技术性贸易壁垒的数理分析

QuantifyingtheImpactofTechnicalBarrierstoTradeAFrameworkforAnalysisKeithE.Maskus*JohnS.Wilson**TsunehiroOtsuki***Abstract:Thispaperprovidesanoverviewofthepolicydebateandmethodologicalissuessurroundingproductstandardsandtechnicalbarrierstotrade.Therehasbeenarisinguseoftechnicalregulationsasinstrumentsofcommercialpolicyinunilateral,regional,andglobaltradecontexts.Thesenon-tariffbarriersareofparticularconcerntodevelopingcountries,whichmaybearadditionalcostsinmeetingsuchmandatorystandards.Webeginwithareviewofthepolicycontextdrivingdemandforempiricalanalysisofstandardsintrade.Wethenprovideananalyticaloverviewoftheroleofstandardsandtheirrelationshiptotrade.Wereviewmethodologicalapproachesthathavebeenusedtoanalyzestandards.Themaininterestliesinadvancingtechniquesthatarepracticalandmaybefruitfullyextendedtotheempiricalanalysisofregulationsandtrade.Thecontributionofthepaperistodiscussasetofconcretestepsthatcouldbetakentomoveforwardapolicy-relevantandpracticalresearchprogramofempiricalwork.Suchstepswouldinclude(1)administeringfirm-levelsurveysindevelopingcountries,(2)devisingmethodsforassessingthetraderestrictivenessofstandards,and(3)establishingeconometricapproachesthatcouldbeappliedtosurveyandmicrodataforunderstandingtheroleofstandardsinexports.*DepartmentofEconomics,UniversityofColoradoatBoulder,CampusBox256,BoulderColorado80309-0256,andWorldBank,email:[e-mail].**DevelopmentResearchGroup,WorldBank,1818HStreet,NW,Washington,D.C.20433,email:[e-mail].***DevelopmentResearchGroup,WorldBank,1818HStreet,NW,Washington,D.C.20433,email:[e-mail].2SummaryTherehasbeenarisinguseoftechnicalregulationsasinstrumentsofcommercialpolicyinunilateral,regional,andglobaltradecontextsduringthepastdecade.Debateovertheimpactofdomesticregulationandstandardsimposedattheborderhasbeenmostevidentindiscussionabouthoworwhethertoaddresstheseissuesinatradepolicycontext,includingtheroleoftheWorldTradeOrganization(WTO).DisputessuchasthoseovertheimportationofhormonetreatedbeefbetweentheUnitedStatesandEuropeanUnionandimpactofmandatoryeco-labelingrulesarejusttwoexamplesofwherestandardsintersecttradepolicydecision-making.Non-tariffbarriersareofparticularconcerninadevelopmentcontext.Developingcountriesmaybearadditionalcostsinmeetingmandatorystandards,testing,certification,andlabelingrequirements.Thispaperaddressestheseissuesandprovidesanup-to-dateoverviewofthepolicydebateandmethodologicalcontextforunderstandingproductstandardsandtechnicalbarrierstotrade.Thepaperbeginswithareviewofthetradepolicycontextdrivingdemandforempiricalanalysisofstandards.CaseexamplesfromstandardsdisputesattheWTOsince1995areexplored.Thesedemonstratearisingimportanceoftechnicalbarriersasasourceoftradefriction.AreviewofhowtheAsiaPacificEconomicCooperation(APEC)isaddressingstandardsandtechnicalbarriersisincluded.ThepaperalsooutlinesthestrengthsandweaknessesinMutualRecognitionAgreements(MRAs),amodelofregulatoryharmonizationfirstdevelopedaspartofinternalmarketreformintheEuropeanCommunityinthelate1980s.Thenextsectionprovidesananalyticaloverviewoftheroleofproductstandardsandtheirrelationshiptotrade.Wereviewmethodologicalapproachesthathavebeenusedinthepasttoanalyzestandardsandtheirrelationshiptotrade.Thepaperexploresanalyticaltechniquesthatarepracticalandmaybeextendedtotheempiricalanalysisofregulationsandtrade.Apolicy-relevantandpracticalresearchprogramofempiricalworkisthendeveloped.Wethenconcludewithdescriptionoffirm-levelsurveysoftechnicalbarrierstobeissuedindevelopingcountries,alongwithmethodsforassessingthetraderestrictivenessofstandards,andeconometricapproachesthatcouldbeappliedtosurveyandmicrodataforunderstandingtheroleofstandardsinexports.31.IntroductionTheimpactofstandardsandtechnicalregulationsontradeisattheforefrontofglobalpolicydiscussions.1Thisisparticularlytrueinrelationtochallengesconfrontingdevelopingnationsastheyseektoincreaseproductionforexportmarkets.Inregardtovoluntarystandards,suchasthoseintheInternationalOrganizationforStandardization(ISO)9000seriesonquality,developingnationsfaceconstraintsinabsorbingbest-practiceinformationonstandardsandmobilizingresourcesnecessarytoadoptappropriateprocessandproductionmethods(WorldBank2000b).Inaddition,astraditionaltradeprotectionmeasuressuchastariffs,quotas,andvoluntaryexportrestraint(VER)agreementshavebeenliberalized,barrierstotradereflectedindomestictechnicalregulationshavebecomemoreimportantchannelsthroughwhichtradeisblocked.2ThesuccessfulconclusionoftheUruguayRoundin1994highlightedtheimportanceofnationalstandardsasnon-tariffbarriers(NTBs).Notallmarket-accesscommitmentsintheWorldTradeOrganization(WTO)Agreementshavebeenfullyimplementedorenforced.3Neitherhaveotherbarrierstotrade,suchassubsidiestoagriculturalproductionorprohibitiononforeigninvestmentinservices,beencompletelyeliminated.Itisclear,however,thatdomesticregulationaffectingimportsthroughtechnicalrequirements,testing,certification,andlabelingrepresentoneofthemostimportantnewareasoffocusincontinuingliberalizationefforts.Thispaperoutli