第六轮中美战略与经济对话框架下经济对话联合情况说明（中英对照）

II. Promoting Open Trade and Investment

二、促进开放的贸易和投资

The United States and China underscored the importance of fostering an open, transparent, and non-discriminatory environment for trade and investment, recognizing that doing so is critical to economic growth and job creation in both countries and in the global economy.  The United States and China committed to take the following measures to further enhance our bilateral trade and investment relationship, support an open and fair environment, and create greater opportunities for U.S. and Chinese companies and workers.

中美双方强调开放、透明、非歧视的贸易与投资环境的重要性，认识到这对两国和全球的经济增长和创造就业至关重要。中美双方承诺采取以下措施进一步深化双边贸易与投资关系，营造开放、公平环境，为中美两国企业和民众创造更大的机遇：

United States and China held constructive discussions regarding the expansion of the Information Technology Agreement.  Both sides commit to continue the discussion within the next few weeks, to create conditions to restart plurilateral negotiations.

中美双方就《信息技术协定》扩围开展了建设性的讨论。双方将在未来几周内继续进行讨论，为恢复诸边谈判创造条件。

The United States and China welcome the progress made to date in the Bilateral Investment Treaty (BIT) negotiations, and affirm their commitment to intensify these negotiations toward a BIT with high standards, including non-discrimination, fairness, openness, and transparency.  The two sides are working to narrow differences and to reach agreement on core issues and major articles of the treaty text by the end of 2014, and commit to initiate the “negative list” negotiation early in 2015 based on each other’s “negative list” offers.  Recognizing the positive role of investment in creating jobs and boosting economies, and the mutual benefit of open investment environments, the two sides support the expansion of two-way investment and commit, through the BIT negotiation, to ensure that foreign and domestic investors benefit from equal access to and treatment in the market, subject only to negotiated and transparent exceptions.

中美双方对双边投资协定谈判迄今取得的进展表示欢迎，并致力于推进这一包括非歧视、公平、开放、透明等要素的高水平协定的谈判。双方正努力减小分歧，力争于2014年底前就协定文本的核心问题和主要条款达成一致，并承诺在2015年早期以各自的负面清单出价为基础启动负面清单谈判。认识到投资对于创造就业和促进经济的积极作用，以及开放的投资环境有益于两国，双方将支持扩大双向投资，除经谈判达成一致的、透明的例外情形之外，确保通过双边投资协定谈判使国内外投资者从平等的市场准入和待遇中受益。

China is to further deepen the reform of State Owned Enterprises (SOEs) (including State-Invested Enterprises), improve and standardize modern corporate governance structure, and reasonably increase the proportion of market-based recruitment of management personnel for SOEs.  In mixed ownership enterprises, China is to improve the process for nominating and selecting personnel to serve on Boards of Directors in accordance with the Company Law and corporate governance principles. The United States and China commit to establish an exchange mechanism with regard to improving the modern corporate system and corporate governance structure of SOEs.

中方将进一步深化国有企业（包括国家出资企业）改革，完善并规范现代公司法人治理结构，合理增加国有企业管理人员市场化选聘比例。在混合所有制企业中，依照《公司法》和公司治理原则，健全董事会人选提名和遴选程序。中美双方将就国有企业完善现代企业制度和公司法人治理结构问题，建立交流沟通机制。

The United States and China recognize that the objective of competition policy is to promote consumer welfare and economic efficiency rather than promote individual competitors or industries, and that enforcement of their respective competition laws should be fair, objective, transparent, and non-discriminatory.  China commits that its three Anti-Monopoly Enforcement Agencies (AMEAs) are to provide to any party under investigation information about the AMEA’s competition concerns with the conduct or transaction, as well as effective opportunity for the party to present evidence in its defense. 

中美双方认识到，竞争政策的目标是为提高消费者福利和经济效率，而不是为促进个别竞争者或个别产业，执行双方各自的相关竞争法律应当公平、客观、透明和非歧视。中方承诺其三个反垄断执法机构将向受到调查的各方提供反垄断执法机构有关这些行为或交易的竞争关切的信息，并为当事人提供抗辩证据的有效机会。

The United States reaffirms its commitment to give fair treatment to China in its export control reform process, and to encourage and facilitate export of high technology items to China for civilian end-uses and civilian end-users.  The United States reaffirms its commitment to process and decide upon, in a timely manner, individual license applications once the United States receives all necessary information required under the Export Administration Regulations.  Both sides commit to make joint efforts to actively implement the Action Plan for Cooperation in the Priority Areas of U.S.-China High Technology Trade.  Both sides commit to hold High Technology and Strategic Trade Working Group meetings and conferences to exchange ideas and to listen to industry’s concerns and recommendations regarding bilateral high-tech trade between the United States and China.  Both sides further commit to discuss these and other export control issues in depth and in detail through the U.S.-China High Technology and Strategic Trade Working Group.

美方重申，承诺在出口管制改革过程中给予中国公平待遇，鼓励和便利高技术物项对华民用最终用途和民用最终用户出口。美方重申，承诺一旦收到出口管制条例规定的所有必要信息，及时受理许可个案申请。双方承诺，共同努力积极落实《中美高技术贸易重点领域合作行动计划》。双方承诺召开中美高技术与战略贸易工作组会议和研讨会交换意见，并听取业界对中美双边高技术贸易的关切和建议。双方进一步承诺，通过中美高技术与战略贸易工作组深入并详细讨论以上及其他出口管制问题。

The United States commits to inform China about the process required by the Natural Gas Act (NGA), which governs the evaluation of applications to export liquefied natural gas (LNG) export applications, to Free Trade Agreement (FTA) countries and to non-FTA countries such as China.  The NGA directs the U.S. Department of Energy (DOE) to evaluate LNG export applications to non-FTA countries.  DOE applies the same rules in every case.  To date, DOE has granted six conditional long-term authorizations and one final authorization to export domestically-produced lower-48 LNG to non-FTA countries, and 26 non FTA-applications are currently pending. The DOE is currently evaluating pending applications on a case-by-case basis. The DOE is evaluating changes to its procedures that would prioritize resources on the more commercially advanced projects and improve efficiency of the review process.  The DOE is to update the National Energy Administration (NEA) of China of the status of the process in a timely manner.  Any investment in U.S. or Chinese LNG facilities is to be consistent with the applicable law and commercial- and market- oriented principles. To the extent allowed by applicable law, the United States and China commit to provide information to interested companies about the process to participate in LNG infrastructure investment and construction in their respective countries.

美方承诺向中方通报《天然气法案》中规定的向自贸协定国家和中国等非自贸协定国家出口液化天然气（LNG）申请评估的程序。该法案指定美国能源部评估向非自贸国家出口LNG的申请，在此过程中将对每一个申请适用相同规则。目前能源部已向6个向非自贸国家长期出口美国本土生产LNG项目给予了有条件的长期授权，1个项目已通过最终审批，另外26个向非自贸协定国家出口LNG的项目申请正在审批过程中。能源部正逐个案例评估待审批的申请。能源部正评估对程序进行调整，使其集中资源审批商业上更可行的项目，并提高其评估程序的效率。美国能源部将及时向中国国家能源局通报相关进展状态。所有对中美双方的LNG设施的投资都要遵循相关的法律法规以及商业和市场化运作原则。在相关法律允许的范围内，中美双方承诺向有兴趣的公司提供参与各自国家LNG基础设施投资和建设的有关信息。

The United States and China affirm that they do not approve of trade secret theft for commercial advantage and that the protection and enforcement of trade secrets is essential to maintain fair competition and to develop an innovative economy.  Both sides are to pursue criminal and other actions to deter the misappropriation of trade secrets, and make information available to the public about their actions, to the extent permitted by law. China has incorporated the protection and enforcement of trade secrets into its 2014 Priorities of the Nationwide Crack Down on Intellectual Property Infringement and Production of Counterfeit and Shoddy Products, published by the State Council on April 14, 2014.  As its next step, China is to vigorously investigate and prosecute trade secret theft cases; ensure that civil and criminal cases are tried and the judgments are published according to law; and protect trade secrets contained in materials submitted by companies as part of regulatory, administrative, and other proceedings according to Chinese law.  China is also to undertake publicity and education activities to improve the awareness of companies and the general public regarding the protection of trade secrets; to undertake studies and research on trade secrets law and related legislative and policy issues; and is to continue engaging in technical exchanges with the United States on these issues.  China affirms that it is to continue prioritizing trade secrets protection and enforcement and is to take positive actions that are to be included in upcoming work plans.

中美双方确认，不赞成通过窃取商业秘密获得商业优势，商业秘密的保护和执法对维护公平竞争和创新经济发展至关重要。双方将依法采取刑事和其他措施，制止窃取商业秘密的行为，并对采取的行动进行公开。中方已将商业秘密的保护和执法纳入于2014年4月14日由国务院发布的2014年全国打击侵权假冒工作要点。下一步，中方将严肃查处窃取商业秘密案件，确保依法审判民事和刑事案件并公开判决，保护企业在监管、行政及其他程序中依法提交资料中的商业秘密。中方也将开展教育宣传活动，以提高企业和社会公众保护商业秘密的意识，开展商业秘密保护法律及相关立法和政策问题的调研，将继续与美方这些问题上进行技术性交流。中方确认将商业秘密的保护与执法继续作为重点工作，开展积极行动并在未来工作计划中予以体现。

Building on the prior successful exchanges between the United States and China at the Joint Commission on Commerce and Trade (JCCT) Intellectual Property Rights Working Group and at meetings among relevant agencies, the United States and China are to continue to promote exchanges between respective Intellectual Property (IP) agencies, including judicial and administrative bodies, on topics of mutual interest, such as enforcement, transparency, and specialized IP courts.  These discussions and any recommendations are to be reported to the JCCT and other bilateral meetings.

基于中美两国先前在中美商贸联委会知识产权工作组以及双方相关部门间会议的成功交流，中美双方将继续促进双方知识产权相关部门，包括司法和行政部门之间就双方共同关心的执法、透明度和专门的知识产权法院等议题进行交流。上述讨论及有关建议将向中美商贸联委会和其他双边会议进行报告。

China confirms that the Deployment Standards for the Assets of the Office of General Software of Government Agencies is a measure designed to strengthen the administration of spending and implement the CPC Central Committee’s call for frugality.  This measure was drafted with the intention to not have any purpose or effect of creating obstacles to international trade.  The United States and China are to continue to engage on ways to address any obstacles to trade facing companies.

中方确认《政府机关办公通用软件资产配置标准（试行）》，是为了落实中共中央关于厉行节约的规定，在加强支出管理方面采取的一项措施。该办法的制定没有本着制造国际贸易障碍的意图或影响的目的。中美双方将继续就解决企业面临的贸易障碍的途径进行接触。

The United States and China commit to discuss this year issues concerning China raised in the Consolidated Appropriations Act, 2014.

中美双方承诺就《2014财年综合拨款法案》中的涉华事项在今年进行讨论。

In support of China’s commitment to strong, sustainable, and balanced economic growth and the transformation of China’s economic development pattern, and in recognition of the importance of fostering a more streamlined, efficient, and market-based business environment in which the market plays a decisive role in allocating resources, China commits to improve its Value Added Tax rebate system, including actively studying international best practices, and to deepen communication with the United States on this matter, including regarding its impact on trade.

为支持中国实现强劲、可持续和平衡的经济增长，推动经济发展方式转型，同时认识到培育一个更加简化、高效、以市场为导向商业环境的重要性，使市场在资源配置中起决定性作用，中方承诺完善其增值税出口退税制度，包括积极研究国际最佳实践，并就此及其对贸易的影响与美方深化交流。

In support of China’s efforts to rein in excess production capacity in key manufacturing sectors and to foster a business environment in which the market can play a decisive role in allocating resources, China is to establish mechanisms that strictly prevent the expansion of crude steelmaking capacity and that are designed to achieve, over the next five years, major progress in addressing excess production capacity in the steel sector.

为继续致力于控制主要制造业领域产能过剩，并促进形成市场在资源配置中起决定性作用的商业环境，中方将建立机制，严格防止粗钢产能增长，并旨在于5年内在化解钢铁行业过剩产能方面取得重要进展。

To advance the shared goal of ensuring access to safe and high-quality medicines for patients and protect supply chain integrity, to affirm the responsibilities of the manufacturers and regulators over the life-cycle of the drug to ensure product quality, and to fight against illegal actions to manufacture, distribute, and export counterfeit and substandard active pharmaceutical ingredients (APIs) and APIs used for counterfeit and substandard products, China commits, during the process of revising the Drug Administration Law (DAL), to develop and seriously consider amendments to the DAL requiring regulatory control of the manufacturers of bulk chemicals that can be used as APIs (“bulk chemicals”), including “export only” producers and distributors.  To this end, China commits to hold a multi-ministerial work mechanism on a potential regulatory and enforcement framework to develop the oversight of bulk chemicals, and a roadmap for implementation, by the end of this year.  The United States commits to continue to review its authority to exclude from consideration the import of bulk chemicals from firms that are not registered with China Food and Drug Administration (CFDA).  In addition, the United States and China commit to deepen technical exchanges, trainings, and regulatory cooperation to enhance the safety of bulk chemicals traded between the United States and China, and to exchange views on the user fee programs at the upcoming pharmaceutical working group meeting of the JCCT.

为促进双方确保患者获得安全和高质量药品，保证供应链完整的共同目标，明确药品生产商和监管者在药品生命周期确保质量的职责，打击违法生产、销售、出口假冒伪劣原料药（APIs）以及利用原料药生产假冒伪劣产品的行为，中方承诺在修订《药品管理法》过程中，提出并认真考虑将可用作原料药的大宗化学品生产企业的监管要求纳入《药品管理法》修订中，包括“仅供出口”的生产商和销售商。为此，中方承诺在今年年底前建立多部委协调工作机制，讨论制订大宗化学品可能的监管和实施框架，以及实施的路线图。美方承诺继续评估其授权，考虑将未在国家食品药品监督管理总局备案企业的大宗化学品排除在进口以外。此外，中美双方承诺加强技术交流、培训和监管合作，以促进中美贸易中大宗化学品的安全，在即将召开的中美商贸联委会（JCCT）药品小组会上就用户收费项目交换意见。

In order to foster the development of the services sector, China is to follow the guidance provided at the Third Plenum of the 18th CPC Central Committee, which is to promote the orderly opening-up of the finance, education, cultural, medical sectors, and other service areas, and to remove foreign investment access restrictions in child and old-age care, architectural design, accounting and auditing, commerce and logistics, electronic commerce, and other such service sectors, including accelerating the revision of the Catalogue Guiding Foreign Investment in Industries to further open up to foreign investment.  China is to revise the related regulations on the administration of foreign-invested construction and engineering design enterprises to open these sectors to foreign providers of such services.

为促进服务业发展，中方将按照十八届三中全会明确的推进金融、教育、文化、医疗等服务业领域有序开放，放开育幼养老、建筑设计、会计审计、商贸物流、电子商务等服务业领域外资准入限制等要求，包括加快修订《外商投资产业指导目录》，以进一步向外国投资开放。中方将修订外商投资建设工程设计企业管理的有关规定，向此类服务的外国提供商开放这些领域。

The United States commits that the Committee on Foreign Investment in the United States (CFIUS) applies the same rules and standards to each transaction that it reviews, without regard to the investor’s country of origin.  The U.S. Treasury Department website contains links to the CFIUS statute, regulations, executive order, Guidance, and all Annual Reports, which fully, clearly, and publicly articulate the rules of the CFIUS process.  CFIUS, in every case, is focused on whether the particular transaction, given the facts and circumstances unique to that transaction, raises national security concerns, not broader economic or policy concerns.  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.  In its public Guidance and Annual Reports, CFIUS describes, to the extent possible, illustrative examples of the national security concerns presented by transactions it has reviewed, as well as the perceived adverse effects of covered transactions on the national security or critical infrastructure of the United States.  The United States and China commit to continue to discuss and explain concepts in the U.S. foreign investment review process.

美方承诺美国外国投资委员会（CFIUS）对其审查的每一项交易，不论其来源地，使用相同的规则和标准。美国财政部网站上含链接可查看CFIUS的法规条例、行政命令、指南及所有年度报告，全面、清晰、公开地阐明CFIUS程序的规则。CFIUS对每一项交易的审查，不论该交易相关的特定事实或情况如何，关注交易本身是否引起国家安全关切，而不是更广泛的经济或政策关切。当一项交易引起国家安全风险时，CFIUS将尽可能迅速地解决，包括在可能的情况下，通过采取有针对性的缓和措施，而不是禁止交易。CFIUS在其公开的指南和年度报告中，尽最大可能阐述其所审查的交易带来国家安全关切的案例，以及其认为的交易对美国国家安全或关键基础设施带来的负面影响。中美双方承诺继续就美国的外国投资审查程序中的概念进行讨论和解释。

The United States welcomes investment from all countries, including China.  The United States commits to maintain an open investment environment for Chinese investors, including SOEs, as with investors from other countries.  The United States reaffirms its open investment policy and a commitment to treat all investors in a fair and equitable manner under the law.

美国欢迎来自包括中国在内的所有国家的投资。美方承诺，与对待其他国家投资者一样，对包括国有企业在内的中国投资者保持开放的投资环境。美方重申其开放投资政策以及依法以公平和平等方式对待所有投资者的承诺。

The United States reaffirms its commitment to open and non-discriminatory principles identified by the Organization for Economic Cooperation and Development in its June 2008 Declaration on Sovereign Wealth Funds and Recipient Country Policies.  China reaffirms its commitment to follow the generally accepted principles and practices of Sovereign Wealth Funds.

美国重申将遵守经合组织2008年6月公布的《主权财富基金与投资接受国政策宣言》，坚持公开、非歧视原则的承诺。中方重申将遵守主权财富基金普遍接受原则和惯例的承诺。

In any area open to foreign investment, consistent with Chinese law, China is to continue to improve procedures for foreign investment approval and record-filing by unifying domestic and foreign investment laws and regulations.  To make it easier to invest, China is shifting from an approach of approval or verification to one based on record filing.  The United States welcomes China’s further efforts to improve the investment environment and maintain stability, transparency, and predictability of foreign investment policies and procedures.  China has authorized the Shanghai Free Trade Pilot Zone to undertake trial work regarding pre-establishment national treatment plus negative list in order to accumulate replicable and expandable experiences for deepening reform.

对外商投资开放的领域，在符合中国法律法规的前提下，中方将通过统一内外资法律法规不断完善外资管理核准和备案程序。为提高投资便利化程度，中方正在转变外商投资管理方式，从审批或核准转为以备案为基础。美方欢迎中方继续改善外商投资环境，保持外资政策和程序的稳定、透明、可预期。中方授权上海自由贸易试验区开展准入前国民待遇加负面清单的试点工作，为深化改革积累可复制、可推广的经验。

The United States welcomes China’s efforts to improve the efficiency and transparency of its administrative licensing and approval processes and China’s commitment to strictly implement its Administrative Licensing Law.  The United States and China commit to treat applicants for administrative licenses and approvals under the same rules and standards of each side, with regard to the resources available to accept and process applications, and the number of applications permitted at one time from an applicant.  Further, the United States and China commit to strictly implement existing laws and regulations to adequately protect any trade secret or sensitive commercial information provided by the applicant during the administrative licensing or approval process, consistent with laws.

美方欢迎中方提高行政许可和审批的效率与透明度的努力，以及中方严格执行《行政许可法》的承诺。中美双方承诺，对于可以用于受理和处理申请的资源以及单个申请人一次提出的申请数量方面，依据相同的规则和标准对待各方的行政许可和审批申请人。中美双方进一步承诺严格执行现行法律法规，对于申请人在行政许可和审批处理过程中提交的所有商业秘密或敏感商业信息依法给予充分保护。

China welcomes the United States’ commitment to reviewing existing regulations if needed and developing plans, in consultation with the public, to reform or eliminate those regulations that are obsolete, unnecessary, burdensome, or counterproductive, and where feasible, to modify regulations to increase their effectiveness, efficiency, and flexibility.  The United States welcomes China’s actions to provide legal review of regulatory documents with a direct influence on the rights and obligations of citizens, legal persons, or other organizations, and to limit and reduce the number of regulatory documents in effect at both the central and sub-central levels of government.  In support of these actions, the United States and China commit to hold seminars to discuss the types and effect of those documents existing in both countries.

中方欢迎美方承诺必要时审查现行法规，并通过与公众协商制定计划，改革或者取消那些过时、不必要、繁琐或未达到预期效果的法规，且在可行的情况下修订相关法规，提高其有效性、效率和灵活性。美方欢迎中方对直接影响公民、法人或其他组织的权利义务的规范性文件进行合法性审查，并限制和减少中央和省级政府实施的规范性文件的数量。为支持上述行动，双方承诺举行研讨会，就两国现有的规范性文件的种类和效力进行研讨。

The United States and China reaffirm their past bilateral commitments on publication of trade- and economic-related administrative regulations and departmental rules. China confirms that the relevant State Council Legislative Affairs Office documents published on April 27, 2012 are legally binding. 

中美双方重申过去作出的公布有关经济贸易的行政法规和部门规章的双边承诺。中方确认2012年4月27日国务院法制办发布的有关文件具有法律约束力。

The Legislative Affairs Commission of the Standing Committee of the National People’s Congress of the People’s Republic of China periodically publishes translations into English of The Laws of the People’s Republic of China.  The Legislative Affairs Office of the State Council periodically publishes translations into English of The Laws and Regulations of the People's Republic of China Governing Foreign-Related Matters.  China is to require all departments of the State Council to make available in a reasonable time, via a website or other cost-effective means, translations into English of trade-related departmental rules.

中国全国人大常务委员会法工委定期公布《中华人民共和国法律（英文版）》。国务院法制办定期发布《中华人民共和国涉外法律法规汇编（中英文对照）》。中方将要求各国务院部门在合理的时间内，通过网络或其他低成本的方式，对与贸易相关的部门规章提供英文翻译。

The United States and China support efforts to promote infrastructure investment, including by increasing commercial investment in infrastructure through Public-Private Partnerships with domestic and foreign investors, and incorporating best practices and lessons learned from other countries.  The United States and China recognize the potential value of having their respective enterprises play a positive role in infrastructure development in each country and commit to explore opportunities for deepening cooperation in this area.

中美双方支持促进基础设施领域投资的努力，包括通过允许国内外投资者参与政府与社会资本合作模式（PPP），增加基础设施领域的商业投资，并吸收其他国家的最佳做法和经验教训。中美双方认识到各自企业在两国基础设施领域发挥积极作用的潜在价值，并承诺共同探讨加深在该领域合作的机会。

The United States and Chinese civil aviation authorities commit to enhance communication and cooperation, to undertake the Federal Aviation Administration’s shadow evaluation of the Civil Aviation Administration of China’s airworthiness certification capability of transport category airplanes that is based on the certification of the ARJ21 airplane, and work toward the reciprocal recognition of airworthiness certification systems between the United States and China.

两国民航当局承诺加强交流与合作，开展以中方ARJ21飞机适航审定为载体的美国联邦航空局评估中国民用航空局运输类飞机适航审定能力的“影子审查”工作，努力达成中美之间适航系统的互认。