【作者】 曾国彪；

【导师】 姜凌；

【作者基本信息】 西南财经大学 ， 世界经济学， 2014， 博士

【摘要】 收入差距问题是当前学术界研究的重点问题之一,收入差距问题不仅关系到人民的生活问题,而且与经济、社会的可持续发展密切相关,不适度甚至过大的收入差距将不利于社会稳定和经济发展。但是,收入差距是发展中国家在经济转型过程中必然要经历的一个问题。与大多数发展中国家一样,我国经济快速发展的转型时期,与之相伴的是收入差距的不断扩大。中国收入差距的不断拉大已影响到了中国经济的可持续发展和全面小康社会的建立。尽管中国收入差距问题与中国国民收入初次分配中资本规模不断攀升,劳动者报酬占比逐年下降密切相关,但也离不开国民收入的二次调配。在中国经济面临结构转型的大环境下,“十二五规划”也将民生问题提到了前所未有的战略高度。合理调整收入分配已成为当前加快转变经济增长方式的重中之重。近年来,中国的收入差距问题得到了众多学者的关注,并取得了丰硕的研究成果。但是,鲜有学者关注到中国收入差距是伴随着中国贸易自由化进程的不断推进而逐年扩大的。自改革开放以来,特别是1992年邓小平同志南巡后,中国加大了贸易自由化进程,这有力的促进了中国经济的快速增长,随着中国顺利加入WTO,中国已成为世界公认的贸易大国。但贸易自由化进程的加快时期也是中国收入差距不断扩大的时期。贸易自由化进程本质上是利益重新分配、资源重新配置的过程,其一方面推进了一国经济福利的增长,但也会对一国内部不同地区、行业和阶层间的收入分配格局产生影响。根据现有贸易理论,贸易自由化对发展中国家的收入分配影响方向是不确定的。因此,本文在梳理相关理论文献的基础上,通过分析贸易自由化影响收入差距的传输路径,重点研究了贸易自由化对中国收入差距的影响。本文的研究内容主要包括文献综述、中国贸易自由化进程和收入差距现状以及贸易自由化影响收入差距的实证研究。全文共分为七章,各章的具体内容和结论如下：第一章为导论,主要介绍本文的研究背景、研究方法、逻辑思路、研究内容以及研究意义等。第二章对贸易自由化影响收入差距的相关贸易理论进行了梳理。从贸易自由化影响收入差距的理论发展来看,早在以李嘉图模型(David Richardo Model)为代表的古典贸易理论就开始涉及国际贸易的收入分配效应。而以完全竞争市场等一些列假设条件为前提的新古典贸易理论则较为完整、系统的研究了国际贸易的收入分配效应,该理论以H-O理论和S-S定理为代表。此后,新贸易理论将技术进步融入到国际贸易中,不但解释了新出现的产业内贸易模式,也开始关注贸易和技术创新对要素收入的影响以及在南北贸易中国际贸易对工资收入的影响。而随着外包开始在国际贸易中出现,基于中间产品贸易的新新贸易理论随之诞生,新新贸易理论不但解释了发展中国家中间产品贸易的发展对其收入差距扩大的影响,同时也对发达国家收入差距的扩大给出了相应的解释。第三章主要分析了中国贸易自由化趋势与收入差距现状,在此基础上分析了贸易自由化影响收入差距的传导路径。自上世纪90年代以来,随着中国贸易自由化程度的不断深化,经济快速增长,中国收入差距不断扩大,中国基尼系数总体趋势呈现上升趋势。中国收入差距具体表现在地区收入差距,城乡收入差距,技术工人与非技术工人收入差距等方面。从影响中国收入差距的原因来看,主要包括垄断因素、人力资本差异、制度因素、要素市场扭曲、城乡二元结构等。而贸易自由化影响收入分配的传导路基主要包括：(1)贸易自由化通过价格变动影响收入分配；(2)贸易自由化通过产业结构调整影响收入分配；(3)贸易自由化通过就业渠道影响收入分配；(4)贸易自由化通过政府作用影响收入分配。第四章实证检验了贸易自由化对地区收入差距的影响。该部分利用CHNS数据库对中国城市和农村地区的居民收入差距进行了测度,通过建立贸易自由化程度的衡量指标,在此基础上构建面板回归模型,检验了贸易自由化对中国城市和农村地区收入差距的影响。研究结果表明,贸易自由化有较强的异质作用。(1)贸易自由化拉大了城市和农村地区的收入差距；(2)相对劳动力要素流动较低的地区,贸易自由化在劳动力要素较高的地区有利于缩小收入差距。第五章基于CHIP数据,将样本分为贸易部门和非贸易部门,从行业角度对贸易自由化对我国收入差异进行了较为系统的研究。研究发现1988-2002年贸易部门收入水平显著低于非贸易部门,而2007年贸易部门收入却高于非贸易部门,贸易部门与非贸易部门这种收入差异的变化趋势与初中和大专以上学历教育回报率成一定相似变化趋势。通过对样本分类研究发现,第一,贸易自由化提高了贸易部门的非技术劳动者的收入水平；第二,贸易部门与非贸易部门大专及以上教育(技术劳动)回报率均呈上升趋势,2002年及以前非贸易部门大专及以上教育程度的回报率明显高于贸易部门,但2007年却低于贸易部门；第三,教育对收入差距的贡献越来越大,贸易部门的技能工人教育回报率低于非贸易部门是导致2002以前贸易部门收入水平低于非贸易部门的主因。第六章重点考察了贸易自由化对技术与非技术工人收入差距的影响。通过建立一般均衡模型表明,贸易自由化将引起发展中国家的技术“追赶”,这种技术“追赶”无论是中性还是有偏的都将引起发展中国家向技术密集型产品转向,从而增加对技能工人的需求,提高技能工人收入,扩大技能工人与非技能工人的收入差距。并基于CGSS数据库,对此进行了经验验证,结果表明,贸易自由化有利于提高非技术工人和技术工人的收入水平,但是非技术劳动力贸易开放的收入回报率低于技能工人的收入回报率,即贸易自由化拉大技能与非技能工人的收入差距。第7章是全文的总结,本章总结了全文的研究结论,阐述了文章的政策含义,并提出本文的研究启示和未来的研究方向。本文在吸收和借鉴国内外研究成果的基础上,考察贸易自由化对我国收入差距的影响,具有一定的创新性：(1)当前国内对贸易自由化对收入差距影响的研究主要是采用FDI、贸易来检验收入差距,缺少深入系统的分析贸易自由化影响收入差距的原因,本课题通过建模和实证方法深入分析贸易自由化影响的收入差距的原因、机制及路径选择；(2)本文依据各地区行业关税和关税保护率,以行业就业人口为权重创新性的建立地区关税水平和地区关税保护率来衡量地区贸易自由化程度,同时在数据选择上,本文主要采用微观数据和方法更为直接来研究贸易自由化对收入差距的影响；(3)本文从不同角度较为全面的研究贸易自由化对收入差距的影响,不但研究了贸易自由化对地区和行业收入差距的影响,还研究了贸易自由化对技术与非技术工人之间的收入差距,并建立一般均衡模型对此进行了解释。贸易自由化与劳动力市场之间相互关系问题是一个复杂且不断变化的课题,限于自己的理论水平、计量模型操作经验相对缺乏以及中国经济数据特别是微观数据缺乏等影响,本研究对于该课题中的许多探索和研究分析难免不够透彻和深入,此外受模型中的变量选择、数据整理和评估方法差异的影响,也可能会对本文最终的计量结果产生影响,以上问题将在今后的研究中通过完善理论知识、实证模型、细化指标及改进计量方法来逐步加以改善。更多还原

【Abstract】 Income distribution is one of the key issues of academic research, which not only relates to the livelihood of people, but also closely relates to the sustainable development of economy and society. However, the issue of income gap cannot be avoided for most developing countries. China also has a widening income gap income in the transition period, accompanying the rapid economic growth. China’s income gap has affected the sustainable development and the establishment of China’s moderately well-off society.In recent years, Scholars from many countries are watching China’s income gap, and have achieved fruitful results. But few scholars have concern that China’s income gap is accompanied by the China’s trade liberalization process. Since the reform and opening up, especially after Deng Xiaoping’s southern tour in1992, China increased trade liberalization process, which effectively promoted the economic growth. And Chinese has become a big trade country in the world. According to the existing trade theory, the impact of trade liberalization on income distribution is uncertain. Therefore, this paper mainly studies of trade liberalization affect the income gap in China.The main contents of this paper include literature review, China’s trade liberalization process, the income gap and the impact of trade liberalization on the income gap. This Paper is divided into seven chapters, the specific content and conclusions of each chapter as follows:The first chapter is the introduction, which introduces the background, research methods, logical thinking, and research significance and so on.The second chapter sorts the trade theory. As the representative of the classical trade theory, the Ricardian model (David Richardo Model) began to attend the relationship between income distribution and international trade. And neoclassical trade theory is more complete and systematic study of the relationship between income distribution and international trade, HO and SS theorem is the representation of this theory. Since then, the new trade theory puts technological progress into international trade, which not only explains the emerging industry trade patterns, but also begins to focus on the impact of trade on the income.The third chapter analyzes the trend of trade liberalization and income gap in China, and analyzes the transmission mechanism of the trade effects on the income gap. Since the1990s, China’s income gap is widening and the Gini coefficient overall trend on the rise. The major reasons of China’s income gap including monopolies, human capital differences, institutional factors, market distortions and urban-rural dual structure. The path of the impact of trade liberalization on income distribution includes price changes, industrial restructuring, wage-employment channels and government action.The fourth chapter examines the impact of trade liberalization on regional income gap. Based on the CHNS, This part measures the urban and rural areas income gap. The results show that trade liberalization has a strong heterogeneity effect.(1) Trade openness expanded the income gap in China urban and rural areas.(2) Relative to regions with low labor factor mobility, trade openness narrowed the income gap in regions with high labor factor mobility.Based on the Chinese Household Income Project Survey, the fifth chapter explores the impact of trade liberalization on the wage gap in China at different quantiles using the methods of Oaxaca-Blinder decomposition, quantile regression and quantile decomposition. The results show the early trade liberalization narrows the unskilled worker’s wage gap between trade sector and non-trade sector, but because of the level of human capital, trade sector wage level is still lower than the non-tradable sector. With the development of trade liberalization, the trade sector demands more skilled workers and increases the skilled workers’wage level of trade sector, but due to the level of human capital weaknesses as well as a large number of middle-income wages lower than the non-tradable sector, the total wage level of trade sector is still lower than the non-tradable sector.By establishing a general equilibrium model, Chapter six provides trade openness will cause technological catch-up in developing countries. Thereby developing countries will increase the demand of skilled workers and expand the relative wage of skilled workers and unskilled workers. Based on the CGSS database, using two stage least square and two stage GMM method, This paper shows that trade openness is conducive to improve the wage of unskilled workers and skilled workers, but also widens wage gap between skill workers and unskilled workers, which is contrary to the S-S theorem.Chapter seven is the summary, which summarizes the conclusions of the paper, describes the policy implications and proposed the future research directions.更多还原