【作者】 董银果；

【导师】 徐恩波；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2005， 博士

【摘要】 卫生和植物检疫(SPS)措施是与食品安全、动植物健康以及环境安全风险密切相关的技术性贸易措施,也是WTO 框架下规范成员国动植物检疫措施和国际贸易行为的游戏规则。其本质是在控制风险传播的前提下,促进食品安全和动植物产品国际贸易健康发展,其功能效应犹如一道“双刃的‘防火墙’”,其中蕴涵着诸多理论和实际问题。近几年来,国内研究SPS 和食品安全的论著较多,但专门针对国际贸易中某一具体商品的研究仍显不足。本文以中国具有价格比较优势的猪肉产品为研究对象,采用定性与定量相结合的研究方法,全面深入研究SPS 措施对猪肉贸易的作用机理以及对中国猪肉出口贸易的影响效应,探寻乌拉圭回合后中国猪肉出口大幅下降的根源和关键所在,从宏观、中观、微观3 个层面提出中国猪肉贸易的遵从方略,为完善中国猪肉安全控制体系建设,提升中国生猪产业整体素质和出口竞争力,理性选择猪肉出口多元化战略,提供理论和实证依据。　论文的研究内容和主要观点如下:　　第一章.导论　首先,从中国猪肉贸易所处国际国内环境入手,着重阐述了选题背景、研究SPS 的紧迫性、研究目的和意义;其次,对国内外有关SPS 措施与贸易关系的研究动态作了较为全面、客观的综述和评价,指出了中国对SPS 研究的不足,其中在理论分析框架、定量方法应用以及理论研究与贸易实践的结合上尤显不足。再次,根据研究目的和关键问题,构思出本文研究的路线图,研究方法以及论文的创新之处。本文强调,在WTO 框架下,世界农产品贸易正从“关税壁垒”时代走向“技术性壁垒”时代,从而使“安全规制”与“贸易发展”的矛盾、争端更加突出,这正是本文研究SPS 措施与猪肉贸易的出发点。　第二章.SPS 措施的产生及其理论基础　本章在论述　SPS 的内涵、特征与分类的基础上,首先就SPS 措施与技术性贸易措施及绿色贸易措施的相互关系进行界定和梳理;探究并论证了自90 年代中期以来SPS 措施得以广泛发展的3 大根源,进而提出评判SPS措施合理性与歧视性的8 项具体标准,这也是本文与国内同类研究的不同之处。其次,着重探寻SPS 措施形成的理论基础,其中包括需求层次理论、标准差异理论、外部性理论、信息不对称理论以及各种理论对SPS 措施形成的影响。与国内同类研究相比,本文在需求层次理论、标准差异理论的内涵及其影响效应方面作了充实和加强,有利于丰富SPS 措施形成的理论研究。再次,在介绍国外学者分析SPS 措施框架的基础上,具体论述了罗伯特(ROBERT)局部均衡分析框架在小国法规保护、小国供给变动、小国需求变动以及贸易大国假设条件下,SPS 措施对贸易流动、国民福利的影响。　　　第三章.SPS 的国际贸易规制与争议案例　本章主要采用实证和案例方法,重点阐述了世界贸易组织、联合国粮农组织以及下属国际组织关于SPS 措施的国际贸易规制及更多还原

【Abstract】 Sanitary and Phytosanitary (SPS) measure are those technical trade measures which is closely related with risk of food safety, health of the animals and plants and the environmental security. It used for standardizing the quarantine measure of the animals and plants of member states and game rule of the international trade behavior under WTO frame too. The essence is to promote the sound development of international trade of food and the animal or plant-based product on the premise of controlling the risk and its spreading and fuction as " ’ the fire wall ’ of one pair of edges ", among them contain a great deal of theories and practical problems. In recent years, there are plenty woks studying the food safety in China, but the research that specially directs against SPS measure and pork international trade is still blanks. This text took pork products, which have the cost comparative advantage in China, as the research object, further investigate SPS’s mechanism on pork trade and impact on Chinese pork export, analyzed the origin and key points dropped by a wide margin in Chinese pork export after Uruguay Round, proposed the complying plan. This research have important theory value and realistic meaning for perfecting Chinese Pork Control system construction, and raising pig’s industry’s whole quality and choosing reasonably the pork pluralistic export market and promoting the international competitiveness of the Chinese pork. The contents of the thesis and main conclusions are as follows: Chapter One. Introduction First of all, this paper has explained urgency, research background, purpose and important meaning of studying SPS starting from the international and domestic environments to Chinese pork trade; Secondly, the paper made a more comprehensive and objective review for the domestic and international researches development about SPS measure standard, regulation and trade relations. It pointed out that Chinese research lagged behind west on theoretical frame, quantitative method and on combination of theoretical research and trade practice. Moreover, according to the studying purpose and key problem, the paper proposed the research street map and main research approaches; it then introduced the innovation of the thesis. This text emphasize under WTO frame, world agricultural product move towards " technical barrier " era from " tariff barrier " era, thus make contradiction, dispute between "safe regulation" and " trade development" more outstanding, which is exactly the starting point of this research. Chapter Two. The Formulation of SPS Measure and Theoretical Foundation This chapter lays particular emphasis on the basic theoretical research. First of all, the paper defined and combed the relation among SPS measure and technical trade measure and green trade measure using the comparative analytical method on the basis of describing the intension, characteristic of SPS and classification. It probed into 3 great origins that SPS measure had be developed extensively since the 1990s, and proposed 8 concrete standards for judging justified SPS measure. Secondly, the paper seek the theoretical foundation that SPS measure involves, include demand level theory, standard difference theory, externality theory, asymmetry information theory and the influence of those theories to form SPS measure. Compared with similar theoretical research, this text has paid more attention to demand level theory and the standard difference theory. Moreover, foreign scholar study the effect of SPS measure using 3 basic approaches, the paper introduced Robert’s partial equilibrium analyzing SPS measure on the assumption of regulation protect, little country with supply change, little country with demand change and large trading nation. All these theories, methods have offered theoretical and method foundation for this study. Chapter Three. International Trade Structure for SPS and Dispute Case Adopting the examples this chapter explained World Trade Organization especially Food and Agriculture Organization of the United Nations and subordinate international structure and operation mechanism about SPS measure. It chose the hormone beef case, Australian salmon case, and the Japan-American agricultural product assortment tests 3 typical cases, analyze concretely the mechanism of SPS regulation, standard and trade dispute, draw the following conclusion: First, World Trade Organization dispute solving mechanism gave the rule for setting up justified SPS measure: Scientific basis and relevant risks assessment. Second, although current trade structure for SPS evolve from negotiating to pronouncing, the developing countries faced actually inequality, the function of the technological barrier of developed country is being strengthened day by day. Third, though current system has promoed the trade development, WTO/SPS still faces a great deal of challenge problems at present, including the safety of GMO products, suitability of non-discriminating principle, compliance cost, difficulty of participating in the international organization of developing countries, specify and clarity of SPS clause. Chapter Four. Positive Research Influences of SPS Measure on Pork International Trade The chapter analyzed, using a large number of statistics data and typical cases, the change trends of world pork production and trade in the past 40 years, and analyzed the impact of SPS measures and competitive advantage change trend of pork international trade, following conclusion can be drawn: developed country played predominant role in pork international market, the importantance of quality and safety factor in the pork is being strengthened, and pork quality and safety competition have powerful influence on pork export price. Second, foot-and-mouth disease, trichina, salmonella, antibiotic residue and dioxin become five focus questions that influence the pork trade. The paper used the foot-and-mouth disease in Taiwan, salmonella import standard comparison, antibiotic MRLS international comparison and dioxin crises in Belgium to demonstrate the great influence of SPS on pork international trade. Once FMD or other great epidemic disease broke out in one country, it often ruin the national pig industry and the pork foreign trade. Therefore, prevention and control can’t relax at any time. Meanwhile, biological pollution, chemicals residue and physics pollution are important factors influence pork trade, too. Third, by analyzing the SPSstandards of main importer and competitive advantage of TTA(Traceability, transparency, quality and safety assurance) and production cost of main exporter, it can be found that in pork international trade, although pork production cost especially fodder cost is an important factor influencing the pork international trade competitiveness, it has already no longer played a leading role in pork international trade if compared with pork quality and safety. Fourth, the trade disputes among countries are unavoidable, as the pork big producing country, China must focus on above-mention questiones. Chapter Five. Theoretical Model and Quantitative Method for measuring SPS’s Influences on Chinese Pork Trade This chapter draw the following conclusion from dynamic survey of Chinese pork trade in the past 40 years, theoretical model and quantitative analysis. First, the Chinese pork trade can be divided into four stages, i.e abnormal development period, growth stage, prosperity period, low tide stage. Living pig, pork and pork processed goods were once traditional export products in China and made an important contribution to the country. However, since 1995, the competitiveness of the living pig and pork in China has dropped notably, whose reason lies in live pig’s epidemic prevention and pork quality and safety control can not meet the need of modern international market. Second, the impact of SPS agreement on Chinese pork in three aspects: rigidity compliance cost, excess cost and and institution restrain. Third, the theoretical model shows: the macro-impact of SPS measure on pork export trade is mainly 3 kinds of effects, i.e forbidden, restriction of trade and trade twist. Its micro-effect depends on enterprises compliance cost to compare with trade revenue, it is different between short and long-run equilibrium. The model further analyzed the impact on trader’s welfare on discrimination one to one, more to one and non-discrimination situation. Fourth, by adopting BOX-COX regression method, the paper suveyed the influence degree of SPS and other elements on Chinese live pigs and pork, and prove that SPS measure has negative effect on Chinese living pig and pork, i.e trade prohibition and trade restriction. Fifth, by analyzing the international and domestic reason lead to Chinese live pig and pork obstructed. It point out that the internal reason is the main cause which lead to obstacle in live pig and pork export, namely the whole macro-and micro environment that pork quality and safety control exist a great deal of problems. Chapter Six. Comparison on Pork Safety control system between China and Germany This Chapter form the following understanding and view by comparing overall pork production and trade in past 12 years, pork safety control system: First, on contrary to decreasing trend of Chinese pork since mid-1990s, the German pork competitiveness strengthen constantly. This text thinks the establishment, content and efficiency of the pork safety control system are one of the important reasons to this enormous difference. Second, it were the OIE authentication for non-disease district, pork HACCP quality and safety preventing and control system and strict TTA assurance system the key competitiveness of pork international trade, and just on the three key problems, especially in HACCP and TTA,China and other developing country lagged greatly behind developed country, this is why China and a great deal of developing countries can’t form the competition strength to contending with such pork big export countries such as European Union, U.S.A., Canada ,etc at present. This offer the direction for Chinese live pig and pork export enterprise to promote the quality and safety level in an all-round way. Chapter Seven. Overall Compliance plan with the SPS measure for Chinese pork trade This chapter based on the preceding chapters approach from macroeconomy, mid-economy and microeconomy, proposed from 9 aspects the general compliance plan for government, industry, enterprise. Macroeconomic tactics emphasized the following focus points: Firstly, it proposed to orientate safety standard of pork trade on 3 levels and suggest our country adopt two sets of standards: One is used in the domestic market and another for imports and exports. Second, risk analysis and assessment construction is the key measure to comply wiyh SPS measure and should be paid more attention to. Thirdly, original source control is the most important factor to guarantee the pork quality and safety. The mid-economic tactics link upward with the government and downward with enterprises. In order to improve the whole quality and safety level of Chinese live pig industry, this text emphasizes the following two points: Firstly, according to the higher demand for pork quality and safety, live pig’s quality safety industrialization management for pork safety and quality should be implemented and strengthed, its structure is "supermarket + leading enterprise + intermediary+pig households ". Secondly, pig’s association should play an important role in standard revising, supervising, guaranteeing and servicing in the production of safety and quality pork according to the successful experience from the developed countries. The microeconomic tactics focus on reducing the compliance cost and compliance risk. It ephamized the following points: First, study on enterprises’s compliance cost must be combined with compliance revenue, compliance ability, compliance resources, compliance risk and put emphasis on improving enterprises’compliance motivation and capability. This view is different from those requiring the export enterprise to comply with the international standard as soon as possible. Second, the different compliance mode should be adopted for different SPS measures. Third, on the premise of promoting living pig and pork export pluralistically, peripheral markets should be the key point at the present stage, explore actively Japan, S. Korea and Singapore pork market, consolidate and develop the Hong Kong , Russia and Malaysia pork market.更多还原