Doctor of Philosophy / Department of Economics / Yang M. Chang / There have been considerable discussions about why countries have interests in forming preferential trade agreements (PTAs), which typically take the forms of a “free trade area” (FTA) with Rules of Origin (ROO) and a “customs union” (CU) (World Bank, 2005). This dissertation contains three essays with three different models of trade under oligopoly to analyze various issues on preferential trade agreements. The first essay examines welfare implications of forming preferential trade arrangement (PTAs) between two asymmetric countries that differ in their market sizes. Key findings are as follows. First, when market size asymmetry between two countries is not too large and ROO requirements are not too restrictive, the formation of an FTA with effective ROO can be welfare-improving to both members. Second, the formation of a PTA is more likely to emerge between countries of similar in their market sizes, ceteris paribus. Third, compared to the pre-PTA equilibrium, there are greater reductions in external tariffs under an FTA than under a CU such that a non-member country is relatively better off under the FTA. The second essay presents a three country model of trade under Bertrand price competition to analyze differences in welfare implications between an FTA with ROO and a customs union (CU). It is shown that the maximum limit of ROO requirements over which there are welfare gains from trade for FTA members depends crucially on the degree of substitutability of final goods (or the intensity of product market competition). It is also found that member countries and their final-good exporters are better off in a CU than in an FTA. There are greater reductions in external tariffs under an FTA than under a CU such that a non-member country is relatively better off under the FTA. The third essay presents a three country model of FTA with Cournot quantity competition and derives the maximum enforceable level of ROO over which there are welfare gains from trade to each member country. It is shown that ROO and external tariffs are strategic complements such that the higher is the regional input restrictions, the higher is the external tariff necessary to induce firms to fully comply with ROO requirements. It is also shown that an FTA with effective ROO has a positive effect on the final-good trade. But the trade-diverting effect does not occur in the final-good sector.

Les règles d'origine sont employées pour définir l'endroit où un produit était manufacturé. Pour comprendre l'évolution du commerce, particulièrement lorsqu'il s'agit des accords unilatéraux et bilatéraux, la connaissance des règles d'origine préférentielles et le cumul est nécessaire. Les règles d'origine préférentielles jouent un rôle légitime dans la prévention des déviations commerciales. L'UE a le plus grand nombre d'accords commerciaux préférentiels avec un niveau élevé d'harmonisation des lois d'origine, par exemple l'accord économique d'association (EPA) pour 78 pays ACP et le système du cumul pour l'Euromed. Comme nous savons, la subvention pour le produit d'agriculture tel que le sucre de l'UE et le coton des Etats-Unis sont la raison principale qui cause la pauvreté des PMA. Ainsi, les objets principaux de cette dissertation est veulent trouver : Est-ce que l'UE emploie vraiment sincèrement les règles d'origine préférentielles pour aider les PMA ou veut juste garder leurs avantages coloniaux historiques? Pourquoi les pays membre de l'UE contre la nouvelle politique de la commission à la CJUE après les plaignantes a pris la consultation à l'OMC par le même produit ? Comment les règles d'origine préférentielles de l'UE garde-t-elle l'harmonie avec leurs pays membres et les Etats membres de l'OMC? Pourrions-nous trouver une solution de s'améliorer ou remplacer les règles d'origine préférentielles de l'UE pour empêcher un autre cas se produire dans l'OMC et le CJCE pour le même produit? Nous trouverons la réponse à la conclusion. / Rules of origin are used to define the place where a product was manufactured. To understand the evolution of trade, especially in the cases of unilateral and bilateral trade agreements, the knowledge of the preferential rules of origin and cumulation is necessary.The preferential rules of origin play a legitimate part in the prevention of the commercial deviations. The EU has the largest number of preferential trade agreements with a high degree of harmonization of origin laws, for example the Economic Partnership Agreement （EPA） for 78 ACP countries and the system of cumulation for EURO-MED.As we know, the subsidiary for agriculture product such as sugar and cotton of EU and USA are the main reason which causes the poverty of LCDs. So, the mains purpose of this dissertation is want to find: Does EU really sincerely uses the preferential rules of origin （PROO） to help the LCDs or just want to keep their historical colonial benefits? Why the EU member against the EU commission's newly policy after the WTO member by the same product? How the EU PROO does keep harmony with their member countries and the WTO's member countries? Could we find a way to improve or replace the PROO of EU for the same product to prevent another case happen both in WTO and CJCE? We have found the answer at the Conclusion.

South Africa is currently an emerging economy and has various trade agreements with the United States of America and the United Kingdom according to which South Africa enjoys different preferential rules of origin. In some respects, current customs and excise legislation relating to rules of origin places South Africa at a disadvantage in the global arena. In some cases, preferential rules of origin with developed countries benefit South Africa little if they are not properly structured, or if the rules of various trade agreements contradict each other. The aim of this study was to ascertain whether South Africa’s rules of origin are sufficiently aligned with those of more developed economies to improve the economy, thereby increasing trade growth and tax revenue. This study compared the South African rules of origin with rules of origin that are applied in another developing country, namely Brazil, as well as to those applied in two developed countries, namely the United Kingdom and the United States. To illustrate the application of the rules of origin, this study focused specifically on rules of origin applicable to individual quick frozen poultry. This comparative study identified similarities and differences between the countries, and noted possible improvements to South African customs and excise tax legislation for this industry. It was found that the rules of origin applied in South Africa are similar in some respects to those used in the UK. An improvement that South Africa could make is to minimise the number of rules in effect by negotiating better preferential rates of duty across more than one country. South Africa could also ensure that it can comply with all obligatory conditions of trade agreements entered into to avoid under-utilisation of the benefits of a trade agreement. By adopting or adapting some of the advantages of the rules of origin in the countries chosen for comparison, South Africa can grow its international trade and generate increased tax revenue to support the government’s revenue income demand. / Dissertation (MCom)--University of Pretoria, 2014. / tm2015 / Taxation / MCom / Unrestricted

原產地規則隨著區域整合之興起，已成為一個相當重要的貿易問題。其不僅與國內整體產業發展有關，對於個別廠商之生產決策與外銷優勢亦有相當程度之影響。尤其對於部分相對弱勢之產業，若制定過於寬鬆之原產地規則，除將面臨區域內國家之進口壓力，區域外國家還可能透過違規轉運藉由優惠性關稅進口。台灣自從與經貿關係密切之中國大陸洽簽了兩岸經濟合作架構協定（Economic Cooperation Framework Agreement，ECFA），隨著貨品逐步之關稅調降，許多區內產品認定問題亦隨之而來。 而本文之研究目的，即為透過原產地規則之制定，在適當的彈性空間下，避免區外國家透過中國大陸轉運，使過多產品享有優惠性關稅進入國內市場，造成國內廠商受到衝擊。而本文所研究之產業為台灣之成衣產業，相較於中國大陸之成衣產業，其目前發展情形相對弱勢，故政府未來針對此產業制定原產地規則時必須更加謹慎地考量國內產業發展，並參考其他FTA所制定相關原產地規則。本文希望透過比較研究其他FTA，並審酌產業發展現況，經適當調整後，試擬一套適合台灣成衣產業之原產地制度。最後，為了解所建議原產地規則之可行性，本文以實際採訪政府機關之方式，了解原產地制度制訂者之看法與意見。 / Rule of origin is a quite important issue since the trend of regional integration. This is not only relevant with the development of domestic industries, but also has impact for the strategies of production and export each firm made. Domestic industries, especially for the relatively weak industries, will burden much pressure if the rules of origin are too simple and less restrictive. Sine Taiwan signed Economic Cooperation Framework Agreement（ECFA）with China, we need to consider all the issues and impact rules of origin may occur. The main subject of this thesis is to set up appropriate rules of origin to avoid the severe impact to domestic industries caused by excessive import from China. Due to the condition of industry, I chose garment industry as a focus of my study and analysis. Since domestic garment industry involves more employed population compare to the other weak industry, government should consider more cautious when they set up rules of origin for garment industry in the future. By making the comparison for the rules of origin for garment industry in different free trade agreement, I tried to imitate the rules of origin for garment industry with some adjustment. In the last part, I made an interview with the researcher of Industrial Development Bureau to understand their opinion for the applicability of the rules of origin.

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Today, different parts of a value chain operate in different places, different firms may hold ranges of brands with different national heritages, and leaders, shareholders and customers are widely spread across the world. Policy makers are facing new challenges as national borders define less and less of corporate thinking. In this paper, we argue that there is a need to find a new way of how to understand the relationship between business and nation-states. The theoretical framework was constructed by breaking down the concept of national identity of companies. We found four different aspects that we argue can connect business to nations, and in the empirical study, our ambition is to test this framework. By conducting the study using qualitative content analysis, we aim to answer the research question of if it possible to understand the national identity of companies through different aspects of business, and if so, how this is reflected in the national trade policies of four countries. Our results showed that by looking beyond the traditional view of national identity of companies, policy makers have three important factors to take into regards when considering their relations to business; location, culture and contribution.

Strong objections appeared in the Czech Republic, especially in the automotive industry, against the EU-Korea Free Tra de Agreement right after its adoption in October 2009. There were fears that the Agreement would endanger Czech competitiveness in the European market while new opportunity for Czech exporters in the Korean market would be limited. The thesis aims to analyze the impacts of the Agreement on the Czech sensitive sectors as the author does not agree with the results of the very first Czech country specific analysis made by the Association for International Affairs (AMO) that neglects any important endangering effects of the Agreement. The crucial difference between this paper and the study made by AMO is that the author considers Czech competitiveness in the European market as a decisive criterion while AMO analysts analyze the impacts on the Czech market only. They do not consider Czech exports to the EU member states and potentially strengthening competition in the European market for Czech producers. In the thesis the sensitive sectors are defined using the data from the International Trade Centre (ITC), the Czech statistical office, and the UN COMTRADE. Hariss index is used to measure restrictiveness of the rules of origin for the very first time in the EU-Korean FTA context, the methodology of the European Commission is utilized to estimate potential savings in effect of duty drawback, and a qualitative analysis of the non-tariff barriers is applied. The author points at a decisive function of non tariff barriers that plays even more important role in terms of liberalization then tariff reduction itself. Regarding the automotive industry, the thesis shows that Czech competitiveness within heading 8703 (cars) will not be endangered in effect of the Agreement while there might be some difficulties within heading 8708 (parts & accessories for motor vehicles). The Czech Republic does not perform any revealed competitive advantage in trade of services. The arguments of Czech car makers against the Agreement about the trade within heading 8703 are not admitted. However further research is needed to analyze if the Agreement will have harmful effects on Czech competitiveness in the European market within heading 8708. The Agreement will not bring up any notable opportunity for Czech exporters in the Korean market.

Special and differential treatment (SDT) provisions in GATT were created to assist developing countries achieve economic progress while assimilating into the multilateral trading system. Despite these intentions, global trade imbalances still persist. Within this context, I focus on the region of East Asia which has experienced astounding growth in just several decades, propelling it far beyond other developing country regions. Although international trade continues to be the crucial factor driving growth in the region, reliance on SDT has in certain circumstances hindered development. As such, East Asia should seek alternatives to SDT. In that vein, I argue that sustainable growth and trade liberalization can be achieved by enhancing integration through a regional trade agreement. I further discuss various proposals for an East Asian trade agreement such as ASEAN+3, FTAAP, and EARTA. Finally, I highlight the importance of governance and identify several institutions essential for a successful regional arrangement.

Special and differential treatment (SDT) provisions in GATT were created to assist developing countries achieve economic progress while assimilating into the multilateral trading system. Despite these intentions, global trade imbalances still persist. Within this context, I focus on the region of East Asia which has experienced astounding growth in just several decades, propelling it far beyond other developing country regions. Although international trade continues to be the crucial factor driving growth in the region, reliance on SDT has in certain circumstances hindered development. As such, East Asia should seek alternatives to SDT. In that vein, I argue that sustainable growth and trade liberalization can be achieved by enhancing integration through a regional trade agreement. I further discuss various proposals for an East Asian trade agreement such as ASEAN+3, FTAAP, and EARTA. Finally, I highlight the importance of governance and identify several institutions essential for a successful regional arrangement.

本文探討的動機在於美-日或歐-日有關汽車產品存在已久的貿易摩擦，以及鉅額的貿易赤字等問題，如何有效運用進口救濟措施來達到改善上述問題的嚴重性。一般而言，汽車產業的救濟措施通常採取關稅或配額的形式，唯關稅在歷年GATT談判回合中均朝向逐年減讓的趨勢，所以其重要性在此不予討論，主要則針對汽車的配額措施，或進口數量限制以及認定汽車身分國籍的原產地規則加以論述，以期我國在未來加入GATT之時可提供政府作為汽車產業防禦措施之參考。