【作者】 李秀香；

【导师】 史忠良；

【作者基本信息】 江西财经大学 ， 产业经济学， 2004， 博士

【摘要】 幼稚产业保护是一个古老而全新的问题。说它古老，是指在18世纪美国第一任财政部长汉密尔顿(Alexander Hamilton)就提出了这一主张，此后美国便对国内发展尚很幼稚的产业进行高关税保护，而成功实现了工业化；说它全新，是指在知识经济时代，产业更新的速度逐步加快，在WTO框架下的自由贸易不断发展，因而对幼稚产业保护必须有全新的观念、发展的眼光、全球化的思维和开放的理念。 一些发达国家在其工业化过程中都曾运用过产业保护政策，甚至直到自由贸易理念已被多边的、具有广泛成员参加的世界贸易组织(WTO)所规范的今天，这些国家的幼稚产业保护政策仍然或明或暗或强或弱地运用着，即使是自认为是自由贸易理念代表的美国，也没有做到将国内产业“全方位”地推向世界竞争舞台。自幼稚产业保护理论指导实践以来，成功的国家有一些，但为数并不多，特别是发展中国家都很注重保护自己的幼稚产业，但是多数都没有达到预期的目的，反而付出了十分惨痛的代价。由于种种原因，导致各国对幼稚产业保护时常常出现保护程度过强。实际上，过度保护几乎是普遍现象，其对社会经济运行以及产业成长的不良影响是相当广泛和深刻的。 一个国家，特别是对一个发展中国家来说，在融入经济全球化过程中，如何保护国内幼稚工业，如何将外向型发展与国内产业保护有机结合起来，加快本国工业化和现代化进程，是无法回避的重大现实问题。 中国加入WTO后将走向全面开放。大开放局面为中国经济带来了积极的影响，但同时也带来经济安全和产业安全问题。随着对外开放进程的不断深入，原来在相对封闭的体制中建立起来的民族工业体系，遇到的外部挑战愈来愈激烈，以往中国只有个别产业在局部范围内参与了国际竞争，而大量产业还不具备参与国际竞争的能力，一些民族企业特别是一些国有企业甚至一些国有大企业，在参与局部国际竞争中都往往处于劣势，若参与全面竞争，形势将更不乐观。中国产业如何能在全方位开放的形势下。不被各个击破，很重要的一点就是要保证一些幼稚产业的快速成长、成熟，具备国际竞争力，从而强固我们的工业体系。 本文在前人研究的成果——“适度保护”论的基础上，提出了“幼稚产业开放式保护”的新理念。主要观点是：在经济全球化条件下保护幼稚产业，应以引入竞争，培育竞争环境为主线，对幼稚产业进行适度保护，即在引进竞争的同时给产业发展在国际法允许范围内的扶植，使幼稚产业在竞争中发展，在保护中成长。并提出了中国对幼稚产业开放式保护的新思路。本文讨论的重点问题是，在开放条件下对幼稚产业保护选择的标准、保护的手段选择，特别是如何培养幼稚产业成长的竞争环境等问题.本文运用国际贸易理论、产业经济理论以及博弈论研究方法对幼稚产业保护的诸多理论问题进行了新的探讨。 本文共分八章内容对以上观点进行阐述。 1.绪论部分。首先从幼稚产业保护理论发展的必要性、贸易保护主义存在的普遍性、幼稚产业保护实践操作难以把握、幼稚产业的过度保护现象严重以及我国在开放环境下如何进行幼稚产业保护等角度阐述了本选题的意义。 从理论意义上讲，幼稚产业保护理论是自由贸易理论和保护贸易理论两大对立学派的唯一的共识点，是产业经济理论中的产业成长的重大理论问题，但是长期以来，幼稚产业保护理论的基本观点是:以规避竞争来保护幼稚产业，等产业成熟后再参与竞争。然而，在贸易自由化及经济全球化飞速发展的今天，来自国际社会的激烈竞争已越来越不给幼稚产业以发展成熟的时间，以规避竞争为核心思想的幼稚产业保护理论，受到了严峻的挑战。而且，对产业经济理论和国际贸易理论结合的研究成果尚不多见，因此，本文尝试从不同层面对幼稚产业保护理论问题进行深入研究，从而丰富和发展国际贸易理论和产业经济理论，并力争使两大理论的结合研究有新的突破。这是本选题的理论意义。 从实践意义_L:讲，贸易保护主义在各国是普遍存在的，一些发达国家和发展中国家在其工业化过程中，都曾运用过产业保护政策，特别是幼稚产业保护政策。但是由于幼稚产业保护在实践中操作复杂、保护度难以把握，除了美国、日本、韩国等国取得较好的效果，多数发展中国家保护的效果都不是很理想。中国加入WTO后，各项政策法规将不断与国际接轨.WTO允许对幼稚产业进行保护，但并未对幼稚产业的选择标准有具体规定.我们应如何运用其规则，借鉴各国(包括本国)幼稚产业保护的成功经验和失败教训，准确选择应保护的幼稚产业，以及如何对幼稚产业确定一套科学的产业保护程序和机制，己是当务之急。这是本选题的现实意义。 本章对产业、幼稚产业以及产业保护等概念的界定进行厂讨论，认为，幼稚产业应有广义和狭义之分，从而明确了本文所用概念的涵盖和围。 在此基础上木章对幼稚产业保护合理性和反对幼稚产业保护观点进行了深入讨论，从而从理论上加深了对幼稚产业保护问题研究重要意义的认识。 最后，木章对国内外幼稚产业保护问题的研究动态进行J’较详细的阐述，认为在保护强度、保护产业的选择标准和保护手段等方?更多还原

【Abstract】 Protection to infant industries is either an ancient and new topic. The reason why it is said to be an old one is that it was advocated by Alexander Hamilton, the first Minister of Ministry of Finance of USA in early 18th century. Since then, the government adopted high-tax policy to protect domestic industries, extremely young at that time, which led to successful industrialization.The reason why it is said to be a new topic is that the updating pace for industries is speeding up in the knowledge-based economy era. With the fast development of free trade under the framework of WTO, we should have a new and global vision on the issue of infant industry protection. Actually, most industrialized countries have adopted protective policy during the process of industrialization, even until today, when the free trade notion is ruled by WTO, which has attracted comprehensive participants, the above-mentioned countries still, more or less, take the protective policy as an effective methods. A good example is USA, which is said to be the representative of free trade advocators, has not pushed its domestic industries comprehensively on the global competitive stage.The lessons from the experiencing countries, especially the developing countries in terms of infant industry protective policy carrying out are that most countries have adopted excessive protection over infant industries which led to loss rather than success.As a developing country, it is a critical, practical and unavoidable issue that how to protect the domestic industries in the process of economic globalization, how to integrated the out-oriented development with domestic industry protection for the purpose of speeding up the national industrialization and modernization.Openness has placed great impact positively on Chinese economy, on the other hand, it has also brought the issues such as economy security and industry security.How to avoid the crashing down of major industries under the circumstances of comprehensive opening, one critical point is to ensure certain infant industries to develop fast and stably to be internationally competitive.In this paper, the author advances a new theory of "open-style protection to infant industries" on the basis of "proper protection theory" put forward by other researchers.Main points:Under the condition of globalization, competition strategy should be employed in the process of infant industry protection. The new way of protection to infant industry6should be in open-style differing from traditional way of protection.Main issues discussed in this paper are the standards and methods selected to protect infant industries, especially how to foster the competitive environment for the growth of infant industries.The author probes into the theoretical problems in terms of infant industry protection, using the relevant principles of International Trade, Industrial Economy and Game Theory.There are 8 chapters in this paper: Chapter 1 IntroductionThe author elaborates the significance of the topic selected from the following points: the necessity of the protection to infant industries, the universality of the existence of trade protection, the difficulties to operate in the process protection, the severe phenomena of over-protection and new ways to protect infant industries under the condition of open environment. Chapter 2 The Core Thought of Theories of Infant Industry Protection.The author summaries the core thought of infant industry protection theories as follows: the protected targets are defined as young and competitive industries compared with similar foreign industries, whenever the industries enter mature stage, the protection can tend to be loose; the main method adopted are tariff and non-tariff measurements; the main purpose of protection is to protect productivity of industry development, i.e to strengthen the efficiency of productivity continuously This paper also gives comment on the individual theories of infant industry protection on various development stages. Chapter 3 New Challenge更多还原