技术性贸易壁垒法律问题研究
摘要
随着经济全球化和贸易自由化进程的加快，关税逐渐降低，进出口数量限制、许可证制度、原产地证书制度、海关估价、外贸管制等非关税壁垒日益受到约束和限制，而以技术法规、标准和认证制度为主要内容的技术性贸易壁垒由于与其它非关税壁垒相比具有更强的隐蔽性、灵活性、复杂性等特点，其对国际贸易的影响越来越大，各国对之推崇倍至。由于中国经济和技术水平与发达国家存在着一定的差距，同时由于中国长期处于WTO或GATT之外，中国的企业和政府对一些发达国家的技术性贸易壁垒状况缺乏重视和了解，使得中国出口产品往往不符合进口国的技术法规和标准，结果使得这些产品的出口受阻；而且中国企业和政府对WTO技术性贸易壁垒协议缺乏深入研究，致使中国政府不能很好利用WTO规则来保护国内市场，同时又无法提高国内产品在国际市场上的竞争力。本文试图对一些主要发达国家的技术性贸易壁垒状况进行考察，并对WTO技术性贸易壁垒协议进行研究探讨，从而对我国企业和政府如何应对技术性贸易壁垒提出合理性建议。全文约三万字，分为以下几个部分：
第一部分主要介绍技术性贸易壁垒的基本理论问题。该部分首先阐述了技术性贸易壁垒的概念及其种类，文章将技术性贸易壁垒的种类概括为技术法规、标准和合格评定程序三种，而将商品包装和标签、产品检疫、检验制度和绿色壁垒等也纳入其中；然后论述了技术性贸易壁垒的本质和特点，文章认为技术性贸易壁垒实质上就是一种贸易保护措施，即抵销外国进口产品的优势或提高本国产品国际市场竞争力的一种贸易措施。技术性贸易壁垒与其它非关税壁垒相比，具有更强的隐蔽性、灵活性、复杂性和广泛性等特点。在此基础上、文章分析了技术性贸易壁垒形成和发展的原因，在这点上，文章首先分析了贸易壁垒从以关税壁垒为主到以非关税壁垒特别是以技术性贸易壁垒为主的这一历史演变过程，分析了当前技术性贸易壁垒增加的原因，文章特别指出，造成技术性贸易壁垒兴起的一个重要原因就是WTO技术性贸易壁垒协议的签署，因为它为贸易保护主义提供了设立各种技术性贸易壁垒的借口。
第二部分主要对一些发达国家的技术性贸易壁垒状况进行了横向考察。在这一部分文章主要分析了欧盟、美国、日本这三个经济发达国家和组织的技术法规、标准和合格评定程序，目的在于为我国企业和政府应对
技术性贸易壁垒提供一些借鉴.
第三部分主要论述了wTO技术性贸易壁垒协议如何对各国的技术性贸
易壁垒进行国际协调。这一部分文章首先阐述了WTO技术性贸易壁垒协议
的基本原则，然后阐述了WTO技术性贸易壁垒协议通过在技术法规、标准
的制定、采纳和实施、合格评定程序的相互承认、信息的公开与交流、对
发展中国家的区别特遇、组织保证和制度约束等方面作出相应的规定，使
各国之间的技术性贸易壁垒得以相互协调，从而消除彼此之间不必要的贸
易障碍.最后对WTO技术性贸易壁垒协议作出评析，文章认为技术性贸易
壁垒协议将使WTO各成员方的技术法规，标准及合格评定程序日趋统一、
透明，这在一定程度上减轻了技术性贸易壁垒的阻碍作用，但协议对偏离
国际标准的技术法规、标准或措施可能造成不良影响却缺乏硬性和明确的
规定或制约。
第四部分主要分析了技术性贸易壁垒对中国出口贸易的影响，以及中
国出口产品受国外技术性贸易壁垒限制的原因，并在此基础上，对中国企
业和政府如何应对技术性贸易壁垒提出合理性的建议。
With intensification of the economic glabalisation and trade liberization, the tariffs have been lowered greatly and the non-tariff barriers such as Import and Export Licensing System, Import and Export Quotas, Foreign Exchange Control have been restricted, and mennwhile the technical barriers to trade are playing a great role in international trade, which have the character of invisibility, flexibility and complexity. Becauuse China Falls behind the developed countries in economy and technology, and has little understanding of the technical barriers to trade of the developed countries, its products seldon fit the technical regulations and standards of those countries. Furthermore, Chinese government has little study on the Agreement on Technical Barriers to Trade (TBT), so China can't take advantage of the WTO rules to protect the domestic markets, and to increase the competiveness of products.
The Paper is an attempt to explore the technical barriers to trade of the main developed countries and to study the Agreement on Technical Barriers to Trade, so that to put out some proposals to our government on how to deal with the techni'cal barriers to trade. The paper consists of four parts as follows:
PART I: Introduction of the fundmental theory of the technical barriers to trade. In this part, the paper first explores the definition and the types of the technical barriers to trade. Then the paper analyses the nature and characters of the technical barriers to trade, the author takes the technical barriers to trade as trade protective measures. Comparing with other non-tariff barriers to trade, the technical barriers to trade are more invisible, flexible and complex. In this part, the paper also explores the reasons of formation and development of the technical barriers to trade.
PART II: Examination of the technical barriers to trade of some developed countries. The paper mainly exmines the techenical regulations, standards and procedures for assessment of conformity of EU, America and Japan. The aim of this part is to put out some proposals to the government and enterprises on how to deal with the technical barriers to trade.
Part III: A detailed analysis on Agreement on Technical Barriers to Trade. In this part, the paper first explores the principles of the Agreement on Technical Barriers to trade, and then explores that the TBT Agreement has some stipulations in term of Preparation, adoption and application of technical regutions and standards, the procedures for assessment of conformity, information disclosure and exchage, and special and differential treatment of developing country members. The paper also makes an assessment on the TBT agreement.
PART IV: Conclusion. In this part, the paper explores the impact of the technical barriers to trade on Chinese export, and the reasons that the exported products are often refused by some other countries. The paper gives the government and enterprises some proposals on how to deal with the technical barriers to trade.
第一部分主要介绍技术性贸易壁垒的基本理论问题。该部分首先阐述了技术性贸易壁垒的概念及其种类，文章将技术性贸易壁垒的种类概括为技术法规、标准和合格评定程序三种，而将商品包装和标签、产品检疫、检验制度和绿色壁垒等也纳入其中；然后论述了技术性贸易壁垒的本质和特点，文章认为技术性贸易壁垒实质上就是一种贸易保护措施，即抵销外国进口产品的优势或提高本国产品国际市场竞争力的一种贸易措施。技术性贸易壁垒与其它非关税壁垒相比，具有更强的隐蔽性、灵活性、复杂性和广泛性等特点。在此基础上、文章分析了技术性贸易壁垒形成和发展的原因，在这点上，文章首先分析了贸易壁垒从以关税壁垒为主到以非关税壁垒特别是以技术性贸易壁垒为主的这一历史演变过程，分析了当前技术性贸易壁垒增加的原因，文章特别指出，造成技术性贸易壁垒兴起的一个重要原因就是WTO技术性贸易壁垒协议的签署，因为它为贸易保护主义提供了设立各种技术性贸易壁垒的借口。
第二部分主要对一些发达国家的技术性贸易壁垒状况进行了横向考察。在这一部分文章主要分析了欧盟、美国、日本这三个经济发达国家和组织的技术法规、标准和合格评定程序，目的在于为我国企业和政府应对
技术性贸易壁垒提供一些借鉴.
第三部分主要论述了wTO技术性贸易壁垒协议如何对各国的技术性贸
易壁垒进行国际协调。这一部分文章首先阐述了WTO技术性贸易壁垒协议
的基本原则，然后阐述了WTO技术性贸易壁垒协议通过在技术法规、标准
的制定、采纳和实施、合格评定程序的相互承认、信息的公开与交流、对
发展中国家的区别特遇、组织保证和制度约束等方面作出相应的规定，使
各国之间的技术性贸易壁垒得以相互协调，从而消除彼此之间不必要的贸
易障碍.最后对WTO技术性贸易壁垒协议作出评析，文章认为技术性贸易
壁垒协议将使WTO各成员方的技术法规，标准及合格评定程序日趋统一、
透明，这在一定程度上减轻了技术性贸易壁垒的阻碍作用，但协议对偏离
国际标准的技术法规、标准或措施可能造成不良影响却缺乏硬性和明确的
规定或制约。
第四部分主要分析了技术性贸易壁垒对中国出口贸易的影响，以及中
国出口产品受国外技术性贸易壁垒限制的原因，并在此基础上，对中国企
业和政府如何应对技术性贸易壁垒提出合理性的建议。
With intensification of the economic glabalisation and trade liberization, the tariffs have been lowered greatly and the non-tariff barriers such as Import and Export Licensing System, Import and Export Quotas, Foreign Exchange Control have been restricted, and mennwhile the technical barriers to trade are playing a great role in international trade, which have the character of invisibility, flexibility and complexity. Becauuse China Falls behind the developed countries in economy and technology, and has little understanding of the technical barriers to trade of the developed countries, its products seldon fit the technical regulations and standards of those countries. Furthermore, Chinese government has little study on the Agreement on Technical Barriers to Trade (TBT), so China can't take advantage of the WTO rules to protect the domestic markets, and to increase the competiveness of products.
The Paper is an attempt to explore the technical barriers to trade of the main developed countries and to study the Agreement on Technical Barriers to Trade, so that to put out some proposals to our government on how to deal with the techni'cal barriers to trade. The paper consists of four parts as follows:
PART I: Introduction of the fundmental theory of the technical barriers to trade. In this part, the paper first explores the definition and the types of the technical barriers to trade. Then the paper analyses the nature and characters of the technical barriers to trade, the author takes the technical barriers to trade as trade protective measures. Comparing with other non-tariff barriers to trade, the technical barriers to trade are more invisible, flexible and complex. In this part, the paper also explores the reasons of formation and development of the technical barriers to trade.
PART II: Examination of the technical barriers to trade of some developed countries. The paper mainly exmines the techenical regulations, standards and procedures for assessment of conformity of EU, America and Japan. The aim of this part is to put out some proposals to the government and enterprises on how to deal with the technical barriers to trade.
Part III: A detailed analysis on Agreement on Technical Barriers to Trade. In this part, the paper first explores the principles of the Agreement on Technical Barriers to trade, and then explores that the TBT Agreement has some stipulations in term of Preparation, adoption and application of technical regutions and standards, the procedures for assessment of conformity, information disclosure and exchage, and special and differential treatment of developing country members. The paper also makes an assessment on the TBT agreement.
PART IV: Conclusion. In this part, the paper explores the impact of the technical barriers to trade on Chinese export, and the reasons that the exported products are often refused by some other countries. The paper gives the government and enterprises some proposals on how to deal with the technical barriers to trade.
引文
1、那力、何志鹏编著：《WTO与环境保护》，长春：吉林人民出版社2002年版。
2、李志军：《怎样打造“技术壁垒”的矛与盾》，北京：经济日报出版社2002年版。
3、陈志田、叶柏林主编：《贸易技术壁垒与商品进出口》，北京：中国计量出版社2002年版。
4、王传丽：《国际贸易法》，北京：法律出版社1998年版。
5、王传丽主编：《国际经济法》，北京：中国政法大学出版社2001年版。
6、石广生主编：《中国加入世界贸易组织知识读本》，北京：人民出版社2002年版。
7、冯宗宪，柯大钢著：《开放经济下的国际贸易壁垒》，北京：经济科学出版社2000年版。
8、宋波、夏廷：“技术贸易壁垒的内容，影响及相关对策”，《国际经济合作》，2002年第10期。
9、朱光富、余劲飞：“主要发达国家的技术标准与法规壁垒”，《中国检验检疫》，2000年第4期。
10、Thomas Cottier and Peters C. Mavroidis, Regulatory Barries and the Principle of Non-Discrimination in World Trade Law. The University of Michigan Press.
11、Robert Maclean and Bettina Volpi, EU Trade Barrier Regulation, Palladian Law Publishing Ltd.
12、Ichiro Araki, China and the Agreement on Technical Barriers to Trade, RIETI Discussion Paper Series 02-E-008, July 2002.
13、Charles Ludolph, Mutual Recogmition Agreement:Access to the European Union, The European Report on Industry, Quality, and Standards,1994.
14、The Single Market Review: Teehnical Barriers to Trade, Office for Official Publications of the European Communities, 1998.
2、李志军：《怎样打造“技术壁垒”的矛与盾》，北京：经济日报出版社2002年版。
3、陈志田、叶柏林主编：《贸易技术壁垒与商品进出口》，北京：中国计量出版社2002年版。
4、王传丽：《国际贸易法》，北京：法律出版社1998年版。
5、王传丽主编：《国际经济法》，北京：中国政法大学出版社2001年版。
6、石广生主编：《中国加入世界贸易组织知识读本》，北京：人民出版社2002年版。
7、冯宗宪，柯大钢著：《开放经济下的国际贸易壁垒》，北京：经济科学出版社2000年版。
8、宋波、夏廷：“技术贸易壁垒的内容，影响及相关对策”，《国际经济合作》，2002年第10期。
9、朱光富、余劲飞：“主要发达国家的技术标准与法规壁垒”，《中国检验检疫》，2000年第4期。
10、Thomas Cottier and Peters C. Mavroidis, Regulatory Barries and the Principle of Non-Discrimination in World Trade Law. The University of Michigan Press.
11、Robert Maclean and Bettina Volpi, EU Trade Barrier Regulation, Palladian Law Publishing Ltd.
12、Ichiro Araki, China and the Agreement on Technical Barriers to Trade, RIETI Discussion Paper Series 02-E-008, July 2002.
13、Charles Ludolph, Mutual Recogmition Agreement:Access to the European Union, The European Report on Industry, Quality, and Standards,1994.
14、The Single Market Review: Teehnical Barriers to Trade, Office for Official Publications of the European Communities, 1998.