【作者】 江凌；

【导师】 赖景生；

【作者基本信息】 西南大学 ， 农业经济管理， 2012， 博士

【摘要】 上世纪90年代以来,在关税和配额、反补贴、反倾销等传统非关税壁垒措施受到了WTO严格限制的情况下,以保护人类和动植物健康及环境资源为名的技术性贸易壁垒因其具有的针对性强、隐蔽性好、运用灵活等特性正逐步取代关税和传统非关税壁垒,越来越成为各国特别是发达国家进行贸易保护的主要政策工具和手段,对国际贸易产生着深远的影响。而在保护主义盛行的农产品国际贸易领域,由技术性贸易壁垒而引发的贸易纠纷已成为一个新的焦点,并对我国农产品出口产生着重要影响。1、本论文所遵循的是理论分析—实证分析—对策研究的基本逻辑思路：在大量参阅国内外相关文献的基础上,运用定性对比分析、‘理论模型分析、实证模型分析等研究方法,深入阐述技术性贸易壁垒的“双刃性”,对技术性贸易壁垒形成的技术与政治经济原因及其对出口国在贸易流量、社会福利及产业发展方面的影响进行了分析；对主要发达国家的农产品技术性贸易壁垒体系及技术性贸易壁垒的WTO-TBT/SPS国际制度框架①进行了介绍、分析；对技术性贸易壁垒影响我国农产品出口的现状进行了实证描述与定量测度；在对我国农产品出口受制于技术性贸易壁垒的深层次原因进行较为全面解析的基础上,结合我国国情提出了应对策略。2、论文的主要研究结论：1)技术性贸易壁垒具有双重性,在合理限度内,对达不到技术要求的商品进行限制,既有利于保护人类和动植物健康及环境资源,也有利于贸易正常进行；但政府出于保护本国产业或市场的目的,借技术性贸易壁垒进行贸易限制,则对国际贸易造成了扭曲,不仅对出口方造成负面影响,也有损于本国福利水平。而现实中,技术性贸易壁垒的基本属性主要表现为贸易保护的重要政策工具和手段。2)技术性贸易壁垒的形成,是各国经济社会发展及技术水平存在客观差距的现实条件,与政府及市场主体基于克服市场失灵及寻求新的贸易保护手段的主观需求等因素相互作用的共同结果。从政治经济学的视角,技术性贸易壁垒政策可被视作“公共物品”,具有非市场决策的特征；技术性贸易壁垒的形成,不仅是国与国之间博弈的结果,也是各国生产者、进口商、消费者等不同利益集团和政府部门在各自权利资源基础上的利益表达和选择的结果,是各方在利益冲突条件下的政治经济的博弈过程。3)从实践来看,发达国家和发展中国家在农产品技术性贸易壁垒的设置和应对方面呈现出严重的不对等性,美、欧、日等发达国家和地区积极主动构建成熟完善的技术性贸易壁垒体系以保护其国内产业和市场,而发展中国家由于受制于经济发展水平差距、技术水平差距及技术性措施制度差异等因素,往往处于被动应对的境地,承担了更多的消极后果。4)近年来,由于受农产品质量安全水平低下,技术法规标准体系建设滞后,产品质量检测体系及质量安全认证体系不完善,行业协会作用发挥有限,出口企业应对技术性贸易壁垒能力不足及国际环境制约等多种因素影响,我国蔬菜产品、水产品、畜产品等优势农产品的出口不断遭遇国外技术性贸易壁垒的打击,给我国农产品出口及国内农业生产造成了较大负面影响；农产品出口已成为受技术性贸易壁垒限制最严重的行业之一,同时,技术性贸易壁垒也成为我国农产品出口企业所面临的最主要障碍。技术性贸易壁垒对我国农产品出口的影响是重要而复杂的,它既会产生提高市场准入条件、抑制农产品出口数量,提高我国农产品出口成本、削弱产品国际竞争力等短期消极影响；也可能在一定的条件下产生促进农业生产技术的提升,优化生产经营方式,提高我国农产品质量安全水平,促进政府部门不断改进管理方式等长期积极影响。5)通过一个估量蔬菜农药残留限量标准对蔬菜贸易影响的引力模型并采用我国对日本、美国和欧盟1994-2009十六年间蔬菜出口的面板数据以测度技术性贸易壁垒对农产品出口的影响,数据分析的结果表明：日本、美国和欧盟的蔬菜农药残留限量标准对我国蔬菜对这些国家和地区的出口产生了较为明显的负面影响,进口国家和地区的标准数量每上升10%,我国蔬菜出口将降低4.16%；而我国蔬菜农药残留限量标准的提高对我国蔬菜出口具有一定的促进作用；日本肯定列表制度虽然对我国对日蔬菜出口具有显著的短期抑制效应,但其倒逼机制却有利于促进我国蔬菜对美、欧、日市场的整体出口。6)技术性贸易壁垒的应对是一项系统工程,既需要从宏观上提出长期战略对策,也需要有战术上的具体应对措施。充分整合利用政府、行业协会、企业各自的资源与优势,建立三者之间的战略联盟,建立以行业协会为纽带、企业参与、政府推动的应对机制,建立高效的技术性贸易壁垒预警系统是应对国外技术性贸易壁垒的重要战略；合理利用技术性贸易壁垒规制,构建我国的农产品质量安全体系,提升我国农产品国际竞争力能从根本上提高我国农产品应对技术性贸易壁垒的能力。3、论文的创新之处在于：1)论文从贸易保护的政治经济学的角度来阐释了技术性贸易壁垒的形成动因。对在完全静态信息条件下和不完全信息条件下的技术性贸易壁垒设置的国家间博弈进行了分析。通过最小质量标准(Minimum Quality Standard缩写为MQS)模型的扩展,分析了国内利益集团对政府技术性贸易壁垒政策选择的影响。2)论文在对量化技术性贸易壁垒影响的方法进行分析比较的基础上,结合论文研究内容,考虑数据的可获得性,选择运用引力模型,构造了一个估量蔬菜农药残留限量标准对蔬菜贸易影响的模型以测度技术性贸易壁垒对农产品出口的影响,采用我国对日本、美国和欧盟1994-2009十六年间蔬菜出口的面板数据进行实证分析；并进一步将日本肯定列表制度作为虚拟变量引入模型,以对该项制度对我国蔬菜出口美国、日本和欧盟市场的整体影响进行分析。更多还原

【Abstract】 Since the1990s, in the case of traditional non-tariff barriers measures, such as tariffs and quotas, countervailing, antidumping, which are strictly limited by WTO, and in the name of protecting the health of humans, animals and plants, and environmental resources, the technical barriers to trade, because of its features, such as being targeted, good hiding and flexibility, has come to replace tariffs and traditional non-tariff barriers, and in countries, especially developed countries, it has increasingly become main trade protection policy tools and means, producing a far-reaching impact on international trade. In the field of international agricultural trade protectionism, trade disputes caused by the technical barriers to trade have become a new focus, and have an important impact on China’s agricultural exports.1. This paper follows the basic logic of ideas:Theoretical analysis-Empirical Analysis-Countermeasures. On the basis of a large number of references to the related literatures domestic and abroad, by use of such research methods as qualitative comparative analysis, theoretical model analysis and empirical model analysis, this paper elaborates the "double-edged" of the technical barriers to trade. It analyzes the technical and political economic reasons for the formation of technical barriers to trade and their influence on exporting countries in trade flows, social welfare and industrial development. This paper also introduces and analyzes the WTO-TBT/SPS international institutional framework1of the technical barriers to trade and the agricultural technical barriers systems of the major developed countries. Finally, this paper makes an empirical description and quantitative measurement of China’s agricultural exports being subject to technical barriers, and on the basis of comprehensive analytical deep-seated reasons of China’s agricultural exports being subject to technical barriers to trade, the paper, combining our national situations, puts forwards some countermeasures.2. This paper’s main conclusions are:1) technical barriers have a dual nature. Within reasonable limits, to limit the goods which cannot meet the technical requirements is beneficial not only to the protection of human, animal and plant health and environmental resources, but also beneficial to normal trade. For the purpose of protecting their industry or market, the governments, by the way of technical barriers to trade, puts restrictions on trade and thus brings distortions on international trade, not only having a negative impact on the export side, but also being detrimental to their well-being level. But in reality, the basic properties of the technical barriers to trade mainly act as important policy tools and instruments of trade protection.2) The formation of technical barriers to trade results from the objective gap between national economic and social development and the technical level, and from the interaction of the governments and market players trying to overcome market failures and seek new means of trade protection. From the perspective of political economy, the policy of technical barriers to trade can be regarded as "public goods", with the characteristic of non-market decision-making. The formation of the technical barriers to trade, is not only the outcome of the game between nations, but also the result of the interest expression and choice of different interest groups and government departments, including different countries’producers, importers and consumers for their respective rights of the resources, and the game process of political and economic game of the parties under the conditions of interest conflicts.3) From a practical point of view, the developed and developing countries show a serious asymmetry in the setting and responding of technical barriers of agricultural products. The United States, Europe, Japan and other developed countries and regions take the initiative to build sophisticated systems of technical barriers to protect their domestic industries and markets, while developing countries, subject to the level of economic development gap, technology gap and system differences of technical measures and other factors, are often in a passive responding situation and assume a more negative consequences.4) In recent years, due to the low level of quality and safety of agricultural products, the lag of technical regulations and standards system, the imperfection of agricultural products quality inspection system and the quality and safety certification system, the limited role of industry associations, the lack of coping capacity of export enterprises, international environmental constraints and other factors, the exports of China’s advantageous agricultural products and the major export markets of agricultural products, in the technical barriers to trade continue to experience strikes from abroad, resulting in a greater negative impact on China’s agricultural exports and domestic agricultural production.5) Through a gravity model to measure the impact of the number of vegetable pesticide residue limits on vegetable trade and the cross-sectional data of China’s vegetable exports in Japan, the United States and the European Union during the16years1994-2009to measure the impact of technical trade barriers to agricultural exports. The analysis of data showed that the standard of vegetable pesticide residues had a more significant negative impact on China’s vegetable exports to these countries and regions such as Japan, the United States and the European Union. The more the number of standard is, the greater its negative impact has. The standard number for every increase of10%in importing countries and regions, China’s vegetable exports will be reduced by4.16%. In China the improvement of vegetables pesticide residues limits has a certain role in promoting China’s vegetable exports.6) Dealing with Technical Barriers to Trade is a systematic project.involving both the macro long-term strategic measures and a tactical coping strategies and specific measures. Fully integrated use of the government, industry associations, businesses of their own resources and advantages, establishing strategic alliances among them, and establishing coping mechanisms with enterprises as a link, industry associations to participate in, and the Government to promote, establishing efficient early warning system of technical barriers to trade are important strategy to deal with foreign technical barriers to trade. Reasonable use of technical barriers to trade regulations, building China’s agricultural product quality safety system, and enhancing the competitiveness of China’s agricultural products can fundamentally improve our agricultural capacity to deal with technical barriers to trade.3. This paper’s possible innovations:1) it illustrates the formation motivation of technical barriers to trade from the perspective of the political economy of trade protection. It analyses the game between the countries setting technical barriers to trade in fully static conditions and under the conditions of incomplete information. By the extension of minimum quality standards (MRQ) model, this paper analyzes the impact of domestic interest groups on the policy options of technical barriers to trade.2) This paper, on the basis of sorting out the literatures on how to quantify the influence of technical barriers to trade, and by use of gravity model, constructs a model to measure the impact of standard number of pesticide residues of vegetables on vegetable trade, to verify the influence of technical trade barriers on agricultural exports. Empirical analysis of China’s vegetable export data in Japan, the United States and the European Union2000-2009is also conducted. Japanese Positive List System as a dummy variable is introduced into the model to analyze the overall impact of the system on China’s vegetable export market in the United States, Japan and the EU.更多还原