【作者】 李军；

【导师】 谭国富； 刘海云；

【作者基本信息】 华中科技大学 ， 西方经济学， 2011， 博士

【摘要】 本文是基于新兴的新新贸易理论和中国现实的理论与实证研究。新新贸易理论是建立在国际产业转移输出国(发达国家)情境、先本土市场后国际市场而逐步国际化的跨国公司为研究对象的基础上的,自然地,新新贸易理论的中国化受到中国情境与其原假设情境差异的影响。本文结合国际产业转移理论、全球价值链理论和反映中国情境典型事实的潮涌现象理论,探讨了在新新贸易理论中国化过程中如何放松假设,以发展适宜于中国情境的新新贸易理论。本研究发现,中国化的新新贸易理论应该是多重异质性基础上的异质企业模型,而不是西方文献的生产率单一异质性。在此基础上,本文放松了新新贸易理论经典模型Meltiz (2003)模型的前提假设,推导出适宜国际产业转移输入国情境(中国情境),也适宜国际产业转移输出国情境(发达国家情境)的中国出口企业异质性模型(Ⅱ),并对其进行了实证检验。循着中国出口企业异质性模型(Ⅱ)、结合适宜中国情境的相关理论,提出中国出口企业异质性并非西方理论类似的单一异质性,而是多重异质性；中国出口企业异质性并非不变,而是随着中国出口贸易的情境的历史变迁而变化；中国出口企业异质性的变迁反映了中国企业出口行为的变化,是中国出口企业竞争力和绩效变迁的内在原因。本文实证研究采用中国工业企业数据库作为数据来源,该数据收录了1998年—2007年年销售额在500万元人民币以上的所有工业企业的企业层面数据。由于中国制造业各细分行业在出口行为方面存在较大差异,本研究对细分行业进行了大量的分组研究。中国制造业细分行业按照行业代码为13-43(代码前两位,没有38)进行细分,样本量最少的细分行业为烟草制造业,样本企业数为2560；样本量最大的细分行业为非金属矿物制品业,样本企业数为166209家；30个行业样本企业数合计达到1911041家,数据全面、准确、可靠性高,保障了本文实证研究的信度和效度。本文首先检验了新新贸易理论经典模型Meltiz (2003)模型在中国情境的适用性问题。Meltiz (2003)模型指出,生产率差异是企业选择出口与否的异质性因素,生产率高的企业选择出口,而生产率低的企业不出口,本文称之为“出口—生产率异质性”。本文利用中国工业企业数据库1998-2007年的191万多家企业层面的数据对此进行了实证检验,结果表明,在多个年份、多个行业普遍出现了“出口—生产率异质性”和“出口—生产率悖论”并存的情况,即出口企业生产率高于非出口企业、出口企业生产率低于非出口企业并存。这为新新贸易理论关于生产率与出口行为关系的理论提供了新的经验证据,同时,也表明生产率差异不是中国企业“出口—异质性”因素的全部,至少不是唯一重要的异质性——这意味着,单一异质性在中国情境受到了挑战。接下来本文检验了中国出口企业多重异质性,发现,在企业区位、企业年龄、企业规模、创新、品牌、企业性质、企业级别、资本结构、人力资本、企业成长率、企业生产率等多重异质性是中国企业是否出口的决定性因素。进一步地,实证检验发现,(1)生产率异质性并非中国制造业大多数细分行业企业是否出口的唯一异质性,部分中国制造业细分行业企业生产率正向影响是否出口(也就是说生产率高的企业选择出口),这和Meltiz(2003)模型的预测一致；而更多行业的情况与之相悖,企业生产率负向影响企业出口(也就是说生产率低的企业反而选择出口)。(2)企业区位、企业年龄、企业规模、创新、品牌、企业性质、企业级别、资本结构、人力资本、成长率等多重异质性不仅和生产率异质性一样对企业是否选择出口具有解释力,而且其解释力胜过生产率单一异质性,说明在中国情境下多重异质性比生产率单一异质性更适宜。(3)企业区位等多重异质性不仅对企业选择是否出口具有解释力,而且对于企业出口多少,即本土市场和国际市场的比重,也具有解释力,这也是其优于生产率单一异质性之处。进一步地,本文检验了多重异质性的变迁与中国出口企业绩效之间的关系。由于1998年以前中国制造业企业层面的数据欠缺,本文通过选取典型产业的案例研究检验了出口企业多重异质性的变迁。玩具产业是中国改革开放后发展壮大的典型出口主导型产业,在这个产业中,外商投资主导的F类出口企业(相对发达国家或地区国际产业转移输出的产物)、中国本土生而国际化的G类出口企业和中国本土先本土市场后国际市场的E类出口企业(这两类企业是发展中国家承接国际产业转移的产物)三类企业并存,在中国出口贸易发展的不同阶段,影响这三类企业出口决策,进而影响其出口竞争力的多重异质性发生了明显的变迁。在这个历史变迁的过程中,潮涌现象是重要的影响因素。作为国际产业转移输入国的发展中国家潮涌现象频仍这一事实,以及这一事实对多重异质性与出口竞争力关系的调节作用,进一步证实了新新贸易理论中国化的必要性；而结合潮涌现象发展的中国出口企业多重异质性理论的解释力,也进一步证实了新新贸易理论中国化的可行性。作为一个补充,本文通过对中国工业企业数据库1998—2007企业层面数据的分年实证检验,基于概率回归模型和线性回归模型的检验结果再次证实,中国出口企业多重异质性确实随着中国出口贸易的变迁而发生了显著的变迁。更多还原

【Abstract】 This dissertation makes some theoretical and empirical research to the economic reality in China based on the emerging New-New trade theory. New-New trade theory is based on the international industrial transfer exporting countries (developed countries) situation with the gradually international corporations. Naturally, if we use New-New trade theory to analyze the economic issues in China, we have to modify some assumption according to Chinese context. This dissertation references theory of international industrial transfer, the global value chain theory and wave-phenomenon theory and discusses how to relax the assumptions of New-New trade theory so as to make it appropriate for the context of China. The study finds that, New-New trade theory in the context of China should be a multiple heterogeneous model but not single productivity heterogeneity as in western literature. On this basis, this dissertation loosens the assumption of Meltiz (2003) model and derives Chinese export firms heterogeneous model (Ⅱ) which is suitable for context of both international industrial transfer of the importing country (China situation) and exporting countries (the developed countries context). We also make some empirical testing. Following modelⅡand with reference to some related theory, this dissertation puts forward that:the heterogeneity of Chinese export firms is multiple heterogeneity but not single heterogeneity; the heterogeneity is changing with context of Chinese export but not stable; the variation of heterogeneity reflects changes of export behavior of Chinese firms which leads to changes of their competitiveness and performance.The empirical study uses China Industry Business Performance Data which included data of industrial firms with annual sales of over 5million yuan from 1998 to 2007. As there exists great difference in export behavior of sub-industries in Chinese manufacturing sectors, this study conducts plenty of sub-grouping research. There are 30 sub-industries with code from 13 to 43 (no 38). The minimum sample is tobacco industry sub-sectors with 2560 firms. The largest sample is non-metallic mineral products industry with 166,209 firms. The total sample reaches 1,911,041 firms with complete, accurate and highly reliable data. This guarantees reliability and validity of our empirical study.Firstly, this dissertation examines the applicability of Meltiz (2003) model in the context of China. Meltiz (2003) model indicates that productivity is the factor for firms to choose whether export or not. Firms with high productivity choose to export while firms with low productivity choose not to export. We call this "export-productivity heterogeneity" in this dissertation. We make empirical testing to over 1.91 million firms from China Industry Business Performance Data. The results show that, there exist both "export-productivity heterogeneity" and "export-productivity paradox" in several years and several sub-industries. That is, the phenomenon of productivity of exporters is higher than non-export firms and productivity of exporters is lower than non-export firms coexist. This provides new empirical evidence about the relationship between productivity and export behavior for New-New trade theory. It also shows that productivity heterogeneity is not all for "export-heterogeneity" of Chinese firms. This means that a single heterogeneity has been challenged in the context of China.Secondly, this dissertation examines the multiple heterogeneity of Chinese export firms and finds that, heterogeneity in the firm location, firm age, firm size, innovation, brand, ownership, firm level, capital structure, human capital, firm growth and firm productivity are critical factors for Chinese firms to choose export or not. Furthermore, the empirical testing finds that:(1) Productivity heterogeneity is not the only heterogeneity for most sub-industries of Chinese manufacturing sectors to choose export. In some sub-industries, firms with high productivity choose export, which is consistent with Meltiz (2003) model. But more sub-industries show the opposite situation in which firms with low productivity choose export. (2)The multiple heterogeneity in the firm location, firm age, firm size, innovation, brand, ownership, firm level, capital structure, human capital, firm growth have a greater explanatory power in export behavior than a single productivity heterogeneity. This means that multiple heterogeneity is more appropriate for the context of China. (3) Multiple heterogeneity has explanatory power also to firms’ export amount. It is superior to single productivity heterogeneity.Furthermore, this dissertation examines the relationship between changes of multiple heterogeneity and China’s export business performance. As lack of firms’data before 1998, this dissertation chooses a typical case study to examine the change of multiple heterogeneity in export firms. Toy industry is a typical export-oriented industry with development of China’s reform and opening up. In this industry, there exist foreign invest oriented firms(we define them as class F), global born firms(class G) and gradually global firms(class E). In different stages, multiple heterogeneity, which affects firms’ export decisions and further affects their export competitiveness has occurred distinct changes. In this process, wave phenomenon is an important factor. Wave phenomenon is frequent in developing countries. The explanatory power of multiple heterogeneity model approves the feasibility of New-New trade theory in China. As a supplement, this dissertation makes a empirical test based on probability and linear regression model. The results show that, multiple heterogeneity of Chinese export firms has occurred a significant change with the development of trade in China.更多还原