反倾销防务集团-专家在美国反倾销和反补贴诉讼援助

DEFENSE OF AN "NME" ANTIDUMPING INVESTIGATION
对于针对来自非市场经济国家进口的产品反倾销调查的应对措施

An antidumping investigation is unlike any other litigation that most companies will have experienced. The tight deadlines, unusual information requests, and particular data requirements are unique to this kind of proceeding. In addition, these cases involve on-site scrutiny by U.S. government officials with a low tolerance for error or misstatement and present an ever-present possibility of punitive assumptions being made where data is incomplete or insufficiently verifiable.

反倾销案件不同与公司所经历的其它任何案件。截止日期十分紧迫、调查的信息不同寻常，以及需要一些特殊的数据等等原因使得这种诉讼程序十分特别。除此之外，在处理这些案件过程会要求应对美国政府官员在现场的仔细的审查，这些美国官员对于表述中产生错误的宽容度很小，一旦数据不充分或者不能够得到适当的确认，当事人就面临着受到惩罚性反倾销关税的可能。

The defense of an antidumping duty investigation requires substantial effort and substantial expense. It involves investigations by two separate U.S. government agencies. The first is an investigation of sales and prices in the United States and the factors of production for the manufactured product, to establish whether U.S. prices are below the “normal value” -- which is the definition of dumping. This phase of the proceeding is done by the Department of Commerce (DOC). The second is an investigation of whether the imports at issue cause material injury to the U.S. industry. This phase of the investigation is done by the International Trade Commission (ITC).

在应对反倾销调查中，被调查的公司要付出相当的努力和并且要承担相当的费用支出。案件的调查由美国的两个独立的政府机构负责。一个是要调查在美国国内的销售情况，和在美国的销售价格，以及制造产品的“生产要素”的总和，从而得出美国销售价格是否低于“正常价格”的结论，这也就是是否有倾销的定义。这个工作是由美国商务部进行的。另一项工作是要弄清楚案件中所涉及的进口产品对于美国的相关行业是否造成了实质性的损害。这个调查工作由国际贸易委员会完成。

Defending such a complex and unconventional investigation requires the assistance of U.S. legal counsel familiar with the peculiarities of U.S. antidumping law. The foreign respondent must dedicate a considerable amount of managerial time and attention to the multiple data requests that are involved. Depending on need, a case might also involve outside consultants, such as economists, computer specialists, or cost accountants familiar with DOC practice.

应对这样一个复杂并且不符常规的诉讼调查需要由熟悉美国反倾销法实务的律师来参与指导。外国公司的管理层必须要投入相当的时间，并对所要求提供的多种数据即时地提供。根据需要，案件还需要其它方面的专家，比如经济师、电脑专家或者熟悉美国商务部操作的会计师。

The following outline describes the primary tasks that a company and its legal counsel must complete at each stage of the antidumping investigation.

以下的大纲列出了公司和它的法律顾问在各个反倾销阶段应该完成的主要任务：

A. DOC Dumping Investigation
美国商务部的倾销幅度调查

The U.S. Department of Commerce decides whether a company is dumping, and if so, imposes the dumping rate that must be deposited for future imports. DOC carries out a two-phase investigation into the pricing and sales practices of the company in the United States and into the factors of production in the home market. The DOC issues questionnaires which require submission of an extensive computer listing of each individual sale to the United States the company made during a six months investigation period, together with detailed supporting documentation and explanations. The company must also report the factors of production for the product, that is, list the quantity of each input that the company uses to produce the exported product. Such inputs include energy, raw materials, labor hours, etc. The DOC then values those inputs (using surrogate producers in other countries) to establish the normal value against which the U.S. selling prices are compared. If the U.S. selling price for a particular product is below the normal value, the company is considered to be dumping.

美国商务部会对一个公司是否倾销做出判断，如果有倾销的情况存在，那么将会对其未来进口的货物强制征收倾销税率。美国商务部的调查会分为两步，一是对该产品在美国的销售价格和销售方式的调查，另一步是对在制造该产品在生产国所需要的各种生产要素的调查。美国商务部会发出问卷，要求公司以电子文件的形式列出在为期六个月内的调查期内所发生的每一笔业务情况，并且需要提供详细的相关配套文件和说明。公司必须汇总统计生产该产品所需的“生产要素”的情况。生产要素通常会包括能源、原材料、劳动时间等等。然后美国商务部会对这些生产要素的量，以替代国的价格作为标准，进行评估从而计算出“正常价值”，以便于和在美国销售的价格进行对比。如果美国销售价格低于正常价值，那么公司就会被裁定为从事了倾销行为。

Not every manufacturer or exporter in a country need be selected for the investigation, however. Usually the DOC tries to cover 40 to 50 percent of total U.S. sales volume from each country, and if it can do so with just a few large exporters, it will issue questionnaires only to those companies, those companies will receive their own individual rate. All other exporters will receive the　weighted average rate of those companies who are investigated. However, to qualify for the average rate, a non-investigated exporter must submit to DOC a separate rates application at the very beginning of the proceeding (i.e., within 60 days of the initiation of the case).

可是并非同一个国家中所有的制造商或者出口商都会被要求参与调查。通常美国商务部会选择每一个国家中那些对美国的出口份额占该国对美国总体销售量的40%到50%的公司来进行调查。如果在几个大型进口商的累积出口份额达到这个要求的话，那么商务部就会仅仅只向这些公司进行全面的调查而对每个公司给一个个别税率。其它的出口商将会被征收那些受调查的公司的加权平均税率。但是，为了证明自己有资格获得平均税率，未参与全面调查的出口商必须在这个诉讼阶段刚刚开始的时候（案件开始的60天内）向商务部提交一份申请得到“单独税率”的申请书。

On the basis of the submitted information (and taking into account any objections by the petitioning U.S. industry), the DOC will establish a preliminary dumping rate, which is the percentage by which U.S. prices are found to be lower than the normal value. From that time forward, all imports of the product under investigation are subject to an antidumping duty deposit in the amount of the preliminary dumping rate.

基于其所提交的信息（并考虑到美国相关行业的协会的反对意见），美国商务部会确定一个初步的倾销税率，即是美国销售价格低于正常价值的百分比。自那之后，对于每一批调查中所涉及到的进口货物都应该按那个初步的倾销税率支付税款。

After the company has submitted its questionnaire response, the DOC then conducts an extensive on-site verification of the data submitted, normally taking 5 to 10 days. Each item of information submitted must be verified from the company's records, and the DOC must assure itself as well that the company's accounting system, its purchasing and selling practices, and its cost accounting all meet the DOC's standards. Failure to satisfy the DOC in this verification can result in punitive assumptions being imposed, which can significantly increase the dumping margin. After the verification the DOC permits the parties to submit legal argumentation in the form of briefs and a hearing. Thereafter the DOC publishes its final dumping margin, which is substituted for the preliminary margin.

在公司完成了回答有关问卷之后，商务部会对提交的数据进行实地审核。通常为5到10天。所提交的信息都应当可以根据公司的档案记录来得以证实，美国商务部必须确保公司的会计体制、购买和销售的操作以及支出帐目都符合美国商务部的标准。未能符合商务部审核要求的公司将可能导致受到惩罚性的税率，这将会显著地提高公司的倾销幅度。在美国商务部审核之后，会允许当事人提交律师法律意见书以及参加听证会。之后商务部会公布它最终的倾销幅度，这个会替代初步的倾销幅度。

If a company’s final margin is less than 2 percent, the case is terminated with respect to that company. Otherwise all future entries are subject to a duty deposit at the rate found. Each year thereafter, an annual review may be requested in which entries in the past year are examined in order to establish the actual dumping margin. The deposit rate is adjusted to reflect the new rate, and excess deposits may be refunded.

如果某公司的最终倾销幅度低于2%，那么对该公司而言，这个案件的调查就会因此而终止。否则对于在此之后的进口都应该根据确定的反倾销税率交纳必要的反倾销税。在此之后的每一年，每个公司都可以会为了确定实际的倾销幅度而要求进行年度复审。反倾销税率会作溯及既往的相应的调整，多收的反倾销的税金将会被退回。

In responding to the DOC dumping investigation, the central tasks to be performed by a foreign company's legal counsel include the following:
为了对商务部的倾销调查做出回应，外国公司法律顾问的主要任务是：

-            Internally review the company's selling and pricing practices to identify potentially important issues regarding product characteristics, selling practices, market differences, movement and sales expenses, and pricing;
对公司的销售和价格实践操作进行内部审查，以确定一些有关产品具体特性的问题，销售实践、市场差异、运作、销售成本和价格。

-            Provide the DOC with information and proposals regarding product matching and other issues relevant to the case;
向美国商务部提供有关对应产品以及其它和案件有关的相关信息。

-            Prepare the Separate Rates application and provide other preliminary information to the DOC regarding the company's quantity and value of sales;
准备单独税率的申请，并向商务部提供其它有关公司销售数量和价值的初步信息。

-             If the company is selected as a mandatory respondent, prepare a detailed work plan to guide the company in collecting, checking, and formatting the data required in the investigation;
如果公司被选中必须接受调查，我们会为公司准备一份详细的工作计划，用以指导公司根据调查要求而做的收集、核对以及格式化统计数据的工作。

-            Establish and maintain open dialogue with the DOC investigators in order to ensure their understanding of the data and encourage favorable determination of discretionary issues;
和美国商务部的调查官员建立并保持连续的对话，用以确保他们能够理解这些数据并且在一些调查官员具有自由裁量权的问题上最终作出有利于公司的决定。

-            Prepare for and respond to the DOC's initial dumping questionnaire. This will include a detailed narrative response providing information on the company's sales to the United States and the factors of production in China;
准备回答商务部的最初倾销调查问卷。这将包括一个详细的叙述性回答，以说明公司向美国出口的销售的情况和在中国的生产要素的情况。

-            Provide information regarding the choice of surrogate values to use in valuing the factors of production;
提供有关在评估生产要素时候所需要的替代国相应的价值的信息。

-            Prepare computer files which provide details of the company's sales, selling expenses, production inputs, and other relevant data for the markets being investigated;
准备有关公司销售量、销售成本、生产量以及其它有关被调查市场数据的电子文档。

-            Perform computer analysis of the data before submission to the DOC to ensure it is accurate and to determine how best to present various issues;
在将数据提交给商务部之前对数据进行电脑分析，以确保数据的精确，并判断如何才能以最佳方式提交各种数据。

-            Establish an estimate of the potential duty that can be anticipated under various scenarios, to identify significant issues in the case;
根据情况对于可能征收的反倾销税做出预测，以确定在这个案件中最为重要的法律问题是什么。

-             Respond to one or more supplemental questionnaires requesting additional data and clarification;
补充回答问卷中所要求的某一个或多个问题中的数据和说明。

-             Prepare for on-site verification at the company's home office as well as at its U.S. importer or subsidiary (if any), including thorough review and internal audit to ensure that all submitted information is verifiable, organized, and presented in the required manner;
为在公司国内的和其美国进口商或分支机构（如果有的话）现场核实做出准备，包括完整的审核和内部审计，从而确保所有的信息都是具有可以独立予以证实的、精心组织的并且以合适的形式提交的。

-            Assist with verification, including responses to data and evidence requests and provision of supplemental information;
协助公司应对现场审核，包括对于数据的回答，所需要的证据以及补充信息。

-            Review the DOC's verification report for indications of issues requiring legal argumentation;
审阅商务部的现场审核报告，以找到哪些事项需要从法律角度上进一步澄清。

-            Review preliminary determination as well as computer program used by the DOC to identify legal, factual, or programming errors;
对于初步的裁定进行审核，以及商务部所使用的电脑软件程序进行审核，以查明其中是否有法律上的、事实上的或者电脑程序操作上的错误。

-            If dumping margins are found in preliminary determination, assist in complying with customs regulations;
如果倾销幅度在最初裁定中被确定，将协助其完成相应的海关事务。

-            Prepare and submit legal briefs and participate in oral hearing advocating the legal position of the company;
准备并提交律师法律意见书，代表公司的利益参加口头听证会。

-                      If final antidumping margins are found, assist in strategic analysis of future marketing and pricing decisions.
如果最终反倾销幅度被确定，协助公司做出对于未来市场的分析和定价策略。

The DOC's investigation normally takes 7-8 months (if there are no postponements).
商务部调查大约会持续7到8个月（如果没有延期的话）

B.                 ITC Investigation
                   美国国际贸易委员会的调查

The ITC’s task is to establish the existence of injury to the U.S. industry caused by the imports of the product into the United States. The essential issues in the ITC's investigation are whether the U.S. industry is materially injured (or threatened with material injury) and whether the allegedly dumped imports are a cause of that injury. The ITC performs its investigation in two stages: a preliminary stage, which begins immediately after a case is initiated, and a final stage, which takes place after the DOC has done its investigation.

美国国际贸易委员会的任务是确定进口倾销产品是否对美国相关的行业造成了损害。美国国际贸易委员会调查中最重要的事项是找出美国相关行业是否受到了实质性的损害（或者受到了实质性的损害的威胁），以及所进口商品与美国相关行业的损害之间是否有因果关系。国际贸易委员会将其调查分为两个阶段：初审阶段，在案件开始之后就立刻展开，和最终阶段，发生在商务部完成其调查之后。

Participation in the ITC’s investigation is optional; often the foreign respondent combines their resources to engage a single representative or to present a unified position. Smaller companies can sometimes rely on the efforts of larger companies to carry the day, since each country’s impact is considered together. If the ITC finds that the imports complained of do not cause injury to the U.S. industry, the entire investigation is dismissed.

公司对于是否参与国际贸易委员会的调查是可以进行选择的。通常外国公司会将它们的资源整合由一个统一的代表来进行，或者以一个统一的声音来进行。由于所有出口该产品的企业在这个问题的立场上是一致的，所以较小的公司有时候仅仅需要依靠大公司的努力就可以达到目的。如果国际贸易委员会发现进口并没有对美国相关的行业造成损害，那么整个调查就会被终止。

The central tasks to be performed by a foreign company's legal counsel in this phase of the proceeding include the following:
在应对国际贸易委员会的倾销调查的过程中，公司的法律顾问的主要任务是：

-            Collect data on the U.S. market for the subject product and the levels of domestic production, consumption, and imports;
就美国市场，收集相关产品以及国内产品生产、消费和进口的水平。

-            Develop theories of the case to refute petitioners' allegations that the U.S. industry is materially injured and that imports are a cause of injury, including consultations with the foreign manufacturer, its U.S. importers, and its customers;
            针对美国的相关行业的受到实质性损害以及进口产品导致了这种损害的诉讼的理论在法律和事实上进行辩驳，包括和外国制造商，及其美国进口商和客户进行磋商。

-            Help shape the kinds of questions the ITC will ask of U.S. importers and producers in consultation with ITC staff in order to ensure that the questionnaire will elicit information that will support a favorable view of the evidence;
为了确保问卷能够索要对有利于自己的证据，通过与国际贸易委员的沟通来设计问卷中会有那些问题。

-            Assist the foreign producer and its importers to respond to ITC questionnaires;
协助外国生产商和其进口商回答美国国际贸易委员会的问卷。

-            Evaluate data submitted by U.S. producers and compare their responses with foreign producers' data to further develop and support theories of case;
对于美国生产商提交的数据进行评估，并对他们和外国生产商所提交的数据进行比较，以充实对案件有利的事实和理论依据。

-            Prepare presentation for ITC hearings, including coordinating with other respondents' counsel, working with economists, and preparing witnesses to support theories; participate in the ITC hearings;
为美国国际贸易委员会的听证会进行准备，包括和其它被告的律师进行合作，与经济学家合作，并为有利观点准备证人。参与国际贸易委员会的听证会。

-            Draft and file post-hearing briefs to the ITC, which may require preparation of affidavits of company officials, importers, and/or customers.
在听证会结束后，起草并向美国国际贸易委员会递交律师法律意见书，其中可能会要求提供公司职员、进口商和客户的书面的宣誓证词。