导　　师： 杨仕辉

学科专业： 020206

授予学位： 博士

作　　者： ;

机构地区： 暨南大学

摘　　要： 随着WTO多轮多边谈判，关税已被大幅降低，配额和自愿出口限制等传统非关税壁垒也受到极大的限制。即便如此，贸易保护主义却从未停止，而是采用更为隐蔽的形式——技术性贸易壁垒。1999年，技术法规涉及37/%关税目录产品，到了2010年，这一覆盖比例超过50/%。技术法规可以划分为两大类：SPS措施和TBT措施。前者包括为了保护人类、动物、植物的生命和健康所采用的法规和限制，后者包括所有技术法规、标准和合格评定。除了宗旨和法律框架外，SPS措施和TBT措施还对国际贸易产生了重大的影响。从发生概率来说，TBT措施是目前使用最多的法规措施，平均每个国家对其30/%的产品和贸易实施TBT、约15/%的贸易实施SPS措施。技术性贸易壁垒已成为我国出口的主要障碍之一，对我国的经济发展也产生了重大影响。 技术性贸易壁垒兴起的一大原因就是关税的减让。而对于进口国政府来说，由于受到本国企业的影响，趋向于用技术性贸易壁垒替代关税，以达到保护本国产业的目的。本文运用经济博弈模型说明在假设存在知情消费者和各种贸易政策的不同透明度的情况下来说明技术性贸易壁垒如何替代关税成为最为重要的贸易保护措施。网络的外部性和技术性贸易壁垒的关系和经济分析也是重要的研究领域，本文也在此方面进行了有益的探索。 技术性贸易壁垒的经济效应和贸易效应分析一大难题在于对其进行定量的分析。在使用WTO//TBT委员会的TBT STC数据库并在对该数据库整理的基础上，本文搜集了欧盟、美国和日本的主要的技术性措施及涉及的产品种类加以整理，采用系统GMM对动态面板数据进行回归，分析了技术性标准及法规对中国出口贸易的破坏作用和转移作用。结果显示，尽管技术性措施具有双重属性——基于解决负的外部性问题和基于贸易保护的目的，但是在短期内仍然会产生贸易破坏效应和贸易转移效应，不论其初始目的如何，而关税的贸易效应却并不显著。面对这一情况，中国作为发展中国家应该通过建立对国外技术性贸易壁垒的动态监测体系、引进国外先进技术并最终提升本国技术水平等方式跨越技术性贸易壁垒。 Tariffs had been greatly reduced after rounds of WTO multilateral negotiations.The traditional non-tariff measures had been restricted to a large extent, such asquotas and VERs. However, trade protectionism never stops, but in a disguised form,technical barrier to trade. While technical regulations were imposed on almost37percent of tariff lines in1999, the equivalent figure for2010is more than50per cent.The bulk of technical regulations are grouped in two major categories, namelysanitary or phytosanitary /(SPS/) measures and technical barriers to trade /(TBTs/). Theformer includes regulations and restrictions to protect human, animal or plant life orhealth, while the latter addresses all other technical regulations, standards andprocedures. SPS measures and TBT measures have great impact on internationaltrade, in addition to objectives and legal framework. In terms of incidence, TBTs areby far the most used regulatory measures, with the average country imposing themon about30per cent of products and trade. Countries also impose SPS measures onan average of approximately15per cent of trade. TBT had become one of mainobstacles to China’s export trade and had great influences on China’s economicdevelopment. The main reason for the popularity of TBT is the reduction of tariff. Forimporting country, the government, being pressed by the domestic enterprises, tendsto substitute TBT for tariff to protect the national industries. The thesis applies aneconomic game theory to explain how TBT takes the place of tariff to protect thedomestic industry with the assumption that there exist informed consumers and thetrade policies’ transparency varies. The externality and its interaction with TBT is animportant research field. The thesis did some exploration on this. The main obstacle of analyzing the economic effect and trade effect of TBT isthe quantification of TBT. The TBT STC data base is used in this paper, on the basisof which we collect and process the product code concerned with the EU’, USA andJapan’s technical measures. We analyze the dynamic panel data by using system GMM to verify the trade destroying effect and trade diversion effect. The resultshows that although technical measures have dual targets, to solve the negativeexternalities and to protect the domestic trade respectively, there will still be tradedestroying effect and diversion effect in the short run no matter what their originaltarget is. In order to cross the technical barrier, China, as a developing country,should build up a dynamic monitoring system, import advanced technologies fromabroad and improve our technologies in the end.

关 键 词： 技术性贸易壁垒 实施动植物卫生检疫措施的协议 贸易破坏效应 贸易转移效应

分 类 号： [F740]

领　　域： [经济管理] [经济管理]