世贸组织裁决美国违规加征中国2340亿关税（附中文结论）

7.1.2.3 The measures covered by China's panel request
7.1.2.3 中国专家小组要求采取的措施

7.37. China's panel request reads, in relevant parts: The measures at issue in this request include the actions taken by the United States, based on the USTR's investigation into China's acts, policies, and practices related to technology transfer, intellectual property, and innovation under Section 301 of the Trade Act of 1974 and pursuant to sections 301(b), 301(c), and 304(a) of the Trade Act of 1974 and the direction made in the President's statement to impose an additional ad valorem duty upon certain imported products of Chinese origin. The above mentioned actions include:7.37. 中国的小组请求的相关部分内容如下： 这项请求中涉及的措施包括美国根据美国贸易代表委员会对中国根据1974年《贸易法》第301条和1974年《贸易法》第301(b)、301(c)和304(a)条采取的与技术转让、知识产权和创新有关的行为、政策和做法的调查，以及总统声明中关于对某些原产于中国的进口产品征收额外从价税的指示。上述行动包括：

1. An additional 25% duty ad valorem on approximately $34 billion worth of imports from China announced by the USTR on 15 June 2018 and implemented by the Federal Register notice of 20 June 2018 (Notice of Action and Request for Public Comment Concerning Proposed Determination of Action Pursuant to Section 301: China's Acts, Policies and Practices Related to Technology Transfer, Intellectual Property and Innovation, (83 Fed. Reg. 28,710)); and
1. 美国贸易代表办公室于2018年6月15日宣布对价值约340亿美元的从中国进口的产品征收额外25%的从价税，并由2018年6月20日的《联邦公报》通知（《关于根据第301条：中国与技术转让、知识产权和创新有关的行为、政策和做法的行动建议确定的行动通知和征求公众意见》（83 Fed.Reg.28,710））实施；以及【关务小二注：此处指美国对中国340亿美元加征关税商品清单之事】

2. An additional 10% duty ad valorem on approximately $200 billion worth of imports from China implemented on 24 September 2018, and the rate of additional duty will increase to 25% ad valorem on 1 January 2019,[13] according to the announcement by the USTR on 21 September 2018 (Notice of Modification of Section 301 Action: China's Acts, Policies and Practices Related to Technology Transfer, Intellectual Property and Innovation, (83 Fed. Reg. 47,974)).
2. 根据USTR于2018年9月21日发布的公告（《关于修改301条款行动的通知》），2018年9月24日对从中国进口的价值约2000亿美元的产品实施10%的附加税从价计征，2019年1月1日附加税率将提高到25%从价计征，[13]。中国与技术转让、知识产权和创新相关的行为、政策和做法，（83 Fed. Reg. 47,974））。【关务小二注：此处指美国对中国2000亿美元加征关税商品清单之事】

以上原文链接：https://www.wto.org/english/tratop_e/dispu_e/543r_e.pdf
中国针对美国这两项措施，根据WTO相关规则在世贸组织提出了争议诉求，从下方第二部分结论中可看出诉求点。

In light of its conclusion that the United States has not adequately explained how the measures chosen by it are necessary to protect public morals, the United States has not met its burden of demonstrating that the measures are provisionally justified under Article XX(a). The Panel, therefore, does not consider it necessary to make findings on whether the United States has demonstrated that its measures satisfy the requirements of the chapeau of Article XX.
鉴于小组的结论是，美国没有充分解释它所选择的措施为何是保护公共道德所必需的，因此，美国没有履行其证明这些措施根据第二十条(a)款有临时理由的责任。因此，专家小组认为没有必要就美国是否已证明其措施符合第二十条起首部分的要求作出结论。

8 CONCLUSIONS AND RECOMMENDATION(S)
8 结论和建议

8.1. For the reasons set forth in this Report, the Panel concludes that:
8.1 基于本报告中提出的理由，专家组得出结论：

• a. the parties have not reached a mutually satisfactory solution within the meaning of Article 12.7 of the DSU, or otherwise relinquished their rights to pursue WTO dispute settlement action on the measures at issue in this dispute;
• a. 双方没有达成《争端解决协议》第12.7条意义上的双方满意的解决方案，也没有放弃就本争端中的有关措施采取世贸组织争端解决行动的权利。
  

• b. all measures challenged by China fall within the Panel's terms of reference, and it is appropriate for the Panel to make findings and recommendations with respect to the first measure as identified in China's panel request (additional duties of 25% on List 1 products), and the second measure as amended on 9 May 2019 (additional duties of 25% on List 2 products);
• b. 中国提出质疑的所有措施均属于专家组的职权范围，专家组就中国专家组请求中确定的第一项措施（对清单1产品征收25%的额外关税）和2019年5月9日修订的第二项措施（对清单2产品征收25%的额外关税）提出结论和建议是合适的。
  

• c. the challenged measures are prima facie inconsistent with Articles I:1, II:1(a) and II:1(b) of the GATT 1994; and
• c. 受质疑的措施表面上看不符合《1994年关贸总协定》第I:1条、第II:1(a)条和第II:1(b)条；以及
  

• d. the United States has not met its burden of demonstrating that the measures are provisionally justified under Article XX(a) of the GATT 1994.
• d. 美国没有履行其证明这些措施在《1994年关贸总协定》第二十条(a)项下有临时理由的责任。
  

8.2. As a consequence, the Panel concludes that the measures at issue are inconsistent with Articles I:1, II:1(a) and II:1(b) of the GATT 1994.
8.2. 因此，专家小组得出结论，有关措施不符合《1994年关贸总协定》第I:1、II:1(a)和II:1(b)条。

8.3. Under Article 3.8 of the DSU, in cases where there is an infringement of the obligations assumed under a covered agreement, the action is considered prima facie to constitute a case of nullification or impairment. The Panel concludes that, to the extent that the measures at issue are inconsistent with certain provisions of the GATT 1994, they have nullified or impaired benefits accruing to China under that agreement within the meaning of Article XXIII:1(a) of the GATT 1994.
8.3. 根据《争端解决协议》第3.8条，在违反所涵盖的协议所承担的义务的情况下，有关行动被视为构成无效或损害的初步证据。专家组的结论是，在有关措施与《1994年关贸总协定》某些条款不一致的情况下，这些措施使中国在该协定下应得的利益在《1994年关贸总协定》第二十三条第1款(a)项的意义上归于无效或受损。

8.4. Pursuant to Article 19.1 of the DSU, the Panel recommends that the United States bring its measures into conformity with its obligations under the GATT 1994.
8.4. 根据《争端解决协议》第19.1条，小组建议美国使其措施符合1994年关贸总协定规定的义务。

9 CONCLUDING COMMENTS
9 结论性意见

9.1. In conclusion, the Panel wishes to make some additional observations:
9.1. 最后，小组希望提出一些补充意见。

9.2. The Panel is very much aware of the wider context in which the WTO system currently operates, which is one reflecting a range of unprecedented global trade tensions.
9.2. 小组非常了解世贸组织系统目前运作的大背景，即反映出一系列前所未有的全球贸易紧张局势。

9.3. At the same time, it is not the role of this Panel to draw any legal conclusions or make recommendations on any matters other than those it has been specifically tasked to deal with through these dispute settlement proceedings. In this connection, the Panel recalls that the Government of the United States has not, up to the present time, initiated action under the WTO Dispute Settlement Understanding with respect to any measures China has imposed in response to the United States' measures at issue in this dispute.
9.3. 同时，本小组的作用不是就任何事项作出任何法律结论或提出建议，而是通过这些争端解决程序专门负责处理的事项。在这方面，小组回顾，到目前为止，美国政府还没有根据世贸组织的《争端解决谅解书》就中国针对美国在本争端中采取的任何措施提起诉讼。

9.4. The Panel emphasizes that pursuant to the requirements of Article 11 of the DSU, it has sought to perform diligently its adjudicatory role in relation to the matters that fall within the terms of reference of these dispute settlement proceedings. Additionally, the Panel notes that the panel process is structured in such a way that time is available for the parties to take stock as proceedings evolve and further consider opportunities for mutually agreed and satisfactory solutions.
9.4. 专家组强调，根据《争端解决谅解书》第11条的要求，专家组力求对属于这些争端解决程序职权范围内的事项认真履行裁决职责。此外，小组注意到，小组程序的结构使各方有时间随着程序的发展进行评估，并进一步考虑寻找相互商定和满意的解决办法。

9.5. Accordingly, recalling Article 3.7 of the DSU that highlights that the aim of the dispute settlement system is to achieve a positive solution to a dispute, the Panel expresses its ongoing encouragement to the parties to pursue further efforts to achieve a mutually satisfactory solution to the matters that have been raised before it in this dispute.
9.5. 因此，小组回顾《争端解决协议》第3.7条，该条强调争端解决制度的目的是实现争端的积极解决，小组表示继续鼓励各方进一步努力，以实现双方满意地解决在这一争端中向小组提出的事项。

上述报告原文链接：https://www.wto.org/english/tratop_e/dispu_e/543r_conc_e.pdf