全球化浪潮中的中国认证行业 = China's certification industry in response to globalization

University of Technology, Sydney. Institute for International Studies.本研究探讨了中国认证行业在全球化的浪潮中所面临的问题和应采取的对策。 全球化、区域性经济一体化的发展，关税壁垒的降低，其他政策性贸易手段的弱化，贸易摩擦和纠纷越来越激烈。各国为了保护本国的利益和产业安全不断增加技术壁垒，认证是其中重要的实施手段，由此产生了世界范围内（特别是在世贸组织成员国之间）对认证未来发展的关注。越来越多的人认为认证是全球化国际贸易和当代市场经济动行的必要组成部分。发达国家主导的世贸组织原则要求市场经济成熟度不高，认证制度起步较晚的发展中国家开放认证领域的市场，国与国之间和区域内认可机制的形成和少数认证机构的全球扩张，产生了未来发展中国家的产品和服务是否能得到公正、合理的合格评定的担忧，政府对该行业的宏观调控措施是否能得到有效的实施，相关产业是否能得到合理的保护，消费者买到的商品和服务是否要支付比合理成本要多的额外成本，这些问题对未来中国在全球化和WTO环境中的经济发展都是相当重要的。 本论文首先总结归纳经济全球化、区域经济一体化和WTO的发展变化和主要特征，介绍了WTO中与认证有关的TBT协定和SPS协定，总结发达工业国家认证的起源、发展以及对经济、贸易发展的相关性，研究全球化经济、区域经济一体化对认证行业的影响，认证机构的全球化扩张以及认证行业的发展趋势。回顾中国认证活动的发展历程，考察中国现有的法律、法规体系，入世与认证方面有关的承诺，探讨认证对中国经济发展的作用以及如何面对全球化经济环境变化所带来的机会和威胁。 论文的主体由全球化经济和WTO环境以及对认证的影响入手，在分析研究全球认证体系的起源发展过程和趋势的基础上，结合中国认证行业的现状，应用波特的国家竞争优势钻石理论，从生产要素、需求状况，相关支持性产业、企业结构和同业竞争以及机会和政府角色等方面，比照国际上认证行业的成功经验，深入剖析中国认证行业现阶段存在的问题，提出建立中国认证行业的国家竞争优势应采取的对策。为中国认证行业的改革和发展提供一些有价值的理论依据，同时还可以丰富对中国市场化进程的认识。 The present research explores the problems that China’s certification industry faces in globalization and proposes strategies and solutions. With the development of globalization and regional integration, tariff as a barrier to trade decreasing, policies used as trade measures weakening, and trade frictions and disputes becoming ever more intensive, governments depend more and more on technical barriers to protect the interests and the industry of its own nation. One important technical barrier is certification. Thus concerns over the future development of certification were brought about globally (among WTO members particularly). More and more people regard certification as an indispensable part of the globalizing trade and the modem market economy. WTO principles dominated by developed countries require that developing countries, where market economy is of low maturity and certification is comparatively new, open their certification markets. Meanwhile, recognition arrangements between countries and regional ones come into being, and a small number of big players are expanding their certification business in almost every comer of the world. As a result, developing countries begin to worry if their products and services will be assessed justly and reasonably, if the government’s macro control in this field can be effectively exerted, if related industries can be reasonably protected, if consumers will have to pay more than reasonable prices for goods and services. These are also important problems China has to deal with for its economic growth in an environment marked with globalization and WTO. This thesis starts with the development and major features of globalization, regional integration and WTO, and then gives an introduction of WTO/TBT and SPS agreements and their impact on certification, and the definition, types and models of certification. This general introduction is followed by a study on certification in the global context, including the emergence and development of certification in developed and industrialized countries, and its relation to the development of trade and economy, the impact of globalization and regional integration on certification, global expansion of certification and the future trend in this particular field. The essay then goes to the history of certification in China, the current legal system in China, commitments related to certification made for its accession into WTO, and explores into how certification affects the growth of the Chinese economy and how Chinese certification should deal with the opportunities and challenges brought along by globalization. The body of the thesis takes globalization, WTO and their impact on certification as the point of departure. With an analysis of the history and future development of certification in the international context as the basis, the essay then focuses on the current status of certification in China. Using the “diamond” theory of Michael E. Porter, from various perspectives including factor conditions, demand conditions, firm strategy and structure, rivalry from competitors and chances, and the role of government, the essay makes a comparative study of the successful experience from other countries and the status of certification in China, gives a penetrating insight into the problems of certification in China and proposes ways to form the competitive advantage of Chinese certification. It aims to provide valuable theoretical basis for the reform and development of certification in China and to help enrich knowledge of the developing process of Chinese market economy