulated with reference to relevant national standards; in Shanghai, the exterior condition and quality requirements specified in local standard DB31 /T263.1 - 2001 are implemented in accordance with GB1350, GB1354 and GB/ T17891.In addition, total 99 limit indices are specified to heavy metal and pesticide residue. Different local standards bearing the same names but the contents differ, even rice of the same grade but quality level differs. Under such circumstances, it certainly makes consumers feel puzzled. It may occur that the extra best quality in the high quality rice produced in some province is not as good as the first quality rice produced in another province. In that case, it may jeopardize consumer's interests. (5) Some local standards are virtually barriers of trade and technology As a result of the imbalances and differences of economic development and technical levels in different regions, some mandatory local standards concerning quality, environmental protection or security set limit to products from other regions entering local market. This kind of standards is virtual trade barriers and only functioning as local interest protections. For instance, in 1999, according to legal enterprise product standards, the bran muck produced by Qingfeng Chemical Plant, Suixi County, Guangdong Province was investigated and treated when selling in Qinzhou City, Gangxi Province. All of the products were confiscated and fined for the reason that the products were disagree with Gangxi mandatory local standard DB45 / 02 1995 "Semi-Organic Fertilizer". Qingfeng Chemical Plant of Suixi

County and its marketing unit dissatisfied with the penalization and reported the conditions to Quality and Technology Supervision Bureau of Zhanjiang City, Guangdong Province and China National Bureau of Quality and Technology Supervision for many times to request verdicts. In recent years, due to the air quality issue, some cities have formulated urban coal- utilization standard and emission limit standard for pollutants. These standards have been exercising active functions in improving air quality. But there also exist such phenomena that some products meet the national or professional standard requirements while fall short of local standard requirements. On the aspect of automobile gasoline, local standards have been issued in many provinces. For instance, some province (Jilin) requires making use of ethanol gasoline, and those supporting gas stations must be changed into ethanol gasoline filling stations. Some cities (Jinan) require that a kind of drop compound must be added into gasoline for the convenience of exhaust gas examination. These measures have objectively established technical barriers to the gasoline outside the home area. (6 ）Some local standards ought to be formulated as one item, but are separated into several items, which causes inconvenience of application. Some local standards originally could be established and issued as one single standard, whereas they were formulated into a series of standards resulting in excessive quantities of local standards and much inconvenience occurs when the users look up and adopt those standards. Currently, regulatory standards of agricultural technique in China have been exercised wonderful functions in the promotion of agricultural techniques. Thus, it is necessary for this type of local standards to be formulated with pertinency and operability. When some large seeds distribution companies in the world are selling crop seeds, the instruction books or technical documents attached simultaneously provide planting requirements and specifications of such kind of seeds. They are equivalent to certain contents in professional or local standards of China. The standardizing objects of this kind of local or professional standards shall be made unique as much as possible. Furthermore, relevant requirements and specifications on the same variety shall be integrated into one standard. Current standards on

33 On the Construction of the National Technical Standard System technical specifications for production of China not only include many varieties of crops, furthermore, relevant requirements and specifications on the same variety are formulated into several standards. For instance, eight standards have been formulated to navel oranges produced in Xinfeng, which have caused a lot of inconvenience. If those standards were formulated by taking crops varieties as principal line, and such eight standards from DB36/T190-95 to DB36/T197-95, which include variety, technical specifications for rearing of seeding, technical specifications for cultivation, picking, grading, packaging, storing and freshness preservation and so forth were merged into one single Xinfeng navel orange standard, not only the quantity of standards might be reduced, but also the standard applications would be more convenient.

2. Problems in basic systems of national technical standards The basic system of national technical standards should be able to cover all of the areas concerning social economy and livings of China. As a system integration of various standards, the basic system of national technical standard shall be characterized by clear structure, functional coordination and appropriate regional distributions. However, many defects can be found in the basic system of current national technical standard in terms of the above requirements. (1) The defects of areas covered Take vehicles for example again, there are a large number of vehicle standards especially automobile standards, which specify the indices of exhaust in terms of environment protection. But there lack of standards for vehicle fuel consumptions. And it results in some automobile enterprises consider nothing but their manufacturing cost when import technologies. And the direct consequence is that vehicle gas consumption per one hundred kilometers is much higher than that of developed countries by 10％ to 20％ and tremendous energy waste occurs as well. ② national standards in some areas are in urgent need of adjustment. For Instance, in developed countries, standards are comparatively stressed on such areas as "medicine and hygiene(11),"environmental protection and health security ( 13), "mechanical system and standard parts （ 21 ） ", "fluid system and standard parts （ 23)", "machinofacture（25）", "electric engineering （29）" and "telecommunication （33）".

Whereas less in "agriculture （ 65 ） ", "food technology （ 67 ） ", "chemical engineering technique（71）", "mining and its products（73）", "metallurgy（77）"and "devitroceram industry （ 81 ） "and so forth. Contrary with developed countries, standards in China are stressed on such areas as "agriculture （ 65 ） ", "food technology （ 67 ） ", "chemical engineering technique（71）", " mining and its products （73）",“metallurgy（77）", " pyroceramic industry （ 81 ） " and so forth, which account for 28% of the total number. However, they only account for 9.8% in Germany, and 13.6% in France. Although it agrees with the actual situation of China’s economic development in the past period, however, with the gradual transition process of becoming a modern industrialized countries and the third large investment country in the world and the third large trading nation, the above mentioned areas are in urgent need of adjustment. ③ The quantity of national standards in basic areas has to be further enhanced and improved. The first main type of standards of ICS involving “synthesis, terminology, standardization and documentation” serves as the foundation for all of the standardization efforts. However, there exist a large gap between the quantity of China's technical standards and that of western developed countries. For instance, in Germany, the standard ratio in the first main type of ICS is 5.8%, France 4.4%, whereas in China, it's only 1.7%. (see figure 1.7） ) % (

t Ralation proportion of the distribution of varions countries’ national standards u

o 标准相对数量分布 m a

12.0 n o i t

a 10.0 l e R )

% 8.0 ( 量

数 6.0 对

相 4.0

0.0Figure 1.7 Relative ratio redistribution of national standards in different countries 01 03 07 11 13 17 19 21 23 25 27 29 31 33 35 37 39 43 45 47 49 53 55 59 61 65 67 71 73 75 77 79 81 83 85 87 91 93 95 97 The firstICS一级分类 type of ICS standards

(2) The defects中国国家标准(20906)China of national the standard(20906) structure Germany德国国家标准(29269) national standard(29269) France法国国家标准(24174) national standard(24174) ISO标准(13118) 日本国家标准(9106) From the perspectiveISO standard(13118) of system structure,Japan national standard(9106) the system of current national technical standards mainly have the following several areas of problems. ① Redundant technical standard layer structures result in overlap of scope of

35 On the Construction of the National Technical Standard System application and difficulty of coordination. The system of current national technical standard consists of such four layer structures as national, professional, local and enterprise. Due to overlaps existed in the scope of application in the technical standards involving the above four layer structures, above all, it disagrees with the “simplification principle” of technical standard system structure. Secondly, because the simplification, unification, coordination and optimization of system structure are embodied by means of the "effectiveness" principle, however, redundant layer structure settings in current national technical standard system objectively deteriorate the coordination problems between standards in various layers. Therefore, from the perspective of system structure, the incoordinations or even collisions occurred between national standard and professional or local standard, professional standard and local or enterprise standard are derived from redundant and miscellaneous settings to layer structures of technical standard, and overlaps of application scope as well. ② The ill-defined system structure and ambiguity of classification offer opportunities for splitting standards at will. There are such evident phenomena existed in current national technical standard system, i.e. the contents originally ought to belong to one holistic standard are formulated and divided into a series of standards. 比 For instance, statistic analysis via China national standard database indicate that the splitting problems involving method standards（altogether 7,814 items）, product standards（altogether 5,018 items）and basic standards （altogether 2,798 items）are conspicuous. There are mainly the following several manifestations on standard random splitting: — — when adopt some international standards, it is split into several standards or several parts of one standard. According to statistics, there are 1,008 items of national standards involving repetitive adoptions of 394 items of international standards. For instance, with respect to the three items of ISO standards concerning chemical reagent, China has gone so far as to establish as many as 197 items of national standard. ——the standards on different components or parts of the same standardization object are artificially split into several separate standards. ——when make use of different methods to conduct analysis/ measure/test to the same standardization object or the same composition/performance, the relevant standards are compiled into different standards. ——when make use of the same method to conduct analysis/ measure/ test to the same standardization object but with different composition/performance, or by use of a set of equipment and procedures can simultaneously measure different kinds of composition/performance desired, but are separately compiled into several standards.

— — the distribution operations of national standard number to the same type of standards are disorder and random. — — the analysis/measure/test to the same standardization objects but different composition/performance, the standards are established into different standards.

(3) Functional coordination defects in basic system In the basic system of current national technical standards, some specific areas lack of relevant standards, which results in functional coordination defects in the basic systems. For instance, in some areas, product standard specifies test indices, whereas there is no standard for testing method, or there are standards for testing methods but in absence of test indices specified by product standards. Or for the purpose of sectional interests, relevant parties only hanker after repetitive formulations on product standards and inspection standards, but nobody cares to make inquires on those basic standards for supporting and general-purpose even for many years. Thus, this by the root results in functional coordination defects in the basic system.

(Ⅲ ) Root of the problems

The causes of the above problems in the basic system of China's current technical standard are extensive, which include both subjective and objective aspect, both administrative and technical aspect. These problems are complicated, difficult to deal with and interweaving together. And they all together restrict the development of China's standardization undertakings. And after deep investigations, it is found that its roots are showing in the following several aspects: 1.The cognitions on standards as well as their functions have mistakes and the notion

on standard is in urgent need of being transformed In the planned economy period, standards serve as technical means to organize and manage productions by the government, which all the time stresses that the primarily function of standard is to be used to organize productions of enterprises. For a long time, owing to such operational mode as government playing the leading role in technical standard administrations, the technical standards are just considered as the government's business by God's truth. The majority of enterprises in China follows such thinking inertia and pattern of behaviors on technical standards, i.e. “Government shall run the whole show” and thinks that

37 On the Construction of the National Technical Standard System the efforts to formulate and modify technical standards have few relationships with enterprises, saying nothing of such standard formulation mode as featured by enterprise taking the lead. Many enterprises have misconceptions on standard: firstly, they reckon national standard as "an undesirable control", and take it for granted that running their business in accordance with standards maybe jeopardize their benefits. Furthermore, they do not convince that standards are the essence and summary of advanced technologies and industry experiences, nor do they realize that the benefits of sharpening their competitive edge may be acquired when implement standards; secondly, they recon on national standards as a kind of "talisman" and take it for granted that achieving the technology indices specified by national standard means everything is just fine, without realizing that national standards only specify the most basic requirements, their core competitive strengths are only embodied by genuine high level index in terms of material products and superior performance as well as achieving indices of enterprise standard; thirdly, they ignore the seriousness while executing standards, such conduction as producing without standards is prohibited by many times but it never ceases, which not only impairs consumers' interests, but also influences international trade operations. 2. The law and statute can not adapt to the demand of market economy The "Standardization law of People's Republic of China” was issued in 1988, the purpose of legislation is to "develop socialist commodity economy, promote technological advancement, improve quality of products, enhance socioeconomic performance, protect national and people's interests so as to accommodate the demands of socialist modernization and the improvement of foreign economic relations... " ，In consideration of the absence of socialist market economy concept in China at that time, it is impossible that the law could reflect the inherent law and requirements of market economy, nor possessed any possibilities to satisfy the requirements of international trade after China's entry to WTO. Despite the specific contents, only from the perspective of time that the administrative statutes were issued in relation to standardization, among current 20 standardization administrative statutes (include regulatory documents), there are 11 statutes established prior to 1992,whcih account for 55% of the total number. What's more, such statute with core position for standardization as "Standardization Law of the People's Republic of China" and its "Enforcement Statutes" are included above as well. From another aspect, it indicates that,

38 On the Construction of the National Technical Standard System the law and statute systems of China standardization have been dropped behind the development of socialist market economy as well as the principle requirements of international trade established by WTO. Especially they can not satisfy the standard requirements in lawful documents of WTO/TBT. 3．Rigidity of the management mode The standardization management system of China still follows the old operational mode in the planned economy period, which exercises management in divisions 2according to administrative regions and sections and combining centralized management with divided administration. Its characteristics are as follows: relevant departments at all levels in government function as administrative agencies, scientific research academies and institutes,, colleges and universities, inspection agencies and enterprises serve as supporting institutions, various specialized standardization technical committees（ hereafter referred to as "Standardization Committee") serve as organization forms.This kind of management mode can not exert enterprise's functions as a principal part in the standardization efforts. Meanwhile, it has the following two problems: Firstly, management on standardization by different departments and their duties are ambiguous. Based on "Standardization Law of the People's Republic of China”, China has some administrative departments responsible for national standardization and quite a few of departments in charge of professional standardizations. Both national standards and professional standards are applicable in the whole country and issued by the government departments. From the perspective of the standards users (domestic and foreign users), these standards are all embodied the national will. Therefore, actually there are quite a few of departments in charge of the standardizations in China. And the administrative operations conducted by different government departments results in authority overlaps and duty ambiguities. Secondly, the duties on administration are crossing and each department insists on their sectional interests. The management span between industry and industry, industry and local,

2During the process of investigation, research and interview to 101 guilds, 37 ％ experts believed that China's standard management system still belongs to the planned economy mode. 29 ％experts pointed out that China standard management mode is planned economy mode but have been partly reformed. 14%experts believed that the market mode has been basically formed but need further improvement. But only 2% experts believed that the market economy mode has been formed and can adapt to the market economy.---quoted from investigation and research report” Interview and Analysis Report on Guilds”

39 On the Construction of the National Technical Standard System local and local is always overlapping or crossing. With respect to the same standardization object, the above situation results in constant contradictions and repetitions in the concrete contents between industry standards and industry standards, industry standards and local standards, local standards and local standards. And this makes technical standards fall into a kind of protection form of sectional and local interests. At the same time, it increases administrative costs and responds slowly to the market demands. 4. The operational mechanism drops behind According to the problems existed in the key links during the process of formulating and modifying standards, we can see that the operational mechanisms of China standardization can not ensure the equity, justice, transparency and unanimous negotiation. (1) Project establishment

The repetitive items in the national standard projects make the whole efforts lack of scientificalness and result in administrative difficulties and outlay wastes when conduct those projects. Table 1.5 Example 1 for repetitive projects

Project number Project name Standard adopted 321-024-1995 Principle and technology of controlled ISO 6949 atmosphere storage for fruit and vegetable 422-122-2000 Specification of controlled atmosphere storage for fruit 20020391-T-424 Rules and technology of controlled atmosphere ISO 6949:1988 storage for fruit and vegetable 20020674-T-494 Fruit and vegetable--- technical specification ISO 6949:1998 for controlled atmosphere storage

Table 1.6 Example 2 for repetitive projects

Project number Project name Standard adopted 422-098-1993 Distribution statistics of books, newspapers, ISO 9707

periodicals and E-journals 422-074-1994 Distribution statistics of books, newspapers ISO 9707 and periodicals and E-journals 422-083-2000 Publication and distribution statistics of books, ISO 9707:1991 newspapers, periodicals and E-journals 20020646-T-469 Information and documentation operations--- ISO 9707:1991 production and distribution statistics of books, newspapers, periodicals and E-journals

(2) Comment solicitations

Because the comment solicitation operations lack of strict rules on the procedures, it is can not ensure all of the relevant parties to fully air their opinions. It is concretely embodied as follows: ① intentionally ignore departments and units with different opinions; ② refuse adopting rational comments or suggestions without any reasons; ③ skip the comment solicitation stage with out any reasons；④ the range of comment solicitation is too narrow, and the units and representatives are not relevant parties concerning the interests of the standards. (3) Investigations and examinations

Besides the same defects as opinion solicitations, because of the defects in the system designing to joint deliberations and letter-checkups, it is inevitable for the inequities occur in the examination itself and investigation opinion handlings. It is specifically shown as follows: ①standard examination and investigation meetings are held perfunctorily or superficially. There are only a small number of experts and representatives participating in the meetings. So it lacks of representativeness and authoritativeness; ② the memorandums of the examination investigation meetings become formalistic, i.e., ambiguously write down the modification opinions or the coordination conditions to the standards,etc.

(4) Approval and promulgation

Due to the miscellaneous examination and approval procedures during the process of standard operations, operating efficiency of the standards is rather low. Take the report and approval process of some standard for example: if the standard has finished the draft applying

41 On the Construction of the National Technical Standard System for approval, firstly, chairman of technical committee for standardization shall affix his (her) signature to indicate responsibility, secondly, the leader of the secretariat subordinated unit shall sign again, then summit to the industry department concerned, after the leader of the department concerned sign, again report to China national examination department of standard technology, after the examination, lastly, report to the National Standard Committee to be approved and issued. Some standards even have to wait for one year to be issued The responsibility for standard maintenance is not explicit, according to international practice, professional technical committees for standardization shall be responsible for the maintenance after the promulgation of standards. As a result of institutional reform for a number of years, some institutions are changed, merged or cancelled, a great deal of standards lack of formulations and maintenances and severely encounter delayed review and modification.

To the end of 2003, in the national standard database, there are 6,501 items of standards (31.10% of the total number) belong to specific technical committee for standardization and under their maintenance and administration; 9,704 items of standards, owing to their original management authorities being changed or need further confirmation, account for 46.42% of the total number; and 4,700 items of standards, without any units responsible, account for 22.48% of the total number.

(6)Imperfection in the standard feedback mechanism:

It lacks of feedback and handling mechanism of opinions and queries during the process of using the standards. The information on standard carrying out conditions and necessary modifications can not feedback in time. There is short of an effective reporting channel and handing mechanism in face of opinions and comments on the standard projects. There also lacks of an appeal mechanism in face of the dissatisfactions with standard projects or the disposal to such projects conducted by technical committee.

5. The implementation and supervision mechanism is not perfect

(1)The implementation and supervision mode is simplistic

A large number of means when implement technical standards are still characterized by

42 On the Construction of the National Technical Standard System planned mode, the means implementation is quite simplistic, which mainly has to rely on the help of the government. And the relevant agencies and a necessary mechanism supervised by the whole society have not been established. Especially it does not give full play to the self- supervision function of the guilds. At the same time, enterprises' function as the principal part of the market is generally humble; the awareness of supervision from the whole society is not intensive, which impact the effective implementation of technical standards.

(2)Lack of organic incorporations with qualification assessment system

A set of implementation mechanism has not been set up to support technical standard and qualification assessment system. Because during the process of formulating technical standards, talents on qualification assessment have not been appropriately introduced and absorb. The specific applications of technical standards in the process of qualification assessment lack of operability and can not sufficiently offer technical supports to the qualification assessment efforts. In addition, during the process of formulation and modification as well as qualification assessment on technical standards, due to lack of effective communication and coordination mechanisms, the problems of technical standards emerged in the process of qualification assessment can not timely feed back to the standard formulation and modification process.

(Ⅳ) significant influence

The above illustrated many problems in China's standardization efforts have negatively impacted the technological innovations and international competition capabilities of China. Their influences conspicuously reflect in the following areas, i.e., exportation, industry security, structural adjustment, market order normalization, the target of new industrialization and so forth.

1. Tremendous impact or threat on domestic market

After join WTO, China's tariff is going to be decreasing year by year, such non-tariff measures as import quota and licensing system is to be gradually weakened till cancelled. As a result, technical standard is going to function as an important measure to effectively relieve

43 On the Construction of the National Technical Standard System the impact on China market from the foreign products. The formulation of mandatory technical specifications (technical statute) is sluggish on account of the lag of China's standardization efforts. Though has been inside the WTO for three years, China still has not established logical and effective protective measures on technical trading.

China's technical standard level is on the low side, so the threshold of foreign products entering into China market is very low. Such condition makes some of domestic industries directly face the impact of foreign products without any protections and shields. Some overseas waste products and obsolete products make a long drive into China market; relevant industries are confronted with severe threats.

2. Severely limit the exportation of China’s products

The once-two-year survey conducted by the China Department of Commerce indicates, in 2002, 71% export enterprises, 39% export products were restricted by foreign technological barriers, which caused 170 hundred million dollars total loss, whereas in 2000, the amount of loss is only 110 hundred million dollars. Only in two years, the loss increased by 60 hundred million dollars.

Among those export enterprises restricted by foreign technology barriers, 95.6% have encountered "standard raise” when entering foreign markets. 75.0% have encountered foreign "additional inspection quarantine items"；38.3% have encountered foreign “statute changes". （(see figure 1.8）

Simultaneously, as a result of failing to give full play to the technical standard functions on the aspect of market admittance, foreign consumers' trusts on products made in China have been severely impacted5. statute changes

5 In August 2002, Ningbo City organized a delegation of experts to Japan to investigate the matter of technical barriers encountered by refrigeration green soy bean. In Japan market, they found that there were such wrongly guided public opinions, i.e., “Chinese vegetable and hazard” and” Chinese food and distrust" and so forth. With such impressions, consumers in Japan did not intent to choose Chinese products. The problems that agricultural products exported in Japanese market encountered not only a matter of "qualification", but a matter of whether there were people would like to buy the products already checked off or not. Except Japan market named Chinese vegetables as " poison vegetable”, the US market regarded Chinese traditional medicine as "poison” at a time. Euromarkets believed that, Chinese foodstuffs with animal source might cause cancers and so forth. Such a series of events seriously damaged the overall image of export products made in China.

44 On the Construction of the National Technical Standard System standard raise, qualification assessment procedures additional inspection and quarantine items complicated investigation and examination procedures the time of inspection and quarantine are delayed intentionally

Figure 1.8 Distribution graph of various conditions restricted by foreign barriers

100% 法规变化

80% 标准提高

合格评定程序 60% 增加检验检疫项目 40% 审查程序复杂

20% 人为拖延检验检疫时间

其他 0% 美国欧盟日本其他

3 impact the industries restructuring and the improvement of market order

China technical standards overly accommodate itself to current industry technical levels，which make a great deal products, though satisfy standard requirements while lack of competitive edge, flow into the market. It results in product overstock and wasting of resources and objectively enhances the difficulties when restructuring and upgrading the industries. The target of China's new industrialization is tackle the following problems ubiquitously existed in its industries, i.e., low science and technology level, poor economic performance, resources-short and low utilization ratio, severe environmental pollution, oversized proportion that low quality population in the resources of manpower and so forth. And the key to solve the problems is to create a system and market environment relying on scientific-technical progress and system innovations. However, if the standardization efforts keep in lagging behind and the technical levels of standard keep on the low side, such kind of "sunset" industries featured by inferior product quality, high energy consumption can not be

45 On the Construction of the National Technical Standard System effectively restricted nor eliminated. And further, they may jeopardize the progress heading for new industrialized nation.

Ⅲ Historical missions

The "reform and open door to the outside world "policy have been conducted for over twenty years, the feature of China's society and the international environment have been changed profoundly, economic base and economic system have also be fundamentally transformed. With the further improvements on socialist market economy, speeding up of the process in growing industrializations, the establishment of scientific development view, the implementations on the strategy of science and education prospering the country as well as the strategy of sustainable development, the gradual realization of the overall target concerning a well-off society construction. The above situations raise much higher requirements for the national technical standard system.

After join WTO, China economy will gradually blend into the process of globalization. WTO members will replace tariff wall by technological barriers that involve technical statute, standard and qualification assessment procedures. And such barriers will legally become much more ulterior protective measures for trading. Competitiveness in international markets has already transformed from conventional quality competition, price competition, service competition and brand competition into more drastic standard competition. Under the situation of globalization, current national technical standard system with strong planned economy features is totally can not adapt to the new requirements to the standardization operations. 为 In order to adapt to the new socialist market economy system, it is of great urgency to improve the national core competitive edge, accelerate the advancement of national economy and social overall development and establish a new national technical standard system.

The efforts of improving socialist market economy system, deepening the restructuring of public administration system, carrying forward strategic mission and target of industrialization also assign new historical missions for the instant development of standardizations. The technical standards serve as an important technical measure to regulate

46 On the Construction of the National Technical Standard System and control economic behaviors. Meanwhile, the technical standards, as a kind of important technical support, it can definitely influence the progress when heading for China new industrializations. Basic technical specifications for production and trading, technical standards also function as important basis for measuring the indices of new industrialization. The product quality and the content of science and technology are also evaluated by the performance index specified in product standards. Economic effectiveness closely relates to the degree and level of enterprise standardization. The reduction of resource expenditures can be realized by means of the relevant technology index limit specified in technical standards. The toxic substance discharges resulting in environmental pollutions also need to be restricted by environmental index specified in technical standards. In addition, standardization efforts also give full play to the human resource advantages. Therefore, the historical missions of China standardization operations in the new century are as follows: establish a new national technical standard system, build a system environment and market environment relying on scientific-technical progress and system innovations so as to boost the competitiveness and provide technical support and secure for new industrializations.

Part II Characteristics and Inspirations of Overseas

Technical Standard Systems

I. Status Quo and Characteristics6

In developed countries, relatively complete national technical standard systems have been established that accommodate their market as well as economic development. The technical standards, under well-established national technical standard systems, have penetrated into each aspect of people's social and economic life, which provide technical support for laws and statutes and are the basis for market access, agreement and contract maintenance, trade arbitration, eligibility evaluation and production tests. Surveyed in a comprehensive survey, the above technical standards systems in developed countries feature the following:

(I) Voluntary Standard System

In developed countries such as US, France, Germany and Japan, a voluntary standard system is adopted, which means, the standards are not mandatory. -- Classification of standards. Standards are classified into three large categories, namely, national standards, group (association, society) standards and corporate standards; -- Forms of standards. Standards take the form of technical standards, technical guide rules, standard cases, appendices or pronouncements etc. In recent years, new forms such as agreement standards and factual standards come into being, as indicates that standards are supposed to reflect technical progress and market demands in a timely way. Technical standard systems in USA are divided into the federal government standard system and non- federal government standard system. The number of standards included in the federal government standard system totals about 44,000, while that included in the non- federal government standard system, or in other name, instituted by various industry associations and societies reaches nearly 50,000 of which about 37,000 standards have been

6 Refer to the technical support report "Report of Comparative Studies on Domestic and Overseas Standard Systems".

48 On the Construction of the National Technical Standard System certified by the American National Standards Institute (ANSI). French Norms (NF) are formulated by the various technical committees founded by the French Association of Normalization (AFNOR). According to the new decree released in 1984, standard documents are classified into HOM (formal standards), EXP (provisional standards), FD (fascicule documentation) and RE (standardization references). Standards that are approved by the AFNOR chairman are provisional standards entitled to a five-year-long effective period. Only formal standards approved by the Minister of Department of Industry or Agriculture are part of the French national standards. German Technical Standards are formulated by the Germany Standardization Society (DIN) comprising various standard committees, working parties and workgroups. At present, there are over 20,000 DIN standards. In Germany, nearly 200 professional societies, associations, civilian organizations and government agencies are eligible for standard formulation. Among them, the most influential ones are the VDI (Germany Engineer Association) and VDE (Germany Association of Electrical Engineers) that have come up with 2800 Technical Regulations. German Technical Standards are classified into formal standards, provisional standards and double-coded standards. Technical standards for which practical examination and further enrichment are necessary, are released as provisional standards; while those adopting international standards, European standards and group (for instance, the Germany Association of Electrical Engineers) standards without modification are released as double-coded standards. In Japan, hundreds of professional societies and industry associations are engaged in standardization. They, entrusted by the Japan Industrial Standards Committee (JISC) and Japan Agricultural Standards Committee (JASC), are responsible for relative researches and drafting of standard documentations subject to final deliberation of JISC and JASC. Up to now, there are over 8,000 JIS standards and 500 JAS standards. Besides, about 4500 group standards are formulated by these professional societies and industry associations dedicated to their specific industry. It is observed that, professional societies, societies and associations in US, France,

Germany and Japan have played a leading role in the standardization of their countries.

(II) Multi-tiered Technical Regulation System

In developed countries such as US, EU and Japan, the establishment of a technical regulation system has been put a high premium on. Though technical regulations take different forms in these countries and regions, they have the following in common: 1. The standardization activities are subject to regulation of national laws and statutes. For example, the guidelines to which the institution, promulgation and implementation of Japan standards (JIS and JAS) need to conform are provided in Japan Industrial Standardization Law and Standardization Law of Agricultural and Forestry Products. Besides, Japan Industrial Standards Committee (JISC) and Japan Agricultural Standards Committee (JASC), founded in accordance with the two laws, are responsible for the organization of relative standard institution and deliberation. BSI (British Standards Institution), AFNOR (French Association of Normalization) and DIN (German Standardization Society) are all ratified national standardization institutions authorized by national laws, statutes or agreements. 2. Technical regulation systems of different levels need to be established. For example, instructions approved and released by the EU Council are involved with only basic requirements in terms of safety, hygiene, health and environmental protection etc. Technical regulations that meet these basic requirements take the form of standards. Technical regulations in Germany are classified into laws, government orders and regulative statutes. For instance, the Industrial Law instituted by the Federal Government, belongs to the fundamental law; the Industrial Ordinances formulated by the Ministry of Economy belongs to the Federal Law; while the Pressure Vessel Regulation is made as per the Industrial Ordinances. The 17 ministries of US Federal Government and 84 independent institutions are eligible for the institution of technical regulations, while local state and municipal governments are eligible for the formulation of multiple different technical regulations. 3. Major provisions concerning requirement in safety, hygiene, health and environmental protection constitute a considerable part of technical regulations, an important form of laws and statutes in developed countries.

4. Technical standards, quoted from formal law documentations, become part of the technical basis for laws, statutes and contracts, which is a key characteristic of legalized standard system in developed countries. In the US federal statutes and state laws, the American Society of Mechanical Engineers (ASME) standards are cited; while in the High Pressure Gas Protection Law, Law of Labour Safety and Health, Food Law and Fire Control Law of Japan, the Japan Industrial Standard (JIS) is cited; and many European standards formulated by CEN, CENELEC, ETSI are cited in many EU instructions.

(III) Sound Standard Implementation and Supervision System

In developed countries and regions including US, EU and Japan, a complete and sound standard implementation and supervision system has been established which comprises three interacting and inter-supplementary components, namely, market access, technical regulations and standards, and eligibility evaluation. The major governmental responsibilities are supervision and legal execution. To realize market access and circulation of a product, the market access qualification must be obtained in the first place, which means, the product must meet the requirements in relative technical regulations and standards. To prove its eligibility, tests and measurements of the product are a necessity. In this way, an incitation and supervision mechanism is formed for the enterprises in question, which compels the enterprises to make technological innovations and enhance product quality by taking advantage of any possible means. In contrary, the enterprises that make counterfeits or products of inferior quality or that are involved in any illegal activity, are subject to legal punishment and more seriously, the market access eligibility.

(IV) Normative Eligibility Evaluation Procedure

Normative eligibility evaluation procedure, as the most important component of the standard implementation and supervision system, is defined in WTO/TBT as the legal proceedings that directly or indirectly ascertain whether the requirements are met in technical regulations or standards, including sampling, testing and checking procedures; evaluation, verification and eligibility guarantee procedures; as well as registration, authorization and their comprehensive procedures. . In developed countries and regions like US, European and

Japan, only the products that pass eligibility evaluation are granted market access qualification. Up to now, there are 55 certification systems in US. Not only governmental sectors, local government institutions but civilian organizations are able to grant product authentication. For instance, UL (Underwriters' Laboratories) labels are necessary for products of which safety is a major concern in many state statutes in the US. Without the UL labels, the products in question are prohibited from being produced, distributed and imported. EU approved 24 new instructions covering up to 1,000 products in essential industries of which 21 specifies the necessity to obtain CE labels. Only products that meet these instructions are entitled to CE labels and the EU market access. According to DQS - the German Association for the Certification of Quality Systems, quality, safety, hygiene and environmental management system authentication in a total of 34 industries is established which adopts over tens of standards including European Medical Device Quality System Standard (EN 46001/2), QS9000 Standard (automobile), AS9000 Standard (astronavigation), Telecommunications Industry Quality System Standard (TL9000), the Eco- Management and Audit Scheme (EMAS), Social Responsibility Management System Standard (SA8000), Vocational Safety and Hygiene Management System Standard (OHSAS18001) and HSE Management System Standard in Petro-Chem Enterprises etc. In Japan, the governmental sectors are held responsible for product authentication. Each department grants its own authentication label. About 90% of the authorized products in Japan are ratified by the Ministry of Economy, Trade and Industry of Japan. The product authentication includes mandatory and voluntary programs. The mandatory authentication programs are legal programs concerning the authentication of nondurable consumer goods, electric appliances, liquefied petroleum gas appliances and gas appliances etc. While the voluntary authentication programs adopt the two JIS Marks, one indicating the authorized product conforming to relative product standards in Japan and the other representing the product's processing procedures in compliance with relative requirements in Japan Industrial Standards.

(V) Inspection Institutions' Participation in Standard Drafting and Examination

Test and measurement is an important method in ascertaining whether technical regulations and standards are in strict compliance with as well as the technical guarantee for effective implementation of the eligibility evaluation procedures. In developed countries such as US, Germany and Japan, the governmental sectors have put a high premium on the foundation of test and measurement institutions and laboratories. Generally speaking, authoritative test and measurement institutions are government authorized. As far as the technical equipment and measures are concerned, the test and measurement institutions in these countries almost boast the most state-of-the-art apparatuses and equipment in the world, meeting the technical requirements stated in relative technical regulations and standards. Besides, the experts in these test and measurement institutions are authoritative professionals in their industry. Some are responsible for the institution and examination of relative standards. For imported products, the inspections on personal safety and health, plants and animals, environmental protection and packaging are stricter day by day in these countries. Test and measurement, eligibility evaluation and technical regulations, as the three guarantee for technical standard implementation in developed countries including US, Germany and Japan, form a check and supervision mechanism accommodated to the market economy.

(VI) Government Authorized Civilian Institution-led Management System

In developed countries such as US, Germany and UK, a standard management system accommodated to the development of market economy and international trade is established which features the following: 1. The government authorized and entrusted standardization associations or standardization societies exert uniform management, planning and coordination of standardization affairs with the government providing supervision and control as well as financial support. For example, the American National Standards Institute (ANSI), a nonprofit private association, is the coordinating center of the voluntary standard systems in UA, which is in charge of coordination and facilitation of national standardization activities, release of US national standards and participating in ISO (International Standardization

Organization) activities on behalf of the United States. 2. Standardization associations or societies enjoy complete decision-making power concerning the drafting, examination, approval, issuance, publication and release of a standard as well as the provision of relative information services. Thus, a strict and efficient working procedure and management model comes into being which embodies the standard-making principles of extensive participation, coordination and openness. 3. The researches and national standard drafting are generally in the charge of private associations such as industry associations and societies or research institutes. The approved association or society standards may adopt a double-code system bearing both a national standard code and private association standard code. For example, standards instituted and released by various professional societies that are of significance to the whole country are granted an ANSI code, after being examined and approved by the ANSI (American National Standards Institute). 4. The government renders definite policy guidance and sustaining financial support.

(VII) Market-Oriented Standard Institution

In developed countries including US, Germany and Japan, the market-oriented principle is adhered to during the course of standard institution. And a standardization mechanism is formed featuring governmental supervision and control, institutional management, drafting by professional institutions and extensive participation from the whole society. By meeting the maximum interests and requirements of all parties concerned, including the government, manufacturers and users, the work efficiency in standard institution is greatly enhanced, and the fairness and openness principle complied with. The market-oriented principle finds expression in the following: Firstly, the market demand principle. In developed countries such as US, Germany and Japan, the institution of standards is voluntary on the part of enterprises taking into consideration of the actual market needs. Any industry association, society, enterprise or an individual can put forward a standard draft conforming to market needs, which might be approved and ratified as a formal standard after the required examination procedures are completed. The standard level rests with that of the examination institution. When examined

54 On the Construction of the National Technical Standard System by government authorized national standardization institutions, a standard can become a national standard. Secondly, the openness and fairness principle. During the standard institution process, the extensive participation and negotiations, and open and stringent standard examination procedures provide a guarantee to the fairness of standard institution. In US, Germany and Japan, standards are generally made by the government, manufacturers and users, which meets the maximum interests and requirements of all parties concerned. Besides, the examination and approval of a standard is undertaken by a government authorized standardization society or specially designated institution which operates according to a set of effective scientific procedures: (1)Collecting opinions of all the parties concerned by making announcement so as for the maximum reflection and coordination of the parties' interests, particularly those of users and consumers; (2)The technical committee shall carry out technical examinations of a standard to ensure rationality of all technical indices related and technical quality of the standard; (3)The standard examination and approval department shall carry out examination on the procedures to make sure no contradiction occurs with other standards, laws or statutes. Thirdly, extensive participation of various enterprises. The enterprises can put forward their specific demands for standard formulation and take an active part in the institution process. Meanwhile, the extensive participation of enterprises also mobilize their enthusiasm in implementation of the standard. For instance, many standards in Germany are drafted by Siemens. And of the total 1,568 Siemens employees, 269 hold a post in the international standardization institution. Fourthly, the establishment of a return mechanism. The returns are realized by way of copyright, publication, release, sales of documents and relative services. In international practices, the copyright of a standard is held by its makers and management institutions. In US, Germany and Japan, standardization societies (associations) and groups boast the publication, release and distribution competence for standards within their jurisdiction. And these standardization institutions get economic returns by way of standard distribution,

55 On the Construction of the National Technical Standard System certification, quality test and measurement, lab authorization, provision of training and counseling services and collection of membership fees etc. Thus, a benign circulation for standardization is ensured. Fifth, short cycle for standard revisions and fast accommodation to market needs. In countries like US, Germany and Japan, the cycle for standard institution is no longer than three years in general and that for standard revisions is generally between three and five years after a standard is issued. According to an IEC statistics, in 1999, projects the institution cycle of which was shorter than 3 years accounted for 79% of the total; while the number climbed to around 87% in 2001. In the past, the cycle for standard institution was more than 5 years, while at present, related items must be completed as per relative requirements. The cycle for ITU standard institution was decreased by 80% in the past decade, as shown by Table 2.1.

Table 2.1 Cycle for ITU Standard Approval and Publication

Before 1989~1993 1993~1996 1997~2000 2001~2004 1988 Cycle for 4 years 2 years 18 months 9 months (5 2~9 months approval months in special cases) Cycle for 2~4 years 2 years 1~1.5 years 6~12 months 3~9 months publication

(VIII) Standard Service Informatization

In developed countries, a modern standard service system featuring the following is established: 1. Websites are constructed by making use of high and new technologies and modern media, which provide a channel to realize timely, accurate and effective promulgation of the standard information to standard users. 2. The standardization service information, open and large in volume, includes announcements of standard institution and revision, as well as the sales of standard documentations and electronic versions. This not only conforms to the WTO/TBT

56 On the Construction of the National Technical Standard System requirements, but enlarges the impact of the national standards. 3. The integration of standard compilation, publication, release, training, counseling and service. The services are all-inclusive and systematic.

(IX) Diversified financial support and standardization funding sources

Standardization is a social benefit undertaking closely related to governmental public management functions. In developed countries such as US, Germany and Japan, governmental financial support provided each year for standardization takes one of the two forms: the annual fund appropriation according to the operating budget approved, or specially allocated funds for the support of standardization researches. In Japan, the annual operating budget for standardization activities is about 6 billion Japanese yen (or an equivalent of RMB Yuan 0.42 billion). And the annual governmental outlay for standard researches in US National Standard Technology Research Institute reaches as much as 0.7 billion USD. Meanwhile, financing by providing standard-related services, or social donations, international aids or enterprise investments is also encouraged. In this way, the standardization undertaking is ensured financially.

II. Main Inspirations

Although the standardization management systems in US, Japan, UK, Germany, France and other developed countries vary a lot from each other, the standard institution is all market- oriented and the standard adoption all taking a voluntary approach. The successful experiences of overseas countries are beneficial to the establishment of a new-type national technical standard system in China. Taking China's present status in standardization into consideration, the successful experiences mainly bear the following inspirations:

(I) Inspirations in Standard System Establishment

-- The standard institution and 与implementation are market-oriented. -- All standards adopt a voluntary system. -- Technical regulations are in conformity with the standards. -- Technical regulations and standard are closely related to the eligibility evaluation procedures.

(II) Inspirations in Standardization Management System

-- Government authorized and entrusted non-governmental organizations (e.g. standardization associations) exert organized management, planning and coordination of standardization affairs while the government provides supervision, control and financial support. -- Entrusted industry associations, societies and other private association or research institutes, generally undertake researches and the drafting of national standards. Or the approved association standards adopt a double-code system. -- Standardization groups enjoy complete decision-making power during the drafting, examination, issuance, publication and release of standards as well as related information services. -- Standardization groups depend on the standards and relative services for a living. And the standardization groups obtain economic returns through standard copyright, the sales of standard documentations and provision of relative services. -- The government puts a high premium on standardization-related researches. Standardization-related researches are of equal importance with scientific researches7. Standards act as the technical criteria for market access and the development of standardization has a direct impact on the products’ market share. Governmental awareness and support does benefit to the development of the national economy.

(III) Inspirations in Standard Functioning Mechanism

-- Standard-making institutions organize relative technical committees for the institution of standards. Technical committee members are composed of enterprise employees, users, consumers, trade organization members and volunteers from governmental sectors, institutions and scientific organizations. A set of stringent management procedures and system is available for various standard-making institutions8. -- The institution of standard is in conformity with market needs with the institution demanding for extensive participation and negotiations as well as openness and fairness, so as

7 NIST (National Institute of Standards and Technology) a government agency subject to the administration of US Department of Commerce, carries out many important technological researches on standards. 8 In US, a ratification and periodic examination system is available for standard-making organizations, to make sure the technical committees are technical committees in the real sense.

58 On the Construction of the National Technical Standard System to achieve the maximum interests of all parties concerned. -- The voting eligibility of members is decided according to the fairness and equity principle, instead of his/her qualification in any organization. -- Sound and complete standard-maintenance mechanism. In most cases, a review is necessary within 3 to 5 years after a standard is released which determines whether a revision or abolishment is to be adopted. -- Various private association and industry organizations generally proceed with the institution of a standard as per scientific procedures. The government shall not interfere with the institution except for acting as a participating member. -- The fair and scientific standard institution procedures are characteristic of the following: ●extensive negotiations; ●open participation; ●fair competition; ●open procedures. Progress information open to all; ●opinions from all parties to be considered with appeals acceptable; ●flexibility in procedures to meet different needs of different departments; ● timeliness in procedures with the job schedule un-impaired by interruption of administrative affairs; ● standardization activities are inter-related. Overlapping and contradiction must be avoided; ● Projects shall be terminated that bear definite standard termination procedures, if a standard fails to be proposed within the stipulated duration.

(IV) Inspirations in Standard Targeting

In developed countries, the standards are targeted according to the strategic view of “win standard-making power via its participating right and further the leadership in the science and technology field”, demonstrated by the following: -- Utmost pursuit for the control power of international standards; -- The terminal goal is to realize international standards are based on their relative

59 On the Construction of the National Technical Standard System national standards; -- Do the best to achieve the highest level of adoption of their national standards in the international standards; -- The combination of standard researches and state policies in the science and technology industry paves the way for incessant improvement of the standard levels; -- As far as the traditional industries are concerned, the primary function of standards is shifting from inter-substitution of product parts and components to serving the trade protection by enhancing technical indices of the standards and implementing technical trade measures; -- As far as high and new technology industries are concerned, the economic benefits rest with technological innovations and the intellectual property, while the technical standards provide the criteria for normalization and regularization of technological achievements. Enterprises in various countries, by taking the approach of combining standardization strategy and intellectual property strategy, do their most to facilitate the workflow of patenting of scientific and technological achievements → patent standardization → standard marketing, and achieve standard monopoly position by making their self-ordained standards the technical standards in general us and thus achieve high profits in the international markets by vending patented technologies by way of technical licensing. And by taking legal measures such as technological monopoly and standard monopoly, the enterprise' international monopoly position is reinforced. -- As far as new industries are concerned, the early market tappers shall establish themselves as the leader in industry development by winning the standard-making power. And with the competition over standards gets fiercer, it comes an important method in achieving the industrial commanding points. .

Part Ⅲ the construction of a new national technical standard system

Ⅰ.guidelines, general target and basic principles of the new system construction

During the process of establish a new national technical standard system, not only the relationship of the new and old system replacement and their connections shall be appropriately handled, but also the coordinative development relationship among the key elements inside the new system shall be appropriately handled. Not only the relationship between use for reference and development, but the relationship between the new system and the external environments shall be appropriately handled. Therefore, the construction of the new system is a significant and arduous systematic engineering. When construct the new system, firstly, we should make clear what is the ultimate basis for the new system, i.e., what is the guiding ideology when construct the new system? Secondly, how appropriately handle different kinds of relationships during the process of establishing new system, i.e., what basic principles shall be adhered? Thirdly, what kind of a system shall be established, i.e., what is the overall goal that shall be achieved in the system? Fourthly, what are the main missions that shall be determined in order to achieve the target? 1. Guidelines The guiding ideology when constructing a new system is as following: take the spirit of 16th CNC as guidance, aim at achieving a well-off society, and provide technical basis and supports for the efforts below, i.e., improve socialist market economy system, propel strategic adjustment on economic structures, promote scientific-technical progress and trade development, enhance national competitive edge and realize sustainable development of the society. 2. General target The general target of the new system construction is as following: to year of 2020, a new national technical standard system shall be successfully established. The system shall take laws and statutes as basis, the voluntary standard system as principal part, with high efficiency of administrations and operations, diversified implementation means, powerful

61 On the Construction of the National Technical Standard System security mechanism, convenient, prompt and circumspect services, and possess systematicness, compatibility, sophistication, market applicability and forward looking. 3. Basic principles The basic principle of the new system construction is as following: adhere the principle of insisting on standardization system reform and system innovation so as to accelerate the system construction; put forward the principle of combining the market mechanism and government coordination and organization; persist on the overall propelling principle by combining the basic system and the promotion system; adhere the principle of combining the all-round development of overall system with the construction on critical areas of the technical standard system. 4. Main missions The construction of the new national technical standard system consists of the following seven missions: ——revise the current relevant laws, statutes and policies, eliminate the system barriers in the process of establishing the national technical standard system; ——on the basis of checking up current national recommendation standards, establish and improve the national voluntary standard system. — — accomplish the construction of the promotion system of the technical standard system； — — promote with some priority and proper steps the transformation from current national, professional and local mandatory standards to mandatory technical specifications and finally to the technical statutes ——check up current professional recommendation standards, gradually accomplish the transformation from professional standards to guild standards; — — checking up local recommendation standards ， gradually cancel local recommendation standards； ——improve the technical standard system concerning the critical areas.

Ⅱ Key elements in the new system

The new national technical standard system takes standardization laws and statutes as

62 On the Construction of the National Technical Standard System basis. It consists of such two parts as the basic system and the promotion system. On account of the actual situations of China's standardization operation, such two system structures as interim period and target state are established. The basic system in the interim period consists of a voluntary standard system and a mandatory technical specification system. The target state basic system only has a voluntary standard system. All of the promotion systems in the two kinds of system structures consist of the management system, operating mechannism, implementation supervision system, security system and service system. The structure diagram of the national technical standard system for the future target is shown as figure 3.1, the structure diagram of the national technical standard system in the interim period is shown as figure 3.2. The basic system is the principal part in the national technical standard system. It is the basic elements to realize the integral function of the technical standard system. Voluntary standard system is an organic unity which consists of standards adopted voluntarily by relevant parties. In consideration of that the construction of the China's voluntary standard system still need time, and we lack practical experiences when conducting relevant regulations of WTO,, , as a technical regulation transition, we should introduce mandatory technical specifications ， and transform China's mandatory standards to mandatory technical specification to technical statute. The technical statute system consists of such technical statutes as that being put forward by the government and compulsorily executed by relevant parties for the purpose of realizing five legitimate objectives. The promotion system is the support and security when establishing, implementing and improving the basic system. It is an important element when realizing the integral functions of the national technical standard system. The promotion system consists of management system, operating mechanism, implementation and supervision system, security system and service system. They bear the function as ensuring the sound establishment and improvement of the basic system and its effective operation and implementation. They coordinate and supplement each other.

The management system is the organization guarantee and command system for the establishment and operation of the basic system. The operation mechanism is a control system to ensure the openness, transparency and efficiency during the process of establishment, maintenance and improvement of the basic system. The implement supervision system is an executive system to drive the implement and extensive use of standard by means of laws, mandatory administrations and voluntary market mechanism and then realize the functions of basic system. The security system is a support system for establishing and safeguarding a technical support for the national technical standard system ,talents and outlay sources. The service system, by all kinds of methods and modern means, thoroughly, accurately and timly provides to the users various kinds of information resources and relevant knowledge of the establishment, implementation and improvement of national technical standard system. The construction of the national technical standard system shall be based on national laws and statutes. Either in the construction of the basic system or in that of the promotion system, relevant laws and statutes shall be formulated and modified to establish a normalized law and statute system and put the construction of the national technical standard system on the track of building the legal system.

Key elements of the national technical standard system for the future target

Laws and statutes

Basic system Promotion system

t e 64

On the Construction of the National Technical Standard System

Figure 3.1 key elements of the national technical standard system for the future target

key elements in the national technical standard system during the interim period

Laws and statutes

Basic system Promotion system

Figure 3.2 key elements in the national technical standard system during the interim period

Ⅲ The main contents of the new system construction

(Ⅰ)The law and statute system of standardization

Running the state according to law is a basic guideline as well as a strategy for China’s socialist modernization. To the year 2010, a socialist law system with Chinese characteristics will be formed. Governments at all levels shall thoroughly conduct administrations according

65 On the Construction of the National Technical Standard System to law and exercise their rights and duties according to statutory authorities and procedures. As in other fields, the different kinds of relations and the outcomes of reform that need to be regulated should be confirmed in the form of law and statutes in the construction of a new technical standard system and the construction of a new technical standard system should be carried out by law. A sound standardization law and statute system shall be established and the standardization operations should be put on the track of building the legal system, so that there are laws to go by and they must be obeyed and enforced strictly. All law breakers must be punished. According to the China's legislation system, the standardization law and statute system consists of three layers, including standardization laws, standardization administrative regulations and standardization sectional regulations.

Currently ， there have been over twenty nationwide standardization regulations and professional regulations and scores of local standardization statures and regulations involving standardization law, enforcement regulations of standardization law, management method of national standard and so forth.

The main missions of the construction standardization law and statute system are as follows: accommodate the demands for improving socialist market economy system, promoting scientific-technical progress and expanding international trade as well as establishing a new national technical standard system. And further modify and improve current standard laws and statutes. The main mission of establishing a standardization law and statute system is to modify "Standardization Law of the People’s Republic of China". Then based on the new "Standardization Law of the People's Republic of China" to modify and improve statutes and regulations that support the standardization law.

（Ⅱ）Voluntary standard system

Voluntary standard system is the principal part of national technical standard system. The target of voluntary standard system construction is to achieve rational structure, state-of- art technology and all-round functions.

1.The structural elements in voluntary standard system Its structural element consists of standard layers, standard areas, standard type and standard form （see figure 3.3）.

标准标准层次国家形式准标准标技标准领域协会性导件（ICS）标准指文术技企业业议工协标准术标准标准产基方管安卫环服工其标准层次 97 家用和商用设备品础法理全生保务程他国家形式类型准标准标技协会性导件标准指文术技企业业议工协标准术

产基方管安卫环服工其标准 93 土木工程品础法理全生保务程他类型 … 标准层次标准形式 … 国家准标准标技协会性导件标准指文术技企业业议工协标准术

01 综合、术语学、产基方管安卫环服工其标准品础法理全生保务程他标准化、文献类型

Figure 3.3 The structural elements in the voluntary standard system

(1) The layers of standard The establishment standard layers shall adapt to the progress of China's economic system reform and public administration restructuring. From the perspective of long-term objective, standard can be divided into three layers as national standard, guild standard and enterprise standard. During the interim period, standard can be divided into four layers as national standard, guild/professional standard, local standard and enterprise standard. National standard is a kind of technical requirements specified that shall be unified and applicable nationwide. The formulation of national standard shall achieve unified planning, unified examination, unified number and unified approval and promulgation. The national standard administration agencies authorized by the State Council shall conduct centralized

67 On the Construction of the National Technical Standard System management, organization and formulation on national standard. Recently, due to some departments in charge are performing professional management function, and some guilds are not yet sound and perfect, therefore, the professional standards shall be preserved temporarily and gradually transform to guild standards. The professional standards beyond the control of responsible departments of the State Council shall be transformed into guild standards. And the guild standards shall be subject to formulation and management by guilds. Professional standard shall be subject to formulation and management by responsible departments of the State Council. The current "Standardization Law of People's Republic of China" specifies that, local standard is a kind of technical requirements shall be unified and applicable in the scope of provinces, autonomous regions and municipalities directly under the Central Government if there is no corresponding national standard or professional standard. With the process of economical globalization and unification of market, for the purpose of eliminating technical barriers in trade, the standard tends to internationalization. Therefore, it is a development trend to cancel the local standards. However, China's current national market economy is not yet perfect and regional economic development is unbalanced. Owing to the vast territories, natural conditions of different provinces differ a lot. Therefore, the local standards have to be remained. Thus, the scope shall be strictly restricted. Only includes the technical requirements that are featured by regional characteristics and shall be unified and applicable in provinces, autonomous regions and municipalities directly under the Central Government. The organizations or agencies authorized by governments of provinces, autonomous regions and municipalities directly under the Central Government shall conduct formulation and management. Enterprise standards are a kind of technical requirements that are unified and applicable inside some certain enterprise. Enterprise standard shall be formulated and controlled independently by the enterprises. Enterprise standard serves as the foundation of national technical standard system, also serves as the foundation when formulating national standard, guild standard. Relationships between national standard, guild standard and enterprise standard are

68 On the Construction of the National Technical Standard System shown in figure 3.4. Relations between national standard, guild standard and enterprise standard is shown in figure 3.4

standard hierarchy标准层次

国家标准

协会标准

企业标准

适用范围scope of application

amount 量数

Figure 3.4 Graph of relations between national standard, guild standard and enterprise standard 国家标准 national standard 协会标准 guild standard 企业标准 enterprise standard

（2）Standard areas The fields concerning the formulation of standard involve all walks of life. According to ICS (International Classification System),it consists of 40 broad categories, 407 intermediate types and 896 subclasses. The areas related to standard establishment shall adapt to the industry development of China and the demands for economical restructuring, international trade.

Currently, the key standards formulation areas in China are: synthetic foundation type, agriculture high-new technology industries (IT, biotechnology, new material and so forth), security and hygiene, environmental protection service and so forth. （3）Standard types According to its contents, standard can be divided into following types: basic standard method standard, product standard, engineering standard, service standard, security hygienic standard, and environmental standard administrative standard, working standard and so forth. The new system construction shall coordinate among all classes of standards so as to support each other. And under the guidelines that, fist foundation then the others, first syntheses and professions, first general-purpose and then special purpose, try to make the standard system into an organic integration. （4）Standard forms In order to accommodate the market demands and supply to the users, the formulation to standard can adopt flexible forms. Standard forms shall be determined with regard to their technological maturities and uniformity of negotiation. Mainly include: standards, directional technical documents, technology treaties and so forth. Ⅱ The characteristics and elements of voluntary standard system The voluntary standard system possesses the following characteristics: （1）Market demand characteristic. Any unit or individual has the right to put forward proposals on standard project establishments in terms of demand and conditions specified for the projects. It can be put forward by the government from above to below; the mode such as from bottom to top by the enterprises, institutions, agencies or individuals can be adopted as well. Thus the market applicability of standard can be enhanced. (2) Extensive participations and unanimous negotiations. The reprehensive from such areas as production, use, scientific research, association, agencies and governments can present opinions and demands from al aspects by means of participating in technical committee for standardization and standard drafting workgroup, or comment on the published draft standards. So a wide agreement can be achieved. （ 3 ） The properties of promulgation institutions are diversified. According to the

70 On the Construction of the National Technical Standard System standard layers, standards can be subject to approval and promulgation made by institutions, associations and enterprises that are authorized by responsible departments or the government. （4）voluntary adoptions. In standard system, except that enterprise standards must be strictly executed inside enterprises, the national standards, guild standards （ professional standards,（local standards）are all voluntarily adopted. Only quoted by law and statute can it is possessed the property of compulsory execution. （5）Characteristic of system integrity. Among the layers, all types of standards and standards belong to all the areas in the standard system, shall coordinate, supplement each other and promote each other. Thus, an organic integration can be achieved. 3. The quality assessment elements in voluntary standard system. In order to realize the whole function of voluntary standard system, its quality status shall be appraised. Elements of appraisal including the following: (1) Appraisal of market applicability. Mainly appraise the quotation conditions of contracts, law and specifications, the adoption conditions of administrative supervision, qualification assessment and enterprise self-statement, the sales inside the limit of standardization，the dynamic maintenance status of the standards and so forth. (2) Technical levels appraisal. Mainly appraise transformation conditions of international standards and the bringing in conditions of China's scientific and technological achievements, the condition of China's intellectual property, the condition of initiating drafting international standard and so forth. (3) Compatibility and systematicness appraisal. Mainly appraise the rationality of each structural element's deployment and the coordination conditions between standards and so forth. (4) Function and effectiveness appraisal. Mainly appraise the trade promotion, market order normalization, readjusting industrial structure, scientific-technical progress promotion, conservation of resources and environment protection, security and health safeguard and so forth. By means of appraisal, the problems raised in new system shall be responded in time. So that under the circumstances of an ever-changing outside environment of the new system, a

71 On the Construction of the National Technical Standard System benign cycle with self-adjustment, self-adaptation, self-organized and ego integrity can be achieved.

(Ⅲ)The law and statute system of standardization

The mandatory technical specifications established within interim period are a kind of form when transform from current mandatory standard to technical statute. In order to realize the commitment of WTO entry and take account of the current status of China's law ,on the aspect of technical statute system construction, this report put forward the strategy that progress by two steps: the first step, strictly classify mandatory technical specification and standard by the names, scope and implementation in nature, the management on mandatory technical specification shall adopt the method of managing current mandatory standard ； Secondly, transit mandatory technical specification to technical statute. Technical statute only specifies basic requirements of principle; specific requirement shall be specified by standard, and conduct management according to the legislation system. 1．The scope of mandatory technical specifications The scope of mandatory technical specification shall be as follows: satisfy the requirements of such five legitimate objectives involving " national security safeguard, fraud prevention ， the health and security protection of the general public, the life and health protection of animals and plants, environment protection" as well as the relevant requirements specified by China law and statute that shall be compulsorily implemented. 2．The layers and formulation institutions of mandatory technical specifications. Mandatory technical specification only set one layer on national sphere. The regulations specified by national mandatory technical specification shall be unified nationwide and applicable for the mandatory technical requirements. National standard administration agencies authorized the State Council shall be responsible for its formulation and management. 3．The layer, scope, formulation and implementation of technical statutes. Technical statute only sets one technical statute layer in national sphere. It involves all of products of basic requirements on national security, fraud prevention, health and security protection, life and health of animals and plants protection, environment

72 On the Construction of the National Technical Standard System protection and so forth. During the process of formulating technical regulations, make full use of EU over thirty years of success experiences and specific practices for reference. Formulate corresponding technical statutes according to the classification by products. And regulate the scope of applications, basic safety requirements and standard quotation lists or clauses, safety guarantee clause, conformity certification and so forth. Government agencies with legislative power conduct the above formulations and administrate and implement according to legislation system. 4．The relationship between technical statutes and standards The technical statute and standard both assume similarities and dissimilarities. The similarities are: all of their the contents specified could consist of product features, corresponding processes or working methods, corresponding terms, signs, packaging, mark or label requirements. Dissimilarities are: (1)Technical statute is mandatory executed, but standard is voluntarily adopted. (2)Technical statute containing administrative regulations, but not in standard. (3)Technical statutes are formulated by authorities with legislative power, standards are approved and issued by authorized institutions include nongovernmental institutions. (4)Technical statutes generally only offer regulations of principle, and quote specific technical contents from relevant standards. The development trend of technical statutes, mandatory technical specifications and standards is shown in figure 3.5.

current system interim system target system

mandatory national standards mandatory national technical national technical specifications specifications

recommendatory national standards national standards

mandatory guild standards

recommendatory guild standards guild/association standards association standards

recommendatory local standards local statutes and regulations local statutes and regulations

recommendatory local standards local standards

enterprise standards enterprise standards enterprise standards 73 On the Construction of the National Technical Standard System

Note ： The picture does not include the condition of upgrading the lower layered recommendation standard to the upper layered recommendation standard.

Figure 3.5 The development trend of technical statutes, mandatory technical specifications and

standards

(Ⅳ)Standard management system

The construction of the standard management system refers to determining the duties and extent of authorities of administration agencies concerning each layer of standards and standard mandatory technical specifications. And clarify the duties and divisions of labor and achieve smooth mechanism operations. 1．The basic requirements on the construction of standard management system. The standard management system shall adapt to the development of China's market economy and the restructuring progress of public administration, adapt to the construction of the standard system ； national standard administration agencies authorized by the State Council shall conduct centralized management on the national standardization operations and give full play to guild and enterprise ；The management concept of "government in charge, and enterprises implement" shall be changed. The management function of government shall switch to mainly service for the principal part in the market and create a favorable development environment. 2. The main deities of national standardization administration agencies Propose, draft or formulate law, statutes, regulations and policies on standardization. (2)Conduct centralized management on national standardization operations, put forward development strategy and layout for national standardization；（3）Organize the formulation and management on national mandatory technical specifications and national standards；（4）Administrate national professional standard technical committee; （5）(5)The guilds agree to formulated guild standard;

（ 6 ） Manage scientific research, propaganda education efforts of national standardization；（7）Represent China participating in activities of International Standard Organization. 3．Duties of guild and the responsible departments of the State Council （ 1 ） Put forward the development strategy of their own professional standardization and key point in work；（2）Put forward the proposals on formulating and modifying the project of national standard ；（3）Organize, formulate and administrate its own professional (interim period)or guild standard. （4）Direct the enterprise standardization operations and provide relevant services. 4．Duties of the responsible standardization departments in provincial government （ 1 ） Conduct centralized management on the standardization operations in the local administrative areas；（ 2 ） Put forward the proposals on formulating and modifying national mandatory technical specifications, national standard and guild( professional) standard （ 3 ） Organize the formulation and administration of the local standard (interim period)；（ 4 ） Promote the implementation of standard, and provide standard service for enterprises and the society; （5）Build a favorable environment for the standardization operations. 5．Enterprise （1）Organize, formulate and administrate the enterprise standard of their own. （2）Take an active part in international and domestic standardization activities （3）Give full play to enterprises' principal part function in national standard efforts. （4）Establish and improve the standard system of enterprises

(Ⅴ)Standard operational mechanism

Standard operational mechanism refers to organizations and procedures during the

75 On the Construction of the National Technical Standard System process of formulating and modifying standards. 1. The basic requirements on the construction of the standard operational mechanism （1）Rapidly reflect market demands. Only adopt itself to the market requirements can the standard possess vitality and validity. With the rapid development of science and technology, there is in urgent need of fast standard formulation procedures, effective standard maintenance mechanisms and sensitive market reaction mechanisms. （ 2 ） The process of standard formulation and modification shall be open and transparent so that all of the relevant parties from both advantaged and disadvantage sides can participate in. And try to achieve the extensive agreements from all parties to ensure justice and reasonableness of the standard. （3）The procedures of the standard formulation and modification shall be normative, precise and highly efficient. Ease to operate and examine and decrease disturbances from artificial factors so as to enhance the operating efficiency. （4）The mechanism shall be agile. The modification of standard shall not only have normal procedures, but quick-response procedures to ensure its timeliness and applicability. 2. The key points of the procedures when formulate and modify national standards （1）Standard project establishment An open soliciting system operating all year round is preferred. Any unit or individual can directly put forward proposals on the formulation or modification project of national standard to national professional standard technical committee, or national standard administration agencies according to the conditions of project establishment. The responsible departments of the State Council, guild, group of enterprises, technical committee for standardization for varied disciplines and executive departments of provinces, autonomous regions, and municipalities directly under the Central Government shall offer their proposals on standard establishment in terms of specific requirements. The national standardization administration agencies conduct first examinations on the necessity and feasibility of the project proposals so as to determine the project to be established. About the proposals on national standard project, designated committee shall conduct first examination on their necessity and feasibility and openly solicit comments to the

76 On the Construction of the National Technical Standard System public. After examination and coordination, the national standard administration agencies determine the projects and issue to the relevant professional standard technical committee. If there is no responsible technical committee, it shall be reached to the relevant designated technical committee. The project is made known to lower levels and promulgated once a quarter.The emergency project shall be established, issued and promulgated at any moment. All of the collections, opinion solicitations and promulgations of the project might by means of internet and so forth. （2）standard drafting The corresponding professional standardization technical committee that assumes the task shall organize to draft standards. The units assuming drafting shall possess corresponding capabilities. They can be research units, enterprises, associations and agencies. (3) The opinion solicitation of the draft standard The draft standard shall be promulgated on specified websites and journals and conduct open solicitations. All of opinions and comments shall be considered, widely negotiate to seek unanimity so as to modify and improve the draft. If necessary, a second open opinions and comments solicitation shall be carried out. (4) The deliberations on standard draft The examination on the technical contents and compilation quality of draft standards shall be conducted by professional standardization technical committee assuming specific task in accordance with regulations of the statute. The general secretary and chairman of committee shall sign their signatures if past. The examination on the procedures of formulating and modifying draft standard shall be conducted standard examination department authorized by national standard administration agencies according regulations. If past, the signature of the director of the examination department shall be attached. （5）approval and promulgation of standard draft The draft standards past investigation shall be approved numbered and issued by national standardization administration agencies.And promulgate standard title lists on specified

77 On the Construction of the National Technical Standard System websites and journals. The publishing companies that have been authorized by administration agencies on national standardizations and the publication departments concerned of the State Council shall be responsible for publication standards. （7）Standard maintenance After implemented, according to the science and technology development and the demand of economic construction, the standard shall be reviewed in time within five years. In this way, the sustaining validation, modification or repeal of the current standard is confirmed. The national standardization administration agencies shall conduct centralized management to the national standard review operations. Its specific review operations shall be conducted by national specialized standard technical committee that is in charge of the formulation and modification on national standards. If reviews confirm the modification is necessary, then it shall be listed in the modification plan. If it is sustainability effective or shall be repealed, national standard administration agencies shall promulgate it to the public. A mechanism of feedback on standard shall be established during the process of its operations. Relevant technical committee for standardization shall be responsible for collecting and handling the information during the process of standard operations. （8）Appeal and handling When undergoing or probably undergoing heavy losses from the problems in the standard contents or formulation and modification procedures, the advantaged and disadvantaged parties have a right to appeal. China standardization administration agencies shall take the appeals into deliberation and make lawful and impartial conclusions. （9）Rapid process The draft stage could be omitted for the item identical to the international standard or an amendment adaptation For the items revising the current national standard or upgrading the rest level standards to the national level, especially for the items that adapt new technique development and market needs urgently, it is permitted the project initialization phase come directly into the examination phase by omitting the draft phase and the opinion collection phase. Fig 3.6 is the operational mechanism of the national technical standard. The horizontal broken

78 On the Construction of the National Technical Standard System lines represent different phases of the national standard establishment procedure, and the upright four columns represent the participant during the standard is established.

国家技术标准运行机制框架图

国家标准化管理机构标准利害方（社会）技术委员会工作组

新工作项目建议

段受理公开阶预

评估批准否终止

是时间表段

阶公开项立

否征求意见稿草起相关方公开征求意见是批准修改大

终止无法达成共识意见汇总批准结束项目建议处理见

意其他文件出版调整范围求通过征

送审稿其他文件出版

批准结束项目审查退回修改

段通过

阶终止

查否意见汇总处理审

报批稿准

批批准段

阶国家标准发布日常维护版出

国家标准确认复审修订新项目建议审

复废止

废止止废

Fig.3.6 national standard Operational mechanism frame diagram National Technical Standard Operational Frame Diagram 国家技术标准运行框架图 National standardization administration 国家标准化管理机构 Standard advantages and disadvantages party（society）标准利害方 Technical committee 技术委员会 Workgroup 工作组 New project proposition 新工作项目建议 Advanced phase 预阶段 Received 受理 Open 公开 Initialization phase 立项阶段 Approval 批准 Ending 终止评估 Evaluation 公开 open 时间表 timetable 起草 prepare 否 no draft standard for comment 征求意见稿 Holding counsel 征求意见 open 公开 Relevant parties holding counsel 相关方征求意见 yes 是 approval 批准 not 否 Amendment 修改批准 approval 终止 ending 结束项目 project finishing Other files publish 其他文件出版 proposal 建议 Can't come to terms 无法达成协议调整范围 adjustable scope Collect suggestion to dispose 意见汇总处理通过 pass 批准 approval 批准稿 approved standard 批准 approval 出版阶段 publishing phase 国家标准 national standard 发布 issue Routine attention 日常维护复审 review 国家标准 national standard 确认 validation 复审 review 修订 revision

新项目建议 New project proposition 废止 abolishment 废止 abolishment

（Ⅵ）Implementation System Standard implementation is a procedure in which carry out the requirement standard ruled during produce, construct, circulation and use by a series of measures, as well as the standard service market, serve society and exerting efficacy, meanwhile also including something relevant to this procedure. 1．Basic Requirement of Establishing Standard Implementation System Establishing standard implementation system shall give full play to marketable leading role. Market can promote to implement voluntarily and effectively the standard by benefit and principle of good faith. government can regulate and control the market by the inspirit policy and the constraint and service measures to safeguard public interest, and render service to promote standard implementation. Under market and government force, enterprise give full play its activity and automat city to implement the standard self-consciously and effectively. Establishing standard implementation system demands responsibility definitude, cooperation based on division of labor and harmony among the parties concerned such as competent department, agency, enterprise, consumer, etc. and implementation should adopt various measures according to the standard property. Also, perfect circulation forms throughout standard establishment, standard implementation and standard update. 2．Framework of Standard Implementation System Two types of method exist during standard implementation： One type is mandatory means accordance with the relevant law & regulation such as law and regulation reference, mandatory certification, national inspect, constraint identification, government procurement, etc Another is voluntary measures under market mechanism and self-discipline mechanism such as stipulation, voluntary certification, voluntary compliance agreement, enterprise self- declaration, etc.

法律法规引用强制认证

强制性手段国家监督检查强制标识政府采购标准实施方式 0{>Standard 契约合同 implementation method <0}. 自愿认证自愿性措施 {0><} 自愿协议企业自我声明

Fig 3.7 standard implementation system frame diagram 标准实施方式 Standard implementation method 强制性手段 Mandatory means 自愿性措施 Voluntary measures 法律法规引用 law and regulation reference 强制认证 mandatory certification 国家监督检查 national inspect 强制标识 constraint identification 政府采购 government procurement 契约合同 stipulation 自愿认证 voluntary certification 自愿协议 voluntary compliance agreement 企业自我声明 enterprise self- declaration 3．Character of Standard Implementation System （1）To present the market economy characteristic by market leading, enterprise subject and government macroscopic readjustment and control; （2）To adopt various implementation method according to differ standard and differ market demand; （ 3 ） To realize tight coupling among mandatory technical specification （ technical regulation ）, standard and conformity assessment；（4）To realize perfect circulation and continual upgrade during standardization;

（Ⅶ）Standard Guarantee System Standard guarantee system is technology and resource support of national technical standard system. It includes such three aspect as standard development system, talent culture and fund guarantee. 1．Standard Development System Standard research and prepare/revision are performed in two ways ： The professional standardization technical committee organizes relevant enterprise, standardization research community and professional research community to perform technical standard research and prepare/revision, meanwhile the secretariat of the technical committee is set up in these institutions; Another, these institutions performs directly standard development (see fig.3.8). (1) Comprehensive standardization study institution This type of institution is important comprehensive standard research base set by standardization supervisor department of State Department, province, municipality and municipality people's government. Major task include： ——To perform standardization theory, policy strategic research — — To perform comprehensive basic standard, method standard, new technical standard development. ——To undertake the tasks of the secretariat of relevant technical committee. ——To perform the tracking study of international & abroad standardization task. ——To perform standardization service such as standard information, consultation, bar code, code, certification and detection. （2）Professional standardization study institution This type of institution set up by association/profession, relevant department of State Department or enterprise support technically association/profession, relevant department of State Department and enterprise to carry out standardization task and research base of professional standard. Major task include： ——To carry out policy and strategic research of professional standardization. ——To carry out comprehensive professional standard development. ——To undertake the tasks of the secretariat of relevant technical committee.

— — To perform service such as standard information, consultation, certification and detection.

技术标准研制系统

全国专业标准化技术委员会

综合性标准化研究机构专业性标准化研究机构

中省、行专企自治国区、业业业直辖标市标标研研准准化准究发研究化机构化机机研研构构究究院机构

秘书处

Fig3.8 Technical Standard Development System Frame Diagram 技术标准研制系统 Technical standard development system 全国专业标准化技术委员会 National professional TCST 综合性标准化研究机构 comprehensive standardization study institution 专业性标准化研究机构 Professional standardization study institution 中国标准化研究院 China academy of standardization 省、自治区、直辖市标准化研究机构 standardization research community in various province, municipality and municipality 行业标准化研究机构 guild standard research institute 专业研究机构 professional research community 企业研发机构 enterprise R&D community 秘书处 secretariat

（3）National professional TCST National professional TCST（technical committee）is technical organization that engage

84 On the Construction of the National Technical Standard System in nationwide standardization in a specialized field, in charge of standardized technique relevant work, and is an important part of national standardization administration. National standardization administration layout and manage each technical committee. Scientific institution, academy, enterprise and individual can propose organizing technical committee to national standardization administration. Technical committee includes such widely-representative relevant person as producer, user, scientific researcher, distributor and competent member. working according to Regulation, it is based on democracy & negotiation principle and open rigorous working routine. The primary mission of the technical committee is： ——To evaluate the initialization application of national standard and provide initialization proposal. ——To organize to prepare national standard and association/professional standard. — — To examine the technical content and the preparation quality of the national draft standard and present an examination report. — — To maintenance dynamically national standard relevant to profession scope and organizes to review the standard. ——To participate in profession-relevant international standardization activities. ——To perform standard propaganda and service. National standardization administration examines technical committee and its member every year. If not passing the examination, technical committee is forced to correct within a certain term. at the end of correction term, if not meeting the requirement yet, technical committee is forced to stop working or cancelled. And the member not passing the examination is cancelled its member title. Technical committees that affinity exist should send liaison man mutually to strengthen communication and coordination, so that consistency and coordination can be kept between the relevant standards. （4）Relation between standard development institutions All institutions should collaborate by division of work, integrate resource, form join forces and push ahead together to form an organic unity within technical standard development system.

The standardization academy of China becomes the liaison office of different TCST, in charge of getting matter known, reflecting question and offering a proposal. The standardization academy of China and the standardization research community in various province, municipality and municipality establish collaborative union to integrate standard information resource, create several standard information service centers by distributing properly, and realize resource sharing via network. The standardization academy of China and various professional research community carry out joint study and collaborative establishment in order to share the information resources and the standard material. 2．Talent culture Establishing new system necessitate a great deal of talent who possess both ability and moral integrity, much policy & legal knowledge, strong organization & administration ability, perfect technology capability, wonderful foreign language and strong responsibility. Based on task feature, standard talent could be divided three classes: profession talent, management talent and service talent. （1）Ways of talent culture Talent culture of standard development involves many methods such as special culture, academy culture and special train and job culture combination. As country-level standardization research & development base, standardization academy of china takes advantage of its predominance to set up a base to culture specially high-quality standardization talent and establishes standardization master station and doctor station. Academy culture should list in the teaching layout of Ministry of Education. Standardization course or standardization specialty should be arranged in academy especially relevant to economy and engineering course to culture master and doctor for standardization institution. Special train implies to hold purposefully different types of long-or short-term training seminar according to object and content, and conscientiously examine and estimate it. Special train and job culture combination could adopt post-change, post-turn, joint work in International organizations and developed country, project corporation, etc. （2）Talent culture measures

——To formulate talent culture planning based on task necessity and business development ——To compile correspond teaching material according to culture method. ——To set up/validate and authorize talent culture base and teacher team. ——To carry out standardization population education on a large scale and improve all the people standardization consciousness. — — To create standardization personnel qualification system and establish standardization technical title. ——To set up competitive mechanism to inspirit talent and advocate talent flowage. 3． fund guarantee Establishment and maintenance of national technical standard system necessitates fund. Fund is mostly used for researching and preparing the project of standard development, purchasing Equipment required by investigating the standard, participating in international standardization activity, and routine official business of standardization administration, research institution and TCST. （1）Fund source ——Both government grant and policy support. ——Self-financing by multi-approach and society endowment. Policy support mostly includes the followings: ——Standardization research institution is treated as social benefit scientific institution and national finance offer steady support. ——a certain scale of fund extracted out from project fund is used for technical standard development. ——A certain scale of income fetched out from the benefit units for certifying, detecting, publishing, distributing standard is used for technical standard development. ——the propaganda and train of a technical standard is only authorized to the relevant technical committee in order to assure standard understanding consistency. The relevant income is used for standard development. ——the unit in charge of the secretariat of technical committee should provide fund. Self-financing approach mainly includes: ——Income of service offering standard material, information, consultation, etc.

——Standard propaganda income and train income ——Unit membership due of standard committee; ——Beneficiary financial contribution; ——Enterprise endow. （2）the principle of fund utilization — — Government grant focuses to use for foundation standard, synthetic standard, commonweal standard, mandatory technical specification （ technical regulation ） and important project of standard development relevant to national welfare and people's livelihood. — — For a general project of standard development, especially for product standard, project development fund should be self-raised in principle. Also, it's endowed by attracting enterprise to present the principle " who needs , who pays ". — — To strengthen fund management and improve fund availability factor. To erect supervision mechanism of appropriating funds and fund use, mechanism of fund and mission accomplished combination, and reward and punishment system. Fund distribution depends on the quantity, quality and hard-easy degree of standard for approval. Fund use unit should work out the fund use final report per annum. （VIII）Standard service system Standard service indicates service offered throughout standard establishment, revision, implementation, supervision. Those service and such support conditions as institution and installation based on service, talent and fund assured their functions, etc. structure together the standard service system. Supported by policy, fund and the ability of institution, personnel and equipment, standard service system is constructed and characteristic of service standardization, operation specification, information networking and development industrialization. Furthermore, relevant to this, standardization service information system is established characterized by technique precedence, structure reasonableness, service convenience and information authority.

客企业和社会群体体

服标咨宣教质其准询传育检他务信评普培认相内息估及训证关容服服服服服服务务务务务务

国标认全质其服国家准证标检他务标研认准机有主化准究可技构关体馆机机术组构构委织员会

支撑体政策（政府作用）、资金、人才、信息系

Fig 3.9 Standard service system frame diagram 客体:object 企业和社会群体 enterprise and social group 服务内容 service content 标准信息服务 standard information service 咨询评估服务 Consultation and evaluation service 宣传普及服务 Propaganda popularization service 教育培训服务 Education training service 质检认证服务 Quality inspection & certification service 其他相关服务 Other relevant service 服务主体 Service subject 国家标准馆 National Standard Library 标准研究机构 Standard research community 认证认可机构 Certification & approval institution 全国标准化技术委员会 National TCST

质检机构 Quality inspect institution 其他有关组织 Other relevant institution 支撑体系 Support system 政策（政府作用）、资金、人才、信息 Policy（government function）, fund, talent, information

2．Standard Service Information System Construct To organize a service system network characterized by complete categories, perfect function and flexible mechanism, is the indispensable essential condition on which operating the technical standard service system depends. First is to promote to establish "Chinese technical standard service information system". Second, set up selectively regional net station branches and link these net stations based on different standard to form integrity. The net station should provide the information of national competent department, also meet the requirement of enterprise and society, and reflect especially the standard information feedback. Third, the standard information resource of national, profession and enterprise is brought into this system. For example, to establish the national technical standard database, the patent database, etc. relevant standard of various regions, various department and enterprise could also be online in order to increase the efficiency of the net stations by providing standard text or other form of standard. The national technical standard information service system can link up standardization management department, standard information service institution, relevant research institution, consultation institution, enterprise and society to share network resource, function and service, resulting in integration structure of nationwide standard information service. 3. Operational mechanism combing government support and market operations To exert the most efficacy of the technical standard service system, an efficient operational mechanism must be established. Enterprise and society can share free of charge the service system and the commonweal database supported by national fund. Meanwhile this system offers reimbursable service for special needs of enterprise or society. In general, the technical standard service system should adopt the operational mechanism of "government leading, market foundation ". Based on the principle "reform & integration, operational specification, mechanism agility, work effectiveness, facing to market ", to plan as

90 On the Construction of the National Technical Standard System a whole all the tasks of technical service system is the precondition to establish the operational mechanism. Including excitation mechanism, benefit mechanism and constraint mechanism, a series of self-operational mechanism should be objectively established in good time to realize industrialization development of technical standard service.

VI. Comparative Illustration of Some Key Issues in the Old and New System A development scheme of the new system is planned based on abovementioned eight aspects voluntaries such as standardization law & regulation system, voluntary standard system, technical regulation system, standard management system, standard operational mechanism, standard implementation & surveillance system, standard guarantee system and standard service system and detailed in multi-level such as task, purpose, method and specific requirement. However, what essential difference does new system exist from old system ？ This is an ultimate question that must be answered during establishing a new system. In this report, above-named problem is answered in three aspects. Furthermore, the objective & subjective reference and the practical necessity are detailed by comparison to establish such a new system. At last, we summarize eight features of the new system. 1. Specific Positioning Differ Between New System and Old System Because of Different International & Domestic Environment First, new system is the inevitable outcome for facing the market economy, while old system is outcome of plan economy. In 16th CNC, the struggling objective has been put forward to construct overall the affluent society and establish the improved social market economy system, and the Chinese socioeconomic development within a very long term has also been decided. The social market economy is an important part of the global market economy, and its essential character naturally is market economy nor plan economy. Therefore, the overall design of new system should present new requirement and new method that can adapt the demand of market economy. Second, new system is the optimal choice for facing international circumstance and replying aggressively to international trade rules, while system is a major form facing the domestic market and adapt to planned production. As a member country of WTO, China

91 On the Construction of the National Technical Standard System should accept the relevant requirement stipulated in Health Behavior Specification on Standard Prepare, Acceptance and Implementation according to WTO rules. Therefore, new system emphasizes to change the fore-passed passivity. In the past, an international standard was adopted passively and standard was prepared in the condition of mainly considering the domestic market. On the other hand, new system calls actively for initiative replying concept that refer to farthest dominantly prepare international standard, namely bring national standard into international standard and be adopted at the international level. It replies initiatively to the rule " standard prepare, adoption and implementation can't unnecessarily counteract international trade, furthermore the international standard should be adopted maximum or based " in Agreement on Technical Barriers to Trade （WTO/TBT agreement. On the other hand, during new system is established, it also presents the design philosophy of principal system that takes mandatory technical specification（technical regulation ）for the core, based on international standard and considers voluntary standard system as principal part. Therefore, it opens new development scope for constructing national technical standard system under international standard frame, namely directly and dominantly establishing international standard and preparing national standard, association standard and enterprise standard based on international standard. Third, new system faces future and development, whereas old system mostly focuses primary demand of national socioeconomic development at planned economy time. Now China is the third largest investing nation and the third largest trading nation. In company with steady growth of Chinese national economy, it suffices to become the first largest investing nation and the first largest trading nation in the not far distant future. In order to adapt this international trend and circumstance, along with it to consider the overall demand of long- term development of the Chinese national economy, new system emphasizes the forward- looking of the technical standard system and higher and wider "exchangeability" based on international standard. Hence new system presents ultimate desire of standardization business "one standard, once examination, global common ". 2.The new and old systems are of different basis, so the layer structures of their basic systems are different

The basis of old system focuses on management, while the basis of new system is “effectiveness” principle. Reduction of ever-growing complexity，and then the realization of simplification, unification, coordination and optimization of system structure are exactly embodied in terms of "effectiveness" principle. As a basic system of national technical standards, not only the simplification for complexity of current system, but also the prevention of unnecessary complexity in the future development should be stressed. Therefore, in new system design, four standard layer structures established before including national standards, professional standards, local standards and enterprise standards are simplified to three standard layers including national standards, professional / guild standards and enterprise standards. This is also completely in line with the “simplification principle” of technical standard system, which means that the redundant, replaceable, and low functional parts of standardized objects with the same functions should be removed while its diversity development scope exceeds necessary scope, in order to reduce overlapping and contradictions among standards, keep its formed succinctness and rationality, and realize optimization of general functions. 3.The new and old systems are of different attributions, so their properties of basic systems are different The old system includes two kinds of standard namely mandatory standard and recommendation standard, which isn’t in line with the provision of WTO/TBT treaty that "standard, which is approved by recognized institutions, is not mandatory, but a document to provide rules, guides or characteristics for products or related producing and manufacturing methods for the purpose of common use and repeated use. Standard can also include or specifically make provision on requirements of nomenclature, sign and packing mark or label for products, producing or manufacturing methods. Meanwhile, as the technical standards are with mandatory attribution, naturally, the old system has characteristics of planning. Therefore, the old system belongs to the non-voluntary standard system in nature. However, new system design puts forward the idea of changing from mandatory technical standards to technical specifications or even technical statutes, separating technical standards from technical statutes in accordance with related provision of WTO/TBT treaty, and on the basis

of further establishment of non-mandatory attribution of technical standards, new system design establishes voluntary characteristic of technical standard system from the perspective of standard establishment, standard adoption, standard implementation and other aspects by ways of improving management system and operation mechanism , the basic idea of construction of China’s technical statute system has also been put forward, thus, ensure the overall coordination of new system radically and provide guarantee for new system to furthest adapt to the market, exert self-control ability and fulfill commitments after the entry into WTO.

Table 3.1 Main Differences between Basic Systems of the New and Old Systems

Standard Form of Standard approval system Standard properties Standard Standard layer department implementation Old Mandatory system National Recommend Government standards ation Standards administrative Mandatory Technical approval implementation Profession guidance authorities al document recommendation standards adoption

Local standards

standards enterprise mandatory examine and mandatory standards implementat approve by Implementation ion enterprise, within the within the and enterprise enterprise put product standards on records

Voluntary National Voluntary Standards Government adoption New standard technical authorized (Only quoted system guidance department, by law can it be Guild document industry, and mandatory) standard industry league technical agreement Enterprise Mandatory Mandatory standard implementation implementat standard enterprise within the ion within examine and enterprise the approve enterprise

By comparison of basic systems of the new and old systems ，there mainly the exist following changes: 1.Four layer structures including national standard 、 professional standard 、 local standard 、 enterprise standard are changed to three layer structures including national standard、guild standard、enterprise standard ；

2. Two kinds of standards including mandatory standard and recommendation standard are changed to voluntary standard, and only quoted by law can it be with the property of mandatory implementation; 3. The approval of national standard, professional standard and local standard by government departments is changed to approval of national standard by government- authorized department and guild standard by professional league. 4.the practice to put on records after enterprise examine and approve enterprise product standards is changed to only enterprise examine and approve without putting on records; 5. Combination of mandatory implementation and recommendation adoption by government is changed to completely voluntary adoption by standard users in Implementation of enterprise product standards.

Part Ⅳ Implementation of national technology standard system

General design of national technology standard system provides general target and direction for standardization development and reform, but implement and realize it, definite implementation ideas, interim target and physical measures are needed. Ⅰ Principle of implementation Establishment of new national technical standard system is a grand reform in standardization field of China, and it involves adjustment of organization and institution, adjustment of department obligations, renewal of people’s concepts, and change of working methods. Therefore, it needs to strength leadership, make a unified plan and overall arrangement, enhance the supporting, organize abortively ,and implement step by step，and the following principles must be paid attention to during the implementation: 1. The laws and statutes Construction first Standardization and momentous proceedings in construction of national technical standard system have to be further defined by standardization laws and statutes, in order to ensure sustaining and rapid development of standardization. Therefore, amendment and improvement of standardization and supporting laws and statutes become a precondition of implementation of new system. 2. key point breakthrough and overall advancement Establishment of voluntary standard system, which meets the needs of market

96 On the Construction of the National Technical Standard System development and public administration reform, is the mainstay of new system, and management system and operation mechanism, which are organization guarantees of high efficiency operation of new system, are key points and difficulties of new system construction, therefore, it is necessary to take establishment of voluntary standard system and reform of management operation mechanism as a breakthrough point, in order to achieve the goal of facing out from one point to area, and overall advancement. 3．Implement step by step and in an all-around way The establishment of new system is an arduous and urgent and imminent task, so we should work in the order of importance and urgency, and dispose of the systematic obstacles that restrained standardization development firstly and the key problems that hindered the exertion of overall functions of technical standard system. On this basis, supporting reforms of related systems are actively advanced in order to realize the general target of China’s technical standard system. 4. The pilot project first, and conduct steady extension Implementation of the new system involves all industries and all places and exert an influence on national economic construction, social development, science-technology progress, the people's living and other aspects, and all kinds of problems and obstacles may be encountered in implementation. Therefore, the implementation must be advanced actively and steadily in an all-around way on the basis of experience after trial.

Ⅱ. Steps of implementation

In accordance with the development of market economy and actual demand after the entry into WTO, the establishment and implementation of new system have to be not only advanced actively, but also implemented steadily in view of the historical fact that the existing national technical standard system has already taken effect for over ten years, to be specific, three steps have to go. The first step: from 2005 to 2010, the key task in this period is to establish a complete set of laws and statutes, and realize steady transition. Therefore，the following works have to be done firstly. 1. Revise the existing “STANDARDIZATION LAW OF P.R.C.” and revision of related statutes and policies, establish the position of voluntary standard system, national mandatory technical specification and guild standard, and improve management system through system innovation.16

Symbol of realization ：Completion of “STANDARDIZATION LAW OF P.R.C.”, and revision of related statutes

2. Check up existing national recommendation standards and Realize restriction of quantity, improvement of technical level and enhancement of market adaptability; establish and improve technical standard system in key fields.17 Symbol of realization: Complete the checkup of national technical standards, and construction of technical standard system in key fields. 3. Advance the transition of current national, professional and local mandatory standards to mandatory specifications with key points and steps, in order to meet the requirements of market economy and international trades, and break the industry monopolization and local barriers.18 Symbol of realization ： Complete the transition from national, professional, and local mandatory standards to mandatory technical specifications. 4.Clear up current recommendation professional standards ， gradually promote ratification system of guild standard formulation institution, and launch a pilot project of guild standards.19 Symbol of realization: complete the of professional standards and issue guild standards. 5. Clear up the current local standards, design exits for local standards, and gradually cancel local standards.20 Symbol of realization: cancellation of local standards by 2010. 6. Gradually improve the supervision and guarantee system for implementation of national technical standard system.921。 Symbol of realization: complete the transition from old supervision and guarantee system to new supervision and guarantee system

7. Cultivate and attract high-quality compound standardization talents.22 Symbol of realization: establish international exchange funds of standardization by reference to international practice conduct professional training of standardization practitioners; open up master degree and doctor degree station of standardization by

9Concrete plan see technical supporting report on "Study on the Guarantee System of National Technology Standards", " Study on the Implementation System of National Technical Standards " ;Concrete plan see technical supporting report on "" in force

98 On the Construction of the National Technical Standard System unity of China National Institute of standardization and colleges and universities. 8．Step up effects to provide outlay support on standardization23 Symbol of realization ：A special fund is established by The Ministry of Finance to provide annual outlay support for basic standards, method standards and non-profit standards. 9. Construct a digital and networking technical support platform with complete resources, authoritative information, advanced technology, rational structure, complete functions, and immediate service.24 Symbol of realization ： Establishment of information service system of national technical standards The second step: from 2010 to 2015, the main task in this period is to unify management of standards and improve system structure. 1.The position and functions of guild must be strengthened and functions of guild in standardization should be fully exerted, in order to realize a gradual transition from professional standards to guild standards.25 Symbol of realization: Completion of the transition from professional standards to guild standards by 2015 2. readjust the management functions of national standard management departments and guild associations, enforce the construction of national standard research institutions and key area standard research institutions , further improve the management system and operation mechanism of national technical standards.26 Symbol of realization ： New management system and operation mechanism of national technical standards meet the needs of international and domestic market 3. Further improve implementation supervision system of technical standards, effectively exert the roles of certification, test and inspection institutes, establish a implementation supervision system with combination of government, intermediary institutes and society.27 Symbol of realization: implementation supervision system is rational and effective, with notable results 4. Improve voluntary standard system so as to make the rate of the standards with moderately lead and moderate technical levels amount to more than 95%, rate of conversion of international standards amount to more than 50%.28 Symbol of realization: technical levels and market adaptability of voluntary

99 On the Construction of the National Technical Standard System standards rise distinctly 5. Gradually complete the transition from mandatory technical specification to technical statue system.29 Symbol of realization ：Cancel mandatory technical specification，and technical statutes start to play roles The third step: from 2015 to 2010, the key task is high efficiency operation of system, and realize international breakthrough. Wherefore ， the following works have to be done firstly. 1. Gradually adjust and improve technical statute system in line with international ones.30 Symbol of realization ：technical statutes is given full play to market supervision 2．Integrality, systematicness, market adaptability of technical standard system is further enhanced.31 Symbol of realization ： functions of technical standard system improve constantly 3:further improve management system and operation mechanism ， and make it more scientific and rational.32 Symbol of realization ： High efficiency operation of management system and operation mechanism 4 ． Further improve service system of technical standards, strengthen capability construction, and promote marketing and industrialization of technical standard service by construction of normalization and networking of national technical standard system.33 Symbol of realization ： Effectively playing of technical standard service system with information technology as its support 5. Further improve technical standard guarantee system, operation mechanism of TCST has got onto the right track, national standard research outlay is input into the research of basic, general standards, public good standards and main fields standards, enterprise increase input by a big margin in standard research; found training base of standardization talent, and form competition and excitation mechanism, turn out large numbers of talents with high quality. 34 Symbol of realization ： Effective role playing of technical standard guarantee system 6.to realize international breakthrough strategy of technical standards, establish a new technical standard system with industry superiority and characteristic of china, dominantly establish a lot of international standards on key fields, form technical and industry superiority

100 On the Construction of the National Technical Standard System of China, strength the force of China in international standardization activities.35 Symbol of realization ： participate in draught of 300-500 international standards ， among which 50-100 are dominated by China, or on the basis of standards of China. Ⅲ Countermeasures To ensure the conscientious realization of above each phase targets , it is suggested that the united management of national standardization administration, vigorous cooperation of related government sectors of State Department, and wide participation of guilds and enterprises 1. Standing committee of the national people's congress is suggested to speed up the revision of "Standardization Law of PRC" and construction of supporting statutes. 2. In the process of reform of professional standards and local standards, attention must be paid to give full play to the roles of united coordination of national standard administration, and vigorous cooperation of related government sectors of State Council, in order to ensure steady transition of professional standards and local standards. 3. In the process of transition from current national technical standard system to new system, vacuum between standards and mandatory technical specification should be avoided, and the transition between new and old systems is necessary. 4. After cancellation of the system that put enterprise product standards on records, attention must be paid to avoid randomenterprise product standards, and research on the establishment of self-discipline mechanism of enterprise product standards Meanwhile, market admittance mechanism should be intensified. 5.Pilot work of change from professional standards to guild standards and the transition of local standards. 6.During implementation of new system ， its market adaptability, international adaptability and specific research of technical standard system in related key fields should be strengthened, 7. Informatization construction should be further stepped up effects, by which standardization development can be advanced. 8. Further strengthen basic research and talent cultivation of standardization, and build up China National Institute of Standardization into a standardization research and development base and talent cultivation base, which is first rate at home and well-known

101 On the Construction of the National Technical Standard System abroad. 9.increase of outlay input，on one hand ,increase national public financial support, on the other hand, finance through various channels and promote quick, healthy development of standardization.

Accessory: technology supporting report

1. “Evolution and historical background of standardization of PRC” 2.“Comparative Study on Domestic and Foreign Standard Systems” 3.“Study on the Construction of Laws and Statutes System of National Technical Standards” 4.“Study on the Management System and Operational Mechanism of National Technical Standards” 5.“Study on the Guarantee System of National Technical Standards” 6.“Study on the Promotion system of National Technical Standards 7.“Study on the Service System of National Technical Standards” 8.“Study on Evaluation Analysis of the Applicability of National Technical Standards and the Adjustment Plan of the Structure of Technical Standard System” 9. “Study on the Construction of National Technical Information Service System” 10. “Comprehensive Conclusion of China’s Standard Strategy and System Study——an Investigation and Research Report” 11. “Investigation and Research Report on Local Standards”

NOTE: 1 The details about the historical evolution of PRC standardization see the supporting report---“The evolution and historical backgrounds of china’s standardization”. 2 see p 25-29,“Encyclopaedia of Quality, standardization and measurement ” 3 supplied by National Standard Technical Examination Department 4 supplied by the subtask of the research study ---National Technical Standard Assurance system 5 supplied by An Investigation Report---A Comprehensive summary of National strategy of Standards and its system 6 Take the international standards which are coordinated more difficultly as an example. According to IEC, the items fulfilled in 3 years are 79% in1999 and 87% in 2001. The cycle to make a national standard usually is 3 years in such developing countries as U.S.A. , Japan and some European countries. 7 See the technical supporting report---An Investigation and Analysis Report of Local Standards 8 ICS(International Classification for Standards) is composed by ISO. It is used to classify the international standards, regional standards, national standards and other standard documents. ICS has 3 levels. The first level includes 40 standard special fields. Each field is divided into 407 groups (called 2 level), of which 134 are subdivided to 896 subgroup(called 3 level). 9 Take indices of phosphonium and sulfur content in steel plate used for pressure vessel as example, foreign standards are universally not so strict as China's Standards, whereas foreign finished steel plate is much better than the similar steel plate of China by indices of phosphonium sulfur content---source material: China National technical Committee For Standardization Of Boiler Pressure V essel 10 During the process of investigation, research and interview to 101 guilds, 37％ experts believed that China's standard management system still belongs to the planned economy mode. 29％experts pointed out that China standard management mode is planned economy mode but have been partly reformed. 14%experts believed that the

market mode has been basically formed but need further improvement. But only 2% experts believed that the market economy mode has been formed and can adapt to the market economy.---quoted from investigation and research report” Interview and Analysis Report on Guilds” 11 Currently the period from the summit of a national standard draft to the National Standard Technical Examination Department for approval to the official approval of this standard needs at ;east needs 12 months. 12 In August 2002, Ningbo City organized a delegation of experts to Japan to investigate the matter of technical barriers encountered by refrigeration green soy bean. In Japan market, they found that there were such wrongly guided public opinions, i.e., “Chinese vegetable and hazard” and” Chinese food and distrust" and so forth. With such impressions, consumers in Japan did not intent to choose Chinese products. The problems that agricultural products exported in Japanese market encountered not only a matter of "qualification", but a matter of whether there were people would like to buy the products already checked off or not. Except Japan market named Chinese vegetables as " poison vegetable”, the US market regarded Chinese traditional medicine as "poison” at a time. Euromarkets believed that, Chinese foodstuffs with animal source might cause cancers and so forth. Such a series of events seriously damaged the overall image of export products made in China. 13. Refer to the technical support report "Report of Comparative Studies on Domestic and Overseas Standard Systems". 14. NIST (National Institute of Standards and Technology) a government agency subject to the administration of US Department of Commerce, carries out many important technological researches on standards. 15. In US, a ratification and periodic examination system is available for standard-making organizations, to make sure the technical committees are technical committees in the real sense. 16. For the concrete work program, see the technical supporting report---A Studying report on the construction of the law and statute system of national technical standards. 17. For the concrete work plan, see the technical supporting report---A Studying report on the evaluating analysis of the applicability of national technical standards and the readjustment plan of the technical standard architecture 18. For the concrete work program, see the technical supporting reports--- A Studying Report

on Mandatory National Standards, and An Investigation Report on Local Standards 19. For the concrete work plan, see the technical supporting reports---A Studying report on the evaluating analysis of the applicability of national technical standards and the readjustment plan of the technical standard architecture, and An Studying Report On the Management System and the Operating Mechanism of National technical Standards 20. For the concrete work program, see the technical supporting report--- An Investigation Report on Local Standards 21. Concrete plan see technical supporting report on "Study on the Guarantee System of National Technology Standards", " Study on the Implementation System of National Technical Standards " ; 22. Concrete plan see technical supporting report on "Study on the Guarantee System of National Technology Standards", 23 Concrete plan see technical supporting report on "Study on the Guarantee System of National Technology Standards", 24. Construction plan see the technical supporting report "Study on the Construction of National Technology Information Service System " 25. For interim plan, see the technical supporting report ---An Studying Report On the Management System and the Operating Mechanism of National technical Standards 26. For concrete plan, see the technical supporting report ---An Studying Report On the Management System and the Operating Mechanism of National technical Standards 27. For concrete plan, see the technical supporting report ---An Studying Report On the Implement System of National technical Standards 28. For the concrete work plan, see the technical supporting report---A Studying report on the evaluating analysis of the applicability of national technical standards and the readjustment plan of the technical standard architecture, 29. For the concrete work program, see the technical supporting report---A Studying report on the construction of the law and statute system of national technical standards. 30. For the concrete work program, see the technical supporting report---A Studying report on the construction of the law and statute system of national technical standards. 31. For the concrete work plan, see the technical supporting reports---A Studying report on the evaluating analysis of the applicability of national technical standards and the readjustment plan of the technical standard architecture,

32. For the concrete work plan, see the technical supporting report--- An Studying Report On the Management System and the Operating Mechanism of National technical Standards 33. For the concrete work plan, see the technical supporting reports--- An Studying Report On the Serve System of National technical Standards, and An Studying Report On the construction of the information Serve System of National technical Standards, 34. For the concrete plan, see the technical supporting report --- "Study on the Guarantee System of National Technology Standards", 35. For the concrete work plan, see the technical supporting reports---A Studying report on the evaluating analysis of the applicability of national technical standards and the readjustment plan of the technical standard architecture,