美国贸易代表-中国遵守WTO规则报告2019（英文）-2020.3-192页_2mb

2019 Report to Congress on China's WTO Compliance Summary

Core Content

This report, prepared by the United States Trade Representative (USTR), evaluates China's compliance with its World Trade Organization (WTO) commitments and the challenges posed by its non-market economic system. It outlines the USTR's assessment of China's adherence to WTO rules and its transition to a market economy, as well as the U.S. strategy to address trade distortions.

Main Points

Expectations of WTO Membership

• The Marrakesh Declaration (1994) sets the expectations for WTO members, emphasizing open, market-oriented policies, non-discrimination, reciprocity, fairness, and transparency.
• China's accession to the WTO in 2001 was based on the understanding that it would transition to a market economy and dismantle state-led, mercantilist policies.
• China's Protocol of Accession includes special safeguard mechanisms, antidumping rules, and subsidy methodologies to assist in its transition.

China's Record in Terms of Compliance

• China's compliance with WTO rules has been poor and inconsistent.
• The USTR highlights several areas of concern, including:
  • Local content requirements in the automobile sector.
  • Discriminatory taxes in the integrated circuit industry.
  • Prohibited subsidies in various manufacturing sectors.
  • Inadequate enforcement of intellectual property rights (IPR).
  • Market access barriers in copyright-intensive industries.
  • Restrictions on foreign suppliers of financial information and electronic payment services.
  • Export restraints on raw materials.
  • Abusive use of trade remedies (e.g., antidumping and countervailing duties).
  • Excessive domestic support for agricultural commodities.
  • Opaque administration of tariff-rate quotas.
  • Discriminatory regulations on technology licensing.

China's Record in Transitioning to a Market Economy

• Despite its commitments, China has not made sufficient progress in transitioning to a market economy.
• It continues to embrace a state-led, non-market, and mercantilist approach, which results in trade-distorting policies.
• These policies harm U.S. and other WTO members' industries and workers.
• China has also resisted further liberalization, claiming to be a "developing" country.

U.S. Strategy to Address Trade Distortions

Previous Efforts

• The U.S. and other WTO members have engaged in bilateral dialogues, multilateral fora, WTO litigation, and domestic trade remedies to address China's trade practices.
• These efforts have been persistent but ineffective in changing China's approach.

New Strategy

• The U.S. has adopted a more aggressive strategy to address China's trade distortions.
• This includes domestic trade remedies, bilateral negotiations, WTO litigation, and strategic engagement with like-minded trading partners.
• The Phase One agreement (signed in 2020) is a key outcome of this strategy, requiring structural reforms in areas such as intellectual property, technology transfer, agriculture, financial services, and currency and foreign exchange.
• It also includes a commitment by China to increase purchases of U.S. goods and services.

Key U.S. Concerns

Industrial Policies

• Made in China 2025 is a state-led industrial plan that distorts global markets.
• China provides subsidies to support domestic industries, often in excess capacity sectors.
• These policies displace U.S. companies and harm global competition.

Technology Transfer and Innovation

• China mandates technology transfer from foreign firms, undermining indigenous innovation.
• The U.S. is concerned about intellectual property rights (IPR) violations, including bad faith trademark registration, pharmaceuticals, and online infringement.

Investment and Export Restrictions

• Investment restrictions limit foreign access to Chinese markets.
• Export restraints on raw materials and restraints on foreign suppliers of services.
• Value-added tax rebates and import bans on remanufactured and recyclable products are also problematic.

Standards and Regulatory Issues

• China's standards and technical regulations are often opaque and non-transparent.
• The U.S. is concerned about data localization and cross-border data transfer restrictions.
• Encryption and government procurement practices are also under scrutiny.

Legal and Enforcement Issues

• Administrative licensing and competition policy are areas where China has not fully complied with WTO rules.
• The corporate social credit system and foreign NGO management law are also of concern.
• Labor laws and land laws have not been fully aligned with WTO principles.
• The U.S. has brought numerous WTO cases against China, with mixed results due to the time and resources required for enforcement.

Conclusion

• The U.S. seeks a fair, reciprocal, and balanced trade relationship with China.
• The Phase One agreement marks a positive step, but Phase Two negotiations are needed to address remaining issues.
• The U.S. continues to emphasize the need for structural changes in China's economic and trade policies to align with WTO principles.

Key Areas of Concern

• Industrial Policies: Made in China 2025, subsidies, excess capacity.
• Technology Transfer: Mandated technology transfer, indigenous innovation.
• Investment Restrictions: Limits on foreign investment and services.
• Export Restraints: Restrictions on raw materials and export of certain goods.
• Intellectual Property Rights: IPR enforcement, counterfeit goods, online infringement.
• Agriculture: Domestic support, tariff-rate quotas, agricultural biotechnology.
• Services: Financial services, telecommunications, cloud computing, data localization.
• Transparency: Publication of trade measures, notice-and-comment procedures.
• Legal Framework: Administrative licensing, competition policy, enforcement mechanisms.

Summary of U.S. Actions

• The USTR has used WTO litigation, bilateral dialogues, and domestic trade remedies to address China's trade practices.
• The U.S. has secured some compliance through these mechanisms, but China's non-market policies remain a significant challenge.
• The Phase One agreement is a positive development, but the U.S. remains vigilant about China's continued distortions in trade and investment.