【作者】 张斌；

【导师】 江奔东；

【作者基本信息】 山东大学 ， 专门史， 2010， 博士

【摘要】 近几年,我国文化产业发展得很快,日益得到人们的重视,我国的对外贸易成就斐然,已成为世界贸易大国,连年的顺差使我们早已成为外汇储备最多的国家,未来的局势仍然很乐观。但是,我国在文化产品和文化服务的贸易上仍然需要继续努力,我们的文化产品/服务的进口与出口严重不均衡,虽然已成为世界文化出口大国,但出口主要集中在文化产品上,而不是产业形态更为高级的文化服务上,并且,我们的核心文化产品出口乏力,表明其外贸竞争力不高。出于保护国内弱势文化产业的目的,也考虑到中外意识形态的差异,我们构筑了较高的文化贸易壁垒,尤其是行政性壁垒。但不断发生的文化贸易纠纷及其最终裁决表明：贸易壁垒越来越遭到各方面的挑战,其实际效果需要我们认真审视,本文就是研究文化贸易壁垒效果的尝试。本文的写作思路是：文化贸易的理论解释→历史考察→现状描述→贸易壁垒→壁垒低效性的理论探讨→壁垒低效性的国外案例分析→我国文化贸易壁垒的效果。在写作过程中,作者力求理论与实践相结合,定性与定量相结合,运用比较研究、案例分析、传播学、国际经济法等方法。目前,世界文化产业的格局不均衡,主要分布在欧美发达国家/地区,如美国、英国、新西兰、中国台湾省等等。在文化产业的价值链中,文化贸易处于“再生产、服务供应及分销”环节,最终要受文化产业的发展水平制约。现阶段的国际文化产业格局决定了国际文化贸易格局的出二重性：一方面,发达国家的文化产品/文化服务大量流入发展中国家,双方处于不对等的地位,始于20世纪末的欧美文化企业兼并浪潮造就了一批文化企业巨头,进一步加剧了发达国家与发展中国家之间的文化贸易鸿沟；另一方面,主要的世界文化贸易发生在发达国家之间。对于发达国家与发展中国家的文化贸易不均衡,我们可用比较优势理论解释之。发达国家之间的文化贸易则表现为一种典型的产业内贸易,彼此既进口又出口相同或类似的文化产品/服务,造成这种状况的原因包括经济发展水平、一体化程度、信息传播技术的推动、文化产品的差异化程度等因素。本文根据联合国贸发会议的统计资料,以格鲁贝尔-劳埃德公式,计算出主要发达国家的产业内文化贸易指数为0.725.国际文化贸易格局的失衡导致了两种截然相反的贸易倾向：倡导自由贸易与主张文化保护,设置各种文化贸易壁垒是保护的主要方式。贸易壁垒的种类非常多,但最适用于文化贸易的主要有关税、配额、补贴。这些措施都会带来经济福利的净损失,其中补贴中的进口替代补贴产生的福利损失比较小。在国际文化贸易中,配额常表现为“国产内容配额”的形式,不同国家规定的国产内容配额各不相同,但都采用计分制,英国、澳大利亚、加拿大的国产内容配额制度比较完善。从WTO的条款来看,文化贸易壁垒措施具有局限性：经过历次谈判,各国关税日益降低,未来将进一步降低,采取关税壁垒的余地越来越小；配额和补贴易引起外国的贸易报复,对那些文化贸易小国来说尤其如此,WTO还专门制订了《补贴与反补贴措施协议》,对补贴的运用加以限制。贸易壁垒的采用本是为发展本国文化产业提供庇护,但也可能导致本国文化企业缺乏外部激励,不思进取；政府机关在执行配额的过程中也可能产生寻租行为。在WTO之外,联合国教科文组织、国际文化政策论坛等国际组织及团体机构倡导文化的多样性,要求保护各国文化,形成了一股政治潮流。2005年10月,联合国教科文组织通过的《保护文化内容多样性及艺术表达形式公约》,为处于文化贸易弱势的一方提供了武器,但公约的法律效力不及WTO的法律条款,公约的执行也缺乏强有力的约束,使公约在保护各国文化和文化产品方面的作用大打折扣。由于美国和加拿大地理接壤、语言相同,文化渊源类似,美国的文化产品大量涌入加拿大,使后者感受到了威胁。在杂志方面,加拿大陆续通过了《所得税法》及《9958关税条例》,还对杂志社进行发行补贴和拨款资助。《所得税法》的第19条允许加拿大企业在本国杂志刊登广告时享受税收优惠,但在外国刊物上做广告时不能享受广告退税优惠,这种歧视性的税收政策旨在增加外国杂志社的成本,抑制其竞争力。《9958关税条例》则禁止外国原版期刊和加拿大分销版期刊进入加拿大海关。美加期刊贸易纠纷的导火索是《体育画报(加拿大版)》的创办与发行。《时代》杂志社利用卫星传输技术,将本国已编辑好的内容传到位于加拿大的印刷厂付印发行,从而绕开了关境的限制,使加拿大的壁垒失去了作用,由此引起了双方的起诉与反诉的博弈。世贸组织的争端解决机构最终做出了有利于美国的裁决,加拿大被迫修改自己的措施。美加期刊贸易纠纷给我们两点启示：一,世贸组织规则过于倾向自由贸易的推进,对经贸之外的民族文化保护考虑不多；二,文化贸易壁垒将日益面临传播技术革新的挑战。在应对外来强势文化产品的挑战方面,中国和加拿大的处境类似,这也是本文选取加拿大做案例分析的原因之一,但我国的文化贸易壁垒更具有中国特色,即主要依靠庞杂的行政管制措施阻挡国外核心文化产品的涌入。中国的文化管制措施几乎涵盖文化产业价值链的全部环节,从核心文化企业设立的事前审批与许可,到企业运行过程中的内容控制,到产品复制过程中的层层监控,到发行环节的审批,甚至包括消费环节结束之后的事后监督,形成了一个管制链条,在外国文化产品/文化服务面前构筑了一道道防火墙。但是我国的文化管制分别由文化部、广电总局、新闻出版总署、宣传部等多个部委负责,条块分割,使管制措施缺乏整体性,甚至彼此龃龉。管制多采取规章、条例甚至临时通知等形式,其法律的位阶不高,有时令人无所适从。我国的文化管制措施主要针对传统媒体起作用,但在层出不穷的各种新媒体形式面前失去了作用,如微型博客。而出版社、报刊社等传统媒体的运作日益借助新的媒体形式,加大了文化管制的难度。报刊的网络版、书报刊的电子商务销售平台、流行歌曲和影视节目的付费在线欣赏等业务可以轻而易举地在全球范围内进行,使局限于一国之内的管制措施失灵。近几年,国外文化产品的越来越多地以各种方式进入中国,表明我们的文化管制效果并不尽如人意,这应当引起我们的反思。外国文化企业进入中国的手段大体分三类：前期铺垫、放眼未来；外围渗透、意在核心；借尸还魂、另辟蹊径。2007年4月,美国就中国出版物的市场准入问题向WTO提起诉讼,2010年1月,WTO争端解决机构通过了最终裁决,督促中国修改那些违反《关税与贸易总协定(1994)》、《服务贸易总协定(GATS)》.《中国加入WTO议定书》的文化贸易措施。中美出版物纠纷以生动的例子告诉我们：文化保护措施将越来越遭到外部的限制,保护并不能解决问题,最根本的是壮大我国的文化产业实力。为此,需要我们加大文化改革的力度,苦练内功,这是最核心的任务；同时,我们还需要配合经济、政治、军事实力的提升,扩大中国文化的实力和对外影响力,此为配合性的外围工作。这就是本论文的最终结论。本文尝试以多学科的研究范式证明文化贸易壁垒的低效性,期望有助于我们正确应对外部挑战,制订恰当的文化产业发展规划和文化贸易方针政策。本文似乎首次以具体翔实的统计数据刻画了国际书画贸易、影视贸易、音乐品贸易的概况；首次通过贸易统计数据计算了发达国家的产业内文化贸易指数。更多还原

【Abstract】 In recent years, the boom in cultural industries as well as favorable balance of trade for years in China is catching more public attention. However, there is still a long way to go for our cultural trade because the import turnover of cultural product is totally smaller than that of export value. Although we are the No.l exporter of cultural product globally, the poor performances on export of core cultural product can be regarded as the lost of international competition, Trade barrier then acts as a shield against foreign threat. But the real effect on cultural trade barrier is a paradox.The plan for this dissertation begins academic explanation for international cultural trade, followed by the sections of historical inspection, contemporary situation, theoretical discussion about less efficiency of trade barrier, case studies and research into the effect of cultural trade barrier in China.The imbalanced structure of international cultural industries leads to the situation that developed countries of European & North America dominate global cultural trade. Cultural product from developed countries rushes into less-developed countries with the damaging effect on the survival of native cultural industries. On the other side, international cultural trade mainly occurs among developed nations, showing the tendency towards Intra-Industry Cultural Trade(I2CT). I2CT arises from the following factors:economic development, integrated degree, information technology, differentiation of cultural product. According to the formula of Grubel & Lloyd, I figure out the I2CT index to be as highly as 0.725.There are two opposite opinions on the I2CT. US claim free trade policy towards international cultural trade, while other countries prefer cultural protection in the practice of cultural trade. This paper believes that the usual cultural trade barrier includes customs duty, quota and subsidy, all of which would bring about economic welfare loses, what’s more, the adoption of preserving native culture is facing more and more restrictions, its factual impact may be unsatisfactory.Multiculturalism is advocated by UNESCO, the International Network of Cultural policy(INCP) and other parallel associations. In October 2005, UNESCO published a report titled Convention on the Protection and Promotion of Diversity of Cultural Expression. Multiculturalism thus can be cited as the basis of cultural protection in the practice of international cultural trade. But the legal effect of the Convention is inferior to that of WTO, making it difficult to protect domestic culture in the process of international cultural trade.Cultural product of US rushes into Canada heavily because of geographical propinquity, the same language and similar cultural origin. Canada feels threat by cultural product of US lest Canadians may be Americanized. In the magazine aspect, Canada passes the Income Tax Act and Tariff Code 9958 to provide financial aid & postal subsidy to magazine publishers, at the same time discriminates against American magazines simultaneously. When Americans succeed in circumventing Canadian’s cultural trade barriers by the technical progress of communication, a trade dispute erupts between them. The Dispute Settlement Body of WTO finally make a judgment that Canadians violate the provisions of WTO, so Canadian government has to modify its cultural trade policies.As to the significant challenge to cultural independence, there is something in common between China and Canada. However, cultural trade barrier in China has its own characteristic of great dependence upon numerous and disorderly administration measures, in order to provide impediment to the inrush of foreign core cultural product. China’s cultural controlling measures cover nearly the whole value chains of cultural industries, from qualification examination in advance, content filtering in the process of creation, mass production, distribution to subsequent supervision. One of the aims of controlling is to build a firewall against foreign culture product.The cultural administration is carried out by several Chinese government bodies, such as the Ministry of Culture, the State Administration of Radio Film and Television, General Administration of Press and Publication of China, and the Propaganda Department of CPC. The government bodies function normally only within the range of traditional mass media, but are incapable of various forms of New Media, e.g. microblog. When the traditional media companies turn to New Media increasingly, government’s regulation falls into straitened circumstances, indicating the limitations of cultural trade barrier.When US government prosecute China against its measures affecting trading rights and distribution services for certain publications and audiovisual entertainment products, it is obvious that the best way of protecting domestic culture should be the further development of domestic cultural industries, in view of limitations of cultural trade barrier.This paper try to conduct the research into inefficiency of cultural trade barrier by multi-disciplinary model, and manage to depict the structure of international trade in books, Artistic works, film and television, music products with convincing statistical data for the first time in China.更多还原