资源简介

(共20张PPT)
Ch. 6 Import Protection Policy:
Non-tariff Barriers
Forms of non-tariff barriers
Effects of non-tariff barriers tariffs
1. Quantity control measures
(1) Non-automatic license (许可证)
Not granted automatically.
Issued on a discretionary basis (酌情决定) or require
specific criteria to be met before it is granted.
(2) Quota
Government-imposed restriction on quantity, sometimes on value.
Absolute quota: when the imports reach the quota, no more.
-- Global quota: unallocated (first come first served)
-- Country quota: allocated, for a specified country
Certificate of origin is required.
§1 Forms of Non-tariff Barriers
② Tariff rate quota (关税配额)
Lower tariff rates apply up to a quota of imports
Higher tariff rates for excess imports.
e.g. Tariff on car was 5% for the first 100,000 imports
10% for any additional imports
on a country basis or on global basis
Quotas: more certain and precise as trade restraint than are tariffs. (Limits with certainty the extent of foreign competition in the domestic market).
Greater flexibility in bargaining and administration.
Usually require a licensing system and an agency to distribute the quota shares to domestic importers.
Inequities and corruption may occur in the allocation of quotas.
(3) Quantitative safeguard measures （数量保障措施）
“emergency" actions with respect to increased imports of particular products, where such imports have caused or threaten to cause serious injury to the importing member's domestic industry.
Suspension （暂停）of concessions or obligations: quantitative import restrictions or of duty increases to higher than bound rates.
(4) Prohibition: Total prohibition (prohibition without any conditions or qualifications) and other prohibitions for special reasons.
(5) “Voluntary” export restraints (VERs)
An exporting country “voluntarily” limits its exports in order to avoid imposition of mandatory restrictions by the importing country.
A legally distinct but functionally identical mechanism to create a quantitative barrier to imports.
Two widely publicized VERs:
Japan circumvented the trade barrier by direct foreign investment.
In 1981, Japan set a level of 1.68 million units on annual Japanese car exports to the US (then about 21% of the US market).
In 1992, Japan agreed to restrict auto exports to 11% of the EU market for the duration of the 1990s.
2. Price control measures
To control the import price or counteract unfair foreign
trade practices.
(1) Administrative pricing: Minimum import prices or prices set according to a reference.
(2) Variable charges (差额费): Taxes or levies aimed at bringing the market prices of imported agricultural and food products in line with the prices of corresponding domestic products.
(3) Antidumping or countervailing measures: To offset the effect of dumping or subsidies. They can take the form of price undertakings （承诺，保证） to increase the import price.
3. Para-tariff measures （准关税措施）
Similar to tariff measures, by fixed percentage of the value
or the quantity.
Customs surcharges: ad hoc trade policy instrument
Additional taxes and charges: Such as stamp tax （印花税）, import license fee, consular invoice fee, statistical tax.
Internal taxes and charges levied on imports: Sales tax, excise tax (消费税) .
Decreed (法定的) customs valuation: American Selling Price (ASP) System, by which certain products are valued for tariff purpose at the level of the domestically produced articles with which they compete.
Not abolished until the conclusion of Tokyo Round Valuation Code
（东京回合估价准则）
4. Finance measures
Measures intended to regulate (管理、约束)the access
to and cost of foreign exchange （EX） for imports
(1) Advance payment requirements
Deposit a percentage of the imports’ value before
receiving the goods.
(2) Multiple exchange rates
Official rate for essential commodities
Commercial rate for other goods.
(3) Restrictive official EX allocation:
In the form of permits, visas, authorizations, etc,
(4) Prohibition of EX allocation:
No official EX allocations are available to pay for imports.
(5) Surrender （交出） requirement: Surrender of EX earnings to the central bank.
5. Anti-competitive measures
Measures to grant exclusive or special preferences or
privileges to one or more limited group of economic operators,
for social, fiscal, economic or political reasons.
Single channel for imports: The requirement that all imports,
or imports of selected commodities, have to be channeled
through state-owned agencies or state-controlled enterprises .
(2) Compulsory national service: Government-backed exclusive
rights of national insurance and shipping companies on all or
a specified share of imports.
6. Miscellaneous measures
To subsidize import-competing industries
The agricultural industry is commonly subsidized, both in the US, Japan and the EU.
(2) Government procurement policy
Total expenditure: 19.96% of GDP for OECD countries.
In the U.S. Buy American Act, the federal government is required to buy domestic products unless such purchases are not in the public interest or the costs are unreasonable.
Established: 1961
Location: Paris
Membership: 33
(3) Administrative classification
Leeway （自由空间, 随心所欲）for customs officials
Light trucks: from truck parts (4% ) to vehicle (25%) by
the US Customs Services
(4) Technical measures
Sanitary regulation: Protect human/animal life/health
Phytosanitary （植物卫生）regulation: Protect plant health
Technical barriers to trade (TBT)
Many developing countries and LDCs appear to be the most
exposed to （遭受，易受...影响） NTBs.
The most frequently reported NTB surveyed in developing
countries.
Labelling, marking and packing requirements.
Traceability requirements: Disclosure of information regarding the origin of live animals, animal products and agricultural products.
Tolerance (公差) limits for residues of or contamination by certain substances in foods and feeds.
Hygienic requirement.
Restriction/prohibition in case of outbreak of infectious diseases.
Quarantine （检疫） requirement.
§2 Effects of Non-tariff Barriers
1. The effects of an import quota
Imports limited
Domestic price increases
until
S2 + QUOTA = D2
Quota restricts
the quantity,
causing the price
to adjust.
(in contrast to a tariff)
D
s
0 S1 S2 D2 D1 Q
B C
A D
Figure 6-1 The welfare effects of an import
quota in a small country
t
P
Pd
Pw
A quota of S2D2 units
Home P will rise until
S2 + QUOTA = D2
Quota
rent
Every quota has an equivalent tariff rate that produce the same market result.
a
b
Market effects are identical to tariff:
The changes in producer surplus, consumer surplus, and the consequent welfare loss (gain) are also the same.
The welfare implications are not the same:
With a tariff, the government receives tax revenue.
Under a quota, the rectangle ABCD is a quota rent
— the economic rent received by the holder of the right (or license) to import under a quota.
excessive returns
(usually due to some exclusivity)
To whom the economic rent may accrue
1.Government: if selling the import license at a price equal to the
difference between the domestic price and the
international price. (government revenue)
2. Domestic importers: if domestic importers get the quota freely
and the foreign supplier do not organize
to raise the export price.
(Corruption problem).
2. The effects of a subsidy to an import-competing industry
(进口替代)
S’(with Subsidy)
S
0 S1 S2 Q
D
Figure 6-2 The welfare effects of a subsidy to
an import-competing industry
B
A
Subsidy
( S )
P
Pw+s
Pw
Domestic price: NO change
Consumer surplus: NO change.
S2 is the quantity the
producer would like to
supply at the price of P
(PW+s).
A subsidy of s per unit
means the average
marginal cost of the
producer is reduced by s,
thus shifts the supply
Curve down vertically by
s fromS to S’.
From a welfare standpoint, the production
subsidy certainly is more attractive than a tariff
or quota.
Total government subsidy:
S’(with Subsidy)
S
0 S1 S2 Q
D
Figure 6-2 The welfare effects of a subsidy to
an import-competing industry
B
M A
Subsidy
( S )
P
Pw+s
Pw
Producer surplus:
Triangle AMB:
Protective effect----- More
costly domestic output is
allowed to be sold in the
market as a result of the
subsidy ---- a deadweight
loss of the welfare.
If the consumers are also the taxpayers, the cost of the subsidy is less than the loss in consumer surplus that results from either a tariff or a quota.

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