上海合作组织贸易投资便利化问题研究
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摘要
上海合作组织经过10年的发展,贸易投资便利化程度较成立之初有了很大地提升,有效地推进了上合组织区域一体化进程。这10年来,成员国之间推进了海关、质检、金融、交通运输、投资促进等方面的贸易投资便利化进程,也加强了在农业、能源、交通运输、科技等领域的务实合作。同时,成员国之间的贸易联系不断扩大,投资合作领域不断拓宽,区域经济合作不断深化。
     系统研究上海合作组织贸易与投资便利化问题具有重要的理论和实践意义。首先,研究这个问题具有较大的现实意义。一方面通过系统研究上海合作组织10年来贸易与投资便利化进程取得的成就,梳理存在的问题,理清未来的工作重点,有助于下一阶段提升区域贸易投资便利化水平,更好地激活区域经济活力,从而实现区域经济合作目标:另一方面,通过研究中国推进上海合作组织贸易投资便利化的相关问题,有助于中国更好地参与上海合作组织区域经济合作,促进中国经济可持续性发展。其次,研究这个问题具有重要的理论意义。研究上海合作组织推进区域贸易投资便利化的合作机制也是对区域经济合作理论的新探索。上海合作组织区域内,既有中俄这样经济实力雄厚的大国,也有综合实力弱下的中亚小国,这些国家不仅经济实力差距悬殊,各国国家内部发展也不平衡,而且又都是新兴与发展中的经济体。在这样一个结构复杂的区域内推进贸易投资便利化和实现区域经济合作目标,不能照搬欧盟、北美的模式,需要各成员国探索地区合作的新模式。本选题尝试研究在区域内构建区域贸易投资便利化合作机制,发挥大国与小国互动协作,提高区域贸易投资便利化水平,以促进上海合作组织区域的共同发展。上海合作组织区域内所取得的经济发展成就,得益于本区域内不断推进的贸易与投资便利化成效,以及为推进贸易投资便利化所进行的务实合作。因此,上合组织贸易投资便利化水平,将在很大程度上决定区域经济合作的广度和深度,也直接关系到上合组织成员国2015年能否启动建立自由贸易区谈判以及2020年建成自由贸易区。但是,上海合作组织区域的贸易投资便利化水平与区域经济发展的客观需要依然具有较大差距,因此,加大推动贸易投资便利化力度,改善区域贸易投资环境,仍是今后上海合作组织贸易投资便利化发展的重点。这就需要上海合作组织各国通过削减非关税壁垒、绿色贸易壁垒、进口许可证、进口配额制等来提升贸易便利化水平;通过继续加强高效便捷的现代化国际运输通道体系建设,简化海外人员进出国境手续,提高本国政府工作效率,积极鼓励外资进入并保障外资的合法权益来创造一个政局稳定的投资环境。中方要加大投入,发挥主导作用,不断推动合作领域的扩大。只有通过不断加深的经济合作才能推进贸易投资便利化进程,进而实现上海合作组织的自由贸易区目标。尤其是在全球经济危机影响仍未消除的情况下,只有加强成员国间的合作,才能切实解决各国自身存在的问题。除了要加强能源方面的对话和合作外,还要加强在高科技通信领域内创新型的合作项目,发展交通基础设施,发展国际型的物流中心,构建区域金融合作体系,为多边合作提供金融支持。未来,上海合作组织便利化建设,需要进一步加强制度化建设,促进金融合作可持续发展,大力推进贸易与投资便利化进程。
     本文采取总论与分论相结合的研究思路,揭示了上海合作组织贸易投资便利化的发展进程及未来前景。本文认为,区域经济合作理论、国际交易成本理论、国际贸易理论是贸易投资便利化的理论基础;本文认为,只有清楚把握上海合作组织区域经济合作总体状况和上海合作组织贸易投资便利化的法律框架与机制化建设,才能更好地推动两个便利化的深入发展。本文着眼于贸易投资便利化的建设与发展,分别研究上海合作组织贸易便利化基础、障碍和发展前景,研究投资便利化成绩、问题及各国为促进投资便利化所开展的务实合作。最后,既提出上海合作组织便利化水平提升的总体规划,也提出我国促进上海合作组织贸易投资便利化应采取的策略及措施。本文通过系统研究上海合作组织10年来贸易与投资便利化进程取得的成就及存在的问题,指出未来上海合作组织推进贸易投资便利化的发展方向,并提出如何有效地发挥中国在上海合作组织便利化建设中的策略,从而更快地推进上海合作组织贸易投资便利化以加快区域经济一体化进程。
     本文共分九章:第一章和第二章首先提出问题,认为贸易投资便利化是上海合作组织开展经济合作的首要任务,因此,本研究具有重要的理论意义,又具有现实的应用意义。同时,介绍与本研究相关的理论、概念界定以及国内外有关研究综述等。第三章主要介绍上海合作组织区域经济合作发展现状。通过分析上海合作组织区域经济合作成果和问题,得出结论认为,当前推进贸易投资便利化依然是上海合作组织区域经济合作的首要任务,只有通过便利化建设,才能扩大贸易和提高区域生产能力,解决区域经济合作中存在的问题,从而进一步推进区域的贸易投资便利化水平,加快区域经济一体化进程。第四章重点阐述上海合作组织贸易投资便利化的法律基础与机制化建设。上海合作组织贸易投资便利化建设的过程,也是区域组织法律制度建设的过程。为此,深入研究上海合作组织推进贸易投资便利化的法律基础与机制化建设,为本文搭建总的制度框架和机制平台。第五章着重于上海合作组织贸易便利化进程分析。利用定量方法,系统研究区域贸易便利化已取的成就和存在的制约因素,评价区域贸易便利化的绩效,并探讨建立自由贸易区的挑战与前景。第六章则侧重上海合作组织投资便利化发展状况分析。定量分析区域投资便利化的水平,分析了各国为提升企业投资环境所实行的政策改革以及各国为此所开展的多边或双边性的务实合作。第七章主要论述了上海合作组织自由贸易区建设。自由贸易区是融贸易与投资为一体的经贸合作平台。上海合作组织自由贸易区建设是加速区域内贸易便利化和投资便利化的重要平台。为此,本章重点分析上合组织国家自由贸易区建设的条件和发展路径。第八章论述了中国推进上海合作组织贸易投资便利化的措施。本部分详细勾勒出如何以中国为主导,采取恰当的措施,实现中国与上海合作组织区域经济合作的共同发展。第九章给出本文的结论。本部分既是对全文的总结,也是对未来上海合作组织推进贸易投资便利化进程的规划。未来,上海合作组织便利化建设,应着力于完善制度化建设,加强金融合作可持续发展,并同时推进贸易与投资便利化。
     本文的研究方法为:第一,历史演进的、动态的研究方法。本文从历史演进的视角总结和归纳上海合作组织近10年贸易投资便利化发展历程,研究其中发展变化的规律,最后前瞻性的分析了上合组织国家贸易投资便利化建设的条件和发展路径。第二,定性、定量分析相结合的方法。对上海合作组织贸易与投资便利化问题进行阐述,定性研究是论文的主要研究方法。同时还充分运用大量的数据资料来描述和说明有关经济变量间的关系,明确阐释所研究现象的内在规律,尤其是本文通过定量分析法测量上海合作组织区域贸易便利化水平和投资便利化水平。第三,制度分析的方法。上海合作组织国家贸易投资便利化的提升,必将涉及到这些国家多方面的制度变革。因此,本文应用制度分析的相关理论分析上海合作组织贸易投资便利化的效应以及路径选择,得出便利化措施的效果与各项制度改革的实施次序有关。
     本文的创新之处在于:第一,在贸易投资便利化发展前景分析上具有前瞻性,不仅在政策取向上提出创新性思路,而且对未来上海合作组织推进贸易投资便利化做了有根据的规划。第二,不仅使用定性方法进行,而且还通过定量分析法测量上海合作组织区域贸易便利化水平和投资便利化水平,弥补了国内研究的不足。第三,系统总结了上海合作组织10年贸易投资便利化进程的经验与问题,提出了积极推动上海合作组织制度化建设的建议。本文的不足之处在于:第一,由于个别国家,尤其是乌兹别克斯坦的数据可得性差,所以本文在论述时难以涵盖该国数据,计算、分析及政策建议的给出均因此而受到一定的限制限制。第二,由于作者本人学识和研究条件的限制,对于上合组织贸易投资便利化的研究可能有不全面和欠缺之处。
After10years of development, the trade and investment facilitation carried out by the Shanghai Cooperation Organization has improved significantly since its first establishment, and has efficiently promoted the process of the integration of the Shanghai Cooperation Organization. During the past ten years, the member countries have promoted trade and investment facilitation in customs, quality control, finance, transportation, investment and promotion and such areas, and has also enhanced the pragmatic collaboration in the following areas, agriculture, energy, transportation and science and technology. Meanwhile, trade links between member countries have expanded, areas in collaboration investment have broadened and regional economic cooperation has deepened.
     Focusing on the issues of the trade and investment facilitation of the Shanghai Cooperation Organization systematically has a significant meaning in both theory and practice. First of all, there is great significance to study this issue in practice. On one hand, this is beneficial to upgrading the level of the trade and investment level in regions, to detect the existing problems and what to focus on in the future, as well as activate the vitality of regional economics, in order to realize the economical goals in the respective regions by collaboration. This can be done by systematically studying the achievements of the trade and investment facilitation of the Shanghai Cooperation Organization of the past ten years. On the other hand, by studying the relevant methods to promote the trade and investment facilitation in the Shanghai Cooperation Organization, it is also beneficial for China to be able to participate more efficiently in the regional economical cooperation within the Shanghai Cooperation Organization, and also promote the sustainable development of economic growth in our country. Secondly, there is great theoretical meaning to study these issues. Focusing on the mechanism of promoting the trade and investment facilitation through collaboration in the Shanghai Cooperation Organization is also a whole new way to explore regional economical cooperation in theory. In the Shanghai Cooperation Organization, there are countries with strong economical powers, such as China and Russia, and also mid-Asian countries with relevantly weaker strengths. Not only do these countries have huge gaps between each other's economical power and uneven internal development within each country, but they are also new and developing economies. To promote the trade and investment facilitation and to achieve the goals of regional economical cooperation in such regions with such complicated structures, we cannot just copy the ways of the European Union and North America. We need member countries to create new and unique regional collaboration models. This study puts in consideration of the complicated structures with relevant regions, and attempts to detect collaboration mechanisms for trade and investment facilitation, models for countries with strong and weak strengths to work with each other, increase the level of regional trade and investment facilitation, in order to develop together within the Shanghai Cooperation Organization. The economic developments that have been achieved in the Shanghai Cooperation Organization regions are based on the effects of trade and investment facilitation carried out in these areas, and efforts on promoting the pragmatic cooperation of trade and investment facilitation. Therefore, the level of trade and investment facilitation affects the breadth and depth of regional cooperation severely, and also has direct effects on the establishment of free trade regional negotiations by member countries of the Shanghai Cooperation Organization in2015and the completion of free trade areas in2020. However, there is still a great gap between the level of trade and investment facilitation of the Shanghai Cooperation Organization and the actual needs of regional economic development. Hence, the main focus for the Shanghai Cooperation Organization in the future is to increase its efforts to promote trade and investment facilitation and improve the trade investment environment in related regions. This means that the member countries of the Shanghai Cooperation Organization need to reduce non-tariff barriers, green trade barriers, import licenses, import quotas and such ways to enhance the level of trade facilitation; as well as by continuing-to strengthen the construction of a modern international transportation system, simplify the overseas personnel formalities for foreigners when crossing borders, improve respected government efficiency, encourage foreign investment and secure the legitimate rights of foreign capital, and create a politically stable investment environment. China should increase its investment, play a leading role and continue to promote the expansion of collaboration areas. Only by deepening economical cooperation can we promote the process of trade and investment facilitation, and thus to achieve the aim of establishing a free trade zone by the Shanghai Cooperation Organization. Especially with the consideration of the global financial crisis still in effect, only by enhancing the cooperation between member countries can we solve the problems in each respective country. Areas for collaboration and discussions to be carried out include not only energy, but also other fields, such as to strengthen the positive development of science-intensive and innovative cooperation projects in the field of high-tech communication system, develop transportation infrastructure, develop international logistic centers, create regional financial cooperation systems and provide financial support to multilateral cooperation. In order to carry out facilitation construction in the future, the Shanghai Cooperation Organization needs to improve it institutionalization, the sustainable development of financial cooperation, and to promote trade and investment facilitation at the same time in order to achieve maximum results.
     This study adopts both general and detailed research methods, in order to reveal the process and future of the trade and facilitation of the Shanghai Cooperation Organization. This study believes that the theory of regional economic cooperation, international transaction cost theory and international trade theory are the basis of the theory of trade and investment facilitation. This dissertation argues that only by grasping the overall status of the economy in relevant regions of the Shanghai Cooperation Organization and the legal framework and systematic construction of the trade and investment facilitation in the Shanghai Cooperation Organization, can we promote the facilitation of both aspects in a better way. This study focuses on the establishment and development of trade and investment facilitation, and detects the foundation, obstacles and future of the trade and investment facilitation of the Shanghai Cooperation Organization, as well as the results and problems in trade and investment facilitation, and the pragmatic cooperation methods that member countries have adopted in order to promote trade and investment facilitation. Finally, the dissertation proposes the overall planning to increase the level of facilitation of the Shanghai Cooperation Organization, and the strategies and measures that our country should adopt in order to promote the trade and investment facilitation of the Shanghai Cooperation Organization. This study systematically researches on the achievements and the problems that have surfaced during the past ten years of the trade and investment facilitation of the Shanghai Cooperation Organization, points out the direction of development for its future and proposes the strategies for China to play a more efficient role for the facilitation process in the Shanghai Cooperation Organization, so to promote the trade and investment facilitation and hence, promote the process of regional economic integration.
     This dissertation includes8chapters. The first and second chapters point out the issues and propose that trade and investment facilitation should be the initial economical cooperation mission for the Shanghai Cooperation Organization. Therefore, this study has a significant theoretical meaning, as well as practical importance. Meanwhile, these two chapters also introduce the related theories, concepts and definitions, and the relevant studies and summaries carried out both nationally and internationally. Chapter Three introduces the current developments of the regional economic cooperation the Shanghai Cooperation Organization. By analyzing the achievements and problems of the regional economical cooperation by the Shanghai Cooperation Organization, the third chapter concludes that promoting trade and investment facilitation continues to be the initial economical cooperation mission for the Shanghai Cooperation Organization. Only by carrying out facilitation, can we expand trade areas and increase regional productive forces, and to solve the regional economical cooperation problems, so to increase the level of regional trade and investment facilitation and promote the process of regional economic integration. The fourth chapter illustrates the legal foundation and mechanism construction of the trade and investment facilitation of the Shanghai Cooperation Organization. The process of the trade and investment facilitation of the Shanghai Cooperation Organization is also the process of establishing regional legal systems. Thus, in order to focus on the legal foundation and mechanism construction of the trade and investment facilitation of the Shanghai Cooperation Organization, the dissertation outlines the overall institutional framework and mechanisms platform. Chapter Five focuses on the analysis of the process of trade facilitation of the Shanghai Cooperation Organization. By using quantitative methods, this chapter systematically researches on the achievements and constraints of regional trade facilitation, evaluates the progress and results of regional trade facilitation and explores the challenges and future of establishing free trade zones. The sixth chapter focuses the analysis of the developments on the investment facilitation of the Shanghai Cooperation Organization. This chapter uses quantitative methods to analyze the level of regional investment facilitation, the strategies that countries have adopted to improve relevant investment environments and the multilateral or bilateral pragmatic cooperation carried out by respective countries. Chapter Seven states the construction of the free trade zones of the Shanghai Cooperation Organization. The free trade zones are a platform for economical and trade cooperation, which combines both trade and investment elements. The construction of the free trade zones of the Shanghai Cooperation Organization is a crucial platform for accelerating the trade facilitation and investment facilitation within the zones. Hence, this chapter focuses on analyzing the conditions and development strategies of constructing the free trade zones between member countries of the Shanghai Cooperation Organization. Chapter Eight is the summary of this study. This chapter is a conclusion to the whole dissertation, and also a conclusion to the planning of the trade and investment facilitation of the Shanghai Cooperation Organization. In the future, the construction of the facilitation of the Shanghai Cooperation Organization, the perfection of the institutionalism, the sustainable development of financial cooperation, and the promotion of trade and investment facilitation together will be more in effect.
     The research methods that this study has adopted are as follow:First of all, a historical, dynamic research method. This dissertation reviews and summarizes the development and process of the trade and investment facilitation of the Shanghai Cooperation Organization during the past ten years through a historical perspective, analyzes the patterns of its developments and changes, and finally analyzes the conditions and development strategies on promoting trade and investment facilitation within member countries of the Shanghai Cooperation Organization. Secondly, this study adopts a qualitative and quantitative combined method for analysis. This study illustrates the issues of the trade and investment facilitation of the Shanghai Cooperation Organization, and mainly adopts a qualitative method for analysis. This dissertation also uses a large amount of data to describe and illustrate the relationship between the relevant economical variables and to clearly explain the internal pattern of the phenomena studied in this dissertation, especially by using quantitative methods to analyze and measure the level of the trade and investment facilitation of the Shanghai Cooperation Organization. Third of all, this dissertation uses an institutional analysis method. The improvement of the trade and investment facilitation of the member countries of the Shanghai Cooperation Organization is obviously related to the institutional changes of many aspects of these countries. Therefore, this study adopts the relevant theories of institutional analysis methods to analyze the effects and paths selected in the trade and investment facilitation process of the Shanghai Cooperation Organization, and concludes that the effects of the measures taken to promote the trade and investment facilitation is related to the order of the institutional changes carried out.
     There are several innovation points in this paper:Firstly, maintain perceptiveness when analyzing the future for the trade and investment facilitation. This study not only proposes creative new ideas for strategies, but also illustrates careful planning for the future of promoting the trade and investment facilitation of the Shanghai Cooperation Organization. Secondly, this study is carried out by using not only qualitative methods, but also quantitative methods to analyze the level of both trade and investment facilitation in regions of the Shanghai Cooperation Organization, which makes up for the lack of using both methods within studies in China. Thirdly, this study systematically summarizes the experiences and issues that have surface during the past ten years in the trade and investment facilitation process of the Shanghai Cooperation Organization, and proposes suggestions on how to actively promote the institutional establishment for the Shanghai Cooperation Organization.
     The limitations of this study are as follow:Firstly, due to the difficulties in obtaining the data of certain countries, especially from Uzbekistan, it is not possible to cover all the data of these countries. Hence, the calculation, analysis and suggestions on proposing relevant strategies are affected by this reason. Secondly, due to the limitations of the author's knowledge and limited conditions on analyzing, the research on the trade and investment facilitation of the Shanghai Cooperation Organization may not be comprehensive enough, as well as shortcomings in this dissertation.
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