【摘要】：隨著貿(mào)易保護主義的不斷發(fā)展,傳統(tǒng)的國際貿(mào)易保護手段受到國際貿(mào)易規(guī)則的限制和約束,關(guān)稅壁壘逐步被削減,非關(guān)稅壁壘也正在逐步被取消。然而,《世界貿(mào)易組織貿(mào)易技術(shù)壁壘協(xié)議》中關(guān)于技術(shù)貿(mào)易壁壘使用的例外條款和一些特殊規(guī)定,使技術(shù)貿(mào)易壁壘成為當(dāng)今國際貿(mào)易中最主要和應(yīng)用最廣泛的貿(mào)易保護工具。歐盟作為中國第二大玩具出口目標(biāo)國,是技術(shù)性貿(mào)易壁壘的主要發(fā)源地之一,其最新發(fā)布的《歐盟新玩具安全指令》(2009/48/EC)于2011年7月20日正式實施,提高了玩具的市場準(zhǔn)入門檻,使中國玩具出口企業(yè)面臨嚴(yán)峻的生存考驗。本文基于技術(shù)貿(mào)易壁壘的特點分析及中國玩具產(chǎn)業(yè)的發(fā)展現(xiàn)狀,結(jié)合歐盟新玩具安全指令,評價技術(shù)貿(mào)易壁壘對中國玩具產(chǎn)業(yè)的影響,力圖探索中國玩具出口歐盟市場的競爭策略,進而探索一條適合中國玩具產(chǎn)業(yè)可持續(xù)發(fā)展的道路。本文第一章為緒論,介紹了整個論文的研究背景、研究目的以及文獻綜述。國內(nèi)外的研究現(xiàn)狀和發(fā)展趨勢為本文寫作提供了理論支持。論文第二章介紹了技術(shù)貿(mào)易壁壘的相關(guān)理論。目前技術(shù)貿(mào)易壁壘并沒有統(tǒng)一的定義,但根據(jù)《世界貿(mào)易組織貿(mào)易技術(shù)壁壘協(xié)議》宗旨和原則,可以概括出技術(shù)貿(mào)易壁壘是指一國政府或非政府機構(gòu),以保證其出口產(chǎn)品的質(zhì)量,或保護人類、動物或植物的生命或健康,保護環(huán)境,或防止欺詐行為為由,制定的一系列強制性或非強制性的技術(shù)性措施,包括技術(shù)法規(guī)和標(biāo)準(zhǔn),以及合格評定程序。由于本文主要研究歐盟技術(shù)貿(mào)易壁壘對中國玩具出口的影響,第二章還主要闡述了歐盟技術(shù)貿(mào)易壁壘的起源、表現(xiàn)形式和特點。隨著歐盟各國經(jīng)濟技術(shù)水平的提高,人們對產(chǎn)品的質(zhì)量和安全要求也越來越高,發(fā)達國家以保證產(chǎn)品質(zhì)量、保護消費者安全和健康以及環(huán)境為由,憑借與發(fā)展中國家存在的技術(shù)差距設(shè)置技術(shù)貿(mào)易壁壘,達到維護國內(nèi)經(jīng)濟利益、保護區(qū)域內(nèi)產(chǎn)業(yè)發(fā)展的目的。也正是由于經(jīng)濟全球化和貿(mào)易自由化程度的進一步加深,關(guān)稅壁壘和傳統(tǒng)的非關(guān)稅壁壘被各國所摒棄,而技術(shù)貿(mào)易壁壘憑借其合理性、隱蔽性、廣泛性等特點,成為世界各國廣泛應(yīng)用的貿(mào)易保護工具。第三章對中國玩具出口現(xiàn)狀及遭受的歐盟技術(shù)性貿(mào)易進行詳細(xì)分析。第三章第一部分從四個方面分析了中國玩具出口的現(xiàn)狀。就出口貿(mào)易額而言,近十年來中國玩具出口保持著穩(wěn)定增長的趨勢。只有在2008年增長緩慢,2009年出現(xiàn)了出口貿(mào)易額下滑,究其原因是上文提及的外部環(huán)境共同造成的,包括頻繁發(fā)生的玩具召回事件,全球金融危機以及歐盟發(fā)布的《歐盟新玩具安全指令》。就出口市場而言,中國玩具出口多年來一直集中在少數(shù)發(fā)達國家和地區(qū),包括美國、歐盟、日本等,占據(jù)了中國玩具出口貿(mào)易額60%以上。而以上發(fā)達國家也正好是技術(shù)貿(mào)易壁壘制定、實施的主體,這決定了中國玩具出口將難以避免的遭遇到技術(shù)貿(mào)易壁壘。就貿(mào)易方式而言,以加工貿(mào)易方式出口在中國玩具出口中仍占相當(dāng)大的比例,但近年來呈現(xiàn)下降的趨勢。加工貿(mào)易方式出口一方面企業(yè)能夠迅速的進入國際市場,另一方面企業(yè)只能夠賺取廉價的加工費,玩具產(chǎn)業(yè)鏈附加值高的環(huán)節(jié)都被國外企業(yè)所掌,同時也主要生產(chǎn)科技含量低的產(chǎn)品,難以進行技術(shù)創(chuàng)新。就出口產(chǎn)地而言,中國玩具出口主要集中在廣東、浙江、江蘇、上海、山東和福建,以上省市的出口貿(mào)易額占中國玩具出口貿(mào)易總額的90%以上。從地理位置上看,這些地區(qū)均為中國南部南海經(jīng)濟發(fā)達地區(qū),交通便利、勞動力成本低、對外開放程度較高,有利于中國玩具出口企業(yè)的發(fā)展。第三章第二部分闡述了中國玩具出口遭遇歐盟技術(shù)貿(mào)易壁壘的現(xiàn)狀。根據(jù)《世界貿(mào)易組織貿(mào)易技術(shù)壁壘協(xié)議》中提到的技術(shù)貿(mào)易壁壘的表現(xiàn)形式,本文主要從歐盟的技術(shù)法規(guī)、技術(shù)標(biāo)準(zhǔn)以及合格評定程序三個方面展現(xiàn)中國玩具出口遇到的技術(shù)貿(mào)易壁壘。技術(shù)法規(guī)是必須強制性執(zhí)行的有關(guān)產(chǎn)品特性或其相關(guān)工藝和生產(chǎn)方法,主要以指令的形式頒布。通過列舉歐盟有關(guān)玩具產(chǎn)品的技術(shù)法規(guī)和指令,可以看出歐盟技術(shù)貿(mào)易壁壘體系的廣泛性、復(fù)雜性和嚴(yán)苛性。技術(shù)標(biāo)準(zhǔn)指經(jīng)公認(rèn)機構(gòu)批準(zhǔn)的、非強制執(zhí)行的、供通用或重復(fù)使用的產(chǎn)品或相關(guān)工藝和生產(chǎn)方法,主要以協(xié)調(diào)標(biāo)準(zhǔn)的形式頒布。協(xié)調(diào)標(biāo)準(zhǔn)是中國玩具制造商證明產(chǎn)品符合指令基本要求的一種工具,也就是說,符合協(xié)調(diào)標(biāo)準(zhǔn)的產(chǎn)品即可在歐盟市場流通。目前歐盟所制定的主要玩具協(xié)調(diào)標(biāo)準(zhǔn)包括玩具的機械與物理性能、燃燒性能、特定元素遷移、有機化合物限量、玩具電氣安全、玩具的標(biāo)識(年齡警告)等。合格評定程序是指任何直接或間接方式確定產(chǎn)品是否符合相關(guān)要求的活動。玩具產(chǎn)品涉及到的合格評定程序分為兩大類,分別通過歐盟“第三方指定機構(gòu)”進行EC型式試驗,或由制造商自行驗證,從而獲得CE標(biāo)志,進入歐盟市場自由流通。論文第四章對歐盟技術(shù)貿(mào)易壁壘對中國玩具出口的影響及中國玩具產(chǎn)品遭遇技術(shù)貿(mào)易壁壘的原因進行了分析。技術(shù)貿(mào)易壁壘對中國玩具出口的影響有消極和積極兩個方面。短期來看,歐盟技術(shù)貿(mào)易壁壘造成產(chǎn)品生產(chǎn)成本的增加,市場準(zhǔn)入門檻提高以及中國玩具產(chǎn)品形象受損。但從長期來看,歐盟技術(shù)貿(mào)易壁壘在加快中國技術(shù)法規(guī)、標(biāo)準(zhǔn)和合格評定程序的制定和實施,促進玩具企業(yè)的技術(shù)改造和產(chǎn)品升級,推動了對玩具消費者利益保護方面發(fā)揮了重要作用。對于歐盟技術(shù)貿(mào)易壁壘產(chǎn)生機制的分析是從國外和國內(nèi)兩個角度分別展開的。隨著金融危機后尤其是歐洲各國經(jīng)濟恢復(fù)緩慢,貿(mào)易保護主義蔓延以保護本國產(chǎn)業(yè)發(fā)展,緩解社會矛盾。同時,歐盟作為中國玩具產(chǎn)品的第二大出口市場,也是技術(shù)貿(mào)易壁壘的發(fā)源地。過多對單一市場的依賴以及歐盟成熟的技術(shù)法規(guī)、標(biāo)準(zhǔn)體系,造成了中國難以避免歐盟技術(shù)貿(mào)易壁壘。加之發(fā)達國家生活水平的提高,消費者對玩具這一特殊產(chǎn)品的要求也越來越高。國內(nèi)因素主要存在于以下方面：中國玩具產(chǎn)業(yè)結(jié)構(gòu)不合理,主要生產(chǎn)技術(shù)含量低的產(chǎn)品,缺乏品牌創(chuàng)新,難以提高技術(shù)水平,因此難以達到歐盟設(shè)置的較高的技術(shù)標(biāo)準(zhǔn)。其次中國國內(nèi)關(guān)于玩具的技術(shù)法規(guī)體系不健全,技術(shù)標(biāo)準(zhǔn)低于歐盟的規(guī)定,使得中國玩具企業(yè)出口后頻繁因為質(zhì)量問題遭遇歐盟的召回和通報。再者,企業(yè)缺乏標(biāo)準(zhǔn)意識及應(yīng)對技術(shù)貿(mào)易壁壘的經(jīng)驗,防范意識薄弱都使得中國玩具企業(yè)容易遭遇歐盟技術(shù)貿(mào)易壁壘。論文第五章針對中國玩具出口遭遇歐盟技術(shù)貿(mào)易壁壘的現(xiàn)狀和原因,從政府、行業(yè)協(xié)會、企業(yè)三個層面提出了應(yīng)對的措施。政府應(yīng)當(dāng)發(fā)揮引導(dǎo)作用,建立健全中國玩具相關(guān)的技術(shù)標(biāo)準(zhǔn)體系,并加快與國際標(biāo)準(zhǔn)接軌；建立技術(shù)貿(mào)易壁壘預(yù)警體系,盡量避免企業(yè)可能遭受的損失；引導(dǎo)玩具產(chǎn)業(yè)結(jié)構(gòu)調(diào)整,轉(zhuǎn)變當(dāng)前玩具出口以加工貿(mào)易為主要方式的現(xiàn)狀。行業(yè)協(xié)會則應(yīng)當(dāng)發(fā)揮聯(lián)系政府企業(yè)的中介作用,積極參與國內(nèi)玩具行業(yè)標(biāo)準(zhǔn)的制定,向政府反映企業(yè)的建議；督促企業(yè)出口秩序,設(shè)定行業(yè)內(nèi)最低限價以保證規(guī)范有序的競爭；追蹤歐盟技術(shù)貿(mào)易壁壘動態(tài),協(xié)助企業(yè)應(yīng)對技術(shù)貿(mào)易壁壘引起的貿(mào)易摩擦及糾紛；建立合作交流機制,達到促進與國外玩具企業(yè)溝通交流并推廣中國玩具產(chǎn)品的目的。企業(yè)應(yīng)當(dāng)發(fā)揮應(yīng)對歐盟技術(shù)貿(mào)易壁壘主體作用,通過技術(shù)創(chuàng)新,提高產(chǎn)品的科技含量；加強對歐盟技術(shù)法規(guī)和標(biāo)準(zhǔn)體系的了解,樹立標(biāo)準(zhǔn)意識；熟悉并利用wTO規(guī)則,積極應(yīng)對歐盟技術(shù)貿(mào)易壁壘,維護自身合法權(quán)益；拓寬產(chǎn)品市場,降低出口目標(biāo)市場集中給中國玩具企業(yè)造成的風(fēng)險。
[Abstract]:With the development of trade protectionism, the traditional international trade protection measures are restricted and constrained by the international trade rules, and the tariff is gradually reduced, and the non-tariff barriers are being phased out. However, the exception clause and some special provisions on the use of technology trade barriers in the Trade and Technical Barriers to Trade of the World Trade Organization (WTO) make the technology trade barriers the most important and most widely used trade protection tool in international trade today. The EU, as the target of China's second-largest toy export, is one of the main sources of technical barriers to trade. The latest version of the European Union New Toy Safety Directive (2009/48/ EC) was formally implemented on July 20,2011, raising the market access threshold for toys. China's toy export enterprises are facing a severe challenge. Based on the analysis of the characteristics of the technology trade barrier and the present situation of the development of the Chinese toy industry, this paper, combined with the European Union's new toy safety instruction, evaluates the influence of the technology trade barrier on the Chinese toy industry, and tries to explore the competition strategy of China's toy export EU market. And further explore a road suitable for the sustainable development of the Chinese toy industry. The first chapter is the introduction, introduces the research background, the research purpose and the literature review of the whole thesis. The present situation and development trend of the research at home and abroad provide theoretical support for the writing of this paper. The second chapter introduces the theory of technology trade barrier. At present, there is no uniform definition of the technology trade barrier, but according to the WTO Agreement on Trade and Technical Barriers, it can be summarized that the technical trade barrier refers to a government or a non-governmental organization of a country to ensure the quality of its export products, or to protect human beings, The life or health of an animal or plant, the protection of the environment, or the prevention of fraud is a series of mandatory or non-mandatory technical measures, including technical regulations and standards, as well as conformity assessment procedures. This paper mainly studies the effect of EU technology trade barrier on China's toy export, and the second chapter mainly discusses the origin, manifestation and characteristics of EU's technical trade barrier. With the improvement of the economic technology level of the countries in the European Union, the quality and safety requirements of the products are also higher and higher. The developed countries have set the technical barriers to trade with the technical gap existing in the developing countries by ensuring the quality of the products, protecting the safety and health of the consumers and the environment. And the purpose of maintaining domestic economic benefits and protecting the industrial development in the region is achieved. It is also because of the further deepening of the economic globalization and the degree of trade liberalization, the tariff and the traditional non-tariff barriers are abandoned by the countries, and the technical trade barriers have become the most widely used trade protection tools in the world by virtue of its rationality, concealment and universality. The third chapter analyzes the present situation of China's toy exports and the technical trade of the EU. The first part of the third chapter analyses the present situation of China's toy export from four aspects. In the case of export trade, China's toy exports have maintained a steady growth in the last decade. Only by the slow pace of growth in 2008, the decline in the volume of exports in 2009 is due to the common effects of the external environment referred to above, including the frequent toy recall events, the global financial crisis and the European Union New Toy Safety Directive issued by the European Union. As far as the export market is concerned, China's toy exports have been concentrated in a few developed countries and regions for years, including the United States, the European Union, Japan and so on, occupying more than 60% of the trade volume of Chinese toys. The above developed countries are also the subject of the development and implementation of the technology trade barriers, which determines that China's toy exports will be difficult to avoid the technical barriers to trade. In that case of trade, the export of the export of processing trade still account for a considerable proportion in the export of Chinese toys, but there has been a downward trend in recent years. On the one hand, enterprises can enter the international market rapidly on the one hand, and on the other hand, enterprises can only earn low-cost processing fees, and the links of the value-added value of the toy industry chain are held by foreign enterprises, and the products with low technology content are also mainly produced, and the technology innovation is difficult to be carried out. In terms of export origin, China's toy exports are mainly concentrated in Guangdong, Zhejiang, Jiangsu, Shanghai, Shandong and Fujian, and the export volume of China's provinces and cities accounts for more than 90% of the total export trade of China's toys. From the geographical location, these areas are the developed areas of the South China Sea in the south of China. The traffic is convenient, the labor cost is low, the opening to the outside is high, which is beneficial to the development of Chinese toy export enterprises. The second part of the third chapter expounds the current situation of China's toy export in the EU technical trade barrier. According to the manifestation of the technology trade barriers mentioned in the Trade and Technical Barrier Agreement of the World Trade Organization, this paper presents the technical barriers to the export of China's toys from the three aspects of the EU's technical regulations, technical standards and the process of conformity assessment. The technical regulations are relevant product characteristics that must be enforced or their related processes and methods of production, which are mainly enacted in the form of instructions. By listing the EU's technical regulations and directives on toy products, it can be seen that the EU's technology trade barrier system is wide, complex and demanding. The technical standards refer to the products or related processes and production methods approved by recognized institutions for general purpose or repeated use, and shall be promulgated mainly in the form of coordination standards. The coordination standard is a tool for Chinese toy manufacturers to prove that the products meet the basic requirements of the directive, that is, the products that meet the coordination standards can be circulated in the EU market. The major toy coordination standards currently developed by the European Union include the mechanical and physical properties of the toy, the combustion performance, the specific element migration, the organic compound limit, the toy's electrical safety, the identification of the toy (age warning), and the like. The conformity assessment procedure means any activity that determines whether the product is in compliance with the relevant requirements in any direct or indirect manner. The conformity assessment procedures involved in the toy products are divided into two categories: EC type test through EU "third-party appointing authority", or self-verification by the manufacturer, so as to obtain the CE mark and enter the European Union market for free circulation. In the fourth chapter, the paper analyzes the effect of EU technology trade barrier on China's toy export and the technical barriers to China's toy products. The effect of technology trade barrier on the export of Chinese toys has negative and positive aspects. In the short term, the EU's technical barriers to trade have led to an increase in the production costs of the products, an increase in market access thresholds, and the damage to the image of the Chinese toy products. However, in the long term, the EU technical trade barrier has played an important role in speeding up the development and implementation of China's technical regulations, standards and conformity assessment procedures, promoting the technical transformation and product upgrading of the toy enterprises, and promoting the protection of the interests of the toy consumers. The analysis of the mechanism of the European Union's technical trade barrier is from both foreign and domestic perspectives. In that wake of the financial crisis, especially in Europe, the economic recovery of Europe is slow, and the spread of trade protectionism is to protect the development of the domestic industry and to alleviate the social contradictions. At the same time, the European Union, as the second largest export market for Chinese toy products, is also the source of the technology trade barrier. Too much dependence on a single market, as well as the EU's mature technical regulations and standards, has created China's difficult to avoid the EU's technical barriers to trade. In addition to the improvement of the living standard of the developed countries, the demand of the consumer to the special product of the toy is also higher and higher. The domestic factors mainly exist in the following aspects: the irrational industrial structure of China's toys, the low-tech products of the main production, the lack of brand innovation and the difficulty of raising the technical level, so it is difficult to meet the higher technical standards set by the EU. Second, China's domestic technical regulations and regulations on toys are not sound, and the technical standards are lower than that of the EU, so that the Chinese toy enterprises are frequently subject to the European Union's recall and notification after the export of the Chinese toy enterprises. Moreover, the lack of the standard consciousness of the enterprise and the experience of dealing with the technical barriers to trade, the weakness of the prevention consciousness makes the Chinese toy enterprises vulnerable to the technical trade barriers of the EU. In the fifth chapter, the paper puts forward the measures to deal with the present situation and the reason of the EU's technical trade barrier in China's toy export, and from the government, the trade association and the enterprise. The government should play a leading role, set up and improve the technical standards system related to Chinese toys, and speed up the integration with international standards; set up the early warning system of technology trade barriers and avoid possible losses of enterprises; and guide the structural adjustment of the toy industry. The current situation of changing the current toy outlet to process trade is the main way. The trade association should play an intermediary role with the government enterprises, actively participate in the formulation of domestic toy industry standards, reflect the suggestions of the enterprises to the government, urge the enterprise to export order, set the minimum price in the industry to guarantee the orderly and orderly competition, and track the dynamic of the EU technical trade barriers, Assist the enterprise to deal with the trade friction and disputes arising from the technical barriers to trade; establish a cooperative communication mechanism to promote the communication with the foreign toy enterprises and promote the purpose of the Chinese toy products. The enterprise should play the main role in dealing with the technical trade barriers of the EU, adopt technological innovation, improve the scientific and technological content of the products, strengthen the understanding of the technical regulations and standard systems of the European Union, set up the standard consciousness, be familiar with and use the wTO rules, and actively deal with the technical trade barriers of the EU, Maintain the legitimate rights and interests of China; expand the product market and reduce the risk of the export target market to China's toy enterprises.
【學(xué)位授予單位】：東北財經(jīng)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2015
【分類號】：F426.8;F752.62

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