CHINA

Part I. Questions based on Report by the Secretariat (WT/TPR/S/307)

1. ECONOMIC ENVIRONMENT

Page 14, Para 1.9

The report states that “Several factors contributed to that favourable economic context, and there has been some reporting of "in-sourcing", i.e. the homecoming of U.S. manufacturing.”.

Question 1:

The U.S. has promulgated a series of measures to attract capital reflow according to the “homecoming of U.S. manufacturing” plan, which has effectively promoted the recovery of the U.S. economy. Please offer the U.S. opinions of the impacts of the capital reflow into its manufacturing sector on the global economy, especially on the emerging economies. 美国根据“制造业回归”计划出台了一系列吸引资本回流的措施，有力促进了美经济的复苏，请问美国如何看待其制造业投资回流对世界经济，特别是新兴经济体的影响？

RESPONSE: The United States is an attractive destination for investment. It has a highly competitive workforce, an innovative environment, strong and transparent rule of law, and a growing energy sector. U.S. manufacturing production has also benefited as companies look to make production closer to the customer.

回复：美国是一个有吸引力的投资目的地，拥有极具竞争力的劳动力、创新性的环境、健全且透明的法律规则以及不断发展的能源部门。随着公司不断生产更贴近于顾客的产品，美国的制造业也从中受益。

Page 15, Para 1.10

The report states that “In 2013, the U.S. current account deficit shrank to a four-year low, as a consequence of a boom in shale oil/gas production and reduced demand, leading to a sharp reduction in the oil trade deficit, which accounts for nearly half of the total deficit in trade in goods and services.”.

Question 2:

The “Shale Oil/gas Revolution” and the fall of global oil price have made significant contributions to the reduction of the fiscal deficit of the U.S. What’s the U.S. assessment of the impacts of this development on the

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global economic situation? 页岩气革命和全球油价下跌对美政府削减财政赤字有重大贡献。请问美方如何评估其对全球经济形势的影响？

RESPONSE: The current account balances of the United States and China have declined substantially as have the aggregate of imbalances relative to global GDP. Some of this adjustment for the United States reflects real changes in underlying fundamentals such as increased savings, stable domestic oil consumption, and greater domestic oil production. However, the adjustment process in the world has been inefficiently asymmetric with deficit economies contributing a far larger share to global adjustment through employment-constraining compressed domestic demand growth. The expected boost in demand growth by surplus economies need to offset weaker demand growth in deficit economies has yet to materialize. The net result has been a slower global adjustment process and a weaker and more fragile global economy than necessary or desired.

回复：中美经常账户余额，以及双边贸易失衡总额占全球 GDP比重均已大幅下降。对美国而言，这一改善反映了美相关经济基本面的真实变化，如收入增长、国内石油消费稳定以及国内石油生产增长。但从全球范围看，各方调整失衡的进程进度不一，降低了效率。赤字经济体通过牺牲就业压缩国内需求增长，对全球经济调整做出了极大贡献。而这一赤字经济体的需求下降需要盈余经济体的需求增长加以抵消，这种预期的需求增长却尚未实现。因此，总的结果是，全球调整进程放缓，和人们的需要和期待相比，全球经济更加脆弱，增长乏力。

Page 16, Para 1.12

The report states that “However, fiscal policy has turned contractionary during the last two years, as a result of deliberate deficit-reduction measures. …”.

Question 3:

While implementing a tight fiscal policy, the U.S. is also implementing highly easy monetary policy by ways such as the quantitative easing. Please describe how the seemingly contradictory fiscal and monetary policies affect the U.S macro economy. 美国在实施紧缩财政政策的同时，又以量化宽松等形式实施高度宽松的货币政策，似乎“反向而行”的财政、货币政策如何对美宏观经济产生作用？

RESPONSE: The United States’ central bank, the Federal Reserve, is an independent agency within the federal government tasked with the conduct of monetary policy. As such, the Federal Reserve’s monetary policy choices are the sole responsibility of its own officials, i.e., are made by the Federal Reserve Board of Governors and by the Federal Open Market Committee. No influence from the

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executive, legislative, or judicial branches of the federal government can be exerted on those choices. The Administration therefore does not comment on the Fed’s conduct of monetary policy in any

context.（请参考第 3问的答复）

Question 4:

Although the U.S. has tightened its fiscal policy, the proportion of its public debts to GDP remains high and is ever growing. How does the U.S. view the impacts of such situation on the WTO members holding U.S. dollar debts, especially developing members? ? 尽管美开始收紧财政政策，但其公共债务占 GDP比重仍居高

位且不断增长。请问美方如何看待这一状态对持有美元债务的世贸组织成员，特别是发展中成员的影响？

RESPONSE: In the FY 2015 Budget, the Administration projects that the federal debt-to-GDP ratio will peak in FY 2015 at 74.6 percent of GDP and then decline steadily through the end of the 10-year forecast to 72.0 percent in FY 2024.

回复：在 2015财年预算中，主管部门预期，联邦债务占 GDP的比例将在 2015财年达到顶点，即GDP的 74.6%，并将在此后 10年间稳步下降，预计将于 2024财年降至 72.0%。

Page 17, Para 1.17

The report states that “During the review period, a third round of quantitative easing (QE3) took place, in September 2012, in the context of high, although dropping, unemployment. In December 2013, the Fed announced that it would start scaling down its purchases.”

Question 5:

How does the U.S. assess the impacts of “quantitative easing” adopted since the financial crisis on the global

economy, especially the consequence of the unreasonably inflated asset prices of various WTO members？ As

a reserve currency country, does the U.S. take into account the spillover effect of its policies on other members

when formulating these policies? 请美国评价金融危机以来实行的“量宽政策”对世界经济的影响，特别是对导致各国资产价格虚高这一后果的评价？美作为储备货币国，在制定政策时是否考虑对世界其他国家的影响？

RESPONSE: The United States’ central bank, the Federal Reserve, is an independent agency within

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the federal government tasked with the conduct of monetary policy. As such, the Federal Reserve’s monetary policy choices are the sole responsibility of its own officials, i.e., are made by the Federal Reserve Board of Governors and by the Federal Open Market Committee. No influence from the executive, legislative, or judicial branches of the federal government can be exerted on those choices. The Administration therefore does not comment on the Fed’s conduct of monetary policy in any

context. （请参考第 3问的答复）

Question 6:

Some economists hold that “quantitative easing” led to an unreasonable boom of the stock market and the debt market of the U.S. and caused global asset bubble rather than contributing much to the recovery of real

economy. What is the opinion of the U.S. in this regard? 部分经济学家认为：“量宽”对美实体经济复苏贡献不大，却刺激了美股市、债市的非理性繁荣，同时导致了全球资产泡沫，美对此作何评论？

RESPONSE: The United States’ central bank, the Federal Reserve, is an independent agency within the federal government tasked with the conduct of monetary policy. As such, the Federal Reserve’s monetary policy choices are the sole responsibility of its own officials, i.e., are made by the Federal Reserve Board of Governors and by the Federal Open Market Committee. No influence from the executive, legislative, or judicial branches of the federal government can be exerted on those choices. The Administration therefore does not comment on the Fed’s conduct of monetary policy in any

context.（请参考第 3问的答复）

Question 7:

On 29 October 2014, the U.S. announced that it would withdraw from QE3. Please describe the assessment by the U.S. on the impacts of such withdrawal on the global economy, especially emerging economies. Some comment that the withdrawal by the U.S. from QE will cause outflow of hot money and is most likely to incur the depreciation of the local currency of emerging economies and further damage substantive economy. Please describe the comments of the U.S. government. 2014年 10月 29日，美宣布退出“量宽”3。美政府如何评估退出量宽对全球经济，特别是新兴经济体的影响？有评论认为：美退出“量宽”导致热钱流出，很可能引发新兴经济体本币贬值，实体经济进一步受创伤。美政府对此作何评论？

RESPONSE: The United States’ central bank, the Federal Reserve, is an independent agency within the federal government tasked with the conduct of monetary policy. As such, the Federal Reserve’s monetary policy choices are the sole responsibility of its own officials, i.e., are made by the Federal Reserve Board of Governors and by the Federal Open Market Committee. No influence from the executive, legislative, or judicial branches of the federal government can be exerted on those choices. The Administration therefore does not comment on the Fed’s conduct of monetary policy in any

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context.（请参考第 3问的答复）

Question 8:

Please describe the relationship between “QE” and plans such as “homecoming of U.S, manufacturing” and

“export doubling”. What impacts will the withdrawal from QE have on such plans? 美如何看待 “量宽”与其“制造业回归”、“出口倍增”等计划之间的联系？退出“量宽”会对上述计划造成哪些影响？

RESPONSE: There is no relationship between “QE” and plans for U.S. manfacturing or the doubling of U.S. exports.

回复：“量宽”与美国制造业或美国出口倍增计划之间没有关系。

Question 9:

After withdrawal from QE, does the Fed plan to raise the interest rate in the near future? Please describe the

considerations of the Fed on the timing approach and extent of interest rate raise. 美联储退出“量宽”后，是否有在近期实施加息的计划？美联储对加息的时机、方式、力度作何考虑？

RESPONSE: The Administration does not comment on the Federal Reserve’s conduct of monetary policy. The Federal Reserve itself publishes the minutes of the Federal Open Market Committee meetings, at which a variety of issues are discussed. For the latest minutes, see http://www.federalreserve.gov/newsevents/press/monetary/20141029a.htm and http://www.federalreserve.gov/monetarypolicy/files/fomcminutes20141029.pdf

回复：美国政府对美联储的货币政策不发表意见。联邦公开市场会员会会议讨论各类相关事项，美联储公布联邦公开市场会员会会议的会议纪要，最新的会议纪要请参见 http://www.federalreserve.gov/

newsevents/press/monetary/20141029a.htm

和 http://www.federalreserve.gov/monetarypolicy/files/fomcminutes20141029.pdf。

Page 17, Para 1.18

The report states that “The Fed also resorted to Central Bank liquidity swaps in order to provide liquidity to private banks in foreign currencies. The swaps have been operational with ten Central Banks, including the

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Bank of Canada, the Bank of England, the European Central Bank, the Bank of Japan, and the Swiss National Bank.”.

Question 10:

China notes that the 10 economies conducting currency swaps with the Fed are mainly developed members. Please describe the standards adopted by the U.S. in selecting partners for currency swaps. Does the U.S.

plan to conduct currency swaps with emerging economies in the future? 中方注意到，与美联储开展货币互换的 10 个经济体主要是发达成员，请问美方在选择货币互换伙伴时采取哪些标准，美方未来是否有同新兴经济体开展货币互换的计划？

RESPONSE: The United States’ central bank, the Federal Reserve, is an independent agency within the federal government tasked with the conduct of monetary policy. As such, the Federal Reserve’s monetary policy choices are the sole responsibility of its own officials, i.e., are made by the Federal Reserve Board of Governors and by the Federal Open Market Committee. No influence from the executive, legislative, or judicial branches of the federal government can be exerted on those choices. The Administration therefore does not comment on the Fed’s conduct of monetary policy in any

context.（请参考第 3问的答复）

Page 17, Para 1.20

The report states that “After stabilizing and achieving positive growth rates during the last three years, the U.S. economy is poised for further economic growth…”.

Question 11:

According to some comments, the U.S. has basically completed deleveraging, enterprise M&A has picked up and the U.S. has yielded some results in re-industrialization, but the pillar industry in the new round of economic cycle has not been formed. Please describe the measures to be adopted by the U.S. to speed up

economic recovery and address economic unbalance. 有评论认为：美去杠杆化趋势基本完成，企业并购回升，再工业化取得成效，但新一轮经济周期的支柱产业尚未形成，美将如何加快经济复苏进程，解决经济失衡问题?

RESPONSE: To return the economy to its full potential more quickly, the President is working on a range of measures including an Opportunity, Growth, and Security initiative, along with steps to pair business tax reform with a major effort to upgrade our Nation’s infrastructure.  For more information on this initiative, please see: http://www.whitehouse.gov/sites/default/files/omb/budget/fy2015/assets/

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opportunity.pdf .

回复：为尽快全面恢复经济增长潜力，总统正在制定一系列举措，包括提出“机会、成长和安全倡议”，以及为营业税改革采取配套措施，这些举措的主要着力点是升级国家基础设施。该倡议的更多信息请参见 http://www.whitehouse.gov/sites/default/files/omb/budget/fy2015/assets/opportunity.pdf。

2. TRADE AND INVESTMENT REGIME

Page 25, Para 2.2

The report states that “It conducts its functions through a statutory inter-agency trade policy mechanism, composed of the Trade Policy Review Group (TPRG) and the Trade Policy Staff Committee (TPSC).”.

Question 12:

Please describe the respective functions of and the division of labor between the Trade Policy Review Group

(TPRG) and the Trade Policy Staff Committee (TPSC). 请美方介绍：贸易政策审议组和贸易政策委员会两个部门各自职能？如何分工？

RESPONSE: The Trade Policy Review Group (TPRG) and the Trade Policy Staff Committee (TPSC), administered and chaired by USTR, are the subcabinet interagency trade policy coordination groups that are central to this process.  The TPSC is the first-line operating group, with representation at the senior civil servant level.  Supporting the TPSC are more than 80 subcommittees responsible for specialized issues.  The TPSC regularly seeks advice from the public on its policy decisions and negotiations through Federal Register Notices and public hearings.    

回复：贸易政策审议工作小组(TPRG) 和贸易政策工作委员会 (TPSC)是美国贸易政策审议流程的核心。它们是由高级行政官员组成的跨部门的贸易政策协调小组，均由美国贸易代表办公室（USTR）管理和领导。贸易政策委员会是第一线工作组，代表均为资深政府官员，80 多个分别负责特定议题的次级委员会为贸易政策委员会提供支持。贸易政策委员会定期通过《联邦纪事》和公开听证，就其政策决定和谈判征求公众意见。

Through the interagency process, USTR requests input and analysis from members of the appropriate TPSC subcommittee or task force.  The conclusions and recommendations of this group are then

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presented to the full TPSC and serve as the basis for reaching interagency consensus.  If agreement is not reached in the TPSC, or if particularly significant policy questions are being considered, issues are

referred to the TPRG (Deputy USTR/Under Secretary level). 通过跨部门流程，美国贸易代表办公室要求相关贸易政策委员会次级委员会或特别工作组的成员提供信息和分析意见。该小组的结论和建议随后将提交贸易政策委员会，并作为机构间达成一致意见的依据。如果贸易政策委员会无法达成一致意见，或需要考虑特别重要的政策问题，则相关问题需被提交贸易政策审议小组（副美国贸易代表办公室/秘书级别）。

Page 25, Para 2.6

The report states that “A proposal to reauthorize TPA was introduced in the Congress in 2014, but to date no legislation has been approved.”

Question 13:

Please give an update of TPA reauthorization. Will the absence of TPA affect the ability of the U.S. to

promote DDA and bilateral agreements under negotiation such as BIT? 请美方介绍：争取贸易促进授权（TPA）的最新进展？TPA 缺位是否对美推动 DDA 以及 BIT 等在谈双边协定的能力造成了影响？

RESPONSE: The Administration is working closely with the United States Congress to pass bipartisan Trade Promotion Authority (TPA) legislation.  As the Administration works with Congress on TPA, we will continue to advance bilateral, plurilateral and multilateral negotiations.

回复：美国政府正与国会紧密合作，以期通过两党都支持的贸易促进授权（TPA）立法。在美国政府就贸易促进授权对国会开展工作的同时，我们将继续推进双边、诸边和多边谈判。

Page 26, Para 2.7

The report states that “The United States has a long history of involving the private sector in trade policy advice. In 1974, a USTR-led trade advisory committee system was created, to enable public- and private-sector input in the formulation and implementation of U.S. trade policies. There are currently 28 trade advisory committees covering, inter alia, agricultural, intergovernmental, labour, environmental, and U.S.-Africa issues. ”.

Question 14:

Please explain whether foreign investors, especially the highly representative and influential investors in the

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relevant sectors, are qualified to participate in the activities of these advisory committees. Please describe the

actual participation of foreign-invested enterprises in recent years. 请美方介绍：外国投资者，特别是在相关行业具有较强代表性和影响力的外国投资者是否有资格参与这些咨询委员会的活动？近年来外资企业实际参与情况如何？

RESPONSE: Every applicant is evaluated based on the membership criteria for the committee to which they applied. However, USTR does not maintain data on which companies invest overseas.

回复：每一申请人均将根据其所申请的委员会设定的成员标准接受评估。但是，美国贸易代表办公室不保留关于哪些公司在境外开展投资的资料。

Question 15:

Please describe the composition, functions, operation modality, policy objectives and roles in trade negotiations of TEPAC. 请介绍贸易和环境政策咨询委员会（TEPAC）的构成、职能、运行方式、政策目标以及在贸易谈判中所起的作用。

RESPONSE: Please view the TEPAC charter, found here: http://www.ustr.gov/sites/default/files/1979%20TEPAC%20Charter%20for%202013.pdf 回复：

关于贸易和环境政策咨询委员会章程，请参见 http://www.ustr.gov/sites/default/files/1979%20TEPAC

%20Charter%20for%202013.pdf。

Page 26, Para 2.8

The report states that “In February 2014, USTR proposed a new trade advisory committee covering public interest issues. This proposal, including its scope and purpose, is currently under consideration pending review and evaluation of public comments.”.

Question 16:

Please describe the purpose and the expected composition of the advisory committee, as well as its possible

impacts on trade and investment. 请美方详细介绍：设立该咨询委员会的目的、预计该委员会的人员构成、以及对贸易和投资的可能的影响？

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RESPONSE: The purpose, scope, composition and creation of a new advisory committee is still under review.

回复：新顾问委员会的宗旨、范围、组成和设立仍在审议过程中。

Question 17:

What are “public interest issues”? 79 FR 10596 indicates “including but not limited to public medical care, international development and consumer protection”. Please detail other sectors involved in public interest

issues. “公众利益问题”具体包括哪些问题？79 FR 10596 中指出“包括但不限于以下问题，如公众医疗、国际发展和消费者保护”，可能涉及的领域还包括哪些？请详述。

RESPONSE: The purpose, scope, composition and creation of a new advisory committee is still under

review. (参见第 16问的答复)

Question 18:

As required by USTA, the members of the committee must be nominated before 25 March 2014. Have these members been confirmed so far? Has the committee completed amendments and solicitation of opinions? If

yes, when will the committee start operation officially? If no, is there any schedule in this regard? USTR 要求在 2014年 3月 25日之前提名委员会委员。该委员会成员现在是否已确定？截止目前，该委员会是否已完成修订和征求意见？如完成，何时开始正式运作？如未完成，是否有时间计划安排？

RESPONSE: The purpose, scope, composition and creation of a new advisory committee is still under review. The 25 March 2014 deadline was for submission of comments, not for nominations, which will

be accepted at any time. 回复：新顾问委员会的宗旨、范围、组成和设立仍在审议过程中。2014年 3

月 25 日是提交评议（而非提名）的截止日期，提名可随时提交。

Page 28, Para 2.9

The report states that “In early 2012 the United States established the Interagency Trade Enforcement Center (ITEC) to advance U.S. foreign policy and protect the national and economic security of the United States through strengthened enforcement of U.S. trade rights.”.

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Question 19:

Please describe the concrete measures adopted by ITEC to strengthen the enforcement of U.S. trade rights. What are its current priority countries and topics? 跨部门贸易执法中心（ITEC）为加强美国贸易执法采取了哪些具体措施？ITEC目前重点关注的国家和议题都有哪些？

RESPONSE: Consistent with Executive Order 13601, ITEC has assembled staff from numerous government agencies with varied expertise. ITEC monitors trade developments and our trading partners’ adherence to international trade obligations, investigates and develops issues for potential trade cases; supports enforcement-related negotiations and ongoing disputes; and evaluates post-dispute compliance actions.

回复：根据 13601 号行政命令，跨部门贸易执法中心（ITEC）已经配备了来自多个政府机构的拥有不同专业经验的人员。跨部门贸易执法中心负责监督贸易的发展以及美国的贸易伙伴是否遵守国际贸易义务、调查并确定有关潜在贸易案件的问题、为与执法有关的磋商和现存的争议提供支持并评估争议后的合规行动。

A variety of factors are taken into account in establishing ITEC priorities, including the economic impact and systemic effect of the practice at issue and the United States’ overall trade policies and goals. ITEC investigates a wide range of trade enforcement issues originating in a variety of regions across the globe, ranging from subsidies and localization measures to intellectual property and

agriculture, among others. 在确定跨部门贸易执法中心的工作重点时考虑了各类因素，包括相关行为的经济影响以及系统效应和美国整体贸易政策及目标。跨部门贸易执法中心负责调查源自全球各个地区的各类贸易执法问题，包括从补贴和本地化措施到知识产权和农业等在内的一系列问题。

Page 28, Para 2.10

The report states that “During its first year of operation, the ITEC was involved in a number of trade matters which resulted in the United States taking up at least four issues in the WTO DSB. ITEC was also involved in identifying priority projects for research and analysis regarding a number of countries and issues.”

Question 20:

Certain actions of the ITEC were frequently brought to the WTO DSB by Members. Are these disputes caused for excessive protective measures by the ITEC in “identifying and eliminating foreign trade barriers”? Please describe the operation mechanism of the ITEC. Will this mechanism be more open and transparent in the

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future? ITEC 在 WTO 争端解决机制中该机构频频出现，该机构在“识别和消除外国贸易壁垒”的过程中是否采取了过度的保护措施从而引起争端？该机构的运作机制是什么？能否进一步公开透明？

RESPONSE: As directed by the Executive Order, ITEC’s mission is to strengthen and coordinate enforcement of U.S. trade rights under international trade agreements. ITEC seeks to help ensure that our trading partners play by WTO rules and abide by their obligations, including commitments to maintain open markets on a non-discriminatory basis and to follow rules-based procedures in a transparent way. ITEC leverages and mobilizes the federal government’s resources and expertise to address unfair foreign trade practices and barriers. Personnel from contributing agencies form a designated team of experts who help to increase engagement with foreign trade partners at the WTO and in other international fora. ITEC seeks to expand interagency collaboration and the sharing of information and expertise as it relates to enforcement of international trade agreements. USTR engagement in trade issues is quite open and transparent, especially in relation to some of our trading partners.

回复：根据行政命令，跨部门贸易执法中心（ITEC）的任务是加强和协调国际贸易协定项下美国贸易权利的执行。跨部门贸易执法中心协助确保美国的贸易伙伴遵守世贸组织规则及其义务（包括关于以非歧视性方式维持市场开放并以透明方式执行基于规则的流程的承诺）。跨部门贸易执法中心协调和调动联邦政府的资源和专业经验，解决不公平的对外贸易行为和壁垒。相关机构的人员组成了一支指定的专家小组，为增加在世贸组织和其他国际论坛中与贸易伙伴的接触提供帮助。在执行国际贸易协定方面，跨部门贸易执法中心努力扩大跨部门合作以及信息和专业知识共享。在参与贸易问题方面，美国贸易代表办公室是十分开放和透明的，尤其是相比我们的某些贸易伙伴而言。

Page 29, Para 2.14

The report states that “A number of trade priorities identified for 2013-14 included initiatives at the national, multilateral, bilateral, and regional levels: to continue progress towards the National Export Initiative (NEI) goals; to advance and conclude the Trans-Pacific Partnership (TPP) agreement; launch and advance the Transatlantic Trade and Investment Partnership (T-TIP) agreement; lead creative and effective efforts at the WTO to open markets, enforce rules, and combat protectionism…”.

Question 21:

China notes that in its official report, the USTR listed NEI and the promotion of TPP and T-TIP negotiations before “lead creative and effective efforts at the WTO to open markets, enforce rules, and combat

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protectionism”. Please explain whether the sequence reflects the priority given by the U.S. among its various

trade policy objectives. 中方注意到：USTR 在官方报告中，将 NEI 和推进 TPP、T-TIP 谈判列在“创造性的、高效的在 WTO 推进市场开放、规则实施、反对保护主义”之前。这一排序是否反映出美方各贸易政策目标间的主次顺序？

RESPONSE:  We note that paragraph 2.14 of the Secretariat report was drafted by the WTO Secretariat, not by U.S. authorities.  Thus the sequencing reflects a drafting decision by the Secretariat, not a reflection of priorities within U.S. trade policy.

 回复：我们注意到，秘书处报告第 2.14 段是世贸组织秘书处而非美国政府部门起草的。因此，该条款内容的顺序反映了秘书处在起草该条款时的决定，并不反映美国贸易政策中的优先顺序。

Question 22:

Please describe how did the U.S. achieve the “creativeness” and “effectiveness” in its policy objectives in the

participation of WTO activities. 请美方介绍：本次审议期内，美方在参与 WTO活动的过程中，是如何体现“创造性、高效”的政策目标的？

RESPONSE:  The significant successes witnessed by WTO Members over the last twelve months, including the historic outcome at Bali and the lifting of the impasse that will allow the TFA to come into effect, required creativity, not only on the part of the United States, but other WTO Members.  Should we expect any success in 2015 on the post-Bali work program or other major issue areas, the United States expects that creativity will again be required.  

回复：世贸组织成员在过去十二个月间见证的巨大成功（包括在巴厘岛取得的历史性的成果以及摆脱僵局并使《贸易便利化协议》生效）不仅需要美国的创造性，也需要其他世贸组织成员国的创造性。如果我们期待 2015年能在后巴厘工作计划或其他关键议题上取得成功，则美国预期，需要再次展现其创造性。

Page 31, Para 2.21

The report states that “However, the United States is negotiating with the European Union on T-TIP, and with

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a group of countries in Asia, the Pacific, and the Americas, with TPP (see Section 2.2). At this time, neither has been concluded.”.

Question 23:

Please describe the latest progress of TPP and T-TIP negotiations. Are there any schedules for the completion

of the negotiations? 请美方介绍 TPP 和 T-TIP 谈判目前最新进展？对何时结束谈判有无时间表？

RESPONSE: Following a TPP Ministerial meetings in October and November 2014, TPP leaders met in November 2014, noted the significant progress that ministers and negotiators had made in recent months in narrowing gaps on the TPP agreement, and stated that the end of the negotiation was coming into focus. Chief negotiators met in Washington in December 2014. The schedule of further meetings is still being developed. All TPP parties are working to conclude the negotiation as soon as possible, so that each country can start to enjoy the agreement’s benefits.

回复：在 2014年 10 月和 11 月的 TPP部长级会议后，跨太平洋伙伴关系协定（TPP）领导又于 2014

年 11 月会面，强调了部长们和谈判代表们在近几个月在缩小跨太平洋伙伴关系协定间差距方面取得的巨大成果，并指出谈判成果已初步成型。主要磋商代表于 2014年 12 月在华盛顿会面。后续会议的安排正在制定中。所有 TPP 当事方均正在努力尽快结束谈判，以便每个国家均可开始享受协定带来的利益。

The United States and the European Union have had seven rounds of negotiations since the Transatlantic Trade and Investment Partnership was launched in July 2013.  Both sides are committed

to achieving significant progress in 2015.   自跨大西洋贸易与投资伙伴协定于 2013年 7 月启动以来，美国和欧盟已经展开了数轮谈判。双方均将努力在 2015年实现重大进展。

Question 24:

Please describe the opinions of the U.S. on the impacts of TPP and T-TIP on the multilateral trade system

with WTO at its core. 美如何看待 TPP、T-TIP 对以世贸组织为核心的多边贸易体系的影响？

RESPONSE:  We believe that such efforts will reinforce and complement the multilateral trading system.   They offer the opportunity to contribute to a more dynamic and open global trading system and the possibility of building on them to pursue future ambitious trade and investment liberalization

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within the WTO.

回复：我们相信，这些努力必将加强并完善多边贸易体系。美国的努力将为创造一个更具活力且更开放的全球贸易体系提供机会，也将为未来在世贸组织内追求更高雄心水平的贸易和投资自由化提供可能。

Page 37, Para 2.48

The report states that “No new BITs were negotiated or entered into force during the review period. The United States does not have BITs with many of the emerging economies, which continue to be growing in importance as concerns investment flows.”.

Question 25:

Please clarify the reasons for not concluding BITs with “many of the emerging economies”. 请美方澄清未能与这些主要新兴经济体签署双边投资协定的原因。

RESPONSE: The United States has BITs in force with 40 countries, including several emerging economies. The United States also has 11 free trade agreements with investment provisions in force with 17 countries, several of which are emerging economies. The United States is also in the process of negotiating, or exploring the negotiation, of BITs with a number of emerging economies, including China and India.

回复：美国与 40个国家（包括若干新兴经济体）签订了现行有效的双边投资协定。美国与 17个国家（包括多个新兴经济体）签订了 11份现行有效的包括投资条款的自由贸易协定、。美国正在与若干新兴经济体（包括中国和印度）开展双边投资协定谈判或探讨。

Question 26:

Would the U.S. please provide the number of its concluded BITs applying a negative list modality? Please clarify the difference between these negative lists. 请美方介绍，在其已签署的 BIT中，涉及负面清单模式的有几个？清单之间有何区别？

RESPONSE: Although the specific text and format of the U.S. model BIT has evolved over the last 30 years, all U.S. BITs have been concluded on the basis of a negative list approach to national treatment.

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回复：虽然美国标准双边投资协定的特定文本和格式 30 多年来一直在演变，但美国所有双边投资协定均是以负面清单和国民待遇为基础制定的。

Page 40, Para 2.50

The report states that “It does not offer direct incentives but provides a link to federal government programmes offering incentives to businesses.”.

Question 27:

Does the U.S. have other official platforms to publish in a unified way the investment incentive policies of different states and regions in addition to SelectUSA, on which the investment incentives at the federal level

are made public. 请美方介绍，除通过“选择美国”（SelectUSA）这一平台统一发布联邦一级的投资鼓励政策外，美国是否有其他官方平台统一发布各州和地方的投资鼓励政策？

RESPONSE: SelectUSA will in the near future make available on its website a consolidated database of state-level investment incentives. In the interim, and in keeping with its role as a single point of entry for information about investment in the United States, SelectUSA publishes a list of contact information for designated investment officials in U.S. states and territories, as well as links to the websites of state-level economic development agencies.

回复：“选择美国”（SelectUSA）不久将在其网站上统一公布州一级投资激励措施数据库。在目前的过渡期，为与其作为美国投资信息唯一联系点的角色保持一致，“选择美国”（SelectUSA）公布了美国各州和地区指定投资官员的联系信息清单以及州一级经济发展机构网站的链接。

Page 39, Para 2.52

The report states that “CFIUS continues to review "covered" foreign investment transactions to determine whether the transaction threatens national security. A covered foreign investment transaction is one where a merger, acquisition, or takeover results in foreign control of a person engaged in interstate commerce in the United States.”

Question 28:

Please clarify the standards to determine whether a foreign investment “threatens national security”. 请美方澄清：裁定一项外国投资“危害国家安全”的客观标准是什么？

RESPONSE: CFIUS’s approach to determining whether a transaction raises national security

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concerns, and a general description of the types of transactions that CFIUS has reviewed and that have presented national security considerations is available in the official guidance that Treasury published on December 8, 2008, in the Federal Register (and available on our webpage at: http://www.treasury.gov/resource-center/international/foreign-investment/Documents/CFIUSGuidance.pdf). The CFIUS process is fully described in statutes, executive orders, regulations, and in the guidance document noted above, all of which are available at www.treasury.gov/cfius.

回复: 关于美国外国投资委员会（CFIUS）用于确定交易是否引发国家安全关切的方法以及对美国外国投资委员会已经审查并存在国家安全考虑因素的交易类别的一般描述，请参见财政部于 2008年 12

月 8 日在《联邦纪事》中公布的官方指引（以及我们的网站 http://www.treasury.gov/resource-center/

international/foreign-investment/Documents/CFIUSGuidance.pdf）。法律、行政命令、法规和上述指引文件已经全面描述了美国外国投资委员会的流程，具体请见www.treasury.gov/cfius。

The Guidance makes clear that in conducting its analysis of whether the transaction poses national

security risk, CFIUS assesses: 指引明确指出，在分析交易是否存在国家安全风险时，CFIUS将评估下列事项：

o whether there is a threat - whether a foreign person has the capability or intention to exploit or cause harm; and

o whether there is a vulnerability - whether the nature of the U.S. business over which the foreign party is acquiring control creates susceptibility to impairment of U.S. national security.

o 是否存在威胁 – 外国人是否有能力或意图利用或引起伤害；以及o 是否存在弱点 – 外国当事方取得控制权的美国业务的性质是否可能损害美国的国家安全。

National security risk is a function of the interaction between threat and vulnerability, and the potential

consequences of that interaction for U.S. national security. 国家安全风险将视威胁和弱点之间的互动，以及该互动可能给美国国家安全带来的潜在后果而定。

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Question 29:

According to many Chinese enterprises, CFIUS has excessive discretion, complicated procedures and non-transparent processes. Moreover, CFIUS gives no causes for any rejected investment proposals. Does the U.S. plan to raise the transparency of relevant ruling and entitle foreign enterprises to appeal? 许多中国企业反

映：CFIUS自由裁量权过大，程序复杂且过程不透明，特别是对拟拒绝批准的交易不必说明理由。请问美方是否有计划提高相关裁决透明度，并使外国企业充分享受申诉权力？

RESPONSE: CFIUS procedures and processes are governed by a statute, executive order, and public regulation, all of which are available at www.treasury.gov/cfius.

回复：美国外国投资委员会的程序和流程受法律、行政命 令和公共法规管辖，具体请见www.treasury.gov/cfius

The CFIUS regulation contains at least forty examples to assist U.S. and foreign companies. For example, CFIUS may review only mergers, acquisitions and takeovers that could result in foreign control of a U.S. business. So, wholly passive minority stakes, greenfield investments, and land sales are not subject to CFIUS review. This focused mandate reflects our belief in the importance of foreign

investment as a source of national strength. 美国外国投资委员会法规载明了至少四十个案例，帮助美国和外国公司处理相关问题。比如，美国外国投资委员会可以仅审查可能导致美国公司受外国控制的合并、收购和接收案。因此，完全被动的小股东股权、绿地投资和土地出售无需接受美国外国投资委员会审查。这一集中授权反映出，我们坚信外国投资对于增强国家实力的重要性。

Any decisions by the U.S. President to prohibit a transaction are publicly disclosed. The vast majority of foreign investments do not raise national security concerns and are cleared by CFIUS without issue. When a transaction poses a national security risk, CFIUS works to resolve it as expeditiously as

possible, including through targeted mitigation rather than prohibition whenever possible. 美国总统禁止交易的任何决定均将向大众披露。大部分外国投资不会引起国家安全关切，并将获得美国外国投资委员会批准。如果某项交易可能产生国家安全风险，则美国外国投资委员会将努力尽快解决该问题，包括尽可能采取目标更为明确的减少风险措施，而非禁止交易。

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Page 39, Para 2.52

The report states that “CFIUS considers whether the foreign entity is controlled by a foreign government or if the investment would give control of critical infrastructure.”.

Question 30:

According to the information obtained by the Chinese government, the definition of “critical infrastructure” regarding the national security of the U.S. in its Foreign Investment and National Security Act is too broad, leading to great uncertainty on whether Chinese enterprises could eventually approved to make investment in the U.S. infrastructure projects. Does the U.S. plan to further improve legislations to explicitly define “critical

infrastructure”? 中国政府获得信息显示：美《外国投资与国家安全法》关于美国国家安全的“关键性基础设施”的定义过于宽泛，致使中国企业在美投资基础项目能否最终获批具有极大的不确定性。请问美方是否有计划进一步改善立法，对 “关键性基础设施”的认定加以明确限制？

RESPONSE: CFIUS considers all relevant national security factors in its reviews of transactions. This may include, in some transactions, the potential national security-related effects of the transaction on United States critical infrastructure. In every case, CFIUS looks at whether the particular transaction raises national security concerns, whether or not it involves critical infrastructure.

回复：在审查交易的过程中，美国外国投资委员会将考虑所有与国家安全有关的因素。在某些交易中，包括交易可能对美国关键性基础设施造成的、与国家安全有关的影响。在所有案件中，美国外国投资委员会均将考虑特定交易是否会引起国家安全关切、是否涉及关键性基础设施。

Please refer to Section 800.208 of the CFIUS regulations, which defines the scope of the term “critical infrastructure” for CFIUS purposes. The regulations are available at http://www.treasury.gov/resource-

center/international/foreign-investment/Documents/CFIUS-Final-Regulations-new.pdf 有关美国外国投资委员会所指的“关键性基础设施”的范围，请参见美国外国投资委员会法规第 800.208 条（http://w

ww.treasury.gov/resource-center/international/foreign-investment/Documents/CFIUS-Final-

Regulations-new.pdf）。

Page 39, Para 2.53

The report states that “During 2010-12, there was a gradual increase in the number of notices of covered transactions submitted, from 93 to 114 in 2012. In particular, investment reviews from China grew from 6

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notices in 2010 to 23 in 2012 (Table 2.3).”

Question 31:

How many investments among the 114 so-called “covered transactions” in 2012 are from developing members? Do relevant enterprises have opportunities to make appeals? Please describe the outcome of such

appeals, if any. 请美方介绍，2012年被认定为“隐蔽交易”的 114项投资中，有多少来自发展中成员？相关企业是否有机会就该裁定提出申诉？对相关申诉的处理情况如何？

RESPONSE: The number of filings per country in 2012 is available in CFIUS’s 2012 Annual Report.

回复：关于每个国家在 2012年的申诉数量，请参见美国外国投资委员会的 2012年年报http://www.treasury.gov/resource-center/international/foreign-investment/Documents/2013%20CFIUS%20Annual%20Report%20PUBLIC.pdf

Parties have the opportunity to engage CFIUS before filing, during the review, after CFIUS informs the parties of the action that CFIUS intends to take, and even after the CFIUS review process has

concluded. 在提出申诉前、审查期间，以及美国外国投资委员会向当事方告知其拟将采取的行动后，甚至审查流程结束后，当事方均有机会与外国投资委员会进行沟通。

Question 32:

Please explain the reasons of the rapid increase in national security reviews on investments from Chinese

enterprises. 请美方介绍，近年来对中国企业实施国家安全审查案件数量迅速增加的原因？

RESPONSE: The United States has a strong open investment policy. We recognize that it is vital to economic growth, to job creation, and to productivity. The vast majority of CFIUS reviews, including those involving Chinese companies, are initiated by parties to a transaction voluntarily submitting their transaction for CFIUS review. Chinese FDI into the United States, in general, has increased significantly over the past several years.

回复：美国的投资政策十分开放。我们认识到，开放的投资政策对经济发展、就业和生产力均至关重要。外国投资委员会展开的大部分审查（包括涉及中国企业的审查）均是由交易当事方自愿提起的。总体而言，在过去几年间，中国对美国的直接投资有大幅增长。

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The number of filings over time and per country in 2012 is available in CFIUS’s 2012 Annual Report. http://www.treasury.gov/resource-center/international/foreign-investment/Documents/2013%20CFIUS

%20Annual%20Report%20PUBLIC.pdf 关于每个国家在 2012年的申诉数量，请参见美国外国投资委员会的 2012年年报（http://www.treasury.gov/resource-center/international/foreign-investment/

Documents/2013%20CFIUS%20Annual%20Report%20PUBLIC.pdf）。

Question 33:

While promoting a series of investment incentive measures, the U.S. is more proactive in applying the highly subjective “national security review” to restrict foreign investments, including those from China. How does the U.S. assess the effects of such policies? Does the U.S. plan to restrain the abuse of national security

reviews for the sake of investment facilitation? 美国在积极出台一系列投资鼓励措施的同时，又通过更积极地使用具有极大主观性的“国家安全审查”，对包括中国在内的外国投资横加限制。美方对这些政策的效果作何评估？未来美方是否有计划限制国家安全审查的滥用，以提高投资便利化水平？

RESPONSE: The United States consistently ranks at the top of most major indicators for its attractive business and investment climate. The United States ranks: #1 in A.T. Kearney’s Foreign Direct Investment Confidence Index; and #4 in the World Bank’s “Ease of Doing Business” rankings. These rankings are reflected by investment statistics: from 2007 through 2013, the United States received more FDI than any other country. The FDI flow into the United States in 2013 – $187.5 billion – was 34 percent higher than the flow into any other country.

回复：美国一直因其具有吸引力的商业和投资环境，在主要指标中名列前茅。在科尔尼外商直接投资信心指数中，美国位列第一；在世界银行的“经商容易度”排名中，美国排名第四。这些排名在投资统计数据中均有体现：在 2007年至 2013年期间，美国获得的外国直接投资超过其他任何国家。2013

年，流入美国的外国直接投资达 1875亿美元，比第二名高 34%。

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The vast majority of foreign investments from all countries, including China, do not raise national security concerns. And the vast majority of transactions that are submitted to CFIUS are cleared

without any mitigation or conditions. 来自各个国家（包括中国）的绝大部分外国投资均不会引起国家安全关切。美国外国投资委员会也顺利批准了绝大部分被提交其审查的交易，且未采取任何风险控制措施或附加任何条件。

Page 40, Para 2.55

The report states that “The NISPOM contains provisions regarding certain foreign investment transactions under its broader mandate to require contractors to protect and safeguard classified information. The NISPOM section on Foreign Ownership, Control, or Influence (FOCI) contains the procedures to be followed for certain investment transactions that involve classified information. U.S. companies are subject to NISPOM reporting requirements when a foreign interest acquires control that may result in unauthorized access to classified information or adversely affect the performance of classified contracts.”.

Question 34:

Please clarify which information belongs to “classified information” deemed by NISP. To what extent have such NISPOM requirements increased the burdens on enterprises and affected normal investment. Has the U.S. made corresponding assessment? 请美方澄清，哪些信息属于 NISP 的“保密信息”范畴？这些NISPOM要求在多大程度上增加了企业的工作负担，并影响投资业务的正常开展，美方对此有无相应评估？

RESPONSE: National security information (classified information)1 to which the NISP applies:

回复：适用《国家产业安全计划》（NISP）的国家安全信息（分类信息）：

a. “Top Secret”: applied to information, the unauthorized disclosure of which reasonably could be

expect to cause exceptionally grave damage to the national security. “绝密”：如果在未经授权的情况下被披露，经合理预期，可能对国家安全造成十分巨大的损害的信息。b. “Secret”: applied to information, the unauthorized disclosure of which reasonably could be

expected to cause serious damage to the national security.“机密”：如果在未经授权的情况下被披露，经合理预期，可能对国家安全造成严重损害的信息

1 Source: Executive Order 13526, “Classified National Security Information”, December 29, 2009. 信息来源：13526号行政命令，“分类国家安全信息”，2009年 12月 29日

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c. “Confidential”: applied to information, the unauthorized disclosure of which reasonably could

be expected to cause damage to the national security. “秘密”：如果在未经授权的情况下被披露，经合理预期，可能对国家安全造成损害的信息。

The U.S. has not assessed whether the NISPOM requirements increased the burdens on enterprises and

affected normal investment. 美国并未评估《国家产权安全程序操作手册》（NISPOM）所提的要求是否增加了企业的负担并影响了正常投资。

Page 41, Table 2.4

The Table introduced existing foreign investment restrictions in the U.S, which includes reporting requirements for foreign ownership of U.S farmland in accordance with the Agriculture Foreign Investment Disclosure Act of 1978

Question 35:

Please describe the main contents of the Agriculture Foreign Investment Disclosure Act of 1978. Were there corresponding threshold on the area of the agricultural land subject to reporting requirements? 请美方介绍1978年《农业外商投资披露法案》的主要内容？对适用报备要求的农业用地的面积是否有相应门槛要求？

RESPONSE: The Agriculture Foreign Investment Disclosure Act of 1978 (AFIDA) was created to establish a nationwide system for the collection of information pertaining to foreign ownership of U.S. agricultural land. The regulations require foreign investors who acquire, transfer or hold an interest in U.S. agricultural land to report such holdings and transactions to the Secretary of Agriculture on an AFIDA Report Form FSA-153. Those foreign investors who are required to report must have more than 10 acres in aggregate (across all parcels in the U.S.) and the land must have been used for an agricultural purpose within the past five years. More details on AFIDA can be found in the AFIDA handbook at: http://www.fsa.usda.gov/FSA/webapp?area=home&subject=empl&topic=hbk. Exhibit 5 in the handbook contains the AFIDA regulation. An annual report is published containing extensive tables; they can be found at: http://www.fsa.usda.gov/FSA/webapp?area=home&subject=ecpa&topic=afa

回复：1978年《农业领域外商投资披露法案》(AFIDA)旨在建立一套用于收集关于美国农业土地外国所有权的信息的全国性体系。根据该法规，取得、转让或持有美国农业土地权益的外国投资者必须通过《农业领域外商投资披露法案》报告表 FSA-153向农业部部长报告其持有情况和交易。必须进行报告的外国投资者所拥有的土地总数计须达 10英亩以上（以在全美的全部地块总面积计算），且土地

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在过去五年间必须已被用于农业目的。 有关《农业领域外商投资披露法案》的更多信息，请参见《农业 领 域 外 商 投 资 披 露 法 案 》 手 册 （ http://www.fsa.usda.gov/FSA/webapp?

area=home&subject=empl&topic=hbk）。手册的附件五载明了各类表格（ http://www.fsa.usda.gov/

FSA/webapp?area=home&subject=ecpa&topic=afa）。

3. TRADE POLICIES AND PRACTICES BY MEASURE

Page 42, Para 3.1.1 Customs procedures and requirements

Question 36:

Does the U.S. customs authority scan all the goods imported and exported at ports? How many large container scanning equipments have been installed by the U.S. customs? Are these equipments subject to network scanning and image examination? Please describe the scanning and inspection rates of imported and

exported goods. 美国海关在口岸是否对所有进出口的货物均进行扫描，美国海关安装大型集装箱扫描设备的数量是多少？是否将这些设备进行联网扫描图像审核，进出口货物的扫描检查率各是多少？

RESPONSE: CBP screens all cargo. High risk cargo is scanned using image analysis with Non-Intrusive Inspection (NII) Technology or manually. In addition, all containerized cargo is scanned for illicit radiological materials. As of December 5, 2014, over 300 large scale NII systems and over 1,300 large scale networked radiation portal monitors have been deployed.  The ports determine on a risk basis the utilization rates for export cargoes.

回复：美国海关及边境保卫局（CBP）扫描所有货物。高风险货物采用非侵入性检查(NII)技术或手动进行影响分析。此外，所有通过集装箱运送的货物均接受扫描，以确定不存在非法放射性物质。截至2014年 12 月 5 日，美国已经部署了 300 多台大型非侵入性检查系统以及 1,300 多台大型联网放射性可携式监视器。港口将根据风险因素确定此类设备对出口货物的使用率。

Page 43, Para 3.7

The report states that “By the same executive order, the President formally established the BIEC in 2014 to develop policies and processes to enhance coordination of customs, transportation security, health and safety, sanitary and phytosanitary, trade, and conservation agencies to improve supply chain processes and identification of illicit shipments.”

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Question 37:

China hopes that the U.S. may, by establishing the BIEC, coordinate the efforts of relevant trade authorities to promote trade facilitation. Is there any assessment of the actual effects of the BIEC since its establishment?

中方希望美方通过设立 BIEC 协调各贸易相关部门的努力能切实推进贸易便利化。请问美方对 BIEC 成立以来的实际工作效果有无评估？

RESPONSE: Results of the BIEC risk management principles and methods have been completed, but a determination has not been made of whether they will be published for external distribution.

回复：BIEC风险管理原则和方法的评估已经完成，但尚未确定是否对外公开评估结果。

Page 44, Para 3.10

The report states that “Advance binding rulings are published through the Customs Rulings On-line Search System (CROSS) or the Customs Bulletin and Decisions within 90 days of issuing the decision and are binding on CBP. However, there appear to be no set deadlines with respect to issuing a ruling.”

Question 38:

Does the U.S. plan to set a deadline for “advance binding rulings” for the sake of providing more convenience to enterprises in practice? 为在实践中更好地便利企业，美方是否有计划为“具有约束力的提前裁决（Advance binding rulings）”设定完成期限？

RESPONSE: The U.S. does not plan to set a deadline for advance rulings as the issuance of a ruling depends on the submission of information to CBP, which could come later than the initial ruling request. The U.S endeavors to issue rulings within 90 days of receipt of information necessary to issue a ruling, and generally issues classification rulings within 30 days of receipt of a request.

回复：美国没有为提前裁决设定完成期限的计划，因为裁决取决于向美国海关及边境保卫局提交的资料，可能晚于提出首次裁决请求的时间。美国努力确保在收到必要资料之日起 90 日内作出裁决，且一般会在收到请求之日起 30 日内作出分类裁决。

Page 44, Para 3.13

The report states that “As of June 2014, there were more than 10,732 C-TPAT certified companies, resulting in over 25,160 total validations, and accounting for around 54.1% of total merchandise imports into the United States by value.”

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Question 39:

Have the effects of C-TPAT been assessed since its implementation? Have the preferential measures the U.S. committed to C-TPAT certified enterprises been fully implemented? Please provide and compare the inspection rate of goods exported to the U.S. by C-TPAT certified companies and the overall import inspection rate of the U.S. How to guarantee that foreign enterprises enjoy equal treatment as the American ones in C-

TPAT rating? 美国对 C-TPAT 实施以来的效果有无评估？向 C-TPAT 企业承诺的优惠措施是否完全落实？C-TPAT 的企业向美出口货物时查验率以及美国总体进口查验率分别为多少？如何保证外国企业在核定安全评级时，与美国企业享受平等待遇？

RESPONSE: CBP has been engaging in preliminary discussions with C-TPAT and their automated targeting system group to measure the effects of C-TPAT including measurement of the inspection rate for C-TPAT and AEO mutual recognition cargo.  C-TPAT and AEO mutual recognition arrangement (MRA) cargo both receive preferential treatment and among this cargo, there is no distinction between American and foreign enterprises.

回复：美国海关及边境保卫局已经开始与C-TPAT及其自动化瞄准系统小组就衡量C-TPAT的效果展开初步讨论，包括衡量 C-TPAT和AEO互认货物的检查率。C-TPAT和AEO互认安排(MRA)货物均将获得优惠待遇，且对美国企业和外国企业的货物一视同仁。

Page 45, Para 3.14

The report states that “As of June 2014, seven C-TPAT MRAs were in place, with Canada, the EU, Japan, Jordan, the Republic of Korea, New Zealand, and Chinese Taipei. All are operational, with the exception of Jordan.”.

Question 40:

Does the U.S. plan to have more C-TPAT MRAs? Are there any new C-TPAT MRAs under negotiation? Will the U.S. be interested to cooperate with more emerging economies, including China? 美方有无扩大 C-TPAT互认安排的计划？目前是否有新的互认安排正在谈判？美方是否有意与包括中国在内的更多的新兴经济体开展相关合作？

RESPONSE: CBP has MRAs with Canada, the EU, Japan, Jordan, the Republic of Korea, New Zealand, Chinese Taipei, Israel, Mexico and Singapore.  CBP intends to initiate MRA talks with countries in Central America, South America, the Caribbean, Africa, and Asia over the next few years. CBP is currently in MRA negotiations with China and Switzerland. 

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回复：美国海关及边境保卫局已经与加拿大、欧盟、日本、约旦、韩国、新西兰、中国台北、以色列、墨西哥和新加坡达成了互认安排。海关及边境保卫局计划在未来几年启动与中美洲、南美洲、加勒比海、非洲和亚洲国家的互认安排谈判。目前，美国海关及边境保卫局正在与中国和瑞士展开互认安排谈判。

Page 45, Para 3.15

The report states that “As of June 2014, seven C-TPAT MRAs were in place, with Canada, the EU, Japan, Jordan, the Republic of Korea, New Zealand, and Chinese Taipei. All are operational, with the exception of Jordan.”.

Question 41:

Does the U.S. plan to further expand the scope of economies eligible for the ISA? 美国有无计划进一步扩大“进口商自我评估计划”（ISA）适用国家范围？

RESPONSE: At this time, there are no plans for CBP to extend eligibility to the ISA to traders from other countries.

回复：美国海关及边境保卫局目前没有计划将进口商自我评估计划的范围扩大至来自其他国家的贸易商。

Page 46, Para 3.19

The report states that “There have been no significant changes in the programme since the last Review of the United States; the CSI still operates in 58 ports world-wide and pre-screens approximately 80% of all maritime container cargo destined to the United States.”.

Question 42:

Does the U.S. plan to further expand the application scope of CSI? 美方是否有进一步扩大集装箱安全倡议（CSI）适用范围的计划？

RESPONSE: Yes, CSI continues to be engaged in a broad, strategic effort to expand the scope of its targeting and examinations with host country partners.  This effort will proceed on a country-by-country basis to select mission areas of mutual interest.

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回复：是的，集装箱安全倡议（CSI）将继续通过战略性行动，广泛扩大其对主办国伙伴的选取和检查范围。该行动将分国家进行，以选择具有共同利益的目标地区。

Page 47, Para 3.22

The report states that “The United States has long-standing experience of using foreign trade zones (FTZs) to increase U.S. competitiveness through a variety of means, especially by reducing customs duties.”.

Question 43:

Please describe in detail the legislation and regulation, as well as the operation mechanism of FTZ, especially

the difference between the current taxation policies in FTZ and those in other areas. 请详细介绍美国对外贸易区（FTZ）的立法和监管，以及运作机制，特别是目前 FTZ执行的税收政策及其与其他地区的差别。

RESPONSE: U.S. Foreign-Trade Zones (FTZs) were authorized by Congress in 1934 (FTZ Act - 19 USC 81a-81u). The FTZ Act established the FTZ Board to manage and oversee the program – with individual FTZs proposed, sponsored and managed by agencies at the regional or local level – while U.S. Customs and Border Protection (CBP) maintains direct oversight of operations within FTZs. Both the FTZ Board and CBP have promulgated regulations to govern FTZ activity (15 CFR Part 400 and 19 CFR Part 146).

回复：1934年，国会批准设立自由贸易区（自贸区法案 －《美国法典》第 19篇第 81a-81u 条）。依据自贸区法案设立的自贸区委员会负责管理并监督自贸区计划，各个自贸区由地区或地方政府机构建议、发起和管理，而美国海关及边境保卫局(CBP)则负责直接监督自贸区内的运营。自贸区委员会和美国海关及边境保卫局均发布了关于自贸区活动的法规（《美国联邦法规》第 15篇第 400部分和第19篇第 146部分）。

U.S. FTZs are designated locations where imported merchandise can be brought into the territory of the United States prior to filing a formal customs entry. If the merchandise is re-exported, no entry is ever filed and on shipments to the U.S. market entry can be deferred until the merchandise leaves the zone. The delayed filing of the customs entry allows companies to defer and possibly reduce duties. While use of U.S. FTZs affects the timing of the filing of a formal customs entry, the merchandise is

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located within the territory of the United States and all other federal, state and local laws apply. 在美国自贸区内，进口商品可在正式报关前进入美国境内。如果商品被转出口，则无须进行入关申报，且在被运至美国市场后，可在商品离开该区域后方进行入关申报。延迟申报入关使公司缓缴甚至减少税费。虽然美国自贸区影响正式报关的时间，但商品仍在美国境内且适用所有其他联邦、州和地方法律。

Page 47, Para 3.23

The report states that “In 2012, the Foreign Trade Zone Board, which supervises and oversees the U.S. FTZ system, established new regulations for FTZs. While the regulations address a number of issues, they focus on streamlining the application process and reducing the time necessary to establish a zone or set up manufacturing within a zone.”.

Question 44:

Please describe the specific measures adopted in the new legislation to streamline application procedures. How does the U.S. assess the role of FTZs in the “homecoming of U.S. manufacturing” plan? 请美方介绍新

立法中简化申请程序的具体措施。FTZ 在美国“制造业回归”计划中发挥着怎样的作用，美方有无评估？RESPONSE: The primary change in the 2012 regulations decreased the time required to review a company’s request for production authority within a FTZ. In the prior regulations this type of application required a 12-month review, which has been reduced to a 120-day process for most requests. In addition, through both the regulations and previous changes adopted by the FTZ Board, the processing time needed for a company’s site to receive FTZ designation has been significantly reduced from 10 months to as little as 30 days. The processing time reductions were accomplished through a full reassessment of the procedures needed and information required for each type of request, with previous requirements eliminated or reduced wherever possible. Essentially, the reductions in processing time for production within a FTZ resulted in a vastly simplified review for the majority of cases, while allowing for a more detailed review where warranted by the circumstances.

回复：2012年法规的主要变化是缩短了公司提交的关于授权在自贸区内进行生产的申请的审查时间。在原法规中，此类申请的审查一般耗时 12个月，而在新法规中，大部分此类申请的审查时间缩短为120 日。此外，由于自贸区委员会通过的法规和之前的变更，关于认定公司所在地为自贸区的申请的处理时间也从 10个月大幅缩短为 30 日。缩短处理时间的方法是全面重新评估每类申请所需的流程以及资料，尽可能取消或减少原定要求。最主要的变化是，缩短对在自贸区内进行生产的申请的处理时

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间，使得大部分申请的审查程序得以简化，而在确有必要的情况下，可以对个别申请进行更为具体的审查。

The FTZ Board’s reassessment of its procedures in 2012 was intended in part to better meet the needs of business in the United States. Statistics from 2012 and 2013, with record numbers of cases reviewed by the FTZ Board, indicate that there was a demand from the business community for simplified access to the FTZ program. However, due to the range of factors that enter into companies’ location decisions, it is not practicable to try to assess the degree to which access to FTZs contributes to individual

companies’ location decisions. 2012年，自贸区委员会对其程序进行了重新评估，部分目的是为了更好地满足在美企业的需求。根据 2012年至 2013年的统计数据，自贸区委员会审查的案件数量达到了历史顶峰，这反映出企业确实需要简化自贸区的相关流程。但是，由于在就公司所在地作出决定时考虑的各类因素，美方难以评估进入自由贸易区的难易程度将如何影响针对每个公司就其所在地所作的决定。

Page 48, Para 3.26

The report states that “U.S. non-preferential rules of origin, used to determine origin for MFN trade, recognize first the concept of wholly obtained, if a product was grown or manufactured in one country.”.

Question 45:

Has the U.S. notified non-preferential rules of origin to the WTO? If yes, please provide the reference number.

美国的非优惠原产地规则是否已向世贸组织通报？如已通报，请提供通报号。

RESPONSE: Yes. Reference numbers are G/RO/N/1 (including Add.1), G/RO/N/6, and G/RO/N/12.

回复：是的。通报号为G/RO/N/1 (包括附录 1)、G/RO/N/6和G/RO/N/12。

Question 46:

Many Chinese enterprises reported that the rules to determine the origin of agricultural products imported by the U.S. are too complicated. Does the U.S. plan to further streamline relevant procedures and promote trade

facilitation? 许多中国企业反映：美进口农产品的原产地标识认定规则过于繁琐，美方是否有计划进一

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步简化相关程序，提升贸易便利化水平？

RESPONSE: It is not clear which rules of origin or procedures the question is referring to. The United States has no plans to changes to its non-preferential rules of origin.

回复：不清楚该问题指的是哪个原产地认定规则或程序。美国没有改变其非优惠原产地认定规则的计划。

Page 50, Para 3.38

The report states that “The United States' applied MFN rates are quite diverse, as a large number (37%) of tariff lines are free of duty, while there are a significant number (7%) of tariff peaks in sensitive sectors (tobacco, textiles, agriculture). Tariffs range from free to 510% (ad valorem equivalent) (Chart 3.3, Table A3.1).”.

Question 47:

China notes that the U.S. applies zero tariff to 37% of its tariff lines, but is also concerned about its various

tariff peaks in “sensitive sectors”. Does the U.S. plan to use less tariff peaks in the future? 中方对美方对37%税目适用零关税的做法表示赞赏，但对美方在所谓“敏感领域”大量存在的关税高峰表示关注。请问美方未来是否有计划适当减少对关税高峰的使用？

RESPONSE: As shown in the Table 3.2 of the Secretariat's Report, incidence of international tariff peaks (defined as any tariff rate at or above 15 per cent) in the U.S. schedule has declined from 5.5 per cent in 2004 to 5.1 per cent in 2014.  As is the case with other Members, the incidence of tariff peaks in the U.S. tariff schedule would be further reduced through balanced, ambitious multilateral trade liberalization.

回复：如秘书处报告表 3.2 所示，美国税目中的国际关税高峰（即关税税率为 15％或更高）已经从2004年的 5.5%降至 2014年的 5.1%。与其他成员国一样，美国将通过平衡且高雄心水平的多边贸易自由化措施进一步降低其关税高峰。

Page 50, Para 3.38

The report states that “Tariffs above 25% ad valorem are in the agriculture sector, in particular dairy,

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tobacco, and vegetable products; footwear; and textiles.”.

Question 48:

While granting huge subsidies to its agricultural products, the U.S. also set a lot of tariff peaks to hinder the import of foreign agricultural products. Does the U.S. plan to remove unnecessary tariff peaks in the agricultural sector in the future? 在对农产品实施高额补贴的同时，美方还通过大量设置关税高峰，阻

碍外国农产品进口。请问美方是否有计划对农产品领域广泛存在的关税高峰作适当调整？

RESPONSE: The U.S. duty structure is a result of several successive rounds of multilateral trade negotiations. As shown in the Table III.4 of the Secretariat's Report, incidence of international tariff peaks (defined as any tariff rate at or above 15 percent) in the U.S. schedule has declined from 6.6 percent in 2002 to 5.0 percent in 2012. As is the case with other Members, the incidence of tariff peaks in the U.S. tariff schedule would be further reduced through balanced, ambitious, multilateral trade liberalization. 

回复：美国的关税结构是数轮持续的多边贸易谈判的结果。如秘书处报告表 III.4 所示，美国税目中的国际关税高峰（即关税税率为 15％或更高）已从 2002年的 6.6%降至 2012年的 5.0%。与其他成员国一样，美国将通过平衡且高雄心水平的多边贸易自由化措施进一步降低其关税高峰。

Page 52, Para 3.42

The report states that “The United States maintains tariff-rate quotas on 200 tariff lines of agricultural products, (beef, dairy products, peanuts, sugar, chocolate & cocoa, olives, satsumas, animal feeds, tobacco, and cotton products). Approximately half are in the dairy sector, including milk, cream, butter, ice cream, and cheeses.”

Question 49:

Does the U.S. plan to reduce the types of the agricultural products subject to import quota to reduce excessive

protection on its agricultural products? 美方是否有计划削减适用进口配额的农产品种类，以减少对农产品的过度保护？

RESPONSE: The United States has no current plans to unilaterally change its MFN tariffs or tariff quotas.  To further liberalize markets and bolster transparency, the United States is committed to and encourages the implementation of the Bali Ministerial Understanding on Tariff-Rate Quota Administration. Moreover, the United States would make any required changes pursuant to an agreement under the Doha Development Agenda.

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回复：美国目前没有计划单方变更其最惠国待遇关税或关税配额。为进一步促进市场自由化和扩大透明度，美国致力于并鼓励执行《关于关税税率配额管理的巴厘岛部长谅解》。此外，美国还将根据在多哈发展议程项下达成的协定，作出必要调整。

Page 53, Para 3.47

The report states that “In recent times, the HMTF has accrued significant surpluses as typically only about half of collections have been appropriated for works. The fee rate remains unchanged at 0.125% on the declared value of commercial cargo.”

Question 50:

As the levies of the HMT are far more than the actual expenditures of ports and significant surpluses have been accrued, does the U.S. plan to properly reduce the HMTF rate based on the actual situation to relieve

unnecessary burdens on enterprises? 在港口维护税（HMT）征收额远高于港口实际支出，产生大量盈余的情况下，美方是否有计划根据实际情况适当减轻HMTF费率，降低企业不必要的负担？

RESPONSE: The amount of the Harbor Maintenance Tax (HMT), also called the Harbor Maintenance Fee, is set by statute (26 U.S.C. § 4461 and 4462). Time may pass between collection of the fee and expenditure of the relevant sums because, after each project is vetted, the funds must be appropriated by Congress in order for any project to begin. A considerable amount of recordkeeping and accounting help ensure that funds that are collected are used for projects that are appropriate under the provisions of the HMT fund and that they are used in a manner that is in compliance with the United States' WTO obligations.

回复：港口维护税（HMT）（也称港口维护费）的金额是由制定法（《美国法典》第 26篇第 4461 条和第 4462 条）确定的。收费和有关款项的支出之间可能存在时间差，因为在每个项目经审查后，项目启动资金必须由国会安排拨款。美方开展大量的记账和会计核算工作，确保所收取的资金将被用于符合港口维护税基金规定的项目，且使用方式符合美国在世贸组织的义务。

Question 51:

It seems that HMT only applies to imported commodities. Although exported commodities use port facilities to the same extent as imported ones, they are not subject to the HMT obligations. Please describe the reasonability of such practice. 特别值得一提的是，似乎HMT仅针对进口商品征收，而出口商品虽然同

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样使用了相关港口设施，却无须承担支付HMT义务。请美方解释这一做法是否合理？

RESPONSE: The HMT applies to imports, admissions into foreign trade zones, domestic cargo shipped through a port, and passengers.  Following a U.S. Supreme Court decision in 1998, the tax is no longer collected on exports.

回复：港口维护非适用于进口、进入外贸区、通过港口运输国内货物以及客运。根据美国最高法院1998年作出的决定，不再对出口产品征收该税。

Page 58, Para 3.58

The report states that “The United States has extended the provisions of the Steel Import Monitoring and Analysis System (due to expire in March 2013) to 21 March 2017”.

Question 52:

Please describe the reasons for extending automatic import licensing for steel products. 请介绍：美方延长钢铁产品自动进口许可的原因？

RESPONSE: Prior to March 2013, a proposed rule was published in the Federal Register (77 FR 67593) asking for public comment about a proposal to modify the regulations for the Steel Import Monitoring and Analysis System (SIMA) that would extend the system until March 2017.   During a public notice period, three submissions were received from the public, including one from a coalition of eight steel trade groups.  Each was in favor of the extension given the volatility of world steel markets and the timely market and import information SIMA makes available to interested parties.  Generally, the commenters view the system as an important and transparent tool to support rational decision-making by all interested parties. The final rule was published in the Federal Register (78 FR 11090). The comments received can be found on www.enforcement.trade.gov/steel/license.

回复：2013年 3 月前，《联邦纪事》（《联邦纪事》第 77期第 67593项）上公布了一项拟议规则，征求公众对修改钢铁进口监测和分析系统（SIMA）的意见，拟议修改将延长该系统的有效期至 2017

年 3 月。在公告期内，公众提交了三份意见，包括一份由八个钢铁贸易团体组成的联合体提交的意见。所有意见均支持延长该系统的有效期，原因是全球钢铁市场的波动以及钢铁进口监控和分析系统能够及时向利益相关方提供关于市场和进口的信息。总体而言，评论者将该系统视为一项重要且透明的工具，为确保所有利益相关方能够作出合理决策提供支持。最终规则在《联邦纪事》（《联邦纪事》第

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78期第 11090项）上公布。关于此次意见征求中所收到的意见，请参见 www.enforcement.trade.gov/

steel/license。

Page 61, Para 3.63-3.65

According to the Report, the Department of Commerce instituted some changes to its internal regulations and practices relating to anti-dumping or countervailing investigations.

Questions 53:

What’s the purpose for the Department of Commerce to make such changes to its policies and practices?

RESPONSE: Each of the changes identified in the Secretariat’s report were either notified to the respective WTO Committee (if a change in rule) or published in the Federal Register (if no rule change). The explanation as to why the United States made a particular change is set forth in the applicable document addressing the change.

回复：秘书处报告上载明的每一项变更均已向相关世贸组织委员会（如果是规则变更）通报或在《联邦纪事》（如果是非规则变更）公布。关于美国为何作出某项特定变更的原因已在关于该项变更的相关文件中载明。

Questions 54:

Besides the changes mentioned in the report, are there any other changes to the Department of Commerce’s policies or practices relating to anti-dumping or countervailing investigations?

RESPONSE: Any changes in the U.S. Department of Commerce’s policies or practices relating to antidumping or countervailing duty investigations have been published in the Federal Register, which can be accessed at https://www.federalregister.gov/.

回复：美国商务部关于反倾销或反补贴税调查的政策或惯例的每一项变更均已在《联邦纪事》上公布，具体请参见 https://www.federalregister.gov/。

Questions 55:

How will these changes impact the respondents in countries deemed as non-market economy countries by the Department of Commerce?

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RESPONSE: Any impact based on rule, policy, or practice changes on countries involved in proceedings before the U.S. Department of Commerce will be case specific, based on the facts and circumstances involved, and will not depend solely on the change involved.

回复：对美国商务部启动的程序中涉及的国家而言，规则、政策或惯例变更的影响依国家不同而异，不仅取决于所涉及的变更，还须根据相关事实和具体情况确定。

Questions 56:

Has the Department of Commerce considered the opinion in the Chinese Government’s written comments during the process of public comments relating to some of those changes?

RESPONSE: With regards to any changes in rule, policy, or practice, the U.S. Department of Commerce takes into account all comments submitted in a particular proceeding or in any request for comments, as applicable to the particular change.

回复：在修改规则、政策或做法时，美国商务部将考虑在特定程序或意见征求稿中收到的经提交的、适用于该特定变更的所有意见。

Page 61, Para 3.66

The report states that “The United States had 294 anti-dumping and countervailing measures in place at the end of 2013, an increase of 18% since 2010. There was a general increase in the use of anti-dumping and countervailing duties on emerging markets during 2010-14, while remedies with respect to developed countries decreased.”.

Question 57:

During the post-crisis period, the U.S. significantly increased its trade remedies, especially those against emerging economies, which has severely interrupted relevant trade activities. Please explain whether the U.S.

plans to restrain the abuse of trade remedies for the sake of trade liberalization in the future? 在后危机时代，美国大幅增加贸易救济措施，特别是针对新兴经济体的贸易救济措施数量，对相关贸易活动造成了很大干扰。美方是否有意从贸易自由化角度出发，在未来减少贸易救济措施滥用的情况？

RESPONSE: Antidumping and countervailing duty investigations are initiated in response to petitions filed by a U.S. industry. The decision to impose an antidumping measure is based on a factual determination of whether dumping exists and whether dumped imports have caused, or threaten to

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cause, material injury to a domestic industry. The decision to impose a countervailing duty measure is based on a factual determination of whether countervailable subsidies exists and whether such subsidized imports have caused, or threaten to cause, material injury to a domestic industry. Where dumped/subsidized imports, and material injury caused by such imports have been found, the United States will impose an antidumping or countervailing duty measure, as may be applicable.

回复：美主管部门依产业界申请发起反倾销和反补贴税调查。美国主管部门将根据是否存在倾销以及倾销的进口商品是否已经对国内产业造成实质性损害或构成损害威胁的事实决定是否采取反倾销措施。美国主管部门将根据是否存在可采取反补贴措施的补贴以及受补贴的进口商品是否已经对国内产业造成实质性损害或构成损害威胁的事实决定是否采取反补贴税措施。如果发现倾销/受补贴的进口商品造成了实质性伤害，则美国将根据具体情况，采取反倾销或反补贴税措施。

Question 58:

Trade in steel products accounts for a small proportion in the total trade value of the U.S., but takes a disproportionately high percentage in the number of trade remedy investigations launched by the U.S.. Is the

U.S. government protecting its the steel sector too much? 钢铁产品贸易在美国贸易总额中所占比重较小，但美国政府针对钢铁产品的贸易救济调查数量很多，占贸易救济调查总量比重较大。美国政府对钢铁产业是否存在过度保护？

RESPONSE: The United States administers its trade remedy laws in strict accordance with WTO rules. Antidumping and countervailing duty investigations are initiated in response to petitions filed by a U.S. industry. The decision to impose an antidumping measure is based on a factual determination of whether dumping exists and whether that dumping has caused, or threatens to cause, material injury to a domestic industry. The decision to impose a countervailing duty measure is based on a factual determination of whether countervailable subsidies exists and whether countervailable subsidization has caused, or threatens to cause, material injury to a domestic industry. Where dumping/subsidization, material injury, and a causal link between the two has been found, the United States will impose an antidumping or countervailing duty measure, as may be applicable.

回复：美主管部门依产业界申请发起反倾销和反补贴税调查。美国主管部门将根据是否存在倾销以及倾销的进口商品是否已经对国内产业造成实质性损害或构成损害威胁的事实决定是否采取反倾销措施。美国主管部门将根据是否存在可采取反补贴措施的补贴以及受补贴的进口商品是否已经对国内产业造

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成实质性损害或构成损害威胁的事实决定是否采取反补贴税措施。如果发现倾销/受补贴的进口商品造成了实质性伤害，则美国将根据具体情况，采取反倾销或反补贴税措施。

Page 61, Para 3.66

The report states that “China was the country mainly affected, accounting for over 40% of all orders in 2013. The Republic of Korea and Chinese Taipei were also slightly more impacted during the period, whereas EU countries, Japan, and Brazil all had slightly lower levels of remedies applied (Table 3.8).”.

Question 59:

While implementing trade remedies against Chinese products, the U.S. has simultaneously imposed antidumping and countervailing duties many times. Please explain the consistency of such practice with the

WTO rules. 美国在对华实施贸易救济措施时，多次同时使用双反措施。请美方解释这一做法与 WTO

规则的一致性。

RESPONSE: It is not inconsistent with the WTO Antidumping Agreement or the WTO Subsidies and Countervailing Measures Agreement for a Member to simultaneously impose antidumping and countervailing duties on the same imported product.

回复：成员对同一进口产品同时征收反倾销和反补贴税的做法并未违反世贸组织《反倾销协定》或世贸组织《补贴与反补贴措施协定》。

Question 60:

In the claims raised by China against the GPX Legislation of the U.S. (DS449), the Appellate Body and the Panel ruled that 25 remedy investigations launched by the U.S. against Chinese Products were inconsistent with the WTO rules. China hopes that the U.S. will implement the WTO rulings in good faith. Please describe

the plans of the U.S. in this regard. 在中国诉美关税法修订案（DS449）中，上诉机构和专家组裁决美对我发起的 25起发补贴调查措施不符合世贸规则。希望美方以符合世贸规则的方式善意执行世贸裁决。请问美方在此方面有何计划？

RESPONSE: In its communication to the DSB on August 21, 2014, and at the meeting of the DSB on August 29, 2014, the United States stated its intention to implement the DSB‘s recommendations and rulings in United States – Countervailing and Anti-dumping Measures on Certain Products from China

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(WT/DS449). The United States further stated that it would need a reasonable period of time (RPT) in which to do so. The United States and China have met several times to discuss the RPT. The United States is hopeful that an agreement can be reached on the RPT shortly.

回复：在 2014年 8 月 21 日与争端解决机构（DSB）的交流以及争端解决机构在 2014年 8 月 29 日召开的会议中，美国已经陈述了其拟在“美国对特定中国产品的反补贴和反倾销措施案”（WT/

DS449）中执行争端解决机构建议和裁定的意愿。美国进一步表示，如执行上述建议和裁定，美国需要一段合理执行期（RPT）。美国和中国已就该合理执行期展开数次讨论。美国希望，双方可以很快就该执行期达成一致。

Question 61：The U.S. is still suspected to have violated WTO rules while implementing the WTO rulings on the claims raised by China against the GPX Legislation. In particular, the tax rates for certain products adopted upon the implementation were even higher than those before the implementation. Would the U.S. make some

explanation in this regard?. 美国在执行中国诉美反倾销反补贴措施案世贸裁决中，仍存在涉嫌违反世贸规则的做法，特别是对于部分产品，执行后的税率高于执行前。请美方对此做出解释。

RESPONSE: The question is unclear to the United States.  If China‘s question is referring to DSB rulings in the DS449 dispute involving the “GPX legislation,” the United States intends to implement the DSB’s recommendations and rulings and needs a reasonable period of time in which to do so.

回复：美国不明白该问题。如果中国的问题是指争端解决委员会在涉及“关税法修订法案”的 DS449

争端案中的裁定，则美国拟执行争端解决委员会的建议和裁定，但需要一段合理时间。

Question 62:

According to many Chinese enterprises, while conducting anti-dumping and countervailing investigations against Chinese products, the U.S. frequently abuses unreasonable “surrogate price”, causing severe over-valuation on the margin of dumping and subsidization. Please explain whether the U.S. plans to make

improvement in this regard. 据许多中国企业反映，美国在对中国开展反倾销、反补贴调查中，一再滥

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用不合理的“替代国价格”，导致对倾销和补贴幅度的严重高估。请美方介绍，是否有计划逐步改善这一做法？

RESPONSE: The United States disagrees with China’s characterization of the use of the surrogate value methodology. The United States administers its trade remedy laws in accordance with WTO rules. Antidumping and countervailing duty determinations are based on the specific facts and circumstances that exist in a particular proceeding; therefore, any impact from the application of a particular methodology used will depend on the specifics of a particular proceeding.

回复：美国不同意中国对使用替代国价格这一方法的描述。美国根据世贸组织规则管理其贸易救济法律。是否决定征收反倾销和反补贴税取决于特定程序中存在的特定事实和情况；因此，运用特定方法所产生的影响将取决于特定程序的具体情况。

Question 63:

Article 15(a) of China’s Accession Protocol to WTO will expire on December 11, 2016 and no WTO member should continue to treat China as a non-market economy country in anti-dumping proceedings. In this regard, what actions will the U.S take in order to fulfill its WTO obligation to recognize China’s market economy status immediately after December 11, 2016?

RESPONSE: The United States will take such action as is necessary when the provisions of subparagraph 15(a)(ii) of China’s Accession Protocol to WTO expire 15 years after the date of China’s accession to the WTO.

回复：根据《中国加入世贸组织议定书》第 15(a)(ii)条的规定，在中国加入世贸组织之日后 15年届满时，美国将采取必要行动。

Page 62, Para 3.67

The report states that “Some 39 investigations were initiated in 2013, compared to an average in the other 4 years of 2010-14 of 9 per year.”.

Question 64:

Please explain the reasons for the significant increase in the number of anti-dumping investigations initiated

in 2013. 请美方介绍 2013年实施的反倾销调查数量激增的原因？40

RESPONSE: Antidumping duty investigations are initiated in response to petitions filed by a U.S. industry. Any increase in the number of investigations initiated is as a result of an increase in petitions being filed that meet the specific requirements for initiation.

回复：美国相关产业提起申请后，美国主管部门会启动反倾销调查。调查数量增加是因为满足启动调查的特定要求的申请的数量增加。

Page 64, Para 3.69

The report states that “The trend for countervailing duty investigations during 2010-14 was similar to that of anti-dumping investigations. They remained relatively low with the exception of 2013 when 19 investigations were initiated.”.

Question 65:

Please explain the reasons for the significant increase in the number of countervailing investigations initiated in 2013. 请美方解释 2013年反补贴调查数量激增的原因？

RESPONSE: Countervailing duty investigations are initiated in response to petitions filed by a U.S. industry. Any increase in the number of investigations initiated is as a result of an increase in petitions being filed that meet the specific requirements for initiation.

回复：美国相关产业提起申请后，美国主管当局会启动反补贴调查。调查数量增加是因为满足启动调查的特定要求的申请的数量增加。

Page 65, Para 3.72

The report states that “While the number of reviews has varied over the last eight years, there has been a significant trend with fewer orders being revoked. In 2007-8, approximately half of all orders were revoked, whereas in 2013-14, about 90% of reviews resulted in the continuation of the remedy (Chart 3.8).”.

Question 66:

Please provide reasons for the significant decrease in the number of the rulings of “terminating trade remedies” in sunset reviews. Additionally, in recent years, the U.S. has considerably increased the use of countervailing and anti-dumping measures, the timing of which coincides with that of “homecoming of U.S. manufacturing” strategy. Please clarify whether this is just a coincidence. 请美方解释日落复审中“终止贸易救济措施”裁决占比大幅下降的原因？除此之外，近年来美国大幅增加了反补贴、反倾销措施的使用，这与美国出台“制造业回归”战略在时间上高度吻合。请美方澄清，这是否仅仅是巧合？

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RESPONSE: The United States administers its trade remedy laws in accordance with WTO rules. Antidumping and countervailing duty investigations are initiated in response to petitions filed by a U.S. industry. The decision to impose an antidumping measure is based on a factual determination of whether dumping exists and whether those dumped imports have caused, or threaten to cause, material injury to a domestic industry. The decision to impose a countervailing duty measure is based on a factual determination of whether countervailable subsidies exists and whether such subsidized imports have caused, or threaten to cause, material injury to a domestic industry. Where dumped/subsidized imports, and material injury caused by such imports have been found, the United States will impose an antidumping or countervailing duty measure, as applicable. A decision whether to continue or revoke such a measure is based on whether dumping/subsidization and material injury would be likely to continue or recur if the measure is removed. Any increase or decrease in determinations to revoke a specific measure depend on the specific facts and evidence on the administrative record of the sunset review. No other factors are taken into consideration before imposing, continuing, or revoking an antidumping/countervailing duty measure.

回复：美主管部门依产业界申请发起反倾销和反补贴调查。美国主管部门将根据是否存在倾销以及倾销的进口商品是否已经对国内产业造成实质性损害或构成损害威胁的事实决定是否采取反倾销措施。美国主管部门将根据是否存在可采取反补贴措施的补贴以及受补贴的进口商品是否已经对国内产业造成实质性损害或构成损害威胁的事实决定是否采取反补贴税措施。如果发现倾销/受补贴的进口商品造成了实质性伤害，则美国将根据具体情况，采取反倾销或反补贴税措施。是否继续或撤销该措施将取决于措施被撤消后倾销/补贴以及实质性损害是否可能继续或再次出现。关于撤销特定措施的决定的增减取决于日落复审的行政记录上所载明的特定事实和证据。在决定采取、继续实施或撤销反倾销/补贴税措施前，不会考虑任何其他因素。

Page 76, Para 3.76

The report states that “The National Technology Transfer and Advancement Act of 1995 and Circular A-119 of the US Office of Management and Budget (OMB) direct federal agencies to use ‘voluntary consensus standards’ as a basis for technical regulations and government procurement bids, except where inconsistent with law or otherwise impractical. Thus, where a federal regulatory agency determines that mandatory compliance with a standard is needed to address a particular policy objective, it is required to rely on voluntary consensus standards and avoid developing its own ‘government unique standard’”.

Question 67:

Please make further elaboration on the “Voluntary Consensus Standards”. What’s the difference between

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“Voluntary Consensus Standards” and “government unique standard”? 可否对什么是“自愿一致标准”做进一步的解释？“自愿一致标准”和“政府统一标准”的区别是什么？

RESPONSE: The definition of the terms “voluntary consensus standard” and “government-unique standard” are included in section 4 of Circular A-119, which can be found here:

回复：关于“自愿一致标准”以及“政府统一标准”的定义请见公告 A-119第 4 段：http://www.whitehouse.gov/omb/circulars_a119

Page 68, Para 3.81

The report states that “Since the last Review of the United States, five specific trade concerns have been raised in the TBT Committee against measures taken by the United States. Furthermore, three WTO dispute settlement proceedings taken against the United States under the TBT Agreement are pending (Table A2.1).”.

Question 68:

Please introduce the relevant progress and the implementation of the DSB rulings by the U.S. in recent years.

请美方介绍相关进展情况，以及美方近年来执行争端解决机构（DSB）裁决的情况。

RESPONSE:  Table A2.1 (page 161) provides information related to disputes concerning the TBT Agreement for which the United States is a respondent:  United States – Measures Concerning the Importation, Marketing and Sale of Tuna and Tuna Products; United States – Measures Affecting the Production and Sale of Clove Cigarettes; and United States – Certain Country of Origin Labelling (COOL) Requirements. 

回复：表A2.1（第 161页）载明了关于美国作为被申请人的涉及《技术性贸易壁垒协定》争端的信息：美国 –金枪鱼及其产品进口、营销和销售的措施案；美国 – 影响丁香烟生产和销售的措施案；以及美国 – 原产地标识要求案（COOL）。

In United States – Measures Concerning the Importation, Marketing and Sale of Tuna and Tuna Products, the United States made effective a final rule that amended certain dolphin-safe labelling requirements to bring those requirements into compliance with the DSB recommendations and rulings.   In United States – Certain Country of Origin Labelling (COOL) Requirements, the United States issued a final rule that made certain changes to the COOL labelling requirements to bring those requirements into

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compliance with the DSB recommendations and rulings.  在美国 – 关于金枪鱼及其产品进口、营销和销售的措施案中，美国实行了一项最终规则，修改了关于海豚安全标签的要求，使这些要求与争端解决机构的建议和裁定一致。在美国-原产地标识案(COOL)要求中，美国颁布了一项最终规则，对原产地标识要求作出了若干调整，使这些要求符合争端解决机构的建议和裁定。

Additionally, on 3 October 2014, the United States and Indonesia notified the DSB that they had

reached a mutually agreed solution.  此外，2014年 10 月 3 日，美国和印度尼西亚还向争端解决机构通报，他们已经就解决方案达成了一致。

Information regarding the status of the other two cases can be found on the WTO website: 

http://www.wto.org/english/tratop_e/dispu_e/cases_e/ds381_e.htm

http://www.wto.org/english/tratop_e/dispu_e/cases_e/ds386_e.htm 关于另外两起案件的情况，请参见世贸组织网站（http://www.wto.org/english/tratop_e/dispu_e/cases_e/ds381_e.htm

http://www.wto.org/english/tratop_e/dispu_e/cases_e/ds386_e.htm）。

Page 70, Para 3.96

The report states that “CBP requires export data to be filed electronically via the Automated Export System (AES) prior to departure of the cargo. The timeframes for electronic submission vary according to mode of transportation; e.g. for air cargo, no later than 2 hours prior to scheduled departure; for vessels, 24 hours prior to loading; and for truck/train, no later than one/two hours prior to arrival at the border.”.

Question 69:

Information available to China indicates that some enterprises are unsatisfied with the advance electronic filing requirement of the U.S., viewing such practice as imposing unnecessary burdens on them. Would the

U.S. please make some comment in this regard？ Does the U.S. plan to improve such practice? 中方获得的

信息显示，部分企业对美国的提前电子申报要求表示不满，认为其增加了企业不必要的负担。请问美方对此作何评论？美方有无改善这一做法的计划？

RESPONSE: Advance export information is required for security purposes and to assess risk prior to

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export. Automation is intended to facilitate legitimate trade and target high risk shipments prior to departure from the U.S.

回复：提前申报出口信息的要求是出于安全考虑，以便在出口前评估风险。自动化旨在为合法贸易提供便利并在其离开美国国境前确定高风险货物。

The minimum time frames vary according to method of transportation for pre-departure filing. Electronic Export Information (EEI) is submitted through the Automated Export System, the gathering and processing system developed through the corporative efforts of the CBP, U.S. Census and other federal agencies. EEI is the electronic version of the Shippers Export Declaration (SED), which is no

longer accepted in paper form. 离境前申报的最短时间期限将因不同的运输方法而异。电子出口信息（EEI）通过自动出口系统提交，该系统是由美国海关及边境保卫局、美国统计局以及其他联邦机构共同开发的信息收集和处理系统。电子出口信息是托运人出口申报单（SED）的电子版本，目前美国已不接受托运人出口申报单的纸质版本。

CBP is currently in the process of automating the export manifest in a phased approach by mode of transportation, and eventually will be required prior to departure. As CBP continues to automate,

exporters should see increased efficiencies. 目前，美国海关及边境保卫局正在根据运输方式分阶段实现出口舱单自动化，最终将要求托运人在出口产品离境前出具出口舱单。随着美国海关及边境保卫局不断推进相关流程自动化，出口商将感受到效率的不断提升。

Page 72, Para 3.104

The report states that “The United States imposes restrictions, licensing requirements, additional controls and prohibitions on a variety of exports for national security and foreign policy reasons.”.

Question 70:

The U.S. permits export of liquefied natural gas to its FTA partners, but imposes various restrictions on LNG export to other WTO members, which constitutes obviously a discrimination against the latter. Does the U.S.

plan to relax export restrictions on LNG? 美国允许向与其签署自贸协定的成员出口液化天然气，但其他

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成员从美进口 LNG则面临诸多限制，这明显构成对 WTO 其他成员的歧视。请问美方有无计划放宽LNG 出口限制？

RESPONSE: The LNG projects that have been approved to date will enable the export of up to 5.7 billion cubic feet per day (bcf/d) of LNG to FTA and non-FTA partners.  In addition, the U.S. Department of Energy has given conditional approval for another 4.9 bcf/d, for a total of 10.6 bcf/d.   As a practical matter, the first project to export U.S. LNG is not expected to be operational until late 2015.

回复：在迄今为止已经批准的液化天然气项目项下，向与美国签订自贸协定的成员国和未与美国签订自贸协定的伙伴国出口的液化天然气可以达到每日 57亿立方尺。此外，美国能源部还附条件批准了另外 49亿立方英尺/日的出口项目，因此出口总量为 106亿立方英尺/日。具体而言，第一个出口美国液化天然气的项目在 2015年下半年才能实施。

Question 71:

The U.S. has, by the excuse of “national security”, always restricted the export of hi-tech products, especially the export to China of hi-tech products evidently for civil purposes. This has caused significant imbalance in

Sino-U.S. trade. Does the U.S. plan to relax its export control on civil hi-tech products? 美国一直以“国家安全例外”为借口，限制高技术产品，特别是许多明显属民用目的的高技术产品的对华出口，造成了中美双边贸易的严重失衡。请问美国是否有计划适当放宽民用高科技产品的出口限制？

RESPONSE: With respect to the “significant imbalance” in the U.S.-China trade relationship, the United States notes that its goods trade deficit with China totaled $318 billion in 2013. In that year, China exported $440 billion of goods to the United States, while the United States exported only $122 billion of goods to China. The United States notes further that only a small amount of U.S. exports is affected by U.S. “dual-use” export controls. Of the $122 billion in U.S. exports to China in 2013, only 0.4% (i.e., less than one half of one percent) was exported under a license required by the U.S. Department of Commerce. The United States remains committed to facilitating trade for commercial items destined for civilian end uses and civilian end users in China.

回复：就中美贸易关系中存在的“严重失衡”而言，美国注意到，其与中国的货物贸易赤字在 2013

年为 3180亿美元。该年中国向美国出口了 4400亿美元货物，而美国仅向中国出口了 1220亿美元货物。46

美国还注意到，仅一小部分美国出口货物受到美国“军民两用”出口管制的影响。在美国于 2013年向中国出口的 1220亿美元的货物中，仅 0.4%（即不足百分之一的一半）是持美国商务部要求的许可出口的。美国继续承诺为最终用途及最终用户为民用的商品输华提供贸易便利。

Page 73, Para 3.106

The report states that “Enforcement of U.S. export controls is shared among the Department of Homeland Security, Department of Justice, and the Department of Commerce.”.

Question 72:

Please introduce the respective functions of the different authorities in export control. 请美方介绍各部门在出口管制中的职能分工？

RESPONSE: The Export Administration Act of 1979, as amended, authorizes the Department of Commerce, Bureau of Industry and Security (BIS), in consultation with other appropriate agencies, to regulate the export or reexport of U.S.-origin dual-use goods, software, and technology. BIS implements this authority through the Export Administration Regulations (EAR). BIS enforcement efforts encourage compliance, prevent and deter violations, and disrupt illicit activities. BIS achieves these important objectives through a comprehensive law enforcement program.

回复：经修订的 1979年《出口管理法》授权商务部工业安全局（BIS）在征求其他相关机构的意见后，监管原产地为美国且可供军民两用的货物、软件和技术的出口或再出口。工业安全局通过《出口管理条例》(EAR)执行该授权。工业安全局的执法措施鼓励企业守法，预防并阻止违法行为并打击非法活动。工业安全局通过一项全面执法计划实现上述重要目标。

The Arms Export Control Act (AECA) is the cornerstone of U.S. munitions export control law. The Department of State implements this statute by the International Traffic in Arms Regulations (ITAR). All persons or entities that engage in the manufacture, export, or brokering of defense articles and services must be registered with the U.S. Government. The ITAR sets out the requirements for licenses or other authorizations for specific exports of defense articles and services. The Department of Homeland Security (DHS) enforces the ITAR through a comprehensive border protection program and

criminal investigations. 《武器出口管制法》(AECA)是美国军火出口管制法律的基础。国务院通过《国际武器贸易条例》(ITAR)执行该制定法。参与国防用品和服务的制造、出口或经纪活动的所有人

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士或实体均必须向美国政府登记。《国际武器贸易条例》载明了有关国防用品和服务的特定出口的许可或其他授权要求。国土安全部（DHS）通过一套全面的、范围更广的边境保护计划以及刑事调查来执行《国际武器贸易条例》。

BOTH BIS and DHS are directly supported by the U.S. Department of Justice in prosecuting export crimes. Most of the support for this is driven out of the National Security Division, Counterespionage

Section (CES). 在对出口犯罪行为提起诉讼的过程中，工业安全局和国土安全局均获得美国司法部的直接支持。大部分支持来自国家全局反间谍科。

Page 74, Para 3.109

The report states that “The goal of the ECR is not to eliminate or reduce export controls but to reprioritize controls to better use government resources and enhance controls where they are needed on more sensitive items. The ECR plans to ease export requirements on a select group of less sensitive items, such as parts and components to a specified group of 36 countries, while enhancing national security and foreign policy interests with respect to certain items and markets. For example, it plans to tighten controls by adding items that were not previously subject to U.S. or UN arms embargoes.”.

Question 73:

China hopes that the U.S. effort in its export control reform will effectively reduce unnecessary restrictions on the trade of the civil products irrelevant to national security. Please detail the changes to the categories of the

hi-tech commodities subject to export restrictions after the reform. 中方希望美国对出口管制政策进行改革的努力能切实减少对不涉及国家安全的民用产品贸易的限制。请问出口管制改革后，限制出口的高技术商品类别有哪些具体变化？

RESPONSE: Export control reform is a long-term effort whose centerpiece is changes in the U.S. Munitions List. However, the transferred items still will generally be military items even where they are moved to the Commerce Control List. At the same time, the United States remains committed to facilitating trade for commercial items destined for civilian end uses and civilian end users.

回复：出口管制改革是一项长期工程，其核心是美国军火清单上的变更。但即使被移入商业管制清单，被转让的用品本质上仍是军用产品。同时美国继续承诺为最终用途及最终用户为民用的商品输华提供

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贸易便利。

Page 74, Para 3.110

The report states that “in July 2013, the State Department transferred its licensing database and IT platform to that of the Department of Defense, and a similar effort is being made by the Department of Commerce to link the three main Departments’ IT infrastructures.”.

Question 74:

The State Department transferred its licensing database and IT platform to the Department of Defense. Does this mean that the Department of Defense will be responsible for the export examination and approval of military products? The Department of Commerce is also linking the IT infrastructures of three key departments. How will this affect the status of DOC as the authority responsible for examining and approving

the export licensing of “dual-use items”? 美国务院将其许可数据库和信息技术平台转至国防部，是否意味着军用产品的出口审批未来由国防部负责？商务部也在连接三个主要部委的信息技术基础设施，这对于商务部作为“军民两用产品”出口许可审批主管部门的地位有什么影响？

RESPONSE: The departments will be using the same IT system to process and refer license applications. The process of reviewing license applications will remain the same. The State Department will continue to process license applications for military items subject to its jurisdiction, with the Defense Department participating in the review. The Commerce Department will continue to process license applications for dual-use and certain military items subject to its jurisdiction, with other agencies, including State and Defense, participating in the review.

回复：美国各部门将继续采用同一信息系统处理和查阅许可申请。审查许可申请的流程仍将保持不变。国务院继续负责处理其管辖的军用产品的出口许可审查，国防部参与审查。商务部继续负责处理其管辖的军民两用和特定军用产品的许可申请，国务院和国防部等其他机构参与审查。

Page 74, Para 3.111

The report states that “In October 2013, the first major regulatory changes were introduced migrating a number of USML items related to aircraft, gas turbine engines, classified defense, and miscellaneous articles to the CCL”.

Question 75:

Does this mean that the U.S. will expand the scope of “dual-use items” subject to export control in its export

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control reform? 上述转移是否意味着美方在出口管制改革中的方向是扩大“军民两用产品”受管制的范围？

RESPONSE: Generally, the Export Control Reform initiative will not expand the scope of dual-use items as the movement of items from the jurisdiction of the State Department to the Commerce Department primarily concerns military items. However, commercial satellites and related items, which were previously subject to the jurisdiction of the State Department, are now controlled as dual-use items under the jurisdiction of the Commerce Department as of November 10, 2014.

回复：一般而言，出口管制改革行动不会扩大军民两用产品的范围，因为从国务院司法管辖权到商务部司法管辖权的转移主要涉及军用产品。但是，截至 2014年 11 月 10 日，原由国务院管辖的商用卫星和相关产品目前已作为军民两用产品，改由商务部管辖。

Page 76, Para 3.116

The report states that “As part of the initiatives to spur the economy after the 2009 economic downturn, President Obama announced the NEI as a government-wide programme to promote exports, with the goal of doubling the amount of exports over five years.”.

Question 76:

Does the U.S. have any assessment of the effects of the NEI in recent years? What role does the NEI play in

influencing the U.S. exports? Has the NEI achieved its expected objectives? 美方如何评估 NEI几年来的执行情况？NEI 对美出口起了怎样的作用？是否实现了预期目标？

RESPONSE: Feedback from customer surveys on the NEI and focus groups across the country – reaching more than 6,000 clients and partners – showed that U.S. companies are well-positioned to capitalize on growing opportunities around the world and offered suggestions on how to improve upon the NEI. NEI/NEXT is a new customer service-driven strategy with improved information resources that will help American businesses capitalize on existing and new opportunities to sell Made-in-America goods and services abroad. NEI/NEXT is focused on improving data of use to exporters, providing information on specific export opportunities, working more closely with financing organizations and service providers to expand access to export-related resources, and partnering with states and communities to empower local export efforts and make it easier for small businesses to understand where to go for help.

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回复：根据关于国家出口计划和全国各群体的客户调查（涉及 6,000 多名客户和合作伙伴）的反馈，美国公司在充分利用全球不断增长的机会中处于有利地位，并为如何改进国家出口计划提供了建议。新一代国家出口计划是一项新的以客户服务为驱动力的战略，拥有更好的信息来源，将帮助美国企业充分利用现有的以及最新出现的向海外销售美国生产的货物和服务的机会。新一代国家出口计划着力于向出口商提供有价值的数据，提供关于特定出口机会的信息，与融资机构和服务提供商更紧密地合作以扩大其获得与出口相关的资源的机会，以及与各个州和社区合作，共同为本地出口活动提供支持并为小企业寻求帮助提供便利。

Question 77:

Please describe the measures adopted by the U.S. to ensure that the export-oriented “export doubling plan”

will not constitute export subsidies and remain consistent with the WTO rules. 美如何确保以出口导向为目标的“出口倍增计划”不构成出口补贴，且与世贸组织规则相一致？

RESPONSE:  NEI was developed by several agencies within the U.S. government.  Final approval of the initiative was also subject to interagency review.  In the course of the development and final approval of the initiative, those agencies with WTO expertise were able to raise and address any concerns related to WTO rules.  On-going implementation and review of the program is also a matter of interagency coordination which ensures continued consistency with WTO rules.    

 回复：国家出口计划由美国政府下属的多个部门共同制定。该行动的最终审批也经历了跨部门审查。在制定以及最终审批该计划的过程中，拥有世贸组织专业知识的机构能够提出并解决与世贸组织规则有关的任何问题。该计划的实施与审议也一直适用跨部门协调，以确保计划始终与世贸组织规则一致。

Question 78:

Is the U.S. concerned that the plan may incur a new round of export competition among various WTO

members and impede the global economic recovery? 美方是否担心该计划会引发世界各国新一轮出口竞争，进而对全球经济复苏进程造成阻碍？

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RESPONSE: No, the United States is not concerned that WTO members’ efforts will “impede the global economic recovery.”

回复：没有，美国不担心世贸组织成员的行动将对“全球经济复苏进程造成阻碍”。

Page 76, Para 3.118

The report states that “In May 2014, the Administration launched NEI/NEXT as the successor of the NEI. It builds on the principles of the NEI and lessons learned from NEI customer surveys, and provides a strategic framework to continue export growth. ”.

Question 79:

Please compare NEI/NEXT with NEI in terms of specific measures. what are the major changes? Is there a definite implementation period for NEI/NEXT? Is there any assessment of the effects of the NEI/NEXT since its implementation about half a year ago? 请美方介绍，相比 NEI，NEI/NEXT在具体措施方面有哪些主要变化？NEI/NEXT有无明确的实施期限？NEI/NEXT实施半年多来的效果如何？

RESPONSE: See response to Question 76.

回复：请参见问题 76的回复。

Page 76, Para 3.119

The report states that “Several government agencies or departments have specific programmes to support or otherwise encourage exports (Table 3.12).”.

Question 80:

Please clarify whether the export incentives adopted by these agencies, especially some measures taken by the

Department of Agriculture, involve export subsidies prohibited by the WTO. 请美方澄清，这些部门的出口鼓励措施，特别是农业部实施的部分措施是否涉及 WTO禁止的出口补贴？

RESPONSE: All of the referenced programs are consistent with the United States WTO obligations.

回复：所有上述计划均与美国对世贸组织的义务一致。

Page 77, Para 3.120

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The report states that “USTDA provides grant funding for early project planning activities such as feasibility studies, pilot projects, and technical assistance to introduce foreign grantees to U.S. technologies. ”.

Question 81:

Please describe the scale of such funding in recent years. Does the funding constitute a subsidy granted based

on export performance? 请美方介绍，最近几年此类资助（funding）的规模？这一资助是否构成视出口实绩给予的补贴？

RESPONSE:  USTDA provides grants directly to overseas sponsors who, in turn, select U.S. companies to perform agency-funded project development activities.  An overseas sponsor is a local entity, public or private, with the decision-making authority and ability to implement a project.  While USTDA projects span a variety of sectors, many focus on clean energy and energy efficiency, transportation, information and communications technology, and the environment.  The total budgetary resources for fiscal year 2013 were: $65,145,017.  Funding is not contingent upon export performance.

回复：美国贸易发展署（USTDA）直接向海外赞助人提供补贴，而这些海外赞助人也将因此选择美国公司开展由机构资助的项目开发活动。这里的海外赞助人指公有或私有的地方实体，拥有决策权以及执行项目的能力。虽然美国贸易发展署的项目横跨多个领域，但大部分仍集中于清洁能源和能源效率、运输、信息和通信技术以及环境领域。2013财年的总预算为 65,145,017美元。资助不以出口实绩为条件。

Page 77, Para 3.121

The report states that “The Ex-Im Bank is an independent government agency, and serves as the official export credit agency of the United States. It is self-financed in the sense that its fees and services charged,”.

Question 82:

Please explain whether the Ex-Im Bank, as a self-financed U.S. governmental agency, is entitled to other

special supporting measures or policy preferences. 请问美国进出口银行作为美国政府机构，在自负盈亏的基础上，是否享受其他的特殊支持措施或政策优惠？

RESPONSE: As a government agency, the Ex-Im Bank borrows funds from the U.S Treasury in order to fund direct loan commitments. Ex-Im Bank transactions carry the full faith and credit of the U.S. Government but as a self-sustaining agency Ex-Im Bank does not receive annual appropriations from

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the U.S. Treasury to cover expenses. Ex-Im Bank is required to pay interest, based on current rates and terms, on the funds borrowed from the U.S. Treasury. The Bank is not entitled to other special supporting measures or policy preferences. For further information, see:

http://www.exim.gov/about/library/reports/annualreports/2014/upload/Management-Discussion-Analysis-09-30-14-as-of-11-14-14-FINAL.pdf.

回复：作为政府机构，美国进出口银行向美国财政部借贷，由此为直接贷款承诺提供资金。虽然是一家自负盈亏的机构，但美国进出口银行的交易承载着美国政府的全部信誉和信用。美国财政部不向美国进出口银行提供年度拨款以支付该银行开支。美国进出口银行必须根据现行利率和条款，就其向美国财政部借贷的资金支付利息。美国进出口银行无权享受其他特殊的支持措施或政策优惠。更多相关信 息 ， 请 参 见 http://www.exim.gov/about/library/reports/annualreports/2014/upload/Management-

Discussion-Analysis-09-30-14-as-of-11-14-14-FINAL.pdf。

Page 77, Para 3.121

The report states that “In its last reauthorization in 2012, Congress set its lending authority limit to US$100 billion, rising to US$140 billion in FY2014.”.

Question 83:

Please explain why the lending authority limit of the Ex-Im Bank was significantly increased in FY 2014. 请美方介绍，2014 财年大幅提高进出口银行的贷款权限，是出于哪些考虑？

RESPONSE: The lending authority is established by Congress. The increase of the lending authority limit to $140 billion was a result of the Export-Import Bank Reauthorization Act of 2012. Of the increase in the lending authority, the report from the House of Representatives said this:

回复：贷款权限由国会确定。根据 2012年《美国进出口银行再授权法》，贷款权限的限额增加至1400亿美元。根据众议院的报告，在增加的贷款权限中：

“Section 3 would allow the bank to continue providing new loans, guarantees, and insurance through 2015. Section 4 would increase Ex-Im’s maximum allowable financial exposure to $120 billion in 2012, $140 billion in 2013, and $160 billion each year thereafter. CBO estimates that such an increase would allow Ex-Im to continue expanding at its recent rate of about 15 percent

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a year.” 第 3 条将允许银行在 2015年继续提供新的贷款、担保和保险。第 4 条将美国进出口银行的最高容许风险敞口提高至 2012年的 1200亿美元、2013年的 1400亿美元和此后每一年的1600亿美元。美国国会预算办公室（CBO）预计，通过提高上述风险敞口，美国进出口银行可保持目前每年约 15%的扩张速度。

See: https://www.congress.gov/congressional-report/112th-congress/house-report/201/1. 请 参 见https://www.congress.gov/congressional-report/112th-congress/house-report/201/1。

Page 77, Para 3.122

The report states that “The main focus of the Ex-Im Bank is to provide direct loans, guarantees, and insurance to help finance U.S. exports of goods and services.”.

Question 84:

Please list the private financial institutions in the U.S. providing export loans, guarantees and insurance besides the Ex-Im Bank as a governmental agency. Please describe the differences between the Ex-Im Bank

and the private institutions in terms of the application scope and fee rates of relevant financial services. 除作为政府部门的进出口银行外，美国有哪些私营金融机构提供出口贷款、担保和保险？进出口银行提供的相关金融服务在适用范围和费率等方面，与这些私营机构有何区别？

RESPONSE: Numerous private sector financial institutions provide loans, guarantees, and insurance products for exporters. For example, the Ex-Im Bank has financed projects alongside JP Morgan and Citibank. Ex-Im Bank financing tends to be of a larger size, longer term, and of a different risk nature.

回复：美国有数家私营金融机构为出口商提供贷款、担保和保险产品。比如，美国进出口银行与摩根大通和花旗银行共同为项目提供资金。美国进出口银行提供的融资正在向大规模和长期方向发展，且具有不同的风险性质。

Page 78, Para 3.123

The report states that “The Ex-Im Bank has grown in recent years, especially 2012, in part fuelled by the NEI

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initiative.”.

Question 85:

Please describe How the NEI promoted the growth of the export financing services of the Ex-Im Bank. 请美方介绍，NEI 如何促进进出口银行出口融资服务的增长？

RESPONSE: The “whole-of-government” approach under the NEI, and continued under NEI/NEXT, helped connect the Export-Import Bank to more customers and transactions. The NEI set a goal of doubling U.S. exports between 2009 and 2014, and has devoted resources to improve the conditions that directly affect the private sector’s ability to export. (See, http://www.commerce.gov/news/fact-sheets/2013/05/24/fact-sheet-national-export-initiative.)

Ex-Im Bank’s services have been prominently featured on the homepage of the NEI (http://trade.gov/nei/), and in the U.S. Department of Commerce’s Trade Finance Guide:

(http://www.export.gov/static/TradeFinanceGuide_All_Latest_eg_main_043219.pdf).

回复：NEI以及NEI/NEXT项下的“整体政府“措施帮助美国进出口银行为更多客户和交易提供服务。NEI的目标是在 2009年至 2014年期间将美国出口翻番，并已为改善直接影响私营部门出口能力的条件 提 供资源（具体请参见 http://www.commerce.gov/news/fact-sheets/2013/05/24/fact-sheet-national-

export-initiative ）。 美国进出口银行服务的主要特点已在 NEI 主页（http://trade.gov/nei/）以及美国商 务 部 《 贸 易 融 资 指 南 》 (http://www.export.gov/static/

TradeFinanceGuide_All_Latest_eg_main_043219.pdf)上列明。

Page 78, Para 3.123

The report states that “In FY2013, it authorized total financing of US$27.3 billion to support US$37.4 billion in exports, a slight decrease compared to the record levels in FY2012 (Table 3.13).”.

Question 86:

Please describe the respective proportion taken by the high-income OECD countries, the medium-and-low-income countries and the low-income countries released by the World Bank in the export financing worth

US$27.3 billion. Please list the main export products enjoying financing support. 请介绍：2 73亿美元的出

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口融资中，针对高收入 OECD 国家、世行公布的中低收入国家和低收入国家的融资各占多少比重？获得融资支持的主要出口产品有哪些？

RESPONSE: A complete list of the Ex-Im Bank’s authorizations by market for fiscal year 2013 can be found at the following link:

回复：关于 2013财年美国进出口银行在各个市场的完整授权清单请参见http://www.exim.gov/about/library/reports/annualreports/2013/FY2013-auth-by-market.pdf。

For high-income OECD countries, the Ex-Im Bank’s authorizations in fiscal year 2013 totalled $9.96 billion. For lower-middle-income economies, authorizations totalled $4.63 billion. For low-income

economies, authorizations totalled $127 million. 对于高收入的经合组织国家，美国进出口银行在 2013

财年的授权总额为 99.6亿美元。对于中低收入经济体，美国进出口银行的授权总额为 46.3亿美元。对于低收入经济体，美国进出口银行的授权总额为 1.27亿美元。

The main export products financed through the Ex-Im Bank include aircraft manufacturing, industrial

machinery and equipment, engineering services, and semiconductor machinery manufacturing. 通过美国进出口银行获得融资的主要出口产品包括航空器、工业机械设备、工程服务和半导体机械。

Question 87:

Please describe the risk exposures of the Ex-Im Bank in China in FY 2013. Please introduce the ranking of the above exposure in the main trade partners of the U.S. and the proportion taken by loans, guarantees and

insurance in the exposure. 请介绍美国进出口银行 2013 财年在中国的风险敞口规模？在各主要贸易伙伴中的排名？以及其中贷款、担保、保险各占多少比例？

RESPONSE: Ex-Im Bank’s exposure in China as of March 31, 2014 was $3.0 billion (USD), ranking 12th among our trade partners.

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回复：截至 2014年 3 月 31 日，美国进出口银行在中国的风险敞口为 30亿美元，在美国所有贸易伙伴中排名第 12。

Question 88:

Please describe the main reasons for the gradual decrease of business volume of the Ex-Im Bank in recent years. Has the U.S. made corresponding assessment? 对美国进出口银行近年来业务量逐年下降的主要原因，美方有无相应评估？

RESPONSE: A resurging economy and an increasingly liquid lending environment resulted in more private lenders funding export finance during the year. As a result, the Ex-Im Bank has seen its authorizations decrease from the recent highs brought about in the wake of the 2008 financial crisis. The Ex-Im Bank’s role is to match competition from other exports credit agencies and fill in the gaps when private lenders are unable or unwilling to provide support. As such, the Ex-Im Bank’s authorizations are, to a certain extent, contra-cyclical liquidity.

回复：近年来，经济复苏及流动性不断增强的借贷环境促使更多私营贷款机构为出口融资提供资金。因此，美国进出口银行的授权额从 2008年金融危机爆发后几年来的高位逐步下降。美国进出口银行所扮演的角色是与来自其他出口信贷机构的竞争形成匹配，在私营贷款机构无法或不愿意提供支持的时候填补空缺。因此，美国进出口银行的授权在一定程度上是反周期流动性的。See: 具体请参见 http://www.exim.gov/about/library/reports/annualreports/2014/upload/Management-

Discussion-Analysis-09-30-14-as-of-11-14-14-FINAL.pdf.

Page 78, Para 3.124

The report states that “In terms of destinations, the Ex-Im Bank authorizations and activities are very diverse, with activities in over 150 countries. In terms of exposure, Mexico, India, the Kingdom of Saudi  Arabia, the United Arab Emirates, Australia, Ireland, and Turkey are the dominant destinations.”.

Question 89:

Please clarify the reasons why certain export markets enjoy more export financial services provided by the Ex-Im Bank. While providing services, does the Ex-Im Bank, as a governmental agency, grant policy

preferences to commodities of certain types or with certain export destinations? 请美方澄清：为什么特定出口市场得以更多地享受进出口银行的出口金融服务？作为政府机构，进出口银行在提供服务时，是

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否对特定种类商品，或向特定目的地出口的商品存在政策倾斜？

RESPONSE: The Ex-Im Bank is a demand-driven export credit agency; therefore, the sectors it supports are those whose companies come to it for financing. The only sectors on which the Ex-Im Bank is directed to focus are small business (which is more a cross section of many industries), and renewable energy technology/products. The Ex-Im Bank also has a Congressional mandate to promote the expansion of its financial commitments in sub-Saharan Africa.

回复：美国进出口银行是一家以需求为驱动力的出口信贷机构；因此，只要某行业的公司向其提出融资申请，该行业便可视为获得了该银行的支持。美国进出口银行根据指示必须关注的唯一部门是小企业（涉及许多产业部门）以及可再生能源技术/产品。美国进出口银行还已获得国会授权，有权扩大其对撒哈拉以南非洲地区的金融承诺。

Page 78, Table 3.13 Ex-Im Bank authorizations, 2011-13

Question 90:

Are the loans, guarantees and insurance provided by the Ex-Im Bank in compliance with the Gentleman’s

Agreement of the OECD? If not, please specify the reasons. 美国进出口银行提供的贷款、担保和保险是否都符合OECD“君子协定”规定的融资条件？如有不符合的，原因是什么？

RESPONSE: Yes, all of the official medium- and long-term loans guarantees and insurance provided by the Ex-Im Bank are in compliance with the OECD Arrangement on Officially Supported Export Credits.

回复：是的，美国进出口银行提供的所有正式的中长期贷款担保和保险均符合经合组织《官方支持出口信贷的安排》。

Question 91:

Please define the working capital (including term, beneficiaries and scope of support) indicated in the table.

请介绍表中的流动资金的定义（包括期限、发放对象、支持范围等）。59

RESPONSE: The Ex-Im Bank’s Working Capital Guarantee Program (WCGP) provides a 90% guarantee on loans made by commercial lenders to creditworthy U.S. businesses that export.  The loans are secured by export-related accounts receivable and export-related inventory collateral.   The WCGP is an asset based lending product where the amount the exporter can borrow is determined by the available collateral securing the loan based on formula advance rates.   The WCGP is a short term product. The term of the loan facilities are generally 12 months but can go up to 36 months. 

回复：美国进出口银行的流动资金担保计划（WCGP）为商业贷款机构向信用良好的美国出口企业提供的贷款提供 90%的担保。贷款由与出口相关的应收账款和与出口相关的库存担保品提供保证。流动资金担保计划是一项基于资产的贷款产品，出口商可以借贷的资金金额由可为贷款提供担保的担保品确定，以基准贷款利率为依据。流动资金担保计划是一项短期产品。贷款融通的期限一般为 12个月，但也可能长达 36个月。

Ex-Im Bank's Global Credit Express program is specially designed to deliver short-term working capital loans directly to creditworthy small business exporters. Through this new program, small business exporters may be eligible for a 6- or 12-month revolving line of credit of up to $500,000. Global Credit Express adds liquidity to the U.S. small business export market by financing the business of exporting rather than specific export transactions. This is a pilot program currently

offered through a select number of originators nationwide. 美国进出口银行的全球信用运通计划特别旨在直接向信用良好的小型出口企业提供短期流动资金贷款。根据该项新计划，小出口企业可以申请最高额不超过 500,000美元的 6个月或 12个月循环信用额度。全球信用运通计划为美国小出口企业市场增加了流动性，为出口企业而非特定的出口交易提供资金。该计划目前仍在试点阶段，通过全国数家发起机构提供。

Question 92:

Are the working capital loans granted by the Ex-Im Bank different from the working capital loans provided by

other commercial banks in terms of beneficiaries, term and scope of support? 美国进出口银行发放的流动资金贷款与其他商业银行发放的流动资金贷款在贷款对象、期限和支持范围上是否存在不同？

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RESPONSE: The structure of the WCGP is similar to the asset-based lending programs offered by commercial lenders.  Most commercial lenders however, prefer to lend only on domestic accounts receivable and inventory, and are not willing to lend on export-related accounts receivable and inventory without a guarantee.  Ex-Im Bank’s WCGP allows U.S. businesses to expand their borrowing capacity and liquidity to facilitate more exports. 

回复：流动资金担保计划的结构与商业贷款机构提供的基于资产的贷款计划类似。但是，大部分商业贷款机构更愿意仅为国内应收账款和库存提供贷款，不愿意在没有担保的情况下为与出口有关的应收账款和库存提供贷款。美国进出口银行的流动资金担保计划使美国企业能够扩大其借贷能力和流动性，为更多出口提供便利。

The Global Credit Express program was created to help small businesses obtain loans of $500,000 or less.  Very few commercial lenders are interested in making loans of $500,000 or less to exporters.   The

Ex-Im Bank stepped in to fill this financing gap. 全球信用运通计划旨在帮助小企业取得 500,000美元或以下的贷款。很少有商业贷款机构愿意向出口商提供如此小额的贷款。美国进出口银行填补了在此方面的融资空缺。

Page 78, Para 3.125

The report states that “As of June 2014, the Ex-Im bank faced an uncertain future as Congress debated its reauthorization; its current mandate and authorization are scheduled to expire at the end of September 2014.”.

Question 93:

Please introduce the latest progress of the reauthorization to the Ex-Im Bank. 请美方介绍关于进出口银行重新授权一事的最新进展？

RESPONSE: The Ex-Im Bank’s charter was reauthorized by Congress in September 2014. The new date of expiration is June 30, 2015.

回复：2014年 9 月，美国进出口银行的章程获得了国会的重新授权。新的届满日为 2015年 6 月 30 日。

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Page 78, Para 3.126

The report states that “OPIC is the government's development finance institution. It facilitates U.S. investment in developing countries by providing investors with financing, guarantees, political-risk insurance, and support for private equity investment funds. Like the Ex-Im Bank, OPIC is a self-financed, independent government corporation. ”.

Question 94:

Please introduce the main private financial institutions in the U.S. providing the above-mentioned financial services for outbound investments in addition to the OPIC. Please describe the difference between the OPIC and such private institutions in terms of the application scope and fee rate of the relevant financial services.

请介绍，除 OPIC 外，美国还有哪些主要私营金融机构为对外投资提供上述金融服务？OPIC提供的相关金融服务在适用范围和费率等方面，与这些私营机构有何区别？

RESPONSE: OPIC’s financial services are not intended to replace private financing of investment. One of the principle considerations in deciding whether OPIC involvement is warranted is whether long-term private financing is otherwise unavailable. Fees for OPIC’s financial products are based on the underlying cost of capital, adjusted to reflect commercial and political risks involved, and are otherwise consistent with commercial practices.

回复：美国海外私人投资公司（OPIC）的金融服务并非旨在替代私人投资融资服务。在确定是否有必要由美国海外私人投资公司参与融资时，主要考虑因素之一是是否无法通过其他渠道取得长期私人融资。美国海外私人投资公司金融产品的费用以相关资本成本为基础，并进行一定调整，以反映所涉及的商业和政治风险，并符合商业惯例。

Question 95:

Compared with the Ex-Im Bank, is OPIC subject to certain restrictions in its political risk insurance business, e.g. are there any countries or sectors not to be covered? If yes, please specify. 相比美国进出口银行，OPIC在开展政治风险类保险业务方面是否有一些限制，比如是否有不予承保的国别或行业？如有，请说明。

RESPONSE: OPIC is able to operate in more than 150 developing and post-conflict countries; hence OPIC is able to offer political risk insurance for operations in all of these countries. A full list of countries where OPIC operates is available at http://www.opic.gov/doing-business-us/OPIC-policies/where-we-operate. Although OPIC activities,

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including insurance policies, are generally not limited to particular sectors, OPIC is categorically prohibited from supporting certain types of projects. Those prohibitions are listed at: http://www.opic.gov/doing-business-us/applicant-screener/insurance-eligibility-checklist#1

回复：美国海外私人投资公司可在 150 多个发展中国家和冲突后国家开展经营；因此能够为在所有此类国家开展的经营活动提供政治风险保险产品。关于美国海外私人投资公司开展经营的所有国家的完整清单，请参见 http://www.opic.gov/doing-business-us/OPIC-policies/where-we-operate。虽然美国海外私人投资公司的活动（包括保单）一般不仅限于特定领域，但美国海外私人投资公司被明确禁止为特定类别的项目提供支持。此类禁止规定，请参见 http://www.opic.gov/doing-business-us/applicant-

screener/insurance-eligibility-checklist#1。

Page 79, Para 3.131

The report states that “The American Taxpayer Relief Act of 2012 signed into law in January 2013 further extended the 50% first-year bonus depreciation for qualified property acquired and placed in service from 1 January 2013 through 31 December 2013. It also provided one-year extensions for several tax credits, including: credit for alternative-fuel vehicle refuelling property; alternative fuels excise tax credits; extension and modification of cellulosic biofuel producer credit; incentives for biodiesel and renewable diesel; and special allowance for cellulosic biofuel plant property.”

Question 96:

Please describe the specific measures under the American Taxpayer Relief Act of 2012 regarding preferential

tax policies and subsidies granted to enterprises. 请问，“2012年美国纳税人减税法案”在给企业的税收优惠和补贴方面有哪些具体措施？

RESPONSE: The American Taxpayer Relief Act of 2012 was estimated to cost US$3,916 billion between 2011 and 2022. Most of this cost was for individual taxpayer relief in terms of lower tax rates and permanently adjusting the individual alternative minimum tax such that it would not apply to as many people. Business tax incentives accounted for roughly US$60 billion of the total. Extension and modification of credits for renewable energy were estimated to cost approximately US$13 billion between 2011 and 2022. Specific provisions that were temporarily extended through the end of calendar year 2013 include: the New Markets Tax Credit costing US$1,794 million over 2011 to 2022; the credit for production of cellulosic biofuel with a maximum credit of US$1.01 per gallon costing US$49 million over 2011 to 2022; extension of credits for biodiesel and renewable diesel costing US$2,181 million over 2011 to 2022; and, the credit for energy-efficient appliances costing US$659

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million over 2011 to 2022. Where appropriate, these programs were included and are described in detail in the most recent U.S. subsidy notification (see, G/SCM/N/253/USA). For further detail, please see: https://www.jct.gov/publications.html?func=startdown&id=4509 .

回复：2011年至 2022年期间，2012年《纳税人减税法案》估计将花费 39160亿美元。其中大部分是通过提供更低的税率，并永久性调整个人替代性最低税负以减少所得税适用范围，从而减轻个人纳税人税负。营业税激励措施约占总额的 600亿美元。2011年至 2022年期间，用于可再生能源的信用额度展期和修改的支出预计约 130亿美元。从 2013 日历年年底开始临时展期的特别规定包括：在 2011

年至 2022年期间将花费 17.94亿美元的新市场税赋抵减计划；在 2011年至 2022年期间将花费 4900万美元纤维素生物燃料生产抵减计划（最高抵减额为每加仑 1.01美元）；在 2011年至 2022年期间将花费 21.81亿美元生物柴油和可再生柴油抵减展期计划；以及在 2011年至 2022年期间将花费 6.59亿美元的节能电器抵减计划。如适用， 此类计划均已在美国近期补贴通报(G/SCM/N/253/USA)中载明并予以 具 体 描 述 。 关 于 进 一 步 内 容 ， 请 参 见 https://www.jct.gov/publications.html?

func=startdown&id=4509。

Page 80, Para 3.133-3.134

The report states that “The United States is also committed to enhancing the national business framework by promoting innovation in the private sector. To this end, the Innovative Technologies Investment Incentive Act of 2013 provides credit for equity investments to high technology or biotechnology businesses that employ less than 500 employees.”

“State-level legislatures have also focused on providing investment incentives to businesses through grants, tax credits, loans, and corporate income tax abatement with the aim of promoting, inter alia, job creation (New Jersey, Oregon), clean technology (New Mexico, Wyoming), and development activities (Colorado).”

Question 98:

Please elaborate on the taxation policies promulgated by the U.S. government in recent years to encourage investments in innovative technologies, especially the preference granting modes and effects of enterprise

income tax policies. 请进一步介绍近年来美国政府出台的激励创新科技投资的税收政策，特别是在企业所得税方面的优惠方式和政策效应。

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RESPONSE: The Innovative Technologies Investment Incentive Act of 2013 did not become law.  The President in his fiscal year 2015 Budget (http://www.treasury.gov/resource-center/tax-policy/Documents/General-Explanations-FY2015.pdf) proposed some incentives for investment and production of innovative technologies. These include a tax credit for investment in property used in advanced energy manufacturing, a tax credit for the production of advanced technology vehicles, a tax credit for medium- and heavy-duty alternative-fuel commercial vehicles, a tax credit for cellulosic biofuels, and a tax credit for construction of energy-efficient new homes. Combined these proposals were estimated to cost approximately US$11 billion between 2015 and 2024. However, none of these proposals have become law. Other relevant tax incentive programs can be found in the U.S. subsidy notification, which includes programs at the central and sub-central levels of government (see, G/SCM/N/253/USA).

回复：2013 年《创新技术投资激励法案 》并未成为法律。总统在其 2015 财年预算案 (http://

www.treasury.gov/resource-center/tax-policy/Documents/General-Explanations-FY2015.pdf)中提出了若干创新技术投资和生产激励措施，包括对投资先进能源生产的资产、先进车辆制造、中型和重型可替代燃料商用车、纤维素生物燃料、建造节能房屋等适用税收减免。在 2015年至 2024年间，上述计划预计共将耗费约 110亿美元，但这些提案均尚未成为法律。其他相关税收激励计划，请参见美国补贴通报（G/SCM/N/253/USA），该通报包括中央和地方政府层面的计划。

Question 99:

Please describe the aggregate amount of support in the program. 请美方介绍此项支持的总规模？

RESPONSE: Support levels can be found in the U.S. subsidy notification, which includes programs at the central and sub-central levels of government (refer to G/SCM/N/253/USA).

回复：关于支持水平，请参见美国补贴通报（G/SCM/N/253/USA），包括中央和地方政府层面的项目。

Page 80, Para 3.135

The report states that “Discussions on a tax reform to simplify the corporate tax code and lower its top rate are ongoing.”.

Question 100:

Please describe the latest progress of the tax relief program. 请美方介绍该减税方案最新进展？

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RESPONSE: Business tax reform in particular continues to be discussed though none of the proposals has been adopted into law. Representative Dave Camp has held many hearings and produced a comprehensive tax reform plan that has been released to the public in parts. (http://waysandmeans.house.gov/taxreform/) Similarly, Senator Max Baucus released a series of discussion documents detailing a tax reform proposal. (http://www.finance.senate.gov/issue/?id=7D222262-D589-4D5E-A2AB-1504273E2E61) While neither proposal was adopted into law, discussions in Congress and with the President are ongoing.

回复：虽然提案均尚未成为法律，美国仍在就营业税改革进行讨论。众议员 Dave Camp已经展开了多次听证，并制定了全面税务改革计划(http://waysandmeans.house.gov/taxreform/)，该计划已分批向公 众 发 布 。 参 议 员 Max Baucus 公 布 了 一 系 列 详 述 税 务 改 革 提 案 的 讨 论 文 件(http://www.finance.senate.gov/issue/?id=7D222262-D589-4D5E-A2AB-1504273E2E61)。上述提案均尚未成为法律，议会和总统仍在就此展开讨论。

Page 80, Para 3.137

The report states that “The U.S. Small Business Administration (SBA) provides counselling and financial assistance to small businesses through, inter alia, loan guarantees and federal procurement opportunities. Within this framework, the SBA has 32 permanent programmes, and approved 101,066 loans over the fiscal year 2013.”.

Question 101:

Please describe the difference between the SBA and private financial institutions in terms of the application

scope and fee rate of loan guarantees. 请美方介绍，SBA提供的贷款担保在适用范围和费率方面，与私营金融机构提供的有何区别？

RESPONSE: SBA only provides a guaranty on a loan when the lender certifies that it would not make the loan without a guaranty due to the perceived greater risk of the credit (i.e., the borrower).  Because of the perceived greater risk, the business seeking a loan is often left with the choice of not getting a business loan or obtaining a loan with an SBA guaranty.  SBA charges to take that risk (guaranteed shares vary from 50% to 90% of the loan amount, depending on the loan size and program), which passes through to the borrower.  The guaranty fee that SBA charges on the guaranteed portion of the loan is tiered:  2% on loans up to $150,000, 3% on loans from 500,001 to 700,000, 3.5% on loans 700,001 to $1 million, and 3.75% on the guaranteed portion over $1 million. As a result, the borrower typically pays a higher total cost than it would if it were able to obtain financing without SBA participation.

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回复：除非贷款人确认，由于发现（借款人）存在较大的信誉风险，因此在无担保的情况下，贷款人不会提供贷款，否则美国小企业管理局（SBA）不会就贷款提供担保。由于发现较大风险，申请贷款的企业往往只能在放弃贷款申请或申请经美国小企业管理局担保的贷款间做出选择。美国小企业管理局对所承担的风险（经担保的份额从贷款金额的 50%至 90%不等，具体取决于贷款规模和计划）收费，并将该风险转嫁给借款人。美国小企业管理局以累进方式对贷款经担保部分收取担保费：贷款额不超过 15万美元的，担保费为贷款额的 2%；贷款额 500,001美元至 700,000美元的部分，担保费为贷款额的 3%；贷款额 700,001 美元至 1,000,000美元的部分，担保费为贷款额的 3.5%；贷款额1,000,000美元以上的部分，担保费为贷款额的 3.75%。因此相比美国小企业管理局未参与的融资，借款人往往须为由美国小企业管理局担保的贷款承担更高的总成本。

Page 80, Para 3.140

The report states that “In most cases, subsidies take the form of grants, tax concession, loan guarantees, and direct payments. The agriculture and energy sectors remain the largest recipients.”.

Question 102:

Please update the changes made to the energy subsidy policies of the U.S. during the period under review. 请介绍，本次审议期内美能源补贴政策有哪些新变化？

RESPONSE: The most recent information can be found in our last subsidy notification (refer to G/SCM/N/253/USA). The next subsidy notification is due June 30, 2015. See also the response to question 96.

回复：有关最新信息，请参见我们最近一期补贴通报（G/SCM/N/253/USA)。我们将于 2015年 6 月 30

日提交下一次通报。请参见问题 96的回复。

Question 103:

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Please provide the assessment of the U.S. on the roles of energy subsidies in the economic recovery. 美国能源补贴在经济复苏进程中发挥了哪些作用，美方有无评估？

RESPONSE: Recovery tax incentives and spending were focused on countering the steep decline in GDP and employment. Incentives for energy, primarily clean energy, were a relatively minor part of the legislation. Key targets included energy efficiency, renewable generation, and grid moderation. For further information on recovery spending, please see the response to question 105.

回复：经济复苏税激励措施和支出主要关注于抵御 GDP和就业率的迅速下滑。对于能源产业（尤其是清洁能源）的激励措施在立法中所占份额相对较小。关键目标包括节能、可再生能源发电以及电网调适。关于复苏支出，请参见对问题 105的回复。

Question 104:

Please provide the proportion of the annual tax exemption (including federal, state and local tax exemption) in the aggregate annual tax income in recent years. Please describe the main tax exemption and other preferential programs and their legal basis. Please introduce how these programs are administrated and operated (e.g. regulating authorities, application qualifications and conditions, and the examination and approval procedures). 请美方介绍：美国近年来每年的税收减免额（包括联邦和地方政府）占年度税收总额的比例为多大？主要包括哪些税收减免和优惠项目？法律依据是什么？这些项目是如何管理和运作的（如管理机构、申请资格条件和审核程序等）？

RESPONSE: While the nature of the information requested in this question is not entirely clear, information with respect to preferential tax programs, at both the federal and state levels, can be found in our most recent subsidy notification (see, G/SCM/N/253/USA).

回复：虽然我们尚不完全明白中国通过提出此问题要求我们提供的信息的性质，但有关联邦和各州的税收优惠计划，请参见我们最近一次的补贴通报（G/SCM/N/253/USA)。

Page 81, Para 3.142

The report states that “As of September 2013, outlays under the American Recovery and Re-investment Act (ARRA) of 2009 have included tax cuts (US$212 billion), mandatory spending on programmes such as Medicaid and unemployment benefits (US$296 billion), and discretionary spending (US$279 billion) for individuals and investments in infrastructure, energy, education, and health care. The most recent CBO

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estimates show that the fiscal support from the Recovery Act will total US$832 billion through 2019.”.

Question 105:

Will the fiscal support of US$832 billion under the American Recovery and Re-investment Act cause unnecessary distortion to the domestic market and foreign trade of the U.S.? Has the U.S. make any

assessment in this regard? 《美国复苏与再投资法》下高达 8320亿美元的财政援助，是否会对美国内市场和对外贸易造成不必要的扭曲？美方对此有何评估？

RESPONSE: Most of the ARRA programs provided relief to individuals or to subnational governments. When analyzed for the 2009 through 2013 period, recovery spending can be broken down into seven broad categories. (See Council of Economic Advisers, The Economic Impact of the American Recovery and Investment Act Five Years Later, February 2014, http://www.whitehouse.gov/sites/default/files/docs/cea_arra_report.pdf.)

回复：《美国复苏与再投资法》项下的大部分项目是向个人或地方政府提供救济。在 2009年至 2013

年期间，复苏支出可分为七大类。（具体请参见经济顾问委员会，《美国复苏与再投资法对未来五年的经济影响》，2014年 2 月 http://www.whitehouse.gov/sites/default/files/docs/cea_arra_report.pdf）

As shown below, most of the fiscal support was for individuals (45 percent) and subnational governments and public outlays (51 percent), with business tax incentives accounting for the rest. The focus of the bill was on helping families through a difficult economic period by encouraging job creation. Approximately half of public investment focused infrastructure, such as roads and bridges, while the rest supported technology, such as scientific research and clean energy. The spending under the ARRA was intended to prevent the U.S. economy, and the world economy, from falling into further decline. Such stimulus spending was common among all governments that had the financial resources.

如下图所示，大部分财政支出是给予个人（45%）和地方政府及公共支出（51%）的，其余为营业税激励措施。议案关注通过鼓励创造就业机会来帮助家庭走出经济困难时期。约一半的公共投资用于道路、桥梁等基础设施，其他则用于技术领域支持（比如科学研究和清洁能源）。《美国复苏与再投资法》项下的支出旨在保护美国经济以及世界经济，防止进一步下滑。此类激励性支出在所有拥有财政资源的政府中实属常见。

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Functional Category 功能类别 2009 through 2013

2009年至 2013年1.

Individual Tax Cuts 个人减税 181.7

2.Individual Alternative Minimum Tax Relief 个人替代性最低税负减免

69.0

3.Aid to Directly Impacted Individuals 向直接受影响的个人提供援助

111.5

4.State Fiscal Relief州财政救济 143.0

5.Public Investment Outlays 公共投资支出 270.5

6.Business Tax Incentives 营业税激励措施 28.8

7.Total 总计 804.6

Page 82, Para 3.149

The report states that “By contrast, determining whether other restrictions to competition are illegal depends on applying U.S. courts' "rule of reason", which is a court's assessment of actual or likely anticompetitive effect in a particular case.”.

Question 106:

Please describe the main factors to be considered by the U.S. courts while applying the “rule of reason”. 请介绍，美国法院在适用合理性原则时，会重点考虑哪些因素？

RESPONSE: According to the United States Supreme Court, “the inquiry mandated by the Rule of Reason is whether the challenged agreement is one that promotes competition or one that suppresses competition.”  Nat’l Soc’y of Prof’l Eng’rs v. United States, 435 U.S. 679, 691 (1978).   Accordingly, courts must determine whether a restraint is likely to have an anticompetitive effect and, if so, whether

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the restraint has sufficiently “countervailing procompetitive virtue[s].”  FTC v. Ind. Fed’n of Dentists, 476 U.S. 447, 459 (1986).

回复:根据美国最高法院的判决，“根据合理性原则，可以就协定是促进竞争还是抑制竞争提出质询。”（Nat’l Soc’y of Prof’l Eng’rs诉美国案（435 U.S. 679, 691 (1978)））。因此，法院必须确定某项限制性措施是否可能引起抑制竞争的效果，如果是，该限制性措施是否包含足以“抵消抑制效应的促进竞争的因素”（FTC 诉 Ind. Fed’n of Dentists 案（476 U.S. 447, 459 (1986)）。

The “criterion to be used in judging the validity of a restraint on trade is its impact on competition.”   NCAA v. Bd. of Regents of the Univ. of Okla., 468 U.S. 85, 104 (1984).  Factors that may be relevant to a rule-of-reason analysis include the market power of the parties imposing the restraint, the scope of the restraint, and the restraint’s source. Leegin Creative Leather Prods, Inc. v. PSKS, Inc., 551 U.S. 877, 897-98 (2007); Bus. Elecs. Corp. v. Sharp Elecs. Corp., 485 U.S. 717, 725-27 (1988). Courts also consider whether the restrain has caused “actual detrimental effects, such as a reduction of output.”

Indiana Federation of Dentists, 476 U.S. at 460-61 (internal quotation marks omitted). “用于确定某项限制贸易的措施的正当性的标准是该措施对竞争的影响”（NCAA诉 Bd. of Regents of the Univ. of

Okla.（468 U.S. 85, 104 (1984)））。可能与合理性原则分析有关的因素包括施加限制的各当事方的市场力量、限制的范围以及限制的来源。Leegin Creative Leather Prods, Inc. 诉 PSKS, Inc.（551 U.S.

877, 897-98 (2007)） ; Bus. Elecs. Corp. 诉 Sharp Elecs. Corp.（485 U.S. 717, 725-27 (1988)））。 法院还会考虑，限制是否已经引起“实质性的的损害影响，比如减少产量”（印地安纳州牙医联盟案（476 U.S. ，460-61 (省略内部引号)）。

Page 85, Para 3.167

The report states that “The United States passed new legislation in late 2010 to create a federal excise tax on foreign entities receiving payments for purchases of goods and services. When the law goes into effect, a 2% tax is to be applied to foreign entities not party to an international procurement agreement.”.

Question 107:

This measure has obviously caused adverse impact on free trade and fair competition, and increased the goods and service purchasing cost of the U.S. government, thus increasing its fiscal burden. Does the U.S.

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plan to annul this tax in future? 这一措施明显对自由贸易和公平竞争造成不利影响，因此造成美政府采购货物服务成本上升，也增加了美财政负担。请问美方未来是否有计划取消此项税收？

RESPONSE: The effective date of the statute was the date of its enactment, January 2, 2011. Under the Constitution of the United States, only the U.S. Congress can repeal statutes such as the tax, and the United States cannot speculate on any future action that the U.S. Congress may take with respect to the tax.

回复：该制定法的生效日即为其制定日（2011年 1 月 2 日）。根据美国《宪法》，仅美国国会有权废除税法等制定法，美国无法推测美国国会未来将就税法采取的行动。

Page 85, Para 3.169

The report states that “In addition, the Federal Acquisition Regulation (FAR), issued pursuant to the Office of Federal Procurement Policy Act of 1974, remains the primary regulatory tool for acquisition and contracting procedures in the federal government.”.

Question 108:

Please describe whether Public-Private-Partnership (PPP) project is subject to the laws related to governmental procurement? Will the requirements regarding governmental procurement still apply to project

operators when they make procurement in the post-establishment operation of PPP projects? 请问政府-社会资本合作（PPP）项目是否适用政府采购的相关法律？PPP项目建设完成后的运营过程中，项目主体在实施采购时是否仍适用政府采购的相关要求？

RESPONSE: Public-private partnerships (PPPs) is a generic term used to describe many different types of relationships between a government and the private sector.  Those types of relationships include, but are not limited to, government procurements.  PPPs that are government procurements would be subject to all relevant procurement laws and, where applicable, international trade commitments, including the WTO Agreement on Government Procurement.

回复：政府-社会资本合作（PPP）是一个同于描述政府与私营部门间各类不同关系的通用术语。此类关系包括但不限于政府采购。政府采购的政府 -社会资本合作项目将受所有相关采购法律以及（如适用）国际贸易承诺（包括世贸组织《政府采购协定》）约束。

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Page 92, Para 3.197

The report states that “In its Trade Policy Review and at the DSB, the United States also reported on legislative activities linked to implementation of DSB recommendations concerning IP-related case.”.

Question 109:

In the 2012 trade policy review, the US introduced in its replies that the FTC and the DOJ had conducted public seminars to discuss the impacts of the PAEs on innovation, competition and anti-monopoly policies and enforcement. According to some reports, on 9 December 2013, the U.S. House of Representatives passed the Innovation Act proposed by Congressman Bob Goodlatte and Chairman of the Intellectual Property, Competition and the Internet Subcommittee in the House of Representatives. Please describe the latest

progress of the Act. Please detail measures restricting Patent Troll behaviors under the Act. 在 2012年贸易政策审议时美方曾在答复中介绍联邦贸易委员会（FTC） 和司法部（DOJ）举行了公开的研讨会来讨论专利主张实体（PAE）对创新和竞争的影响以及对反垄断执法和政策的影响。据报道， 2013年 12

月 9日美国众议院通过了保护知识产权小组组长鲍勃·古德莱特（Bob Goodlatte）众议员提出的《创新法案》（ Innovation Act），该法案目前的进展情况如何？在该法案中规定了哪些遏制专利蟑螂（Patent Troll）的措施？

RESPONSE: The Innovation Act was passed by the U.S. House of Representatives on December 5, 2013. The bill was referred to the U.S. Senate Committee on the Judiciary on December 9, 2013. The United States is not in a position to characterize a draft bill that has not been adopted by the Congress or entered into force as law.

回复：2013年 12 月 5 日，美国众议院通过《创新法案》。提案于 2013年 12 月 9 日被提交美国参议院司法委员会。美国无法说明尚未经国会批准或尚未成为法律的提案草稿的主要特点。

Page 94, Para 3.202

The report states that “Patent timeliness, measured in terms of total pendency (time from filing date to final disposition), improved from 33.9 months in October 2012 to 27.8 months in June 2014, progressing towards the goal of 20 months by 2019.”.

Question 110:

What measures has the USPTO taken to shorten the U.S. patent pendency from 33.9 months in 2012 to 27.8 months in 2014? Are there any restrictions on the timing or number of the notices to be issued by examiners?

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Is accelerated review included in the calculation of pendency? Please describe further measures to be adopted

by the USPTO in order to shorten the pendency from 27.8 months to 20 months in 2019. 美国专利审查周期从 2012年的 33.9 个月缩短到 2014年的 27.8 个月，我们想了解 USPTO 主要采取了何种措施？是否对审查员发出通知书的时间或者次数进行了限制？另外审查周期的计算是否包含加快审查的部分？如果要将审查周期从现在的 27.8 个月缩短到 2019年的 20 个月，USPTO 计划采取那些进一步措施？

RESPONSE: The USPTO is reducing the backlog and pendency of unexamined patent applications while improving quality thanks to expanded training, improved technology, and the dedication of our highly capable employees. As a result, total patent pendency has fallen to approximately 27.4 months.

回复：USPTO正在努力减少积压和待决的专利申请，同时通过增加培训、改进技术以及高素质员工的奉献提高审查质量。因此，专利申请处理的时间已缩短为约 27.4个月。

The USPTO is realizing benefits from the success of various initiatives, pilots, and operational improvements. The agency has moved from a one-track patent examination process to a multitrack process by adopting procedures and initiatives that incentivize abandoning applications that are not important to applicants, accelerating critical technologies, permitting an applicant to accelerate applications, and exploring other incentive and accelerated examination options. Specific initiatives include Quick Path Information Disclosure Statement pilot program, the After Final Consideration

Pilot 2.0, and Track One Prioritized Examination program.一系列成功的倡议、试点计划和运作方式改进也促进了 USPTO的工作。该机构已通过采取包括激励申请人放弃次要申请，加速对关键技术的专利申请，允许申请人加急申请，并探索其他激励和加速审查的方式等程序和措施，将单轨制专利审查流程更改为多轨制。特 别 措 施 包 括快速信 息披露声明（Quick Path Information Disclosure

Statement）试点计划、终局考虑后试点计划 2.0 （After Final Consideration Pilot 2.0）以及优先审查第一轨道（Track One Prioritized Examination）计划。

The USPTO continues to increase its examination capacity by employing new recruitment and development models to hire, train, and retain a highly skilled and diverse workforce. For example, the USPTO’s satellite offices support the agency’s mission to foster the growing contribution that IP makes

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to the growing economy. USPTO通过采用新的招聘和开发模式来雇佣、培训以及留任高技能和多样化员工，以不断提高其审查能力。比如，USPTO的卫星办公室为该机构促进知识产权为经济发展助力的任务提供支持。

In providing more effective training, the USPTO further enhances patent examination fundamentals, communication, and cooperation between the examiner and applicant. The USPTO utilizes a highly successful training and refresher training program that encompasses over 20 modules designed to enhance examiners’ knowledge and skills in procedural and legal topics pertaining to patent examination. In addition, as part of Executive Action No. 6, the USPTO expanded its Patent Examiner Technical Training Program (PETTP), which provides patent examiners with direct access to experts who are able to share their technical knowledge on prior art and industry standards in areas of emerging technologies and established technologies. The PETTP provides an excellent opportunity for communication between patent examiners and the experts who work in the various technologies that are examined throughout the USPTO. This enhanced communication contributes to improving overall

patent quality and decreasing patent pendency. 通过更高效的培训，USPTO进一步加强了专利审查的基本能力、交流能力以及审查人员与申请人之间的合作。USPTO 成功实施了培训和再培训计划，该计划由 20 多个模块组成，旨在增强审查人员与专利审查有关的程序和法律领域的知识和技能。此外，作为 6 号行政行动的一部分，USPTO 扩大了其专利审查员技术培训计划（PETTP）的范围，向专利审查人员提供直接寻求相关专家帮助的机会，此类专家将分享其在新兴技术和现有技术领域的在先技术和行业标准方面的技术知识。专利审查员技术培训计划使 USPTO 专利审查人员和从事各类接受USPTO 审查的技术的专家能够紧密合作。更好的交流机会也提高了专利的整体质量并减少了待决专利。

Question 111:

Has USPTO established the track three system? If yes, who may submit the application and what are the conditions of applying for delayed examinations? USPTO目前是否建立了延迟审查制度（track three）？如果有，哪些人可以申请，申请延迟审查的条件是什么？

RESPONSE: The agency has established a multitrack process. Further information regarding track one applications and qualifications can be found at the following website:

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http://www.uspto.gov/patents/init_events/Track_One.jsp

回复：该机构已经建立了一套多轨流程。有关第一轨道申请和资质要求的进一步信息，请参见以下网站 http://www.uspto.gov/patents/init_events/Track_One.jsp。

Question 112:

In addition to communicating with the USPTO regardomg specific patent applications, is there any channel for the applicants to communicate with the USPTO about general affairs, e.g. application quality,

establishment of rights and requirements and examination efficiency? 申请人除了就具体专利申请与USPTO沟通外，是否有就一般事务，如关于申请质量、权利要求构建、审查效率等问题进行沟通的途径？

RESPONSE: Several mehanisms exist for the USPTO to consider user feedback on various subject matter and issues. The USPTO regularly holds roundtables, open houses, and town hall meetings to receive user inputs. Additionally, the USPTO regularly will publish Federal Register notices requesting written comments from the public on specific topics and initiatives. Further, the Patent Public Advisory Committee (PPAC) provides public input to the USPTO at regular intervals. See http://www.uspto.gov/about/advisory/ppac/

回复：USPTO 采用多种机制处理用户对各类事项和问题的反馈。USPTO定期召开圆桌会议、开放式会议以及市镇大会，以收集用户意见。此外，USPTO还定期发布《联邦纪事》通知，就特定问题和措施征求公众书面意见。此外，专利公共顾问委员会（PPAC）还定期向 USPTO 提供公众意见。具体请参见 http://www.uspto.gov/about/advisory/ppac/。

Question 113:

According to the U.S. patent law, patent application must be submitted in the name of the inventor. In case of an invention for hire, the inventor will transfer the patent application to his/her company in accordance with the employment contract. The company may only obtain patent as a patent transferee. As laws of other WTO members permit companies to directly submit patent applications in their own names, will the USPTO consider permitting foreign applicants to apply for patents directly in the name of companies to streamline

procedures and reduce unnecessary burdens on applicants? 美国专利法要求，专利申请必须以发明人的

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名义提出，如果是职务发明的，发明人再依据劳动合同转让给其所在公司，所在公司只能以受让人的名义受让该专利申请。由于其他国家法律都允许公司以自己的名义直接提交专利申请， USPTO 是否考虑允许外国申请人直接以公司的名义申请专利，以简化程序，减轻申请人的负担？

RESPONSE: The assignee can be the applicant.  However, the inventor must still execute an oath/declaration.  The assignee may only execute a substitute statement in lieu of an oath/declaration where the inventor refuses to execute an oath/ declaration, cannot be found or reached after diligent effort, is deceased, or is legally incapacitated.

回复：受让人可以是申请人。但是，发明人仍必须签署宣誓书 /宣言书。如果发明人拒绝签署宣誓书/

宣言书，或在作出勤勉努力后仍无法找到或联系到发明人，或发明人已经死亡或在法律上丧失行为能力，则受让人可仅填写一份声明，替代宣誓书/宣言书。

Question 114:

If the patent period is extended, especially due to FDA examination, it is difficult for the public to directly enquire about the actual expiry date of the patent and the public must rely on professionals to search for the actual expiry date. Will the U.S. introduce more convenient ways of searching the legal status of U.S. patents

for easier access of the public to the actual protection period of extended patents? 当存在专利期限延长时，尤其是因 FDA 审批而给予的专利期限延长时，公众很难直接查询到专利实际到期日期，必须经过专业人士检索。是否有更加方便的美国专利法律状态查询方式，以方便地查询被延长期限的专利的实际保护期限？

RESPONSE: The United States Patent and Trademark Office does not calculate expiration dates for patents.  In response to patent owner and public inquiry, the USPTO is providing a downloadable patent term calculator (beta version) as a resource to help the public estimate the expiration date of a patent.  The calculator can be used to estimate the expiration dates of utility, plant, or design patents. The calculator contains prompts to enter specific information related to the patent in order to help in estimating expiration dates.  This information can be obtained from USPTO's online systems, links to which are provided below.

回复：美国专利商标局不计算专利的届满时间。对于专利所有人和公众的咨询，USPTO将提供可以77

下载的专利有效期计算器（beta版本），帮助公众估算专利届满日期。可利用计算器估算实用新型、设备或设计专利的届满日期。计算器包含输入与专利有关的特定信息的快捷键，帮助使用人估算届满日期。关于该信息，请参见USPTO的在线系统，链接见下文。

Question 115:

According to the IDS, the patent applicant is obligated to disclose to the USPTO information related to the patent eligibility under the patent application. This obligation remains in effect as long as there is any claim under examination. If the applicant intentionally violates the obligation of information disclosure, the patent application may be revoked or the future right to patent may not be implemented. At present, applicants usually submit patent applications to several countries for one invention, in this case, they will be obliged to disclose to the USPTO relevant examination information of the patent application in each country. This imposes extra burdens on applicants. Will the U.S. consider adopting measures to relieve the applicant’s

disclosure obligation or legal liabilities? 根据美国有关专利信息披露（IDS）的规定，专利申请人有义务向 USPTO披露与其专利申请专利性有关的信息，只要还有权利要求在被审查，此义务就存在。如果申请人故意违反信息披露义务，则可能导致专利申请被驳回或者将来的专利权无法实施。现在一个发明要向很多国家提出专利申请，申请人需要向 USPTO披露各国专利申请的相关审查信息，造成许多额外负担。美方是否考虑采取措施降低申请人的披露义务或者其法律责任？

RESPONSE: The duty of disclosure under U.S. law helps to ensure that effective examination of patent application is performed by requiring known relevant prior art be submitted and thereby placed before the examiner that is making a determination as to whether the application should be allowed to issue as a patent. Further, this requirement also ensures that inventors and those otherwise involved in prosecution do not “hide” relevant prior art that may be material to the patentability of the application.

回复：美国法律中的披露义务有助于确保有效审查专利申请，要求当事方在审查人决定申请是否通过并签发专利前，提交已知的相关在先技术。此外，该要求还确保发明人和其他涉及诉讼的人士不会“隐瞒”可能对申请是否可获得专利具有实质性影响的相关在先技术。

Page 95, Para 3.204

The report states that “…a crowdsourcing initiative, making use of crowdsourcing techniques and resources,

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so as to expand ways for identifying prior art relevant to determining the novelty of claimed inventions.”.

Question 116:

Please introduce in detail the technologies and resources for crowdsourcing. Has this approach been used in

examination practice? Please describe how it is operated. 请具体介绍众包（crowdsourcing）的技术和资源，这种方式现在是否已经应用到了审查实践中？具体如何操作？

RESPONSE: The USPTO held a roundtable on crowdsourcing on April 10, 2014 in Alexandria, VA and December 2, 2014 in New York City, NY to solicit public opinions regarding the use of crowdsourcing and third-party preissuance submissions to identify relevant prior art and enhance the quality of examination as well as the quality of issued patents. Members of the public were invited to participate. For more information about both events, please see http://www.uspto.gov/patents/init_events/crowdsourcing_roundtable_04-2014.jsp and http://www.uspto.gov/patents/init_events/crowdsourcing_roundtable_20141202.jsp. For more information about third party preissuance submissions, please see http://www.uspto.gov/aia_implementation/faqs-preissuance-submissions.jsp.

回复：2014年 4 月 10 日和 2014年 12 月 2 日，USPTO 分别在弗吉尼亚州亚历山大市和纽约州纽约市举行了关于众包的圆桌会议，征求公众对采用众包和第三方发证前提交方式确定相关在先技术并提高审查质量以及已发布专利的质量的意见。会议邀请公众参加。关于两次会议的具体信息，请参见http://www.uspto.gov/patents/init_events/crowdsourcing_roundtable_04-2014.jsp

和 http://www.uspto.gov/patents/init_events/crowdsourcing_roundtable_20141202.jsp. 。关于第三方发证前提交方式的具体信息，请参见 http://www.uspto.gov/aia_implementation/faqs-preissuance-

submissions.jsp。

Page 95, Para 3.206

The report states that “During the review period, the United States Supreme Court issued several significant decisions involving the issue of patent-eligible subject matter. Cases included Association for Molecular Pathology v. Myriad Genetics (concerning the patent-eligibility of a naturally occurring DNA segment, in which it found that it is "a product of nature and not patent eligible merely because it has been isolated," in contrast with complementary DNA (cDNA), which is "not naturally occurring"); and Alice Corporation Pty. Ltd. v. CLS Bank International, in which it held that mere computer implementation of an "abstract idea" in the form of the established commercial practice of intermediated settlement, was insufficient to form a patent- eligible invention.”.

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Question 117:

Are these new and stricter rules promulgated by the United States Supreme Court applicable to patents

already granted by the USPTO? Will the previous patent right be denied under the new rules? 联邦最高法院这些新的、更严格的规则是否会对 USPTO 此前已经授予的所有此类专利适用，这些以前的专利权是否会被新规则否定？

RESPONSE: Patents that are challenged in court will be subject to precedential decisions of the Supreme Court.

回复：在法院受到质疑的专利将根据最高法院的判例裁定。

Question 118:

Please describe the other changes to the issue of patent-eligible subject matter in addition to the patent-

eligibility in terms of commercial methods and genes. 专利可授权主题方面的改革方向，除了商业方法和基因方面的可专利性外，还有哪些可授权主题方面的变化？

RESPONSE: Preliminary Examination Guidelines in view of Alice Corporation Pty. Ltd. V. CLS Bank International, et al., are provided on the USPTO website at the following: http://www.uspto.gov/patents/announce/alice_pec_25jun2014.pdf

回复：关于 Alice Corporation Pty. Ltd 诉 CLS Bank International, et al.案的初步审查指引，请参见USPTO网站 http://www.uspto.gov/patents/announce/alice_pec_25jun2014.pdf。

Question 119:

Will the USPTO impose stricter authorization conditions on such patent applications according to the decisions of the United States Supreme Court? If yes, please describe the progress in detail. USPTO是否会根据联邦最高法院的判决进一步严格此类专利申请的授权条件？如果有，具体进展如何？

RESPONSE: Preliminary Examination guidelines relating to subject matter eligibity etc., may be found at the following:

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回复：关于标的事项资格问题的初步审查指引，请参见USPTO网站：http://www.uspto.gov/patents/law/exam/myriad-mayo_guidance.pdf

Page 99, Para 3.219

The report states that “The Intellectual Property Enforcement Coordinator (IPEC) issued the 2013 Joint Strategic Plan on Intellectual Property Enforcement, which highlighted developments in enforcement since 2009.”.

Question 120:

Please provide more detailed data regarding the intellectual property enforcement in 2013, e.g. the total number of trademark infringement cases handled, the number of civil cases in the breakdown, the total

amount involved in such cases and the total amount of the civil indemnities so judged. 请美方提供更详细的 2013年度知识产权领域执法数据。如：共处理多少商标侵权案件？其中民事案件数量？涉案总金额？判决的民事赔偿仅总规模？

RESPONSE: Statistics on the number of criminal trademark counterfeiting cases initiated (and some related information such as the number of arrests and convictions) are published in annual reports issued by the Department of Justice. Through 2012 these statistics were included in appendices to the Attorney General’s Performance and Accountability Report, but are now released as part of the United States Attorneys’ Annual Statistical Report. The most recent Annual Statistical Report, for fiscal 2013, is available at the following URL: http://www.justice.gov/sites/default/files/usao/legacy/2014/09/22/13statrpt.pdf. Statistics regarding trademark crimes can be found on pages 118-119.

回复：司法部年报公布商标侵权刑事案件立案数量的统计数据（以及逮捕和判罪人数的相关信息）。在 2012年，此类统计数据被载入《司法部长绩效和责任报告》的附件，但目前已作为美国《司法部年度统计报 告 》的一部分发布。关于 2013 财年最新的《年度统计报 告 》，请参见 http://

www.justice.gov/sites/default/files/usao/legacy/2014/09/22/13statrpt.pdf。

The Department of Justice does not maintain statistics on the number or characteristics of private civil

trademark lawsuits or other actions. 司法部不统计个人提起的民事商标诉讼或其他法律行动的数量或

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特点。

Statistics regarding annual IPR seizures in the United States are available at the following:

http://www.cbp.gov/trade/priority-issues/ipr/statistics 关于美国在知识产权领域实施没收行动的年度统计，请参见 http://www.cbp.gov/trade/priority-issues/ipr/statistics。

Question 121:

According to some Chinese companies encountering Section 337 investigations in the U. S., most Section 337 investigations are initiated by patent operation companies. These companies seek to initiate litigations in federal and local courts and at the ITC concurrently, so that they may threaten relevant enterprises with more rapid procedures and severe consequences, forcing them to pay unreasonable royalties. This has deviated from the initial purpose of Section 337 and imposed enormous burdens on enterprises. Please explain how the U.S. will ensure the compliance of Section 337 investigations with the National Treatment principle enshrined

in Article 3 of TRIPS. 有在美遭遇 337调查的中国公司反映，337调查大都由专利经营公司发起，试图在联邦地方法院及 ITC 同步开辟诉讼战场，以更快的程序、更严重的后果来迫使相关企业交纳不合理的许可费，这背离了 337条款设立的初衷，给企业造成了巨大的负担。请美方解释其如何确保 337调查符合 TRIPS第 3条“国民待遇”原则。

RESPONSE: Without commenting on the accuracy of the factual assertion contained in the question, Section 337 is consistent with TRIPS Agreement Article 3 because it accords to the nationals of other members’ treatment no less favorable than that it accords to U.S. nationals with regard to the protection of intellectual property.

回复：美方不就该问题中所述事实主张的准确性发表意见，第 337 条符合 TRIPS 协定第 3 条，因为就知识产权保护而言，该条款向其他成员国国民赋予的待遇不逊于其赋予美国国民的待遇。

Page 99, Para 3.221

The report states that “There has been extensive discussion in the United States about the concept of "standard essential patents" that are encumbered by voluntary commitments to licence on fair reasonable and non-discriminatory terms in high-tech industry sectors. ”.

Question 122:

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Standard organizations in the U.S. are now formulating their own policies regarding standard essential patents without a uniform rule. This increases the uncertainty and cost of the whole procedure. Does the U.S. have any consideration on the balance of interests of patent owners, standard enforcement organizations and the public? Will the U.S. consider promulgating a uniformed federal rule regarding standard essential

patents? 美国在处理标准必要专利问题时，由各个标准制定组织自己制定政策，缺少统一的处理规则，从而增加了整个程序的不确定性，也增加了程序的成本。请问美国如何考虑专利权人、标准执行者及公众的利益平衡问题，是否考虑就标准涉及专利的问题出台全国适用的统一规则？

RESPONSE: In some countries, governments themselves are involved in selecting technologies to be incorporated into voluntary, collaborative standards, and in determining acceptable royalty and other licensing terms. Such government involvement has the potential to undermine incentives to innovate and to participate in the standard-setting process.  Broadly speaking, experimentation and competition among standard setting organizations (SSOs) regarding the breadth and depth of member licensing commitment obligations or options should help SSOs and their members determine which methods ultimately provide the best platforms for collaborative standard setting.

回复：在一些国家，政府本身也参与选择哪些技术将被纳入到基于自愿和合作性质的标准，并参与确定可以接受的许可费及其他许可条款。政府的参与可能影响创新和参与标准制定流程的动力。一般而言，标准制定组织（SSO）之间关于成员许可承诺义务或选择的广度和深度的实验和竞争应帮助标准制定组织及其成员确定哪些方法将最终为合作标准制定行动提供最佳平台。

Question 123:

Owners of standard essential patents may eliminate competitions or seek for unreasonable patent royalties by abusing their market dominant position granted by SEP, hence causing de facto market monopoly. Does the U.S. plan to introduce necessary legal constraints in this regard, e.g. strictly examining whether the owners have complied with the principle of “Fair, Reasonable and Non-Discriminatory” (FRAND) in SEP patent

litigations or Section 337 investigations? 标准必要专利权利人可能利用 SEP给予的市场支配地位排除竞争或谋求不合理的专利许可费，从而造成事实上的市场垄断。请问美方是否有计划对于这一情况设置必要的法律约束？如考虑涉及 SEP 的专利诉讼或 337调查需严格审视权利人是否遵守“公平合理无歧视”（FRAND）的原则进行许可？

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RESPONSE: U.S. courts, the USITC, and U.S. antitrust enforcement agencies examine and rule on assertions regarding FRAND encumbrances on standard essential patents.  See, for example, Apple Inc. v. Motorola, Inc., 757 F.3d 1286 (Fed. Cir. 2014). 

回复：美国法院、USITC和美国反垄断执法机构审查有关标准必要专利对“公平合理无歧视”（FRAND）原则构成妨碍的主张并作出相关裁定。请参见 Apple Inc.诉 Motorola, Inc. 案（757 F.3d

1286 (Fed. Cir. 2014)）。

4. TRADE POLICIES BY SECTOR

Page 101, Para 4.2

The report states that “The 2014 Farm Bill was prepared during a period (2012-13) of exacerbating budgetary pressures. Government expenditures are estimated at US$489 billion for the life of the new Farm Bill, with savings of about US$5 billion (Chart 4.1).”.

China welcomes the U.S. efforts in reducing agricultural subsidies and decreasing the agricultural market distortion, but China also noted that the government expenditures during the period of the new Farm Bill still reached US$489 billion, i.e. nearly US$100 billion each year on average, reduced by only approximately 1%.

中方对美国削减削减农业补贴，减少对农产品市场扭曲的努力表示欢迎，但我们注意到：新《农业法案》周期内的政府支出仍高达 4890亿美元，即平均每年支出近 1000亿美元，较此前降幅仅约 1%。Question 124:

Please clarify whether the estimated expenditure of US$489 billion that of the federal government only or covers the spending of the federal, state and local governments. Please describe the proportion of the fiscal budget and expenditure directly used for agricultural production under the Bill. Is the proportion higher or

lower compared with that under the 2008 Farm Bill? 请美方澄清：预计 4890亿美元的支出是美联邦政府支出，还是包括了各州和地方政府开支？该法案下直接用于农业生产的财政预算支出占多少比重，与《2008年农业法案》相比是增加还是减少？

RESPONSE: The $489 billion projected expenditure is for Federal programs enacted by the 2014 Farm Bill. The projected spending in support of agricultural production includes programs under the commodity, conservation, and crop insurance titles. Expenditures under these titles make up 19 percent of the total: commodity programs account for 5 percent, conservation programs for 6 percent, and crop insurance for 8 percent. Expenditures on programs under the nutrition title (domestic food assistance) account for 80 percent of projected spending, and programs under the remaining titles account for 1

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percent. These shares are the same as those projected for the period 2014-2018 had the 2008 Farm Bill programs continued unchanged.

回复：该 4890亿美元的预期支出是针对 2014年 《农业法案》规定的联邦计划的。将用于支持农业生产的预期支出包括商品、水土保持以及农作物保险项目项下的计划。此类项目项下的支出占预期支出总额的 19%：商品计划占 5%、水土保持占 6%、农作物保险占 8%。营养项目（国内食品援助）项下的计划支出占全部预期支出的 80%，其他项目项下的计划支出占 1%。如果 2008年《农业法案》没有变更，则该份额百分比与 2014年-2018年预期百分比相同。

Question 125:

Please describe the opinions of the U.S. on the distortion of agricultural production and trade by unduly high

agricultural subsidies. Does the U.S. plan to further reduce the amount of its agricultural subsidies? 美国政府如何看待高额农业补贴扭曲农业生产和贸易的问题？美方是否有计划进一步减少对农产品的补贴规模？

RESPONSE: The United States believes all WTO members should fully abide by their WTO commitments, which limit production- and trade-distorting forms of support. Further, the United States believes full transparency of production- and trade-distorting domestic support, as well as all other policies, is essential 1) to mitigating uncertainty/distortions in trade and 2) a well-functioning multilateral system. The United States calls upon all Members to bring their notifications up to date and provide information regularly.

回复：美国认为，所有世贸组织成员均必须完全遵守其世贸组织承诺，限制扭曲生产和贸易的支持。此外，美国还认为，扭曲生产和贸易的国内支持以及其他政策的完全透明对以下事项至关重要：1) 减少贸易不确定性/扭曲；以及 2) 保障多边体系良好运行。美国呼吁所有成员及时提交通报并定期提供信息。

The United States initially proposed that it would liberalize its agricultural policies as part of a broader reform in a Doha context. This ambition was not evident in proposals from other Members, in particular those which focused on creating loop-holes to protect their sensitivities even as they

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requested concessions from their trading partners.  If and when WTO Members are prepared to negotiate seriously about meaningful reforms, in particular market access opening that has proven so

difficult, the United States will be prepared to do its part.美国最初曾建议，作为多哈回合谈判背景下全面改革的一部分，美拟推进农业政策自由化。但该建议并未在其他成员的提案中得以体现，尤其是那些在要求贸易伙伴作出让步的同时又专注于创造漏洞以保护其敏感产业的成员。如果世贸组织成员准备就有意义的改革展开实质性谈判，尤其是被证明困难重重的市场准入开放问题，则美国愿意参加。

Page 101, Para 4.2

The report states that “The 2014 Farm Bill continues a long-term policy shift from the traditional commodity, conservation, and disaster payments towards subsidized crop insurance (Chart 4.2).”.

Question 126:

Please introduce the main reasons for this policy adjustment. Will the changes in the ways of granting agricultural support under the new Farm Bill influence the position of the U.S. in the agricultural

negotiations of the Doha Development Agenda? 请美方介绍这一政策调整的主要考虑？新《农业法案》中农业支持方式的转变是否将影响美国在多哈回合农业谈判的立场？

RESPONSE: The 2014 Farm Bill provides an updated farm safety net for producers, emphasizing farmers’ participation in crop insurance programs. Payments under the new programs continue to be decoupled from actual farm production decisions. The 2014 Farm Bill does not change the U.S. position in the agricultural negotiation of the Doha Development Agenda. The United States is prepared to negotiate seriously about meaningful reforms, in particular market access opening, and will be prepared to do its part.

回复：2014年《农业法案》为生产者提供了最新的农业安全网络，强调农民在农作物保险计划中的参与度。新计划项下的支付款项仍不与实际的农业生产决定相对应。2014年《农业法案》并未改变美国在多哈发展议程的农业谈判中的立场。美国已经准备好正式参加有意义的相关改革（尤其是关于市场准入开放问题的改革）的磋商。

Page 102, Para 4.3

The report states that “These three measures (DP, CCP, and ACRE) have been replaced by two new measures,

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the Price Loss Coverage (PLC) and Agriculture Risk Coverage (ARC). ”.

Question 127:

According to some experts, the only substantive difference between the new measures and the old ones is that farmers may obtain subsidies more conveniently and with higher amount under the new measure due to changed price setup and base period. Does the U.S. agree with this comment? 有专家研究指出，新老措施的实质性区别仅在于新措施的价格设定和基期更新使农民更容易获得补贴且补贴额更高，美国是否认同这一说法？

RESPONSE: Under the 2014 Farm Bill, fixed annual payments came to an end with the repeal of the DP program. Commodity program payments under the PLC and ARC programs over the 2014-2018 period covered by the new Farm Bill will depend entirely on market and weather events. While payments under these two new programs will likely be more variable than the combination of fixed and variable payments under the 2008 Farm Bill, payments under these programs were projected by the Congressional Budget Office to be lower than projected payments over the same period had the 2008 Farm Bill programs continued unchanged.

回复：根据 2014年《农业法案》，固定年度补贴将随着 DP计划的结束而结束。新《农业法案》中2014年至 2018年的 PLC和 ARC计划商品计划补贴将完全取决于市场和气候条件。虽然较 2008年《农业法案》项下的固定和可变补贴混合模式而言，上述两项计划项下的补贴可能更具可变性，但国会预算办公室预期此类计划项下的补贴将少于按照 2008年《农业法案》规定提供的补贴金额。

Page 102, Para 4.4

The report states that “In the PLC programme, deficiency payments are provided when commodity prices fall below the statutory "reference prices".”.

Question 128:

Please describe how is the “reference prices” of the PLC programme determined. Will American farmers obtain subsidies more easily due to the higher reference price under the new Farm Bill? 请介绍，美方如何确定 PLC项目的“参考价格”？在新《农业法案》下的较高的参考价格是否使美国农民更易获得补贴？

RESPONSE: The reference prices in the Price Loss Coverage (PLC) program were mandated in the 2014 Farm Bill. The prices reflect a significant shift in market dynamics seen over the past several years. Under previous law, farmers received payments regardless of market situations. The new programs make payments when prices decline, but they continue to be decoupled from actual farm production decisions.

回复：2014年《农业法案》设定了价格损失保险（PLC）计划中的参考价格。这些价格反映了市场在87

过去几年间的巨大变化。根据原法律，无论市场状况如何，农民将始终获得补贴。而新计划则仅在价格下降时发放补贴，但仍与实际农业生产决定无关。

Page 102, Para 4.4

The report states that “The PLC payments are coupled to current prices, but decoupled from actual production, to the extent that payments are based on historical yields and a percentage of historical planted acres (base acres). Farmers have a one-time opportunity under the new Farm Bill to update their historical payment yields and re-allocate base acreage, which may more closely align base acres with recent planting, thereby linking payments to a more recent base period.”.

Question 129:

According to some comments, farmers are permitted under the new Bill to change their base period output level in programs such as the PLC and ARC, which will usually be higher than the output under the base period of the 2008 Farm Bill. This will enable farmers to obtain more subsidies. Would the U.S. please make

some comments on this? 有评论认为，新法案允许农民根据近年产量变更 PLC 和 ARC 等计划的基期水平，且普遍高于《2008年农业法案》的基期产量水平。将使农民获得更多的补贴。希望美方予以澄清。

RESPONSE: Landowners can reallocate (but not increase) their base acres and update (increase) their program yields. More specifically, between September 29, 2014 and February 27, 2015, owners of farms have a one-time opportunity to: (1) maintain the farm’s 2013 base acres of covered commodities through 2018; or (2) reallocate base acres among those covered commodities planted on the farm at any time during the 2009 - 2012 crop years (excluding upland cotton bases). Land owners are provided a one-time opportunity to update program payment yields for each covered commodity for which they have base acres using 90 percent of the farm’s 2008-2012 average yield per planted acre, excluding any year in which the covered commodity was not planted. Program payment yields are used to determine payment amounts for the PLC program; however, all farm owners have the option of updating yields regardless of program participation. The ability to update yields and reallocate base will increase payments. More information on base reallocation and yield updating can be found at: http://www.fsa.usda.gov/FSA/newsReleases?area=newsroom&subject=landing&topic=pfs&newstype=prfactsheet&type=detail&item=pf_20140925_insup_en_arcplc.html

回复：土地所有人可以重新分配（但非增加）其基本面积，并更新（增加）其计划产量。尤其是，在2014年 9 月 29 日至 2015年 2 月 27 日期间，农场所有人有一次机会：(1) 维持农场的 2013年保险覆盖商品的基本面积直至 2018年；或(2) 对 2009年至 2012年农事年的任何时间在农场上种植的保险覆盖

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的商品，可在其间重新分配基本面积（不包括陆地棉基数）。土地所有人有一次机会利用农场 2008

年至 2012年的每亩种植土地平均产量的 90%（不包括未种植被保险商品的年份），来更新其拥有基本面积的每一种受保险商品的计划补贴产量。计划补贴产量被用于确定 PLC计划的补贴金额；但是，所有农场主均可选择提高产量，而无论其是否参与计划。具备提高产量以及重新分配基数的能力将增加补贴金额。关于重新分配基数和提高产量的更多信息，请参见 http://www.fsa.usda.gov/FSA/

newsReleases?area=newsroom&subject=landing&topic=pfs&newstype=prfactsheet&type=detail&item=pf_20140925_

insup_en_arcplc.html。

Question 130:

How does the level of the reference price in the PLC program compare with that under the 2008 Farm Bill? If the reference price is set at a higher level, will relevant subsidy programs be triggered more easily under the

new Bill? 与《2008年农业法》相比，PLC 计划触发价格（参考价格）水平如何？如果触发价格设置地更高，是否意味着新法案下更易启动有关补贴项目？

RESPONSE: See response to question 128. 回复：请参见问题 128的回复。

Page 102, Para 4.3, 4.7 and 4.8

The report states that “These three measures (DP, CCP, and ACRE) have been replaced by two new measures, the Price Loss Coverage (PLC) and Agriculture Risk Coverage (ARC)…” and “Two long-standing pillars of dairy market support – price supports and export subsidies - have been removed. The dairy deficiency payment programme (Milk Income Loss Contract (MILC) Program) has also been eliminated. Two new policy instruments are introduced in the 2014 Farm Bill. ”

Question 131:

The 2014 Farm Bill introduces some new supporting policies, e.g. PLC, ARC, SCO, STAX, DMPP and DDP. How will these new policy measures be classified according to the definition under WTO rules? Are they

relevant to market price or output? Will they distort production and trade? 2014年《农业法案》增加了一些新的支持政策，PLC、ARC、SCO 和 STAX 以及 DMPP、DDP 等。请说明这些新的政策措施将如何

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在 WTO规则定义下归类。他们是否与市场价格或产量相关？对生产和贸易是否存在扭曲作用？

RESPONSE: The United States has not made any official determination of WTO classification of any programs established in the 2014 Farm Bill. The United States will notify the classification of these programs as part of its official domestic support notification.

回复：美国尚未对 2014年《农业法案》中确立的计划在世贸组织定义中的分类作出任何正式决定。美国将把此计划的分类作为官方国内支持通报的一部分，予以通报。

PLC, ARC, and the dairy programs are based on current market prices, but are decoupled from current production. Insurance-related programs are based on both current prices and production.

PLC、ARC和乳制品计划以即期市场价格为依据，但与即期生产无关。与保险有关的计划同时以即期价格和生产为依据。

Question 132:

The coverage of such policies as crop insurance is expanded and includes fruits, vegetables among other horticultural crops in addition to traditional varieties like wheat, maize, soybean, cotton and peanut. Please explain in detail the difference between the cotton insurance programme and the previous cotton subsidy

policy, and introduce the specific content of the horticultural crop insurance programme. 作物保险等政策涵盖的品种范围有所扩大，除小麦、玉米、大豆、棉花、花生等传统品种外，还增加了水果、蔬菜等园艺作物。请详细解释棉花保险计划与此前的棉花补贴政策有何区别，并介绍针对园艺作物的保险计划的具体内容。

RESPONSE: Under the 2008 Farm Bill, upland cotton was included among covered commodities under the DP, CCP, and ACRE programs. Both the DP and CCP programs made payments on historical cotton area and yield, or base, and did not require continued production of cotton in order to receive payments. ACRE payments were based on current revenue, triggered by differences from benchmark revenues at both the state and farm levels. Payments were limited to a percentage of the revenue difference and by the farm’s total historical base. Upland cotton producers were also eligible to participate in the marketing assistance loan and loan deficiency payment program. They could also purchase traditional crop yield or revenue insurance policies.

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回复：根据 2008年《农业法案》，陆上棉被纳入 DP、CCP和ACRE计划的保险商品范围内。DP和CCP计划均根据棉花历史面积和产量或基数支付补贴，不要求持续生产棉花。ACRE 补贴以即期收入为基础，该州和该农场的基准收入之间的差异均可触发该补贴。补贴不得超过收入差额的一定百分比和农场总历史基数。陆上棉生产商还有资格参与市场支持贷款和贷款差额补贴计划。他们还可投保传统的农作物产量或收入保险。

Under the 2014 Farm Bill, upland cotton is not covered under the PLC or ARC programs. Upland cotton producers continue to be eligible to participate in the marketing assistance loan and loan deficiency payment program, although at a potentially lower loan rate. Traditional crop yield and

revenue insurance policies also continue to be available for upland cotton. 根据 2014年《农业法案》，陆上棉不在 PLC或ARC计划的范围内。陆上棉生产商可继续参与市场支持贷款和贷款差额补贴计划，但贷款利率可能更低。传统的农作物产量或收入保险也仍适用于陆上棉。The new Stacked Income Protection Plan (STAX) provides an additional insurance option for upland cotton producers only. Beginning with crop year 2015, upland cotton producers are eligible to purchase policies under STAX that cover a portion of the expected revenue in a producer’s area, usually a single county. STAX policies can supplement other insurance coverage available through the Federal crop insurance program or be purchased as a stand-alone policy. STAX offers coverage for up to 20 percent of the expected area revenue and can be purchased in increments of 5, 10, 15 or 20 percent. Loss payments begin when area revenue falls below 90 percent of its expected level, unless a producer chooses a lower loss trigger, and reach their maximum when area revenue falls to 70 percent of expected

levels, or to the level covered by a producer’s underlying policy. 新的累计收入保护计划（STAX）仅为陆上棉生产商提供了额外保险选择。自 2015 农事年开始，陆上棉生产商可在 STAX项下购买保险，该保险承保生产商拥有面积（通常在同一县内）内的一部分预期收入。STAX 保险可以为通过联邦农作物保险计划提供的或单独购买的保险提供补充。STAX 提供的保额高达预期面积收入的 20%，可以按 5%、10%、15%或 20%逐步提高的百分比购买。如果面积收入低于其预期水平的 90%，则触发损失补贴，除非生产商选择更低的损失触发额；该补贴在面积收入低于其预期水平的 70%或生产商相关保险承保水平时达到最高值。

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In crop year 2014, during the transition to the new program, holders of cotton base acres under previous commodity programs are eligible to receive payments under the Cotton Transition Assistance Program (CTAP). CTAP payments will be made on 60 percent of the cotton base acres on a farm as of September 30, 2013. In counties where STAX policies are not yet available in crop year 2015, an additional year of payments on 36.5 percent of the same base acres will be available. No production is required on the base acres and if producers choose to plant, there are no restrictions on what may be

grown (including fruits and vegetables, and wild rice). 在 2014 农事年，在新计划的过渡期内，原商品计划项下的棉花基础面积的持有人有资格获得棉花过渡支持计划（CTAP）项下的补贴。截至 2013年9 月 30 日，CTAP 补贴范围是农场棉花基础面积的 60%。在于 2015 农事年无法获得 STAX 保险的县，另外提供一年的补贴，金额为同一面积的 36.5%。对于在基础面积上是否进行生产不作要求，如果生产商选择种植作物，对于可种植的品种（包括水果和蔬菜以及野生稻）不作限制。

Producers of horticultural crops in commercial nurseries have been eligible to purchase insurance coverage under the Nursery Crop policy. USDA’s Risk Management Agency also offers coverage for a variety of fruit and vegetable crops through the Actual Production History, Actual Revenue History, Whole Farm and Dollar plans of insurance. The 2014 Farm Bill does not directly increase the availability of crop insurance for horticultural commodities, but it does provide for purchase of higher levels of coverage under for the Noninsured Crop Assistance Program (NAP). For horticultural and other crops for which traditional crop insurance policies are not available, producers have been eligible to enroll in NAP for protection against yield losses above 50 percent. The 2014 Farm Bill authorizes producers of all NAP eligible crops (except those used for grazing) to elect higher coverage levels up to

65 percent. 商业性苗圃的园艺作物的生产商已经可以投保苗圃作物保险。USDA的风险管理局也通过实际生产历史（Actual Production History）、实际收入历史（Actual Revenue History）、整个农场（Whole Farm）和美元保险计划（Dollar plans of insurance），为各类水果和蔬菜作物提供保险。2014年《农业法案》并未直接增加园艺商品获得农作物保险的可能性，但允许在无保险农作物援助计划(NAP)项下购买更高比例保险。对于传统农作物保险不承保的园艺和其他作物，生产商可以参加NAP，以抵御 50%以上的产量损失。2014年《农业法案》授权所有可以投保 NAP 保险的农作物（不包括用于放牧的农作物）的生产商可以选择更高的保险百分比（最高可达 65%）。

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Page 102, Para 4.7

The report states that “The 2014 Farm Bill introduces a new subsidized insurance programme (Supplemental Coverage Option) that allows eligible farmers to top up their crop insurance, in order to cover a portion of the deductible of the insurance.”.

Question 133:

Please introduce the expected fiscal expenditures for premium subsidies during the implementation period of

the new Farm Bill. 请美方介绍：新《农业法案》实施期内，预计用于保费补贴的财政支出规模是多少？

RESPONSE: The Congressional Budget Office estimated in January 2014 that the total cost of the Supplemental Coverage Option under the 2014 Farm Act would be $544 million over the period FY2014-2018.

回复：议会预算办公室于 2014年 1 月估算，2014年《农业法案》项下的补充保险选择计划的总成本在 2014至 2018财年将达到 5.44亿美元。

Page 103, Para 4.8

The report states that “Some of the biggest reforms will be introduced in the dairy regime. Two long-standing pillars of dairy market support – price supports and export subsidies - have been removed. The dairy deficiency payment programme (Milk Income Loss Contract (MILC) Program) has also been eliminated. Two new policy instruments are introduced in the 2014 Farm Bill.”.

Question 134:

Diary products have always been a key receiver of the U.S. agricultural subsidies. Will the subsidy reforms

regarding diary products in the new Farm Bill help reduce the scale of subsidies in the area? 乳制品一直是美国农业补贴的重点领域。新《农业法案》对乳制品领域的补贴改革是否有助于降低该领域补贴规模？

RESPONSE: Projections indicate that the new dairy programs in the Farm Bill will have outlays over the next five years less than half as large as prior program outlays over the past five years.

回复：根据预期，《农业法案》中的乳制品在未来五年中的计划支出将少于原法案下过去五年的支出的一半。

Page 104, Para 4.9

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The report states that “However, the move from decoupled direct payments to deficiency-payment type instruments linked to current prices could potentially cause an increase in trade and production distortions.”.

Question 135:

Will the move from direct payments to deficiency-payment in respect of agricultural subsidies intensify distortions in agricultural production and trade? Does the U.S. have any plan to properly mitigate such

distortion? 美方认为将农业补贴由直接支付转为差额补足支付，是否会增加对农业生产和贸易的扭曲？美方是否有计划适当降低扭曲程度？

RESPONSE: See response to question 126.

回复：请参见问题 126的回复。

Page 104, Para 4.10

The report states that “The export credit guarantee programme (GSM-102) is maintained, though the maximum loan tenor has been reduced to 24 months, and the US Secretary of Agriculture is granted flexibility to adjust the programme on terms agreed with Brazil in the WTO cotton dispute.”.

Question 136:

Is there any difference between the export credit guarantee program led by the U.S. Department of Agriculture

and the gurantee provided by private financial institutions in terms of scope of application and rates? 美国农业部主导的出口信用担保，在适用范围和费率上与私营金融机构提供的担保是否存在差别？

RESPONSE: A response to this question would require speculation, as we know of no other organization, public or private, that provides the degree of transparency on available coverage and fees that are provided by the United States under this program.

回复：对该问题的回复只能依据推测，因为美方不知道有任何其他公共或私营组织以同样的透明度，提供关于保险适用范围和费率的信息。

Page 106, Para 4.14

The report states that “The PLC is open for enrolment by farmers with eligible historical acreage (base acres) of "covered" commodities.”

Question 137:

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Please elaborate on such historical acreage, including the requirements of historical acreage for the types of crops to be planted and corresponding reasons. How is “eligible” defined? What’s the proportion of such acreage in the total acreages of relevant crops? What are the requirements and procedures for new farmers to enter and current farmers to withdraw from such historical acreage? 请进一步介绍这些历史面积的情况，

“包括历史面积对于种植何种作物的要求及其原因，如何界定 eligible”，这些面积占相关作物总面积的比例，以及相关（新农民）进入和退出这些历史面积的要求和程序。

RESPONSE: Historical acreage refers to the base acreage for the covered commodity (wheat, corn, grain sorghum, barley, oats, soybeans, peanuts, rice, other oilseeds, and pulse crops) in effect on September 30, 2013 and was used to make direct and counter-cyclical payments and limit Average Crop Revenue (ACRE) payments under the 2008 Farm Bill. The base acreage in effect on September 30, 2013, was first established under the 1996 Farm Bill by average plantings for crop years 1991-1995 for wheat, corn, grain sorghum, barley, oats, upland cotton, and rice (note that upland cotton is not a covered commodity under the 2014 Farm Bill). Base acreage was added for other oilseeds and peanuts under the 2002 Farm Bill based on average plantings for crop years 1998-2001 and for pulse crops under the 2008 Farm Bill based on average plantings for crop years 1998-2001. Under the 2014 Farm Bill, producers may reallocate their farm’s base acreage in proportion to the average of planted acreage of the covered commodities on the farm for crop years 2009-2012. The base acreage may not increase from the base acreage in effect on September 30, 2013. The intent was to give producers an opportunity to reallocate their base acreage to reflect more recent planting history. No new base acreage may be established for a farm. Any producer, new or current, may receive payments as long as the farm has base acreage.

回复：历史面积指的是保险覆盖的商品（小麦、玉米、高粱、大麦、燕麦、大豆、花生、大米、其他含油种子和豆类作物）在 2013年 9 月 30 日的有效基本面积。历史面积用于支付直接和反周期性补贴，以及限制 2008年《农业法案》项下的平均农作物收入（ACRE）补贴。基本面积的概念首次出现在1996年《农业法案》中，根据 1991至 1995 农事年小麦、谷物、高粱、大麦、燕麦、陆上棉和大米的平均种植面积确定（注意，陆上棉在 2014年《农业法案》中不是保险覆盖商品）。在 2002年《农业法案》中，基本面积根据 1998至 2001 农事年的平均种植面积确定，并纳入了其他含油种子和花生，并在 2008《农业法案》中，根据 1998至 2001 农事年的平均种植面积，增加了豆类作物的基本面积。根据 2014年《农业法案》，生产商可以根据 2009至 2012 农事年农场种植的保险覆盖商品的平均面积的比例，重新分配其农场基本面积。基本面积不会在 2013年 9 月 30 日的有效基本面积基础上增加，这一做法的目的是使生产商有机会重新分配其基本面积，以反映最新的种植历史。农场不得确定新的

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基本面积。只要农场具备基本面积，任何新的或原有的生产商均可获得补贴。

Page 106, Para 4.16

The report states that “The United States has notified the CCP programme in terms of non-product-specific AMS (de minimis), arguing that payments cannot be ascribed to a specific product.”.

Question 138:

According to the information acquired by China, different products are subject to different target prices and subsidy rates under CCP. In such circumstances, what is the basis for the U.S. to list CCP as non-product-

specific AMS in its notifications? 中方了解的信息显示：CCP 对不同产品分别设定了不同的目标价格和补贴率，在这种情况下，美方在通报中将 CCP列为“非专项性微量允许补贴”有何依据？

RESPONSE: CCP payments were based on fixed historical area and yields (i.e. production) and not current production. Recipients were not required to produce any product to receive payments. Any eligible crop could be grown on the base acres. The 2014 Farm Bill eliminated CCPs.

回复： CCP 补贴以固定历史面积和产量（即生产）为依据，而非即期生产。补贴受益方无须为此生产任何产品。可以在基础面积上种植任何适用补贴的农作物。2014年《农业法案》取消了CCP。

Page 107, Para 4.17

The report states that “The ACRE programme, which also required acceptance of a reduced DP and lower marketing assistance loan rate, was much less popular among farmers than the CCP scheme.”.

Question 139:

Please explain why the ACRE program is far less popular than the CCP scheme. 请美方解释造成 ACRE远不如 CCP项目受欢迎的原因？

RESPONSE: By participating in ACRE, a producer forewent counter-cyclical payments and was subject to a 20-percent reduction in direct payments and a 30 percent reduction in marketing loan rates for the remaining life of the 2008 farm bill. The program contained a two-level trigger (both state and individual), and many perceived it as complicated. In addition to projecting potential ACRE vs. “traditional program” payments when deciding whether or not to participate, producers had to consider two less quantifiable costs: (1) the learning costs associated with the new revenue-based program, and (2) the negotiation costs due to the requirement that all producers/landowners in the

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farm operation must agree to participate.

回复：参加 ACRE后，生产商将放弃反周期性补贴，且在 2008年农业法案的剩余有效期内，直接补贴将减少 20%，市场贷款利率将减少 30%。该计划分为两级（州一级和个人一级），许多人认为该两级安排较复杂。在决定是否参加时，除预期 ACRE 补贴与“传统计划”补贴之间的潜在差异外，生产商还必须考虑两项较小的成本：(1) 与新的基于收入的计划有关的学习成本；以及(2) 由于要求参与农业生产的所有生产商/土地所有者必须全部同意参加计划而产生的谈判成本。

Page 108, Para 4.1.1.2.5-4.1.1.2.6

Question 140:

In the notifications of the U.S., only sugar and dairy products are subject to MPS. Such measures as marketing loan gains and loan deficiency payments that apply to ordinary commodities are notified as non exempt payment. Please explain the difference between the price support for sugar and dairy products and

such measures as marketing loan gains and loan deficiency payments. 在美国的通报中，只有糖和奶制品实行“市场价格支持”（MPS）。一般的产品（commodities）实施的措施如 marketing loan gains, loan

deficiency payments 等，被通报为“非免除的直接支付”（non exempt payment）。请解释糖和奶制品的价格支持与 marketing loan gains, loan deficiency payments 等的区别。

RESPONSE: The marketing assistance loan program does not set minimum market prices. Conversely, the sugar and dairy product programs establish a minimum market price. The marketing assistance loan program operates by providing producers with short-term financing until producers sell their crop. The loan is made on a “per-unit” loan rate. When market prices are at or above the loan rate, producers repay the loan principal (having sold their crop at the higher market price). When the market prices received by producers are below the loan rate, producers repay the loan at the lower market price and keep the difference.

回复：市场支持贷款计划并未设定最低市场价格，而蔗糖和乳制品计划设定了最低市场价格。市场支持贷款计划向生产商提供短期融资，直至生产商销售其农作物。贷款的利率是按“每单位”确定的。如果市场价格等于或高于贷款利率，则生厂商将偿还贷款本金（已经以更高的市场价格出售其农作

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物）。如果生产商获得的市场价格低于贷款利率，则生产商将按较低的市场价格偿还贷款并保留差额。

Page 113, Para 4.46

The report states that “The Export Credit Guarantee Program (GSM-102) is administered by USDA, which is required by statute to make US$5.5 billion of loan guarantees available each fiscal year, to encourage U.S. private-sector financing of commercial exports of U.S. agricultural products, particularly to developing countries……the statutory requirement that fees cover the operating costs and losses of the programme over the long term.”.

Question 141:

What are the conditions to be satisfied by enterprises to enjoy the export credit guarantee program? 请介绍企业适用出口信用担保计划应符合哪些条件？

RESPONSE: Qualification criteria can be found at the following website:  https://www.federalregister.gov/articles/2014/11/18/2014-27129/ccc-export-credit-guarantee-gsm-102-program-and-facility-guarantee-program-fgp#h-4

回复：关于资质标 准，请参见 https://www.federalregister.gov/articles/2014/11/18/2014-27129/ccc-

export-credit-guarantee-gsm-102-program-and-facility-guarantee-program-fgp#h-4。

Question 142:

Is “over to long term” subject to any specific timeframe? Are the relevant legal requirements in compliance with the “Self-financing” provisions in Appendix J 3 (b) of the 2008 Modalities Text (TN/AG/W/4/Rev. 4)? Will this affect the position of the U.S. in the DDA agricultural negotiations? Will this affect the U.S. in

implementing the Ministerial Declaration on Export competition in the Bali Package? 请说明“over the long

term”是否有具体的时间要求。相关的法律要求是否符合“2008模式案文”（Rev. 4）附件 J3（b）关于自主融资的条款？是否影响美国在多哈回合农业谈判的立场？是否影响美国执行巴厘一揽子协定中关于出口竞争的部长宣言？

RESPONSE: The definition of long term is contained in the authorizing statute for the Export Credit Guarantee program.  Currently the statute defines long term as meaning a period of 10 years or more.  Appendix J 3 (b) of the 2008 Modalities Text TN/AG/W/4/Rev. 4 is merely draft text at this time.

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回复：出口信用担保计划的授权法案载明了“长期”的定义。目前，该制定法将“长期”定义为 10

年或更久。“2008模式案文”附件 J3(b)（TN/AG/W/4/Rev. 4）目前仅为草案。

Page 113, Para 4.48

The report states that “The Foreign Agricultural Service of the USDA administers four export promotion programmes, which were reauthorized until FY2018 without changes in funding.”.

Question 143:

Please introduce the expected total expenditure for export promotion during the implementation period of the

new Farm Bill and the changes compared with before. 请美方介绍：预计新《农业法案》实施期内的出口促进支出总规模是多少？较此前有何变化？

RESPONSE: The Farm Bill authorizes annual levels of $200 million for the Market Access Program (MAP), $34.5 million for the Foreign Market Development program (FMD), $10 million for the Emerging Markets Program (EMP), and $9 million for the Technical Assistance for Specialty Crops program (TASC).  However, these funds are sequestered, and the sequestration level has been different for each of the three sequestered years so far.  In 2013 it was 5.1%, in 2014 it was 7.2%, in 2015 it is 7.3%. 

回复：根据《农业法案》授权，市场准入计划（MAP）的年度支出标准为 2亿美元，外国市场开发计划（FMD）的年度支出标准为 3450万美元，新兴市场计划（EMP）的年度支出标准为 1000万美元，特种农作物技术支持计划（TASC）的年度支出标准为 900万美元。但是，此类基金的支出金额适用财政截留，历年截留水平迄今各不相同，2013年为 5.1%，2014年为 7.2%，2015年为 7.3%。

Total Expected Expenditure Levels for Agriculture Export Promotion Programs 农业出口促进计划的预期支出水平总额

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*Note, sequestration levels have not yet been determined for 2016, 2017, and 2018. 注：2016年、2017

年和 2018年的财政截留水平尚未确定。

Page 113, Para 4.50

The report states that “The agency provides short-term and long-term loans at preferential interest rates, and guarantees up to 95% of private loans. Emergency loans are subject to an official disaster declaration of a county. In FY2014, US$5.5 billion are available for farm loan programmes.”.

Question 144:

Please introduce the expected total expenditure of agricultural credit subsidy during the implementation period of the new Farm Bill and the changes compared with before. 请美方介绍：预计新《农业法案》实施期内的农业信贷补贴支出总规模是多少？较此前有何变化？

RESPONSE: The new Farm Bill makes relatively minor changes to credit programs.  Provisions which expand loan eligibility will increase program demand, but the number of farmers affected is expected to be relatively small.

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Authorized 授权 Sequestration 财政截留 Expected 预期FY 财年 Level (in millions) 水 平（百万美元） Rate 率 Expenditure 支出2006 $246.5 0.0% $246.50

2007 $246.5 0.0% $246.50

2008 $248.5 0.0% $248.50

2009 $251.5 0.0% $251.50

2010 $252.5 0.0% $252.50

2011 $253.5 0.0% $253.50

2012 $253.5 0.0% $253.50

2013 $253.5 5.1% $240.57

2014 $253.5 7.2% $235.25

2015 $253.5 7.3% $234.99

2016 $253.5 TBD待定* TBD待定2017 $253.5 TBD待定* TBD待定2018 $253.5 TBD待定* TBD待定

回复：新《农业法案》对信贷计划所作的变更相对较少。扩大贷款申请适用范围的规定将增加对该计划需求，但受此影响的农场数量预计相对较少。

Page 115, Para 4.57

The report states that “The new Farm Bill retains the federal crop insurance programme, albeit with a number of amendments and increased spending for subsidized crop insurance. ”.

Question 145:

Please introduce the expected total expenditure of crop insurance subsidy during the implementation period of the new Farm Bill and the increase margin compared with before. 请美方介绍：预计新《农业法案》实施期内的农作物保险补贴支出总规模是多少？较此前增幅多大？

RESPONSE: According to the Congressional Budget Office, direct spending outlays for the crop insurance program are projected to be around $41.4 billion for FY2014-2018.  This includes a $1.8 billion increase due to the Farm Bill.  In the past, premium subsidies have represented approximately two-thirds of total program cost. 

回复：国会预算办公室称，2014至 2018财年农作物保险计划的直接支出预期约为 414亿美元，其中包括由于《农业法案》增加的 18亿美元。过去保费补贴约占计划总成本的三分之二。

Page 116, Para 4.64

The report states that “The average tariff on imports of agricultural products (WTO definition) into the United States in 2014 was 9.0%, slightly higher than in 2012 due to lower commodity prices, which led to higher ad valorem equivalents for tariff lines with specific or compound duties (Table 3.2).”.

Question 146:

The U.S. tariff on agricultural products is remarkably higher than its average tariff and a considerable number of commodities are subject to tariff peaks. While the U.S. has already supported its domestic industry by providing large amount of agricultural subsidies, is it necessary to continue to maintain high tariff barriers to agricultural products? 美国农产品关税显著高于其平均关税水平，且相当数量的商品存在关税高

峰。在美国已通过高额农业补贴对国内产业提供支持的情况下，继续为农产品设置较高的关税壁垒是否必要？

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RESPONSE: The United States applies tariffs at or below its WTO bound rates, in accordance with the commitments made by the United States during the Uruguay Round. The U.S. applied tariff for agricultural products is below the Chinese applied tariff rate of 14.8%

回复：根据在乌拉圭回合期间作出的承诺，美国实施税率等于或低于其世贸组织约束税率。美国的农产品实施税率低于中国 14.8%的实施税率。

Page 117, Para 4.67

The report states that “Notifications by the United States to the WTO Committee on Agriculture cover domestic support through marketing year 2011. Total support to agriculture was US$139.5 billion, an 8% increase over the 2010 marketing year, largely because of higher expenditures for domestic food aid (Table 4.2).”.

Question 147:

What changes does the U.S. expect to the total scale of agricultural support during the whole implementation period of the new Farm Bill? 请美方介绍：预计在新《农业法案》的整个实施期内，农业整体支持规模将有何变化？

RESPONSE: According to the Congressional Budget Office, expenditures under the 2014 Farm Bill, which covers a wide variety of types of support, are expected to be reduced as compared to projected expenditures under the previous farm bill for the same period.

回复：国会预算办公室称，2014年《农业法案》项下的支出涉及多类支持计划，预期将低于在原农业法案项下预期的同期支出。

Page 117, Para 4.68

The report states that “The OECD's Single Commodity Transfer (SCT) figures show that for commodities receiving commodity-specific support, sugar received the most support in 2010-12 through price support and other measures, followed by sheep-meat and milk. ”.

Question 148:

Please describe the standards adopted by the U.S. in determining the scope of the agricultural products covered by agricultural support and respective supporting amount for each product. Please describe the main

factors considered by the U.S. in providing higher subsidies to sugar, sheep-meat and milk. 美方能否介绍，在确定各类农业支持覆盖的农产品范围，以及各自的支持额度时，采取了怎样的标准？美方对糖、羊

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肉和牛奶提供更高额补贴的主要考虑有哪些？

RESPONSE: Eligibility and payment levels for U.S. agricultural programs were specified in the 2008 Farm Bill and in implementing rules. 

回复：美国农业计划的补贴申请资质以及补贴水平在 2008年《农业法案》及其实施细则中加以规定。

Page 119, Para 4.75

The report states that “On 21 July 2010, the "Dodd-Frank Act" was signed into law, instituting the most sweeping set of reforms to the financial regulatory system since the Great Depression. ”.

Question 149:

Has the U.S. assessed the effects and deficiency of the Dodd-Frank Act since its implementation? 对 Dodd-

Frank法案实施以来的成效和不足，美方有无相应评估？

RESPONSE: Please see the “Financial Stability Oversight Council 2014 Annual Report”; (http://www.treasury.gov/initiatives/fsoc/Documents/FSOC%202014%20Annual%20Report.pdf

回复：请参见《2014年金融稳定监督委员会年度报告》（http://www.treasury.gov/initiatives/fsoc/

Documents/FSOC%202014%20Annual%20Report.pdf）。

Question 150:

According to some analysis, the Act has not addressed the problem of erroneous pricing of government guarantee prevalent in the U.S. financial institutions. And the distortion of the U.S. financial market caused by this problem still exist What’s the U.S. comment on this? Does the U.S. plan to further improve relevant legislations? 有分析认为，该法案未解决美金融部门普遍存在的政府担保的错误定价问题，由此造成的美金融市场扭曲仍然存在。美方对此作何评价？未来是否有进一步改进相关立法的计划？

RESPONSE: The Dodd-Frank Act is still being implemented. Further details on the U.S. response to the financial crisis are available in the Economic Report of the President, available at: http://www.whitehouse.gov/sites/default/files/docs/full_2014_economic_report_of_the_president.pdf

回复：《多德-弗兰克法案》仍在实施。关于美国对金融危机的应对，请参见总统经济报告（http://

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www.whitehouse.gov/sites/default/files/docs/full_2014_economic_report_of_the_president.pdf）。

Question 151:

Please describe the main contents and policy objectives of the Volcker Rules and its impacts on the global

financial market. 请介绍沃克尔规则的主要内容和政策目标，并评述其对全球金融市场的影响。

RESPONSE: The Volker Rule became effective in April 2014. It generally prohibits banks and their affiliates from engaging in proprietary trading and sponsoring or investing hedge funds or private equity funds. Details are available at: http://www.gpo.gov/fdsys/granule/FR-2014-01-31/2013-31476

回复：《沃尔克规则》于 2014年 4 月起生效，该规则原则上禁止银行及其关联方参与自营交易，以及发起或投资对冲基金或私募基金。关于具体信息，请参见 http://www.gpo.gov/fdsys/granule/FR-2014-

01-31/2013-31476。

Page 119, Para 4.75

The report states that “(a) the Financial Stability Oversight Council (FSOC) was created to identify risks to financial stability emanating from both large, interconnected banks and nonbank financial companies, promote market discipline by eliminating expectations of government bailouts, and respond to emerging threats to financial stability.”.

Question 152:

What policy tools can FSOC apply within its authority to “respond to emerging threats to financial stability”?

请介绍，金融稳定监察委员会（FSOC）在其职权范围内，可通过哪些政策工具“对危及金融稳定的威胁做出反应”？

RESPONSE: FSOC highlights its recent efforts to respond to emerging threats to the stability of the U.S. financial system in its 2014 Annual Report, available at: http://www.treasury.gov/initiatives/fsoc/Documents/FSOC%202014%20Annual%20Report.pdf

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回复：FSOC在其 2014年年报中，强调了其近期为应对美国金融系统的稳定性遭遇的新兴威胁采取的措施，具体请参见 http://www.treasury.gov/initiatives/fsoc/Documents/FSOC%202014%20Annual

%20Report.pdf。

Page 119, Para 4.78

The report states that “The U.S. banking agencies have adopted most of the Basel III capital requirements by issuing a final rule in July 2013. They are currently engaged in rulemaking, or are planning to commence rulemaking, to adopt other Basel III capital and liquidity standards. ”.

Question 153:

China welcomes the U.S. efforts to strengthen the prudential supervision of its banking sector. Does the U.S.

have a definite timetable for the comprehensive implementation of Basel III? 中国对美国加强银行业审慎监管的努力表示欢迎。请问美方对全面执行巴塞尔 III 标准有无明确的时间表？

RESPONSE: U.S. banking agencies have now adopted the final rules implementing Basel III standards. Those rules are now effective. Full implementation is January 1 2019. Details are available in the final rule, available at: “Regulatory Capital Rules: Regulatory Capital, Implementation of Basel III, Capital Adequacy, Transition Provisions, Prompt Corrective Action, Standardized Approach for Risk-weighted Assets, Market Discipline and Disclosure Requirements, Advanced Approaches Risk-Based Capital Rule, and Market Risk Capital Rule”; Final Rule, Federal Reserve System, 12 CFR Parts 208, 217, and 225, Federal Register, Vol. 78, No. 198/ October 11, 2013 http://www.gpo.gov/fdsys/pkg/FR-2013-10-11/pdf/2013-21653.pdf

回复：目前，美国银行管理机构已经通过了关于执行巴塞尔 III 标准的最终规则，此类规则现已生效，美将于 2019年 1 月 1 日起全面执行巴塞尔 III 标准。有关具体信息，请参见最终规则“资本调整规则：资本调整、巴塞尔 III实施、资本充足、过渡规定、即时整改行动、标准化风险加权资产方式、市场规则和披露要求、基于风险的资本规则先进方式以及市场风险资本规则”（最终规则，联邦储备委员会制度，《联邦法规》第 12篇第 208、217和 225部分，联邦政府公报，第 78卷，第 198 号/2013年10 月 11 日）http://www.gpo.gov/fdsys/pkg/FR-2013-10-11/pdf/2013-21653.pdf

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Page 122, Para 4.81

The report states that “However, more progress is needed in some areas, notably in terms of "shadow banking", i.e. given the size and prominence of money market mutual funds in short-term funding markets, their regulation should be reinforced to further enhance financial stability”.

Question 154:

Has the U.S. assessed the current scale of “shadow banking” in the U.S.? 请美方介绍：对目前美国“影子银行”的规模，美方有无评估？

RESPONSE: Details are available in the Office of Financial Research’s 2012 Annual Report, Page 14 , available at:

回复：关于具体信息，请参见金融研究办公室的 2012年年报第 14页：http://www.treasury.gov/initiatives/wsr/ofr/Documents/OFR_Annual_Report_071912_Final.pdf

Question 155:

China hopes that the U.S. may share its experience in regulating “shadow banking”. What measures has the U.S. adopted to control the financial risks caused by “shadow banking” and what further steps are expected?

中方希望美方分享其在应对“影子银行”方面的监管经验。请美方介绍，为控制“影子银行”引发的相关金融风险，美国采取了哪些措施？未来还计划采取哪些进一步举措？

RESPONSE: RESPONSE: The United States has made significant progress in addressing potential systemic risks to financial stability emanating from the shadow banking system. The Dodd-Frank Act has led to a stronger, better regulated, and more resilient financial system. The Dodd-Frank Act also gave the Financial Stability Oversight Council (“the Council”) the ability to expand the regulatory perimeter to subject certain nonbank financial companies that could pose a threat to U.S. financial stability to Federal Reserve supervision and enhanced prudential standards.

回复：影子银行对金融稳定性造成了潜在的系统风险，而美国在解决此类风险方面已取得了长足进步，通过《多德-弗兰克法案》建立了受到更好监管且更具韧性的金融系统。该法案还给予金融稳定监督委员会（“委员会”）扩大监管范围，使某些可能对美国金融稳定造成威胁的非银行金融公司适用美联储监督的能力，并强化了审慎标准。

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New policy measures are also in place or being developed to address the risks posed by shadow banking activities, including money market funds (MMFs), the tri-party repo market, and hedge funds. In July 2014, the SEC approved final rules to reform MMFs. The final rules, combined with initiatives undertaken in 2010, are intended to reduce MMFs’ vulnerability to investor runs, particularly in times of stress, as well as increase transparency to investors. U.S. banks have reduced their reliance on short-term funding and have largely shifted to secured funding transactions with higher quality collateral. The U.S. has made substantial progress in reducing intraday credit exposure and reforming collateral practices in the tri-party repo market. The United States has taken steps to enhance oversight of hedge funds.  Most hedge fund advisers are now required to register and to file comprehensive portfolio risk

information with U.S. regulators, making it among the most stringent reporting regimes in the G-20. 为解决包括货币市场基金（MMF）、三方回购市场以及对冲基金在内的影子银行活动造成的风险，美国已制定并正在制定新的政策措施。2014年 7 月，美国证监会批准了改革货币市场基金的最终规则。最终规则与 2010年采取的措施一道，旨在增强货币市场基金对投资者行动的抵抗力，尤其是在重压之下，并增加了对投资者的透明度。美国银行对短期资助的依赖度已有所降低，已经在很大程度上转向更高质量的有担保资助交易。在减少当日信贷敞口以及改革三方回购市场中担保品惯例方面，美国已经取得了长足进步。美国已经采取措施，以加强对对冲基金的监督。大部分对冲基金顾问目前已被要求向监管机构登记并申报全面的组合风险信息，这使美国成为G-20中报告制度最严格的成员之一。

Page 122, Para 4.81

The report states that “Moreover, the IMF has warned that "too big to fail" banks are still major sources of systemic risks and has called for tighter supervision. The implicit subsidy for "too big to fail" banks in the United States is estimated at about US$70 billion.”.

Question 156:

Please describe the legal basis and ways for providing such implicit subsidy. 请美方介绍，提供这些隐性补贴的主要法律依据？这些补贴主要是通过何种方式提供的？

RESPONSE: See the 2011 FSOC Study & Recommendations Regarding Concentration Limits on Large Financial Companies, which notes that Dodd-Frank “establishes a financial sector concentration limit that generally prohibits a financial company from merging or consolidating with, or acquiring,

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another company if the resulting company’s consolidated liabilities would exceed 10 percent of the aggregate consolidated liabilities of all financial companies…The financial sector’s concentration limit should help reduce the prospects for any increase in implicit subsidy for the nation’s largest financial firms.” Additional details are available at: http://www.treasury.gov/initiatives/Documents/Study%20on%20Concentration%20Limits%20on%20Large%20Firms%2001-17-11.pdf

回复：请参见《2011年金融稳定监管委员会关于大型金融公司集中的限制的研究和建议》，其中指出，《多德-弗兰克法案》“建立了一套对金融业集中的限制，如果某金融公司与另一公司的合并或并购或收购另一公司会导致交易后形成的公司的合并负债超过所有金融公司负债总额的 10%，则原则上禁止该合并、并购或收购...对金融业的集中的限制将有助于降低给予美最大金融公司的隐形补贴的增幅 ” 。 其 他 相 关 内 容 ， 请 参 见 http://www.treasury.gov/initiatives/Documents/Study%20on

%20Concentration%20Limits%20on%20Large%20Firms%2001-17-11.pdf。

Question 157:

China understands the concerns of the U.S. with maintaining financial stability, but China is concerned about the significant implicit subsidy that the U.S. provided for the"too big to fail" banks to function. Although there are no prohibitive provisions in the WTO agreements on service subsidies, such high amount subsidies granted to the banking sector is transmissible and will severely distort the downstream real economy and

markets. Please offer the U.S. opinions of this issue. 中方理解美国对维护金融稳定的关切，但美方为维持超大型银行（"too big to fail" banks）运营，不惜投入巨额隐性补贴，中方对此表示关注。虽然世贸组织对服务补贴并无禁止性规定，但对银行业如此高额的补贴无疑将具有很强的传导性，足以对下游实体经济和市场造成极大扭曲。请问美方如何看待这一问题？

RESPONSE: Please see answer to question 156. 回复：请参见对问题 156的回复。

Question 158:

As the U.S. financial market gradually stabilizes, does the U.S. plan to gradually reduce the scale of such

implicit subsidies? 随着美国金融市场逐渐趋稳，美国是否有计划逐步削减这些隐性补贴的规模？

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RESPONSE: Please see answer to question 156. 回复：请参见对问题 156的回复。

Page 123, Para 4.82

The report states that “The telecommunications market in the United States is the largest in the world by revenue (US$526 billion in 2011, up from US$400 billion in 2007), and ICT spending at US$1.2 trillion in 2013, i.e. about a quarter of worldwide spending.”.

Question 159:

The U.S. telecommunications service has been growing rapidly in recent years. Please introduce the specific

sub-sectors which have been the main growth points in the industry. 近年来美电信服务增长迅速，请美方介绍，哪些分部门（sub-sector）是美电信服务的主要增长点？

RESPONSE: The greatest growth in the U.S in the telecommunications market, as in other countries, has been in the wireless sector, which now surpasses the wireline market both by subscribers (over 300 million, as compared with 110 million wireline subscribers) and revenue (over $200 billion). Driving this is the prevalence of smartphone, now accounting over 90 % of new devices sold, and the consequent explosion of mobile data, which increased over 80% in 2013, and now accounts for almost half of mobile service revenue (CTIA).

回复：与其他国家一样，美国电信市场的最大增长点在无线行业，目前在用户（3亿人以上，而有线用户人数为 1.1亿人）和收入（2000亿美元以上）上均已超过有线市场。造成该现象的原因是智能手机的畅销（目前智能手机在新售出的设备中占比已达到 90%以上），以及随之开始的移动数据量剧增（在 2013年已经增长了 80%以上，目前几乎占全部移动服务业收入的一半）（CTIA）。

Page 124, Para 4.89

The report states that “The principal legislation covering telecommunications remains the Communications Act of 1934 and its amendments, and the Telecommunications Act of 1996. The Federal Communications Commission (FCC) is responsible for "regulating interstate and international communications by radio, television, wire, satellite, and cable. The National Telecommunications and Information Administration (NTIA) of the Department of Commerce is the principal advisor to the President on telecommunications and information policy issues. The International Communication and Information Policy (CIP) Office in the Department of State, along with the FCC and NTIA, represent the United States in bilateral and multilateral affairs concerning telecommunications, the Internet, and information technology. The United States Trade Representative (USTR) is responsible for developing and coordinating trade policy, including the negotiation

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and enforcement of specific provisions relating to telecommunications in the trade agreements to which the United States is a party.”.

Question 160:

Please describe the positions and roles of FCC, NTIA, CIP and USTP in the policy-making regarding foreign-invested telecommunications services. Is there any other legal basis besides the Telecommunications Act of

1996? FCC、NTIA、CIP 和 USTR 在电信外资政策中的地位和作用是什么？除 1996年《电信法》之外，是否还有其他相关法律索引？

RESPONSE: The WTO report quoted above is accurate. In addition to the Communications Act of 1934, amended in 1996, there are various laws that address specific policy issues relevant to telecommunications policy, such as the Open-market Reorganization for the Betterment of International Telecommunications Act ORBIT Act (relating to satellite services); the Digital Millennium Copyright Act (DMCA—which includes provisions relating to ISP liability) and the Children’s Online Privacy Protection Act (COPPA).

回复：以上引述的世贸组织报告内容准确。除 1934年《电信法》（1996年曾修订）外，还有其他各类法律，旨在解决与电信政策有关的特定政策问题，如《关于改进国际电信服务的开放市场组织法》（ORBIT法，与卫星服务有关）、《数据千年版权法》（DMCA ，该法包含与 ISP 责任有关的规定）以及《儿童网络隐私保护法》（COPPA）。

Page 124, Para 4.90

The report states that “Section 310 of the Communications Act, restricts granting of a common carrier wireless licence to foreign governments, as well as to any non-U.S. citizens or corporations, or any corporation with more than 20% foreign ownership. However, under its statutory "forbearance" authority, the FCC has determined that it will not apply the 20% limit to the class of common carrier wireless licensees in which the foreign investment is held in the licensee through U.S.-organized entities that do not control the licensee, to the extent the FCC determines, upon the filing of a petition for declaratory ruling by the licensee, that the particular foreign investment is consistent with the public interest. In addition, where a common carrier wireless licensee is controlled by a U.S.-organized parent company, Section 310 allows foreign individuals, corporations, or governments to own and vote 25% of the U.S. parent's capital stock. In all cases, whether an applicant is domestic or foreign, the FCC is authorized to attach conditions to a licence, or to deny a licence, if it finds it is in the public interest to do so.”

Question 161:

We note that in 2014 the FCC conducted internal voting for such issues as 310 license issuance and examination, and thereafter the FCC has actually expanded its review authority and discretionary power over

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the qualification of 310 license applicants, which are realized mainly through employing the so-called “public interest”. Please describe the definition of “public interest” by the FCC. Is there any legal basis for “public interests”? How is “inconsistent with public interest” determined? Is such determination based on qualitative

or quantitative analysis? Are there any criteria of measurement? 我们注意到，2014年 FCC专门就 310牌照的发放、审核等事宜进行过内部投票，此后，FCC 对 310申请人资质的审核权力、自由裁量权等实际上扩大了，这主要是通过所谓“公共利益”的运用实现的。请问，FCC 如何界定“公共利益”？“公共利益”一词是否有法律索引？“有损公共利益”如何考量？偏重于定性还是定量分析，是否有一些具体的衡量标准？FCC 有无相关内部文件？

RESPONSE: We do not understand the statement that “the FCC has actually expanded its review authority and discretionary power over the qualification of 310 license applicants, which are realized mainly through employing the so-called ‘public interest.’”  This statement appears to be based on a misunderstanding of the Commission’s forbearance decision referred to in the excerpt from Page 124, Para 4.90.  In fact, the FCC’s forbearance decision specifically implemented a means for common carrier wireless licensees to exceed the 20% foreign ownership limit in the Communications Act under the same “public interest” standard that it has used in exercising its discretionary authority to allow common carrier wireless licensees’ U.S. parent companies to exceed the 25% foreign ownership limit.

回复：美方不理解“FCC对 310 申请人资质的审核权力、自由裁量权等实际上扩大了，这主要是通过所谓‘公共利益’的运用实现的”的表述。中方似乎错误理解了第 124页第 4.90 段载明的委员会容忍决定。事实上，FCC的容忍决定是允许普通无线传输业务持牌人的外资占比超过《电信法》规定的20%的上限，且其所依据的“公共利益“标准即为 FCC在行使其自由裁量权允许普通无线传输业务持牌人的美国母公司的外资占比超过 25%限制时所依据的标准。

The public interest standard for granting common carrier wireless licenses to companies with foreign ownership that would exceed the limits in the Communications Act has not changed for WTO investors.  Following the WTO conclusion of negotiations on basic telecommunications and adoption of the Fourth Protocol, the FCC adopted a “rebuttable presumption” that foreign investment from WTO Member countries in common carrier licensees does not pose competitive concerns in the U.S. market.  The FCC continues to apply that presumption.  The FCC also continues to consider, as part of its public interest analysis, any national security, law enforcement, foreign policy or trade policy concerns that may be raised by proposed foreign investment that would exceed the limits of the Communications Act. 

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用于向外资占比超过《电信法》限制的公司授予普通无线传输业务牌照的公共利益标准对来自世贸组织成员的投资者同样适用。在世贸组织关于基本电信的磋商结束并通过第四份《议定书》后，FCC 采用了一项“可反驳的假设”，即来自世贸组织成员的外国投资人对普通传输业务持牌人的投资不会在美国市场造成竞争关切。FCC将继续适用该假设，并将继续在其公共利益分析中考虑外资占比将超过《电信法》限制的拟议外国投资所引起的任何国家安全、执法、对外政策或贸易政策问题。 

Page 124, Para 4.91

The report states that “The FCC seeks the advice of other government agencies on matters concerning national security, law enforcement, foreign policy and trade policy concerns when it considers an application from an entity with foreign ownership interests to provide international telecoms services or to acquire control of, or the regulated telecom assets of, an existing provider of domestic or international telecoms services.”.

Question 162:

Please provide details of the advice-seeking mechanism, including the involved governmental departments, the procedure and schedule of seeking advice, how to address disagreement among relevant departments, how will the advice impact the FCC decision, and the remedies available to applicants whose applications are

rejected. 请美方介绍此处的“寻求建议”机制的具体情况，包括涉及哪些相关政府部门、寻求建议的程序和时间表，若部门间意见不一致如何解决、建议内容对 FCC 的决定有何影响、申请被拒绝后申请人的救济程序等。

RESPONSE: Executive Branch agencies have the opportunity indicate their interest in reviewing any application to the FCC within three weeks of the FCC publication of such application. Such review is an opportunity for the Executive Branch to offer advice to the FCC regarding any foreign applicant seeking a license to operate in the United States or to provide international services from the United States. Such agencies communicate their advice to the FCC, and any resulting conditions imposed on a licensee by final FCC action become part of a public record. To date, the FCC has not denied an application based on foreign ownership.

回复：行政机构有机会在 FCC公布申请之日后三周内，向 FCC表示对任何申请的审查意向。此类审查使行政部门有机会向 FCC 提供关于拟申请在美国运营的许可或从美国提供国际服务的外国申请人的建议。行政机构将向 FCC 提供其意见，FCC如最终因此要求持牌人遵守任何条件，将在公开记录

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中载明。迄今为止，FCC尚未因外国所有权而驳回任何申请。

Question 163:

Please clarify the relationship between the advice-seeking mechanism in the context and the

“telecommunications team” , as well as CFIUS. 请美方澄清，此处的“寻求建议”机制与“电信小组”的关系，以及与外商投资安全审查机制（CFIUS）的关系。

RESPONSE: Executive Branch advice relating to new telecommunications licenses and transfers of control of licenses is conducted directly with the FCC, under licensing procedures governed by FCC regulations. CFIUS decisions only relate to acquisitions, as opposed to new licenses. Such deliberations may involve the same Executive Branch agencies, but the process is governed by a separate statute, and the process is chaired by the Department of the Treasury.

回复：根据 FCC法规确定的许可流程，行政机构就新的电信业许可证发放，以及许可证控制权变更直接向 FCC 提出相关建议。外国投资安全审查委员会（CFIUS）仅能就收购做出决定，而无权干预新许可证发放。此类审议可能涉及同一行政机构，但审议流程将由专门立法确定并将由财政部主持。

Question 164:

Please list the departments whose advice may be solicited. The application for 214 license submitted by China Mobile is still pending and has exceeded the time limit of policy review. Is this related to the advice-seeking

process? Which department disagreed to issue the license? 请问会咨询哪些其他部门的意见？中国移动214牌照仍处于待定状态，并已超过政策审查时间，是否与此有关？具体哪个部门不同意发放？

RESPONSE: Executive Branch agencies that typically provide advice with respect to license applications include the Department of State, Department of Commerce, and Office of the United States Trade Representative, the Department of Defense, the Department of Homeland Security, and the Department of Justice. China Mobile’s application is being reviewed for law enforcement and national security concerns, the expertise for which reside in the last three agencies noted above.

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回复：就许可申请提供意见的行政机构通常包括国务院、商务部、美国贸易代表办公室、国防部、国土安全部及司法部。中国移动的申请正在接受执法和国家安全审查，这些审查的技术问题由上述最后三个机构负责。

Page 125, Para 4.92

The report states that “The United States' commitments on basic telecommunications attached to the Fourth Protocol of the GATS cover most services.”.

Question 165:

Please describe the status quo of foreign investments in the U.S. telecommunications market, including the

number, business scope and home countries of foreign-invested enterprises. 请介绍：目前美国电信业市场外国投资情况？包括外资企业数量、经营领域及外资来源国等。

RESPONSE: There are hundreds of foreign telecommunications suppliers operating in the U.S. market, and most global operators, including those from China, have a presence in the U.S. market. The third largest mobile operator (Sprint), and fourth largest mobile operator (T-Mobile) are both foreign-owned. Although China Mobile’s license application for common carrier services is still pending, it has operated in the United States since 2013, offering a variety of unlicensed services, such as Internet Protocol transit service.

回复：有成百上千的外国电信服务供应商在美国市场运营，大部分全球运营商（包括来自中国的运营商）在美国市场均有商业存在。美第三大移动运营商（Sprint）和第四大移动运营商（T-Mobile）均是外资公司。虽然中国移动的普通传输业务许可申请仍然未决，但中国移动自 2013年起便已在美国运营，提供各类无牌照服务，比如互联网传输协议服务。

Question 166:

For foreign telecom companies applying for telecommunication business licenses, which kind of license application should be filed to the U.S. federal government’s approval and which kind to the state government?

Please describe the application procedures and main legal basis respectively. 外国电信企业在申请电信业

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务牌照时，哪些业务牌照需向美联邦政府申请，哪些牌照需向州政府申请？申请程序和主要法律依据分别是什么？

RESPONSE: The main licensing processes applicable to foreign operators are those relating to international common carrier services, and submarine cable landing station licenses. Companies seeking to offer wireless services also need a radio license. Companies seeking to operate satellite services need a special license for satellite services. All of these licenses are administered by the FCC, pursuant to regulations governed by the 1934 Communications Act. The same licenses are required for domestic operators.

回复：外国运营商适用的主要许可流程包括国际普通传输服务许可和海底电缆登陆站牌照许可。拟提供无线服务的公司还需要获得无线电牌照，拟提供卫星服务的公司则需取得卫星服务的特殊牌照。所有此类牌照均由 FCC 根据 1934年《电信法》项下的法规管理，国内运营商也适用相同的许可要求。

Companies offering intra-state common carrier services (e.g. local voice services, or intra-state long distance service) generally also need a state authorization, the application procedures for which vary

state by state. The same licenses are required for domestic operators. 提供州内普通传输业务（比如本地声讯服务或州内长途服务）的公司往往还必须取得该州授权，各州的申请流程均不同。国内运营商也适用相同的许可要求。

Question 167:

China notices the open attitude claimed by the U.S. in the area of telecommunications, but also notes that in practice, the national security review for the telecommunication sector is overly strict and in bad need of transparency. As a result, many foreign companies including Chinese ones can not enjoy the market opening

committed by the U.S. 中方对美在电信领域的开放姿态表示赞赏，但注意到：实践中美国电信领域的国家安全审查过于严格，且严重缺乏必要透明度，使包括中国企业在内的大批外国企业实际无法享受美国所承诺的市场开放。

RESPONSE: No response required because there is no question.

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回复：无须回复，因为没有问题。

Question 168:

Does the U.S. plan to correct the abuse of the national security review in the telecom sector? 请问美方是否有计划改善电信领域国家安全审查滥用的状况？

RESPONSE: The United States does not agree with the premise of this question.

回复：美国不同意此问题的前提。

Page 125, Para 4.93

The report states that “In November 2012, the FCC adopted the Report and Order (FCC-12-145) and eliminated the International Settlements Policy (ISP) in order to modernize its international telephony rules, further lower the price for international calls, and increase competition. At the same time, the FCC adopted safeguards to protect against anticompetitive conduct in specific cases. Nonetheless, the FCC maintains a "List of Foreign Carriers that are Presumed to Possess Market Power in Foreign Telecommunications Markets". This list of carriers is used for the purposes of implementing certain FCC rules on switched services over private lines and U.S. international common carriers and cable landing licensees.”.

Question 169:

Please list the respective contributions made by the FCC and telecommunications operators in the Connect America Fund (CAF) and the CAF Mobility Fund. Are there any internet companies that make investment in the construction of mobile broadband infrastructures? “ ”连接美国基金 （Connect America Fund, CAF）

“ ”和 连接美国的宽带移动基金 （CAF Mobility Fund）中，FCC和电信运营商出资的比例各自多少？有没有互联网企业在移动宽带基础设施的建设中出资？

RESPONSE: In 2011, the FCC set a budget of $4.5 billion for the Connect America Fund, which included $500 million for the Mobility Fund. The Connect America Fund provides support to telecommunications operators to extend infrastructure that delivers voice and Internet services in areas that are uneconomic to serve without a subsidy. Internet companies, depending on how defined, do invest in such infrastructure. For example, AT&T and Verizon, which are telecommunications carriers and Internet service providers, both have deployed expansive 4G LTE networks that together cover a large percentage of the country’s population. AT&T currently receives Connect America support for its mobile operations in some areas; Verizon does not receive any such support for its mobile operations. Intel, a company which is not a telecommunications carrier nor a Connect America Fund support recipient, was an investor in WiMax projects.

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回复：2011年，FCC为连接美国基金（Connect America Fund）设立了 45亿美元的预算，包括用于移动基金（Mobility Fund）的 5亿美元。连接美国基金（Connect America Fund）支持电信运营商扩建基础设施，在无补贴则无法盈利的地区提供声讯和互联网服务。互联网公司（根据其定义确定）为此类基础设施投资。比如，AT&T和Verizon（电信运营商和互联网服务提供商）均已经部署了 4G的LTE网络，覆盖了美国大部分人口。目前，AT&T在若干地区的移动运营获得了连接美国基金（Connect America Fund）的支持；Verizon的移动运营没有获得此类支持。既非电信运营商，亦未获得连接美国基金（Connect America Fund）支持的 Intel公司投资了WiMax项目。

Question 170:

What is the relationship between CAF and USF specified in the Telecommunications Act of 1996. Do the “VoIP providers” under USF refer to telecommunications service providers or internet service providers?

“连接美国基金 CAF”和 1996年《电信法案》中的“普遍服务基金”（USF）是什么关系？USF所要求的电信服务提供商中，其中一类“VoIP提供商”的身份是电信服务提供商还是互联网服务提供商？

RESPONSE: CAF is one program under the USF. To receive support from the Connect America Fund, a VoIP provider must first be designated as an “eligible telecommunications carrier” by the state where the provider is offering service or by the FCC if the relevant state does not have jurisdiction over the VoIP provider. As an eligible telecommunications carrier, a VoIP provider would be required to offer VoIP on a common carrier basis.

回复：连接美国基金（CAF）是普遍服务基金（USF）项下的一个计划。为获得连接美国基金（CAF）的支持，VoIP 提供商必须首先被其提供服务所在州或 FCC（如果相关州对 VoIP 提供商无司法管辖权）认定为“合格电信运营商”。作为合格电信运营商，VoIP 提供商必须以普通传输业务方式提供 VoIP。

Page 127, Para 4.95

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The report states that “In December 2010, the FCC issued a Report and Order (FCC 10-201) to adopt open internet rules. The FCC prohibited fixed broadband providers from unreasonably discriminating in transmitting lawful network traffic and from blocking lawful content, applications, and services. The FCC also imposed more limited anti-blocking rules on mobile broadband providers, and required both fixed and mobile broadband providers to disclose their network management practices. In September 2011, Verizon appealed the FCC's Open Internet Order. In January 2014, the U.S. Court of Appeals for the District of Columbia Circuit overturned the FCC's blocking and discriminations rules for the internet, but also upheld the FCC's authority to adopt open Internet rules under section 706 of the Telecommunications Act.”

Question 171:

The open internet (internet neutrality) rules adopted by FCC are mentioned in this paragraph. Please describe the authority and power that FCC enjoys over the internet under section 706 of the

Telecommunications Act. 本节提及 FCC 开放互联网（网络中立）政策。请问，依据《电信法案》第706条，FCC 对互联网有什么样的权力？

RESPONSE: Both the U.S. Court of Appeals for the District of Columbia Circuit and the 10th Circuit have upheld the FCC finding that, if the FCC determines that advanced telecommunications capability is not being deployed to all Americans in a reasonable and timely fashion, Section 706 provides the FCC with the authority to take immediate action to ensure that advanced telecommunications capabilities are available to consumers in the United States, by addressing any barriers to infrastructure investment and promoting competition in the telecommunications market.

回复：美国哥伦比亚特区联邦巡回上诉法院和第十联邦巡回法院支持 FCC的裁决，即如果 FCC 确定无法以合理且及时的方式向所有美国人提供先进的电信服务，则根据第 706 条 FCC有权立即采取行动，解决基础额设施的投资壁垒并促进电信市场的竞争，以确保美国消费者可以获得先进电信服务。

Question :172

The FCC formulates or make adjustment to the rules on “open internet”. Does this mean that the FCC has become the (main) regulatory authority of the internet in the U.S.? Or the FCC only exercises its power within the scope of “use of the internet” under section 706? “对 开放的互联网（open internet ”） 出台规则，或者进行规则调整，是否意味着 FCC已经是美国互联网的（主要）监管机构？还是 FCC只是在第 706条

“ ”所规定的 互联网运用 的范围内行使权力？

RESPONSE: Most Internet-related services in the United States are unregulated, and it would be inaccurate to characterize the FCC as the “main regulatory authority of the Internet.” Efforts to ensure that consumers and businesses continue to have access to an open Internet largely focus on the narrow issue of access by the end-user customers, for which there are a range of statutory authorities

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available, including but not limited to section 706.

回复：美国大部分与互联网有关的服务均不受监管，因此将 FCC描述为“互联网的主要监管机构”不正确。为确保消费者和企业可以持续接入开放的互联网，美国主要关注于终端消费者的接入问题，该问题由数个法律规定管辖，包括但不限于第 706 条。

Page 128, Para 4.96

The report states that “In response to the Court's decision, on 15 May 2014 the FCC proposed new Open Internet rules, so as to enhance the existing transparency requirement, reinstate the no-blocking rule with certain clarifications, and require fixed (and potentially mobile) broadband providers to ensure that their practices are commercially reasonable. The FCC also sought comment on whether it should adopt legal presumptions that certain practices by broadband providers are commercially unreasonable, including with respect to prioritization of traffic from affiliated services. The FCC sought public comment on these proposed rules and on alternative proposals to protect the open Internet, including those that would regulate broadband providers as common carriers under certain circumstances. The deadline for submitting initial comments was 15 July 2014, and replies to those comments were due on 15 September 2014. New Open Internet rules are expected to be adopted by the end of 2014.”.

Question 173:

As mentioned in this paragraph, the FCC reinstated the neutrality policies in response to the Court’s decision. FCC intends to promulgate policies permitting prioritization of traffic from affiliated services of broadband providers, which is a policy of preferential treatment for oneselves and indirect discrimination against others. Please clarify the considerations of FCC. FCC intends to treat “broadband providers” as “common carriers”

under certain circumstances, what scenarios do “certain circumstances” refer to? 本节提及 FCC 在法庭判决之后，中立政策有所调整。FCC拟出台政策，允许优先对待宽带提供商自己附带业务的流量，这属于优待自己而间接歧视他人。请问 FCC 是如何考虑的？在特定情况下，FCC拟将“宽带提供商”视为“普通传输商”予以对待，请问具体是什么特定情况？

RESPONSE: As this is an open proceeding, it would be premature to conclude what such circumstances might be; the purpose of the proceeding is to explore that question, among others.

回复：由于这是一个开放的程序，对于可能出现的情况就做出结论为时尚早；此程序的主要目的之一是探索该问题。

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Page 128, Para 4.97

The report states that “On 4 March 2014, the United States announced its intention to negotiate Telecommunications Mutual Recognition Agreements (MRAs) with selected countries "to facilitate U.S. exports of telecommunications equipment." The United States has negotiated MRAs with a number of multilateral organizations and economies, including in the context of APEC.”.

Question 174:

We note that the U.S. is negotating MARs for the U.S. export of the telecommunications equipment with several countries/regions, including Chinese Taipei. Does the U.S. have any plan to negotiate an agreement with mainland China in the future? 我们注意到，美国目前与诸多国家 /地区就美国电信设备出口举行

“ ”的 电信双边认可协议 （MARs）谈判名录中有中国台北、中国台湾，请问未来是否有与中国大陆地区谈判的考虑？

RESPONSE: The United States has requested on numerous occasions over the past decade that China engage with the United States to conclude a bilateral Mutual Recognition Agreement (MRA) for conformity assessment of telecommunications equipment, consistent with China’s stated commitment at APEC-TEL in 1998. The United States is pleased with China’s renewed interest in this matter, and remains ready and willing to proceed with such a negotiation.

回复：在过去十年间，美国已经数次要求中国与美国共同努力，达成关于电信设备合格评定的双边《互认协定》（MRA），从而与中国在 1998年对APEC电信与信息工作组的承诺保持一致。中国再次表示了其对此事项的兴趣，美国对此感到高兴，并愿意进行磋商。

Question 175:

Please explain the standards of selecting negotiating partners of MARs, i.e. requirements to be met by an economy for the launch of negotiation. If any such agreement is concluded, what preferential treatment is

given to the telecommunication products exported by the agreement signatory to the U.S.? 请美方解释美国与他国签订“电信互认协议”的标准是什么，即其他国家要符合哪些要求才可能开始类似协议的谈判。如果签订该协议，对方国家的电信产品在出口至美国时可以获得哪些优惠待遇？

Page 139, Para 4.120

The report states that “The main recent regulatory development concerning the U.S. health system is the 2010 Patient Protection and Affordable Care Act (PPACA) (see main provisions, Table A4.3) The PPACA represents a significant reform of the U.S. health care system. An important objective of the Act is to increase access to care by providing insurance coverage to previously uninsured individuals as of 2014.”

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Response:  The APEC Tel MRA is already in place and the United States is prepared to implement it with any APEC Tel signatory, including China.  Once implemented with particular economy, the agreement provides for the mutual recognition of conformity assessment of telecommunications equipment.  The value is that manufacturers of telecommunications equipment can have their products tested and approved with conformity assessment bodies located in their own country.  This will help in the speed and cost of placing new telecom products on the market. Further detail on U.S.

implementation can be found here: http://transition.fcc.gov/oet/ea/mra/APEC.html 回复：APEC电信与信息工作组互认协议已经确定，美国准备与任何 APEC电信与信息工作组签字国（包括中国）共同执行该协议。一旦开始与特定经济体执行该协定，两国即开始互认电信设备符合性评估。其价值在于，电信设备制造商可以在其自己的国家，向符合性评估机构申请测试和审批其产品。这将提供并节约电信新产品投放市场的速度和成本。有关美国执行该协议的具体情况，请参见 http://transition.fcc.gov/

oet/ea/mra/APEC.html。

Question 176:

China pays great attention to PPACA, one of the most important economic reform measures adopted by the U.S. in recent years. Please provide the data of increased fiscal expenditures of the federal, state and local governments for implementing the Act. How is the current scale of expenditure expected to change in the

future? 中方对近年来美国最重要的经济改革措施之一——美国医疗改革法案(PPACA)高度关注。请美方提供为实施该法案而增加的联邦、各州和地方政府财政支出的数据。预计未来该项支出规模将如何变化？

RESPONSE: The Congressional Budget Office (CBO) and Joint Committee on Taxation (JCT) have projected that the overall effect of the Affordable Care Act would be to reduce federal deficits. 2 In their most recent estimates, CBO and JCT estimate that the coverage provisions alone will result in a net Federal cost of $36 billion for 2014 and $1,383 billion for 2015-2024, which is $104 billion less than previous projections.3 We are not aware of a comprehensive analysis of the costs to state and local government related to the Affordable Care Act, but note that the costs to states for the expansion of

2 http://www.cbo.gov/publication/43471 3 http://www.cbo.gov/sites/default/files/45231-ACA_Estimates.pdf

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Medicaid4 coverage is expected to be approximately $63 billion between 2013 and 2022.5 We also note that the costs for states to implement the Health Insurance Marketplaces as well as the costs to subsidize consumers’ costs for coverage in the Marketplaces are paid by the Federal government. States must generate the financing for the ongoing operational costs of Marketplaces they run, either through user fees or other general revenues available to the state.

回复：国会预算办公室（CBO）和联合税务委员会（JCT）预期，《平价医疗法案》的整体效果是减少联邦赤字。据国会预算办公室（CBO）和联合税务委员会（JCT）最近的估算，仅保险准备金即可产生 360亿美元（2014年）和 13830亿美元（2015年至 2024年）的净联邦成本，比之前的估算少1040亿美元。美方尚无对各州和地方政府与《平价医疗法》有关的成本的综合分析，但注意到各州为扩大医疗补助（Medicaid）产生的成本将在 2013年至 2022年期间预计将达约 630亿美元。美方还注意到，各州因执行健康保险交易市场产生的成本以及为消费者在交易市场投保的费用提供补贴产生的成本将由联邦政府支付。各州必须自行为其运营的交易市场的持续运营成本筹措资金，可通过收取使用费或各州可以获得的其他一般收入筹措此类资金筹措方法。

Question 177:

As the U.S. concluded its asset purchase program and adopts stringent fiscal policies to control deficits, how will the significant governmental expenditures incurred by medical reform affect the fiscal positions of the

U.S.? Will this affect the realization of the fiscal policy objectives of the U.S.? 在美国退出量宽，并正采取从紧的财政政策以控制赤字规模的情况下，医疗改革带来的巨额政府开支对美国财政状况将产生怎样的影响？是否会影响美财政政策目标的实现？

RESPONSE: A recent analysis of national health spending found that in 2013, the rate of health care spending decreased by 0.5 percentage points compared to the previous year, and that the share of gross

4 Medicaid is a joint federal and state program that helps with medical costs for some people with low incomes and limited resources. Medicaid programs vary from state to state, but most health care costs are covered if you qualify for both Medicare and Medicaid. 医疗补助（Medicaid）是一项联邦和州政府之间的联合计划，帮助一些低收入且资源有限的人士支付医疗费。各个州的医疗补助（Medicaid）计划均不同，但如果您符合医疗照顾（Medicare）和医疗补助(Medicaid)计划的资格要求，则您的大部分健康医疗的费用可通过保险支付。

https://www.cms.gov/apps/glossary/search.asp?Term=medicaid&Language=English&SubmitTermSrch=Search#Terms 5 http://medicaid.gov/Medicaid-CHIP-Program-Information/By-Topics/Financing-and-Reimbursement/Actuarial-Report-on-

Financial-Outlook-for-Medicaid.html 2013 Report 2013 年报告122

domestic product devoted to health care spending has remained at 17.4 percent since 2009.6 Key provisions of the Affordable Care Act, such as adjustments to Medicare7 payments, increased Medicaid prescription drug rebates8, and the medical loss ratio9 for private insurers, has had the impact of exerting downward pressure on health care cost growth.10 However, many of the major coverage provisions of the Affordable Care Act first took effect in 2014 and have not yet been fully accounted for. The National Health Expenditure Projections for 2013-2023 indicate that the expansion of insurance coverage under the Affordable Care Act, as well as improving economic conditions, and the aging of the population is expected to drive faster growth in health spending in 2014 (5.6 percent) and beyond (6.0 percent for 2015 through 2023), and that health spending will make up 19.3 percent of GDP by 2023.11

回复：根据近期对全国卫生支出的分析，2013年，卫生医疗支出较上年减少了 0.5个百分点，卫生医疗支出占国内生产总值比重自 2009年以来始终保持在 17.4%。《平价医疗法案》的关键规定（如对医疗照顾(Medicare)补贴的调整、提高医疗补助(Medicaid)项下处方药的折扣率以及私人保险人的医疗损失率）降低了医疗成本的上行压力。但是，《平价医疗法案》中的许多主要保险规定在 2014年首次生效，且尚未完全全执行。根据《2013-2023全国卫生支出预期报告》，《平价医疗法案》项下保险范围的扩大以及经济条件的提高和人口年龄的增长均将加速 2014年（5.6%）的卫生支出增长，使之在 2023年以前达到GDP的 19.3%。

Question 178:

To what extent will the expansion of the medial insurance coverage further promote the development of health

6 http://content.healthaffairs.org/content/early/2014/11/25/hlthaff.2014.1107.full.pdf+html 7 Medicare is the federal health insurance program for: people 65 years of age or older, certain younger people with disabilities,

and people with End-Stage Renal Disease (permanent kidney failure with dialysis or a transplant, sometimes called ESRD). https://www.cms.gov/apps/glossary/search.asp?Term=medicare&Language=English&SubmitTermSrch=Search 医疗照顾(Medicare)是一项针对以下人群的联邦健康医疗保险计划：65岁或以上老人、特定残疾青年人以及终末期肾

脏病患者（患永久性肾衰竭并需要透析或移植，有时被称为“ESRD”）。具体请参见 https://www.cms.gov/apps/glossary/search.asp?Term=medicare&Language=English&SubmitTermSrch=Search8 The Medicaid Drug Rebate Program is a program that includes CMS, State Medicaid Agencies, and participating drug manufacturers that helps to offset the Federal and State costs of most outpatient prescription drugs dispensed to Medicaid patients. 医疗救助药物折扣计划（Medicaid Drug Rebate Program）包括帮助抵扣向参与医疗救助（Medicaid）计划的病人发放的大部分门诊处方药物的医疗保险和医疗补助服务中心（CMS）、州医疗救助机构以及参加计划的制药商。具体请参见

http://www.medicaid.gov/medicaid-chip-program-information/by-topics/benefits/prescription-drugs/medicaid-drug-rebate-program.html

9 Under the health care law, insurance companies must spend at least 80% of premium dollars on medical care. Insurers that don’t meet this requirement must provide rebates to policyholders -- usually an employer that provides a group health plan. Employers who get these premium rebates must determine if the rebates constitute plan assets, and if so, allocate the rebate properly. https://www.healthcare.gov/small-businesses/other-aca-information-for-business/ 根据医疗法，保险公司必须将至少 80%的保费用于医疗。未满足该要求的保险公司必须向投保人提供折扣 – 投保人通常是提供集体健康计划的雇主。获得保费折扣的雇主必须确定该折扣是否构成计划资产的一部分，且在此情况下，还必须合理分配该折扣。

10 http://content.healthaffairs.org/content/early/2014/11/25/hlthaff.2014.1107.full.pdf+html 11 http://www.cms.gov/Research-Statistics-Data-and-Systems/Statistics-Trends-and-Reports/NationalHealthExpendData/

NationalHealthAccountsProjected.html123

care and medicine service market? Has the U.S. made corresponding assessment? 医疗保险适用范围扩大将在多大程度上促进医疗服务、药品服务市场的进一步发展？美方有无相应评估？

RESPONSE: As noted in the Secretariat Report, a basic purpose of the recent reforms of the U.S. health care system was to ensure increased access to health care services by providing insurance coverage to previously uninsured individuals. The National Health Expenditure Projections for 2013 through 202312 provides information on estimated growth in certain health care sectors related to the Affordable Care Act. Specifically, increased health insurance coverage is expected to lead to increased growth in hospital, physician and clinical services, and prescription drug use. The report found at this link provides additional analysis on this issue: http://content.healthaffairs.org/content/33/10/1841.full.pdf+html.

回复：根据秘书处报告，近期美国医疗制度改革的基本目的是通过向此前没有投保的个人提供保险，以确保更多人可以获得卫生医疗服务。《2013-2023全国卫生支出预期报告》载明了与《平价医疗法案》有关的特定卫生医疗领域的估算增长值。尤其是，健康保险覆盖范围的增加预计将使医院、医生和诊所服务增加并增加处方药的使用。有关该报告中关于此问题的更多分析，请参见 http://

content.healthaffairs.org/content/33/10/1841.full.pdf+html。

Page 140, Para 4.129

The report states that “Regarding health insurance services, the limitations listed in the U.S. schedule, for insurance, notably numerous sub-federal level limitations, apply also to health insurance services. These restrictions have been described in some detail in previous TPR reports.”.

Question 179:

Foreign enterprises encounter significant difficulties in providing medical insurance services in the U.S. due to the sub-federal level restrictions and legislative inconsistency among the states. Does the U.S. plan to properly unify the relevant legislative provisions and reduce the corresponding limitations, so as to facilitate the business operation of foreign investors? 各州的限制性措施和不一致的立法给外国企业在美从事医疗

保险服务造成较大困难。美方是否有计划适当统一相关立法规定，并减少相应限制，以便为外国投资者经营提供便利？

RESPONSE: The market for health insurance services in the United States is regulated at the sub-Federal level.  There are no plans to change that structure.  We are not aware of significant difficulties

12 http://www.cms.gov/Research-Statistics-Data-and-Systems/Statistics-Trends-and-Reports/NationalHealthExpendData/NationalHealthAccountsProjected.html

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provided by this system.  Indeed, as noted in the Secretariat report at paragraph 4.135, “[t]he health insurance market of the United States is largely open and proportionally bigger than other developed countries’ markets where public social security systems are dominant, thus making it an attractive destination for the establishment of foreign-based health insurers.”

回复：美国的健康保险服务市场由地方政府监管。美国没有改变该结构的计划。美方并未意识到该制度已经造成了巨大困难。实际上，如秘书处报告第 4.135 段所述，“美国的健康保险市场在很大程度上是开放的，且规模比以公费社保制度为主的其他发达国家的市场更大，从而使美国成为受外国健康医疗保险公司欢迎的公司设立地”。

Page 143, Para 4.141

The report states that “Cabotage of goods and passengers continues to be restricted by Section 27 of the Merchant Marine Act of 1920 (Jones Act) and the Passenger Vessel Services Act of 1886. Under the Jones Act, cabotage is reserved for ships registered, built, and maintained in the United States, owned by a domestic individual, including corporations, and three-quarters of the crew must be U.S. citizens.”.

Question 180:

Please describe the considerations of the U.S. in continuing to implement this market access restriction imposed 96 years ago, in today’s world of ever deepened economic globalization . Does the U.S. plan to further open its cabotage market in future? 在全球经济一体化日益发展的今天，美国继续坚持这一 96年前设置的市场准入限制，主要是出于哪些考虑？美国未来是否有计划进一步开放沿海客货运输市场？

RESPONSE: Restrictions on domestic cabotage remain common among WTO members. U.S. objectives underlying the cabotage regime include ensuring the availability of experienced seafarers and maintaining domestic shipbuilding capability, which are important national security objectives.

回复：对国内沿海客货运输市场设置限制在世贸组织成员的常见做法。美国沿海客货运输市场制度的目的包括确保可以获得有经验的海员以及维持国内造船能力，这些对国家安全均十分重要。

Page 143, Para 4.144

The report states that “The United States has not made any commitment on maritime transport under the GATS and did not table an offer with respect to maritime transport in its services offer in the Doha Development Agenda.”.

Question 181:

Please clarify why the U.S. has long refused to make an offer with respect to maritime transport. 请美方澄

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清，为何美国始终拒绝在海运服务领域出价？

RESPONSE:The TPR is not a negotiating forum.  Requests made in the context of the DDA services negotiations should be taken up in that forum.

回复：TPR不是谈判场所。有关DDA服务谈判的要求应当在谈判中提出。

Part II. Questions based on Policy Statement by the United States (WT/TPR/G/307)

1. THE UNITED STATES IN THE GLOBAL TRADING SYSTEM

Question 182:

Could the United States explain its consideration behind the change of wording from “Multilateral Trading System” in the heading of Part 1 of the 2012 Statement to “Global Trading System” in this Statement? 本次美政府报告第一部分题目由 2012年报告的“multilateral trading system”变为“global trading system”是何考虑？

RESPONSE:  China is reading too much into this wording.  The words “multilateral” and “global” can be used interchangeably. 

回复：中国在此方面有过度解读。“多边”和“全球”可以互用。

Question 183:

Paragraph 5 in Part 1 of the 2012 Statement stated that “The fundamental features of U.S. trade policy – maintenance of open, competitive markets, compliance with WTO obligations, and leadership in the multilateral trading system-remain unchaged……” However, neither such expression nor a description of the features of U.S. trade policy can be found in this Statement. Even the word “multilateral” is not mentioned throughout Part 1. Does it mean that the United States openly admits attaching less importance to the

multilateral system compared with before? 2012年审议美政府报告第五段有如下表述：“美国贸易政策的基本特征——保持开放、竞争型的市场，遵循世贸组织业务，领导多边贸易体系”。这一提法此次未再出现，也未再提及美国贸易政策的特征，整个第一部分中“多边”一词无踪可寻，这是否意味着

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美国公开承认其对多边重视的弱化？

RESPONSE:   The United States places significant importance on the multilateral trading system, as witnessed just in the past twelve months by our significant contributions at Bali and in seeking to lift the impasse related to the TFA, the first multilateral agreement in the history of the WTO. 

回复：美国十分重视多边贸易体制，在过去十二个月里，美国在巴厘岛会议上作出了巨大贡献，并正在努力解决与世贸组织历史上首份多边协定——《贸易便利化协定》（TFA）有关的僵局。

Page 4, Para 1.4

The Statement states that “More broadly, the United States will appropriately utilize every available policy tool – and will continue to develop new tools – to pursue the most efficient and productive pathways to expand trade and foster economic growth, consistent with WTO rules…”, while in the 2012 Report, the counterpart statement was that “As part of its broader efforts to liberalize trade within the scope of WTO rules, the US pursues a number of broad domestic, bilateral and regional initiatives that complement multilateral approaches.”.

Moreover, the 2012 Statement stated that “US continues to adhere strongly to the percept that trade liberalization at the multilateral level holds the highest potential for securing wide-ranging market-opening outcomes.”, but similar statement was not found in the Statement this year.

Question 184:

Does this mean that the United States has expressly diverted its focus on the international economic and trade

rule-making from the multilateral front to bilateral, regional and plurilateral arrangements? 这是否意味着美国在国际经贸规制方面的重点已明确转向双边、区域和诸边安排？

RESPONSE:  The United States places significant importance on the multilateral trading system, as witnessed just in the past twelve months by our significant contributions at Bali and in seeking to lift the impasse related to the TFA, the first multilateral agreement in the history of the WTO.  However, rule-making at the multilateral level is not something the United States alone can deliver.  We look forward in 2015 to intensive discussions, including on a post-Bali work program, which will lead, we hope, to additional multilateral agreements. 

回复：美国十分重视多边贸易体制，在过去十二个月里，美国在巴厘岛会议上作出了巨大贡献，并正在努力解决与世贸组织历史上首份多边协定——《贸易便利化协定》（TFA）有关的僵局。但是，多

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边规则制定并非美国单方即可作出。美方希望在 2015年展开密集磋商，包括就后巴厘工作计划进行讨论，由此形成更多多边协定。

Page 4, Para 1.3

The Statement states that “The United States will also utilize the WTO's network of committees to consider emerging challenges, such as state-owned enterprises, electronic commerce, food security, and regulatory trade barriers.”, while in the 2012 Statement, the U.S. showed more concern on “regional trade agreements, export restrictions, food security and government involvement in commercial activities”.

Question 185:

Except for food security, the primary concerns of the United States have changed significantly compared to those in 2012. Please explain the reasons for such change. 除食品安全外，美方关注重点较 2012年发生了显著变化，请解释变化的原因。

RESPONSE: Regional trade agreements, export restrictions, food security and government involvement in commercial activities remain of concern to us and we continue to pursue specific issues or problems in the relevant Committees. However, as the updated sentence notes, we view state-owned enterprises, electronic commerce and regulatory trade barriers - along with food security - as emerging challenges that require new or additional attention in Committees.

回复：区域贸易协定、出口限制、粮食安全和政府对商业活动的参与仍是美方关注的问题，我们将继续在相关委员会中努力推进特定事项或问题。但如声明中所述，美方将国有企业、电子商务和监管贸易壁垒以及粮食安全视为新兴挑战，要求委员会给予新的、更多的关注。 

Page 4, Para 1.6

Compared the 2012 Statement, new expressions such as “…innovation is promoted… and high environmental and labor standards are respected…” were added in the 2014 Statement.

Question 186:

What’s the opinion of the United States on the role of these new factors in the system of global trade rules? 美国如何看待这些新增要素在全球贸易规则体系中的地位?

RESPONSE: The United States places a high value on the protection of innovation and intellectual property rights, labor rights, and the environment. International trade agreements and initiatives are

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valuable tools to raise the bar for the protection of innovation, worker rights, and the environment, and we seek to ensure that our international trade policies support and reinforce these objectives and values, so that the benefits of trade are shared broadly by workers, businesses, and consumers throughout the global trading system.

回复：美国高度重视创新和知识产权、劳工权利以及环境的保护。国际贸易协定和倡议是很有有价值的工具，有助于提高与创新、劳工权利和环境保护有关的标准，美方努力确保我们的国际贸易政策支持并强化此类目标和价值观，由此使全球贸易体系中的广大工人、企业和消费者能够享受贸易带来的利益。

Question 187:

Please list the departments and authorities responsible for performing the U.S. obligations under environment provisions or chapter under its free trade agreements. What environmental clauses will be covered in the FTA negotiations of the U.S.? How will the United States enforce such environmental agenda after signing it into FTAs? For instance, which departments will participate in such enforcement and what are

their respective role and duty? 请问美国具体负责自贸协定中环境议题或章节履行的部门和机构有哪些？美国在自贸协定谈判中将涵盖哪些环境条款，在自贸协定签订后美国如何实施这些环境议题？例如：哪些机构参与，具体角色和分工是什么？

RESPONSE: While the precise terms of obligations may vary by FTA, the Environment Chapters of our FTAs generally require Parties to:

回复：虽然在不同的自贸协定中，具体义务条款可能有所不同，但美国签署的自贸协定中的环境章节普遍要求当事方：

Maintain high levels of environmental protection; 维持较高的环境保护水平； Not fail to effectively enforce domestic environmental law in a manner affecting trade or

investment; 以高效且不影响贸易或投资的方式执行国内环境法律； Not waive or derogate from domestic environmental law to attract trade or investment; 不为吸

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引贸易或投资而放弃或回避国内环境法律所规定的责任； Provide opportunities for public participation; and 提供公共参与的机会；以及 Ensure that interested persons can request competent authorities to investigate alleged

violations of environmental laws. 确保利益相关方可以要求主管当局调查疑似违反环境法律的行为。

Some of our FTAs require the Parties to implement certain multilateral environmental agreements. In FTAs under negotiation, we are seeking commitments to address pressing environmental challenges,

such as wildlife trafficking, illegal logging, and marine conservation and protection.美方签署的一些自贸协定要求签约方执行特定的多边环境协定。在正在谈判中的自贸协定中，美方正努力寻求有关解决环境挑战（比如野生动物交易、非法砍伐以及海洋保护）的承诺。

The Office of the United States Trade Representative coordinates the implementation and enforcement of the environment provisions of U.S. FTAs. Other agencies that play substantial roles in these matters include the Department of State, the Environmental Protection Agency, the Department of the Interior, the U.S. Fish and Wildlife Service, the National Oceanic and Atmospheric Administration, and the

Department of Justice. 美国贸易代表办公室负责协调美国自贸协定中环境规定的实施和执法问题。在此类事项中扮演关键角色的其他机构还包括国务院、环保局、内政部、美国鱼类和野生动物服务组织、国家海洋和气候局以及司法部。

Question 188:

How does the United States view the role of the environmental dispute settlement mechanism in a free trade agreement? Apart from NAFTA, does the United States have other practical experience in resolving environmental disputes under an FTA? Please give examples. What benefits were delivered by including an

environment chapter in an FTA involving the U.S., in particular, for the improvement of environment? 美国对于自由贸易协定中环境争端解决机制的作用有什么看法？除 NAFTA 以外，目前美国是否还有其他自由贸易协定下环境争端解决的实践经验？请举例说明。美国在 FTA 中设置环境章节取得了哪些效果？

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特别是对改善环境方面。

RESPONSE: The environmental commitments in our FTAs along with related technical assistance and capacity building have resulted in significant improvements in environmental protection in FTA partner countries, including by strengthening environmental protection and oversight institutions, supporting conservation efforts, and enhancing public participation in environmental decision-making. Monitoring and enforcing the implementation of the environment provisions of our FTAs is a priority for the United States. We seek to monitor and enforce these provisions in the same manner as commercial obligations. We have resolved issues related to the environment provisions of our FTAs through a range of mechanisms, including through FTA institutional bodies, governmental dialogues, and environmental cooperation. To date, none of these matters has led to formal, government-to-government dispute settlement proceedings. Information regarding our agreements and initiatives is available on the website of the Office of the United States Trade Representative (http://www.ustr.gov/).

回复：美方在自贸协定中的环境承诺以及相关的技术援助和能力建设使自贸协定伙伴国的环境保护大幅改善，包括加强环境保护和监管制度、支持保护工作以及提高公众在环境决策流程中的参与度。监督和执行我们在自贸协定中所作的关于环境的规定对美国十分重要，美方努力以与履行商业义务相同的方式监督和执行此类规定。美方已经通过各类机制（包括自贸协定机构、政府对话和环境合作）解决了与在自贸协定中针对环境所作的规定有关的争议。迄今为止，这些争议均未进入正式的、政府之间的争端解决程序。有关美方参与的协定和倡议的信息，请参见美国贸易代表办公室网站(http://

www.ustr.gov/)。

2. THE UNITED STATES ECONOMIC AND TRADE ENVIRONMENT

Page 5, Para 2.1

“the United States is committed to opening foreign markets through negotiating trade agreements, whether multilateral, regional, bilateral, or plurilateral, as well as maintaining the integrity of existing trade agreements and enforcing U.S. rights under those agreements.”

Question 189:

“Plurilateral” is a newly-added negotiation approach to market access in the U.S. toolkit. Please outline the U,S, overall considerations for plurilateral negotiations and their relationship with the multilateral

negotiations under the WTO framework. 美国在致力于打开国外市场的谈判方式中增加了 “诸边”131

（plurilateral）,请阐述对诸边谈判及其与 WTO多边谈判关系的总体考虑。

RESPONSE:   Plurilateral approaches are not new, neither for the United States nor the WTO.  On the rules side, for example, the Subsidies and TBT Agreements started as plurilrateral codes.  The GPA is also plurilateral.  On the market access side, the ITA Agreement is a plurilateral agreement, even though its benefits extend to all WTO Members.  In those areas where some WTO Members be unable or unwilling to move forward, the United States considers plurilateral agreements to be valuable way to liberalize trade among those in a position to do so. 

回复：对于美国和世贸组织而言，诸边方式均非新事物。比如，从规则上而言，《补贴协定》和《技术性贸易壁垒协定》均起源于诸边方式。《政府采购协定》也是诸边协定。就市场准入而言，《信息技术协定》也是诸边协议，当然其带来的利益适用于所有世贸组织成员。在某些世贸组织成员无法或不愿推进的领域，美国认为诸边协定可以很好的为能够推进的各方带来贸易自由化的利益。

Page 5, Para 2.3

“In 2013, U.S. goods and services exports supported an estimated 11.3 million jobs in the United States alone……Over half of U.S. imports in 2013 were intermediate inputs.”

Question 190:

Compared to 2011, U.S. goods and services exports created 1.6 million more new jobs in 2013. What is the main reason for such growth? Over half of U.S. imports in 2013 were intermediate inputs. How does this

figure compare with previous years and why is there such a development? 2013年美国服务和货物出口创造的就业较 2011年增长了 160 万，主要原因是什么？2013年进口逾一半为中间投入品，这与往年数据相比呈现出怎样的发展趋势？为什么？

RESPONSE: Jobs supported by goods and services exports have increased by 1.6 million between 2009 and 2013 (from 9.7 million in 2009 to 11.3 million in 2013).  This increase in jobs supported by exports is largely due to the growth in U.S. exports over the same time period. During this global economic recovery, U.S. exports grew by nearly 50 percent. For a discussion of jobs supported by exports and its methodology, see http://www.trade.gov/mas/ian/build/groups/public/@tg_ian/documents/webcontent/tg_ian_005313.pdf

回复：由货物和服务出口创造的就业机会在 2009年至 2013年期间增加了 160万个（从 2009年的 970

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万个增加至 2013年 1130万个）。出口创造的就业机会增长在很大程度上是因为同期美国出口的增长在此次全球经济复苏期，美国出口增长了近 50%。有关出口支持就业机会及其支持方法的讨论，请参见 http://www.trade.gov/mas/ian/build/groups/public/@tg_ian/documents/webcontent/

tg_ian_005313.pdf。

In 2013, an estimated 52% of U.S. imports were intermediate goods. This compares with 55% in 2004,

53% in 2007, and 54% in 2012.据估算，2013年美国进口的 52%属中间产品。2004年为 55%，2007年为 53%，2012年为 54%。

Page 5, Para 2.4

“The United States maintains one of the world's most open trade regimes……and U.S. regulatory processes are transparent and accessible to the public.”

Question 191:

The United States claims that its regulatory processes are transparent and accessible to the public. However, under its Foreign Investment and National Security Act, the requirements for national security review are too general, CFIUS is endowed with too much discretion, the procedures are complicated and opaque, and no reasons are provided for rejected transactions. Please explain why. Does the United States have any plan for

making improvements in this respect? 美国宣称其管理流程透明且公众可获知。但美《外国投资与国家安全法》关于国家安全审查的要求过于笼统，且 CFIUS 自由裁量权过大，程序复杂且过程不透明，对拟拒绝批准的交易未说明理由。请解释原因。美是否有计划对此进行改进？

RESPONSE: The CFIUS process is fully described in the CFIUS statute, executive order, and regulation, all of which are available at www.treasury.gov/cfius.

回复：美国外国投资委员会（CFIUS）的法律、行政命令和法规已经全面描述了其工作流程，具体请见www.treasury.gov/cfius。

CFIUS has published guidance on types of transactions that have posed national security considerations. (See guidance that Treasury published on December 8, 2008, in the Federal Register,

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available on the CFIUS webpage at: http://www.treasury.gov/resource-center/international/foreign-investment/Documents/CFIUSGuidance.pdf). Furthermore, the statute, executive order, regulations,

and guidance setting forth the CFIUS process are fully and publicly disclosed on the CFIUS website. 美国外国投资委员会已经公布了引发国家安全问题考虑的各类交易的指引。（请参见财政部于 2008年12 月 8 日在《联邦纪事》上公布的指引（美国外国投资委员会网站 http://www.treasury.gov/resource-

center/international/foreign-investment/Documents/CFIUSGuidance.pdf）。此外，关于载明美国外国投资委员会流程的法律、行政命令和法规，请参见美国外国投资委员会网站。

Page 6, Para 2.6

“Both U.S. real exports and imports of goods and services increased between 2011 and 2013, with exports up 6.4% and imports up 3.5%. Over the past 20 quarters of recovery (through 2nd quarter of 2014), real exports of goods and services have contributed 0.7 percentage point to U.S. GDP growth, roughly one-third of the growth in U.S. GDP.”

Question 192:

What is the main reason for a significant decline in the growth rates of both U.S. real exports and imports of goods and services between 2011 and 2013 compared to those between 2009 and 2011? Why of two sides of the trade coin, export, for the period of 2011-2013, replaced import, for the period of 2009-2011, as a contributor to the GDP growth. Why? Has it to do with the National Export Initiative launched by the U.S.

government? 2011-2013年美货物和服务出口、进口增长率较 2009-2011年均大幅下降，主要原因是什么？美进出口两者中对 GDP 增长的贡献者由 2009-2011年期间的进口（贡献约 1 个百分点）变为2011-2013年期间的出口（贡献约 0.7 个百分点），主要原因是什么？与美政府 NEI 有无直接关联？

RESPONSE: Both export and import real growth rates have declined between 2009-2011 and 2011-2013. The real growth rate for exports declined from nearly 20 percent to over 6 percent, while the real import growth rate declined from 19 percent to 3.5 percent. Among other factors, the large increase in the growth rate in the earlier period was a function of the economic recovery from the Great Recession – real exports declined by nearly 9 percent in 2008 and real imports declined by nearly 14 percent.

回复：在 2009年至 2011年间以及 2011年至 2013年间，美出口和进口实际增长率均有所下降。出口实际增长率从近 20%降为 6%以上，而实际进口增长率从 19%降为 3.5%。造成美近期出口增速大幅

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提高的主要原因之一是大衰退后的经济复苏，2008年，实际出口下降了约 9%，实际进口下降了约14%。

In the more recent period, the slowdown in trade, a global phenomenon, may be a consequence of weak global economic growth, most notably in Europe, but also in many emerging market economies, relative to the pre-crisis rates of growth. Over the same period, import growth has slowed, mainly due to a

decline in both the volume and price of oil imports.近期的全球贸易增长缓慢可能是全球经济增长乏力所致，尤其是欧洲以及许多新兴经济体的增长较危机前有所放缓。同期进口增速也有所下降，主要原因是石油进口量和价格均有下滑。

The National Export Initiative has contributed to U.S. export growth by promoting exports (through trade advocacy and increasing market access through market opening trade negotiations), and

enforcing U.S. rights under trade agreements. 通过出口促进（以贸易宣传，以及开放市场的贸易谈判等方式增加市场准入）和执行美国在贸易协定项下的权利，“国家出口倡议”推动了美国的出口增长。

Page 6, Para 2.7

“The budget deficit dropped from US$1.3 trillion (8.4% of GDP) in fiscal year 2011 to US$1.1 trillion (6.8% of GDP) in fiscal year 2012, and to US$680 billion (4.1% of GDP) in fiscal year 2013……The primary deficit (non-interest outlays less receipts) is projected to become a primary surplus in FY2021 and grow through the end of the forecast horizon……The progress in reducing the deficit as a share of GDP reflects both the stronger U.S. economy and the deficit reduction plan put into place by the United States.”

Question 193:

The Statement states that the budget deficit in 2011 was US$1.3 trillion (8.4% of GDP), which is different from the data disclosed in the 2012 Statement (US$1.19 trillion and 7.9% of GDP respectively). Please explain the reasons for such discrepancy. 报告称 2011年美预算赤字 1.3万亿美元，占 GDP8.4%，这两个的数据与 2012年报告中披露的 1.19万亿美元和 7.9%有一定出入，请解释原因？

RESPONSE: According to official U.S. accounts, the Federal Government posted a deficit of $1,299.6 billion at the end of FY 2011 (October 2010 – September 2011). The final deficit differs slightly from the initial estimate of $1,298.6 billion, published in October 2011, due to additional reporting and revisions to data following the release of the Final Monthly Treasury Statement for FY 2011. At the end of the last fiscal year (FY 2014), the Federal Government posted a deficit $483.4 billion (2.8 percent of GDP),

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the lowest deficit since FY 2008. The Federal deficit has fallen by about $929.3 billion since the peak of $1,412.7 billion, reached in FY 2009.

回复：据美国官方统计， 2011财年（2010年 10 月至 2011年 9 月）末的联邦政府赤字为 12996亿美元。最终赤字金额与最初估算的 12986亿美元（2011年 10 月公布）略有差别，原因是在公布《2011财年财政部最终月度报告》之后又提交了额外报告和对数据进行了修正。在上一财年（2014财年）结束时，联邦政府赤字规模为 4834亿美元（占GDP的 2.8%），为 2008财年以来最低，较 2009财年 14127美元的峰值减少了约 9293亿美元。

Question 194:

The Statement states that the decline of the deficit as a share of GDP is attributable to both the stronger U.S. economy and the deficit reduction plan. Please give more details of this plan. Does it refer to the Budget Control Act passed in August 2011, committing the U.S. to US$ 2.1 trillion in deficit reduction over the next ten years? Has the United States made any assessment of the enforcement of this Act and its implication for

the economic recovery of the United States? 报告称预算赤字在 GDP 中占比的下降主要得益于美国经济走强和赤字减少计划，请具体介绍该计划？是否指 2011年 8月通过的、承诺在此后 10年降低 2.1 万亿美元赤字的《预算控制法案》？对该法案目前执行情况及其对美经济复苏进程的影响，美方有无相应评估？

RESPONSE: Legislative actions (e.g. cuts to discretionary spending and mandatory sequestration included in the Budget Control Act and the restoration of tax rates on the highest earners to 1990s levels in the American Taxpayer Relief Act) have lowered the deficit by almost $4.0  trillion in the past few years. More recently, the United States passed the Bipartisan Budget Act in December 2013, which reaffirmed its commitment to deficit reduction. The legislation included $85 billion in total savings, achieved through a combination of lower outlays and new revenue, and replaced some of the automatic budget cuts set to occur over FYs 2014 and 2015 for an additional $22 billion in deficit reduction through FY 2023.

回复：在过去几年，立法行动（如削减《预算控制法》中的可自由支配支出和强制性财政截留，以及在《美国纳税人救济法》中将对最高收入人群征收的税率恢复至 20 世纪 90年代的水平）已经将赤字降低了约 40000亿美元。近期，美国又于 2013年 12 月通过了《两党预算法》，重申了其减少赤字的

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承诺。立法拟同时通过降低支出和新增收入节约 850亿美元，并修改拟于 2014财年和 2015财年进行的自动预算削减，在 2023财年前在此前削减计划基础上再减少 220亿美元的赤字。

Question 195:

“The primary deficit (non-interest outlays less receipts) is projected to become a primary surplus in FY2021 and grow through the end of the forecast horizon.” Could the United States introduce the specific methodology and basis for making this projection, in particular, how does the influence of such non-economic

factors as general election be assessed? 请美方介绍做出这一预测的具体方法和主要依据，特别是如何评估政府换届等非经济因素的影响？

RESPONSE: Many – if not most –of the government’s programs are affected by the state of the economy, including variables such as the rate of inflation, the unemployment rate, and changing demographics. Likewise, revenues reflect the size of the economy and tax rates. The federal budget must be negotiated and agreed upon by both Congress and the President, and general election results can influence fiscal policy.

回复：许多（即使不是大部分）政府计划受到了经济状况的影响，包括通货膨胀率、失业率和人口等可变因素。相同地，收入反映了经济规模和税率。联邦预算必须由国会和总统商定，大选结果可能影响财政政策。

Page 6, Para 2.8

“The increase in gross saving of US$598 billion between 2011 and 2013 was primarily due to an increase in government saving of US$613 billion.”

Question 196:

Compared with the period between 2009 and 2011, the increase in U.S. gross saving between 2011 and 2013 was primarily due to an increase in government saving rather than that in commercial savings. Why was there such a change? 与 2009-2011年相比，美国 2011-2013年总储蓄增长的主要原因由商业储蓄的增长变为政府储蓄的增长，导致该变化的主要原因有哪些?

RESPONSE: Between these two periods, the U.S. government enacted policies that reduced the budget deficit and restrained the accumulation of national debt.

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回复：在上述两个时期之间，美国政府制定了相关政策，减少预算赤字并限制国家债务的累积。

Page 6, Para 2.9

“U.S. gross investment increased by US$367 billion between 2011 and 2013, 60% the increase in U.S. gross saving. With levels of U.S. saving growing faster than domestic investment, a decline in net inflows of capital occurred, from US$461 billion in 2011 to US$454 billion in 2012, and US$401 billion in 2013.”

Question 197:

A decline in net inflows of capital occurred in the United States between 2011 and 2013. Is there any other

reason for such decline in addition to that saving outgrew domestic investment? 2011-2013年间，美国资金净流入出现下降，除了国内投资增长慢于储蓄增长这一因素外，还有没有其他原因？

RESPONSE: A major source of the increased saving was the reduction in the Federal government budget deficit. In addition, the moderate, but sustained, growth of the economy held down the need for additional investment since the rate of capacity utilization remained below its long-term average. Another reason for increased U.S. saving is the continued deleveraging by U.S. households since 2008, which has increased private savings.

回复：存款增加的主要原因是联邦政府预算赤字减少。此外，温和但持续的经济增长也抑制了对额外投资的需求，因为产能利用率保持在其长期平均水平以下。美国存款增加的另一原因是美国家庭自2008年以来一直展开的去杠杆化活动增加了私人存款。

Page 6, Para 2.11

“Most measures of labor compensation have also been rising slowly – another indication of the significant slack which remains in the U.S. labor market.”

Paragraph 2.11 states that labor compensation has been rising slowly, and the significant slack remains in the

U.S. labor market. 2.11 段称，美劳动报酬上涨缓慢，劳动力市场仍不景气。Question 198:

Could the United States explain why the labor market remains slack and what challenge this will have on its

further economic recovery? 请问造成这一状况的主要原因是什么？对美经济进一步恢复构成什么挑战？

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RESPONSE: While the unemployment rate, at 5.8 percent, is very close to what many consider to be its structural value of 5.4 percent, and the short term unemployment rate is below its pre-recession average, other indicators such as those working part time for economic reasons, and those marginally attached to the labor force, remain elevated and point to slack in the economy. 

回复：虽然 5.8%的失业率十分接近多数人公认的 5.4%的结构性失业率，且短期失业率也低于衰退期前的平均水平，但由于其他不利因素仍然存在，如经济原因导致的兼职工作，以及与劳动力有边际关联的因素，导致了经济增长缓慢。

The long-term unemployed are another group that may indicate slack in the economy, and recovery for this group has markedly accelerated in 2014. Steps to strengthen the economy and encourage best practices for hiring the long-term unemployed, both of which the Administration has long-championed, are critical for continuing the rapid pace of recovery seen in 2014. For further detail on these plans see the following reports on the labor force participation: http://www.whitehouse.gov/sites/default/files/docs/labor_force_participation_report.pdf and the Opportunity, Growth, and Security initiative http://www.whitehouse.gov/sites/default/files/omb/budget/fy2015/assets/opportunity.pdf. Also for steps on the long-term unemployed: http://www.whitehouse.gov/the-press-office/2014/01/31/fact-sheet-

opportunity-all-president-s-call-action-give-long-term-unempl 长期失业人群是可能预示经济不景气的另一指标，该指标在 2014年明显加速复苏。美国政府长期支持的、为加强经济和鼓励雇佣长期失业人群的最佳实践而采取的措施是确保 2014年快速复苏步伐继续保持的关键因素。有关此类计划的进一步信 息，请参见以下关于劳动力的报 告 http://www.whitehouse.gov/sites/default/files/docs/

labor_force_participation_report.pdf 以及“机会、成长和安全”倡议 http://www.whitehouse.gov/

sites/default/files/omb/budget/fy2015/assets/opportunity.pdf。关于就长期失业人群采取的措施，请参见 http://www.whitehouse.gov/the-press-office/2014/01/31/fact-sheet-opportunity-all-president-s-call-

action-give-long-term-unempl 。

Page 7, Para 2.12

“Labor productivity, as measured by output per hour worked, grew by nearly 2% between 2011 and 2013 (up 1% in 2012 and up 0.9% in 2013). Manufacturing productivity grew nearly 60% faster, up 3.0% between 2011 and 2013 (up 1.0% in 2012 and up 2.0% in 2013).”

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Question 199:

Please describe the main reasons for the growth in labor productivity and manufacturing productivity of the

United States. 请介绍美劳动生产率和制造业生产率提高的主要原因。

RESPONSE: Over the last decade, increases in productivity have mostly reflected technological change as well as the scale of markets and organization of production processes. The relatively slower pace of productivity growth in the recent period likely reflects, in part, the sustained weakness in capital investment over the recession and recovery period. Moreover, the cyclical element to the growth in labor productivity with it being strong at the beginning of the business cycle, then slowing as the cycle progresses as more employment accelerates is also a factor in the slower pace in the recent period.

回复：在过去十年间，生产率的提升反映了技术变革以及生产流程中的市场和组织规模。近期生产率增长相对放缓，原因之一是在经济衰退和复苏期资本投资持续不振。此外，劳动生产率的发展模式一直是在经济周期开始时较强，随着时间推移逐渐变弱，不断增加的就业也是导致近期劳动生产率增速放缓的因素之一。

Page 7, Para 2.14

“The United States was the recipient of 16.9% of goods and services exports from the rest of the world (excluding intra-EU exports) in 2013. The United States supplied 14.3% of goods and services imports to the rest of the world (excluding intra-EU imports).”.

Question 200:

As the largest economy and consumer worldwide, U.S. and its demand is critical for boosting the global economic recovery. Does the United States plan to further trade facilitation to promote imports and undertake

its responsibility as the largest economy in the global economic recovery? 作为全球经济规模最大的国家和最大的消费市场，美国的需求对拉动全球经济复苏至关重要。美国是否有计划进一步提升贸易便利化水平，以便促进进口，并在全球经济复苏进程中承担第一经济大国应有的责任？

RESPONSE: The U.S. is the largest importer in the world, with imports of goods and services totaling $2.8 trillion in 2013.  Since 2009 and the end of the Great Recession, imports have increased by 40 percent.  The U.S. has agreed to implement the Trade Facilitation Agreement, which when other parties implement as well is estimated to increase global GDP by hundreds of billions.

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回复：美国是世界最大的进口国，2013年的进口货物和服务总值达 28000亿美元。自 2009年和经济大衰退以来，美进口已经增长了 40%，美国已经同意实施《贸易便利化协定》，如其他各方也执行该协定，预计将为全球GDP 带来数千亿美元的增长。

3. OPENNESS AND ACCOUNTABILITY: BUILDING SUPPORT FOR TRADE

Page 9, Para 3.8

“Throughout 2013 and 2014, USTR has issued Federal Register Notices to solicit public comment and has held public hearings at USTR regarding a wide array of trade policy initiatives. Public comments received in response to Federal Register Notices are available for inspection online at http://www.regulations.gov. Some examples of trade policy initiatives for which USTR has sought public comment include those related to the Trade in Services Agreement (TiSA), the Environmental Goods Agreement, in addition to those related to the ongoing negotiations of the Transatlantic Trade and Investment Partnership Agreement (T-TIP) and the Trans-Pacific Partnership (TPP)."

Question 201:

After login on the website www.regualtions.gove, we found that it seems only to publish brief and simple notices, without making available substantial information regarding the said negotiations or initiatives. For instance, under “Request for Public Comments Regarding the Interim Environment Review of the TPP Agreement” with the Docket ID “USTR-2013-0028”, Angela Clapp, a website visitor commented on Sep. 26, 2013: “We must have details before we can comment. Where do I go to read more??” It seems that the American people share the concern of the international community about transparency of the negotiations of mega-FTAs, such as TPP,. Could the United States please explain what measures it will take to ensure transparency? 经上网查询，我们发现征集公众评论的网站 www.regualtions.gove似乎仅发布简单的通知，而无所涉谈判或行动计划的实质性内容。如 Docket ID为 USTR-2013-0028的“Request for Public Comments Regarding the Interim Environment Review of the TPP Agreement”,网友 Angela Clapp在通知下评论道：“We must have details before we can comment. Where do I go to read more??”外界普遍感觉 TPP等大型 FTA谈判非常不透明，看来美国内民众也有同感。请问美方如何确保其所称的透明度？

RESPONSE: U.S. negotiators meet with stakeholders on a regular basis, including before, during, and after each negotiating round. In addition, U.S. negotiators brief stakeholders and the press following each negotiating round.

回复：美国谈判代表定期与利益相关方见面，包括在每一轮谈判开始前、谈判中和谈判结束后。此外，在每一轮谈判之后，美国的谈判代表还就相关内容向利益相关方和新闻媒体吹风。

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For example, alongside each of the T-TIP rounds, USTR and the EU have hosted stakeholder consultation sessions. During each of the rounds held in the U.S., negotiators met with and listened to over 50 presentations from representatives of a wide array of interests, including industry, small business, academia, labor unions, environmental groups, and consumer advocacy organizations. The

stakeholder presentations and briefings consistently draw approximately 300 global stakeholders. 比如，在每一轮跨大西洋贸易与投资伙伴关系协定（T-TIP）谈判中，美国贸易代表办公室（USTR）和欧盟将举行利益相关方咨询会。每一轮在美举行的谈判中，谈判代表都与来自各个领域（包括工业、小企业、学术界、工会、环境集团以及消费者权益组织）的代表会面，并听取 50 多场陈述。利益相关方的陈述和吹风会议往往会吸引来自全球的约 300个利益相关方。

In addition, before the launch of the T-TIP negotiations, USTR published a Federal Register Notice to seek public comment on the objectives for a U.S.-EU free trade agreement and held a public hearing. USTR received over 365 comments from a diverse array of stakeholders and 62 stakeholders

participated in the hearing. These comments continue to guide our participation in the negotiations. 此外，在启动跨大西洋贸易与投资伙伴关系协定谈判前，美国贸易代表办公室会发布《联邦政府公报》通知，征求公众对美国-欧盟自由贸易协定目标的意见并举行公开听证会。美国贸易代表办公室会收到了来自各类利益相关方和 62 名参加听证的利益相关方的 365份意见。这些意见将在美方参与谈判的过程中持续提供指导。

Page 10, Para 3.10

“The United States continues to rely on its trade advisory committee system as an integral part of its efforts to ensure that U.S. trade policy and trade negotiating objectives adequately reflect U.S. public and private sector interests. The trade advisory committee system consists of 28 advisory committees, with a total membership of over 500 advisors. It includes committees representing sectors of industry, small business, and agriculture; labor, environment, consumer, and health organizations; as well as state and local interests. The system is arranged in three tiers: the President's Advisory Committee for Trade Policy and Negotiations (ACTPN); five policy advisory committees dealing with environment, labor, agriculture, Africa, and state and local issues; and 22 technical advisory committees in the areas of industry and agriculture.”

Question 202:

The total number of advisors disclosed in the 2012 Statement was nearly 700, while it is over 500 in this Statement. Apart from the maximum number of 45 advisors in the President’s Advisory Committee for Trade

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Policy and Negotiations, are there any ceiling for the number of members in other 27 advisory committees? 除总统贸易政策及谈判顾问委员会成员不超过 45人外，其他 27个顾问委员会的顾问人数有无规定或限制？（2012年报告显示顾问总数为近 200人，而本次报告则为 500多人）

RESPONSE: The Agricultural Policy Advisory Committee and Agricultural Technical Advisory Committees do not have membership caps. The Industry Trade Advisory Committees may have up to 50 members. The Intergovernmental Policy Advisory Committee may have up to 35 members. The Labor Advisory Committee for Trade Negotiations and Trade Policy may have up to 30 members. The Trade Advisory Committee on Africa may have up to 30 members. The Trade and Environment Policy Advisory Committee may have up to 35 members.

回复：农业政策顾问委员会和农业技术顾问委员会没有成员人数限制。工业贸易顾问委员会的最高成员人数为 50人。政府间政策顾问委员会的最高成员人数为 35人。贸易谈判和贸易政策劳动顾问委员会的最高成员人数为 30人。非洲贸易顾问委员会的最高成员人数为 30人。贸易和环境政策顾问委员会的最高成员人数为 35人。

Page 10, Para 3.15

“For day-to-day communications, pursuant to the NAFTA and Uruguay Round implementing legislation and Statements of Administrative Action, USTR created a State Single Point of Contact (SPOC) system. The Governor's office in each state designates a single contact point to disseminate information received from USTR to relevant state and local offices and assist in relaying specific information and advice from the states to USTR on trade-related matters. The SPOC network ensures that state governments are promptly informed of Administration trade initiatives so their companies and workers may take full advantage of increased foreign market access and reduced trade barriers. It also enables USTR to consult with states and localities directly on trade matters which may affect them.”

Question 203:

Please describe the U.S. working mechanism for subsidy noitification, including and the coordination between the federal and local governments. Are SPOCs in the states responsible for collecting information on local

subsidies? 请介绍美国补贴通报的工作机制情况，以及联邦和地方层面的协调。各州单一联络点SPOC 是否负责地方补贴情况的信息收集？

RESPONSE: The SPOCs are not responsible for collecting local subsidies information.

回复：SPOC不负责收集地方补贴信息。

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4. TRADE POLICY DEVELOPMENTS SINCE 2012

Question 204:

China has noticed that the regional and bilateral preferential trade arrangements signed by the United States include both Free Trade Agreement (FTA) and Trade Promotion Agreement (TPA). Please describe the difference between FTA and TPA. 中方注意到，美国签署的一系列区域或双边优惠贸易安排中，既包括部分“自由贸易协定”（FTA），也包括部分“贸易促进协定”（TPA）。

RESPONSE:  There is no substantive difference between U.S. FTAs and TPAs. 

回复：美国的自由贸易协定（FTA）和贸易促进协定(TPA)之间没有实质性区别。

Page 16, Para 4.35

“In August 2014, the AGOA Forum was held in conjunction with the first ever U.S.-Africa Leaders Summit in Washington DC. The U.S. Trade Representative and other U.S. participants met with numerous African heads of state, trade ministers, leaders of African regional economic organizations, and representatives of the African and American private sectors and civil society to discuss issues and strategies for advancing trade, investment, and economic development in Africa as well as ways to increase two-way U.S.-African trade.”

Question 205:

Please introduce the main deliverables of the first U.S.-Africa Leaders Summit. 请美方介绍首次美非峰会主要成果。

RESPONSE: A broad spectrum of new initiatives and announcements were made at the Summit, focusing on a range of areas, including: shared investment in youth; U.S.-African cooperation on global health, on food security, and on advancing gender equality; combatting wildlife trafficking; support for peacekeeping and partnering to counter terrorism. In addition, President Obama announced $7 billion in new financing to promote U.S. exports to and investments in Africa under the Doing Business in Africa Campaign.  U.S. companies announced new deals in clean energy, aviation, banking, and construction worth more than $14 billion. Also, $12 billion in new commitments under the President’s Power Africa initiative were announced. A Presidential Advisory Council on doing business in Africa was created to promote broad-based economic growth in the United States and Africa by encouraging U.S. companies to trade with and invest in Africa. The President also announced establishment of a USG steering committee to develop a comprehensive approach for expanding sub-Saharan Africa’s capacity for trade and investment. On the margins of the Summit, a symposium hosted by the First Lady Michelle Obama announced more than $200 million to support programs fostering improved education, health, and economic opportunity for more than 1 million Africans

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across the continent. A full list and description of the deliverables are available on the Summit’s website (http://www.whitehouse.gov/us-africa-leaders-summit).

回复：峰会决定实施多项新行动，并发布了一系列公告，主要集中于以下领域：共同对青年人投资、美国-非洲在全球卫生、粮食安全和促进男女平等方面的合作、打击野生动物非法交易、为维和提供支持以及共同打击恐怖主义。此外，奥巴马总统宣布在“经营在非洲运动”（Doing Business in

Africa Campaign）项下，为促进美国企业对非洲出口和在非洲的投资提供 70亿美元的融资。美国多家公司宣布了与非洲在清洁能源、航空、银行和建筑领域的新交易，总额超过 140亿美元。美国还宣布了在总统提出的“电力非洲（Power Africa）”计划项下的 120亿美元的新承诺。美国成立了针对在非洲经营业务的总统顾问委员会，旨在通过鼓励美国公司对非贸易与投资，促进美国和非洲更广泛的经济增长。总统还宣布成立 USG 指导委员会，为扩大撒哈拉沙漠以南非洲的贸易和投资能力提供全面帮助。在峰会前夕，由第一夫人米歇尔奥巴马主持的座谈会宣布将斥资 2亿美元以上，为旨在改善整个非洲大陆 100 多万非洲人获得教育、医疗和经济机会的计划提供支持。有关峰会内容的完整清单和描述，请参见峰会网站（http://www.whitehouse.gov/us-africa-leaders-summit）。

5. TRADE-RELATED CAPACITY BUILDING INITIATIVES

Page 23, Para 5.2

“In April 2014, USTR and the U.S. Agency for International Development (USAID) hosted a meeting with Ministers and heads of development banks to discuss donor efforts to help developing countries implement the WTO Trade Facilitation Agreement (TFA), and to ensure coordination among donor entities. The meeting provided an opportunity for donor institutions to share best practices and updates on the broad range of trade capacity building projects that are already in place.”

Question 206:

In April 2014, USTR and USAID hosted a meeting with development banks. Which development banks

participated in the meeting and what achievements were made at the meeting? 2014年 4月 USTR 和 USAID

与开发银行举行了会议，请问参会的有哪些开发银行？会议取得了什么成果？

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RESPONSE: Those development banks who attended included the African Development Bank, Inter-American Development Bank, the International Monetary Fund, and the World Bank. Additional information on the meeting can be found online at: http://www.ustr.gov/about-us/press-office/press-releases/2014/April/Readout-Meeting-USTR-Froman-USAID-Shah-Support-WTO-Trade-Facilitiation-Agreement

回复： 参加会议的开发银行包括非洲开发银行、泛美开发银行、国际货币基金组织以及世界银行。关于会议的进一步信 息，请参见 http://www.ustr.gov/about-us/press-office/press-releases/2014/April/

Readout-Meeting-USTR-Froman-USAID-Shah-Support-WTO-Trade-Facilitiation-Agreement。

Page 25, Para 5.11-5.13

Question 207:

Please describe the respective objectives, progress and achievements of such programs as Trade Africa, Power Africa and Feed the Future, the timing consideration for launching these programs and the source of funding and the institutional arrangement for the utilization of funds. 请介绍 Trade Africa, Power Africa和Feed the Future等项目的目标、进展及成果，为何选择此时做，项目资金来源及使用机制情况。

RESPONSE: Both Power Africa and Trade Africa were launched during President Obama’s visit to Africa in 2013.  Both initiatives are interagency efforts within the U.S. government and include partnerships with the private sector and other donors.  Funding for the initiatives is from both Development Assistance and Economic Support Fund accounts and it is implemented through a range of mechanisms, including multi-donor funded projects, and other contracting mechanisms.  For the objectives for both programs, please see the following links to the White House factsheets that accompanied the launch of the programs:

http://www.whitehouse.gov/the-press-office/2013/06/30/fact-sheet-power-africa;  

http://www.whitehouse.gov/the-press-office/2013/07/01/fact-sheet-trade-africa

For information on Feed the Future, refer to the following report: http://www.feedthefuture.gov/sites/default/files/ftf_progressreport_2014.pdf

回复：“电力非洲（Power Africa）”和“贸易非洲（Trade Africa）”均是在奥巴马总统于 2013年访问非洲期间启动的。两项计划均是美国政府内部的跨部门行动，包括与私营领域和其他捐赠者间的合作。上述两项行动的资金均来自开发协助和经济支持基金，并通过一系列机制得以执行，包括由各方捐赠者资助的项目以及其他承包机制。关于上述两项计划的目标，请通过以下链接参见在计划启动

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时随附的白宫情况说明（ http://www.whitehouse.gov/the-press-office/2013/06/30/fact-sheet-power-

africa;  

http://www.whitehouse.gov/the-press-office/2013/07/01/fact-sheet-trade-africa）。有关 Feed the Future

计 划 的 信 息 ， 请 参 见 以 下 报 告 http://www.feedthefuture.gov/sites/default/files/

ftf_progressreport_2014.pdf。

Page 25, Para 5.17

“In November 2012, the United States launched a new U.S.-sponsored assistance facility called the "Standards Alliance" with the goal of building capacity among developing countries to implement the WTO Agreement on Technical Barriers to Trade (TBT Agreement). The Standards Alliance provides resources and expertise to enable developing countries to effectively implement the TBT Agreement. The focus of these efforts in developing countries includes efforts: to improve practices related to notification of technical regulations and conformity assessment procedures to the WTO; to strengthen domestic practices related to adopting relevant international standards; and to clarify and streamline regulatory processes for products.”

Question 208:

Which governmental department is the lead agency for the work of “Standards Alliance”? Which departments

are involved? 请问标准联盟项下的工作由美国哪个政府部门具体负责？

RESPONSE: In May 2013, the U.S. Agency for International Development (USAID) and the American National Standards Institute (ANSI) entered into a public-private partnership that will coordinate private-sector subject matter experts from ANSI member organizations in the delivery of training and other technical exchange with interested Standards Alliance countries on international standards and best practices. USAID and ANSI consult closely with the Office of the U.S. Trade Representative (USTR) and the Trade Policy Staff Committee (TPSC).

回复：2013年 5 月，美国国际开发署（USAID）和美国国家标准协会（ANSI）达成了公共——私营机构伙伴关系，负责协调美国国家标准协会成员组织中在私营领域的专家，向相关标准联盟成员国提供与实施国际标准和最佳实践有关的培训，并与之交换相关技术信息。美国国际开发署和美国国家标准协会与美国贸易代表办公室（USTR）和贸易政策参事委员会（TPSC）保持紧密沟通。

6. TRADE AND THE ENVIRONMENT

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Page 26, Para 6.3

“In July 2013, the President issued an Executive Order on Combating Wildlife Trafficking in order to enhance U.S. Government efforts to combat wildlife trafficking. The Executive Order established a Presidential Task Force to develop and implement a National Strategy for combating wildlife trafficking. ……In June 2014, the President issued a Presidential Memorandum on Combating Illegal Fishing and Seafood Fraud. The memorandum established a Presidential Task Force and directed it to develop a comprehensive framework to combat illegal, unreported, and unregulated fishing and seafood fraud.”

Question 209:

Which departments are represented respectively in the Presidential Task Forces for combating wildlife trafficking and illegal fishing and seafood fraud respectively? 打击野生动物非法交易和打击非法捕鱼及海鲜欺诈这两个总统特别工作组分别包括哪些部门的代表？

RESPONSE: The Secretary of State, the Secretary of the Interior, and the Attorney General co-chair the Task Force on Wildlife Trafficking. The Task Force includes representatives from a broad range of U.S. Government agencies. See Executive Order 13648, Combating Wildlife Trafficking (July 1, 2013). The Secretary of State and the Secretary of Commerce co-chair the Task Force on Combating Illegal, Unreported, and Unregulated Fishing and Seafood Fraud. This Task Force likewise is comprised of a broad range of U.S. agencies. See Presidential Memorandum – Establishing a Comprehensive Framework to Combat Illegal, Unreported, and Unregulated Fishing and Seafood Fraud (June 17, 2014).

回复：国务卿、内政部部长和司法部部长共同领导打击野生动物非法交易特别工作组。特别工作组由来自美国多个政府机构的代表组成。具体请参见行政命令 13648 号（打击野生动物非法交易）（2013

年 7 月 1 日）。国务卿和商务部长共同领导打击非法、未报告和无监管捕鱼和海鲜欺诈行为特别行动组。该行动组也由美国多个政府机构的代表组成。具体请参见总统备忘录 – 建立打击非法、未报告和无监管捕鱼和海鲜欺诈行为的全面框架（2014年 6 月 17 日）。

7. TRADE AND LABOR

Page 27, Para 7.3

“As an essential component of the Administration's trade agenda, President Obama signed into law renewal of the Trade Adjustment Assistance (TAA) programs to assist workers, firms and farmers adversely affected by global competition. On 21 October 2011, President Obama signed the Trade Adjustment Assistance Extension Act of 2011 (TAAEA). The renewal of TAA preserves the key goals of the 2009 TAA program reforms, such as

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covering service workers and workers whose jobs shift overseas. It helps ensure that American workers affected by global competition are given the best opportunity to acquire skills and credentials to get good jobs. The TAA program currently offers the following services to eligible workers: training; weekly income support; out-of-area job search and relocation allowances; case management and employment services; assistance with payments for health insurance coverage through the utilization of the Health Coverage Tax Credit (HCTC); and wage insurance for some older workers. In FY2013, US$756,353,000 was available to carry out the program.”

Question 210:

Compared with the 2009 version, what supporting measures were added to the Trade Adjustment Assistance Extension Act of 2011 signed by President Obama? Are there any other changes? 与 2009年版本相比，奥巴马总统签署的 2011年《贸易调整援助法案》新增了哪些支持内容？有什么其他变化？

RESPONSE: The 2011 amendments mainly restored the provisions of the 2009 amendments, however, the differences between the 2009 and 2011 amendments include:

回复：2011年修正案基本恢复了 2009年修正案的规定，两者的区别包括：

·         The elimination of group eligibility for public agencies (no public agency petitions were received

under 2009 amendments) 取消了公共机构的集体资格要求（在 2009年修正案项下未收到任何公共机构申请）·         Changes to Trade Readjustment Allowances (TRA) to include Completion TRA, which resulted in

the following changes:调整 贸易再调整津贴（TRA）以纳入完成津贴，由此导致以下变化： Availability of Completion TRA – to provide up to 13 weeks additional TRA payments for a

worker who has exhausted the maximum weeks of Additional TRA and requires additional income support to complete an approved training program that results in a degree or an industry certified credential.  Workers who qualify must also meet training benchmarks, which

are also new under the 2011 amendments (described below).获得完成贸易再调整津贴的条件 – 为已经完成额外贸易再调整津贴最高周数要求、并要求为完成可以颁发学位或行业认证学历的经过批准的培训计划以获得额外收入支持的工人提供最长 13周的额外贸易再调整津贴款。符合资格要求的工人必须满足培训标准，而 2011年修正案也对此类培训标准提出了新要求（如下）。

The reduction of the maximum number of weeks of income support (TRA) from 156 under 2009

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amendments to 130 under 2011 amendments. 将收入支持（贸易再调整津贴）的最高周数要求从 2009年修正案中 156周缩短为 2011年修正案中的 130周。

Reduction of Additional TRA from a maximum of 78 weeks of payments, payable over a period of 91 weeks under 2009 amendments to 65 weeks of payments, payable over a period of 78

weeks under 2011 amendments. 将额外贸易再调整津贴的最长 78周付款时间（在 2009年修正案中应在 91周内支付）缩短为 65周（在 2011年修正案中应在 78周内支付）。

The elimination of Remedial TRA (Remedial training is still allowable). 取消救济性贸易再调整津贴（仍然允许救济性培训）。

Reduction in the number of criteria for waivers of the training requirement for Basic TRA from

six criteria to three. 将基本贸易再调整津贴的培训要求放弃标准数量从六项减少为三项。 Establishment of a Federal Good Cause provision that allows a waiver for good cause of

deadlines relating to time limitations on filing an application for TRA or enrolling in training. 制定了一项联邦正当理由规定，允许因正当理由放弃与申请贸易再调整津贴或报名培训的时限有关的截止时间要求。

·         Establishment of training benchmarks at the beginning of the worker’s training program where the approved training program will extend beyond the duration of available Basic and Additional TRA

in order to establish eligibility for Completion TRA (referred to above). 如果经批准的培训计划将超出可以获得的基本和额外贸易再调整津贴的期间，则在工人培训计划开始时建立培训标准，以确定获得完成贸易再调整津贴的资格要求（见上文）。·         Establishment of a single funding source (training cap) for job search allowances, relocation allowances, case management and employment services, training, and state administration of benefits,

which allows for increased flexibility of funds. 为寻找工作津贴、调岗津贴、案件管理和就业服务、培训以及州福利管理建立单一的资助渠道（培训最高限额），以提高资金的灵活性。·         Changes to the minimum and maximum levels of case management and employment services and

state administration funds percentages. 变更个案管理和就业服务以及州管理资金百分比的最低和最高150

限额。·         Job Search and Relocation Allowances became optional for states to administer under the 2011

amendments.  Only one state (IL) opted not to offer job search and relocation allowances. 在 2011年修正案项下，各州可以选择是否管理寻找工作和调岗津贴。仅一个州（伊利诺伊斯州）选择不提供寻找工作和调岗津贴。·         The 2011 amendments included changes to the sunset provisions and termination provisions to

the TAA program. 2011年修正案载明了日落规定的修改内容以及贸易调整协助（TAA）的终止规定/

These changes are fully described in the Operating Instructions for Implementing the Amendments to the Trade Act of 1974 Enacted by the Trade Adjustment Assistance Extension Act of 2011 (TAAEA) TEGL No. 10-11 located at:

http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9853. 有关上述变更的全面描述，请参见根据2011年《贸易调整协助扩展法》（TAAEA）（TEGL第 10-11 号）制定的《1974年贸易法修正案实施说明》（http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=9853）。

Please note that the Health Coverage Tax Credit was extended under the 2011 amendments, but expired

on December 31, 2013. 请注意健康保险税收抵免计划在 2011年修正案项下展期，于 2013年 12 月 31

日届满。

You may also find this side by side benefit and services comparison helpful, as it includes the 2009 and 2011 amendments, along with the 2002 amendments and Reversion 2014 (sunset provision to the 2011

amendments): >http://www.doleta.gov/tradeact/pdf/side-by-side.pdf< 您还可参见本福利和服务对比内容，其中包含了 2009年和 2011年修正案以及 2002年修正案和 2014年的再版内容（2011年修正案的日落规定）（>http://www.doleta.gov/tradeact/pdf/side-by-side.pdf<）。

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8. SMALL AND MEDIUM-SIZED BUSINESS TRADE

Page 28, Para 8.1

“In October 2009, USTR announced a Small Business initiative aimed at ensuring that the specific export challenges and priorities of Small and Medium Enterprises (SMEs) and their workers are reflected in our trade policy and enforcement activities. This effort also supports the goals of the Administration's National Export Initiative (NEI) to double U.S. exports by the end of 2014 to support millions of American jobs. The NEI highlights priority attention to expanding SME exports.”

Question 211:

According to its progress assessment, will the goals of NEI to double U.S. exports by the end of 2014 be

realized as scheduled? 根据美方的进度评估，美国出口倍增计划的目标到 2014年底能否如期实现？

RESPONSE: We did not reach the President’s goal of doubling exports under the NEI – in part because of unexpectedly strong global economic headwinds and macroeconomic factors outside our control.

回复：美方未能实现总统在国家出口倡议(NEI)项下的出口倍增目标 – 部分原因是全球经济所面临的严峻形势出乎意料，宏观经济因素超出了美方控制范围。

Feedback from customer surveys on the NEI and focus groups across the country – reaching more than 6,000 clients and partners – showed that U.S. companies are well-positioned to capitalize on growing opportunities around the world and offered suggestions on how to improve upon the NEI. NEI/NEXT is a new customer service-driven strategy with improved information resources that will help American businesses capitalize on existing and new opportunities to sell Made-in-America goods and services abroad. NEI/NEXT is focused on improving data useful to exporters, providing information on specific export opportunities, working more closely with financing organizations and service providers to expand access to export-related resources, and partnering with states and communities to empower

local export efforts and make it easier for small businesses to understand where to go for help. 根据关于国家出口计划和全国各群体的客户调查（涉及 6,000 多名客户和合作伙伴）的反馈，美国公司在充分利用全球不断增长的机会中处于有利地位，并为如何改进国家出口计划提供了建议。新一代国家出口计划是一项新的以客户服务为驱动力的战略，拥有更好的信息来源，将帮助美国企业充分利用现有的以及最新出现的向海外销售美国生产的货物和服务的机会。新一代国家出口计划着力于向出口商提

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供有价值的数据，提供关于特定出口机会的信息，与融资机构和服务提供商更紧密地合作以扩大其获得与出口相关的资源的机会，以及与各个州和社区合作，共同为本地出口活动提供支持并为小企业寻求帮助提供便利。

Part III. Other Questions

TRADE AND INVESTMENT REGIME

Investment flows and regimes

Question 212:

The two-way investment data published by the Bureau of Economic Analysis (BEA) under the U.S. Department of Commerce has been revised from time to time, and occasionally is adjusted substantially.

Please describe the statistical method and correction mechanism of two-way investment data. 美国商务部经济分析局发布的美双向投资数据时有修正，且有时调整幅度很大。请美方介绍其双向投资数据统计方法和修正机制。

RESPONSE: U.S. Direct Investment statistics are based on quarterly and annual sample surveys as well as 5 year benchmark surveys. The data are revised on a regular schedule to incorporate new and revised source data and periodically incorporate changes in definitions, classifications, and estimation methods.  A comprehensive methodology is available on BEA's Web site at www.bea.gov/international/concepts_estimation_methods.htm as well as a detailed analysis of revisions http://www.bea.gov/scb/pdf/2012/11%20November/1112_IEAR.pdf.

回复：美国的直接投资统计数据以季度和年度抽样调查以及 5年的基准调查为依据。数据定期修改，以反映新的和修改后的源数据，并定期纳入定义、分类和估算方法的变更。关于整个方法的全面描述，请见经济分析局的网站 www.bea.gov/international/concepts_estimation_methods.htm，对修改的具体分析，请见 http://www.bea.gov/scb/pdf/2012/11%20November/1112_IEAR.pdf。

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This past summer, as part of the comprehensive restructuring of the international economic accounts, the direct investment statistics were revised to be presented on a gross basis according to whether the financial flow or position is derived from an asset or a liability rather than on a directional basis.   On the gross (asset/liability) basis, direct investment assets cover U.S. assets for both outward (U.S. parents) and inward (U.S. affiliates) direct investment. Direct investment liabilities cover U.S. liabilities for both inward (U.S. affiliates) and outward (U.S. parents) direct investment. In the previous presentation, direct investment was shown on a directional basis. On the directional basis, direct investment assets (liabilities) covered only outward (inward) investment; U.S. parents’ assets were netted against U.S. parents’ liabilities, and U.S. affiliates’ liabilities were netted U.S. affiliates’ assets.  Detailed information about these changes are available on BEA’s website http://www.bea.gov/scb/pdf/2014/07%20July/0714_annual_international_transactions_accounts.pdf 在

2014年夏天，作为全面重组国际经济账户行动的一部分，美国修改了直接投资统计数据，以总额方式统计直接投资数据，并以资金流或头寸的来源（来自资产或负债），而非其流向为依据。在资产/负债总额的基础上，直接投资资产包括了用于对外（美国母公司）和对内（美国关联方）直接投资的美国资产。直接投资负债涉及用于对内（美国关联方）和对外（美国母公司）直接投资的美国负债。而在此前发布的数据中，直接投资统计以流向为基础。根据该方式，直接投资资产（负债）仅涉及对外（对内）投资；美国母公司的资产取扣除其负债后的净值；美国关联方的负债取扣除其资产后的净值。有关此类变更的具体信 息，请参见经济分 析局网站 http://www.bea.gov/scb/pdf/2014/07%20July/

0714_annual_international_transactions_accounts.pdf。

Question 213:

Under the U.S. International Investment and Trade in Services Survey Act, foreign companies are required to submit a form entitled “Benchmark Survey of Foreign Direct Investment in the United States” (Form BE-12) every five years. According to the analysis of BEA, it takes 96 hours to complete this form on average. 美国《国际技术与服务贸易调查法案》要求外国企业每五年向美方提交 Benchmark Survey of Foreign Direct

Investment in the United States表格（BE-12表格）。据美国商务部经济分析局统计，填报该表格平均耗时达 96小时。Has the United States assessed the effect of this regime? 请美方介绍，对该制度的实施效果，美方有无相应评估？

The highly complicated information filing process constitutes a heavy burden for foreign-invested enterprises, particularly small- and medium-sized ones. Does the United States have any plan for streamlining the filing procedure? 由于须申报信息过于繁琐，对外国投资企业，特别是中小企业造成较大负担。美方是否有

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计划简化相关申报程序？

RESPONSE: Surveys conducted pursuant to the International Investment and Trade in Services Survey Act are critical to the Bureau of Economic Analysis’s (BEA) ability to produce statistics on foreign direct investment in the United States. These statistics help policymakers and the general public understand the impact of foreign investment on the U.S. economy, and are used widely within and beyond the United States for a variety of purposes (including by the World Trade Organization, for example in Section 1.6 of the Secretariat’s Report). BEA has developed a number of resources to assist survey respondents completing the Benchmark survey report. These resources include a series of online video tutorials that walk respondents through each step in the survey process; published answers to frequently asked questions about the surveys; guides to completing the surveys; links to e-filing platforms and instruction materials; and direct contact information (via both telephone and email) for BEA survey experts available for additional assistance. In addition, to reduce the burden on smaller companies, BEA has developed more streamlined forms which request less data: Form BE-12C, which is available for filing companies with assets, sales, or income (or loss) of $60 million or less; and Form BE12-B, for companies with assets, sales, or income between $60 million and $300 million.

回复：根据《国际投资和服务贸易调查法》进行的调查对经济分析局（BEA）是否能够提供关于美国外国直接投资的统计数据至关重要。此类统计数据帮助决策者和公众了解外国投资对美国经济的影响，在美国境内外被广泛用于各类目的（包括被世界贸易组织使用，如秘书处报告第 1.6节）。经济分析局已经发掘了一系列资源，为受访者完成基准调查报告提供协助，包括一系列帮助受访者了解调查流程中的每一步骤的在线视频课程；公布针对有关调查的常见问题的回答；关于如何完成调查的指引；填写问卷的电子平台及其介绍材料的链接；以及可以提供额外帮助的经济分析局的调查专家的直接联系信息（通过电话和电子邮件）。此外，为减少小公司负担，经济分析局还制定了更为简化的、要求提供的信息更少的表格：表 BE-12C，适用于申报资产、销售额或收入（或亏损）为 6000万美元或以下的公司；以及表 BE12-B，适用于申报资产、销售额或收入在 6000万到 3亿美元之间的公司。

Question 214:

Many Chinese enterprises with investment in the United States reported difficulties in getting visas for their managers, engineers and technicians seconded to the United States, which has affected the normal business operation of some enterprises. Does the United States have any plan for providing necessary facilitation and

guarantee in the visa application of Chinese-funded companies in the U.S.? 许多在美投资中国企业反映，155

其管理人员和工程技术人员赴美工作签证无法得到有效保障，甚至对部分企业正常经营造成影响。请问美方是否有计划在签证申请领域，为在美投资中国企业提供必要的便利与保障？

RESPONSE: The United States is committed to facilitating legitimate travel for qualified foreign officials, business persons, tourists, and students, including from China. Appointment wait times for applicants at U.S. consular posts in China remain under five days for all applicants, and these posts currently operate several facilitation programs specifically for business travelers, as well as offering expedited services for those with urgent travel needs. The overwhelming majority of state-owned enterprise management personnel may renew their visas without interview if they apply to renew their visas within 12 months of the expiration of their previous visa, and they possess a valid petition. The United States is continually looking for ways to simplify the visa application process for senior management personnel from enterprises with offices in the United States, within the bounds of applicable laws and regulations.

回复：美国承诺为符合条件的外国（包括中国）公职人员、商务人士、游客和学生的合法旅行提供便利。向美国驻华领馆提交的申请的预约等待时间仍为五日，这些美国驻华领馆目前正在执行若干特别针对商务人士的便利化计划，并为有紧急出境需求的人士提供加急服务。绝大多数国有企业管理层人员只要在原签证届满前 12个月内提出申请并持有有效申请材料，就可以在不参加面试的情况下续期签证。美国正不断在相关法律法规的允许范围内，探索为在美国设有办公机构的企业的高级管理人员简化签证申请流程的方式。

TRADE POLICIES AND PRACTICES BY MEASURE

Customs procedures and requirements

Question 215:

What preferential policies are granted to bonded warehouses in the United States? Are they permitted to store imported goods and exported goods simultaneously? What conditions must be satisfied and what formalities need to be completed for a bonded warehouse to be established? Does the U.S. customs authority charge any fees? How does the U.S. customs authority supervise and regulate bonded warehouses? Has any specific information management system been put into place? What steps will the customs take if goods in a bonded

warehouse are lost or damaged or in the event of any wear and tear during storage? 美国保税仓库享有什么优惠政策，是否允许同时存放进口货物和出口货物？在美设立保税仓库需要具备什么条件？需要履

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行哪些海关手续？海关是否收取相关费用？美海关对保税仓库如何实施监管？是否有专门的信息化管理系统？保税仓库货物发生损毁或者灭失，海关如何处理？对货物仓储期间发生的自然损耗如何处理？

RESPONSE: Authority for establishing bonded warehouses is set forth in 19 U. S. Code, section 1555 and the regulations can be found at 19 CFR Part 19. There is no fee for establishing or operating a warehouse. An application is submitted to the port director who has final approval of the establishment of the facility. In the application, the operator needs to provide the following before the port director will provide approval: the exact physical location of the facility; the class of warehouse desired; an estimate of the maximum value of the merchandise being stored in the facility; a blueprint showing measurements, openings, etc., of the building or space to be bonded; evidence of fire insurance, and a list of names and addresses of all officers and managing officials of the warehouse and all persons who have a direct or indirect financial interest in the operation of the warehouse facility.

回复：《美国法典》第 19篇第 1555 条载明了建立保税仓库的权限，《美国联邦法规》第 19篇第 19

部分载明了相关规定。仓库的建立或运营均不收费，相关申请应提交负责最终审批仓库设立事宜的港口主管。在申请中，运营商应当在港口主管批准申请前提供以下文件：仓库的确切地理位置、期望的仓库级别、仓库可以存放的商品的最高价值估算值、标明保税大楼或场地的面积、出入口等信息的设计蓝图、火灾险证明，以及仓库所有高管和管理人员，及在仓库运营中享有直接或间接经济利益的所有人士的姓名和地址。

While duties and taxes are paid upon the formal entry of cargo into the United States commerce, placing cargo into a bonded warehouse allows the importer to defer the payment of these duties and taxes for a period of up to 5 years. After 5 years in the warehouse from the date of importation, the cargo must (1) enter the commerce of the United States; (2) be exported from the United States; (3) be

destroyed; or (4) sold at public auction. 虽然在货物正式进入美国商业领域之时即需缴纳相关税费，但将货物置放于保税仓库后，进口商可以延期缴纳此类税费，延迟期限可长达 5年。在仓库中存放五年后（进口之日起算），货物 必须(1)进入美国商业领域；(2) 从美国出口；(3)被销毁；或(4) 通过公开拍卖出售。

While bonded warehouses are permitted to store imported and exported good simultaneously, they

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must be kept separate using security measures approved by the local Port Director. Liability for the

safekeeping of the cargo while in the facility falls under the warehouse operator. 虽然保税仓库可以同时存放进口和出口货物，但必须采用经当地港口主管批准的安保措施将进出口货物隔离。在货物存放于仓库期间，货物的安全保管责任将由仓库运营商承担。

While the warehouse operator has the responsibility for day-to-day oversight of the safekeeping of the merchandise, CBP has the authority to enter any facility to determine the status of any cargo being maintained in the facility. Accordingly, each bonded facility is required to maintain a custodial bond under which the cargo maintained in the facility are covered in case the items are missing or cannot be

accounted for. 虽然仓库运营商负责对商品情况的日常管理，但美国海关及边境保卫局有权进入仓库，以确定在仓库保存的任何货物的状态。因此，每一保税仓库均必须准备一定的保证金，在仓库内保存的货物灭失或无法确定责任时，以该保证金进行赔付。

Technical regulations and standards

Question 216:

Regulatory discrepancy between the federal, state and local laws in the U.S. has hindered the effective market access for trade and investment. For instance, the chemical testing standards for toys in Washington State are stricter than the federal standards. Companies which fail the testing of Washington State can not sell their products there even if they have passed the federal testing. What plans do the United States have in unifying

its testing standards across the country? 美国联邦、州或地方的法规不一致阻碍了贸易、投资的有效进入，如美国华盛顿州的儿童玩具化学检测标准比联邦严格，有公司的产品通过联邦检测但未能通过该州检测，则不能在该州销售。请问美方在实现有关检测标准全国统一方面有何计划？

RESPONSE: We are not aware of problems caused in terms of differing state and federal level requirements with respect to chemical testing, though we welcome additional information Members may wish to share in this regard. We have a constitutional system that ensures that any conflicting state level laws can be pre-empted by federal law.  

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回复：美方尚不清楚由于在化学测试方面州一级和联邦一级不一致的要求所导致的问题，当然我们也欢迎成员提供希望共享的相关信息。美国宪法确立了机制，，确保州法律与联邦法律不一致的情况下，以联邦法律为准。

Sanitary and phytosanitary requirements

Question 217:

According to some Chinese enterprises, the United States has transferred the power to regulate leiocassis longirostris imports from FDA to USDA, while other aquatic products remain regulated by FDA. Please clarify the reasons for having special regulatory measures for the import of leiocassis longirostris. Will this

cause unnecessary burden or restrictions on exports of leiocassis longirostris by other WTO members? 据中国企业反映，美国已将对进口鮰鱼的监管权由 FDA移交给 USDA，而其他水产品继续由 FDA监管。请美方澄清，为何对进口鮰鱼采取专门监管措施？这是否会导致对其他成员的鮰鱼出口造成不必要的负担或限制？

RESPONSE: The species Leiocassis longirostris is of the family Bagridae, within the order Siluriformes.  In the 2014 Farm Bill of the United States, the regulatory food safety oversight of all Siluriformes fish was mandated by Congress to be moved from the Food and Drug Administration (FDA) to the U.S. Department of Agriculture’s Food Safety and Inspection Service (FSIS).   The 2014 Farm Bill amended the provisions of the 2008 Farm Bill in which Congress first mandated the transfer of the inspection of catfish from the FDA to FSIS. FSIS published a proposed rule on catfish inspection on February 24, 2011. The rule was notified to the WTO SPS Committee on March 1, 2011. 

回复：鮰鱼属于鲿科、鲶目。根据美国 2014年《农业法案》，国会将所有鲶目鱼类的食品安全监管权从美国食品药品监督管理局（FDA）转移至美国农业部食品安全检验局（FSIS）。2014年《农业法案》修改了 2008年《农业法案》，在 2008年《农业法案》中，国会首次批准将鲶鱼的检查权从食品药品监督管理局转移至美国农业部食品安全检验局。2011年 2 月 24 日，美国农业部食品安全检验局公布了关于鲶鱼检查的拟议规则。美国于 2011年 3 月 1 日向世贸组织《实施卫生与植物卫生措施协定》（SPS）委员会通报了该规则。

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The United States intends to notify the final rule to the WTO SPS Committee.  FSIS will work closely with foreign countries interested in exporting Siluriformes to the United States. 美国拟向世贸组织《实

施卫生与植物卫生措施协定》（SPS）委员会通报最终规则。 美国农业部食品安全检验局将与有意向美国出口鲶目鱼类的国家紧密合作。

Question 218:

In 2004, in the absence of any necessary basis for risk assessment, U.S. banned the import of Chinese cooked poultry has been prohibited from being imported to the United States. It was not until November 5, 2014 that the Food Safety and Inspection Service (FSIS) of USDA announced the eligibility of four Chinese poultry processors to export processed poultry products to the United States, on the condition of using raw materials from countries recognized by the US to make their poultry products. Could the United States clarify the basis

for imposing such restrictions on Chinese cooked poultry products? 自 2004年以来，美国在缺乏必要的风险评估依据的情况下，禁止中国熟制禽肉进口。直至 2014年 11月 5日，美农业部食品安全及检验局(FSIS)才发布公告，宣布 4 家中国家禽加工企业获得向美国出口禽肉制品的资格，但要求中国企业必需使用“美国卫生检疫认可的国家的禽肉原料”才能对美出口。请美方澄清，对中国熟制禽肉实施这些限制的依据是什么？

RESPONSE: Section 381.195 of Title 9 of the Code of Federal Regulations sets out the procedures by which foreign countries may become eligible to export poultry and poultry products to the United States. China’s application with respect to poultry slaughtered in China is currently under review. FSIS is awaiting clearance by AQSIQ for visas for its inspectors to conduct the necessary audits to continue the U.S. review process.

回复：《美国联邦法规》第 9篇第 381.195 条载明了外国向美国出口家禽及其制品的程序。目前，美国正在审查中国就在中国宰杀的家禽提出的申请。美国农业部食品安全检验局（FSIS）正在等待中国国家质检总局（AQSIQ）为其检查人员签发签证，以便其检查人员进行必要审查，以继续在美国的审查流程。

Question 219:

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As far as we know, USDA recognizes the veterinary certificate issued by the government of an exporting country for its animals, plants and their products, while the sanitary and phytosanitary certificates so issued by the government of an exporting country are recognized by FDA. Please explain why two government

agencies in the same country of U.S. adopt such distinct approaches. 中方获得的信息显示：美国农业部认可出口国政府部门出具的动植物及其产品的兽医证书，而美国食品药品管理局不认可出口国政府部门出具的卫生证书。请美方说明为何同一国家采取两种截然不同的做法。

RESPONSE: FDA is a food safety regulator, while AHPIS has the mission of protecting animal and plant life and health. They each have different requirements that reflect their different missions.

回复：美国食品药品监督管理局（FDA）是一家食品安全监管机构，而美国农业部动植物卫生检验局(AHPIS)的任务是保护动植物的生命和健康。两家机构提出的不同要求反映了其各自承担的不同职能。

Intellectual property rights

Question 220:

In the case of preliminary injunction, if litigation is delayed longer than expected, can the defendant request

the court to increase the amount of the security provided by the plaintiff? 关于诉前禁令，如果诉讼拖延比预想时间长，被告能否请求法院提高原告的担保金额？

RESPONSE: Often, a plaintiff will be required to put up a bond as security in the event the court finds there was no infringement or the PI was in error. A defendant who feels that the bond is insufficient can ask the district court to increase it (or can even petition the court of appeals to increase it.

回复：一般而言，美国会要求原告提交保证金，作为在法院发现不存在侵权或诉前禁令存在错误时的担保。认为保证金不足的被告可以要求地区法院增加保证金（或向上诉法院申请增加保证金）。

Question 221:

If an application for patent is filed in the United States alone, USPTO may allow such application to be disclosed after authorization. In some case, relevant technology might have been applied widely before the patent information is published. As a result, the public is unable to know such application in time, therefore fails to avoid using the same technology in their own design, An adverse impact is imposed on the entire industry. How will the United States strike a balance between information publication and patent protection?

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Will the United States consider making changes to this regime? 如果专利申请只在美国本国申请而不到其他国家申请，USPTO可以允许该专利申请在授权后再公开。有些情况下，相关技术可能已经被广泛应用后专利信息才被公开。这导致公众无法及时获知该专利申请的信息，从而无法提前进行规避设

计，给产业带来不利影响。美方如何考虑专利公开与保护的平衡问题，是否考虑改变这种制度？

RESPONSE: The United States patent system strikes an appropriate balance between providing public notice and providing effective intellectual property protection.

回复：美国的专利制度在专利公开和提供有效的知识产权保护方面保持着很好的平衡。

Question 222:

To the knowledge of the Chinese government, the United States protects geographical indications (GI) in the form of collective trademarks and certification trademarks, and provides “common law protection” to GIs which have not been registered as collective or certification trademarks. Please detail the definition of “common law protection”. What is the difference between “common law protection” and legal protection provided by collective or certification trademarks? 中国政府了解到：在地理标标识（Geographical indications，GI）保护领域，美方以集体商标和证明商标的形式保护地理标志，同时对未注册为集体

商标或证明商标的地理标志提供“普通法的保护”。请美方详细介绍，该“普通法的保护”的定义？与其他集体或证明商标所获得的法律保护有何区别？

RESPONSE: Under U.S. law, a GI rights holder can prevent others from registering and/or using its GI, even without registration in the USPTO, if it can be shown that purchasers in the United States primarily understand that it refers to the product originating only in the region named in the GI. 

回复，根据美国法律，如果可以证明在美国的买方主要将该地理标识理解为来自该地理标识规定地区的产品，则地理标识权利持有人可以防止其他人士注册和/或使用该地理标识，即使其尚未在美国专利及商标局（USPTO）注册。

There are additional benefits gained from registration, however.  For example, the registration is prima facie evidence of the validity of the mark, and the owner’s ownership of the mark for those products; the registration confers a right of priority, nationwide in effect, against any other subsequent party; the registration facilitates filing suit in U.S. courts; and, for U.S. owners, the registration can be used as the

basis for registration in a foreign country.但注册还可带来其他好处。比如，注册是标志有效以及所有

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人就该产品对标志享有所有权的表面证据；注册后，针对任何其他后续当事方而言，持有人在全国范围内享有优先权；注册为在美国法院提起起诉提供了便利；且对于美国所有人而言，注册可以被用作在外国注册的依据。

Question 223:

What requirements need to be met during USPTO’s review of the certification trademark of a GI? Is it a pre-condition for a geographic origin being recognized that it be widely known to consumers? 美国专利商标局在审查地理标志证明商标时有哪些要求？在审查地理来源时是否以美国消费者广泛认知为前提条件？

RESPONSE: The applicant for a regional certification mark must be able to show why it is entitled to control use of the geographical term.  Along with providing information about what the mark certifies, the applicant must also provide a copy of its standards for a product’s qualification for certification.  The standards would include such things as the demarcations of the territory where the product is grown; the desirable characteristics; the climate and topography that produce those characteristics; and testing qualifications.

回复：地区认证标志申请人必须能够证明其有权控制地理术语的使用的原因。在提供关于该标注所认证的事物的信息时，申请人还必须提供其产品资质认证标准的副本。此类标准包括产品生长地区的界定；希望具备的特征；产生该特征的气候和地形；以及测试条件。TRADE POLICIES BY SECTOR

Health and medical services

Question 224:

Does the United States have any plan or intention to further open its market to the traditional Chinese medical service and medicine, and to establish specific procedures for their examination and approval, and

certification? 请美方介绍，是否有意允许扩大对传统中国医疗和药品服务的开放，并出台具有针对性的审批、认证程序？

RESPONSE: The U.S. market is open to traditional Chinese medical services and medicine, provided they are offered in a manner consistent with generally applicable federal, state, and local laws designed to protect health of patients, and to prevent misleading claims.

回复：美国市场向传统中国医疗服务和药品开放，但前提是，中国医疗服务和药品在美国的供应方式163

必须符合旨在保护病人健康以及避免误导性主张的普遍适用的联邦、州和地方法律。

Financial Service

Question 225:

请美方介绍其证券期货和大宗商品交易所是否对外资开放？请介绍相关行业监管的法律框架和主管部门？ Are the stock exchanges and commodities exchanges in the U,S, open to foreign investment? Please

describe the legal framework and competent authorities for the regulation of the sector.

RESPONSE: The commitments of the United States with respect to financial services sectors and subsectors are undertaken in accordance with the Understanding on Commitments in Financial Services subject to the limitations and conditions set forth in the United States’ headnotes and schedule.  There are no limitations and conditions so inscribed with respect to mode 3 of subsector (xiv) of the definitions of financial services from the GATS Annex on financial services i.e., “settlement and clearing services for financial assets…”  Information about regulation of “national securities exchange" or other exchanges registered with the SEC under Section 6 of the Securities Exchange Act of 1934 can be found at: http://www.sec.gov/divisions/marketreg/mrexchanges.shtml  Certain exchanges are self-regulatory organizations.  Information regarding SRO rulemaking can be found at: http://www.sec.gov/rules/sro.shtml

回复：美国是根据《关于金融服务承诺的谅解》，以及美国判决提要和附件中载明的限制条款和条件，作出关于金融服务部门和分部门的承诺的。就关贸总协定金融服务附件金融服务定义的 (xiv)项中的模式 3（即“金融资产的结算和清算服务…”而言，不存在限制条款和条件。关于“全国证券交易所”或根据 1934年《证券交易法》第 6 条在美国证监会登记注册的其他交易所的监管信息，请参见 :

http://www.sec.gov/divisions/marketreg/mrexchanges.shtml 。若干交易所是自律组织。关于自律组织的规章制定流程，请参见 http://www.sec.gov/rules/sro.shtml。

Advertising Service

Question 226:

Have any changes occurred to the legal system applicable to the advertising service in the United States during the review period? Are foreign investors accorded national treatment in establishing advertising companies in the United States? 请美方介绍本次审议期内其广告服务领域法律体系有何变化？外资在美

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设立广告公司能否享受国民待遇？

RESPONSE: As it did as well before the review period, the United States accords foreign investors national treatment in establishing advertising companies in the United States.

回复：与在此次审议期前的做法一样，美国对外国投资者在美国成立广告公给予国民待遇。

Legal Service

Question 227：Please explain why 35 states in the United States do not allow representative offices of foreign law firms to be opened. Does the United States plan to relax this restriction to further open its legal service sector? 美国有

35个州不允许设立外资律师事务所代表处。请说明原因。美方有无计划放宽这一限制，以推动法律服务业对外开放？

RESPONSE: The basis of the question is incorrect.  No state disallows the opening of offices of foreign law firms. 

回复：该问题的依据不正确。没有一个州禁止外国律师事务所在其州内设立代表处。

Energy

Question 228:

In the NAFTA Annex I (USA), a term “Naval Petroleum Reserves” (10U.S.C.§7435) is mentioned under the

Mining Sector. Please provide its definition. 在“北美自由贸易协定”美方承诺附件 1 中，美国在“采矿领域”提及“海军石油保留地”的概念（10U.S.C.*7435）。请介绍该“海军石油保留地”的定义。

RESPONSE:  The definition of “Naval Petroleum Reserve” is contained in 10 U.S.C.§7420:    http://www.law.cornell.edu/uscode/text/10/7420 . A description of the current status of the Naval Petroleum Reserves can be found here:  http://energy.gov/fe/services/petroleum-reserves/naval-petroleum-reserves.

“ ”回复：关于 海军石油保留地 的定义请参见《美国法典》第 10篇第 7420条（http://www.law.cornell.edu/uscode/text/10/7420 “ ”）。关于对 海军石油保留地 的当前描述，请参见 http://energy.gov/fe/services/petroleum-reserves/naval-petroleum-reserves。

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Question 229:

China is very concerned about subsidies offered by the United States to its PV enterprises. Please describe the programs under which its PV enterprises receive subsidies. How much has the United States spent in subsidizing the industry in the past four years? 中国十分关注美国对其光伏企业的补贴政策。请美国介绍，其光伏企业目前享受哪些补贴项目，近年来美国对该产业补贴支出的规模是多少？

RESPONSE: Please see the latest U.S. subsidy notification to the WTO (G/SCM/N/253/USA).

回复：请参见美国最新向世贸组织提交的补贴通报(G/SCM/N/253/USA)。

Question 230:

China learns that the U.S. Department of Energy has recently announced a US$4 billion loan guarantee program for the solar energy industry, and The U.S. Department of Energy has provided many such guarantee for the solar and other renewable energy industries before. Why did the United States provide huge subsidies to its domestic enterprises, while initiating anti-dumping and countervailing investigations into Chinese PV enterprises in the name of “maintaining fair competition”? 中国获悉，美国能源部不久前宣布为太阳能行

业提供高达 40亿美元的贷款担保。此前美能源部也曾多次为太阳能或其他可再生能源产业提供此类担保。请解释：美方在以“维护公平竞争”为名对中国光伏企业发起双反调查的同时，又对其国内企业提供巨额补贴，究竟是出于何种考虑？

RESPONSE: Under the Agreement on Subsidies and Countervailing Measures, Members are permitted to provide subsidies if they are not “prohibited” and do not cause “adverse effects,” as defined by the Agreement. Antidumping and countervailing duty investigations are initiated in response to petitions filed by the U.S. industry.  The decision to impose an antidumping/countervailing duty measure is based purely on a factual determination of whether dumping/subsidization exists and whether that dumping/subsidization has caused material injury to a domestic industry.   Where dumping/subsidization, injury, and a causal link between the two have been found, the United States will impose an antidumping/countervailing duty measure. 

回复：根据《补贴与反补贴措施协定》，成员有权提供根据协定定义未“被禁止”且不会引发“不利影响”的补贴。美国相关产业提起申请后，美国主管部门会启动反倾销和反补贴税调查。美国主管当局将完全根据是否存在倾销以及倾销的进口商品是否已经对国内产业造成实质性损害的事实决定是否

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采取反倾销措施。如果发现存在倾销/受补贴的进口商品以及实质性损害且两者之间存在因果关系，则美国将根据具体情况，采取反倾销或反补贴税措施。

Environmental products and services

Question 231:

Could the United States please provide the output value of its environmental products and services of each year between 2008 and 2013? 请美方介绍，2008至 2013年其环境产品和服务的年产值分别是多少？

RESPONSE: The United States does not collect domestic output data on environmental goods and services. However, there are private organizations that collect and publish such data, such as Environmental Business International (www.ebiresearch.com).

回复：美国不收集关于环境产品与服务的国内产值数据。但是，有私人组织收集和公布此类数据，比如 Environmental Business International (www.ebiresearch.com)。

Question 232:

What actions has the United States taken to promote environmental goods negotiations under the multi-lateral

framework, and at regional and bilateral level? 请介绍美国在多边、区域及双边层面推动环境产品谈判所做的工作有哪些？

RESPONSE: The United States has taken a leadership role in promoting trade liberalization in environmental goods at the multilateral, regional, and bilateral level. At the multilateral level, the United States has been a proponent for increased liberalization of environmental goods and services trade in the WTO for over a decade, and is a founding member of the coalition of 14 WTO Members that launched the Environmental Goods Agreement (EGA) negotiations earlier this year, an initiative aimed at achieving global free trade in environmental goods. At the regional level, the United States leveraged its leadership in the Asia Pacific Economic Cooperation (APEC) in 2011, to shepherd an agreement among APEC Leaders to reduce applied tariffs on environmental goods to five percent or less by the end of 2015. Finally, at the bilateral and regional level, the United States has pressed for and achieved ambitious trade liberalization commitments for environmental goods and services in its free trade agreements, and continues to prioritize market access for environmental goods and services in its ongoing FTA negotiations, such as TPP and T-TIP.

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回复：美国在促进多边、区域和双边环境产品贸易自由化方面一直扮演着领导者的角色。在多边层面，十多年来，美国一直支持不断增进世贸组织内部环境产品和服务贸易的自由化，美国还是于今年年初最早启动《环境产品协定》(EGA)磋商的 14个世贸组织成员之一，《环境产品协定》旨在实现环境产品全球自由贸易。在区域层面，2011年美国利用其在亚太经济合作组织（APEC）中的领导地位，促成了亚太经合组织领导人一致同意在 2015年年底前将环境产品的适用税率降至 5%或以下。最后，在双边和区域层面，美国已经敦促各方执行并实现了在其自由贸易协定中有关环境产品与服务的高雄心的贸易自由化承诺，并将继续在其自贸协定（比如《跨太平洋伙伴关系协定》(TPP)和《跨大西洋贸易与投资伙伴关系协定》(TTIP)）谈判中将环境产品与服务的市场准入问题列为首要事项。

Question 233:

Please describe the regulatory regime and main legal and policy framework for the environmental products and services in the United States? 请介绍美国环境产品与服务的监管体制与主要法律、政策框架？

RESPONSE: The United States maintains an environmental policy and regulatory framework that supports a competitive and innovative environmental goods and services sector. Regulations issued under laws like the Clean Air Act and Clean Water Act have helped to drive demand and innovation in air pollution control and water treatment technologies. Proposed actions to limit carbon dioxide emissions from power plants are expected to further increase demand for clean and renewable energy technologies, as well as pollution control and abatement technologies. Further information on relevant U.S. environmental regulations and the broader U.S. environmental policy framework can be found at www.epa.gov.

回复：美国建立了一套环境政策和监管框架，为具有竞争力和创新性的环境产品与服务提供支持。根据《清洁空气法》和《清洁水源法》等法律发布的条例已为提升空气污染控制和水处理技术方面的需求和创新提供了帮助。旨在限制发电厂二氧化碳排放的拟议行动预期将进一步增加对清洁和可再生能源技术以及污染控制和减排技术的需求。关于相关美国环境条例以及美国环境政策框架的进一步信息，请参见www.epa.gov。

Question 234:

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Please enumerate the bilateral or regional environmental cooperation agreements signed by the United Stated. How many of these agreements are under FTAs? Which agreements are still under negotiations? 请介绍：美国总共签署了哪些双边或区域环境合作协定？其中多少是在自由贸易协定项下的？还有哪些协定正在谈判中？

RESPONSE: The United States has trade-related environmental cooperation mechanisms and programs related to U.S. FTAs with Australia, Bahrain, Chile, Colombia, Jordan, Morocco, Oman, Panama, Peru, Singapore, and South Korea. The United States also carries out an active environmental cooperation program with Central America and the Dominican Republic under the United States – Dominican Republic – Central America Free Trade Agreement (CAFTA-DR), and with Canada and Mexico under the North American Agreement on Environmental Cooperation. The United States is also pursuing environmental cooperation mechanisms or programs in connection with the Trans-Pacific Partnership agreement and the Transatlantic Trade and Investment Partnership agreement, which currently are under negotiation.

回复：美国已经与澳大利亚、巴林、智利、哥伦比亚、约旦、摩洛哥、阿曼、巴拿马、秘鲁、新加坡和韩国建立了与美国自贸协定有关的贸易环境合作机制和计划。美国还在《美国-多米尼加共和国-中美洲自由贸易协议》(CAFTA-DR)）项下与中美洲和多米尼加共和国共同开展一项积极的环境合作计划，在《北美洲环境合作协定》项下与加拿大和墨西哥展开一项积极的环境合作计划。美国还正在努力就跨太平洋伙伴关系协定以及跨大西洋贸易与投资伙伴协定（目前正在谈判中）建立环境合作机制或计划。

Electronic products

Question 235:

Manufacturers or retailers are required to pay recycling fees for the electronic products they sell by many states in the U.S.. The legislative discrepancy among various states and legal complexity in certain states has become a burden for some Chinese enterprises newly accessing the American market. Does the United States plan to promulgate a streamlined and uniform federal legislation in this respect? 美国多个州要求制造商或

零售商为其销售的电子产品缴纳“回收费”（Recycling fee）。由于各州立法差别较大，部分州相关法律规定繁琐复杂，对新进入美国市场的部分中国企业造成一定负担。请问美方是否有计划就此出台简化、统一的联邦立法？

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RESPONSE: In the United States, there is no federal (national) law mandating electronics collection and recycling. Twenty-five states have enacted electronics waste recycling laws. At this time, there are no plans for the United States to enact a national law that covers nationwide electronics collection and recycling.

回复：在美国，不存在授权电子产品回收再利用的联邦（国家）法律。二十五个州已经制定了关于废弃电子产品回收的法律。截至本回复之时，美国尚无计划制定覆盖整个国家的电子产品回收再利用事宜的联邦法律。

Question 236:

Currently, the states collect recycling fees for electronic products mainly based on the volume or value of sales regardless of the actual environmental impact caused by these products, which is unfair for the manufacturers who select environment-friendly materials and processes at the stage of production. Does the United States plan to make necessary adjustment to such policy? 目前相关各州就电子产品征收“回收费”的标准主要是基于销售量或销售额，而无视该电子产品实际造成的环境压力，这对在生产环节就注重选择相对环保材料和工艺的制造商显失公平。请问美方是否有计划就此作必要政策调整？

RESPONSE: In the United States, there is no federal (national) law mandating electronics collection and recycling. Twenty-five states have enacted electronics waste recycling laws. At this time, there are no plans for the United States to enact a national law that covers nationwide electronics collection and recycling.

回复：在美国，不存在授权电子产品回收再利用的联邦（国家）法律。二十五个州已经制定了关于废弃电子产品回收的法律。截至本回复之时，美国尚无计划制定覆盖整个国家的电子产品回收再利用事宜的联邦法律。

ADDITIONAL QUESTIONS FROM CHINA来自中方的补充问题

Part I. Questions based on Report by the Secretariat (WT/TPR/S/307)第一部分：关于秘书处报告的问题（WT/TPR/S/307）

Page 15, Para 1.9第 15页，1.9小节

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The report states that "Other factors, such as increasing labour costs in some developing countries, the depreciating U.S. dollar, and the highly competitive workforce in the United States, have also played a crucial role in the recent recovery in manufacturing."报告中提及 “， 在制造业最近的复苏中其他因素也起了重要作用，如部分发展中国家劳动力成本增加、美元贬值以及美国劳动力竞争激烈等因素。”

Question 1: 问题 1：

How does the U.S. assess the role of the depreciation of the U.S. dollar in its manufacturing recovery and export expansion? Is there any assessment on how the depreciation of the U.S.  dollar affected the global economy and trade?美国如何评估美元贬值在其制造业复苏和出口扩张中所起的作用？是否针对美元贬值对全球经济及贸易的影响作出了评估？

RESPONSE}: Conditions in the U.S. manufacturing sector have improved considerably since the bottom of the "Great Recession," with production rising back to approximately pre-recession levels. While the value of the U.S. dollar is one factor in the competitiveness of U.S. goods and services, other factors likely played more influential roles in the improved condition of the manufacturing sector.答复：美国制造业状况相比“大衰退”的低谷已有明显好转，产值逐渐恢复至衰退前水平。尽管美元贬值有助于提升美国货物和服务的竞争力，但其他因素可能在制造业复苏中发挥了更大的作用。

Page 15, Para 1.10第 15 页，1.10小节The report states that "In 2013, the U.S. current account deficit shrank to a four-year low, as a consequence of a boom in shale oil/gas production and reduced demand, leading to a sharp reduction in the oil trade deficit, which accounts for nearly half of the total deficit in trade in goods and services."报告中提及 “， 因页岩油/气产量增加及需求量减少导致石油贸易赤字骤减，2013年美国经常账户赤字缩减至四年最低水平。石油贸易赤字约占货物及服务贸易总赤字的一半。”

Question 2:问题 2：How is the ratio of the current account deficit to GDP expected to change with the gradual recovery of the U.S. economy? What are the main factors behind such a change?随着美国经济的逐渐复苏，经常账户赤字占GDP比重将呈现哪些变化？导致变化的主要因素有哪些？

RESPONSE: According to unofficial estimates from the U.S. Treasury, Office of International Affairs, the current account deficit as a percentage of GDP is expected to be 2.3% in 2014 and reach 2.9% by 2018. The main factors behind this potential increase between 2014 and 2018 include projections of stronger U.S. demand and appreciation of the U.S. dollar, partially offset by a projected reduction in oil imports.答复：根据美国财政部国际事务办公室的非正式估计，2014年经常项目赤字占 GDP的比重预计为2.3%，到 2018年将升至 2.9%。导致这一比重 2014-2018年间可能增长的主要因素包括对美国内需增长以及美元增值的预期，石油进口的下降将部分抵消上述因素的影响。

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Page 38, Para 2.43第 38 页，2.43小节The report states that "The United States is a signatory to the Anti-Counterfeiting Trade Agreement (ACTA), a plurilateral agreement negotiated among 11 trading partners. The ACTA aims to combat infringement of intellectual property rights, in particular piracy and counterfeiting. It provides for enhanced international cooperation, promotion of enforcement practices, and a legal framework for IPR enforcement. Although the agreement was finalized in 2011, it has not yet entered into force. The agreement reportedly does not require any statutory changes to U.S. law."报告中提及 “， 美国签署了《反假冒贸易协定》（ACTA）。《反假冒贸易协定》是由 11 个贸易合作国家协商的多边协议，旨在打击知识产权侵权行为，尤其是盗版和假冒行为；同时加强国际合作、促进执法实践和知识产权（IPR）执法的法律框架。尽管于 2011年制定，但目前该《协定》仍未生效。据报道，该《协定》不要求美国法律做出任何法定变化。”

Question 3:问题 3：Please introduce whether the U.S. trade procedures will be affected after the Anti-Counterfeiting Trade Agreement (ACTA) takes effect? In particular, will the period of customs clearance be prolonged? Will there be any additional requirements on declaration documents?请介绍《反假冒贸易协定》生效后，美国贸易程序是否会受影响？特别是清关时间是否会延长？是否会对报关文件增加其他要求？

RESPONSE: ACTA, which has not yet entered into force, is fully consistent with U.S. law, and will neither alter customs clearance periods nor provide for additional requirements for declaration documents.答复：尽管《反假冒贸易协定》尚未生效，但该协定与美国法律完全相符，不会对清关时间造成影响或对报关文件新增任何要求。

Page 52, Para 3.39第 52页，3.39小节

The report states that "In 2010 the United States passed legislation providing temporary duty suspensions on several hundred products that would lower the manufacturing costs for many U.S. companies. While there were initiatives to extend these provisions in Congress, they expired on 31 December 2012, and no new legislation has been passed to date."报告中提及，“2010年美国通过了一项针对数百种产品暂缓征税的立法，该项立法可降低多家美国公司的制造成本。尽管美国国会有采取措施试图延长相关规定有效期，但该项立法已于 2012年 12月 31日过期，而目前尚未通过任何新的立法。”

Question 4:问题 4：Please introduce the latest progress of the legislation providing temporary duty suspensions. Does the U.S. plan to expand the scope of tax credits granted to certain products? 请介绍有关暂缓征税立法的最新进展。美国是否计划扩大对部分产品税收抵免的范围？

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RESPONSE: The U.S. Manufacturing Enhancement Act was passed by Congress in 2010. The United States is not in a position to speculate on whether Congress might take action in the future to provide new or extended temporary duty relief through new legislation.答复：美国国会于 2010年通过了《美国制造业促进法》（U.S. Manufacturing Enhancement Act）。美国不便推测国会未来是否会采取行动制定新的立法，提出新的或延长目前的临时税收抵免政策。

Page 44, Para 3.9第 44 页，3.9小节The report states that "In late 2011, CBP announced the Simplified Entry Pilot project for expedited treatment of imports arriving by air transport. The purpose of Simplified Entry is to reduce transactions costs, expedite cargo release, and enhance security."报告中提及 “， 2011年末，美国海关和边防局（CBP）宣布了针对空运加急处理进口货物的简化入境试点项目（Simplified Entry Pilot project），以减少交易成本、加快货物通关速度、加强安全性。”

Question 5:问题 5：Please introduce the development of the U.S. air cargo transportation sector during the review period.请介绍在审议期间美国航空货物运输业的发展。

RESPONSE: The Simplified Entry pilot (now known as ACE Cargo Release) has been expanded and now supports Cargo Release processing in the air, truck, ocean and rail modes at select ports. As of December 2014, over 850,000 ACE Cargo Release Entries (formerly known as Simplified Entries) have been filed for over 1000 importers of record. CBP is continuing to build upon the ACE Cargo Release pilot to reach the ACE mandatory filing date of November 1, 2015 for all electronic cargo release and entry summary filings. For additional information on Simplified Entry/Cargo Release, including the Frequently Asked Questions, please continue to check the CBP website at http://www.cbp.gov/trade/automated. 答复：“简化入境试点项目”（现称为“ACE货物通关项目”）适用范围已进一步扩大，目前适用于部分口岸航空、公路、海运和铁路方式的货物通关。截至 2014年 12 月，已有涉及千余名进口商、总计 850,000 多条 ACE货物通关入境（即过去的“简易入境”）记录提交备案。美国海关边境保护局正在继续推进 ACE货物通关项目，以期在 2015年 11 月 1 日强制备案日前完成所有电子化货物通关和入境摘要的备案。关于简化入境/货物通关的其他信息，包括常见问题，请访问美国海关边境保护局官网 http://www.cbp.gov/trade/automated。

Question 6:问题 6：Does the U.S. grant other policy support to the air cargo transportation sector in addition to the Simplified Entry Pilot? If any, please describe the supporting measures, sources of funds, application requirements and relevant legal basis. 除简化入境试点项目外，美国对航空货物运输业是否还有其他支持政策？若有，请描述配套措施、资金来源、申请要求和相关法律基础。

RESPONSE: No, the U.S. does not grant other support to the air cargo transportation sector. 答复：目前，美国暂未对航空货物运输业提供其他支持。173

Page 54, Para 3.50第 54 页，3.50小节The report states that "U.S. excise taxes are assessed at the federal level on a variety of goods and services. Some excise taxes are allocated to trust funds for specific purposes, while others are generally available for expenditure (general fund) (Table 3.5)."报告中提及 “， 美国的消费税的评估是在联邦层面上就多种货物和服务开展。部分消费税被分配至信托基金用于特殊目的，而其他则通常用于支出（普通基金）（表 3.5）。”

Question 7:问题 7：Please introduce the rate, target and levying method of the excise tax on air transportation indicated in Table 3.5. If the federal excise tax is levied on travelers, will it be listed separately from the air ticket price?请介绍表 3.5所述航空运输消费税的税率、征税对象和征收方式。若联邦政府对旅客征收消费税，是否会将税费单独列示，不包含在机票价格内？

RESPONSE: For further information, refer to the following online sites: http://www.irs. gov/pub/irs-prior/p510--2012.pdf; http://www.faa.gov/about/office_org/headquarters_offices/apl/aatf/media/14.1.17ExciseTaxStructureCalendar2014.pdf.答复：欲了解更多信息，请访问以下在线网站：http://www.irs. gov/pub/irs-prior/p510--2012.pdf；http://www.faa.gov/about/office_org/headquarters_offices/apl/aatf/media/14.1.17ExciseTaxStructureCalendar2014.pdf。

Question 8:问题 8：

Please describe the usages of the Airport and Airway Trust Fund generated by the excise tax on air transportation. Is there any corresponding law and regulation? In addition to the federal government, do state governments also levy this excise tax? If the state governments also levy this excise tax, is there any difference between the federal excise tax and the state excise tax in terms of charging stage, methods and rates?请介绍航空运输消费税所产生的机场和航线信托基金的用途。是否有相应的法律法规？除联邦政府外，各州政府是否也会征收此类消费税？若各州政府征收此类消费税，各州政府所征消费税的征收阶段、方法和税率与联邦政府所征消费税有何不同？

RESPONSE: For further information on the Airport and Airway Trust Fund, please refer to the following site: www.faa.gov/about/office_org/headquarters_offices/apl/aatf/.答 复 ： 关 于 机 场 和 航 线 信 托 基 金 的 更 多 信 息 ， 请 访 问 以 下 网站：www.faa.gov/about/office_org/headquarters_offices/apl/aatf/。

For further information on excise taxes pertaining to air transportation, refer to the following online sites: http://www.irs.gov/pub/irs-prior/p510--2012.pdf; http://www.faa.gov/about/office_org/headquarters_offices/apl/aatf/media/

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14.1.17ExciseTaxStructureCalendar2014.pdf.关于航空运输的更多信息，请访问以下网站：http://www.irs.gov/pub/irs-prior/p510--2012.pdf；http://www.faa.gov/about/office_org/headquarters_offices/apl/aatf/media/14.1.17ExciseTaxStructureCalendar2014.pdf。

Question 9:问题 9：

Please describe the difference between the general "hydrocarbon oil excise tax" and the excise tax on aviation fuels in terms of rates, levying methods and tax exemptions.请描述通用的“烃油消费税”和航空燃料消费税在税率、征收方式和税收豁免等方面有何不同？

RESPONSE: The U.S. Internal Revenue Service levies federal excise taxes on a variety of fuels, including oil, petroleum products and aviation fuels. Excise taxes fund specific trusts such as the Highway Trust Fund, the Airport and Airway Trust Fund, and the Oil Spill Trust Fund. Information about rates, taxable events, requirements and exemptions is published in IRS Publication 510, available at http://www.irs.gov/publications/p510.答复：美国国家税务局 (U.S. Internal Revenue Service) 对石油、石化产品产品和航空燃料等各类燃料征收联邦消费税。消费税为专门信托基金如公路信托基金、机场和航线信托基金、石油泄漏信托基金等提供资金。有关税率、应税事件、要求和免税等信息在国家税务局第 510 号刊物上公布，参见网站 http://www.irs.gov/publications/p510。

Page 66, Para 3.69第 66页，3.69小节

The report states that "The trend for countervailing duty investigations during 2010-14 was similar to that of anti-dumping investigations. They remained relatively low with the exception of 2013 when 19 investigations were initiated. Asian countries, in particular China, were the most affected with countervailing duty investigations (Chart 3.6)."报告中提及 “， 2010-2014年间反补贴税调查趋势与反倾销调查趋势类似。除 2013年外，其他年度调查数量不多。2013年共发起了 19项调查。其中亚洲国家，尤其是中国，受反补贴税调查影响最大（图 3.6）。”

Question 10:问题 10：After the DS379 case, the U.S. Department of Commerce amended its standards on "public bodies" in countervailing investigations. However, according to the amended standards, whether the state has controlling stakes in an enterprise is still regarded as the essential criterion for recognizing a "public body." Based on such standards, the U.S. Department of Commerce has improperly recognized Chinese state holding industrial and commercial enterprises and state owned commercial banks as the "public bodies" that may provide subsidies, making countervailing investigations against Chinese downstream enterprises much more likely to be initiated. Please explain this practice which has obviously violated the WTO rules and the rulings of the WTO DSB.自 DS379案后，美国商务部对反补贴调查中有关“公共机构”的标准进行了修订。然而，根据修订后的标准，国家对企业的控股权仍被作为判断该企业是否为“公共机构”的基本标准。根据该等标准，美国商务部将中国国有控股工商企业和国有商业银行视为可能会提供补贴的“公共机构”，加大了中国下游企业面

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临反补贴调查的可能性。请就此明显违反世界贸易组织（WTO）规定和 WTO 争端解决机构（DSB） 裁定的做法进行解释。

RESPONSE: As China acknowledges in its question, the U.S. Department of Commerce (Commerce) amended its "public bodies" analysis, consistent with the findings of the Appellate Body in DS379. The factual basis and rationale for all of Commerce's preliminary and final countervailing duty determinations , including those involving Commerce's revised public bodies analysis, are detailed in various decision memoranda for each countervailing duty proceeding, which are publicly available at: http://enforcement.trade.gov/frn/index.html.答复：正如中国在问题中所承认的，美国商务部（以下简称“商务部”）已修改了关于“公共机构”的分析，且与上诉机构在 DS379案中的裁决相符。每起反补贴税诉讼的决策备忘录中详细记录了商务部所有有关反补贴税初裁和终裁的事实依据与合理性分析，包括涉及商务部修改后的公共机构分析的内容，请见网站http://enforcement.trade.gov/frn/index.html。

Page 66, Para 3.76第 66页，3.76小节

The report states that "The Institute has identified 10,590 citations of standards incorporated by reference in regulatory documents (as of June 2014)."报告中提及 “， 该机构在监管文件中确认了 10,590处参考标准引用（截至 2014年 6月）。”

Question 11:问题 11：

Please describe the types of these standards as well as channels for their enquiry.请说明这些标准的类型以及查询渠道。

RESPONSE: The United States does not maintain statistics on the type of standards incorporated by reference in U.S. regulations. The Standards Incorporated by Reference database does have a list of the standards along with the Standards Developing Organizations (SDO) whose standards have been incorporated. It also provides selective statistics for the number of standards incorporated by the top SDOs. Please see:https://standards.gov/sibr/query/index.cfm?fuseaction=home.main; https://standards.gov/sibr/query/index.cfm?fuseaction=rsibr.complete_regulatory_sibr. 答复：美国并未保留本国法规中引用参考标准类型的统计数据。参考标准数据库提供标准以及其标准中已吸纳的相关标准制定组织（SDO）清单。另外，数据库还提供部分顶级标准制定组织吸纳的标准数量统计数据。详情请参见：https://standards.gov/sibr/query/index.cfm?fuseaction=home.main; https://standards.gov/sibr/query/index.cfm?fuseaction=rsibr.complete_regulatory_sibr。

The U.S. WTO TBT Inquiry Point notifies to the WTO technical regulations and conformity assessment procedures, including those incorporated by reference or any other method.美国WTO技术性贸易壁垒（TBT）咨询点向WTO通报技术规范和合格评定程序，包括以参考或其他方式吸纳的规范和程序。

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Page 75, Para 3.108第 75页，3.108小节

The report states that "In 2009, President Obama launched the ECR Initiative to review and reform the U.S. export control system (e.g. licences, prohibitions, monitoring, controls). This review determined the current system was overly complicated, and fragmented and needed updating to address the changing economic and technological landscape. The review also determined that fundamental reform of the U.S. export system was required and recommended the creation of a new export control system based on comprehensive reform in four key areas…"报告中提及，“2009年，奥巴马总统发起了出口控制改革计划 (ECR Initiative)，以对美国出口控制系统（如许可证、禁令、监测和控制）等进行评估和改革。该评估认为当前的系统过于复杂和分散，应对其进行更新以应对不断变化的经济和技术格局。该评估还认为应对美国出口系统进行根本性的改革，并建议根据四大关键领域的综合改革建立新的出口控制系统……”

Question 12:问题 12：

Has the U.S. made any assessment on the implementation and effects of its current export control policies and their impacts on the economy, industry, employment and international trade of the U.S.?美国是否对其当前出口控制政策的实施和影响及相关政策对经济、产业、就业和国际贸易的影响开展过评估？

RESPONSE: It would be premature to assess such questions because most of the categories only recently became effective. Indeed, the rules pertaining to the second largest category - military electronics - only became effective on December 30, 2014. Moreover, the categories each have a two-year grandfathering provision that allows exporters to continue to use their previously issued authorizations for up to two years. Thus, the full economic impact of the changes will not be known for several years.答复：由于针对大多数产品类别的政策近期才生效，对其进行评估为时尚早。事实上，第二大类——军用电子产品的相关条例于 2014年 12 月 30 日刚生效。此外，每类政策都遵循为期两年的祖父条款的规定，允许出口商在两年内继续使用此前颁发的出口授权。因此，相关改变的全面经济影响要在几年后才能确定。

Question 13:问题 13：

Please describe the reform of the U.S. export control system, especially the latest development of "a single export control agency" and the "unified control list".请介绍美国的出口控制系统改革，尤其是“单一出口管制机构”和“统一管制清单”的最新进展。

RESPONSE: The United States has published revisions to 15 of the 21 munitions list categories. Most of the remaining categories will be published in 2015. Additional proposals to harmonize the regulations will also be published in 2015. The creation of a single agency and a single list will require legislation. 答复：美国已发布了对 21类军用物品清单中 15类的修订结果。剩余多数类别的修订结果将于 2015年发布。此外，有关统一监管的补充意见也将于 2015年发布。设立单一机构和单一清单需要经过立法程序。

Question 14:问题 14：177

Information available to China indicates that the Bureau of Industry and Security of the U.S. Department of Commerce has set up an Office of Strategic Industries and Economic Security to take charge of the export control of relevant commodities. Is there any specific definition of the "strategic industries" and "economic security"? Please elaborate on the specific control policies and their legal basis. 中国获悉的信息显示，美国商务部工业和安全局（Bureau of Industry and Security）已成立了战略产业和经济安全办公室（Office of Strategic Industries and Economic Security）以负责相关商品的出口管制。美国对“战略产业”和“经济安全”有任何具体定义吗？请阐述特别管制政策及其法律依据。

RESPONSE: The new division created within the Office of Strategic Industries and Economic Security is responsible for regulating the export of military items that were formerly subject to the jurisdiction of the State Department. Thus, its scope of responsibility is exclusively limited to items that are munitions items on the Wassenaar Arrangement's Munitions List.答复：战略产业和经济安全办公室下新成立的部门将负责监管军品出口。此前，军品出口受美国国务院管辖。因此，该部门的职责范围仅限于管制《瓦森纳协定军需品清单》（Wassenaar Arrangement's Munitions List）中所列军需品项目。

Page 81, Para 3.141第 81页，3.141小节

The report states that "While the United States has been progressively phasing out its fiscal stimulus measures, some programmes have been maintained. These were set up in the aftermath of the global crisis of 2008-12, when the government took unprecedented action to restore demand, stabilize financial markets, and put people back to work."报告中提及 “， 尽管美国正在逐步取消财政刺激措施，但部分项目仍在进行中。这些项目于 2008-2012年全球危机后设立，彼时政府采取了前所未有的行动以恢复需求、稳定金融市场、使人们重返工作岗位。”

Question 15:问题 15：Please describe the subsidizing methods and amounts for foreign trade enterprises by the Department of Commerce of the U.S. Federal Government, the U.S. Trade Representative's Office, the Small Business Administration and other relevant authorities, with a view to promoting economy and employment since the financial crisis in 2008. Please specify the stimulus measures still in force.请介绍美国联邦政府商务部、美国贸易代表办公室（U.S. Trade Representative's Office）、中小企业管理局（Small Business Administration）和其他相关机构在 2008年金融危机后为促进经济和就业针对外贸企业而采取的补贴方法和额度。请详细说明仍然有效的刺激措施。

RESPONSE: As noted previously, most of the stimulus measures provided relief to individuals or to subnational governments. When analyzed for the 2009 through 2013 period, recovery spending can be broken down into seven broad categories. (See Council of Economic Advisers, The Economic Impact of the American Recovery and Investment Act Five Years Later, February 2014, http://www.whitehouse.gov/ sites/default/files/docs/cea_arra_report.pdf). Most of the fiscal support was for individuals (45%) and subnational governments and public outlays (51%), with business tax incentives accounting for the rest. The focus of the stimulus generally was on helping families through a difficult economic period by encouraging job creation. Approximately half of public investment focused on infrastructure, such as roads and bridges, while the rest supported technology, such as scientific research and clean energy. The stimulus spending was intended to prevent the U.S. economy, and the world economy, from falling into further decline. Such stimulus spending was common among all governments that had the financial

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resources. For further details on specific programs, please see the United States' subsidy notification (G/SCM/N/253/USA).答复：如前所述，大多数刺激措施为向个人或地方政府提供的救济。就 2009-2013年间而言，恢复性支出可细分为七大类（详细信息请参见经济顾问委员会（Council of Economic Adviser），2014年 2月的报告“《美国复苏和投资法案》生效五年后的经济影响 ”（The Economic Impact of the American Recovery and Investment Act Five Years Later ） ， http://www.whitehouse.gov/ sites/default/files/docs/cea_arra_report.pdf）。大部分财政主要用于个人（45%）和地方政府以及公共支出（51%），剩余部分用于营业税优惠。刺激措施重在通过提供就业机会帮助家庭度过经济困难期。接近一半的公共投资被用于道路和桥梁等基础设施；而其余部分则被用于支持科学研究和清洁能源等技术。刺激性支出旨在防止美国经济和世界经济陷入进一步的衰退。此类刺激性支出被拥有财政资源的所有政府普遍采用。欲了解具体项目的详细信息，请参见美国补贴通报（G/SCM/N/253/USA）。

Page 91, Para 3.195第 91页，3.195小节

The report states that "One music industry report estimated digital revenues at 60% of the domestic music market, following 3.4% growth in 2013."报告中提及，“据一份音乐产业报告估计，数字业务收入占美国国内音乐市场的 60%，比 2013年增长3.4%。”

Question 16:问题 16：The U.S. digital copyright industry has become increasingly important in its domestic market. Please describe the U.S. authorization and license mechanism to ensure efficient, transparent and convenient granting of digital copyrights. What preventive measures has the U.S. adopted to prevent infringements of digital copyrights?美国数字版权产业在其国内市场的作用显得愈发重要。请描述美国为确保高效、透明、便利的数字版权授权的授权和许可机制。美国采取了哪些预防措施来预防数字版权侵权行为?

RESPONSE: We would like to clarify that "authorization and licens[ing]" is distinct from the "granting of digital copyrights." Indeed, "digital copyrights" are not "granted" under United States law; they are secured automatically upon fixation, as are any other copyrights. With respect to description of the authorization and licensing mechanisms under U.S. law for works fixed in digital form, U.S. law supports a variety of licensing systems. These mechanisms present numerous options, i.e. several possibilities depending on the kind of work and the right at issue. 答复：我们想说明“授权和许可”与“数字版权授权”不同。事实上，根据美国法律，“数字版权”不是被授予的,而是与任何其他版权一样，一旦生成即自动获得。就美国法律针对数字形式作品的授权和许可机制而言，美国法律允许多种许可体系。这些机制提供多种选择，即根据作品种类和相关权利存在若干可能性。

With respect to the second question regarding measures to prevent infringement, U.S. law affords civil and criminal measures against copyright infringement. The Digital Millennium Copyright Act, passed in 1998, addresses online issues in the civil context. For example, Section 512 affords a limitation on civil remedies for copyright infringement in certain online situations for online service providers who accept certain obligations (including the obligation to "take down" material upon receiving notification or otherwise obtaining knowledge that the material is infringing). Chapter 12 of Title 17 of the U.S. Code provides both civil and criminal

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measures to protect against the circumvention and trafficking in technological protection measures and protects rights management information. Furthermore, Title 18 of the U.S. Code includes provisions regarding criminal copyright infringement, and the U.S. Department of Justice's Prosecuting Intellectual Property Crimes Manual outlines the various causes of actions available in particular fact situations (see: http://www.justice.gov/criminal/ cybercrime/docs/prosecuting_ip_crimes_manual_2013.pdf).就第二个问题，有关防止侵权行为所采取措施而言，美国法律规定对版权侵权行为采取民事和刑事措施。于 1998年通过的《千禧年数字版权法》（Digital Millennium Copyright Act）主要用于解决民事诉讼中的网上问题。例如，《千禧年数字版权法》第 512 条限定了接受某些义务（包括接到通知或以其他方式获悉相关资料已构成侵权行为后“撤下”资料的义务）的网上服务提供商在特定网络情形下构成版权侵权的民事救济方法。《美国法典》（U.S. Code）第 17卷第 12 章允许采取民事和刑事措施，以防止技术保护措施中的规避和非法交易，并保护权利管理信息。此外，《美国法典》第 18卷包含了有关版权刑事侵权的条款。美国司法部的《知识产权犯罪起诉手册》 （Prosecuting Intellectual Property Crimes Manual）概述了具体事实情况下的多种可用诉因（参见 http://www.justice.gov/criminal/ cybercrime/docs/prosecuting_ip_crimes_manual_2013.pdf）。

Investigative actions taken by the National Intellectual Property Rights Coordination Center have resulted in the removal of thousands of domain names allegedly involved in the unauthorized distribution of piratical and counterfeit materials (see: http://www.iprcenter.gov/ip-theft). In addition, the Administration supports voluntary initiatives by the private sector to address online infringement in both the copyright and the trademark spheres.国家知识产权协调中心（National Intellectual Property Rights Coordination Center）的调查行动已注销数千个涉嫌未经授权分销盗版和伪造资料的域名（参见 http://www.iprcenter.gov/ip-theft）。此外，政府还鼓励私营部门为解决版权和商标网上侵权问题而自愿发起的动议。

Page 120, Para 4.75 (c)第 120页，4.75（c）小节The report states that "the Office of Credit Rating (OCR), within the Securities and Exchange Commission (SEC), was established to administer the SEC's rules regarding credit rating agencies, registered as nationally-recognized statistical rating organizations (NRSROs) and to conduct annual examinations of NRSROs. Concerns over credit rating agencies also led the U.S. Congress to mandate that the SEC adopt additional rules intended to increase transparency and improve the integrity credit ratings within a year as part of the Dodd-Frank Act. The SEC proposed new draft rules by May 2011 but so far no final rules have been adopted. Congress also mandated that U.S.  Government agencies remove certain references to credit ratings from their rules and regulations".报告中提及 “， 美国证券交易委员会（SEC）信用评级办公室（OCR）的成立是为实施美国证券交易委员会有关信用评级机构和注册成立的国家认可的统计评级组织（NRSRO）的条例，并对国家认可的统计评级组织进行年审。出于对信用评级机构的担忧，美国国会命令美国证券交易委员会通过其他条例以在一年内增强透明度、改善《多德-弗兰克法案》（Dodd-Frank Act）规定的诚信信用评级。美国证券交易委员会在 2011年 5月前拟议了新条例草案，但目前尚未通过最终条例。国会还要求美国政府机构删除其规章制度中对部分信用评级的引用”。

Question 17:问题 17：

Why were the new draft rules proposed by the SEC not adopted by the U.S. Congress? Please describe the main contents of the draft of the new credit rating rules proposed by the SEC, the reasons for its

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failed adoption and the expected time of its promulgation. 为何美国国会未通过证券交易委员会提出的新条例草案？请描述美国证券交易委员会提出新条例草案的主要内容、未通过原因以及预期颁布时间。RESPONSE: SEC adopted a final rule governing Nationally Recognized Statistical Rating Organizations (NRSRO) on August 27, 2014. This rule was effective November 14, 2014, except for certain amendments which are effective June 15, 2015. The final rule can be found at: http://www.sec.gov/rules/final/2014/34-72936.pdf. 答复：美国证券交易委员会于 2014年 8 月 27 日通过了针对“国家认可的统计评级组织”的最终条例。该条例已于 2014年 11 月 14 日生效，部分修订将于 2015年 6 月 15 日生效。参见网站 http://www.sec.gov/rules/final/2014/34-72936.pdf。

Question 18:问题 18：Please list the "certain references to credit ratings" removed by the U.S. Government as authorized by the U.S. Congress. Please describe the main reasons for removing these references. 请列出美国国会要求美国政府删除的“对部分信用评级的引用”。请描述删除此类引用的主要原因。

RESPONSE: Title IX, Subtitle C of the Dodd-Frank Act mandates that the Commission prescribe rules to improve regulation of Nationally Recognized Statistical Rating Organizations (NRSROs). Section 931 of the Dodd-Frank Act, "Findings," introduces Title IX, Subtitle C of the Dodd-Frank Act and provides context to what motivated Congress to enact these provisions with respect to NRSROs. Pursuant to the Dodd-Frank Act, the SEC adopted a final rule governing NRSRO on August 27, 2014. This rule was effective November 14, 2014, except for certain amendments which are effective June 15, 2015. The final rule can be found at: http://www.sec.gov/rules/final/2014/34-72936.pdf. 答复：《多德-弗兰克法案》第九卷第 C篇规定，美国证券交易委员会制定相关法规，以改善对“国家认可的统计评级组织”的监管。《多德-弗兰克法案》第 931节“调查结果”对第九卷第 C篇进行了介绍，并解释了国会颁布有关“国家认可的统计评级组织”条款的驱动因素。根据《多德-弗兰克法案》，证券交易委员会于 2014年 8 月 27 日通过了有关“国家认可的统计评级组织”的最终条例。该条例已于 2014年11 月 14 日生效，部分修订将于 2015年 6 月 15 日生效。最终条例参见 http://www.sec.gov/rules/final/2014/34-72936.pdf。

Question 19:问题 19：

According to the annual report issued by the OCR regarding NRSROs, NRSROs include the statistical and rating agencies outside the U.S. These agencies are also obliged for providing the SEC with the credit rating information of the country where they are located. Can Chinese rating agencies apply to become NRSROs? Please describe the qualification for such applications. Will the SEC consult CSRC on this? How to settle the conflict between the requirement of SEC, i.e. the obligation for an overseas NRSRO to provide credit rating information, and the laws where the NRSRO is located? 根据信用评级办公室针对国家认可的统计评级组织发布的年报，国家认可的统计评级组织包括美国境外的统计和评级机构。这些机构也有义务向美国证券交易委员会提供其所在国的信用评级信息。中国信用评级机构可申请成为国家认可的统计评级组织吗？请描述申请所需的相关资质。美国证券交易委员会是否会向中国证券监管管理委员会（CSRC）咨询意见？如何解决美国证券交易委员会有关海外国家认可的统计评级组织须提供评级信息的规定与该类国家认可的统计评级组织所在国法律间的冲突？

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RESPONSE: Please review the SEC's website on NRSROs at: http://www.sec.gov/ocr/ratingagency.html#nrsroorders . 答复：请访问美国证券交易委员会官网 http://www.sec.gov/ocr/ratingagency.html#nrsroorders，了解有关“国家认可的统计评级组织”详细信息。

Page 121, Para 4.75 (h)第 121页，4.75（h）小节The report states that "Title VII of the Act addressed the gap in U.S. financial regulation of derivatives, by providing a comprehensive framework for the regulation of over-the-counter (OTC) swap markets. Standardized OTC derivative instruments will generally have to be cleared through central counterparties, traded on exchanges or electronic trading platforms, where appropriate, and reported to trade repositories. Non-centrally cleared contracts should be subject to higher capital and margin requirements."报告中提及 “， 《多德-弗兰克法案》 第七卷规定的场外（OTC）掉期市场全面监管框架弥补了美国金融衍生品监管缺口。标准化的场外衍生工具将通过核心交易对手被清算，在交易所或电子交易平台上被交易（若适用），并在交易数据库中备案。非集中清算合同应遵守更高的资本和保证金要求。”Question 20:问题 20：What are the definitions of the "standardized OTC derivative" and "non-standardized OTC derivative"? Please describe the definition of "generally" having to be cleared through central counterparties. Are there any exceptions? Please describe the definition of "where appropriate".“标准化场外衍生品”以及“非标准化场外衍生品”的定义是什么？请说明“通常须经由核心交易对手结算”的定义。是否存在任何例外情况？请说明“若适用”的定义。

RESPONSE: The Dodd-Frank Act is still being implemented. Further details on Title VII's implementation are available at: http://www.cftc.gov/lawregulation/doddfrankact/index.htm and http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml . 答复：《 多德 -弗兰克法案 》目前仍在实施中。与第七卷内容实施相关的更多详情，参见：http://www.cftc.gov/lawregulation/doddfrankact/index.htm 及 http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml

Question 21:问题 21：

Is there any corresponding notification arrangement if a swap involves several countries? How to settle the possible conflicts between the notification requirements and local laws (e.g. national security law and privacy protection law)?如果掉期涉及到多个国家，是否存在任何相应的通知安排？如何解决通知要求与地方法律（例如国家安全法以及隐私保护法）之间的潜在冲突？

RESPONSE: The Dodd-Frank Act is still being implemented. Further details on Title VII's implementation are available at: http://www.cftc.gov/lawregulation/doddfrankact/index.htm and http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml . 答复：《 多德 -弗兰克法案 》目前仍在实施中。与第七卷内容实施相关的更多详情，参见：http://www.cftc.gov/lawregulation/doddfrankact/index.htm 及 http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml

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Question 22:问题 22：

Are there specific definitions of the "standardized OTC derivative" and "appropriate exchanges or electronic trading platforms" under the U.S. laws? If any, please introduce relevant stipulations; and if not, please describe how the U.S. authorities make relevant recognition in practice.美国法律是否明确定义了“标准化场外衍生品”以及“适合的交易所或者电子交易平台”的含义？如果是，请介绍相关的条款；如果没有，请说明在实际中美国当局是如何进行相关识别的 ？

RESPONSE: The Dodd-Frank Act is still being implemented. Further details on Title VII's implementation are available at:： http://www.cftc.gov/lawregulation/doddfrankact/index.htm and http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml . 答复：《 多德 -弗兰克法案 》目前仍在实施中。与第七卷内容实施相关的更多详情 ，参见 http://www.cftc.gov/lawregulation/doddfrankact/index.htm 及 http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml

Question 23:问题 23：

Please introduce in detail the "higher capital and margin requirements" raised by the U.S. authorities on non-centrally cleared OTC derivative contracts.请详细介绍美国当局就非中央结算的场外衍生品合同提出的“较高的资本和利润要求”。

RESPONSE: The Dodd-Frank Act is still being implemented. Further details on Title VII's implementation are available at: http://www.cftc.gov/lawregulation/doddfrankact/index.htm and http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml ; and http://www.gpo.gov/fdsys/pkg/FR- 2014-09-24/pdf/2014-22001.pdf . 答复：《 多德 -弗兰克法案 》目前仍在实施中。与第七卷内容实施相关的更多详情，参见：http://www.cftc.gov/lawregulation/doddfrankact/index.htm ， http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml 和 http://www.gpo.gov/fdsys/pkg/FR-2014-09-24/pdf/2014-22001.pdf

Page 121, Para 4.77第 121页，4.77小节

The report states that "The implementation of Title VII of the Dodd-Frank Act on OTC derivatives has been entrusted by the Act to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). To resolve regulatory differences regarding the regulation of cross-border swap activities, most of which are conducted within or between the European Union and the United States, the CFTC and the European Union recently agreed that jurisdictions and regulators should be able to defer to each other when it is justified by the quality of their respective regulation and enforcement regimes."报告中提及，“《多德-弗兰克法案》委托美国证券交易委员会（SEC）以及美国商品期货交易委员会 （CFTC）实施与场外衍生品相关的《多德-弗兰克法案》第七卷之规定。为了解决与跨境掉期活动（在欧盟和美国境内或者两者之间开展大部分的此等掉期活动）的规管相关的监管差异，近期，美国商品期货交易委员会以及欧盟一致认为，如果司法辖区以及监管机构各自的监管和执行制度的品质能证明其合理性，则各司法辖区和监管机构应能够尊重彼此。”

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Question 24:问题 24：Please describe the main difference between the U.S. and the EU in terms of regulation and enforcement. What is the possible solution?请说明就监管和执行而言美国和欧盟之间存在的主要差异。潜在的解决方案是什么？

RESPONSE: The United States cannot comment on EU regulation and enforcement. The Dodd-Frank Act is still being implemented. Further details on Title VII's implementation are available at: http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml. Final guidance from the CFTC regarding cross-border application of Title VII is available at: http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-17958a.pdf, and the final rule from the SEC regarding cross-border application of Title VII is available at: http://www.sec.gov/rules/final/2014/34-72472.pdf.答复：美国无法就欧盟的监管和执行发表意见。《多德-弗兰克法案》目前仍在实施中。与第七卷内容实施相关的更多详情，参见：http://www.sec.gov/spotlight/dodd-frank/derivatives.shtml。美国商品期货交易委员会就第七卷的跨境应用提供的最终指导，参见：http://www.cftc.gov/ucm/groups/public/@lrfederalregister/documents/file/2013-17958a.pdf，美国证券交易委员会关于第七卷的跨境应用的最终准则，参见：http://www.sec.gov/rules/final/2014/34-72472.pdf。

Question 25:问题 25：What are the main contents of the cooperation memorandum between the CFTC and Japan?美国商品期货交易委员会和日本之间的合作备忘录的主要内容是什么？

RESPONSE: Details on the Memorandum of Cooperation between the CFTC and the Financial Services Agency of Japan are available at: http://www.cftc.gov/ucm/groups/public/@internationalaffairs/documents/file/cftc-jfsamoc031014.pdf.答复：欲了解美国商品期货交易委员会和日本金融服务管理局之间的合作备忘录的详情，请参见：http://www.cftc.gov/ucm/groups/public/@internationalaffairs/documents/file/cftc-jfsamoc031014.pdf。

Question 26:问题 26：

Please describe the respective roles of the SEC and the CFTC in financial regulation. The SEC seems to be less active than the CFTC in international regulatory cooperation. Why?请说明美国证券交易委员会和美国商品期货交易委员会各自在金融监管中发挥的作用。与美国商品期货交易委员会相比，美国证券交易委员会在国际监管合作中不太活跃。这是什么原因？

RESPONSE: The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The mission of the Commodity Futures Trading Commission (CFTC) is to protect market participants and the public from fraud, manipulation, abusive practices and systemic risk related to derivatives – both futures and swaps – and to foster transparent, open, competitive and financially sound markets. More information is available at: http://www.sec.gov/index.htm and

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http://www.cftc.gov/index.htm . 答复：美国证券交易委员会的使命是保护投资者、维护公平有序且高效的市场并促进资本形成。而美国商品期货交易委员会（CFTC）的使命则是保护市场参与者和公众免受欺诈、操纵和不合理的行为，使其免于承受与衍生品（期货和掉期）相关的系统性风险，造就透明、公开、有竞争性及财务上稳健的市场。更多信息请参见：http://www.sec.gov/index.htm 以及 http://www.cftc.gov/index.htm。

Question 27:问题 27：

Please define "jurisdictions and regulators should be able to defer to each other". For example, does "deferring to" mean that, when one country is going to conduct investigations in and take evidence from the other country for a certain case, the jurisdictions and regulators of the other country will be entrusted to render assistance, or the regulator of one country will directly conduct the investigations and take evidence upon approval of the competent authorities of the other country?请明确“司法辖区和监管机构应能够尊重彼此”的含义。例如，“尊重”是否意味着，如果某一国家将就某一情况在另一国家境内开展调查并取证，则将委托另一国家的司法辖区和监管机构提供援助，或者某一国家的监管机构在获得另一国家主管机构批准的情况下直接开展调查并取证。

RESPONSE: Consistent with the G-20 guidance, the United States supports the use of deference when it is justified by the quality of the respective regulatory and enforcement regime, is based on similar outcomes, is non-discriminatory, and pays due respect to home country regulation regimes. Of note, CFTC staff has provided extensive regulatory relief—principally through the issuance of no-action letters—to global market participants operating in foreign jurisdictions that do not yet have comparable rules in place.答复：与G-20 指南相一致，如果“尊重”的合理性能被各自的监管和执行制度的品质所证明，是基于类似的结果、非歧视的，并充分尊重母国的监管制度，则美国对此支持。值得注意的是，美国商品期货交易委员会的工作人员主要通过发放无异议函的方式，已经减轻了在尚未实施可比规定的外国司法辖区内运营的全球市场参与者面临的监管压力。

Question 28:问题 28：

In case China and the U.S. will cooperate in the regulation of cross-border OTC derivative market in the future, which cooperation modality will the U.S. prefer?如果在未来中国和美国将在跨境场外衍生品监管方面开展合作，那么美国将倾向于采用何种合作形式？

RESPONSE: The United States cannot comment on potential future regulations at this time.答复：美国此时无法就潜在的未来监管发表意见。

Page 30, Para 2.19第 30页，2.19小节

The report states that "The United States maintains a strong record of notifications, however, three notifications on agriculture are overdue or require updating (on export subsidies, domestic support, and tariff quota utilization)."报告中提及，“美国在通知方面表现出色，尽管如此，仍有三份与农业有关的通知过期了或者需予以更新（与出口补助、国内支持以及关税配额的运用相关）”。

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Question 29:问题 29：

Please explain why the three agricultural notifications have not been updated. When does the U.S. plan to submit relevant new notifications?请说明尚未对这三份农业通知进行更新的原因。美国计划何时提交相关的新通知 ？

RESPONSE: The United States submits annual notifications to the Committee on Agriculture regularly. The United States recently submitted its domestic support notification for agriculture, G/AG/N/USA/100, dated December 8, 2014. Please see G/AG/N/USA/99, dated November 5, 2014, for the latest U.S. notification on export subsidies. On tariff quotas, please see G/AG/N/USA/94, dated February 5, 2014 for the latest MA:2 notification on quota fill. 答复：美国定期向农业委员会提交年度通报。美国于近期提交了日期为 2014年 12 月 8 日的国内农业支持通报 G/AG/N/USA/100。欲了解美国与出口补贴相关的最新通报，请参阅日期为 2014年 11 月 5 日的G/AG/N/USA/99。欲了解与关税配额使用率相关的最新 MA:2通报，请参阅日期为 2014年 2 月 5 日的 G/AG/N/USA/94。

Page 38, Para 2.49第 38 页，2.49小节The report states that "The specific points in the new and expanded program include: …Creating for the first time single points of contact for investors looking to locate in the U.S."报告中提及，“全新且经扩充的方案中特定的要点包括：首次为计划在美国入驻的投资者设定一个单独的联系部门”。

Question 30:问题 30：

Please list the institution(s) that home the "single points of contact" under the SelectUSA Program.请列出《选择美国计划》规定的“单独联系部门”的所在机构。

RESPONSE: The SelectUSA office is the single point of contact. SelectUSA is housed in the U.S. Department of Commerce.答复：“选择美国”办公室系单独联系部门，设在美国商务部。

Page 39, Para 2.50第 39页，2.50小节

The report states that "It does not offer direct incentives but provides a link to federal government programmes offering incentives to businesses."报告中提及，“不提供直接的奖励措施，但提供与向企业提供奖励措施的联邦政府方案的关联”。

Question 31:问题 31：

186

Please list the federal government programmes offering incentives. Please describe the methods adopted by such programmes to offer incentives.请列出提供奖励措施的联邦政府计划。请说明此等计划提供奖励措施所采用的方法。

RESPONSE: A list of federal government programs offering incentives available to any investor in the US, whether that investor is foreign or US-headquartered, including a description of criteria and incentives offered and links to further information can be found at http://selectusa.commerce.gov/investment-incentives.答复：向美国境内的投资者（无论其来自境外还是总部位于美国境内）提供奖励措施的联邦政府计划清单，包 括对标 准及奖励措 施的说明以及更多 信 息的链接，请参见 http://selectusa.commerce.gov/investment-incentives。

Page 41, Table 2.4第 41 页，表 2.4

Question 32:问题 32：Are China and other WTO members subject to the same restrictions in the 8 sectors with foreign investment restrictions listed in the table (i.e. maritime transportation, aircraft, mining, energy, lands, communications, banking and investment company regulations)? In the Sino-U.S. BIT negotiation, will the U.S. relax the restrictions on Chinese investment in the above 8 sectors? Which sectors are most likely to be open to Chinese investment through the BIT talks?在存在表格列示的外商投资限制的 8个部门内，中国和其他世界贸易组织成员国是否遵从同样的限制条件（即海上运输、航空、采矿、能源、土地、通讯、银行业和投资公司监管）？在中美双边投资协定谈判中，美国是否将放松上述 8个部门对中方投资的约束？哪个部门更有可能通过双边投资协定会谈向中方投资开放？

RESPONSE: The longstanding policy of the United States is to be open to foreign investment. Foreign investors benefit from an open, transparent, and, with very few exceptions, non-discriminatory system. Most of the small number of existing restrictions are narrow, do not significantly constrain investment in the relevant sector, and are applied consistent with the most-favored-nation principle. We cannot comment on an ongoing negotiation.答复：向外商投资开放是美国的长期政策。外国投资者受益于公开、透明且鲜有例外的非歧视体制。目前少数的限制条件中大部分是有限的，不会显著地约束对相关部门的投资，并且其实施符合最惠国原则。我们无法就正在进行的谈判发表评论。

Page 75, Para 3.113第 75 页，3.113小节The report states that "However, no report has been issued since the 2012 report, which focused on the National Export Initiative (NEI) and on reducing trade barriers for U.S. exports."报告中提及，“尽管如此，自 2012年的报告后，未发布任何以国家出口计划（NEI）和减少美国出口贸易壁垒为重心的报告”。

Question 33:问题 33：

187

Please describe the reasons why the TPCC has issued no annual National Export Strategy report since 2012.请说明自 2012年起美国贸易促进协调委员会（TPCC）未发布任何年度国家出口战略报告的原因。

RESPONSE: In November 2013, Commerce Secretary Penny Pritzker announced that federal agencies would take a fresh look at the National Export Initiative (NEI) and propose a new strategy to help broaden and deepen the base of U.S. exporters. In May 2014, Secretary Pritzker announced that the Administration would build on progress made through the NEI with a successor initiative, NEI/NEXT. The TPCC Secretariat published the NEI/NEXT strategic framework (available at http://www.trade.gov/neinext/neinext-strategic-framework.pdf) in May 2014. The TPCC Secretariat anticipates reporting out on past year's efforts and upcoming priorities under NEI/NEXT in a National Export Strategy during the first half of 2015.答复：2013年 11 月，美国商务部长彭妮•普利茨克（Penny Pritzker）宣布联邦机构将重新审视国家出口计划（NEI）并提出一项新的战略帮助拓宽和加深美国出口商的基础。2014年 5 月，普利茨克部长宣布联邦当局将在国家出口计划所取得进展的基础上，推出后续措施——NEI/NEXT。美国贸易促进协调委员会秘 书 处于 2014 年 5 月发布 NEI/NEXT 战略框架（参见 http://www.trade.gov/neinext/neinext-strategic-framework.pdf）。美国贸易促进协调委员会秘书处预计将于 2015年上半年就过去一年的工作以及国家出口战略中NEI/NEXT计划的未来优先事项提交报告。

Page 79, Table 3.14第 79 页，表 3.14

Question 34:问题 34：The number of the countries where the OPIC has active business was reduced by 4 in 2012 and 1 in 2013 respectively. Please list these 5 countries and describe the reasons why OPIC business becomes less active in these countries.在 2012年和 2013年，美国海外私人投资公司（OPIC）从事业务的所在国的数量分别减少了 4个和 1个。请列示出这 5 个国家并说明美国海外私人投资公司业务在此等国家变得不太活跃的原因。

RESPONSE: OPIC is largely a demand-driven institution, and supports investments that private investors bring to OPIC for insurance and/or financing. Therefore, at any given time, OPIC may not have active projects in all of the countries where the Agency is authorized to operate. For example, in 2012 OPIC was authorized to operate in 162 countries. However, as noted in Table 3.14, in 2012 OPIC had active investments in 103 of those 162 authorized countries. In 2013, OPIC's investment projects in Gabon, Saint Kitts & Nevis, and Venezuela concluded, leaving OPIC without active portfolios in those countries. During the same year, OPIC committed new projects in Malaysia and Uruguay, countries where OPIC did not have active portfolio in 2012. As a result, in 2013 OPIC had active projects in 102 countries, a net decrease of one country from 2012.答复：美国海外私人投资公司总体而言是一个需求驱动型机构，支持私人投资者因保险和/或融资而向美国海外私人投资公司提供投资。因此，在任一特定时间，该机构在其经授权开展业务的各国境内，可能并不都有活跃的项目。例如，2012年，美国海外私人投资公司经授权在 162个国家运营。尽管如此，正如表3.14 所示，2012年，在 162个经授权的国家中，美国海外私人投资公司在其中 103个国家有活跃投资。2013年，美国海外私人投资公司在加蓬、圣基茨与尼维斯以及委内瑞拉的投资项目完工，导致其在这些国家境内无活跃的投资组合。同年，美国海外私人投资公司在马来西亚和乌拉圭实施了新项目，而 2012

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年公司在这两个国家并无任何活跃的投资组合。因此，2013年，美国海外私人投资公司在 102个国家有活跃的项目，与 2012年相比减少了一个国家。

Page121, Para 4.75 (g)第 121 页，4.75（g）小节The report states that "Although the Volcker Rule came into effect on 1 April 2014, the Federal Reserve has extended the period for covered banking organizations to bring their activities and investment into conformity with the rule until 21 July 2015."报告中提及，“尽管《沃尔克法则》于 2014年 4月 1日生效，但美联储仍延长了受保障银行业机构的期限，使其活动与投资事宜在 2015年 7月 21日前与法则的要求相符”。

Question 35:问题 35：

Please describe the main reasons for the Federal Reserve to extend the deadline for the compliance by banking organizations until 21 July 2015, while the Volcker Rule came into effect on 1 April 2014.请说明虽然《沃尔克法则》于 2014年 4月 1日生效，但美联储仍延长银行业机构合规性的截止期限至2015年 7月 21日的原因。

RESPONSE: Details on the extension are available at http://www.federalreserve.gov/newsevents/press/bcreg/bcreg20131210b1.pdf. See also http://www.federalreserve.gov/newsevents/press/bcreg/bcreg20141218a1.pdf.答复：欲了解延长期限的有关详细情况，请参见 http://www.federalreserve.gov/newsevents/press/bcreg/bcreg20131210b1.pdf。还可参见：http://www.federalreserve.gov/newsevents/press/bcreg/bcreg20141218a1.pdf。

Page 135, Para 4.114& Table 4.10第 135页，4.114小节以及表 4.10

Question 36:问题 36：

Please describe the U.S. information collection mechanism regarding the local support schemes for the film and television program production. Please describe the reason why the table only lists certain state-level support schemes. Is there any channel for the U.S. to obtain the complete information of state-level support schemes?请说明美国与电影电视节目制作地方支持方案相关的信息收集机制。请说明表格仅列示某些州级支持方案的原因。美国是否有任何渠道可获得州级支持方案的完整信息？

RESPONSE: Not every state maintains a support program for local production. As indicated in the original answer, the United States and any other interested party can find the most current and accurate information on such programs through the websites of each state's film promotion board. Certain organizations such as MPAA also periodically compile state-level information.答复：并非每个州都有针对本地制作的支持项目。正如原答复所表明的，美国以及感兴趣的其他各方可通过各州电影制作委员会的网站找到此类项目的最新准确信息。美国电影协会等组织还定期编制州一级信息。

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Page 139, Para 4.124第 139 页，4.124小节The report states that "Several states actually did have restrictions on medical underwriting, but most did not."报告中提及，“实际上，几个州确实有针对医疗核保的约束，但大部分州则没有”。

Question 37:问题 37：

Which states impose restrictions on medical underwriting? What are the restrictions specifically?哪些州存在医疗核保约束？明确来说，有哪些约束？

RESPONSE: Medical underwriting is a process used by insurance companies to try to figure out a person's health status when he or she is applying for health insurance coverage to determine whether to offer coverage, at what price, and with what exclusions or limits. For example, prior to 2014, many health insurance plans could charge people more because they had what was known as a pre-existing condition, a health problem that existed before the date that the coverage started. Because of the Affordable Care Act, beginning on January 1, 2014, all individual and group health plans must guarantee issue health policies/plans to all applicants, regardless of health status, and can only vary premiums based on age, tobacco use, family size, geographic location and plan category: https://www.healthcare.gov/lower-costs/how-plans-set-your-premiums/.

答复：医疗核保系保险公司为了解医疗保险申请人健康状况、并决定是否提供保险、以何种价格提供以及实施的排除情况或者限制条件而采取的一个程序。例如，在 2014年前，众多健康保险计划可向人们收取更多的费用，因为这些人在保险生效日之前业已存在健康问题。而由于 2014年 1 月 1 日生效的《平价医疗法案》，无论申请者的健康状况如何，所有个人及团体健康险计划必须保证向所有参加者提供健康保单/计划，且保费只可因年龄、吸烟情况、家庭规模、地理位置和保险类别而不同。参见 https://www.healthcare.gov/lower-costs/how-plans-set-your-premiums/ 。

Page 141, Para 4.132第 141页，4.132小节

The report states that "health industry is largely open to foreign investment……it can be challenging for foreign firms to enter the U.S. market due to state level regulations and licensing requirement".报告中提及，“健康行业大体上来说对外商投资开放。由于州级规定和许可要求，对于外资企业来说，进入美国市场可能颇具挑战性”。

Question 38:问题 38：How is the U.S. going to settle the contradiction between the statement that "health industry is largely open to foreign investment" and the statement that "it can be challenging for foreign firms to enter the U.S. market". Does the U.S. plan to unify the regulations and licensing requirements of various states?美国将如何解决“健康行业大体上来说对外商投资开放”这一陈述与“对于外资企业来说，进入美国市场可能颇具挑战性”这一陈述之间的矛盾之处。美国是否计划统一多个州的规定以及许可要求？

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RESPONSE: As the Secretariat noted, the United States welcomes foreign investment in the health care sector, just as it does in all other sectors. The market for investment in health care is largely open. We are unaware of plans to change any regulations for this purpose.答复：正如秘书处提到的，与其他部门一样，美国欢迎医疗保健部门的外商投资。医疗保健投资市场总体来说是开放的。我们不了解就此改变现有规定的计划。

Part II. Questions based on Policy Statement by the United States (WT/TPR/G/307)第二部分 关于美国政策声明的问题（WT/TPR/G/307）

Page 23, Para 5.1第 23页，5.1小节

"Through "aid for trade," the United States focuses on giving countries, particularly the least trade-active, the training and technical assistance needed to: make decisions about the benefits of trade arrangements and reforms; implement their obligations to bring certainty to their trade regimes; and enhance these countries' ability to take advantage of the opportunities of the multilateral trading system and to compete in a global economy."“通过‘贸易援助’，美国重点向各国（尤其是贸易最不活跃的国家）提供所需的培训和技术援助，以便：作出与贸易安排和改革的福利相关的决定；履行各自确定其贸易制度的义务；提高此等国家利用多边贸易制度带来的机遇以及在全球经济体中开展竞争的能力。”

Question 39:问题 39：Is there any assessment on the current progress and achievements of the "aid for trade" program?是否对“贸易援助”方案的当前进展以及成就进行评估？

RESPONSE: Through "Aid for Trade," the United States has focused on giving developing countries the training and technical assistance needed to (1) make decisions about the benefits of trade arrangements and reforms; (2) implement their obligations to bring certainty to their trade regimes; and (3) enhance these countries' ability to take advantage of the opportunities of the multilateral trading system and compete in a global economy. As of 2013, the U.S. Government had obligated more than US$15 billion for TCB to developing countries since 2001. For further information on the outcomes of particular programs, please refer to USTR's annual reports (https://ustr.gov/about-us/policy-offices/press-office/reports-and-publications) and USAID's website, at www.usaid.gov.答复：通过“贸易援助”，美国重点向发展中国家提供其所需的培训和技术援助，以便其（1）作出贸易安排和改革的福利决策；（2）履行其保证贸易制度确定性的义务；（3）提高其利用多边贸易体制带来的机遇以及在全球经济体中开展竞争的能力。截至 2013年，美国政府已向发展中国家提供了 150亿美元的贸易能力建设款项。欲了解与具体项目成果的更多信息，请参阅美国贸易代表办公室的年度报告（https://ustr.gov/about-us/policy-offices/press-office/reports-and-publications）以及美国国际开发署的网站www.usaid.gov。

Part III. Other Questions第三部分 其他问题

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Question 40:问题 40：

Which U.S. authority is in charge of the WTO Trade Policy Review and related matters, What's the corresponding working mechanism and procedure?由美国的哪个机构负责WTO贸易政策审议以及相关的事项，相应的工作机制和程序又是什么？

RESPONSE: The Office of the U.S. Trade Representative (USTR) is responsible for WTO Trade Policy Review matters. USTR consults with other government agencies on trade policy matters through the Trade Policy Review Group (TPRG) and the Trade Policy Staff Committee (TPSC). These groups, administered and chaired by USTR, are composed of 19 Federal agencies and offices.答复：美国贸易代表办公室（USTR）负责 WTO贸易政策审议事项，它通过贸易政策审议小组（TPRG）以及贸易政策工作委员会（TPSC）就贸易政策事项与其他政府机构进行协商。这些小组由美国贸易代表办公室管理和领导，由 19个联邦机构和办公室组成。

In recent years, China has made significant progress in banking regulation. China has joined main international financial organizations formulating the new international regulatory standards. Chinese commercial banks have adopted Comprehensive Consolidated Supervision (CCS) and been performing well since the crisis in 2008. However, the Federal Reserve still refuses to recognize the conformity of Chinese banks with the Comprehensive Consolidated Supervision standards so that the Chinese banks having commercial existence in the U.S. have been subject to many unnecessary restrictions under the Foreign Bank Supervision Enhancement Act of 1991, including extremely long periods of examination and approval (even aslong as 10 years in certain cases) and a large number of obstructions in such aspects as setting up subsidiaries, conducting M&A and retail banking business and participating in deposit insurance of the FDIC.最近几年中，中国在银行业监管方面取得了重大进展。中国加入了制定全新国际监管准则的主要国际金融组织。自 2008年的金融危机开始，中国的商业银行就已采用“综合并表监管”（CCS）并且一直以来运转良好。尽管如此，美联储仍拒绝承认中国银行符合综合并表监管标准，以至于在美国有商业操作的中国银行受到《1991年外资银行监管加强法》中众多不必要限制条件的约束，包括极其漫长的审查和审批时间（在某些情况下甚至长达 10年），在设立分公司、开展并购和小额银行业务、参与美国联邦存款保险公司的存款保险等方面面临众多的壁垒。

Question 41:问题 41：Please describe the reason why the U.S. refused to officially recognize the conformity of Chinese banking regulation with the Comprehensive Consolidated Supervision standards. Does the U.S. plan to review this decision in the near future?请说明美国拒绝官方承认中国银行业监管符合综合并表监管标准的原因。美国是否计划在不久的将来对该决定进行审查？

RESPONSE: The Federal Reserve determined that several Chinese banks were subject to comprehensive consolidated supervision ("CCS") in approving the establishment of U.S. branches and a U.S. bank subsidiary. See http://www.federalreserve.gov/newsevents/press/orders/20120509c.htm, http://www.federalreserve.gov/newsevents/press/orders/20120509b.htm, and

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http://www.federalreserve.gov/newsevents/press/orders/20120509a.htm. CCS standards under U.S. law apply with respect to specific banks rather than with respect to a country's bank supervision generally. Moreover, the Federal Reserve must review CCS standards each time a foreign bank submits an application to the Federal Reserve.答复：美联储决定，批准设立美国分行以及美国银行子公司时，几家中国银行须接受综合并表监管（CCS）。参见 http://www.federalreserve.gov/newsevents/press/orders/20120509c.htm、http://www.federalreserve.gov/newsevents/press/orders/20120509b.htm 及 http://www.federalreserve.gov/newsevents/press/orders/20120509a.htm。一般而言，美国法律下的综合并表监管标准适用于对特定银行，而非对某一国家的银行的监管。此外，每次外资银行向美联储提交申请时，美联储都须对综合并表监管标准进行审查。

Question 42:问题 42：Please describe the working mechanism, main measures and achievements of the U.S. poverty reduction policies in recent years.请说明近几年内美国扶贫政策的工作机制、主要措施以及成果。

RESPONSE: The United States employs numerous and extensive mechanisms and measures in an effort to reduce poverty both in the United States and around the world. It would not be possible, or within the bounds of this trade policy review, for us to attempt to outline them all.答复：美国采用众多广泛的机制和措施，在美国及在世界范围内减少贫困。我们不可能，或者在该贸易政策审议的范围内，将它们全部概括出来。

Question 43:问题 43：

Has the U.S. imposed any restriction on foreign investments in civil airports? If any, please give a detailed introduction.美国是否对民用机场外商投资施加了任何限制？如有，请作详细介绍。

RESPONSE: The United States Government does not restrict foreign investment in civil airports. Most airports are owned, operated, and financed by public municipalities. These municipalities can and do offer many varied opportunities for foreign investment ranging from service contracts to profit sharing partnerships in development, finance, and operations management. Further, the FAA also operates the Airport Privatization Pilot Program (APPP), designed to explore the potential for airport privatization in the United States and minimize legal and financial barriers. The APPP facilitates the long-term lease or sale (general aviation airports only) of participating airports resulting in the transfer of operating certificates to a private sector entity, including foreign investors.答复：美国政府并未限制民用机场方面的外商投资。大部分机场由市政当局所有、运营并提供资金。这些市政当局可以并且确实为服务合同，以及在开发、财政和运营管理方面分享利润的外商投资提供了众多不同机会。此外，美国联邦航空管理局 (FAA)还实施机场私有化试点计划（APPP），该计划旨在探索美国机场私有化的潜力、尽量减少法律和财政壁垒。机场私有化试点计划有利于参与机场的长期租赁或者出售（仅通用航空机场），从而使运营证书转让给包括外国投资者在内的私营部门实体。

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