【作者】 王慧；

【导师】 党伟；

【作者基本信息】 东北财经大学 ， 国际贸易学， 2011， 硕士

【摘要】 美国“337条款”全称为1930年关税法第337节,并由此得名。此后经过不断的修改与发展,逐渐演变成对外贸易中美国保护国内知识产权强有力武器。在进口贸易中,进口产品如侵犯了法定知识产权或者从事其他不公平贸易行为违反了“337条款”规定,美国国际贸易委员会有权对此进行调查,如果美国国际贸易委员会最终认定存在违反“337条款”情形,则有权颁布禁令,可以达到限制某产品进口到美国市场。从1972年4月4日美国发起第一起337调查开始截至2010年,美国共发起337调查752起,涉案国家(地区)58个。从1990年到2010年,美国共发起495起337调查,占所有337调查的65.8%。自改革开放以来,我国经济迅速发展,与美国之间的贸易也大幅度增长,据中国海关统计,2010年我国和美国双边贸易总额为3853亿美元,同比增长29.2%,其中,中方顺差1813亿美元。与此同时,我国出口到美国的产品技术含量也越来越高,据不完全统计,我国高科技产品向美国的出口量从2009年的3769亿美元增长到2010年的4924亿美元,增长率为30.6%。这对美国国内的企业产生了巨大的压力,中美之间的贸易步履维艰,美国不仅利用反倾销阻止中国向其出口,而且利用“337条款”企图抑制中国对其出口,从而保护本国市场利益。自1986年美国企业发动第一起针对中国的337调查以来,中美之间的知识产权纠纷一直没有停止过。截至2010年底,在美国国际贸易委员会发起的337条款调查中,有135起涉及中国产业。2001-2010年,美国共发起337调查310起,涉及中国企业数量最多,高达111起。今年前6个月,美国发起29起337调查,涉及到我国企业就有10起,占比1/3以上。去年一年,美国对我国企业发起“337条款”调查案件19起,达到同期调查案件的33.9%。然而,由于337条款调查本身复杂的实体规定及程序机制,国内企业遭受该调查时往往不知所措,而高额的诉讼费用也让他们望而却步。同时337条款调查案件中,我国涉案产品涉及面广,品种繁多。据不完全统计,在已经结案的涉及我国企业的337调查案件中,被采取救济措施遭受到禁令的占41%,这些企业不得不放弃美国市场,使得他们利益受到很大影响。因此,中国已成为337调查的第一大受害国,337条款调查已成为继反倾销之后中国产品出口美国的又一主要障碍,将是中美企业较量的新擂台。本文首先充分介绍“337条款”的历史发展轨迹及主要内容。虽然“337条款”中规定的不公平竞争行为包括与知识产权有关的不正当贸易行为和一般性不正当贸易行为,实践中,美国ITC已经“337条款”启动的调查案件,90%以上均涉及了知识产权侵权。笔者将“337条款”与其他救济措施进行了比较分析,凸现了337调查的特殊性,比如其调查程序更直接、便利,在处罚上更严厉,使得美国企业更倾向于启动该调查程序来维护自己的利益。经比较分析“337条款”与GATT和TRIPS协议的关系,“337条款”的合理性不免受到怀疑。最后针对我国面临的337条款调查的现在及其对中美贸易的影响,笔者提出了几点应对策略和建议,希望对减少337条款调查对我国企业带来的负面影响能有帮助。更多还原

【Abstract】 U.S. Section 337 refers to section 337 of the Tariff Act of 1930, from which it got the using name. Having been continuously modified and developed, it has become the powerful weapon on protecting domestic intellectual property in international trade. When the import products infringe the legal intellectual property or engage in other unfair trade transaction, these kinds of import products would not be allowed to sale in American market if the violation of 337 Section was actually existed by the United States International Trade Commission after investigation. From April 4th 1972 when the first case of 337 investigation was initiated by America to 2010,752 cases of Section 337 investigations were launched, with involving 58 regions. From 1990 to 2010, the total cases of Section 337 investigations were 495, which accounts for 65.8% of all cases in the world.Since the adoption of reform and opening-up, with the rapid development of China’ economic, the trade between China and America has increased substantially. According to Chinese customs statistics, the bilateral trade in 2010 worth＄385.3 billion between China and America, against a 29.2% increases in the previous year, and among them, the favorable balance of China was＄181.3 billion. At the same time, the technology of export products to America is increasingly maintained in the higher level. According to incomplete statistics, China’high-tech export products had increased from＄376.9 billion in 2009 to＄492.4 billion in 2010, with growth rate of 30.6%, producing a huge pressure for American domestic enterprises. Therefore, the international trade between China and America is more complicated because America was trying to prevent China from exporting products to them by using both anti-dumping and Section 337 in order to protect domestic market interests. Since the first case of Section 337 investigation toward China launched by American enterprises, the conflict on intellectual property has not stopped. By the end of 2010, in the articles of 337 Section launched by the United States international trade commission, there are 135 cases involving China enterprises. From 2001 to 2010, among 310 cases of 337 Section issued by America, there are 111 cases involving China enterprises. During the previous six months of this year, among the 29 cases of Section 337 investigation, there are 10 cases involving China enterprises, accounting for more than one third of all the cases. Last year, there are 19 cases of 337 Section investigation issued by American enterprises, reaching the 33.9% of the investigation cases in same period.However, due to the complicated entity rules and procedures mechanism of Section 337 investigation, most enterprises in our country tend to at a loss, especially for the high litigation cost. Furthermore, in the cases of Section 337 investigation, a wide range and products are involved. According to the incomplete statistics, among the finished case of Section 337 investigation involving our enterprises, the export enterprises suffering ban for adopting the remedy measure accounted for 41%, which finally had to give up America markets. Therefore, China has become the most serious victim of Section 337 investigation, and it had become another obstacle and new challenge for Chinese export to America after anti-dumping.In this paper, the trace of the historical development of U.S. Section 337 and its main content are firstly introduced. According to Section 337 rules, the unfair competition conducts include the unfair trade conducts about intellectual property and the normal unfair trade conducts. However, among the cases of Section 337 investigation issued by ITC, more than 90% cases are about intellectual property infringement. Therefore, after the competitive analysis between Section 337 and other remedy measures, the specialist of Section 337 investigation can be eventually emphasized, and America tend to use it to protect its own interests for the convenience and rigor of the investigation process. By comparing U.S. Section 337 with GATT and TRIPS agreement, the rationality of the existence of U.S. Section 337 is obviously questioned. Finally, according to the recent situation of Section 337 investigation and the influence on international trade between China and America, some measure and suggestion is raised, hopping to provide the help on minimizing the negative impact on the export enterprises in our country.更多还原