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Chapter8,TheInstrumentsofTradePolicy,KeyTerms,Advaloremtariff从价关税Importquota进口配额Consumersurplus消费者剩余Localcontentrequirement国产化程度要求Consumptiondistortionloss消费扭曲损失Nontariffbarriers非关税壁垒Effectiverateofprotection有效关税保护率Producersurplus生产者剩余Efficiencyloss效率损失Productiondistortionloss生产扭曲损失Exportrestraint出口限制Quotarent配额租金,KeyTerms,Exportsubsidy出口补贴Specifictariff从量关税Exportsupplycurve出口供给曲线Termsoftradegain贸易条件收益Importdemandcurve进口需求曲线Voluntaryexportrestraint“自愿”出口限制,IntroductionBasicTariffAnalysisCostsandBenefitsofaTariffOtherInstrumentsofTradePolicyTheEffectsofTradePolicy:ASummarySummary,ChapterOrganization,Introduction,Thischapterisfocusedonthefollowingquestions:Whataretheeffectsofvarioustradepolicyinstruments?Whowillbenefitandwhowilllosefromthesetradepolicyinstruments?Whatarethecostsandbenefitsofprotection?Willthebenefitsoutweighthecosts?Whatshouldanationstradepolicybe?Forexample,shouldtheUnitedStatesuseatarifforanimportquotatoprotectitsautomobileindustryagainstcompetitionfromJapanandSouthKorea?,ClassificationofCommercialPolicyInstruments,Introduction,CommercialPolicyInstruments,BasicTariffAnalysis,Tariffscanbeclassifiedas:SpecifictariffsTaxesthatareleviedasafixedchargeforeachunitofgoodsimportedExample:Aspecifictariffof$10oneachimportedbicyclewithaninternationalpriceof$100meansthatcustomsofficialscollectthefixedsumof$10.AdvaloremtariffsTaxesthatareleviedasafractionofthevalueoftheimportedgoodsExample:A20%advaloremtariffonbicyclesgeneratesa$20paymentoneach$100importedbicycle.MixedTariff（混合税）compoundtariff（复合税）alternativetariff（选择税）,BasicTariffAnalysis,Tariffscanbeclassifiedas:Purposerevenuetariff（财政关税）protectivetariff（保护关税）Thedirectionofthegoodsimportduty(进口税）exportduty(出口税）importsurtax（进口附加税）anti-dumpingduty（反倾销税）countervailingduty（反补贴税）,BasicTariffAnalysis,Differenttreatmentgeneraltariff(普通税率）MFNTtariff(MostFavoredNationTreatmenttariff最惠国税)GSP(GeneralizedSystemofPreference普遍优惠制税）Preferentialduty(特惠税）,Moderngovernmentsusuallyprefertoprotectdomesticindustriesthroughavarietyofnontariffbarriers,suchas:Importquotas(进口配额)LimitthequantityofimportsExportrestraints（出口限制）Limitthequantityofexports,BasicTariffAnalysis,Supply,Demand,andTradeinaSingleIndustrySupposethattherearetwocountries(HomeandForeign).Bothcountriesconsumeandproducewheat,whichcanbecostlesstransportedbetweenthecountries.Ineachcountry,wheatisacompetitiveindustry.SupposethatintheabsenceoftradethepriceofwheatatHomeexceedsthecorrespondingpriceatForeign.ThisimpliesthatshippersbegintomovewheatfromForeigntoHome.TheexportofwheatraisesitspriceinForeignandlowersitspriceinHomeuntiltheinitialdifferenceinpriceshasbeeneliminated.,BasicTariffAnalysis,Todeterminetheworldprice(Pw)andthequantitytrade(Qw),twocurvesaredefined:HomeimportdemandcurveShowsthemaximumquantityofimportstheHomecountrywouldliketoconsumeateachpriceoftheimportedgood.Thatis,theexcessofwhatHomeconsumersdemandoverwhatHomeproducerssupply:MD=D(P)S(P)ForeignexportsupplycurveShowsthemaximumquantityofexportsForeignwouldliketoprovidetherestoftheworldateachprice.Thatis,theexcessofwhatForeignproducerssupplyoverwhatforeignconsumersdemand:XS=S*(P*)D*(P*),BasicTariffAnalysis,Fig.8-1:DerivingHomesImportDemandCurve,Propertiesoftheimportdemandcurve:Itintersectstheverticalaxisattheclosedeconomypriceoftheimportingcountry.Itisdownwardsloping.Itisflatterthanthedomesticdemandcurveintheimportingcountry.,BasicTariffAnalysis,Fig.8-2:DerivingForeignsExportSupplyCurve,Propertiesoftheexportsupplycurve:Itintersectstheverticalaxisattheclosedeconomypriceoftheexportingcountry.Itisupwardsloping.Itisflatterthatthedomesticsupplycurveintheexportingcountry.,BasicTariffAnalysis,Fig.8-3:WorldEquilibrium,BasicTariffAnalysis,Inequilibrium,thequantitiesofimportdemand=exportsupplyInequilibrium,thequantitiesofdomesticdemanddomesticsupply=foreignsupplyforeigndemandInequilibrium,thequantitiesofworlddemand=worldsupply,Usefuldefinitions:Thetermsoftradeistherelativepriceoftheexportablegoodexpressedinunitsoftheimportablegood.Asmallcountryisacountrythatcannotaffectitstermsoftradenomatterhowmuchittradeswiththerestoftheworld.Theanalyticalframeworkwillbebasedoneitherofthefollowing:TwolargecountriestradingwitheachotherAsmallcountrytradingwiththerestoftheworld,BasicTariffAnalysis,EffectsofaTariffAssumethattwolargecountriestradewitheachother.SupposeHomeimposesataxof$2oneverybushelofwheatimported.Thenshipperswillbeunwillingtomovethewheatunlessthepricedifferencebetweenthetwomarketsisatleast$2.Figure8-4illustratestheeffectsofaspecifictariffof$tperunitofwheat.,BasicTariffAnalysis,Fig.8-4:EffectsofaTariff,Intheabsenceoftariff,theworldpriceofwheat(Pw)wouldbeequalizedinbothcountries.Withthetariffinplace,thepriceofwheatrisestoPTatHomeandfallstoP*T(=PTt)atForeignuntilthepricedifferenceis$t.InHome:producerssupplymoreandconsumersdemandlessduetothehigherprice,sothatfewerimportsaredemanded.InForeign:producerssupplylessandconsumersdemandmoreduetothelowerprice,sothatfewerexportsaresupplied.Thus,thevolumeofwheattradeddeclinesduetotheimpositionofthetariff.,BasicTariffAnalysis,TheincreaseinthedomesticHomepriceislessthanthetariff,becausepartofthetariffisreflectedinadeclineinForeignsexportprice.IfHomeisasmallcountryandimposesatariff,theforeignexportpricesareunaffectedandthedomesticpriceatHome(theimportingcountry)risesbythefullamountofthetariff.,BasicTariffAnalysis,Fig.8-5:ATariffinaSmallCountry,MeasuringtheAmountofProtectionInanalyzingtradepolicyinpractice,itisimportanttoknowhowmuchprotectionatradepolicyactuallyprovides.Onecanexpresstheamountofprotectionasapercentageofthepricethatwouldprevailunderfreetrade.（从价关税）Twoproblemsarisefromthismethodofmeasurement:Inthelargecountrycase,thetariffwilllowertheforeignexportprice.Tariffsmayhavedifferenteffectsondifferentstagesofproductionofagood.,BasicTariffAnalysis,EffectiverateofprotectionOnemustconsiderboththeeffectsoftariffsonthefinalpriceofagood,andtheeffectsoftariffsonthecostsofinputsusedinproduction.Theactualprotectionprovidedbyatariffwillnotequalthetariffrateifimportedintermediategoodsareusedintheproductionoftheprotectedgood.,BasicTariffAnalysis,Measuringtheamountofprotection,nominalrateofprotection(名义保护率）,（domesticmarketpriceofimportgoodsinternationalmarketprice）,internationalmarketprice,100%,nominalrateofprotection,=,关税保护程度,所谓有效保护率是指征收关税后使受保护行业每单位最终产品附加价值增加的百分比。所谓附加价值是最终产品价格减去用来生产该产品的进口投入品成本。,Measuringtheamountofprotection,effectiverateofprotection(有效保护率）：measurethefinalproductsactualrateofprotection,isjindustryunitproductsaddedvalueunderfreetradeisjindustryunitproductsaddedvalueunderprotection,Aexample,ValueaddedV=5000$,10,000$,effectiverateofprotection(V-V)/V=(5000-2000)/2000=150%,10,000$,15,000$,Aexample,ValueaddedV=1000$,10,000$,effectiverateofprotection(V-V)/V=(1000-2000)/2000=-50%,14,000$,15,000$,Measuringtheamountofprotection,Ifthetariffontheinputsofaindustryislessthanthetariffonthefinalproducts,thentheeffectiverateofprotectionwillexceedthenominalrateofprotectionIfthetariffontheinputsofaindustryisequaltothetariffonthefinalproducts,thentheeffectiverateofprotectionwillequaltothenominalrateofprotectionIfthetariffontheinputsofaindustryismorethanthetariffonthefinalproducts,thentheeffectiverateofprotectionwilllessthanthenominalrateofprotection,ornegativeprotection,CostsandBenefitsofaTariff,Atariffraisesthepriceofagoodintheimportingcountryandlowersitintheexportingcountry.Asaresultofthesepricechanges:ConsumersloseintheimportingcountryandgainintheexportingcountryProducersgainintheimportingcountryandloseintheexportingcountryGovernmentimposingthetariffgainsrevenueTomeasureandcomparethesecostsandbenefits,weneedtodefineconsumerandproducersurplus.,ConsumerandProducerSurplusConsumersurplusItmeasurestheamountaconsumergainsfromapurchasebythedifferencebetweenthepriceheactuallypaysandthepricehewouldhavebeenwillingtopay.Itcanbederivedfromthemarketdemandcurve.Graphically,itisequaltotheareaunderthedemandcurveandabovetheprice.Example:Supposeapersoniswillingtopay$20perpacketofpills,butthepriceisonly$5.Then,theconsumersurplusgainedbythepurchaseofapacketofpillsis$15.,CostsandBenefitsofaTariff,Fig.8-6:DerivingConsumerSurplusfromtheDemandCurve,Fig.8-7:GeometryofConsumerSurplus,ProducersurplusItmeasurestheamountaproducergainsfromasalebythedifferencebetweenthepriceheactuallyreceivesandthepriceatwhichhewouldhavebeenwillingtosell.Itcanbederivedfromthemarketsupplycurve.Graphically,itisequaltotheareaabovethesupplycurveandbelowtheprice.Example:Aproducerwillingtosellagoodfor$2butreceivingapriceof$5gainsaproducersurplusof$3.,CostsandBenefitsofaTariff,Fig.8-8:GeometryofProducerSurplus,CostsandBenefitsofaTariff,MeasuringtheCostandBenefitsIsitpossibletoaddconsumerandproducersurplus?Wecan(algebraically)addconsumerandproducersurplusbecauseanychangeinpriceaffectseachindividualintwoways:AsaconsumerAsaworkerWeassumethatatthemarginadollarsworthofgainorlosstoeachgroupisofthesamesocialworth.,Fig.8-9:CostsandBenefitsofaTarifffortheImportingCountry,Theareasofthetwotrianglesbanddmeasurethelosstothenationasawhole(efficiencyloss)andtheareaoftherectangleemeasuresanoffsettinggain(termsoftradegain).Theefficiencylossarisesbecauseatariffdistortsincentivestoconsumeandproduce.Producersandconsumersactasifimportsweremoreexpensivethantheyactuallyare.Trianglebistheproductiondistortionlossandtriangledistheconsumptiondistortionloss.Thetermsoftradegainarisesbecauseatarifflowersforeignexportprices.（domesticimportprice),CostsandBenefitsofaTariff,Ifthetermsoftradegainisgreaterthantheefficiencyloss,thetariffincreaseswelfarefortheimportingcountry.Inthecaseofasmallcountry,thetariffreduceswelfarefortheimportingcountry.Becauseeeffectdisappears.,CostsandBenefitsofaTariff,Fig.8-10:NetWelfareEffectsofaTariff,ExportSubsidies:TheoryExportsubsidyApaymentbythegovernmenttoafirmorindividualthatshipsagoodabroadWhenthegovernmentoffersanexportsubsidy,shipperswillexportthegooduptothepointwherethedomesticpriceexceedstheforeignpricebytheamountofthesubsidy.Itcanbeeitherspecificoradvalorem.,OtherInstrumentsofTradePolicy,Fig.8-11:EffectsofanExportSubsidy,Anexportsubsidyraisespricesintheexportingcountrywhileloweringthemintheimportingcountry.Anexportsubsidylowertherelativepriceofexportinggoods.Inaddition,andincontrasttoatariff,theexportsubsidyworsensthetermsoftrade.Anexportsubsidyunambiguouslyleadstocoststhatexceeditsbenefits.,OtherInstrumentsofTradePolicy,Fig.8-12:EuropesCommonAgriculturalProgram,ImportQuotas:TheoryAnimportquotaisadirectrestrictiononthequantityofagoodthatisimported.Example:TheUnitedStateshasaquotaonimportsofforeigncheese.Therestrictionisusuallyenforcedbyissuinglicensestosomegroupofindividualsorfirms.Example:Theonlyfirmsallowedtoimportcheesearecertaintradingcompanies.Insomecases(e.g.sugarandapparel),therighttosellintheUnitedStatesisgivendirectlytothegovernmentsofexportingcountries.,OtherInstrumentsofTradePolicy,ClassificationofImportQuotasabsolutequotas(绝对配额）globalquotas;unallocatedquotas(全球配额）countryquotas(国别配额）tariffquotas(关税配额）,Animportquotaalwaysraisesthedomesticpriceoftheimportedgood.Licenseholdersareabletobuyimportsandresellthematahigherpriceinthedomesticmarket.Theprofitsreceivedbytheholdersofimportlicensesareknownasquotarents.,OtherInstrumentsofTradePolicy,WelfareanalysisofimportquotasversusofthatoftariffsThedifferencebetweenaquotaandatariffisthatwithaquotathegovernmentreceivesnorevenue.Inassessingthecostsandbenefitsofanimportquota,itiscrucialtodeterminewhogetstherents.Whentherightstosellinthedomesticmarketareassignedtogovernmentsofexportingcountries,thetransferofrentsabroadmakesthecostsofaquotasubstantiallyhigherthantheequivalenttariff.,OtherInstrumentsofTradePolicy,Fig.8-13:EffectsoftheU.S.ImportQuotaonSugar,VoluntaryExportRestraintsAvoluntaryexportrestraint(VER)isanexportquotaadministeredbytheexportingcountry.Itisalsoknownasavoluntaryrestraintagreement(VRA).VERsareimposedattherequestoftheimporterandareagreedtobytheexportertoforestalltheimportersothertraderestrictions.,OtherInstrumentsofTradePolicy,AVERisexactlylikeanimportquotawherethelicensesareassignedtoforeigngovernmentsandisthereforeverycostlytotheimportingcountry.AVERisalwaysmorecostlytotheimportingcountrythanatariffthatlimitsimportsbythesameamount.ThetariffequivalentrevenuebecomesrentsearnedbyforeignersundertheVER.Example:About2/3ofthecosttoconsumersofthethreemajorU.S.voluntaryrestraintsintextilesandapparel,steel,andautomobilesisaccountedforbytherentsearnedbyforeigners.AVERproducesalossfortheimportingcountry.,OtherInstrumentsofTradePolicy,Comparisonofvoluntaryexportrestraintandimportquotas,LocalContentRequirementsAlocalcontentrequirementisaregulationthatrequiresthatsomespecifiedfractionofafinalgoodbeproduceddomestically.Thisfractioncanbespecifiedinphysicalunitsorinvalueterms.Localcontentlawshavebeenwidelyusedbydevelopingcountriestryingtoshifttheirmanufacturingbasefromassemblybackintointermediategoods.,OtherInstrumentsofTradePolicy,Localcontentlawsdonotproduceeithergovernmentrevenueorquotarents.Instead,thedifferencebetweenthepricesofimportsanddomesticgoodsgetsaveragedinthefinalpriceandispassedontoconsumers.Example:Supposethatautoassemblyfirmsarerequiredtouse50%domesticparts.Thecostofimportedpartsis$6000andthecostofthesamepartsdomesticallyis$10,000.Thentheaveragecostofpartsis$8000(0.5x$6000+0.5x$10,000).Firmsareallowedtosatisfytheirlocalcontentrequirementbyexportinginsteadofusingpartsdomestically.,OtherInstrumentsofTradePolicy,OtherTradePolicyInstrumentsExportcreditsubsidiesAformofasubsidizedloantothebuyerofexports.Theyhavethesameeffectasregularexportsubsidies.NationalprocurementPurchasesbythegovernment(orpublicfirms)canbedirectedtowardsdomesticgoods,eveniftheyaremoreexpensivethanimports.Red-tapebarriers(繁琐的手续)Sometimesgovernmentsplacesubstantialbarriersbasedonhealth,safetyandcustomsprocedures.,OtherInstrumentsofTradePolicy,OtherInstrumentsofTradePolicy,importlicensesystem进口许可证制foreignexchangecontrol外汇管制advanceddeposit进口押金制minimumprice；prohibitiveimport最低限价制和禁止进口internaltaxes国内税statemonopoly进出口的国家垄断technicalbarrier技术性贸易壁垒laborstandard劳工标准rulesoforigin原产地,TheEffectsofTradePolicy:ASummary,Table8-1:EffectsofAlternativeTradePolicies,Summary,Atariffdrivesawedgebetweenforeignanddomesticprices,raisingthedomesticpricebutbylessthanthetariffrate(exceptinthe“small”countrycase).Inthesmallcountrycase,atariffisfullyreflectedindomesticprices.Figure8-4Thecostsandbenefitsofatarifforothertradepolicyinstrumentsmaybemeasuredusingtheconceptsofconsumerandproducersurplus.Figure8-9ThedomesticproducersofagoodgainThedomesticconsumersloseThegovernmentcollectstariffrevenue,Summary,Thenetwelfareeffectofatariffcanbeseparatedintotwoparts:Efficiency(consumptionandproduction)lossTermsoftradegain(iszerointhecaseofasmallcountry)Anexportsubsidycausesefficiencylossessimilartoatariffbutcompoundstheselossesbycausingadeteriorationofthetermsoftrade.Figure8-11Underimportquotasandvoluntaryexportrestraintsthegovernmentoftheimportingcountryreceivesnorevenue.,非关税壁垒的主要种类,价格费用型补贴、进口押金、最低限价、海关估价、成本外汇管制数量限制型许可证、数量性外汇管制、配额、“自动”出口限制综合影响型技术性贸易壁垒（包括环境标准等）特点灵活性有效性隐蔽性歧视性,进口许可证制（importlicensesystem）,概念分类按是否有配额有定额无定额按进口商品的许可程度公开一般许可证特种商品进口许可证,外汇管制（ForeignExchangeControl）,概念分类数量性外汇管制成本性外汇管制混合型外汇管制利润汇出限制,歧视性政府采购（discriminatorygovernmentprocurement）,概念做法优先购买本国产品与服务强调产品与服务中的国产化程度偏向国内企业的招标直接授标,技术性贸易壁垒TechnicalBarriersToTrade(TBT),概念限制进口的技术措施严格复杂的技术法规和技术标准严格的卫生检疫制度严格的商品包装和标签的规定,其他,进出口的国家垄断进口押金制最低限价制和禁止进口国内税收和商业限制环境标准,海关程序,概念体现对申报表格和单证作出严格要求对商品归类提高税率通过海关估价制度限制进口从进口商品查验上限制进口,原产地规则Rulesoforigin,目前普遍接受的“原产地”定义是：经一个以上国家加工制造的产品的原产地，是对该产品施加最后一个实质性改变（形成了一种完全不同的名称、特征或用途的新产品）的国家.而原产地原则的主要作用体现在关税的征收上。,原产地规则,进口国规定进口产品中必须由出口国原产的百分比这个规定对于进口国对出口国的贸易壁垒较低时，尤其重要案例:中国的加工贸易,
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