發(fā)布時間：2018-05-08 19:16

  本文選題：標準 + 標準化　； 參考：《復旦大學》2013年博士論文

【摘要】：標準是國際貿(mào)易的基石,是各國開展商業(yè)交流的技術(shù)語言。隨著貿(mào)易自由化進程的加快,各國普遍融入經(jīng)濟全球化,標準對于貿(mào)易的影響不斷凸顯。當前,關(guān)于標準貿(mào)易效應的研究成為WTO、世界銀行等國際組織開展貿(mào)易政策研究的前沿和熱點領(lǐng)域之一。 自上世紀90年代以來,以德國、英國、美國等為代表的發(fā)達國家已經(jīng)在這一研究領(lǐng)域積累了豐富的理論和實證成果,對建設(shè)國家標準化體系、制定貿(mào)易政策發(fā)揮著重要的指導作用,積極促進了對外貿(mào)易的發(fā)展。由于研究數(shù)據(jù)較難獲取,數(shù)據(jù)搜集與整理的工作量大,有關(guān)發(fā)展中國家標準貿(mào)易效應的研究長期以來嚴重滯后于發(fā)達國家。幾乎所有的已有研究都是以發(fā)達國家標準為研究對象,研究樣本涉及到發(fā)展中國家的經(jīng)驗分析也只是考察發(fā)達國家標準對來自發(fā)展中國家貿(mào)易的影響。從發(fā)展中國家標準出發(fā),考察發(fā)展中國家標準對其進出口貿(mào)易影響的探討極為有限,近年才開始出現(xiàn)考察中國標準貿(mào)易效應的相關(guān)研究。 與發(fā)達國家已經(jīng)取得的研究成果相比,關(guān)于中國標準貿(mào)易效應的研究無論在研究方法上、還是在研究方向上,都遠未取得系統(tǒng)性的研究進展。盡管長期以來國外學界、業(yè)界都非常關(guān)注中國標準,但是來自中國的經(jīng)驗證據(jù)卻嚴重不足。在此背景下,論文力圖從一個較為完整和系統(tǒng)的視角來考察中國標準的貿(mào)易效應。論文將最新的理論與鮮活的實踐需求結(jié)合起來,找到二者的契合點,對理論進行了擴展,并著重提供來自中國的經(jīng)驗證據(jù)。論文的主要部分及研究成果如下。 標準貿(mào)易效應的文獻回顧。充分綜述有關(guān)標準貿(mào)易效應的測度、爭論的理論和實證文獻,分三條線索。第一,梳理了標準影響國際貿(mào)易的作用機制；第二,綜述了這一領(lǐng)域的經(jīng)驗研究成果；第三,從網(wǎng)絡(luò)產(chǎn)業(yè)的微觀視角出發(fā),分別從標準競爭與標準化形成的市場機制、標準化中的非市場力量與后發(fā)者策略兩個方面梳理網(wǎng)絡(luò)產(chǎn)業(yè)的標準競爭與標準化策略。文獻梳理重在比較研究對象和研究結(jié)論的差異,歸納總結(jié)研究方法的繼承與創(chuàng)新。 宏觀層面的分析。第一,利用誤差修正模型(ECM)和時序數(shù)據(jù)考察了自愿性的國家標準和國際標準對中國進出口貿(mào)易的作用。結(jié)果顯示：國家標準量、國際標準量的增加對中國對外貿(mào)易規(guī)模均產(chǎn)生了正面的作用。頒布和實施國家標準促進了中國進出口貿(mào)易的發(fā)展,而積極采用國際標準的影響更加顯著,并且它們對于出口總額的正面影響都要大于對進口總額的影響。第二,通過協(xié)整、Granger因果檢驗以及嶺回歸(Ridge Regression)考察了自愿性標準對中國出口增長的影響。研究顯示：標準量的變化是出口貿(mào)易額增長的Granger原因,標準量對出口貿(mào)易額的作用的確存在,并且具有較強的時效性。嶺回歸的結(jié)果進一步證實了標準對中國出口增長的顯著作用。這一促進作用在2001年中國成為WTO成員以后發(fā)生了顯著的結(jié)構(gòu)性改變。第三,基于國際分類標準(ICS)面板數(shù)據(jù),以總需求函數(shù)為基礎(chǔ)建立模型實證考察了強制性國家標準、自愿性國家標準、強制性國際標準、自愿性國際標準對中國對外貿(mào)易、中美雙邊貿(mào)易的影響。研究結(jié)果顯示,中國特有的國家標準的增加,會對中國的進出口貿(mào)易產(chǎn)生負面影響；中國采用的國際標準(尤其是自愿性國際標準)正面推進了中國對外進出口貿(mào)易的發(fā)展,并有利于增加中美貿(mào)易盈余。強制性國家標準促進了中國向美國的出口,抑制了中國來自美國的進口。 中觀層面的分析。深入到產(chǎn)業(yè)層面,重點研究不同產(chǎn)業(yè)部門中各類標準的貿(mào)易效應的差異、涉及標準的貿(mào)易政策對特定產(chǎn)業(yè)發(fā)展的影響以及標準體系對特定產(chǎn)業(yè)出口貿(mào)易的作用。內(nèi)容包括：第一,基于標準類別和部門差異考察標準的貿(mào)易效應。研究發(fā)現(xiàn)：產(chǎn)品、基礎(chǔ)、方法、安全、衛(wèi)生和環(huán)保等標準的增加有助于中國對外貿(mào)易規(guī)模的擴大。同時,中國標準體系存在結(jié)構(gòu)性不平衡：標準存量多的產(chǎn)業(yè)部門中國際標準所占比重較低；各產(chǎn)業(yè)部門中技術(shù)標準比重較高,管理標準所占比重較低；產(chǎn)品、基礎(chǔ)和方法標準所占比重較高,安全、衛(wèi)生和環(huán)保標準所占比重較低。第二,以電子產(chǎn)品出口貿(mào)易為例,應用引力模型對電子產(chǎn)品領(lǐng)域里中國標準的貿(mào)易效應進行面板分析。研究結(jié)果顯示,國家標準、國際標準對中國電子產(chǎn)品出口均存在顯著且穩(wěn)健的作用,這種影響還隨著標準執(zhí)行效力的不同以及電子產(chǎn)品種類的差異而變化,與國際標準保持一致有利于促進中國向世界出口電子產(chǎn)品。 微觀層面的分析。第一,在存在網(wǎng)絡(luò)外部性和轉(zhuǎn)換技術(shù)的市場條件下構(gòu)建模型,研究兼容性標準貿(mào)易政策的形成以及對網(wǎng)絡(luò)產(chǎn)業(yè)的消費者效用、企業(yè)利潤以及社會福利的影響。研究結(jié)果顯示：當為了遵循兼容性標準而采用轉(zhuǎn)換技術(shù)的成本主要是由在本國市場上提供數(shù)字產(chǎn)品的外國企業(yè)承擔時,本國政府有動機設(shè)定過于嚴格的兼容性標準。轉(zhuǎn)換技術(shù)的存在有助于緩解數(shù)字市場上的企業(yè)競爭、增加社會福利,但是在有關(guān)技術(shù)標準受到知識產(chǎn)權(quán)保護時,轉(zhuǎn)換技術(shù)的提供與定價依賴于企業(yè)之間的談判博弈。第二,將標準因素引入異質(zhì)性企業(yè)理論模型,利用中國電子產(chǎn)品出口企業(yè)的微觀數(shù)據(jù),首次實證度量了一致標準(harmonized standards),即等同采用國際標準的國家標準對異質(zhì)性企業(yè)國際市場選擇行為的影響。研究發(fā)現(xiàn)：一致標準對于中國電子產(chǎn)品的出口貿(mào)易具有顯著且穩(wěn)健的促進作用。這種促進作用對于出口增長的擴展邊際和集約邊際都有影響,并且對于前者的影響力度更大。隨著一致標準在國家標準中所占比重的提高,越來越多的初期僅供應發(fā)展中國家市場的企業(yè)也開始進入發(fā)達國家市場,特別是其中生產(chǎn)率較高的企業(yè)；與此同時,那些初期已經(jīng)開始供應發(fā)展中國家市場和發(fā)達國家市場,以及在整個樣本期持續(xù)供應兩類市場的企業(yè)在原有市場上的出口量也在增加。 案例分析。對比分析了中國WAPI標準、韓國Binary CDMA標準的國際標準化案例,重點考察了標準化過程中市場機制和非市場機制的作用與有效性,并對國際標準化中的后發(fā)者策略進行了討論。研究發(fā)現(xiàn),中國推動國家標準成為國際標準的國際標準化策略的成功需要來自政府的政策支持,并在尊重企業(yè)決策和消費者訴求的基礎(chǔ)上實現(xiàn)市場機制和非市場機制的有機結(jié)合。 綜合以上,我們主要基于經(jīng)典國際貿(mào)易理論、標準經(jīng)濟學理論、網(wǎng)絡(luò)產(chǎn)業(yè)組織理論、異質(zhì)性企業(yè)理論以及發(fā)展經(jīng)濟學理論展開研究,按照宏觀(中國對外貿(mào)易、中美雙邊貿(mào)易)—中觀(產(chǎn)業(yè)貿(mào)易)—微觀(企業(yè)國際市場選擇)的順序,對中國標準的貿(mào)易效應提供較為完整的理論論證與經(jīng)驗證據(jù),并結(jié)合案例分析總結(jié)歸納中國在國際標準化中的后發(fā)者策略。主要結(jié)論包括三個方面：第一,標準對中國進出口貿(mào)易發(fā)展具有重要影響；第二,標準的貿(mào)易效應隨著標準類別而有所變化,并具有重要的產(chǎn)業(yè)部門差異；第三,標準會影響微觀企業(yè)的國際市場選擇行為,標準的貿(mào)易效應可以通過標準對于貿(mào)易邊際的作用進行解釋。結(jié)合案例分析,從長期來看中國需要繼續(xù)增進與國際標準化機構(gòu)的溝通、協(xié)商和合作,積極參加籌備、設(shè)定國際標準等各階段的具體過程,在充分考慮標準類別、技術(shù)實力和市場發(fā)展?jié)摿Φ幕�礎(chǔ)之上推動國家標準成為國際標準。 囿于理論模型擴展的難度,以及實證數(shù)據(jù)獲取的困難,論文的局限和問題在所難免,尚需進一步的研究和發(fā)展。
[Abstract]:Standard is the cornerstone of international trade and the technical language of trade exchanges among countries. With the quickening of the process of trade liberalization, countries are generally integrated into economic globalization, and the impact of standards on trade has been highlighted. At present, the research on the standard trade effect has become WTO, and the World Bank and other international organizations carry out the frontier of trade policy research. One of the hotspots.
Since the 90s of last century, the developed countries, represented by Germany, Britain and the United States, have accumulated rich theoretical and empirical results in this field. It plays an important guiding role in building a national standardization system and formulating trade policies, and has actively promoted the development of foreign trade. Because the data are difficult to obtain, data are difficult to obtain. The research on the standard trade effect of developing countries has long lagged behind the developed countries. Almost all the existing research has been based on the developed country standards, and the empirical analysis of the research samples involving the developing countries is only a study of the developed countries' standards from the developing countries. The impact of trade. From the standards of developing countries, the study of the influence of developing countries on its import and export trade is very limited. In recent years, the study of the effect of China's standard trade began to appear.
Compared with the results obtained by the developed countries, the research on China's standard trade effect is far from systematic research progress in the research methods and the research direction. Although the foreign academic circles have long been concerned about the Chinese standards, the empirical evidence from China is seriously inadequate. Under the background, the paper tries to examine the trade effect of Chinese standard from a more complete and systematic perspective. This paper combines the latest theory with the fresh practice demand, finds the agreement point of the two, expands the theory and emphasizes the empirical evidence from China. The main parts of the paper and the research results are as follows.
A literature review of standard trade effect. It gives a full overview of the measurement of standard trade effects. The theoretical and empirical literature of the debate is divided into three clues. First, it combs the action mechanism of the standard affecting international trade; second, it summarizes the empirical research results in this field; third, from the micro perspective of the network industry, the standard competition is from the standard. The competition and standardization of the market mechanism, the standardization of the non market force and post strategy two aspects of the standard competition and standardization of the network industry. The literature reviews the differences between the comparative research objects and research conclusions, and summarizes the inheritance and innovation of the research methods.
First, the effect of voluntary national standards and international standards on China's import and export trade is examined by using the error correction model (ECM) and time series data. The result shows that the increase of national standard and international standard has a positive effect on the scale of China's foreign trade. The development of China's import and export trade, and the impact of active adoption of international standards is more significant, and their positive impact on total exports must be greater than the impact on the total import. Second, through co integration, Granger causality test and ridge regression (Ridge Regression), the effect of voluntary standards on China's export growth is investigated. The result shows that the change of standard quantity is the Granger reason of the increase of export trade volume, the effect of standard volume on export trade is true, and it has strong timeliness. The result of ridge regression further confirms the significant effect of standard on China's export growth. This effect has been remarkable after China became a member of WTO in 2001. Structural changes. Third, based on the panel data of international classification standards (ICS), based on the total demand function, a model is established to examine the mandatory state standards, voluntary national standards, compulsory international standards, and the impact of voluntary international standards on China's foreign trade and bilateral trade in China. The results show that China's unique country is a unique country. The increase of standards will have a negative impact on China's import and export trade; the international standard adopted by China (especially the international standard of voluntary) has promoted the development of China's foreign import and export trade and is conducive to the increase of China US trade surplus. Compulsory national standards have promoted China's exports to the United States and restrained China from the United States. Import.
The middle level analysis. To the industrial level, it focuses on the differences in the trade effects of various standards in different industrial sectors, involving the impact of standard trade policies on the development of specific industries and the role of standard system in the export trade of specific industries. The study found that the increase in the standard of product, base, method, safety, health and environmental protection will help to expand the scale of China's foreign trade. At the same time, there is structural imbalance in China's standard system: the proportion of international standards in the industrial sector with many standard stock is low; the proportion of technical standards in various industrial departments is high, and the management standard is high. The proportion of the standard is low; the proportion of products, basic and method standards is high, and the proportion of safety, health and environmental protection standards is low. Second, take the export trade of electronic products as an example, apply gravitational model to analyze the trade effect of China standard in the field of electronic products. There is a significant and robust role in the export of national electronic products. This effect is also changed with the difference in the effectiveness of standard execution and the differences in the types of electronic products. Consistent with international standards is conducive to the promotion of China's export of electronic products to the world.
First, a model is built under the market conditions of network externality and conversion technology to study the formation of compatibility standard trade policy and the impact on the consumer utility, enterprise profit and social welfare of the network industry. The results show that the conversion technology is adopted to follow the compatibility standards. The government has the motivation to set too strict compatibility standards for foreign companies providing digital products in their domestic market. The existence of conversion technology helps to alleviate competition in the digital market and increase social welfare, but the technology standards are provided with the protection of intellectual property rights. The pricing depends on the negotiation game between enterprises. Second, introducing the standard factor into the heterogeneous enterprise theory model and using the micro data of the export enterprises of China's electronic products to measure the consistency standard (Harmonized Standards) for the first time, that is, the image of the international market selection behavior of the heterogeneous enterprise is equivalent to the national standard with international standards. The study found that the consensus standard has a significant and steady boost to the export trade of Chinese electronics. This effect has an impact on the expanded marginal and intensive margin of export growth, and has greater impact on the former. As the proportion of the uniform standards in the national standard increases, more and more At the beginning, enterprises that only supply the market in developing countries have also begun to enter the markets of developed countries, especially those with higher productivity; at the same time, those who have begun to supply the developing and developed countries and supply two types of markets for the entire period of the sample period are also exported in the original market. It's increasing.
Case analysis. The international standardization case of China's WAPI standard and the Binary CDMA standard in Korea is compared and analyzed. The role and effectiveness of the market mechanism and non market mechanism in the standardization process are emphatically investigated, and the post strategy of the international standardization is discussed. The research finds that China promotes the national standard to become an international standard. The success of the international standardization strategy requires policy support from the government and the organic combination of market mechanisms and non market mechanisms on the basis of respect for corporate decision-making and consumer demands.
On the basis of the above, we are mainly based on the classical international trade theory, the standard economics theory, the network industry organization theory, the heterogeneous enterprise theory and the development economics theory, and according to the macro (Chinese foreign trade, Sino US bilateral trade) - the middle view (Industrial Trade) - the microcosmic (enterprise international market choice) order, the Chinese standard The trade effect provides more complete theoretical proof and empirical evidence, and combines case analysis to sum up the post strategy of China in international standardization. The main conclusions include three aspects: first, the standard has an important impact on the development of China's import and export trade; second, the standard trade effect varies with the standard category. Third, the standard will affect the international market choice behavior of micro enterprises, the standard trade effect can be explained by the standard on the effect of the marginal trade. Taking part in the preparation, setting up specific processes at various stages, such as international standards, and promoting national standards to become international standards on the basis of fully considering the standard category, technical strength and market development potential.
Constrained by the difficulty of the expansion of theoretical models and the difficulty of obtaining empirical data, the limitations and problems of the paper are inevitable. Further research and development are needed.

【學位授予單位】：復旦大學
【學位級別】：博士
【學位授予年份】：2013
【分類號】：F752;F203

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