四种服务贸易模式 英文.doc

l Modes of supply 服务贸易的方式60.We have reviewed the major different explanations for the pattern of trade. These explanations provide a motive for trade. But they do not always explain why firms choose particular modes to supply services to foreign customers.我们已经回顾了关于贸易模式的几个主要的不同的解释。这些解释为贸易的发生提供了动机。但是它们并不总能解释为什么公司采用特定的模式来为它们的外国客户提供服务。61.The possibility that services may be supplied by more than one mode raises a number of issues. First, if trade in all modes was unconstrained, how would firms choose to supply service to their foreign customers? Second, are different modes substitutes or complements? Third, what is the effect of allowing trade via some modes but not others? The answers to these questions have important implications both for predicating and assessing the implications含义 of trade liberalization in services. Unfortunately, this issue has not received a great deal of study in the academic literature.服务可以被多种方式提供的可能性引出了一些问题：第一，如果各种贸易方式没有受到限制，公司会如何选择提供服务给它们的外国客户？第二，各种不同的模式是相互替代还是相互补充？第三，如果允许贸易只能通过一些方式，而不能用其他的方式，这样做的影响又是什么？这些问题的答案对预测和评析服务贸易自由化的重要影响有着重要的意义。不幸的是这些问题没有在学术领域足够的研究。Asymmetric costs across modes of supply供应模式中的非均衡成本62. for many types of services, the costs of provisions vary substantially across the different modes of supply, and for some services, supply is essentially not feasible via some modes.对于不同的服务，不同模式的供应方式下供应价格有着很大的变化。而且对于一些服务，供应在某些模式下是不可行的。63. Tourism, for example, cannot take place unless consumers are free to travel and spend their money in foreign countries. Fast-food restaurant services cannot be provided without a commercial presence in the country where the food is served; hence this requires FDI or provision for franchising agreements因此这需要外国直接投资或规定为特许经营协议. Construction services require a physical presence as well, so construction workers have to be able to move across borders if their services are to be tradable.举个例子，比如说旅游，旅游不能发生除非消费者可以在外国自由旅游和消费。快餐店的服务无法被提供除非在它提供快餐的那个国家有商业存在。因此这需要经销权协议。建设服务也需要一个有形的存在，同时建设工人要可以穿越国界如果他们的服务是可贸易的64.This heterogeneity across services is particularly important because countries have comparative advantages in different types of services. Rules that allow some modes but not others will favor some countries over others. A set of rules that allows FDI, direct cross-border export of services, and movement of customers between countries, but which does not allow labor movement across countries will preclude certain types of services from being traded at all. The services that cannot be traded in such a regime are labor-intensive services that require physical contact between the customer and service provider. Hence countries that have a comparative advantage in such services (labor-abundant countries) will be seriously counterstriked in their ability to export these types of services. Although there are many potential gains from importing services (especially via increased productivity in goods production), the gains from trade will generally be larger when foreign barriers to exporting services are removed as well. Consequently, the rules affecting different modes of supply can be critically important both in determining which services will be traded, and in determining the distribution of the gains from trade across countries. 服务的多样性有着重要意义，因为不同的国家在不同的服务形式中有着不同的比较优势。一些允许使用某些模式却否定另外一些模式的规则会使某些国家相比其他国家有优势。一些允许国家间进行FDI, 直接跨国界服务出口和消费者的移动，却同时不允许劳动力在国家间的移动的规则会让有些形式的服务贸易根本无法进行。在这样的情况下无法进行的服务贸易有，比如说一些要求消费者和服务提供者有身体接触的劳动密集型的服务。在这些领域有着比较优势的国家（劳动力资源丰富的国家）将在出口这些服务时受到极大限制。尽管在进口服务中有许多的潜在收益（尤其是通过提高产品生产的生产率）。从贸易中获得的收益通常会更大如果外国对服务出口的限制也被移除。因此，影响不同模式贸易的提供的规则在决定哪些服务会被贸易和在不同国家间分配利益有着非常重要的影响。l Modes of Supply as Substitutes供给方式的可替代性65. For some types of services, different modes of supply are substitutes, in the sense that if one mode is not available, firms will use a different mode to supply their service to foreign customers. Foe example, consider an insurance firm. A foreign customer could buy an insurance contact by mail or electronically. That is, the insurance services could be directly exported. Alternatively, the insurance company could set up a branch office in the foreign country to serve its foreign customers. In that case, the foreign client would deal with the local office of the foreign insurance company. When it comes time to settle claims解决索赔, the insurance company could send agents from the home office to assess the claim评估索赔; that is, it could rely on temporary movements of personnel for assessments of claims索赔的评估. Or, if it set up a branch office, then foreign personnel from the foreign office could assess the claims评估索赔. Another example is medical services. A specialized surgical team could come from a foreign country to perform surgery in the home country; or the patient could go to the foreign country to receive treatment.对于某些类型的服务，不同的的供给方式是可以相互替代的，这就是说，如果一个供给方式不可行了，企业会用不同的方式去为国外的客户提供他们的服务。举个例子，想一下保险公司。国外的客户可以通过信件或者电子邮件的方式来购买保险合同。就是说，在这里保险服务可以直接被出口。另一种方法是，保险公司可以在国外设立子公司为国外客户提供服务。在这种情况下，国外的保险委托人就可以在外国保险公司的当地办事处处理事情。当有保险申请的时候，保险公司可以从总部派代理商去评估这个申请，这就是说，保险公司可以通过临时调动雇员去评估保险申请。或者，如果设立了国外子公司，当地的雇员就可以评估保险申请。另一个例子是医疗服务。一个外科手术专家团队可以从国外来本国进行外科手术，或者也可以是患者去国外接受治疗。66.If the different modes of supply are substitutes, then in some cases virtually all of the gains from trade can be realized by opening up just one mode of trade. This is the basis of Mundells (1957) observation that under some conditions, trade in goods and services and trade in factors are perfect substitutes. That is, a country with an abundance of skilled workers can either export goods and services directly produced by these workers; or the workers themselves can move up to produce in other countries. In both cases, gains from trade will be realized.如果不同的供给方式是可以相互替代的，那么某些情况下几乎所有贸易收益都可以通过建立一种贸易方式得以实现。这是蒙德尔观察理论的基础。该理论指出，在某些情况下，实物贸易、服务贸易和要素贸易是完全可替换的。换言之，一个拥有大量技术工人的国家不仅可以出口由工人直接制造的商品或者直接提供的服务，也可以让工人直接去国外进行生产。两种情况下，贸易收益都会被获得。67. However, even when modes of supply are substitutes, restrictions on which modes are available to firms can have important implications. First, modes are typically not perfect substitutes. In the example of the surgeon above, hospital facilities will differ across countries and so the success rate and cost of the surgery will differ depending on where it is performed. Travel costs for patients and surgeons will differ. The health of a seriously ill patient may be jeopardized by travel; and the opportunity costs机会成本 of travel for a surgeon may be high because of the needs of other patients. In the case of the insurance company, the reliance on a foreign office may increase managerial overhead expenses; but the presence of a local office might可能 allow the firm to better deal with the needs of local clients客户. If firms are free to choose their modes of supply, one would expect that they would choose the most coat-effective mix. Restrictions on access to foreign markets国外市场 via some modes but not others can therefore lead to increased costs of provision of services and therefore potentially reduce the gains from trade. 一些交易方式可以进入国际市场而另一些不可以的限制性就会增加服务成本从而可能减少贸易收入。然而，即使当供给方式可以相互替代，对于企业可用的提供方式的限定还是会有重要的影响。第一，供给方式通常不是完全的可替代。在上面提到的关于外科医生的例子中，医院的设备在不同国家有所区别，所以手术的成功率和手术费用也会因手术地点的不同而不同。患者和医生的旅费也会不同。患了重症的病人可能会因为奔波而处于危险之中，而且鉴于其他病人对医生的需要，该外科医生的机会也可能比较高。在保险公司的情况中，对于国外办事处的依赖会增加日常管理费用；但是当地办事处的设立只允许其处理好当地保险申请的需求而已。如果企业可以自由的去选择他们的供给方式，可以预想他们会选择成本效益最有的方式。进入国际市场的限制性因素在某些交易方式下会增加服务成本从而减少贸易收入，在另一些交易方式下则不然。68.Second, different modes of supply will have different effects on income distribution. For example, consider the insurance company again. Suppose a country (North) has a comparative advantage in the provision of insurance services. Suppose also that FDI in insurance services is liberalized but insurance agents are not allowed temporary access不允许临时进入 to foreign countries to assess claims评估索赔 and serve the local needs of their clients. In this case这种情况下, insurance firms from North are likely to set up branch offices in foreign countries to serve foreign clients. This will increase the demand for labor in the insurance sector in foreign countries and may push down wages. On the other hand, if FDI is not allowed, and Northern insurance personnel are allowed temporary access to foreign countries, this can reduce the demand for labor in the insurance sector in foreign countries and may push down wages.第二，不同的供给方式对收入分配的影响不同。比如，再次以保险公司为例。假如一个国家（北方）在提供保险方面具有比较优势。而且保险服务的国际直接投资是自由化的，但是如果保险代理商没有批准临时去国外评估申请和服务国外客户的需求。在这个例子中，来自北方国家的保险公司可能更倾向于在他国设立分支机构来为该国客户服务。这将会刺激对该国保险领域中劳动力的需求，并逐步推动工资上涨。从另一方面来讲，如果禁止FDI，同时北方的保险从业人员可以临时进入他国，这将会减少他国保险领域对劳动力的需求，并可能导致工资的下调。69. The effect on income distribution can be more subtle and complicated than this example indicates. Complementarities may also occur across similar types of factors. For example, if a large foreign engineering firm has a contract to build a bridge, then allowing temporary access for foreign engineers can increase the productivity of local engineers who also work on the project (Markusen, Rutherford and Tarr, 2000). That is, allowing temporary access for foreign engineers may increase the incomes of local engineers. As another example, allowing foreign movie stars into a country to make a film can increase the demand for local actors who will work on the films as well. More generally, allowing FDI will have different effects on wages and employment than will policies that allow labor to move across countries. Even if the efficiency effects of the two different modes of supply are not very different, the effects on income distribution may be important in determining political support for the different modes.不同的服务提供模式对收入分配的影响比上述提到的例子更为微妙和复杂。类似的模式还可能会产生互补作用。举例来说，如果一家大型的外国工程公司要按合同建造一座桥，那么对别国工程师开通临时通道无疑会增加当地正为此工作的工程师的生产效率（马库森，拉瑟福德和塔尔，2000）。也就是说，对国外工程师开放临时通道可能会提高本国工程师的收入水平。再来看另一个例子，允许外国影星来本国拍摄电影同样也会刺激对本国演员的需求。更普遍的来说，与通过政策来驱使劳动者跨境移动相比较，采取FDI将会对工资和就业产生不同的影响。尽管这两种不同服务提供模式的效率影响差别不大，但在确定政策支持哪种模式方面，收入分配的影响可能是很重要的。70. in models with agglomeration effects, the choice between FDI and direct exports of services can affect the incentives to agglomerate. If direct trade is the only mode permitted, this tends to favor the country with a larger market because its larger size allows it to take advantage of the agglomeration effects. On the other hand, if direct trade is restricted, and governments require a local presence as a condition for local provision of the service需要本地化存在, then the smaller market is favored, because such a policy will encourage FDI, which can increase the demand for local producer services, and thereby transfer some of the agglomeration benefits from the large market to the smaller one.在集聚效应模型中，选择FDI还是直接出口服务贸易将会影响集聚的刺激作用。如果只采取直接贸易模式，由于它的规模大，能利用集聚效应从而会使该国获得一个更大的市场。从另一个方面来说，如果限制直接贸易，那么政府就有条件为本国提供服务，使小市场得益，因为这样的政策能鼓励FDI，刺激对当地生产服务商的需求，并引导集聚优势从大市场向小市场转移。l Modes of supply as complements互为补充的服务提供模式71. In many cases the different modes of supply will be complementary. For example, if a firm choose to have a physical presence in a foreign market, then the effectiveness of their operation may be enhanced if personnel are allowed to move between the home and foreign establishments .As well, there will likely be direct intra-firm trade in services, with for example, research services concentrated in one location, accounting services in others etc. A policy that restricted any of these three modes would affect either the cost or quality of the service provision. In cases where there are strong complementarities across different modes of supply, fully effective liberalization of service trade requires that all modes be opened up.在很多案例中，不同的服务提供模式是相辅相成的。例如，如果一个公司决定在国外设立实体公司，而且全体员工可以在国内外自由流动，那么他们工作的效力可能就会增加。同样的，公司内部也可能发生直接的服务贸易，比如研究性服务注重于这个定位，而会计服务则注重于其他。如果一项政策限制了三个模式中的任何一个，那么都会影响服务供应的成本和质量。假如通过不同模式的供应能有一个足够的补充，那么完全高效的服务贸易就需要所有模式的共同开放。72.1 See Markusen and Venables (2000) who show how allowing multinationals to set up in smaller countries can erode some of the larger countrys advantages.马库森和维纳布尔斯（2000）阐述了如何设置使跨国公司在较小的国家可削弱较大国家的某些优势。73. Services may also be complementary with goods trade. Export of goods requires transportation and insurance services, but it may also require the establishment of distribution networks, facilities to deal with repairs or with training of customers in the use of products, etc. Hence in some cases the potential gains from goods trade cannot be fully realized without liberalization of service trade. Conversely, liberalization of goods trade, e.g. in computers, 货物贸易自由化, 例如在计算机中may well be a condition for the realizing the benefits of services trade很可能是一个实现服务贸易的收益的条件.货物贸易也会反过来补充服务贸易，货物贸易需要交通和保险服务，同时也需要销售网络的建立，需要修理设备以及帮助消费者培训以使用产品等等。因此在一些情况下，如果没有自由化的服务贸易，货物贸易中的潜在利益就不会被完全发掘，相反地，自由化的计算机货物贸易则成了服务贸易获得利益的一个条件。74.Box3.3 Impact of Restrictions and Substitutability between Modes表3.3 不同模式之间限制与替代的影响How much a restriction on a particular mode matters某一特定模式多大啊程度的影响 depends on the scope for substitution between modes. At one extreme, if a service (e.g. construction) can only be supplied through one mode (movement of builders), then a prohibitive trade restriction on that mode shut out foreign supply completely. At the other extreme, if modes (say cross-border and movement of individuals) are substitutes for the supply of a service (e.g. standardizes software development), then the impact of a restriction on one mode is diluted. What determines substitutability between modes? 限制在多大程度上单独影响一中模式取决于不同模式之间的替代程度。在一个极端下，如果一项服务（比如建筑）仅仅可以由一种模式提供（建筑师的流动），那么在那种模式下的一个抑制性的贸易限制就会把国外的供应完全排除在外。换一种极端，如果服务的供应（如标准化的软件开发）是可以被不同模式（如个人的跨国活动）所替代，那么在单一模式下限制的影响就会变弱。那么到底什么决定了不同模式间的替代程度呢? 75.TechnologyA few decades ago back-office services had to be performed quite literally in the back of the office. Today, the development of information and communications technology has made it possible for Swiss Air to have its bookkeeping services performed in Mumbai. Even though a surgical operation still requires proximity between the patient and the surgeon, it is conceivable that in a few decades, with the development of remote controlled robots, it will not.科技几十年前，后台管理服务必须在公司内部精确地执行，而今天，信息交流技术的不断发展使瑞士空军可以将他们的会计服务外包到孟买。尽管外科手术需要病人和医生的实际接触，可想而之，在今后的几