【作者】 蔺庆校；

【导师】 宫占奎；

【作者基本信息】 南开大学 ， 世界经济， 2010， 博士

【摘要】 进入20世纪90年代以来,由于多边贸易体制谈判的受阻,各个国家纷纷转向区域性的贸易谈判,因此在经济全球化迅速发展的同时,区域经济一体化也出现了迅猛的发展势头。尤其在近几年,区域贸易协定在保持高速增长的同时,其涉及的领域和问题也越来越广泛,涵盖了货物贸易、原产地规则及操作程序、海关程序与合作、贸易救济、卫生与植物卫生措施、技术性贸易壁垒、自然人移动、投资、知识产权、透明度、合作、管理与机制条款、争端解决等多方面内容。而随着传统的关税壁垒和非关税壁垒如配额、补贴等逐步消减,技术性贸易壁垒已成为当前保护贸易的最重要工具,由于其具有复杂性、隐蔽性和双重性等特征,被认为是最难突破的贸易壁垒。伴随着近期的金融危机,贸易保护主义又有所抬头,仅2009年前10个月向WTO通报的技术性贸易壁垒数量已经1673份,是近5年同期通报数量最多的一年,比2008年增加了16%。由于多边贸易体制对技术性贸易壁垒消除的不利,各个国家纷纷通过区域贸易协定谈判来制订出比WTO更深入的政策措施对技术性贸易壁垒进行规范和消除,这使得技术性贸易壁垒谈判成为了目前区域贸易协定谈判中的最重要部分之一。近几年签署的区域贸易协定内,几乎都包括了专门的技术性贸易壁垒条款章节。由于技术性贸易壁垒问题的介入,传统的以关税为分析基础的区域贸易协定理论已经不能再满足现实的需要,这对区域贸易协定和技术性贸易壁垒的研究提出了新的课题。本文以此为切入点,首先系统的分析了当前区域贸易协定内技术性贸易壁垒条款的主要内容,通过对多边区域贸易协定组织和目前比较流行的双边自由贸易协定进行比较分析,得出了不同层次国家在区域贸易协定内对技术性贸易壁垒的不同规定以及采取消除技术性贸易壁垒的不同方式。在此基础上,本文对区域贸易协定的传统理论进行了拓展,把技术性贸易壁垒引入了区域贸易协定理论当中,弥补了传统以关税为基础的分析方法对非关税壁垒尤其是技术性贸易壁垒分析的欠缺,指出区域贸易协定内对技术性贸易壁垒的规定,其目的在于通过消除区域内技术性贸易壁垒,促进区域经济一体化的实现。由于对区域贸易协定内的技术性贸易壁垒的消除,既具有开放区域主义的特征,又具有潜在的歧视性,导致了其贸易效应的不确定性。本文实证部分首先对异质企业理论进行拓展,从企业层面上来分析区域贸易协定内技术性贸易壁垒的消除对出口企业的出口成本、进而对企业决策的影响；然后通过把消除技术性贸易壁垒的两种政策工具——协调和互认引入拓展的引力模型,对东盟和欧盟内部实施消除技术性贸易壁垒政策的效果进行了实证分析,结果发现：东盟和欧盟对区域内实行的协调和互认政策,促进了区域内成员国贸易的提高,但是协调对区域外第三方的影响不确定,其效果与一国的经济发展水平有关,发达国家由于在技术水平上领先可以获得比发展中国家更多的收益。就欧盟和东盟的标准协调对区域外第三方影响效果而言,结果表明参照国际标准比参照区域标准进行标准协调的效果更好,国际标准要比区域标准更能促进贸易自由化开展。最后,针对中国当前参与的区域贸易协定,分析了其中的技术性贸易壁垒条款内容、特点和存在的问题,并在此基础上,提出了我国今后进行区域贸易协定内技术性贸易壁垒谈判的策略和我国政府及企业应对当前区域贸易协定内技术性贸易壁垒的建议。更多还原

【Abstract】 Since the 1990s, due to the blocked negotiations on the multilateral trading system, various countries have turned to regional trade negotiations, so the rapid development of economic globalization, regional economic integration has also appeared in the momentum of rapid development. Especially in recent years, regional trade agreements, while maintaining rapid growth, its areas and issues involved in more and more extensive, covering trade in goods, rules of origin and procedures, customs procedures and cooperation, trade remedies, sanitary and phytosanitary measures, technical barriers to trade movement of natural persons, investment, intellectual property rights, transparency, cooperation, management and mechanical terms, dispute settlement and other aspects. With the traditional barriers and nontariff barriers such as quotas and subsidies will gradually reduce technical barriers to trade has become the most important tool to protect trade, because of its complexity, such as concealment and double features, is considered the most difficult to break through barriers to trade. With the recent financial crisis, the rise of trade protectionism, only the first 10 months of 2009, notified to the WTO Technical Barriers to Trade volume has 1673 copies in the last five years, which is the highest number in the past five years, and an increase of 16% over the same period in 2008.As the multilateral trading system on technical barriers to eliminate the negative, all countries have through the regional trade agreement negotiations to develop a more in-depth than the WTO technical barriers to trade policy measures to regulate, which makes the technical barriers to trade negotiations, regional trade agreements as the current negotiations One of the most important part. In recent years, the signing of regional trade agreements, almost all technical barriers to trade, include the special provisions of chapter. As the technical barriers to trade issues involved, the traditional tariff analysis based theory of regional trade agreements can no longer meet the real needs, which regional trade agreements and technical barriers to trade research has raised new issues. This paper uses it as the starting point, the first systematic analysis of the current regional trade agreements the principal terms of the content of technical barriers to trade, regional trade agreements on multilateral organizations and the more popular current bilateral free trade agreements comparative analysis shows that countries with different levels in regional trade agreements on technical barriers to trade and adopt different provisions of different ways to eliminate technical barriers. On this basis, on regional trade agreements the paper has expanded the traditional theory, the technical barriers to trade into the theory of regional trade agreements which make up the traditional tariff-based analysis method of non-tariff barriers, especially the lack of technical barriers to trade. Regional trade agreements on technical barriers to trade within the provisions aimed at eliminating technical barriers to trade within the region and promote the realization of regional economic integration. As regional trade agreements on technical trade barriers, not only has the characteristics of open regionalism, but also potentially discriminatory, leading to uncertainty in its trade effects. Then, this theory on the heterogeneous enterprise development, come from the enterprise level of technical barriers to trade within regional trade agreements, the elimination of the export cost of export enterprises, and thus the impact of business decisions. Then, through the elimination of technical barriers to trade two policy tools-the introduction of co-ordination and mutual recognition of the gravity model of development, ASEAN and the EU implemented a policy to eliminate the effect of technical barriers to trade an empirical analysis, found:Association of Southeast Asian Nations and the EU co-ordination within the region to implement policies to promote regional trade within the member countries to improve, but the impact of third parties outside the region and the level of economic development, the level of developed countries as the leading technology available in developing countries more than income. For the bilateral mutual recognition agreements for the trade of the region and beyond both countries to promote, but if related to the discriminatory rules of origin of bilateral mutual recognition agreements, which may lead to extra-regional trade to the transfer of the region, makes the extra-regional third-party interests. Finally, for China’s current participation in regional trade agreements, analysis of one of the technical barriers to trade terms, characteristics and problems, and on this basis, the paper proposes the strategies that China should adopt in the negotiation about technical barriers to trade and the countermeasures for the Government and corporate to response to the current technical barriers to trade within regional trade agreements the proposal.更多还原