【作者】 邹武鹰；

【导师】 赖明勇；

【作者基本信息】 湖南大学 ， 国际贸易学， 2009， 博士

【摘要】 经济全球化、区域经济一体化是当今世界发展的大趋势,对外开放是一国经济发展的重要前提。改革开放的30年来,我国经济实现了快速发展,在经济发展过程中呈现出了一些显著特点引起了学术界的广泛关注:一是对外贸易、外商直接投资发展迅速;二是贸易开放对我国经济发展的影响作用日益显著;三是技术进步已经成为影响一国经济长期增长的关键因素。党的十七大报告明确指出,要“拓展对外开放广度和深度,提高开放型经济水平”。基于此,本文就贸易开放与我国经济增长的关系及贸易开放通过链接溢出促进我国经济增长的机制展开研究。首先,对贸易开放的度量(即贸易开放度)及贸易开放度与经济增长关系的国内外研究进展进行了梳理和整合,指出了各类贸易开放度代理指标存在的弊端,以及贸易开放度与经济增长的关系在理论上有较为一致的观点,而实证研究结论不一致的原因。尽管用外贸依存度来度量贸易开放度存在较大的争议,但本文的研究表明外贸依存度仍是度量我国贸易开放度的较好指标;改革开放以来,我国经济增长主要依赖于要素投入,而贸易开放通过提高要素使用效率推动了我国的经济增长。因此,促进人力资本积累、贸易开放和技术进步在我国经济增长中的作用,是今后我国经济保持长期增长的关键。其次,由于要素投入(尤其是资本的投入)是我国经济增长的主要驱动力,而政府支出(尤其是近几年)是我国资本投入的主要来源之一,因此本文将政府支出细分为7类,检验了贸易开放度与我国经济政府支出的关系,指出贸易开放度与我国政府支出之间的关系随着政府支出功能性质的不同而改变,目前我国政府支出仍主要集中于经济发展阶段那些有利于扩大消费的建设项目以及政府作为公共服务的提供者所支付的工资和其它投入上,而对教育、社会保障、社会福利等方面的支出相对不足,这在一定程度上弱化了政府宏观调控的职能和力度,同时也不利于在开放条件下经济的可持续发展。第三,进一步分析了贸易开放(进出口贸易)通过链接溢出促进我国技术进步,提升我国区域技术创新能力,进而促进我国经济增长的机制。利用我国17个制造业行业及其与16个OECD国家的进出口贸易Panel数据以及1997年和2002年的投入产出表,分析了我国进出口贸易企业的前向和后向链接溢出效应,研究表明:我国出口贸易企业通过向上游产业的非出口贸易企业购买中间产品和服务产生了积极的后向链接溢出效应,进口贸易企业通过向下游产业的非进口贸易企业出售中间产品和服务产生了积极的前向链接溢出效应,而进出口贸易企业的水平链接溢出表现均不明显。由于我国与美国、日本、韩国及其它OECD国家进出口商品结构的差异,使得我国与这些国家或经济体发生贸易往来的企业的链接溢出效应存在较明显的差异。通过构建研发活动的投入产出函数,实证检验了进出口贸易对我国地区技术创新能力的影响效应,研究发现:进出口贸易对我国地区技术创新产生了积极的影响作用,进出口贸易已成为提升地区创新能力的一个重要因素。由于我国地区进出口贸易发展不平衡,使得进出口贸易对我国地区技术创新的影响呈现出东部较强,中部次之,而西部较弱的格局。由于地区经济发展的不平衡,使得三个地区的研发能力呈现出了不均衡特征,而各地区研发投入结构的差异,造成了研发投入对地区技术创新的影响效应存在差异性;同时,由于我国地区的研发投入和科研人员没能有效的结合,而使得我国地区R&D投入没有得到充分和有效的利用。更多还原

【Abstract】 Economic globalization and regional economic integration are the trend of world development nowadays. Then opening up is an important prerequisite for a country’s economic development. During 30 years’reform and opening up, our economy has achieved a rapid development. Some outstanding features which appear in economic development have drawn extensive attention in the academic community. First, foreign trade and foreign direct investments develop rapidly; second, trade openness has a more obvious effect on China’s economic development; third, technical progress has become a key factor in a country’s economic growth in the long term. The report of the 17th conference of the Party explicitly pointed out that“we need to expand the width and depth of opening up and improve the level of an open economy”. Based on this, this paper is going to do a research on the relationship between trade openness and our country’s economic growth and the mechanism that trade openness promotes our country’s economic growth through linkage spillovers.Firstly, a codification and integration has been made about the studies of measurement of trade openness and the relationship between trade openness and economic growth home and abroad. There are common defects existing in kinds of indicators about trade openness. As regards to the relationship between the trade openness and economic growth in theory, many scholars share similar opinion. However, they differ in conclusions made through empirical studies. Although using the ratio of dependence on foreign trade to measure trade openness gives rise to great controversy, the research made in this article suggests that the ratio of dependence on foreign trade is still a preferable indicator to measure the degree of our country’s trade openness. Since reform and opening up, China’s economic growth mainly depends on the factor inputs. Moreover, trade openness promotes China’s economic growth by improving the factor productivity. Therefore, to strengthen the impact of human capital accumulation, trade openness and technology on our country’s economic growth is the key to maintain the long-term economic growth in our economy henceforth.Secondly, factor inputs (especially capital inputs) are the main driving force for China’s economic growth, and government expenditure (especially in recent years) is one of the major sources for capital inputs in our country. So in this paper the government expenditure is specified into seven categories to examine the relationship between trade openness and our government expenditure and to point out that the relationship mentioned changes according to the different functions of the government expenditure. At present, our government expenditure is still focused on the construction projects which are conductive to expand consumption and wages paid to the public service provider and other inputs. While inputs to education, social security, social welfare and so on are relatively insufficient. It weakens the government’s macro-control function and power to some extent. At the same time it is not beneficial to the sustainable development of economy under open circumstance.Thirdly, this paper further analyzes that the trade openness (import and export trade) promotes our country’s technological improvement, enhances our country’s regional technological innovation ability and then promotes China’s economic growth mechanisms through linkage spillovers. Using the Panel data of 17 manufacturing industries in China and their imports and exports to 16 OECD countries and 1997’s and 2002’s input-output tables, this article investigates the forward and backward linkage spillovers in our import and export trade companies. The study shows that China’s export trade enterprises bring out positive backward linkage spillovers by purchasing semi finished products and services from the non-export trade enterprises of the upper industries. And import trade enterprises bring out positive forward linkage spillovers by purchasing semi finished products and services from the non-export trade enterprises of the downstream industries. While in import and export trade enterprises, the horizontal linkage spillovers are not obvious. Because of the differences in the structures of import and export among our country and the United States, Japan, Korea and other OECD country, there are apparent differences in linkage spillovers among our country and the enterprises in theses counties or economies.By constructing the input-output function in R & D activities and empirical examining the effect that the import and export trade brings to China’s regional technological innovation ability, the study proves that: import and export trade has a positive impact on our country’s regional technological innovation; import and export trade has become an important factor to raise regional innovation ability. Due to the imbalance development of import and export trade in different regions of our country, the impact of import and export trade on our country’s regional technological innovation is strongest in the east regions, central regions less, western areas least. Imbalance in regional economic development leads to non-equilibrium in theirs’ research and development abilities. Different R&D input structures in various regions give birth to different effects of R&D input to the technological innovation in those regions. At the same time, for the reason that China’s R & D inputs and researchers fail to combine effectively; our country’s regional R & D investment has not been fully and effectively utilized.更多还原