【作者】 王晓红；

【导师】 毕克新；

【作者基本信息】 哈尔滨理工大学 ， 管理科学与工程， 2008， 博士

【摘要】 随着贸易自由化和全球一体化的不断深入,在国际贸易领域,配额限制和高关税已经成为历史,技术性贸易壁垒(Technical Barriers to Trade,下文均简称为TBT)正成为发达国家保护本国产品的新手段。作为一种新的贸易保护手段,TBT的出现对包括我国在内的发展中国家产生了深远的影响,作为我国出口重要力量的中小企业受到的冲击尤为严重。发达国家的技术标准繁多,技术要求也普遍高于发展中国家,TBT在客观上反映了发达国家与发展中国家之间的质量差距;同时,TBT也体现了消费者对产品安全方面的更高要求,其对环保的重视程度也越来越高。我国中小企业要想在日益激烈的国际市场竞争中立于不败之地,进行技术创新是必不可少的重要环节。因此,针对TBT对我国中小企业技术创新的影响和应对策略进行研究具有重要的理论价值和现实意义。本文首先对TBT、中小企业技术创新以及TBT影响中小企业技术创新的已有文献进行了总结和评述,系统分析了已有研究中存在的问题以及未来发展的趋势。并对论文研究的理论基础进行阐述,同时对TBT的各种表现形式以及社会责任贸易壁垒的定义、分类、性质和作用进行了深入分析,为后文的研究奠定了基础。从贸易和质量管制两方面由表及里地揭示TBT影响中小企业技术创新的机理。贸易方面揭示了TBT影响中小企业技术创新产品的数量、价格以及复合抑制机理;质量管制方面揭示了TBT本质上属于进口国政府实施的产品质量管制措施,通过博弈分析说明了技术创新在应对TBT的重要作用,我国中小企业在通过国外先进技术的扩散不断吸收并提高自己质量水平的同时,还要开展技术创新活动来降低成本,从而达到跨越TBT的目的。并对TBT影响中小企业技术创新的效应进行阐述。进而在分别设计TBT水平与中小企业技术创新能力评价指标体系的基础上,采用灰色关联分析方法和信息熵法,测算TBT与我国中小企业技术创新的关联度并进行排序。接着建立了TBT影响中小企业技术创新的结构模型,对结构模型做了详细解析,分别描述了TBT对中小企业技术创新外部和内部的影响。TBT对中小企业技术创新活动的贸易环境和技术环境等方面产生影响,从而改变了中小企业技术创新的资源配置,并通过这种改变影响了技术创新的速度、方向和规模。在分析了中小企业技术创新应对TBT的模式以及优劣势的基础上,有针对性地构建了应对TBT的中小企业技术创新支持体系,使之为中小企业技术创新提供良好的服务平台。运用欧盟CR法案对温州打火机行业技术创新影响的案例,对论文前面的理论研究部分进行实证研究。着重分析了欧盟CR法案对温州打火机行业技术创新的影响机理以及对内外部环境的影响等,并研究了温州打火机行业技术创新采取的应对措施。最后,从中小企业、行业协会、政府三个层面提出了提高中小企业技术创新能力应对TBT的策略:中小企业应实施标准化战略,并通过引进先进的检测标准和检测设备进行规范的监督和检验,从而真正实现在技术层面上提高跨越国外TBT的能力;行业协会在中小企业与国内外相关组织之间以及在政府和中小企业之间建立起应对TBT的桥梁和纽带,构建服务市场;政府着重为中小企业技术创新应对TBT提供政策环境的支持。本文对TBT影响中小企业技术创新的问题做了比较全面、深入的研究,为正确认识我国中小企业出口贸易发展过程中出现的问题和中小企业技术创新的发展和管理提供有效的理论依据,同时也为相关部门科学决策和制定政策法规提供重要的参考。更多还原

【Abstract】 With trade liberalization and global integration, quota restriction and high tariff have become history in the field of international trade. Technical Barriers to Trade (TBT for short) is becoming a new way of developed countries to protect their new products. As a new mean of trade protection, the emergence of TBT has a profound impact on developing countries, including China. This impact on SMEs (small and medium enterprises) as an important force of Chinese exports is particularly serious. The technical standards of many developed countries are various, and technical requirements are generally higher than that of developing countries. TBT objectively reflects the technology gap between the developed countries and developing countries. At the same time, TBT also reflects the consumer’s higher demand on product safety and quality, the recognition degree to environmental protection is also getting higher and higher. If Chinese SMEs want to stand in an invincible position behind the increasingly fierce competition of international market, technological innovation is absolutely necessary. From this point, the study on TBT’s influence on technological innovation of SMEs and the coping strategy is important on theoretical value and practical significance.Firstly, this paper summarizes the present results of TBT, technological innovation of SMEs, and TBT’s impact on technological innovation of SMEs, and also systematically analyzes existing problems and future development trends. It expounds the theoretical basis, and analyses social responsibilities and the various manifestations of TBT, as well as definition, classification, character, effect of barriers to trade, which builds the foundation for later study.From the perspective of trade and quality control, it investigates TBT’s influence mechanism on technological innovation of SMEs. For one thing, from the aspect of trade, it reveals the impact of TBT on technological innovation of SMEs in the number of products, as well as the price and composite inhibitory mechanism. For the other thing, from the aspect of quality control, it reveals that TBT essentially belongs to the products control methods of importing country. Through game analysis, it shows the importance of technological innovation in response to TBT. Chinese SMEs not only need to learn advanced foreign technology to acquire and improve their own quality standards, but also need to carry on technological innovation to reduce costs, in order to leap over TBT. It also reflects the impact of TBT on the effects of technological innovation of SMEs. Based on designing evaluation index system of TBT levels and technological innovation capacity of SMEs respectively, it adopts grey correlation analysis methods and information entropy, measuring the correlation between TBT and technical innovation, and ranking them. And then, it puts forward the model of TBT’s influence on technological innovation of SMEs, which is explained from external and internal environment of technological innovation of SMEs. TBT has effect on the trade and technology environment of technological innovation of SMEs, so it changes the resource allocation of technological innovation of SMEs, which also changes the speed, direction and scale of technological innovation. On the basis of analyzing advantages and disadvantages in the technological innovation of SMEs against TBT, it constructs the supporting system of technological innovation of SMEs to cope with TBT, so it provides a good service platform for technological innovation of SMEs.Using the case of CR’s influence on WenZhou lighter, it proves all the thereorical study above. Analyzing the influence of CR Bill on the internal and external environment and the influence mechanism of technological innovation of WenZhou lighter, it studies the coping measures used by WenZhou lighter to deal with TBT.Finnaly, it puts forward the strategy from enterprises, trade associations and the government to improve technological innovation capacity of SMEs. SMEs should implement standardization strategy and strengthen supervision and inspection by introducing advanced testing standards and testing equipment, so as to truly improve the technical capacity to surpass foreign TBT. Trade associations should establish the bridge and link between SMEs and related organizations at home and abroad, also between the government and SMEs, and build service market. The government should mainly provide the environment of policy supporting for technological innovation of SMEs to deal with TBT.This article has a comprehensive and thorough study on TBT’s influence on technological innovation of SMEs, which provides effective theoretical basis for understanding of trade development of Chinese SMEs and the management of technological innovation of SMEs. As a result, it provides an important reference for the relevant decision-making and formulation of policies and regulations.更多还原