美国商务部报告中国知识产权侵犯、自主创新对美国经济

UnitedStatesInternationalTradeCommissionInvestigationNo.332-514USITCPublication4199(amended)November2010China:IntellectualPropertyInfringement,IndigenousInnovationPolicies,andFrameworksforMeasuringtheEffectsontheU.S.EconomyAddressallcommunicationstoSecretarytotheCommissionUnitedStatesInternationalTradeCommissionWashington,DC20436U.S.InternationalTradeCommissionCOMMISSIONERSDeannaTannerOkun,ChairmanIrvingA.Williamson,ViceChairmanCharlotteR.LaneDanielR.PearsonSharaL.AranoffDeanA.PinkertKarenLaneyActingDirectorofOperationsRobertCarrActingDirector,OfficeofIndustriesRobertB.KoopmanDirectorofEconomicsU.S.InternationalTradeCommissionWashington,DC20436(amended)China:IntellectualPropertyInfringement,IndigenousInnovationPolicies,andFrameworksforMeasuringtheEffectsontheU.S.EconomyInvestigationNo.332[e-mail]@[e-mail]eeBerry,LauraBloodgood,JefferyClark,ShannonGaffney,CathyJabara,JohnKitzmiller,ElizabethNesbitt,GeorgeSerletis,DonaldSussman,andIsaacWohlOfficeofEconomicsRobertFeinberg,MichaelFerrantino,KyleJohnson,andTaniFukuiOfficeoftheGeneralCounselSidneyRosenzweigSpecialAssistancefromJosephCooter,AlisonGosney,DongHong,KyleHutzler,LaraLoewenstein,KathrynLundquist,andDonnetteRimmerPrimaryReviewersLynnLevineandBrianAllenAdministrativeSupportLynetteGabourel,PhyllisBoone,NadineSiler,andSharonGreenfieldUndertheDirectionofRobertCarr,ChiefNaturalResourcesandMetalsDivisioniABSTRACTIntellectualpropertyrights(IPR)infringementinChinareducesmarketopportunitiesandunderminestheprofitabilityofU.S.firmswhensalesofproductsandtechnologiesareundercutbycompetitionfromillegal,lower-costimitations.Intellectualproperty(IP)isoftenthemostvaluableassetthatacompanyholds,butmanycompanies,particularlysmallerones,lacktheresourcesandexpertisenecessarytoprotecttheirIPinChina.“Indigenousinnovation”policies,whichpromotethedevelopment,commercialization,andpurchaseofChineseproductsandtechnologies,mayalsobedisadvantagingU.S.andotherforeignfirmsandcreatingnewbarrierstoforeigndirectinvestment(FDI)andexportstoChina.China’sWorldTradeOrganization(WTO)accessionin2001markedamilestoneinthecountry’sintegrationintheglobaleconomy.Chinahasdevelopedintooneoftheworld’smostimportantgrowthmarketsandisnowthesecond-largestU.S.tradingpartner(afterCanada).AsoneimportantaspectofWTOaccession,ChinacommittedtocomplyingwiththerequirementsoftheWTOTrade-RelatedAspectsofIntellectualPropertyRights(TRIPS)Agreement.However,IPRinfringementinChina—includingviolationsofcopyrights,trademarks,patents,andtradesecrets—remainsacentralareaofU.S.concerninthebilateraltraderelationship.ThisisthefirstoftworeportsrequestedbytheU.S.SenateCommitteeonFinance(Committee)ontheeffectsofIPRinfringementandindigenousinnovationpoliciesinChinaonU.S.jobsandtheU.S.economy.Inthisreport,theU.S.InternationalTradeCommission(CommissionorUSITC)wasrequestedtodescribetheprincipaltypesofreportedIPRinfringementinChina,describeChineseindigenousinnovationpolicies,andoutlineananalyticframeworkfordeterminingtheeffectsofbothIPRinfringementandindigenousinnovationpoliciesontheU.S.economy.Editor’snote:Informationreceivedafterinitialpublicationhasresultedinacorrectiontopage2-13ofthereport.iiiiiCONTENTSPageAbstract...................................................................................................................................iAcronyms...............................................................................................................................ixExecutiveSummary.......................................................................................................xiiiChapter1Introduction.............................................................................................1-1Scopeandapproach.............................................................................................................1-2Organization........................................................................................................................1-3Keyconcepts:IPRandindigenousinnovationinChina.....................................................1-4Copyrights........................................................................................................................1-4Trademarks......................................................................................................................1-5Patents.............................................................................................................................1-6Tradesecrets....................................................................................................................1-7Indigenousinnovation.....................................................................................................1-7IPRenforcementinChina...................................................................................................1-8Administ