【作者】 及扬；

【导师】 李俊江；

【作者基本信息】 吉林大学 ， 国际贸易学， 2004， 硕士

【摘要】 技术性贸易壁垒（Technical Barriers to Trade—TBT）是一国或区域组织为维护国家或区域安全、保障人类安全或健康、保护动植物生命或健康、保护环境、防止欺诈行为、保证产品质量等目的而采取的一些强制性或自愿性的技术性措施。这些措施在促进产品质量提高、技术协调和便利贸易的同时，也被许多国家和地区作为贸易保护的工具，成为当今国际贸易领域最大的间接性非关税壁垒，对国际贸易自由化起到了严重的阻碍作用。狭义的TBT主要指WTO《技术性贸易壁垒协议》规定的技术法规、标准和合格评定程序；广义的TBT还包括动植物及其产品的检验和检疫措施、包装和标签及标志要求、绿色壁垒、信息技术壁垒等，它们也经常以技术法规、标准和合格评定程序的形式出现。TBT是非关税壁垒的一个组成部分，与配额、许可证等其它非关税壁垒的共性表现为名义上的合理性、形式上的合法性、对象上的歧视性和针对性。TBT还有其自身的一些特点：涉及的领域较其它非关税更具广泛性、系统性，实施方式更具隐蔽性和灵活性，作用效果上更具有效性和影响力，实施过程更具争议性，作用结果具有利弊双重性。这些特点使TBT对进口限制的作用更加强大。TBT的经济效应与关税、进口配额等贸易壁垒的经济效应既有相似之处，又不完全相同，最主要的特点是短期静态经济效应的显著性和长期动态经济效应的不确定性。TBT利弊双重性的特点对国际贸易的发展也产生了正负两方面的影响。它促进了维护国家或区域安全、保障人类安全或健康、保护动植物生命或健康、保护环境、防止欺诈行为、保证产品质量等目标的实现；促进了国际标准和合格评定制度的发展和各国技术法规的制定和实施，国家之间的相互认证有利于它们之间贸易自由化的发展；技术标准的高要求促使各国积极调整产业结构，加速企业技术进步与产业升级；增加了企业发展的外在动力，推动了企业技术创新。但是，由于某些发达国家的滥用和发展中国家在技术上的落后，技术性贸易壁垒对国际贸易也产生了严重的负<WP=52>面影响：国家之间借技术贸易壁垒实行贸易保护主义，使竞争加剧，贸易争端不断增多；名目繁多的技术性贸易措施在很大程度上影响和制约着国际贸易的增长速度；发达国家设立的高技术标准不利于发展中国家的出口。对我国而言，技术壁垒在技术法规的制订和实施、评审制度的开展、加速企业技术改造和产品的升级换代方面起到一定的正面推动作用。但它对我国贸易的负面影响更加显著：TBT限制了我国的商品出口，已经成为我国外经贸企业面临的第一大非关税壁垒；TBT的变相保护措施增加了出口成本，严重削弱了我国产品的国际竞争力；TBT使我国入世后的贸易利益受到损害；引起贸易纠纷，妨碍我国双边或多边经贸关系的正常发展。那么，我国出口产品屡遭国外技术贸易壁垒的限制的原因是什么呢？其一，我国贸易方向主要集中于美、日、欧盟这三个TBT措施的发源地，是我国产品屡遭TBT措施的首要原因；其二，我国技术水平的落后导致的出口产业弱质性是我国产品屡遭国外TBT措施限制的深层次原因；其三，我国对TBT的宏观管理体系不完善是我国难以应对国外TBT措施的重要原因；其四，我国的认证体制尚不健全，检验检疫机构和技术水平不高，很难得到国际认可，出口产品在合格评定程序上受到严重阻碍，增加了出口产品的成本、减少了市场机会。目前，我国出口市场主要集中在美、日、欧等TBT措施比较严重的发达国家和地区，因此了解它们各自TBT措施的特点，并有针对性地加以应对显得至关重要。美国TBT的特点是标准、法规和合格评定名目繁多，管理机构庞杂，经常会让人防不胜防，难以应对；日本TBT相当繁杂，其特点是其中只有极少数是与国际标准一致的，当外国产品进入日本市场时，不仅要求符合国际标准，还要求与日本标准相吻合；随着欧盟组织的不断完善，客观上逐渐形成了体系越来越完善、效果越来越明显的技术性贸易壁垒，欧盟的TBT技术标准水平高，且内部成员国国家标准众多，十分难以应对。TBT措施的发展趋势是：TBT成为国际贸易壁垒的主要武器，其表现形式越来越多，涵盖范围越来越广；TBT从个别限量指标发展成为名目繁多的限制或禁止指标体系；国际标准被广泛采纳，自愿性措施向强制性法规方向转化；实施技术性贸易壁垒的波及和仿效影响明显，影响力将进一<WP=53>步扩大；WTO成员通报的广义TBT总量呈上升趋势，其中动植物卫生检疫措施SPS平均增长速度超过了狭义TBT，发展迅猛；发达国家和地区凭借先进的技术水平，在实行TBT上仍占优势；发展中国家逐渐认识和应用TBT。改革开放以来，我国的技术性贸易保护工作取得了长足的发展，虽然已经基本建立起了技术法规、技术标准、认证、检验检疫等技术性保护体系，但在日新月异的国际贸易形势下，还存在着许多的问题和不足，主要表现在：技术法律法规体系不完善；技术标准水平低、滞后；合格评定体系不健全，管理混乱；管理体制不顺；信息渠道不畅等。从国外技术性贸易措施的经验我们可以得到一些启示：从宏观层面来看，政府应尽快建立我国技术法规体系，积极采用国际标准，健全和完善认证制度，建立有效完善的国内技术贸易壁垒更多还原

【Abstract】 Technical Barriers to Trade (TBT) are some compulsory or voluntary technical measures that a country or a regional organization adopts for the purposes of maintaining the security of a country or region, safeguarding human security and health, protecting the life and health of plants and animals, protecting environment, preventing cheating behavior, guaranteeing product quality and so on. These measures enhance the promotion of product quality, technology coordination and trade convenience, but at the same time many countries and areas take them as the tools of trade protection. Now they become the biggest indirect non-tariff barriers in the domain of international trade and serious hindrance to international trade liberalization.The narrow sense of TBT mainly refers to the technical regulations, standards and conformity assessment procedures that WTO stipulates in The Agreement on Technical Barriers to Trade. The broad sense of TBT also includes sanitary phytosanitary measures; requests on packing, label and sign; Green barriers; the information technology barriers and so on which always appear in the forms of technical regulations, standards and conformity assessment procedures.TBT is one kind of the non-tariff barriers. Its general characters similar with quota, permit and other non-tariff barriers are rationality in name, validity on form, discrimination and focalization on object. It also has its special characteristics: its concerning domain are more widespread and systematic compared with other non-tariff barriers; its way of implementation has more disguise and the flexibility; its functional effect has the cover of validity and more influence; its implementation process always causes disputes; its functional result has both the advantages and disadvantages. These characteristics make its hindrance function more formidable.The economic effect of TBT is similar with tariff and quota in some aspects but not the same. The most important characteristic is that its short-term static effect is very powerful and long-term dynamic effect is <WP=55>uncertain.Because TBT has dual functions of both advantages and disadvantages, it also has both positive and negative influence on the international trade development. It promotes to realize the purposes of maintaining the security of a country or region, safeguarding human security and health, protecting the life and health of plants and animals, protecting environment and so on; It promotes the development of international standards and conformity assessment procedures system, and the formulation and implementation of many countries’ technology laws and regulations, especially the mutual authentication between countries is advantageous for the trade liberalization development between them ; The high request of technical standard urges a lot of countries to adjust their industrial structure positively, and accelerate the enterprise technology advancement and the industrial promotion; It also increases the external oppress for enterprise developments which impels enterprise technology innovations. But because of certain developed countries’ abusing TBT and the developing countries’ backwardness in technology, it also has serious negative influence on international trade: some countries use TBT to implement trade protection, thus makes the competition between them to intensify and trade conflicts to increase unceasingly; such a great deal of TBT affects and restricts the increasing rate of international trade greatly; the high TBT standards established by developed are disadvantageous to the developing countries’ exportation.Speaking of our country, TBT plays a positive roll in making and implementing technical regulations, adopting assessment system, accelerating enterprise technological transformations and product upgrades. But its negative influence on our country’s trade is more remarkable. TBT has limited our country’s commodity exportation and already became the first big non-tariff barrier to exporting enterprises; The protective measures in the disgui更多还原