异质企业与外贸发展方式转变研究

【作者】 李锋；

【导师】 冯雷；

【作者基本信息】 中国社会科学院研究生院 ， 国际贸易学， 2011， 博士

【摘要】 新新贸易理论放松了新贸易理论关于企业同质性的基本假定,把国际贸易理论关注的焦点从国家和产业转向企业,较好的解释了企业的内销、出口和对外投资等行为选择。经过改革开放三十多年的发展,我国对外贸易取得了巨大成就,但外贸发展方式并不理想。因此,新新贸易理论的研究主题与我国外贸发展方式转变的现实需求存在理想的契合点。论文以异质企业的行为选择为切入点,深入研究异质企业促进外贸发展方式转变的机理和路径,并进行相关的实证分析。从国内现有文献看,关于新新贸易理论的系统性研究尚不多见,选择这一领域开展研究具有重大的理论价值和现实意义。文献综述部分就新新贸易理论与外贸发展方式转变理论进行了回顾与分析。概述了新新贸易理论的主要研究内容、方法和创新点。对外贸发展方式转变理论进行了梳理,发现大部分研究集中在加工贸易升级、优化出口产品结构、大力发展服务贸易和完善贸易战略等方面,以异质企业为视角进行的研究比较少,从微观层次分析外贸发展方式转变的理论较为缺乏。新新贸易理论的分析框架和分析方法能够在一定程度上弥补这一不足。异质企业与外贸发展方式转变的机理分析部分重点研究了异质企业如何促进外贸发展方式转变。在研究异质企业内涵与成因的基础上,阐释了异质出口企业和异质非出口企业如何促进外贸发展方式转变。论文还设计了一个异质企业促进外贸发展方式转变的简单模型,分析异质企业促进外贸发展方式转变的机理。异质企业与外贸发展方式转变的实证分析部分论证了异质企业在促进外贸发展方式转变中的作用。通过对7041家北京出口型外商投资企业和非出口型外商投资企业的比较分析发现,无论是在企业规模还是在收益率等方面,出口企业明显优于非出口企业,但是只出口的外商投资企业不具备异质性,存在“异质企业的悖论”,然而其通过自身转变缩小了差距,出口并内销的外商投资企业在扩大企业规模过程中没有实现收益率的同时扩大。通过对2004-2009年中国出口200强企业、民营出口100强企业、北京纺织服装出口100强企业数据的分析发现,异质企业在外贸发展方式转变中发挥了一定作用。通过对北京制造业25个出口行业人均增加值、创新率和增加值率与出口交货值比例的面板数据分析发现,企业创新率和增加值率是推动外贸发展转变的重要力量。此外,还检验了国际金融危机期间,异质企业的具体表现。异质企业与外贸发展方式转变的路径选择部分研究了企业异质化的主要途径。该部分重点分析企业异质化的理论框架,阐述企业异质化的宏观背景,并就企业异质化进行了实证分析和案例分析。企业异质化是培育异质企业的有效模式,产品差异化、规模扩大化、经营产业链化和品牌国际化是企业异质化的主要途径。企业异质化的实证分析和案例分析表明:我国企业的异质化尚处于初级阶段,需要不断摸索适合自己的模式来加快外贸发展方式转变。总之,论文将国际贸易的前沿理论与中国外贸发展方式转变的实践结合起来进行研究,在理论上扩展和检验了新新贸易理论的主要观点和结论,从新的视角分析了我国外贸发展方式转变微观主体的行为选择,为促进外贸发展方式转变进行新的探索。但是,由于理论创新和微观企业数据获取的困难,论文一定存在局限和不足之处,尚需进一步的研究。更多还原

【Abstract】 New-new trade theory, which shifts the focus of international trade theory from the state and industry to firm, relaxes the basic homogeneous firm assumption of new trade theory, thus explaining the firm’s behavior choices of the domestic sales, exports and foreign investment. After thirty years’of reform and opening-up, China has made great achievements in foreign trade, but the foreign trade development mode is not ideal. Therefore, there is an ideal meeting point between the research themes of new-new trade theory and China’s realistic requirements of the foreign trade development mode transformation. Selecting the behavior choice of the heterogeneous enterprise as the entry point, this paper makes a thorough study in the mechanism and the revenant empirical analysis of transforming foreign trade development mode by the heterogeneous firms. Because the systematic study of new-new trade theory is still rare in the existing domestic literature, choosing this field to research has great theoretical and practical significance.New-new trade theory and the foreign trade development mode theory are reviewed in the literature review part. The main research contents, methods and innovations of new-new trade theory are analyzed. The most research of the foreign trade development mode transformation have focused on upgrading the processing trade, optimizing the product structure, developing the service trade and strengthening technological innovation, etc.; the research conducted from the heterogeneous firms angle is less, moreover the micro-level analysis of transforming foreign trade development mode is more scarce. Therefore, the analytical framework and methods of new-new trade theory can make up above shortfall to a certain extent.The part of the mechanism of the heterogeneous enterprise and transforming the mode of foreign trade development focuses on how the heterogeneous firms promote foreign trade development mode to transform. On the basis of analyzing the content and origin of heterogeneous firms, the foreign trade development transforming mode of heterogeneous export firms and heterogeneous non-export firms is illustrated by expanding the intensive margin and extensive margin of trade. The paper also designed a simple mode of the heterogeneous firms promoting foreign trade development mode to transform, in which the main conclusions are derived and some inferences are acquired. The role of the heterogeneity of firms in promoting foreign trade development mode to transform is demonstrated in the part of empirical analysis. With the comparison and analysis of 7, 042 Beijing foreign-invested export and non-export firms, the differences between them which expand as the expansion of the firms’scale are found. It is found that heterogeneous firms play a certain role in transforming foreign trade development mode by analyzing top 200 Chinese export enterprises, top 100 Chinese private export enterprises,and top 100 Beijing textile and garment export enterprise in 2004-2008. The regression analysis of the proportion of export value, the product innovation rate and the added rate indicates the product innovation rate and the added rate are important force to promote the development of foreign trade. In addition, the performance of heterogeneous firms in promoting foreign trade development transformaion mode was examined in the international financial crisis.The main paths of a firm’s heterogeneity are researched in the part of heterogeneous firms and transforming the mode of foreign trade development. The theoretical framework and the macroscopical background of firms’heterogeneity are analyzed and empirical analysis and case studies are conducted. Heterogeneity is the effective mode to nurture a heterogeneous firm. Product differentiation, scale expansion, industry chain operation and brand internationalization are the main ways for a firm to get heterogeneity. Empirical analysis and case analysis of firms’heterogeneity show the heterogeneity of China’s firms is still at an early stage needing to constantly explore for their own development way to accelerate the transformation of the mode of foreign trade.In short, the frontier theory of the international trade and China’s practice of foreign trade development mode transformation are combined together to research in the paper, which is a new exploration of analyzing the behavior options for the micro-subject of the transformation of China’s foreign trade development, extending and testing the main conclusions of new-new trade theory. However, there must be limitations and inadequacies in the paper because of the difficulties of theoretical innovation and micro-enterprise data acquisition, so that further study should be needed.更多还原