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標(biāo)準(zhǔn)與國(guó)際貿(mào)易:理論與中國(guó)的經(jīng)驗(yàn)證據(jù)

發(fā)布時(shí)間:2018-05-08 19:16

  本文選題:標(biāo)準(zhǔn) + 標(biāo)準(zhǔn)化。 參考:《復(fù)旦大學(xué)》2013年博士論文


【摘要】:標(biāo)準(zhǔn)是國(guó)際貿(mào)易的基石,是各國(guó)開(kāi)展商業(yè)交流的技術(shù)語(yǔ)言。隨著貿(mào)易自由化進(jìn)程的加快,各國(guó)普遍融入經(jīng)濟(jì)全球化,標(biāo)準(zhǔn)對(duì)于貿(mào)易的影響不斷凸顯。當(dāng)前,關(guān)于標(biāo)準(zhǔn)貿(mào)易效應(yīng)的研究成為WTO、世界銀行等國(guó)際組織開(kāi)展貿(mào)易政策研究的前沿和熱點(diǎn)領(lǐng)域之一。 自上世紀(jì)90年代以來(lái),以德國(guó)、英國(guó)、美國(guó)等為代表的發(fā)達(dá)國(guó)家已經(jīng)在這一研究領(lǐng)域積累了豐富的理論和實(shí)證成果,對(duì)建設(shè)國(guó)家標(biāo)準(zhǔn)化體系、制定貿(mào)易政策發(fā)揮著重要的指導(dǎo)作用,積極促進(jìn)了對(duì)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(guó)家標(biāo)準(zhǔn)貿(mào)易效應(yīng)的研究長(zhǎng)期以來(lái)嚴(yán)重滯后于發(fā)達(dá)國(guó)家。幾乎所有的已有研究都是以發(fā)達(dá)國(guó)家標(biāo)準(zhǔn)為研究對(duì)象,研究樣本涉及到發(fā)展中國(guó)家的經(jīng)驗(yàn)分析也只是考察發(fā)達(dá)國(guó)家標(biāo)準(zhǔn)對(duì)來(lái)自發(fā)展中國(guó)家貿(mào)易的影響。從發(fā)展中國(guó)家標(biāo)準(zhǔn)出發(fā),考察發(fā)展中國(guó)家標(biāo)準(zhǔn)對(duì)其進(jìn)出口貿(mào)易影響的探討極為有限,近年才開(kāi)始出現(xiàn)考察中國(guó)標(biāo)準(zhǔn)貿(mào)易效應(yīng)的相關(guān)研究。 與發(fā)達(dá)國(guó)家已經(jīng)取得的研究成果相比,關(guān)于中國(guó)標(biāo)準(zhǔn)貿(mào)易效應(yīng)的研究無(wú)論在研究方法上、還是在研究方向上,都遠(yuǎn)未取得系統(tǒng)性的研究進(jìn)展。盡管長(zhǎng)期以來(lái)國(guó)外學(xué)界、業(yè)界都非常關(guān)注中國(guó)標(biāo)準(zhǔn),但是來(lái)自中國(guó)的經(jīng)驗(yàn)證據(jù)卻嚴(yán)重不足。在此背景下,論文力圖從一個(gè)較為完整和系統(tǒng)的視角來(lái)考察中國(guó)標(biāo)準(zhǔn)的貿(mào)易效應(yīng)。論文將最新的理論與鮮活的實(shí)踐需求結(jié)合起來(lái),找到二者的契合點(diǎn),對(duì)理論進(jìn)行了擴(kuò)展,并著重提供來(lái)自中國(guó)的經(jīng)驗(yàn)證據(jù)。論文的主要部分及研究成果如下。 標(biāo)準(zhǔn)貿(mào)易效應(yīng)的文獻(xiàn)回顧。充分綜述有關(guān)標(biāo)準(zhǔn)貿(mào)易效應(yīng)的測(cè)度、爭(zhēng)論的理論和實(shí)證文獻(xiàn),分三條線索。第一,梳理了標(biāo)準(zhǔn)影響國(guó)際貿(mào)易的作用機(jī)制;第二,綜述了這一領(lǐng)域的經(jīng)驗(yàn)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(biāo)準(zhǔn)競(jìng)爭(zhēng)與標(biāo)準(zhǔn)化形成的市場(chǎng)機(jī)制、標(biāo)準(zhǔn)化中的非市場(chǎng)力量與后發(fā)者策略兩個(gè)方面梳理網(wǎng)絡(luò)產(chǎn)業(yè)的標(biāo)準(zhǔn)競(jìng)爭(zhēng)與標(biāo)準(zhǔn)化策略。文獻(xiàn)梳理重在比較研究對(duì)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(shí)序數(shù)據(jù)考察了自愿性的國(guó)家標(biāo)準(zhǔn)和國(guó)際標(biāo)準(zhǔn)對(duì)中國(guó)進(jìn)出口貿(mào)易的作用。結(jié)果顯示:國(guó)家標(biāo)準(zhǔn)量、國(guó)際標(biāo)準(zhǔn)量的增加對(duì)中國(guó)對(duì)外貿(mào)易規(guī)模均產(chǎn)生了正面的作用。頒布和實(shí)施國(guó)家標(biāo)準(zhǔn)促進(jìn)了中國(guó)進(jìn)出口貿(mào)易的發(fā)展,而積極采用國(guó)際標(biāo)準(zhǔn)的影響更加顯著,并且它們對(duì)于出口總額的正面影響都要大于對(duì)進(jìn)口總額的影響。第二,通過(guò)協(xié)整、Granger因果檢驗(yàn)以及嶺回歸(Ridge Regression)考察了自愿性標(biāo)準(zhǔn)對(duì)中國(guó)出口增長(zhǎng)的影響。研究顯示:標(biāo)準(zhǔn)量的變化是出口貿(mào)易額增長(zhǎng)的Granger原因,標(biāo)準(zhǔn)量對(duì)出口貿(mào)易額的作用的確存在,并且具有較強(qiáng)的時(shí)效性。嶺回歸的結(jié)果進(jìn)一步證實(shí)了標(biāo)準(zhǔn)對(duì)中國(guó)出口增長(zhǎng)的顯著作用。這一促進(jìn)作用在2001年中國(guó)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(guó)際分類(lèi)標(biāo)準(zhǔn)(ICS)面板數(shù)據(jù),以總需求函數(shù)為基礎(chǔ)建立模型實(shí)證考察了強(qiáng)制性國(guó)家標(biāo)準(zhǔn)、自愿性國(guó)家標(biāo)準(zhǔn)、強(qiáng)制性國(guó)際標(biāo)準(zhǔn)、自愿性國(guó)際標(biāo)準(zhǔn)對(duì)中國(guó)對(duì)外貿(mào)易、中美雙邊貿(mào)易的影響。研究結(jié)果顯示,中國(guó)特有的國(guó)家標(biāo)準(zhǔn)的增加,會(huì)對(duì)中國(guó)的進(jìn)出口貿(mào)易產(chǎn)生負(fù)面影響;中國(guó)采用的國(guó)際標(biāo)準(zhǔn)(尤其是自愿性國(guó)際標(biāo)準(zhǔn))正面推進(jìn)了中國(guó)對(duì)外進(jìn)出口貿(mào)易的發(fā)展,并有利于增加中美貿(mào)易盈余。強(qiáng)制性國(guó)家標(biāo)準(zhǔn)促進(jìn)了中國(guó)向美國(guó)的出口,抑制了中國(guó)來(lái)自美國(guó)的進(jìn)口。 中觀層面的分析。深入到產(chǎn)業(yè)層面,重點(diǎn)研究不同產(chǎn)業(yè)部門(mén)中各類(lèi)標(biāo)準(zhǔn)的貿(mào)易效應(yīng)的差異、涉及標(biāo)準(zhǔn)的貿(mào)易政策對(duì)特定產(chǎn)業(yè)發(fā)展的影響以及標(biāo)準(zhǔn)體系對(duì)特定產(chǎn)業(yè)出口貿(mào)易的作用。內(nèi)容包括:第一,基于標(biāo)準(zhǔn)類(lèi)別和部門(mén)差異考察標(biāo)準(zhǔn)的貿(mào)易效應(yīng)。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(biāo)準(zhǔn)的增加有助于中國(guó)對(duì)外貿(mào)易規(guī)模的擴(kuò)大。同時(shí),中國(guó)標(biāo)準(zhǔn)體系存在結(jié)構(gòu)性不平衡:標(biāo)準(zhǔn)存量多的產(chǎn)業(yè)部門(mén)中國(guó)際標(biāo)準(zhǔn)所占比重較低;各產(chǎn)業(yè)部門(mén)中技術(shù)標(biāo)準(zhǔn)比重較高,管理標(biāo)準(zhǔn)所占比重較低;產(chǎn)品、基礎(chǔ)和方法標(biāo)準(zhǔn)所占比重較高,安全、衛(wèi)生和環(huán)保標(biāo)準(zhǔn)所占比重較低。第二,以電子產(chǎn)品出口貿(mào)易為例,應(yīng)用引力模型對(duì)電子產(chǎn)品領(lǐng)域里中國(guó)標(biāo)準(zhǔn)的貿(mào)易效應(yīng)進(jìn)行面板分析。研究結(jié)果顯示,國(guó)家標(biāo)準(zhǔn)、國(guó)際標(biāo)準(zhǔn)對(duì)中國(guó)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(biāo)準(zhǔn)執(zhí)行效力的不同以及電子產(chǎn)品種類(lèi)的差異而變化,與國(guó)際標(biāo)準(zhǔn)保持一致有利于促進(jìn)中國(guó)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(chǎng)條件下構(gòu)建模型,研究兼容性標(biāo)準(zhǔn)貿(mào)易政策的形成以及對(duì)網(wǎng)絡(luò)產(chǎn)業(yè)的消費(fèi)者效用、企業(yè)利潤(rùn)以及社會(huì)福利的影響。研究結(jié)果顯示:當(dāng)為了遵循兼容性標(biāo)準(zhǔn)而采用轉(zhuǎn)換技術(shù)的成本主要是由在本國(guó)市場(chǎng)上提供數(shù)字產(chǎn)品的外國(guó)企業(yè)承擔(dān)時(shí),本國(guó)政府有動(dòng)機(jī)設(shè)定過(guò)于嚴(yán)格的兼容性標(biāo)準(zhǔn)。轉(zhuǎn)換技術(shù)的存在有助于緩解數(shù)字市場(chǎng)上的企業(yè)競(jìng)爭(zhēng)、增加社會(huì)福利,但是在有關(guān)技術(shù)標(biāo)準(zhǔn)受到知識(shí)產(chǎn)權(quán)保護(hù)時(shí),轉(zhuǎn)換技術(shù)的提供與定價(jià)依賴于企業(yè)之間的談判博弈。第二,將標(biāo)準(zhǔn)因素引入異質(zhì)性企業(yè)理論模型,利用中國(guó)電子產(chǎn)品出口企業(yè)的微觀數(shù)據(jù),首次實(shí)證度量了一致標(biāo)準(zhǔn)(harmonized standards),即等同采用國(guó)際標(biāo)準(zhǔn)的國(guó)家標(biāo)準(zhǔn)對(duì)異質(zhì)性企業(yè)國(guó)際市場(chǎng)選擇行為的影響。研究發(fā)現(xiàn):一致標(biāo)準(zhǔn)對(duì)于中國(guó)電子產(chǎn)品的出口貿(mào)易具有顯著且穩(wěn)健的促進(jìn)作用。這種促進(jìn)作用對(duì)于出口增長(zhǎng)的擴(kuò)展邊際和集約邊際都有影響,并且對(duì)于前者的影響力度更大。隨著一致標(biāo)準(zhǔn)在國(guó)家標(biāo)準(zhǔn)中所占比重的提高,越來(lái)越多的初期僅供應(yīng)發(fā)展中國(guó)家市場(chǎng)的企業(yè)也開(kāi)始進(jìn)入發(fā)達(dá)國(guó)家市場(chǎng),特別是其中生產(chǎn)率較高的企業(yè);與此同時(shí),那些初期已經(jīng)開(kāi)始供應(yīng)發(fā)展中國(guó)家市場(chǎng)和發(fā)達(dá)國(guó)家市場(chǎng),以及在整個(gè)樣本期持續(xù)供應(yīng)兩類(lèi)市場(chǎng)的企業(yè)在原有市場(chǎng)上的出口量也在增加。 案例分析。對(duì)比分析了中國(guó)WAPI標(biāo)準(zhǔn)、韓國(guó)Binary CDMA標(biāo)準(zhǔn)的國(guó)際標(biāo)準(zhǔn)化案例,重點(diǎn)考察了標(biāo)準(zhǔn)化過(guò)程中市場(chǎng)機(jī)制和非市場(chǎng)機(jī)制的作用與有效性,并對(duì)國(guó)際標(biāo)準(zhǔn)化中的后發(fā)者策略進(jìn)行了討論。研究發(fā)現(xiàn),中國(guó)推動(dòng)國(guó)家標(biāo)準(zhǔn)成為國(guó)際標(biāo)準(zhǔn)的國(guó)際標(biāo)準(zhǔn)化策略的成功需要來(lái)自政府的政策支持,并在尊重企業(yè)決策和消費(fèi)者訴求的基礎(chǔ)上實(shí)現(xiàn)市場(chǎng)機(jī)制和非市場(chǎng)機(jī)制的有機(jī)結(jié)合。 綜合以上,我們主要基于經(jīng)典國(guó)際貿(mào)易理論、標(biāo)準(zhǔn)經(jīng)濟(jì)學(xué)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(jì)學(xué)理論展開(kāi)研究,按照宏觀(中國(guó)對(duì)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(guó)際市場(chǎng)選擇)的順序,對(duì)中國(guó)標(biāo)準(zhǔn)的貿(mào)易效應(yīng)提供較為完整的理論論證與經(jīng)驗(yàn)證據(jù),并結(jié)合案例分析總結(jié)歸納中國(guó)在國(guó)際標(biāo)準(zhǔn)化中的后發(fā)者策略。主要結(jié)論包括三個(gè)方面:第一,標(biāo)準(zhǔn)對(duì)中國(guó)進(jìn)出口貿(mào)易發(fā)展具有重要影響;第二,標(biāo)準(zhǔn)的貿(mào)易效應(yīng)隨著標(biāo)準(zhǔn)類(lèi)別而有所變化,并具有重要的產(chǎn)業(yè)部門(mén)差異;第三,標(biāo)準(zhǔn)會(huì)影響微觀企業(yè)的國(guó)際市場(chǎng)選擇行為,標(biāo)準(zhǔn)的貿(mào)易效應(yīng)可以通過(guò)標(biāo)準(zhǔn)對(duì)于貿(mào)易邊際的作用進(jìn)行解釋。結(jié)合案例分析,從長(zhǎng)期來(lái)看中國(guó)需要繼續(xù)增進(jìn)與國(guó)際標(biāo)準(zhǔn)化機(jī)構(gòu)的溝通、協(xié)商和合作,積極參加籌備、設(shè)定國(guó)際標(biāo)準(zhǔn)等各階段的具體過(guò)程,在充分考慮標(biāo)準(zhǔn)類(lèi)別、技術(shù)實(shí)力和市場(chǎng)發(fā)展?jié)摿Φ幕A(chǔ)之上推動(dòng)國(guó)家標(biāo)準(zhǔn)成為國(guó)際標(biāo)準(zhǔn)。 囿于理論模型擴(kuò)展的難度,以及實(shí)證數(shù)據(jù)獲取的困難,論文的局限和問(wèn)題在所難免,尚需進(jìn)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(xué)位授予單位】:復(fù)旦大學(xué)
【學(xué)位級(jí)別】:博士
【學(xué)位授予年份】:2013
【分類(lèi)號(hào)】:F752;F203

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