美國對中國技術轉讓有關措施的“301條款調查”與WTO規則的合法性

Consistency with WTO Rules of the US Section 301 Investigation against China Concerning Technology Transfer

美國貿易代表當前針對中國發起了“301條款調查”，聲稱中國有關技術轉讓的法律、政策和實踐可能會對美國的知識產權、創新或技術發展造成損害。從美國1974年《貿易法》相關條款的文本上看，該調查所作出的認定和決定是單方面的，也缺乏客觀標準。WTO專家組和上訴機構在“美國301條款案”和“美國（以及加拿大）持續中止減讓案”中，裁決WTO《關於爭端解決規則與程序的諒解》第23條禁止此類政府行為，美國“301條款調查”的任何決定和行為的單方面性都違反了WTO法的現有規定。而且美國“301條款調查”公告中所列出的實際指控，由於沒有任何私人企業提出訴求，這類主張缺乏真實的和積極的證據支撐。因此，美國將來與此相關的任何單方面決定和行動，都有違反WTO規則之嫌。

On August 18, 2017, the United States Trade Representative (USTR) initiated a Section 301 investigation against China claiming that China's laws, policies and practices regarding technology transfer may cause harm to US intellectual property rights, innovation or technology development. This article explains how this investigation pursues a route of unilateral determination of the existence of any burden or restriction on US commerce and of what action the US government may take, rather than lodging a dispute settlement request through the available multilateral system. The author analyzes why such unilateral determination and corresponding actions are illegal under the present WTO law, given that previous WTO panels in US Section 301 and the Appellate Body in the US (and Canada)－Continued Suspension of Obligations, have interpreted the meaning of DSU Article 23 as prohibiting such governmental measures. In addition, the author also assesses the specific factual claims set out in the investigation Notice. Given the lack of any petition from any private firm and therefore the lack of real positive evidence to support these factual allegations, any future unilateral determination and action by the US government would run the risk of being inconsistent with WTO rules.