美国301调查报告301调查报告（英文全版）－2018.3

OFFICE of the UNITED STATES TRADE REPRESENTATIVEEXECUTIVE OFFICE OF THE PRESIDENTFINDINGS OF THE INVESTIGATION INTOCHINAS ACTS, POLICIES, AND PRACTICESRELATED TO TECHNOLOGY TRANSFER,INTELLECTUAL PROPERTY, AND INNOVATIONUNDER SECTION 301 OF THE TRADE ACT OF 1974,March 22, 2018,Acronym3PLA4WDAAFAABAABCABPIAACCAEIAGICAIAmChamAMLAMSCAPECAPTAQSIQATIAVICAVICEMAWDBCMBEABGIBIOBISBoCBRIBRICC&CCAACCAIGACASTCCBCCCCCCCMECCOICCCPCCXRCDBCFIUSCGCGCCCICCIGSCIPL,Abbreviations and AcronymsDefinitionPeoples Liberation Army, Third Departmentfour-wheel driveAmerican Apparel & Footwear AssociationAmerican Bar AssociationAgriculture Bank of ChinaAmerican Bridal & Prom Industry AssociationAmerican Chemistry CouncilAmerican Enterprise InstituteAsia-Germany Industrial Promotion Capitalartificial intelligenceAmerican Chamber of Commerce ShanghaiAnti-Monopoly LawAmerican Superconductor CorporationAsia-Pacific Economic Cooperationadvanced persistent threatAdministration of Quality Supervision, Inspection and QuarantineAllegheny Technologies, IncAviation Industry Corporation of ChinaACIF Electromechanical Systems Co., Ltdall-wheel driveBank of CommunicationsU.S. Bureau of Economic AnalysisShenzhen Beijing Genomics InstituteBiotechnology Innovation OrganizationBureau of Industry and SecurityBank of ChinaBelt and Road InitiativeBrazil, Russia, India, and Chinacommand-and-controlCivil Aviation Administration of ChinaChina Aviation Industry General Aircraft Co.China Association of Science and TechnologyChina Construction Bank CorporationChina Compulsory CertificationChina Chamber of Commerce for Import & Export of Machinery and Electronic ProductsChina Chamber of International CommerceChinese Communist PartyChina Chengxin Securities Rating CompanyChina Development BankCommittee on Foreign Investment in the United StatesComplete GenomicsChina General Chamber of CommerceChina Investment Corporationcopper indium gallium selenideChina Intellectual Property Law Societyi,CJVCMGCMOSCNOOCCNYCOMACCompTIACPPCCCSICSISCSPCTADHHDHSDOJDRCEJVEXIMFADECFAWFDIFIEFYPGAGACGDPGMOHNAIaaSIAMIATAICICBCICTICTSDIDARIDCIDDSIGBTIGCCIMFiMLIPIPIRAISSISSIITITARITI,contractual joint ventureContinental Motors Group Limitedcomplementary metal-oxide semiconductorChina National Offshore Oil CorporationChinese yuanCommercial Aircraft Corporation of China, LtdComputing Technology Industry AssociationChinese Peoples Political Consultative ConferenceCoalition of Services IndustriesCenter for Strategic and International Studiescloud service providersConsumer Technology AssociationDHH Washington Law OfficeU.S. Department of Homeland SecurityU.S. Department of JusticeDevelopment and Reform Commissionequity joint ventureChina Export-Import Bankfull authority digital engine controlFirst Automotive Workersforeign direct investmentforeign-invested entitiesFive-Year Plan for National Economic and Social Developmentgeneral aviationGeneral Administration of Customsgross domestic productgenetically modified organismHainan Airlinesinfrastructure as a serviceInternational Association of Machinists and Aerospace WorkersInternational Air Transport Associationintegrated circuitIndustrial and Commercial Bank of Chinainformation and communications technologyInternational Center for Trade and Sustainable Developmentintroduce, digest, absorb, and re-innovateinternet data centerinnovation-driven development strategyinsulated-gate bipolar transistorsUniversity of California Institute on Global Conflict and CooperationInternational Monetary FundIntegrated Memory Logic Limitedintellectual propertyIntellectual Property and Industry Research AlliancesImaging Solutions and ServicesIntegrated Silicon Solutions, Irmation technologyInternational Traffic in Arms RegulationsInformation Technology Industry Councilii,ITIFJCCTJVM&AMCFMCMMEMAMEMSMERICSMETIMIITMLPMLPSMLRMNEMOAMOFMOFCOMMOSTMPSMROMSSMWNAMNBCNDRCNEANEVNFTCNHINPCNTEOCTGODIOECDOFDIPaaSPBOCPERCPLAPMAPMDDPPD-28PPPPRCPWMR&DRMBS&ED,Information Technology & Innovation FoundationU.S.-China Joint Commission on Commerce and Tradejoint venturemerger and acquisitionsmilitary-civil fusionmulti-chip moduleMotor & Equipment Manufacturers Associationmicro-electromechanical systemsMercator Institute for China StudiesMinistry of Economy, Trade, and IndustryMinistry of Industry and Information TechnologyNational Medium- and Long-Term Plan for the Development of Science and TechnologyMulti-level Protection SchemeMinistry of Land and Resources of the Peoples Republic of Chinamultinational enterpriseMinistry of Agriculture of the Peoples Republic of ChinaMinistry of Finance of the Peoples Republic of ChinaMinistr y of Commerce of the Peoples Republic of ChinaMinistry of Science and Technology of the Peoples Republic of Chinamanaged print servicesmaintenance, repair, and overhaulChinas Ministry of State SecuritymegawattNational Association of ManufacturersNational Bureau of Statistics of the Peoples Republic of ChinaNational Development and Reform CommissionNational Energy Administrationnew-energy vehicleNational Foreign Trade CouncilNorthern Heavy Industries GroupNational Peoples Congress (China)National Trade Estimateoil country tubular goodsoverseas direct investmentOrganization for Economic Cooperation and Developmentoutbound foreign direct investmentcomputer platform as a servicePeoples Bank of ChinaPassivated Emitter Rear ContactChinas Peoples Liberation Armyparts manufacturing and authorizationPermanent-Magnet Direct DrivePresidential Policy Directive 28private-public partnershipPeoples Republic of Chinapulse width modulationresearch and developmentrenminbi (official currency of China)U.S.-China Strategic & Economic Dialogueiii,iv,S&TSaaSSAFESAICSASACSASTINDSATSEISIASIGINTSIPOSMICSNPTCSOESSLPTIATIERTRBTRIPSUAVUNCTADUSCUSCBCUSCIBUSDUSITCUSPTOUSWUTVATVCWFOEWIPOWNAZGC,science and technologycomputer software as a serviceState Administration of Foreign ExchangeState Administration of Industry CommerceState-owned Assets Supervision and Administration CommissionState Administration for Science, Technology, and Industry for National DefenseState Administration of Taxesstrategic and emerging industriesSemiconductor Industry AssociationSignals intelligenceState Intellectual Property OfficeSemiconductor Manufacturing International CorporationState Nuclear Power Technology Corporationstate-owned enterpriseseamless standard line pipesTelecommunications Industry AssociationRegulations of the PRC on Administration of Import and Export Technologiestechnical reconnaissance bureauTrade-Related Aspects of Intellectual Property Rightsunmanned aerial vehicleUnited Nations Conference on Trade and DevelopmentUnited States ConstitutionU.S.-China Business CouncilU.S. Council for International BusinessU.S. dollarsU.S. International Trade CommissionU.S. Patent and Trademark OfficeUnited Steel WorkersUnited Turbinevalue-added taxventure capitalwholly foreign-owned entityUNs World Intellectual Property OrganizationWorld Nuclear AssociationZhongguancun,I.,CONTENTSOverview . 3,A. Core Elements of Section 301. 3B. Background to the Investigation . 41. Initiation of the Investigation . 52. Chinas Bilateral Commitments to End its Technology Transfer Regime and toRefrain from State-Sponsored Cyber Intrusions and Theft . 63. Input from the Public . 9C. Chinas Technology Drive . 10II. Chinas Unfair Technology Transfer Regime for U.S. Companies in China . 19A. Introduction . 191. Key Elements of Chinas Technology Transfer Regime . 192. A Persistent Problem for U.S. Business. 22B. Foreign Ownership Restrictions as Used in Chinas Technology Transfer Regime . 231. The Foreign Investment Catalogue and Technology Transfer . 242. Illustrative Examples of Chinas Use of Investment Restrictions to PressureTechnology Transfer . 29C. Administrative Review and Licensing Processes as Used in Chinas Technology TransferRegime . 351. Technology Transfer Pressure in Administrative Approvals and Licensing . 362. Forced Disclosure of Sensitive Technical Information . 41D. Chinas Acts, Policies, and Practices Are Unreasonable . 43E. Chinas Acts, Policies, and Practices Burden or Restrict U.S. Commerce . 45III. Chinas Discrimin atory Licensing Restrictions . 48A. Introduction . 48B. Foreign Licensing Restrictions and Chinas Technology Transfer Regime . 481. Different Outcomes for U.S. Companies versus Chinese Competitors . 512. Indemnification Against Infringement Claims . 513. Ownership of Improvements to Licensed Technology . 524. Use of Technology after the Technology Contract Expires. 53C. Concerns Raised by Other Trading Partners . 54D. Chinas Acts, Policies, and Practices are Discriminatory . 551. Justifications for Discrimination . 552. Acts, Polices, and Practices of Other Countries . 57E. Chinas Acts, Policies, and Practices Burden U.S. Commerce . 60IV. Outbound Investment . 62A. Introduction . 62B. Policy and Regulatory Framework . 661. Major Policies to Acquire Foreign Technology. 662. The Chinese Outbound Investment Approvals System . 703. Sectors “Encouraged” for Outbound Investment . 774. Outbound Investment Policy in Technology and Sectoral Policies . 785. State-Backed Actors. 801,2,C. Impact of Policies and Implementing Measures on Chinese Investment in the UnitedStates . 971. Chinese Investment Activity in the United States: Analysis of Data . 982. Effect of State Policies and Implementing Measures on Chinese Acquisitions . 1023. Leveraging “International Innovation Resources” Through Engagement with SiliconValley . 142D. Chinas Acts, Policies, and Practices are Unreasonable . 147E. Chi nas Acts, Policies, and Practices Burden U.S. Commerce . 150V. Unauthorized Intrusions into U.S. Commercial Computer Networks and Cyber-EnabledTheft of Intellectual Property and Sensitive Commercial Information . 153A. Introduction . 153B. Chinas Acts, Policies, and Practices Regarding Unauthorized Intrusions into U.S.Commercial Computer Networks and Cyber-Enabled Theft of Intellectual Property andSensitive Commercial Information . 1541. The Chinese Governments Extensive Cyber Activities . 1542. The United States Department of Justice Indicted Chinese Government Hackers inMay 2014 . 1573. Chinas Institutional Framework Supports Cyber Intrusions into U.S. CommercialNetworks . 1644. Chinas Recent Cyber Intrusion Activities Against U.S. Commercial Networks . 167C. Chinas Acts, Policies, and Practices Regarding Cybertheft of Intellectual Property AreUnreasonable. 171D. Chinas Acts, Policies, and Practices Regarding Cybertheft of Intellectual PropertyBurden U.S. Commerce . 173VI. Other Acts, Policies, and Practices of China . 177A. Introduction . 1771. Measures Purportedly Related to National Security or Cybersecurity . 1772. Inadequate Intellectual Property Protection . 1793. Chinas Anti -Monopoly Law . 1804. Chinas Standardization Law . 1815. Talent Acquisition . 181B. Conclusion . 182,I.,Overview,A. Core Elements of Section 301This investigation has been brought under Section 301 of the Trade Act of 1974, as amended ( theTrade Act ) . 1 Section 301 is a key enforcement tool that may be used to address a wide variety ofunfair acts, policies, and practices of U.S. trading partners. Section 301 sets out three categoriesof acts, policies, or practices of a foreign country that are potentially actionable: (i) tradeagreement violations; (ii) acts, policies or practices that are unjustifiable (defined as those thatare inconsistent with U.S. international legal rights) and that burden or restrict U.S. Commerce;and (iii) acts, policies or practices that are unreasonable or discriminatory and that burden orrestrict U.S. Commerce. 2 The third category of conduct is most relevant to this investigation.Section 301 defines “discriminatory” to “include, when appropriate, any act, policy, and practicewhich denies national or most-favored nation treatment to United States goods, service, orinvestment.” 3 An “ unreasonable ” act, policy, or practice is one that “while not necessarily inviolation of, or inconsistent with, the international legal rights of the United States is otherwiseunfair and inequitable.” 4 The statute further provides that i n determining if a foreign countryspractices are unreasonable, reciprocal opportunities to those denied U.S. firms “shall be takeninto account, to the extent appropriate .” 5If the USTR determines that the Section 301 investigation “involves a trade agreement , ” and ifthat trade agreement includes formal dispute settlement procedures, USTR may pursue theinvestigation through consultations and dispute settlement under the trade agreement.Otherwise, USTR will conduct the investigation without recourse to formal dispute settlement.Moreover, if the USTR determines that the act, policy, or practice falls within any of the threecategories of actionable conduct under Section 301, the USTR must also determine what action,if any, to take. 6 For example, if the USTR determines that an act, policy or practice isunreasonable or discriminatory and that it burdens or restricts U.S. commerce,The Trade Representative shall take all appropriate and feasible actionauthorized under Section 301(c), subject to the specific direction, if any,of the President regarding any such action, and all other appropriate andfeasible action within the power of the President that the President may,1,Unless otherwise specified, “ Section 301” refers generally to Chapter 1 of Title III of the Trade Act of 1974,(codified as amended in 19 U.S.C. 2411-2417). Furthermore, for ease of reference, full citations are usedthroughout this report.,23,Trade Act of 1974, 19 U.S.C. 2411(a)-(b).19 U.S.C. 2411(d)(5). Section III describes discriminatory acts, practices, and policies of the Chinese,government.,456,19 U.S.C. 2411(d)(3)(A).19 U.S.C. 2411(d)(3)(D).For example, in 2014, USTR determined that action against Ukraine was not appropriate due to the political,situation. See Notice of Determination in Section 301 Investigation of Ukraine , 79 Fed. Reg. 14,326-27 (Mar. 13,2014).3,I.,Overview,4,direct the Trade Representative to take under this subsection, to obtain theelimination of that act, policy, or practice. 7Actions specifically authorized under Section 301(c) include: (i) suspending, withdrawing orpreventing the application of benefits of trade agreement concessions; (ii) imposing duties, fees,or other import restrictions on the goods or services of the foreign country for such time asdeemed appropriate; (iii) withdrawing or suspending preferential duty treatment under apreference program; (iv) entering into binding agreements that commit the foreign country toeliminate or phase out the offending conduct or to provide compensatory trade benefits; or (v)restricting or denying the issuance of service sector authorizations, which are federal permits orother authorizations needed to supply services in some sectors in the United States. 8 In additionto these specifically enumerated actions, the USTR may take any actions that are “ within thePresidents power with respect to trade in goods or services, or with respect to any other area ofpertinent relations with the