政府报告白皮书：《关于中美经贸摩擦的事实与中方立场》

　　China has formulated and improved its laws and regulations on IP protection, and enhanced protection of IPR. China built a fully-fledged and high-standard IP legal framework in a relatively short period, compared to the decades or more that developed countries spent setting up similar legal systems. China has put in place a complete regime of IP protection, utilization and administration, spanning laws, planning, policies and enforcement agencies. Dr. Arpad Bogsch, former Director-General of the WIPO, has commented, “China had accomplished all this at a speed unmatched in the history of intellectual property protection.” In 2013, China amended its Trademark Law, setting up a system of punitive damages under which the damages cap is raised from RMB 500,000 to RMB 3 million, thus remarkably enhancing protection. Since the fourth major amendment to Patent Law launched in 2014, China has put forward measures for further strengthening protection of patents such as introducing harsher punishment for infringements, improving the rule of evidence, enhancing administrative protection, and better protecting patents in cyber space. In 2017, China amended the Anti-Unfair Competition Law, which further improves the protection of trade secrets, identifies act of confusion, expands the scope of protection for indications, and ratchets up legal liabilities for illegal acts. On October 1st, 2017, China adopted General Provisions of the Civil Law, which stipulates that “Civil entities enjoy intellectual property rights in accordance with law”, and enhances protection of trade secrets by making them a subject of IP protection.

　　加强知识产权司法保护，充分发挥司法保护主导作用。2014年，中国在北京、上海、广州设立了专门的知识产权法院，跨区域管辖专利等知识产权案件。自2009年以来，中国共设立了天津、南京、苏州、武汉、西安等16个知识产权法庭，有效提升了知识产权专业化审判水平。2013年至2017年，中国法院共新收各类知识产权案件813564件，审结781257件。2017年，中国法院共新收一审知识产权案件213480件，结案202970件，分别比上年增加46%和43%。中国已经成为世界上审理知识产权案件尤其是专利案件最多的国家。中国依法平等保护中外当事人合法权益。2016年，中国法院共审结涉外知识产权民事一审案件1667件，同比上升25.6%(专栏3)。中国处理涉外知识产权案件的审理周期是全世界最短的之一，北京知识产权法庭平均为4个月。由于司法程序快捷，目前中国法院已被国际上视为知识产权诉讼较为可取的诉讼地，北京知识产权法院受理的案件中有相当一部分双方当事人都是外国人。

　　China has intensified judicial protection for intellectual property and given full play to judicial protection. In 2014, China set up three IP tribunals in Beijing, Shanghai and Guangzhou to handle cross-regional IP cases, including those related to patents. Since 2009, China has established 16 special judicial organs in Tianjin, Nanjing, Suzhou, Wuhan, Xi’an and other cities, effectively enhancing the professional handling of IP cases. Between 2013 and 2017, Chinese courts received 813,564 new IP cases of all sorts, and handled and closed 781,257 cases. In 2017, Chinese courts received 213,480 first-instance cases, and concluded 202,970 cases, up by 46% and 43% from the previous year. More IP cases, especially patent cases, are tried in China than in any other country. China provides equal protection for the legitimate rights and interests of Chinese and foreign interested parties in accordance with law. In 2016, Chinese courts heard and closed 1,667 first-instance cases related to foreign entities and individuals, up by 25.6% year-on-year. (See Box 3) The adjudication period for foreign-related IP cases in China is among the shortest in the world. Beijing IP court processes cases in four months on average. Thanks to its rapid judicial procedure, China is increasingly being selected as the forum of choice for non-Chinese companies to litigate IP disputes, and a significant number of both the plaintiffs and defendants in Beijing IP court are foreigners.

　　知识产权行政主管部门采取了积极主动的保护措施，行政执法力度持续加强。中国实施行政、司法双轨制保护，知识产权权利人不仅可以寻求司法保护，还可以寻求行政保护。中国国家知识产权局积极构建集快速审查、快速确权、快速维权于一体的快速协同保护体系，建成了基本覆盖全国的“12330”知识产权维权援助与举报投诉网络。专利、商标、版权行政执法部门开展了强有力的主动执法，有效保护了知识产权权利人合法权益。2011年11月，中国国务院印发《关于进一步做好打击侵犯知识产权和制售假冒伪劣商品工作的意见》，成立了全国打击侵犯知识产权和制售假冒伪劣商品工作领导小组，形成由29个部门参与的常态机制。2018年，中国重新组建国家知识产权局，商标、专利执法由市场监管综合执法队伍承担，执法力量得到整合与加强。

　　IP administrative authorities have taken protective measures and intensified enforcement in a proactive manner. China adopts a dual-track protection system where IP right holders can seek not only judicial but also administrative protection. The State Intellectual Property Office (SIPO) has established a coordinated system with rapid review, rapid rights verification, and rapid rights protection, and built a nationwide 12330 network that provides assistance in defending rights and accepting reports and complaints. The patent, trademark and copyright authorities have carried out strong and proactive enforcement that has effectively defended the legitimate interests of IP right holders. In November 2011, the State Council published Opinions on Further Cracking Down on IP Infringement and Manufacture and Sales of Counterfeit and Shoddy Products, setting up a national leading group and signaling a normalized mechanism involving 29 governmental departments. In 2018, China reorganized SIPO by retooling the trademark and patent enforcement teams into a comprehensive enforcement team for market regulation, thus integrating and strengthening the power of enforcement.

　　中国日益加强的知识产权保护为外国企业在华创新提供了有效保障。国外来华发明专利申请受理量从2012年的117464件增加到了2017年的135885件。来自国外的商标注册申请量从2013年的9.5万件增加到了2017年的14.2万件，同期存量商标到期续展申请量从1.4万件增加到了2.0万件。美国彼得森国际经济研究所认为，中国知识产权保护状况不断改善，过去十年间中国使用外国技术支付的专利授权和使用费增长4倍，2017年为286亿美元，排名全球第四，其中为本国境内使用的外国技术支付费用的规模仅次于美国，排名全球第二。

　　This intensified IP protection has served as an effective guarantee for foreign businesses to innovate in China. Received foreign invention patent applications grew from 117,464 in 2012 to 135,885 in 2017. Foreign trademark registration applications grew from 95,000 in 2013 to 142,000 in 2017, and trademark extension applications grew from 14,000 to 20,000 in the same period. According to the Peterson Institute, China’s protection of intellectual property is improving. China’s payment of licensing fees and royalties for the use of foreign technology has recorded a four-fold increase over the last decade, reaching US$28.6 billion in 2017 and ranking fourth in the world. In fact, China ranks second globally in the scale of licensing fees paid for technology used within its national borders, second only to the US.

　　美国企业因中国有效保护知识产权获益丰厚。根据美国商务部经济分析局统计，2016年中国向美国支付知识产权使用费79.6亿美元。中国国家版权局、商务部和国家市场监督管理总局数据显示，2012-2016年，中国自美国引进版权近2.8万项。在商标方面，2002-2016年，美国在华申请转让商标5.8万余件，占中国商标转让申请总数4.54%。在文化方面，中国国家广播电视总局数据显示，2017年中国进口美国影片31部，给美国带来近6.5亿美元收入。

　　US businesses have benefited hugely from effective IP protection in China. According to US Bureau of Economic Analysis of the DOC, China paid US$7.96 billion in licensing fees to the US in 2016. Statistics from China’s National Copyright Administration, Ministry of Commerce, and State Administration for Market Regulation suggest that from 2012 to 2016, China imported 28,000 copyrights from the US. In terms of trademarks, from 2002 to 2016, the US applied for over 58,000 trademarks transfer in China, making up 4.54% of total transfers. In terms of culture, according to the State Administration of Press, Publication, Radio, Film, and TV, in 2017 China imported 31 American films at a cost of US$650 million.

　　中国知识产权保护成效得到了国际社会的积极肯定。2011年，中国海关被全球反假冒组织授予全球唯一的“反假冒最佳政府机构奖”。2012年，中国公安部经侦局被全球反假冒组织授予“2012年度全球反假冒执法部门最高贡献奖”。2011年5月9日，美国前总统奥巴马表示：“中方在保护知识产权等方面取得了良好进展。美方愿向中国和其他国家出口更多高科技产品，这符合双方的利益。”2018年2月，美国商会全球知识产权中心发布《2018年国际知识产权指数发展报告》，该报告分40个指标对全球范围内50个经济体知识产权保护环境进行评价，中国位居第25位，较2017年上升2位。

　　China’s progress in IP protection has been recognized by the international community. In 2011, China Customs won the National Public Body Award of the Global Anti-Counterfeiting Network. In 2012, the Economic Investigation Bureau of the Ministry of Public Security won the award for Distinguished Contributions to Anti-counterfeiting Enforcement. On 9 May 2011, former US president Obama stated that China had made good progress in IP protection. The US was willing to export more high-tech products to China and other countries in the interests of both sides. In February 2018, GIPC released a report on the International Intellectual Property Index 2018, which maps the national IP environment for 50 surveyed economies with 40 indicators. China ranked 25th, up by 2 places from 2017.

　　(五)不应将中国政府鼓励企业走出去歪曲为一种推动企业通过并购获取先进技术的政府行为

　　5. The Chinese government’s encouragement to Chinese business to go global should not be distorted as a government attempt to acquire advanced technologies through commercial M&A.

　　中国政府鼓励企业走出去开展国际经济交流合作符合世界贸易组织的规则。随着中国企业经营能力提高，根据企业配置资源和开拓市场需要，越来越多企业开始自主向海外发展，这符合经济全球化潮流。与世界上其他国家和地区一样，中国政府支持有实力、有条件的企业，在遵守东道国法律法规和国际规则的前提下，对外投资和拓展国际市场，政府为企业对外投资合作提供便利化的服务。美国将中国政府支持企业走出去，判定为一种推动企业通过并购获取别国先进技术的政府行为，是缺乏事实依据的。

　　It is consistent with the WTO for the Chinese government to encourage businesses to go global and engage in international economic exchanges and cooperation. As Chinese companies get stronger and the need for resource allocation and market expansion increases, a growing number of firms have started to expand overseas at their own initiative, a trend in line with economic globalization. Like other countries and regions in the world, the Chinese government supports able and competent companies in outbound investment and tapping into international markets, while obeying the laws and regulations of the host countries as well as international rules. The government only provides services that facilitate this outbound investment and cooperation. The arbitrary conclusion of the US that such support is a government act to acquire advanced technologies through commercial M&A is groundless.

　　此外，中国对美直接投资中，技术寻求型投资占比实际上很低。据美国企业研究所的统计，2005-2017年，中国企业在美232项直接投资中，仅有17项涉及高技术领域，其他大部分分布在房地产、金融以及服务业等领域。

　　In fact, among Chinese investments in the US, those that seek to acquire technology represent a small share. According to the American Enterprise Institute, from 2005 to 2017, of 232 direct investments from China, only 17 involved high-technology, while others were mainly in real-estate, finance and services.

　　(六)不应脱离世界贸易组织规则指责中国的补贴政策

　　6. China’s subsidy policy complies with WTO rules and should not be attacked.

　　中国认真遵守世界贸易组织关于补贴政策的规则。补贴政策作为应对市场失灵和解决经济发展不平衡问题的手段之一，被包括美国在内的许多国家和地区普遍使用。加入世界贸易组织以来，中国一直积极推进国内政策领域的合规性改革，切实履行世界贸易组织《补贴与反补贴措施协议》各项义务。

　　China conscientiously complies with WTO rules on subsidy policy. As one of the tools to address market failure and imbalanced economic development, subsidies are widely used by many countries and regions, including the US. Since China joined the WTO, we have actively pressed ahead with reform to ensure the compliance of domestic policies, and conscientiously honored the obligations under the WTO Agreement on Subsidies and Countervailing Measures.

　　中国遵守世界贸易组织关于补贴的透明度原则，按照要求定期向世界贸易组织通报国内相关法律、法规和具体措施的修订调整和实施情况。截至2018年1月，中国提交的通报已达上千份，涉及中央和地方补贴政策、农业、技术法规、标准、知识产权法律法规等诸多领域。2016年7月，中国政府按照有关规则，向世界贸易组织提交了2001-2014年地方补贴政策通报，涵盖19个省和3个计划单列市的100项地方补贴政策。2018年7月，又向世界贸易组织提交了2015-2016年中央和地方补贴政策通报，地方补贴通报首次覆盖全部省级行政区域。

　　China complies with the WTO rules on subsidy transparency. As required, we have regularly notified the WTO of the revision, adjustment and implementation of our domestic laws, regulations and measures. By January 2018, China had submitted thousands of notifications, covering various areas of central and sub-national subsidy policies, agriculture, technical regulations, standards, and IP laws and regulations. In July 2016, in accordance with the relevant rules, the Chinese government notified the WTO of sub-national subsidy policies between 2001 and 2014, covering 100 subsidy policies from 19 provinces and 3 municipalities with independent planning authority. In July 2018 we notified the WTO of the central and sub-national subsidy policies between 2015 and 2016, covering all the provincial level administrative areas for the first time.

　　为企业营造公平竞争的政策环境。近年来，中国政府一直致力于推进产业政策的转型。2016年6月，中国国务院发布了《关于在市场体系建设中建立公平竞争审查制度的意见》，要求规范政府行为，防止出台新的排除、限制竞争的支持措施，并逐步清理废除已有的妨碍公平竞争的规定和做法。2017年1月，《国务院关于扩大对外开放积极利用外资若干措施的通知》进一步要求，各部门制定外资政策要进行公平竞争审查。2018年6月，《国务院关于积极有效利用外资推动经济高质量发展若干措施的通知》(以下简称《通知》)提出，全面落实准入前国民待遇加负面清单管理制度，负面清单之外的领域，各地区各部门不得专门针对外商投资准入进行限制。《通知》要求，保护外商投资合法权益，完善外商投资企业投诉工作部际联席会议制度，建立健全各地外商投资企业投诉工作机制，及时解决外商投资企业反映的不公平待遇问题，各地不得限制外商投资企业依法跨区域经营、搬迁、注销等行为。

　　China has created a level playing field for the businesses. In recent years, the Chinese government has committed to transforming industrial policies. In June 2016 the State Council released Opinions on Establishing a Fair Competition Examination System in the Building of the Market System, setting out to guarantee rules-based government actions, prohibit new supportive measures that would exclude or impede competition, and filter out and abolish any existing rules and practices that hamper fair competition. In January 2017, the State Council released a Circular on Several Measures on Promoting Further Openness and Active Utilization of Foreign Investment, requiring authorities concerned to carry out a fair competition review in defining foreign investment policies. In June 2018, the State Council released a Circular on Certain Measures for Actively and Effectively Utilizing Foreign Investment to Promote Quality Economic Development, aiming to grant full pre-establishment national treatment on the basis of a negative list, and remove access restrictions on foreign investment in areas outside the list. As required by the Circular, to safeguard the legitimate rights and interests of foreign investors, China has improved the inter-departmental joint meeting mechanism for FIEs to lodge complaints, set up and enhanced the complaint mechanism for FIEs across the country, in order to promptly resolve any unfair treatment of FIEs, and avoid restrictions on the law-based cross-regional operation, movement and deregistration of FIEs.

　　中国农业市场化程度持续提高。2015年，中国国家发展改革委宣布放开烟叶收购价格，标志着中国在农产品价格领域已完全取消了政府定价。2004年以来，在市场定价、自由流通的基础上，中国政府为维护农民基本生计，当市场严重供大于求、价格过度下跌时，对部分农产品实行托市收购制度。近年来，中国政府加大了对托市收购政策的改革力度，定价机制更加市场化(专栏4)。

　　China’s agricultural industry has become increasingly market-based. In 2015, the NDRC announced the abolition of controlled pricing on tobacco leaves, marking the definitive end to government pricing for agricultural produce. Since 2004, on the basis of market-set price and free circulation, the Chinese government had stepped in to ensure the basic livelihood of farmers by adopting a government purchase system, a backstop in the case of severe oversupply and collapsing prices. In recent years, the Chinese government has stepped up efforts to reform the purchase system by introducing a more market-based price-setting mechanism. (Box 4)

　　三、美国政府的贸易保护主义行为

　　III. The trade protectionist practices of the US administration

　　美国存在大量扭曲市场竞争、阻碍公平贸易、割裂全球产业链的投资贸易限制政策和行为，有损以规则为基础的多边贸易体制，并严重影响中美经贸关系正常发展。

　　The numerous investment and trade restriction policies and actions adopted by the US that distort market competition, hamper fair trade, and lead to breakdowns in global industrial chains are detrimental to the rules-based multilateral trading system and severely affect the normal development of China-US economic and trade relations.

　　(一)歧视他国产品

　　Discrimination against foreign products

　　美国大量监管政策违反公平竞争原则，歧视他国产品，具有明显的利己主义和保护主义倾向。美国通过立法直接或间接限制购买其他国家产品，使他国企业在美遭受不公平待遇，中国企业是其中的主要受害者。

　　Many American regulatory policies are clearly self-serving and protectionist as they run counter to the principle of fair competition and discriminate against foreign products. The US directly or indirectly restricts the purchase of products from other countries through legislation, subjecting foreign companies to unfair treatment in the US, with Chinese companies being the main victims.

　　美国产品市场的公平竞争环境不如多数发达国家，甚至逊于一些发展中国家。根据经合组织发布的2013年“产品市场监管指标”对35个经合组织国家进行排名，前3位是荷兰、英国和澳大利亚。美国只排在第27位，反映出美国市场监管政策对产品市场公平竞争存在较多障碍。而在加入12个非经合组织国家的指标后，美国在47个国家中仅列第30位，其产品市场公平竞争环境不及立陶宛、保加利亚和马耳他等非经合组织国家。

　　The US product market falls behind most developed countries and even some developing countries in terms of fair competition. According to the statistics on Indicators of Product Market Regulation released by the OECD in 2013, the Netherlands, the UK and Australia were the top three among 35 OECD countries, while the US ranked only 27th, pointing to the many obstacles created by the US market regulatory policies for fair competition in the product market. When the indicators of 12 non-OECD countries were added, the US ranked only 30th among the 47 countries, indicating a product market environment less fair than those of non-OECD countries such as Lithuania, Bulgaria and Malta.

　　美国对他国产品的歧视程度远高于大多数发达国家，甚至也高于一些发展中国家。根据“产品市场监管指标”二级指标“国外供应商差别待遇”对35个经合组织国家进行排名，2013年美国排在第32位，表明美国产品市场对外国存在严重歧视。若包括12个非经合组织国家的指标，美国在47个国家中排名第39位，歧视程度比巴西、保加利亚、塞浦路斯、印度、印度尼西亚和罗马尼亚等非经合组织国家更高(图7)。

　　The US is far more discriminatory against foreign products than most developed countries and even some developing countries. According to the ranking of 35 OECD countries on Differential Treatment of Foreign Suppliers, a secondary indicator of the Indicators of Product Market Regulation, the US ranked 32nd among 35 OECD countries in 2013, indicating severe discrimination against foreign countries in its product market. When the indicators of 12 non-OECD countries were added, the US ranked 39th among the 47 countries, with a higher degree of discrimination than such non-OECD countries as Brazil, Bulgaria, Cyprus, India, Indonesia and Romania (Chart 7).

　　美国通过立法严格要求政府部门采购本国产品，并对采购他国产品设置歧视性条款。例如，《购买美国产品法案》规定，美国联邦政府机构仅能采购在美国生产的加工最终产品以及在美国开采或生产的未加工品。《美国法典》规定，针对申请联邦政府或州政府资助的公共交通项目，必须使用美国国产的铁、钢和制成品。《农业、农村发展、食品和药品管理及相关机构拨款法案》规定，拨款资金不得为学校午餐、儿童成人关照食品、儿童夏日食品服务、学校早餐等项目购买从中国进口的生的或加工过的家禽产品。《国防授权法案》以国家安全为由，规定禁止联邦政府采购中国企业提供的通讯设备和服务。

　　The US, by way of legislation, sets strict requirements on its government departments to “buy American” and imposes discriminatory terms on purchasing foreign products. For example, the Buy American Act stipulates that US federal agencies can only acquire manufactured products made in America and unmanufactured articles that have been mined or produced in America. According to the Code of Laws of the United States of America, an application for a public transport project receiving federal or state funding can be granted only if the steel, iron and manufactured goods used in the project are produced in the US. According to the Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, none of the funds made available by this Act may be used to procure raw or processed poultry products imported into the US from China for use in the school lunch program, the Child and Adult Care Food Program, the Summer Food Service Program for Children or the school breakfast program. The National Defense Authorization Act prohibits the federal government from procuring telecommunications equipment and services provided by Chinese companies on the grounds of national security.

　　(二)滥用“国家安全审查”，阻碍中国企业在美正常投资活动

　　2. Abuse of “National Security Review” as a way to obstruct the normal investment activities of Chinese companies in the US

　　美国是全球范围内最早对外国投资实施安全审查的国家。1975年，美国专门成立外国投资委员会，负责监测外国投资对美国的影响。1988年，美国通过《埃克森-弗洛里奥修正案》，对《1950年国防生产法》进行了修正，授权美国总统及其指派者对外资并购进行审查。《2007年外商投资与国家安全法案》扩充了外国投资委员会，扩大其安全审查范围。从半个多世纪的立法过程看，美国对外国投资实施安全审查的主线就是收紧法规政策，扩大监管队伍和审查范围，近期特别针对中国强化了审查和限制。

　　The US is the first in the world to conduct security reviews on foreign investment. In 1975, the Committee on Foreign Investment in the United States (CFIUS) was established for the specific purpose of monitoring the impact of foreign investment in the US. In 1988, the Exon-Florio Amendment revised the 1950 Defense Production Act by mandating the US President and people with the authority to review foreign takeovers. The Foreign Investment and National Security Act of 2007 expanded CFIUS and broadened its scope of review. The legislation process in the US over the past 50 years shows that the US security review of foreign investment has mainly been characterized by tighter laws, regulations and policies, expanded regulatory teams and scope of reviews, and more recently, intensified screening and restrictions vis-à-vis China.

　　在外商投资安全审查实践中，美国“国家安全审查”的依据模糊不清，审查力度不断加大。根据美国外国投资委员会的历年外资安全审查报告，2005-2008年审查外国投资交易案例468起，其中需要进入调查阶段的案例37起，占比仅8%。但自2008年美国财政部发布《外国人合并、收购和接管规制：最终规则》以后，2009-2015年期间审查的770起案例中，需要进入调查阶段的达到310起，占比陡然提高到40%。尤其是在最新披露的2015年数据中，这一比例进一步提高到46%，处于较高水平(图8)。

　　In practice, the US “national security review” is often based on flimsy evidence and is becoming increasingly stringent. According to CFIUS annual reports to Congress, the Committee reviewed 468 foreign investment transactions from 2005 to 2008, only 37 of which (8 percent) entered the stage of investigation. However, since the Department of the Treasury issued the Regulations Pertaining to Mergers, Acquisitions, and Takeovers by Foreign Persons in 2008, among the 770 cases reviewed between 2009 and 2015, 310 cases – 40 percent of the total – passed on to the stage of investigation, which represents a noticeably sharp rise. In particular, the latest data released in 2015 shows this percentage climbing to an even higher level of 46 percent (Chart 8).

　　中国企业是美国滥用国家安全审查的主要受害者之一。美国外国投资委员会成立以来，美国总统根据该委员会建议否决的4起投资交易均系针对中国企业或其关联企业。2013-2015年，美国外国投资委员会共审查39个经济体的387起交易，被审查的中国企业投资交易共74起，占19%，连续三年位居被审查数量国别榜首。从近年来美国否决和阻止中国企业投资的数据来看(表4和表5)，美国外国投资委员会对华投资审查范围已从半导体、金融行业扩大至猪饲养等食品加工业。加上其审查程序不透明、自由裁量权极大、否决原因披露不详等因素，以“危害国家安全”为由阻碍正常交易的情况更为严重。

　　Chinese companies are one of the main targets of the US abuse of national security reviews. Since the establishment of CFIUS, US Presidents vetoed four transactions based on the Committee’s recommendation, all targeting Chinese firms or their related businesses. From 2013 to 2015, CFIUS reviewed in total 387 transactions concerning 39 economies, among which 74 were transactions involving investment from Chinese companies, accounting for 19 percent of the total, the largest share among all countries for three years in a row. The data on Chinese corporate investment being vetoed and blocked by the US (Table 4 and Table 5) shows that CFIUS review of Chinese investment has extended its reach from semiconductors and financial sectors to food processing sectors including swine feed. In addition to an absence of transparency in the review process, excessive discretionary power, and lack of explanations for vetoes, there is an even more serious issue – that normal transactions are being obstructed on the grounds of national security.

　　美国新立法进一步加强外资安全审查。2018年8月13日，美国总统签署了《2019财年国防授权法案》，作为其组成部分的《外国投资风险审查现代化法案》赋予了外国投资委员会更大审查权，包括扩大受管辖交易范围、扩充人员编制、引入“特别关注国”概念、增加考虑审查因素等，投资审查收紧趋势明显。其中，特别要求美国商务部在2026年前每两年提交一份关于中国企业在美投资情况的分析报告。

　　The United States is preparing new legislation for more stringent foreign investment security review. On August 13, 2018, the President signed the National Defense Authorization Act for Fiscal Year 2019, part of which is the Foreign Investment Risk Review Modernization Act (FIRRMA), which strengthens the authority of CFIUS, expands the scope of transactions covered, recruits additional staff, establishes the term of “countries of special concern”, and adds additional factors to be considered in reviews. All of this points to a clear trend of tighter investment reviews. In particular, it requests the Department of Commerce to submit a biennial analysis on Chinese investments in the US before 2026.

　　(三)提供大量补贴，扭曲市场竞争

　　3. Large subsidies that distort market competition

　　美国联邦和地方政府对部分产业和企业提供大量补贴、救助和优惠贷款，这些补贴行为在很大程度上阻碍了市场的公平竞争。根据美国补贴监控组织“好工作优先”统计，2000-2015年间，美国联邦政府以拨款、税收抵免等方式至少向企业补贴了680亿美元，其中582家大公司获得的补贴占总额的67%。同一时期，美国联邦机构向私人部门提供了数千亿美元的贷款、贷款担保和救助援助。享受美国政府补贴的行业十分广泛，在列入统计的49个行业中，汽车、航空航天和军工、电气和电子设备、油气、金融服务、化工、金属、零售、信息技术等均在前列。美国州和地方政府也给予了企业大量补贴。由于州政府在补贴方面基本不受联邦政府的管辖，其补贴方式及金额透明度低，具有较大隐蔽性，实际补贴额远高于其披露数额。

　　US governments at federal and sub-national levels provide large subsidies, bailout assistance, and concessional loans to some sectors and companies. Such actions obstruct, to a large extent, fair market competition. According to Good Jobs First, an American organization that tracks subsidies, between 2000 and 2015, the federal government provided at least US$68 billion in grants and special tax credits to businesses, with 582 large companies receiving 67 percent of the total. During the same period, federal agencies gave the private sector hundreds of billions of dollars in loans, loan guarantees, and bailout assistance. A wide range of sectors received government subsidies. Motor vehicles, aerospace and military contracting, electrical and electronic equipment, oil and gas, financial services, chemicals, metals, and retailing and information technologies ranked among the top of the 49 tracked sectors. State and local governments also gave enormous subsidies to companies. The amounts of subsidies at the state level are basically not subject to federal jurisdiction, hence the difficulty in assessing their specific scale and nature. Actual amounts of the state-level subsidies are much higher than the disclosed figures.

　　在航空领域，美国波音公司2000年以来获得联邦和州(地方)政府的定向补贴金额145亿美元;2011年以来获得来自各级政府的贷款、债券融资、风险投资、贷款担保、救助等737亿美元(专栏5)。

　　In the aviation sector, Boeing has received US$14.5 billion of allocated subsidies from the federal and state/local governments since 2000 and US$73.7 billion of loans, bond financing, venture capital, loan guarantees and bailout assistance from governments at various levels since 2011 (Box 5).

　　在汽车行业，美国联邦和州政府均有对汽车的扶持政策，并向大型汽车企业提供巨额救助和变相补贴。国际金融危机期间，美国政府在“不良资产援助计划”下设立“汽车产业资助计划”(AIFP)，为大型汽车企业提供了近800亿美元的资金救助。2007年，美国能源部依据《2007年能源独立和安全法案》第136条款制定了“先进技术汽车制造贷款项目”，美国国会对该项目的授权贷款总额达到250亿美元。特斯拉公司自2000年以来得到美国联邦和州(地方)政府超过35亿美元的补贴。

　　In the automotive industry, the US government at both federal and state levels supports the auto industry with preferential policies and provides key auto companies with large bailouts and disguised subsidies. During the global financial crisis, the US government, with its Automotive Industry Financing Program (AIFP) under the Troubled Asset Relief Program (TAPR), provided key auto companies with nearly US$80 billion of assistance. In 2007, the US Department of Energy, citing Section 136 of the Energy Independence and Security Act of 2007, introduced the Advanced Technology Vehicles Manufacturing Loan Program (ATVM), with authorization from the US Congress, to provide up to US$25 billion in loans. Since 2000, Tesla has received more than US$3.5 billion in subsidies from US federal and state/local governments.

　　在计算机和半导体制造领域，美国事实上早就在执行由政府引导的产业政策。上世纪80年代，美国政府对美国半导体制造技术战略联盟拨款10亿美元，以创造具有“超前竞争性”的技术，保持美国技术领先地位，避免过度依赖外国供应商。苹果公司研发的几乎所有产品，包括鼠标、显示器、操作系统、触摸屏等，都得到了美国政府部门的支持，甚至有些直接萌芽于政府实验室。

　　In the field of computer and semiconductor manufacturing, the US has long adopted government-led industrial policies. The US government allocated US$1 billion in the 1980s to SEMATECH to support cutting-edge research, with a view to maintaining America’s leading position in this area and preventing over-reliance on foreign suppliers. Apple’s research and development on nearly all of its products, including the mouse, the display, the operating system, and the touch screen, received support from US government departments, with some of them created directly in labs run by the government.

　　在军工领域，美国对军工企业提供了包括税收优惠、贷款担保、采购承诺等不同形式的支持，对濒临破产的大型军工企业提供临时性政府贷款、企业重组基金、破产保护、过渡基金和债务减免等优惠政策。《2014年美国国防生产法案》规定，“总统可授权担保机构向私营机构提供贷款担保，以资助该担保机构认定的，对建立、维护、扩大、保护或恢复国防所需生产或服务至关重要的任何军工承包商、分包商、关键基础设施或其他国防生产供应商等”。2016年，全球最大的军工企业洛克希德·马丁公司获得康涅狄格州2亿美元资金支持。

　　In the military-defense industry, the US has supported related enterprises with preferential taxes, loan guarantees, procurement commitments, etc. Large military-defense enterprises on the brink of bankruptcy have been offered special government loans, restructuring funds, bankruptcy protection, transitional funds, debt relief and other preferential policies. As provided in the 2014 Defense Production Act, “The President may authorize a guaranteeing agency to provide guarantees of loans by private institutions for the purpose of financing any contractor, subcontractor, provider of critical infrastructure, or other person in support of production capabilities or supplies that are deemed by the guaranteeing agency to be necessary to create, maintain, expedite, expand, protect, or restore production and deliveries or services essential to the national defense”. In 2016, Lockheed Martin, the world’s largest military-defense company, obtained US$200 million from the State of Connecticut.

　　在农业领域，美国长期对农业实施高额财政补贴政策，世界上绝大多数农业补贴政策均起源于美国。根据乌拉圭回合谈判的结果，美国可在191亿美元的补贴上限内对各单项产品提供“黄箱”补贴。凭借雄厚的财力和充裕的补贴空间，美国对其大量出口的农产品提供了高额补贴。这些补贴影响了世界农产品的公平竞争，多次遭到相关国家挑战，巴西与美国之间历时12年之久的陆地棉补贴案就是典型代表。2014年，美国对农业补贴政策作出重大调整，以“价格损失保障计划”和“农业风险保障计划”替代原有的“反周期支付”等直接补贴计划，但仍与价格挂钩，“黄箱”补贴的性质并未变化，而支持水平却持续增加。美国农业部前首席经济学家约瑟夫·格劳勃等指出，这两种保障计划设定的参考价格均高于过去的目标价格，实际是提高了补贴支持水平。美国国会研究局的测算表明，两项保障计划2015年和2016年支出分别为101亿美元和109亿美元，而且2016-2017年度支持水平超出了2014年新法案出台前的水平。其中，对各单项产品支持的总金额接近150亿美元，为近10年的最高水平。此外，美国还通过各类信用担保计划促进农产品出口，并通过各类非紧急粮食援助计划将大量过剩农产品转移到国外，导致了严重的商业替代，对受援国当地农产品市场造成严重干扰，侵害了其他农产品出口国的利益。

　　In agriculture, high subsidies have long been a policy of the US, the birthplace of the majority of agriculture subsidies in the world. As a result of the WTO Uruguay Round negotiations, the US can give all individual items up to US$ 19.1 billion in amber box subsidies. With abundant financial resources and extensive room for subsidies, the US provides high subsidies for its huge agricultural exports. These subsidies undermine fair international competition and have been repeatedly challenged by other countries, a case in point being the 12-year-long dispute with Brazil over the upland cotton subsidy. In 2014, as part of a major adjustment to its agriculture subsidy policy, the US replaced direct subsidy programs, such as the Counter-cyclical Payment, with the Price Loss Coverage Program and the Agricultural Risk Coverage Program. Simply another form of amber box subsidy, these price-pegged subsidies resulted in a higher level of support. Joseph Glauber, the former chief economist of the US Department of Agriculture, pointed out that these two coverage programs, with reference prices set higher than the target prices of the past, in fact raised the level of subsidy support. According to the Congressional Research Service, the two programs together cost US$10.1 billion in 2015 and US$10.9 billion in 2016. The 2016-2017 support level was higher than before the introduction of the act in 2014. A total of nearly US$15 billion was spent in support of individual items, the highest in nearly a decade. The US also boosted its agricultural exports through various forms of credit guarantee programs. On top of that, the US sent a large volume of the excess farm produce abroad as non-emergency food aid, which led to serious problems of commercial substitution, distorting local agricultural markets in the recipient countries, and undermining the interests of other agricultural exporting countries.

　　(四)使用大量非关税壁垒

　　4. Use of large-scale non-tariff barriers

　　世界贸易组织并不完全禁止对国内产业实行保护，但原则是削减非关税壁垒、提升政策措施透明度，使其对贸易的扭曲减少到最低限度。美国采用大量更具隐蔽性、歧视性和针对性的非关税壁垒，对国内特定市场施以严格保护，明显扭曲了贸易秩序和市场环境。

　　While the WTO does not completely prohibit countries from protecting their domestic industries, certain principles must be followed, including lower non-tariff barriers, greater transparency of policies and measures, and a minimal level of trade distortion. The US has put in place a large number of discriminatory non-tariff barriers that are more targeted yet disguised, in an effort to keep specific segments of the domestic market under strict protection. This approach constitutes a notable distortion of the trade order and market environment.

　　根据世界贸易组织统计，美国当前已通报的卫生和植物检疫以及技术性贸易壁垒措施分别有3004项和1574项，占全球的比重分别高达18%和6.6%(图9)。联合国贸发组织2018年6月29日的报告《对贸易监管数据的分析揭露新的重大发现》中提到，要把一棵树进口到美国，需满足54项卫生和植物检疫措施相关要求。这些措施严重影响了货物通关效率，增加了贸易成本。

　　According to the WTO, the US has reported 3,004 sanitary and phytosanitary (SPS) measures and 1,574 technical barriers to trade (TBT) measures, accounting for 18 percent and 6.6 percent of the world’s total (Chart 9). As reported in the UNCTAD’s “Analysis of Trade Regulations Data Flags Important New Findings” on June 29, 2018, a tree has to meet 54 SPS requirements before it can be imported into the US. These technical barriers have significantly lowered customs clearance efficiency and raised trade costs.

　　(五)滥用贸易救济措施

　　5. The abuse of trade remedy measures

　　根据世界贸易组织规定，成员方在进口产品存在倾销、补贴或进口过快增长对国内产业造成损害的情况下，可以使用贸易救济措施，但有严格限定条件。美国大量使用贸易救济措施对本国产业实施保护，其中相当大一部分针对中国。

　　While the WTO allows the use of trade remedy measures when a member economy finds damage caused to its domestic industries by dumping, subsidy or excessive growth in imports, strict limits and conditions do apply. However, the US has resorted to a huge number of trade remedy measures to protect its domestic industries. Many of these measures target China.

　　美国贸易保护主义措施增多，在全球占比不断提高。全球贸易预警(Global Trade Alert)统计数据显示，2017年，全球共有837项新的保护主义干预措施，其中美国出台143项措施，占全球总数的17.1%。2018年1-7月底，美国出台的保护主义措施占全球比重达到33%(图10)。

　　The US is adopting a growing number of trade protectionist measures, whose share of the world’s total is also rising. According to Global Trade Alert, among the 837 new protectionist measures adopted in 2017 worldwide, 143 (or 17.1 percent) were from the US. From January to the end of July in 2018, the US accounted for 33 percent of all protectionist measures in the world (Chart 10).

　　美国国际贸易委员会的统计数据显示，截至2018年7月17日，美国仍在生效的反倾销和反补贴措施共有44项(图11)，其中58%是2008年金融危机以来新采取的“双反”措施，主要针对中国、欧盟和日本。

　　According to the United States International Trade Commission, by July 17, 2018 there were 44 anti-dumping and countervailing measures in effect in the US (Chart 11), among which 58 percent were adopted after the 2008 financial crisis, with China, the EU and Japan as the main targets.

　　在反倾销调查中，美国拒不履行《中国加入世贸组织议定书》第15条约定的义务，继续依据其国内法，对中国适用“替代国”做法。根据美国国会问责局的测算，被认定为市场经济的国家所适用的反倾销税率明显低于非市场经济国家。一般来说，美国对中国的反倾销税平均税率是98%，而对市场经济国家的平均税率为37%。2018年以来，美国作出18项涉及中国产品的裁决，其中14项税率都在100%以上。此外，美国在替代国的选择上也具有较大随意性。中国出口商在美国的倾销调查中受到严重不公正和歧视性对待。

　　In anti-dumping investigations, the US has refused to honor its obligation under Article 15 of China’s WTO Accession Protocol and continued to use the surrogate-country approach, citing its domestic law. The Government Accountability Office (GAO) of the US Congress calculated that the rates of anti-dumping duties applied to countries recognized as market economies are notably lower than those applied to non-market economies (NMEs). The average anti-dumping duty imposed by the US on China is 98 percent, while that on market economies is 37 percent. Among the 18 US rulings concerning Chinese products since the start of 2018, 14 had rates of more than 100 percent. Moreover, the US picks surrogate countries rather randomly, making the results of anti-dumping investigations highly unfair and discriminatory for Chinese exporters.

　　四、美国政府的贸易霸凌主义行为

　　IV. The trade bullyism practices of the US administration

　　美国作为二战结束后国际经济秩序和多边贸易体制的主要建立者和参与者，本应带头遵守多边贸易规则，在世界贸易组织框架下通过争端解决机制妥善处理与其他成员国之间的贸易摩擦，这也是美国政府曾经向国际社会作出的明确承诺。但是，美国新政府上任以来，片面强调“美国优先”，奉行单边主义和经济霸权主义，背弃国际承诺，四面出击挑起国际贸易摩擦，不仅损害了中国和其他国家利益，更损害了美国自身国际形象，动摇了全球多边贸易体制根基，最终必将损害美国长远利益。

　　As the key builder of the international economic order and a major participant in the multilateral trading regime after the Second World War, the US should have taken the lead in observing multilateral trade rules and properly handling trade frictions with other WTO members through the dispute settlement system within the WTO framework. This is what the US government explicitly pledged to the international community. However, since taking office, with a narrow focus on “America First”, the new US administration has practiced unilateralism and economic hegemony, abandoned its international commitments, and provoked international trade friction around the world. This has not only undermined the interests of China and other countries, but also jeopardized the international reputation of the US itself. And above all, it has shaken the foundations of the global multilateral trading regime, which will ultimately hurt the long-term interests of the US.

　　(一)根据美国国内法单方面挑起贸易摩擦

　　1. Unilaterally provoking trade friction on the pretext of US domestic law

　　美国现任政府以产业损害和保护知识产权为由，绕开世界贸易组织争端解决机制，单纯根据美国国内法挑起国际贸易摩擦，以“232条款”、“201条款”和“301条款”名义发起一系列调查。在调查中选择性使用证据材料，得出武断结论，而且未经世界贸易组织授权，非法使用惩罚性高关税对待世界贸易组织成员，严重违反世界贸易组织最基本、最核心的最惠国待遇、关税约束等规则和纪律。这种单边主义行为，不仅损害了中国和其他成员利益，更损害了世界贸易组织及其争端解决机制的权威性，使多边贸易体制和国际贸易秩序面临空前险境。