国际经济学教学课件：ch09 Nontariff Trade Barriers and New Protectionism

1、International EconomicsTenth EditionNontariff Trade Barriers and New ProtectionismDominick SalvatoreJohn Wiley & Sons, Inc.CHAPTER N I N E9In this chapter:Introduction 引言Import Quotas 进口配额Other Nontariff Barriers and the New Protectionism 其他非关税壁垒与新保护主义The Political Economy of Protectionism 保护主义的政治经济

2、In this chapter:Strategic Trade and Industrial Policies战略性贸易和产业政策History of U.S. Commercial Policy美国的商业商业政策史The Uruguay Round, Outstanding Trade Problems and the Doha Round乌拉圭回合，突出的贸易问题以及多哈回合9.1 Introduction 引言Though tariffs have historically been the most important form of trade restriction, there

3、are many other types of trade barriers.尽管关税是历史上最重要的贸易限制形式，但仍存在许多其他类型的贸易壁垒9.1 Introduction 引言As tariffs were negotiated down during the postwar period, the importance of non-tariff barriers was greatly increased.战后经过各种谈判，关税水平逐渐降低，非关税贸易壁垒的重要性大大加强了。9.2 Import Quotas 进口配额A quota is a direct quantitative

4、 restriction on the amount of a commodity allowed to be imported or exported.配额是对一国允许进口或出口一种商品的直接数量限制9.2 Import Quotas 进口配额9.2A Effects of an Import Quota 进口配额的影响Import quotas are used to protect domestic industry and agriculture, and/or for balance of payments reasons.进口配额可以用来保护国内的工农业，也可以用来调节国际收支平衡

5、FIGURE 9-1 Partial Equilibrium Effects of an Import Quota.9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较 Import quota:Higher domestic price than tariffHigher domestic production than tariff进口配额：比等效的关税导致更高的国内价格比等效的关税导致更高的国内产量9.2 Import Quotas 进口配额9.2B Import Quota v

6、s. Equivalent Import Tariff 进口配额与进口关税的比较 Import tariff:Higher consumption than quotaHigher imports than quota进口关税：比等效的进口配额导致更高的消费量比等效的进口配额导致更高的进口量9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较Import quota involves distribution of import licenses, while tariff does

7、not.进口配额涉及进口许可的发放 9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较If not auctioned by government in competitive markets, receiving firms will reap monopoly profits.如果政府不是在一个竞争性市场上拍卖这些许可，得到这些许可的公司便可获取垄断利润Allocation decision often based on arbitrary judgments rather th

8、an efficiency concerns.许可决定经常出于官员的随意判断，而不是对效率的考虑9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较Monopoly profits lead firms to lobby for licenses in rent-seeking activities.进口许可可以带来的垄断利润会使企业花费大量精力来游说甚至贿赂官员在寻租行为中Thus, import quotas replace market mechanism , resulting

9、 in waste, and possible corruption.这样，进口配额不仅取代了市场机制，从整个经济来看还造成了浪费，埋下了腐败的种子9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较Import quota limits imports to specified levels with certainty, while the trade effect of an import tariff may be uncertain. 进口配额可以将进口限定在一个确定的水平，

10、而进口关税的贸易效果则不确定9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较When elasticity of demand and supply are not known, it is difficult to estimate the import tariff required to restrict imports to desired level.这是因为当需求曲线和供给曲线的弹性不知道时，很难估计可将进口限定在要求水平上的进口关税9.2 Import Quotas

11、进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较Foreign exporters cannot maintain export quantity simply adjust to barrier by increasing efficiency or accepting lower profits, as with tariff外国出口者可以通过提高效率或者接受更低的利润来消化吸收关税9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tari

12、ff 进口配额与进口关税的比较Because import quota is less “visible, domestic producers prefer them over tariffs.因为进口配额更加“可见”，因此国内生产者喜欢进口配额制更甚于进口关税9.2 Import Quotas 进口配额9.2B Import Quota vs. Equivalent Import Tariff 进口配额与进口关税的比较Since import quotas are more restrictive than equivalent import tariffs, society should

13、 resist domestic producers efforts to use quotas instead of tariffs.然而，既然进口配额比等效的关税更具限制性，全社会应抵制配额制的蔓延9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3A Voluntary Export Restraints (VERs) 自动出口限制With VERs, an importing country induces another nation to reduce its exports voluntaril

14、y, under threat of higher trade restrictions.自动出口限制是这样一种情况，当进口国以全面贸易限制相威胁，引导另一国“自愿”的减少某种商品的出口9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3A Voluntary Export Restraints (VERs) 自动出口限制Sometimes called orderly marketing arrangements, VERs allow industrial nations to appear to sup

15、port the principle of free trade.有时自动出口限制也称为“有秩序销售协定”，一些工业国家可以利用它来支持自由贸易原则9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3A Voluntary Export Restraints (VERs) 自动出口限制Less effective in limiting imports than import quotas because exporters tend to fill the quota with higher quality

16、, higher priced goods over time.自动出口限制在限制进口方面不如进口配额有效，外国出口者倾向于把配额全用于高质量高价格的产品9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3B Technical, Administrative, Other Regulations 技术的行政的和其他法规Health and safety regulations may serve as barriers to international trade by raising the costs

17、of imported products.针对卫生和安全的法规可以通过提高进口商品的成本来成为一种国际贸易的壁垒9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3B Technical, Administrative, Other Regulations 技术的行政的和其他法规Government purchasing restrictions may be biased against foreign goods.The Buy American Act of 1933政府采购政策以抵制国外商品为基础制订

18、例如，1993年通过的购买美国货法案9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3B Technical, Administrative, Other Regulations 技术的行政的和其他法规Rebates for indirect taxes may be given to exporters and imposed on importers of a commodity. 对一种商品的出口者减免或退回国内间接税而对一种商品的进口者征收国内间接税9.3 Other Nontariff Barri

19、er and the New Protectionism其他非关税壁垒与新保护主义9.3C International Cartels 国际卡特尔Organization of suppliers from different nations that agrees to restrict output and exports of a commodity with the aim of maximizing or increasing total profits.国际卡特尔是一个由不同国家的某种商品供应商组成的组织，它们达成协议限制某种商品的产量和出口以使组织的总利润最大化9.3 Other

20、 Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3C International Cartels 国际卡特尔For example, OPEC (the Organization of Petroleum Exporting Countries) quadrupled the price of crude oil between 1973 and 1974 by restricting production and exports.目前最为知名的国际卡特尔是石油输出国组织（OPEC），它们通过限制产量和出口，在1973年和1

21、974年间成功的使石油价格上涨了4倍9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3D Dumping 倾销The export of a commodity at below cost, or the sale of a commodity at a lower price abroad than domestically.倾销是指低于成本或至少低于国内价格的价格出口一种商品9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主

22、义9.3D Dumping 倾销Three types of dumping 三种形式：Persistent dumping is the continuous tendency of a domestic monopolist to maximize total profits by selling the commodity at a higher price in the domestic market. 持续性倾销是指国内垄断者持续在国内市场以高价出售商品，而在国际市场上以低价出售9.3 Other Nontariff Barrier and the New Protectionism

23、其他非关税壁垒与新保护主义9.3D Dumping 倾销Three types of dumping 三种形式：Persistent dumping 持续性倾销Predatory dumping is the temporary sale of a commodity at below cost or a lower price abroad to drive foreign producers out of business. 掠夺性倾销是指某种商品以低于成本的价格或低于国外价格的价格进行销售以将国外生产者赶出市场9.3 Other Nontariff Barrier and the New

24、 Protectionism其他非关税壁垒与新保护主义9.3D Dumping 倾销Three types of dumping 三种形式：Persistent dumping 持续性倾销Predatory dumping 掠夺性倾销Sporadic dumping is the occasional sale of a commodity at below cost or lower price abroad to unload surplus of the commodity without reducing domestic prices. 偶然性倾销是指偶尔以低于成本或低于国内价格进行

25、销售，目的是避免降低国内价格而卖掉预期会剩余的商品9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3E Export Subsidies 出口补贴The granting of tax relief to exporters or subsidized loans to foreign buyers to stimulate a nations exports.是指对本国出口者减免税或者向国外购买者提供低息贷款以刺激本国出口9.3 Other Nontariff Barrier and the New Pr

26、otectionism其他非关税壁垒与新保护主义9.3E Export Subsidies 出口补贴Can be regarded as a form of dumping.可以看做是倾销的一种形式Export subsidies are illegal by international agreement, but often used in disguised form.根据国际协定出口补贴并不合法，但许多国家仍以隐蔽的形式提供这种补贴9.3 Other Nontariff Barrier and the New Protectionism其他非关税壁垒与新保护主义9.3E Export

27、Subsidies 出口补贴Example: Export-Import BankU.S. government agency that extends subsidized loans to foreigners to finance U.S. exports.例如：进出口银行美国政府通过代理机构进出口银行向外国购买者提供低息贷款FIGURE 9-2 Partial Equilibrium Effect of an Export Subsidy.9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Fallacious Argume

28、nts for Protection 关于保护的谬误的观点 Trade restrictions are needed to protect domestic labor against cheap foreign labor. 一个错误的观点认为需要贸易限制来保护国内劳动力不受外国廉价劳动力的冲击9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Fallacious Arguments for Protection 关于保护的谬误的观点 Even if domestic wages are higher than wages a

29、broad, domestic labor costs can still be lower if the productivity of labor is sufficiently higher domestically than abroad.即使国内工资比国外高，如果国内劳动力的生产力比国外足够高的话，国内劳动力成本也可以降下来9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Fallacious Arguments for Protection 关于保护的谬误的观点 Mutually beneficial trade co

30、uld be based on comparative advantage, with cheap labor nation specializing in labor-intensive commodities.双方可以在比较优势的基础上建立互惠贸易，拥有廉价劳动力国家出口劳动密集型产品，拥有昂贵劳动力的国家出口资本密集型产品9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Fallacious Arguments for Protection 关于保护的谬误的观点 Scientific tariffs are needed s

31、o that domestic producers can compete. 科学的关税认为应该征收使进口商品价格等于国内价格的关税9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Fallacious Arguments for Protection 关于保护的谬误的观点 This would eliminate price differences and trade in all commodities subject to such “scientific” tariffs.这会消除所有采用这种“科学的”关税的商品的国际间价

32、格差和贸易9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Questionable Arguments for Protection 值得商榷的保护的观点Reduce domestic unemployment 通过保护减少失业To cure a deficit in the nations balance of payments 消除国际收支赤字 9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Questionable Arguments for Protect

33、ion 值得商榷的保护的观点Protection would lead to substitution of imports with domestic production.通过保护会引导国内产品取代进口9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Questionable Arguments for Protection 值得商榷的保护的观点These are beggar-thy-neighbor arguments for protection because they come at the expense of o

34、ther nations.然而，这是“以邻为壑”的观点，因为他们是以其他国家的损失为代价的9.4 The Political Economy of Protectionism保护主义的政治经济学9.4A Questionable Arguments for Protection 值得商榷的保护的观点Other nations retaliate; all nations lose in the end.如果其他国家采取以牙还牙，最终将导致两败俱伤9.4B Infant-industry Argument 幼稚产业观点 Temporary trade protection is justifie

35、d to establish and protect a domestic industry during its “infancy” until it can meet foreign competition, achieve economies of scale, and reflect the nations comparative advantage.对幼稚产业进行暂时的贸易保护，直至它能够对付外国竞争，具有经济规模并形成长期的竞争优势为止9.4 The Political Economy of Protectionism保护主义的政治经济学9.4B Infant-industry A

36、rgument 幼稚产业观点 To be valid, the return in the grown-up industry must be high enough to offset the higher prices paid by domestic consumers of the commodity during infancy.然而，这一观点成立的前提是，这项产业成熟后的回报率必须足够高，以致可以抵消其在“幼稚期间”国内消费为其支付的价格9.4 The Political Economy of Protectionism保护主义的政治经济学9.4B Infant-industry

37、Argument 幼稚产业观点 Requires several qualifications which, together, take away most of its significance:保护幼稚产业有几条重要的限制条件，从而消弱了其大部分的重要性：More justified for developing nations than industrial nations. 在发展中国家比在工业国家更适用9.4 The Political Economy of Protectionism保护主义的政治经济学9.4B Infant-industry Argument 幼稚产业观点 Ma

38、y be difficult to identify which industry qualifies for protection, which, once given, is difficult to remove. 很难确定哪项产业符合这项要求，一旦给予保护就很难取消9.4 The Political Economy of Protectionism保护主义的政治经济学9.4B Infant-industry Argument 幼稚产业观点 What trade protection can do, an equivalent production subsidy to the infa

39、nt industry can do better. 相比贸易保护，采用对幼稚产业给予等价的生产补贴能做的更好9.4 The Political Economy of Protectionism保护主义的政治经济学9.5 Strategic Trade and Industrial Policies战略性贸易和产业政策According to the strategic trade policy argument, a nation can create a comparative advantage in industries deemed crucial to future growth

40、in the nation.战略性贸易政策认为，一国可以在对该国至关重要的领域创造比较优势以增强国家未来增长的前景9.5 Strategic Trade and Industrial Policies战略性贸易和产业政策Nation may use temporary trade protection, subsidies, tax benefits and cooperative government-industry programs.一国可以通过暂时的贸易保护补贴税收优惠以及政府与工业部门的合作计划进行战略性贸易9.5 Strategic Trade and Industrial Pol

41、icies战略性贸易和产业政策执行的困难：Difficult to pick winners and devise appropriate policies to nurture them.但是很难选择赢家并设计合适的政策去培育他们Efforts largely neutralized when leading nations undertake strategic trade policies at the same time.由于大部分国家同时实行战略性贸易政策，其效果会相互抵消Retaliation in other markets may eliminate any gains.一国该

42、战略取得成功是以他国的损失为代价的9.6 History of U.S. Commercial Policy美国的商业政策史1930 Smoot-Hawley Tariff ActRaised average import duties to 59% by 1932.Spurred international retaliation 1930年通过了穆思特汉利关税法美国的平均关税在1932年达到了59%引起了很多国家的报复9.6 History of U.S. Commercial Policy美国的商业政策史9.6A 1934 Trade Agreements Act 1934贸易协定法Re

43、ductions were based on the principle of most favored nation.是以最惠国原则为基础的9.6 History of U.S. Commercial Policy美国的商业政策史9.6A 1934 Trade Agreements Act 1934贸易协定法The most favored nation principle extends to all trading partners any reciprocal tariff reduction negotiated with any trading partner.这项非歧视原则使所有

44、的贸易伙伴都可以分享其他任何一个贸易伙伴的关税互减好处9.6 History of U.S. Commercial Policy美国的商业政策史9.6B The General Agreement on Tariffs and Trade 关税与贸易总协定Designed to promote expanded international trade through multilateral negotiations.成立的目的是通过多边贸易谈判促进国际贸易9.6 History of U.S. Commercial Policy美国的商业政策史9.6B The General Agreeme

45、nt on Tariffs and Trade 关税与贸易总协定GATT rested on three basic principles关贸总协定基本原则：Nondiscrimination 非歧视原则Elimination of nontariff barriers 消除非关税贸易壁垒Consultation among nations in solving trade disputes 在关贸总协定框架内协商解决国家间的贸易纠纷9.6 History of U.S. Commercial Policy美国的商业政策史9.6C 1962 Trade Expansion Act 1962年扩

46、大贸易法Authorized the president to negotiate across the board tariff reductions of up to 50%.授权总统可以进行跨国界的关税减让谈判，最多可达成减让50%的关税协议9.6 History of U.S. Commercial Policy美国的商业政策史9.6C 1962 Trade Expansion Act 1962年扩大贸易法Introduced Trade Adjustment Assistance (TAA) to workers displaced by international trade.对于

47、由于关税减让而受到损害的工人和公司提供了贸易调整援助9.6 History of U.S. Commercial Policy美国的商业政策史9.6C 1962 Trade Expansion Act 1962年扩大贸易法Allowed the passage of the Kennedy Round negotiation of the GATT.在关贸协定主导下发起了肯尼迪回合谈判9.6 History of U.S. Commercial Policy美国的商业政策史9.6D 1974 Trade Reform ActAuthorized the president to negotia

48、te tariff reductions of up to 60% and the elimination of tariffs below 5%.通过谈判可减让关税最多达60%，并有权取消现行5%或更低的关税9.6 History of U.S. Commercial Policy美国的商业政策史9.6D 1974 Trade Reform ActContributed to passage of the Tokyo Round negotiations of the GATT.根据该法案的授权进行了东京回合谈判9.6 History of U.S. Commercial Policy美国的

49、商业政策史9.6E 1984 The Trade and Tariff Act 1984年贸易与关税法Authorized the president to negotiate international agreements for the protection of intellectual property rights.授权总统谈判并签约知识保护权9.6 History of U.S. Commercial Policy美国的商业政策史9.6E 1984 The Trade and Tariff Act 1984年贸易与关税法Extended the Generalized Syste

50、m of Preferences (GSP), a system by which developing nation exports are granted preferential access to US markets.扩展了普惠制，发展中国家可通过该途径向美国出口9.6 History of U.S. Commercial Policy美国的商业政策史9.6E 1984 The Trade and Tariff Act 1984年贸易与关税法Provided authority for negotiations leading to free trade with Israel.授权

51、与以色列进行自由贸易协议的谈判History of U.S. Commercial Policy9.6E 1988 The Omnibus Trade and Competitiveness Act 1988年贸易于竞争法 Required the U.S. Special Trade Representative to set a rigorous schedule for negotiating reductions in trade barriers with countries maintaining high barriers to U.S. exports.要求美国特别贸易代表按严

52、重程度提出保持大量的和普遍的贸易壁垒的国家名单FIGURE 9-3 U.S. Average Tariff Rates on Dutiable Imports, 1900-2000.9.7 The Uruguay Round, Outstanding Trade Problems, and the Doha Round乌拉圭回合突出的贸易问题以及多哈回合9.7A The Uruguay Round 乌拉圭回合GATTs eighth round of negotiations, with 123 countries participating.由123个国家参加历史上第8次的多边贸易谈判Beg

53、an in September 1986 with completion scheduled for December 1990.1986年9月开幕计划在1990年12月结束9.7 The Uruguay Round, Outstanding Trade Problems, and the Doha Round乌拉圭回合突出的贸易问题以及多哈回合The Uruguay Round 乌拉圭回合Disagreements between United States and European Union, on reducing agricultural subsidies, delayed con

54、clusion for three years.由于美国与欧共体之间关于减少农业补贴方面的分歧将其推迟了3年Agreement took effect in July, 1995.于1995年7月开始生效The Uruguay Round, Outstanding Trade Problems, and the Doha RoundAims of the Uruguay Round 目标：Establish rules for monitoring protectionism and reversing the trend.建立规则以阻止新保护主义的激增并扭转这一趋势Bring service

55、s, agriculture and foreign investments into negotiations.将服务农业和国外投资引入谈判The Uruguay Round, Outstanding Trade Problems, and the Doha RoundAims of the Uruguay Round 目标：Negotiate international rules for protection of intellectual property rights.制定国际规则以保护知识产权Ensure more timely decision and compliance wi

56、th GATT rulings on dispute settlements.更及时的决策和遵循关贸协定的规则以改进调节争议的机制9.7A The Uruguay Round 乌拉圭回合Major Provisions of Uruguay Accord:协议的主要条款：Tariffs 关税Tariffs on industrial products to be cut from an average of 4.7% to an average of 3%.对工业品的关税从平均4.7%减让到3%The share of good with zero tariffs to increase fr

57、om 20-22% to 40-45%.零售关税的比例从20%22%增加到40%45%9.7 The Uruguay Round, Outstanding Trade Problems, and the Doha Round乌拉圭回合突出的贸易问题以及多哈回合Major Provisions of Uruguay Accord:协议的主要条款：Quotas 配额Quotas on agricultural products were to be replaced with less restrictive tariffs by 1999有关国家将在1999年年底前以较少限制的关税代替对农业进口

58、的配额Quotas on textiles were to be replaced with less restrictive tariffs by 2004在2004年年年底前代替对纺织品进口配额9.7 The Uruguay Round, Outstanding Trade Problems, and the Doha Round乌拉圭回合突出的贸易问题以及多哈回合Major Provisions of Uruguay Accord:协议的主要条款：Antidumping 反倾销Tougher and quicker resolution of disputes resulting fro

59、m antidumping laws, but not a ban on their use.提供更快更有力的行动，已解决运用反倾销引起的争端，但协议并不禁止它们的运用9.7 The Uruguay Round, Outstanding Trade Problems, and the Doha Round乌拉圭回合突出的贸易问题以及多哈回合Major Provisions of Uruguay Accord:协议的主要条款：Subsidies 补贴The volume of subsidized agricultural products was to be reduced by 21 per

60、cent, with government subsidies for industrial research limited to 50% of the applied research cost.农业出口补贴的数量将减让21%；政府对产业研究的补贴限制在应用型科学研究费用50%以内9.7 The Uruguay Round, Outstanding Trade Problems, and the Doha Round乌拉圭回合突出的贸易问题以及多哈回合 Major Provisions of Uruguay Accord: 协议的主要条款：Safeguards 国家安全Countries