Skip to main content Skip to secondary navigation
Main content start

Translation: Cybersecurity Review Measures

Four locks, one of them open, are rendered as if on a computer screen

This translation was originally published April 27, 2020, by DigiChina on the New America website. That entry also includes early analysis of these measures.

[Correction: In Article 10, the phrase "issuing written notice to the operator" was originally incorrectly rendered as "receiving written notice from the operator." It is now corrected. –July 4, 2021]

TRANSLATION

[Chinese-language original (archived)]

Published April 27, 2020

The Cyberspace Administration of China, the National Development and Reform Commission, the Ministry of Industry and Information Technology, the Ministry of Public Security, the Ministry of State Security, the Ministry of Finance, the Ministry of Commerce, the People’s Bank of China, the State Administration for Market Regulation, the National Radio and Television Administration, the National Administration of State Secrets Protection, and the State Encryption Management Bureau jointly formulated the Cybersecurity Review Measures, and they are hereby published.

Zhuang Rongwen, Director of the Cyberspace Administration of China

He Lifeng, Director of the National Development and Reform Commission

Miao Wei, Minister of Industry and Information Technology

Zhao Kefu, Minister of Public Security

Chen Wenqing, Minister of State Security

Liu Kun, Minister of Finance

Zhong Shan, Minister of Commerce

Yi Gang, President of the Bank of China

Xiao Yaqing, Director of the State Administration for Market Regulation

Nie Chenxi, Director of the National Radio and Television Administration

Tian Jing, Director of the National Administration of State Secrets Protection

Li Zhaozong, Director of the State Encryption Management Bureau

April 13, 2020

Cybersecurity Review Measures

Article 1: In order to ensure critical information infrastructure (CII) supply chain security and defend national security, in accordance with the National Security Law of the People’s Republic of China and Cybersecurity Law of the People’s Republic of China, these measures are formulated.

Article 2: Critical information infrastructure operators (hereinafter referred to as operators) procuring network products and services that influence or may influence national security should conduct a cybersecurity review according to these measures.

Article 3: Cybersecurity reviews persist in the integration of preventing cybersecurity risks and the application of advanced technology; the integration of a fair and transparent process and the protection of intellectual property rights; the integration of prior review and ongoing supervision; and the integration of enterprise commitment and social supervision; and they conduct reviews on aspects such as the security of products and services and the national security risks they could bring about.

Article 4: Under the leadership of the Central Commission for Cybersecurity and Informatization, the Cyberspace Administration of China, with the National Development and Reform Commission of the People’s Republic of China, the Ministry of Industry and Informatization of the People’s Republic of China, the Ministry of Public Security of the People’s Republic of China, the Ministry of State Security of the People’s Republic of China, the Ministry of Finance of the People’s Republic of China, the Ministry of Commerce of the People’s Republic of China, the People’s Bank of China, the State Administration for Market Regulation, the National Radio and Television Administration, the National Administration of State Secrets Protection, and the State Encryption Management Bureau, establishes the cybersecurity review work mechanism.

The Cybersecurity Review Office resides in the Cyberspace Administration of China with the responsibility of formulating cybersecurity review systems and standards and organizing cybersecurity reviews.

Article 5: Operators that purchase network products and services shall anticipate the potential national security risk of products and services after they enter operation. If they influence or could influence national security, a cybersecurity review shall be reported to the Cybersecurity Review Office.

CII protection work departments may formulate guidelines [for anticipating risk] in their industry or sector.

Article 6: Regarding purchasing activities that are to undergo cybersecurity review, operators should require product and service providers to cooperate with the cybersecurity review through procurement documents or agreements, etc., including a commitment not to exploit the supply of products and services as a convenient way to illegally gain access to user data, illegally control and operate user equipment, or break off product supply or necessary technical support without reasonable grounds.

Article 7: Operators submitting to a cybersecurity review should submit the following materials:

  1. A written declaration;
  2. An analytic report on the influence or possible influence on national security;
  3. A procurement document, agreement, contract to be signed, etc.;
  4. Other materials required for cybersecurity review work.

Article 8: The Cybersecurity Review Office shall determine whether a review is needed and provide written notice to the operator within 10 working days of receiving the review declaration materials.

Article 9: The cybersecurity review process focuses on assessing the potential national security risks brought about by procurement of network products and services, mainly considering the following factors:

  1. The risk that the use of products and services could bring about the illegal control of, interference with, or destruction of CII, as well as the theft, leak, or damage of important data;
  2. The harm to CII business continuity of product and service supply disruptions;
  3. The security, openness, transparency, and diversity of sources of products and services; the reliability of supply channels, as well as the risk of supply disruptions due to political, diplomatic, and trade factors;
  4. Product and service providers’ compliance with Chinese national laws, regulations, and department rules;
  5. Other factors that could harm CII security and national security.

Article 10: If the Cybersecurity Review Office deems it necessary to launch a cybersecurity review, it shall complete a preliminary review within 30 working days of issuing written notice to the operator, including forming suggested review conclusions and transmitting them to the cybersecurity review work mechanism member units and relevant CII protection work departments for opinions. In cases involving complex situations, the review may be extended an additional 15 working days.

Article 11: The cybersecurity review working mechanism member units and relevant CII protection work departments should respond with their opinions in writing within 15 days of receiving the suggested review conclusion.

If the member units of the cybersecurity review mechanism and relevant CII protection work departments are in agreement, the Cybersecurity Review Office will formally notify the operator of the review conclusion in writing. If the opinions are inconsistent, the special review procedures shall be followed and the operator shall be notified.

Article 12: In accordance with the special review procedures, the Cybersecurity Review Office, after listening to the opinions of relevant departments and units, conducting an in-depth analysis and evaluation, once again forming a review conclusion and recommendation, soliciting the opinions of the cybersecurity review mechanism member units and relevant CII protection work departments, and reporting to the Central Commission for Cybersecurity and Informatization for approval according to procedure, shall form the conclusion of the review and notify the operator in writing.

Article 13: The special review procedure should generally be completed within 45 working days; if the situation is complicated, it can be extended appropriately.

Article 14: If the Cybersecurity Review Office requests the provision of supplementary materials, operators and product and service providers shall cooperate. The time for submitting supplementary materials is not included in the review time.

Article 15: Network products and services that the cybersecurity review work mechanism member units believe affect or could affect national security shall, after being submitted to the Central Commission for Cybersecurity and Informatization for approval, be reviewed by the Cybersecurity Review Office in accordance with the provisions of these Measures.

Article 16: Relevant institutions and personnel involved in cybersecurity review shall strictly protect enterprises’ business secrets and intellectual property rights, and shall undertake confidentiality obligations for the unpublished materials submitted by operators and product and service providers, and other unpublished information learned during review work; without the consent of the information provider, it may not be disclosed to unrelated parties or used for purposes other than review.

Article 17: If an operator or a provider of network products and services believes that the review personnel are unfair and impartial, or that they fail to undertake the obligation of confidentiality of information learned during the review, they may report to the Cybersecurity Review Office or relevant department.

Article 18: Operators shall urge product and service providers to fulfill the commitments made in the cybersecurity review.

The Cybersecurity Review Office strengthens pre-event, in-progress, and post-event supervision by accepting reports and other forms.

Article 19: Operators who violate the provisions of these Measures shall be dealt with in accordance with the provisions of Article 65 of the “Cybersecurity Law of the People's Republic of China.”

Article 20: In these Measures, “critical information infrastructure operators” refers to operators designated by CII protection work departments.

The “network products and services” mentioned in these Measures primarily refer to core network equipment, high-performance computers and servers, large-capacity storage devices, large-scale databases and application software, cybersecurity equipment, cloud computing services, and other important network products and services that have important influence on the security of CII.

Article 21: Where information related to state secrets is involved, the relevant national secrecy protection provisions apply.

Article 22: These Measures take effect on June 1, 2020, and the “Network Product and Service Security Review Measures (Trial)” will be abolished at the same time.

Original Chinese of the Cybersecurity Review Measures

国家互联网信息办公室、国家发展和改革委员会、工业和信息化部、公安部、国家安全部、财政部、商务部、中国人民银行、国家市场监督管理总局、国家广播电视总局、国家保密局、国家密码管理局联合制定了《网络安全审查办法》,现予公布。

国家互联网信息办公室主任 庄荣文

国家发展和改革委员会主任 何立峰

工业和信息化部部长 苗 圩

公安部部长 赵克志

国家安全部部长 陈文清

财政部部长 刘 昆

商务部部长 钟 山

中国人民银行行长 易 纲

国家市场监督管理总局局长 肖亚庆

国家广播电视总局局长 聂辰席

国家保密局局长 田 静

国家密码管理局局长 李兆宗

2020年4月13日

 

网络安全审查办法

第一条 为了确保关键信息基础设施供应链安全,维护国家安全,依据《中华人民共和国国家安全法》《中华人民共和国网络安全法》,制定本办法。

第二条 关键信息基础设施运营者(以下简称运营者)采购网络产品和服务,影响或可能影响国家安全的,应当按照本办法进行网络安全审查。

第三条 网络安全审查坚持防范网络安全风险与促进先进技术应用相结合、过程公正透明与知识产权保护相结合、事前审查与持续监管相结合、企业承诺与社会监督相结合,从产品和服务安全性、可能带来的国家安全风险等方面进行审查。

第四条 在中央网络安全和信息化委员会领导下,国家互联网信息办公室会同中华人民共和国国家发展和改革委员会、中华人民共和国工业和信息化部、中华人民共和国公安部、中华人民共和国国家安全部、中华人民共和国财政部、中华人民共和国商务部、中国人民银行、国家市场监督管理总局、国家广播电视总局、国家保密局、国家密码管理局建立国家网络安全审查工作机制。

网络安全审查办公室设在国家互联网信息办公室,负责制定网络安全审查相关制度规范,组织网络安全审查。

第五条 运营者采购网络产品和服务的,应当预判该产品和服务投入使用后可能带来的国家安全风险。影响或者可能影响国家安全的,应当向网络安全审查办公室申报网络安全审查。

关键信息基础设施保护工作部门可以制定本行业、本领域预判指南。

第六条 对于申报网络安全审查的采购活动,运营者应通过采购文件、协议等要求产品和服务提供者配合网络安全审查,包括承诺不利用提供产品和服务的便利条件非法获取用户数据、非法控制和操纵用户设备,无正当理由不中断产品供应或必要的技术支持服务等。

第七条 运营者申报网络安全审查,应当提交以下材料:

(一)申报书;

(二)关于影响或可能影响国家安全的分析报告;

(三)采购文件、协议、拟签订的合同等;

(四)网络安全审查工作需要的其他材料。

第八条 网络安全审查办公室应当自收到审查申报材料起,10个工作日内确定是否需要审查并书面通知运营者。

第九条 网络安全审查重点评估采购网络产品和服务可能带来的国家安全风险,主要考虑以下因素:

(一)产品和服务使用后带来的关键信息基础设施被非法控制、遭受干扰或破坏,以及重要数据被窃取、泄露、毁损的风险;

(二)产品和服务供应中断对关键信息基础设施业务连续性的危害;

(三)产品和服务的安全性、开放性、透明性、来源的多样性,供应渠道的可靠性以及因为政治、外交、贸易等因素导致供应中断的风险;

(四)产品和服务提供者遵守中国法律、行政法规、部门规章情况;

(五)其他可能危害关键信息基础设施安全和国家安全的因素。

第十条 网络安全审查办公室认为需要开展网络安全审查的,应当自向运营者发出书面通知之日起30个工作日内完成初步审查,包括形成审查结论建议和将审查结论建议发送网络安全审查工作机制成员单位、相关关键信息基础设施保护工作部门征求意见;情况复杂的,可以延长15个工作日。

第十一条 网络安全审查工作机制成员单位和相关关键信息基础设施保护工作部门应当自收到审查结论建议之日起15个工作日内书面回复意见。

网络安全审查工作机制成员单位、相关关键信息基础设施保护工作部门意见一致的,网络安全审查办公室以书面形式将审查结论通知运营者;意见不一致的,按照特别审查程序处理,并通知运营者。

第十二条 按照特别审查程序处理的,网络安全审查办公室应当听取相关部门和单位意见,进行深入分析评估,再次形成审查结论建议,并征求网络安全审查工作机制成员单位和相关关键信息基础设施保护工作部门意见,按程序报中央网络安全和信息化委员会批准后,形成审查结论并书面通知运营者。

第十三条 特别审查程序一般应当在45个工作日内完成,情况复杂的可以适当延长。

第十四条 网络安全审查办公室要求提供补充材料的,运营者、产品和服务提供者应当予以配合。提交补充材料的时间不计入审查时间。

第十五条 网络安全审查工作机制成员单位认为影响或可能影响国家安全的网络产品和服务,由网络安全审查办公室按程序报中央网络安全和信息化委员会批准后,依照本办法的规定进行审查。

第十六条 参与网络安全审查的相关机构和人员应严格保护企业商业秘密和知识产权,对运营者、产品和服务提供者提交的未公开材料,以及审查工作中获悉的其他未公开信息承担保密义务;未经信息提供方同意,不得向无关方披露或用于审查以外的目的。

第十七条 运营者或网络产品和服务提供者认为审查人员有失客观公正,或未能对审查工作中获悉的信息承担保密义务的,可以向网络安全审查办公室或者有关部门举报。

第十八条 运营者应当督促产品和服务提供者履行网络安全审查中作出的承诺。

网络安全审查办公室通过接受举报等形式加强事前事中事后监督。

第十九条 运营者违反本办法规定的,依照《中华人民共和国网络安全法》第六十五条的规定处理。

第二十条 本办法中关键信息基础设施运营者是指经关键信息基础设施保护工作部门认定的运营者。

本办法所称网络产品和服务主要指核心网络设备、高性能计算机和服务器、大容量存储设备、大型数据库和应用软件、网络安全设备、云计算服务,以及其他对关键信息基础设施安全有重要影响的网络产品和服务。

第二十一条 涉及国家秘密信息的,依照国家有关保密规定执行。

第二十二条 本办法自2020年6月1日起实施,《网络产品和服务安全审查办法(试行)》同时废止。


 

Editor’s Note: Chinese regulatory releases are often accompanied by a transcript of questions and answers between unidentified journalists and an unidentified responsible official. DigiChina has translated the Q&A in full below.

[Chinese-language original (archived)]

Answering Journalist Questions on the Cybersecurity Review Measures

April 27, 2020

Recently, 12 departments including the CAC and the NDRC have jointly promulgated the "Cybersecurity Review Measures" (hereinafter referred to as the "Measures"). The relevant responsible CAC official has answered journalists' questions concerning the Measures.

Q: Could you please introduce the background of the Measures' rollout?

A: Critical information infrastructure (CII) is of the highest importance for national security, economic security, social stability, and the health and security of the masses. Our country has established a cybersecurity review system, with the objective to discover as quickly as possible and avoid the purchase of products and services bringing risks and harm to the operation of CII through the measure of cybersecurity review, to ensure the security of CII supply chains, and to safeguard national security. The rollout of the Measures has provided important structural guarantees for our country's conduct of cybersecurity review work.

Q: What is the legal basis for cybersecurity review?

A: Cybersecurity review work is conducted on the basis of the National Security Law and the Cybersecurity Law. Article 59 of the National Security Law provides for our country's establishment of national security review and supervision structures and mechanisms, to conduct national security reviews of network and information technology products and services that influence or may influence national security, as well as other major matters and activities. Article 35 of the Cybersecurity Law provides that, "CII operators purchasing network products and services that might impact national security shall undergo a national security review organized by the State cybersecurity and informatization departments and relevant departments of the State Council."

Q: What content will cybersecurity reviews mainly review?

A: Cybersecurity review focuses on assessing the national security risks that may be brought by CII operators purchasing network products and services, including: the risk that after products and services are used, CII could be illegally controlled or suffer interference or destruction, as well as the risk that important data could be stolen, leaked or damaged; harm to the continuity of CII operations due to interruptions in the supply of products and services; product or service security, openness, transparency, diversity of sources, as well as the reliability of supply channels and the risk of supply interruptions including for reasons of politics, foreign affairs, trade, etc.; the extent to which product and service suppliers abide by Chinese laws, administrative regulations, and departmental rules; and other factors that may endanger the security of CII and national security.

Q: Which network operators purchasing products and services must consider reporting for cybersecurity review?

A: CII operators purchasing networks products and services, where national security is or may be influenced, shall conduct cybersecurity reviews according to the Measures.

On the basis of the spirit of the Central Commission for Cybersecurity and Informatization "Notice Concerning Critical Information Infrastructure Security Protection Work-Related Issues," important network and information system operators in sectors and areas including telecommunications, radio and television, energy, finance, road and water transport, railroads, civil aviation, post, water management, emergency management, hygiene and healthcare, social security, national defence science, technology and industry, etc., shall consider reporting for cybersecurity review according to the requirements in the Measures when purchasing network products and services.

Q: When are they to report for cybersecurity review?

A: Under usual circumstances, CII operators shall report for cybersecurity review before officially signing contracts with a product or service provider. If they report for cybersecurity review after signing the contract, it is recommended that they indicate in the contract that the contract may only become effective after the product or service purchase passes cybersecurity review, in order to avoid losses resulting from non-passing of cybersecurity review.

Q: Are there time limitation requirements for cybersecurity review?

A: Under usual circumstances, cybersecurity review is completed within 45 working days. Where circumstances are complicated, this period may be extended by 15 working days.

For review items listed for the special review procedure, it may additionally require 45 working days or longer.

On the basis of the requirements of the Measures, the period for additional submission of materials is not counted into the review time limits.

Q: How are commercial secrets and intellectual property rights of CII operators and product and service providers guaranteed during the review process?

A: Cybersecurity review fully respects and strictly protects enterprises' intellectual property rights. The Measures provide that related bodies and individuals participating in cybersecurity review shall strictly protect enterprises' commercial secrets and intellectual property rights. They have the duty to protect the secrecy of non-published materials submitted by CII operators and product and service providers, as well as other non-public information they obtain during review work; without the agreement of information providers, they may not divulge it to non-related parties or use it for purposes unrelated to review. Where CII operators or product and service providers believe review personnel have not been objective or fair, or have not upheld their duty to protect the secrecy of information they obtained during review work, they may report the matter to the cybersecurity review office or a relevant department.

Q: Will cybersecurity review restrict or discriminate against foreign products and services?

A: The Measures clearly provide the content that must be reviewed, from which it can be seen that the objective of cybersecurity review is safeguarding national cybersecurity, and not restriction or discrimination against foreign products and services.

Opening up to the outside world is our basic national policy, the policy that we welcome foreign products and services to enter Chinese markets has not changed.

Q: Which legal liabilities will be borne for violation of the provisions of the Measures?

A: On the basis of the provisions of Article 65 of the Cybersecurity Law, those who should report for cybersecurity review and have not done so, or who use products or services that have not passed cybersecurity review, will be ordered by the relevant controlling department to cease such use, and be punished with a fine ranging from the purchase value to ten times the purchase value; the directly responsible leading personnel and other directly responsible personnel will be subject to a fine of more than 10,000 but less than 100,000 yuan.

Q: To whom should cybersecurity review be reported?

A: On the basis of the Measures, a cybersecurity review office is established within the CAC. Concrete work will be entrusted to the China Cybersecurity Review Technology and Certification Center.

The China Cybersecurity Review Technology and Certification Center acts under the leadership of the Cybersecurity Review Office, and is responsible for tasks including receiving reporting materials, conducting formal review of reporting materials, and concretely organizing review work.

Original Chinese of the Journalist Questions

《网络安全审查办法》答记者问

2020年04月27日 12:00来源: 中国网信网

近日,国家互联网信息办公室、国家发改委等12个部门联合发布了《网络安全审查办法》(以下简称《办法》)。国家互联网信息办公室有关负责人就《办法》相关问题回答了记者的提问。

问:请您介绍一下《办法》出台的背景?

答:关键信息基础设施对国家安全、经济安全、社会稳定、公众健康和安全至关重要。我国建立网络安全审查制度,目的是通过网络安全审查这一举措,及早发现并避免采购产品和服务给关键信息基础设施运行带来风险和危害,保障关键信息基础设施供应链安全,维护国家安全。《办法》的出台,为我国开展网络安全审查工作提供了重要的制度保障。

问:网络安全审查的法律依据是什么?

答:网络安全审查是依据《国家安全法》《网络安全法》开展的一项工作。《国家安全法》第五十九条规定,国家建立国家安全审查和监管的制度和机制,对影响或者可能影响国家安全的网络信息技术产品和服务,以及其他重大事项和活动,进行国家安全审查。《网络安全法》第三十五条规定,“关键信息基础设施的运营者采购网络产品和服务,可能影响国家安全的,应当通过国家网信部门会同国务院有关部门组织的国家安全审查”。

问:网络安全审查主要审查哪些内容?

答:网络安全审查重点评估关键信息基础设施运营者采购网络产品和服务可能带来的国家安全风险,包括:产品和服务使用后带来的关键信息基础设施被非法控制、遭受干扰或破坏,以及重要数据被窃取、泄露、毁损的风险;产品和服务供应中断对关键信息基础设施业务连续性的危害;产品和服务的安全性、开放性、透明性、来源的多样性,供应渠道的可靠性以及因为政治、外交、贸易等因素导致供应中断的风险;产品和服务提供者遵守中国法律、行政法规、部门规章情况;其他可能危害关键信息基础设施安全和国家安全的因素。

问:哪些网络运营者采购产品和服务需要考虑申报网络安全审查?

答:关键信息基础设施运营者采购网络产品和服务,影响或可能影响国家安全的,应当按照《办法》进行网络安全审查。

根据中央网络安全和信息化委员会《关于关键信息基础设施安全保护工作有关事项的通知》精神,电信、广播电视、能源、金融、公路水路运输、铁路、民航、邮政、水利、应急管理、卫生健康、社会保障、国防科技工业等行业领域的重要网络和信息系统运营者在采购网络产品和服务时,应当按照《办法》要求考虑申报网络安全审查。

问:何时申报网络安全审查?

答:通常情况下,关键信息基础设施运营者应当在与产品和服务提供方正式签署合同前申报网络安全审查。如果在签署合同后申报网络安全审查,建议在合同中注明此合同须在产品和服务采购通过网络安全审查后方可生效,以避免因为没有通过网络安全审查而造成损失。

问:网络安全审查有无时限要求?

答:通常情况下,网络安全审查在45个工作日内完成,情况复杂的会延长15个工作日。

进入特别审查程序的审查项目,可能还需要45个工作日或者更长。

根据《办法》要求,补充提供材料的时间不计入审查时限。

问:审查过程中如何保证关键信息基础设施运营者及产品和服务提供者的商业秘密和知识产权?

答:网络安全审查充分尊重和严格保护企业的知识产权。《办法》规定,参与网络安全审查的相关机构和人员应严格保护企业商业秘密和知识产权,对关键信息基础设施运营者、产品和服务提供者提交的未公开材料,以及审查工作中获悉的其他未公开信息承担保密义务;未经信息提供方同意,不得向无关方披露或用于审查以外的目的。关键信息基础设施运营者或产品和服务提供者认为审查人员有失客观公正,或未能对审查工作中获悉的信息承担保密义务的,可以向网络安全审查办公室或有关部门举报。

问:网络安全审查是否会限制或歧视国外产品和服务?

答:《办法》明确规定了要审查的内容,从中可以看出,网络安全审查的目的是维护国家网络安全,不是要限制或歧视国外产品和服务。

对外开放是我们的基本国策,我们欢迎国外产品和服务进入中国市场的政策没有改变。

问:违反《办法》规定应承担哪些法律责任?

答:根据《网络安全法》第六十五条规定,应当申报网络安全审查而没有申报的,或者使用网络安全审查未通过的产品和服务,由有关主管部门责令停止使用,处采购金额一倍以上十倍以下罚款;对直接负责的主管人员和其他直接责任人员处一万元以上十万元以下罚款。

问:网络安全审查向谁申报?

答:根据《办法》,网络安全审查办公室设在国家互联网信息办公室。具体工作委托中国网络安全审查技术与认证中心承担。

中国网络安全审查技术与认证中心在网络安全审查办公室的指导下,承担接收申报材料、对申报材料进行形式审查、具体组织审查工作等任务。