【作者】 孙天竺；

【导师】 崔日明；

【作者基本信息】 辽宁大学 ， 国际贸易学， 2008， 博士

【摘要】 自工业文明诞生以来,任何国家的现代化历程均离不开对外贸易的发展。因此,对外贸易政策在一国的经济成长中便居举足轻重的地位。美国从一个落后的殖民地一跃成为世界强国,对外贸易政策发挥的作用功不可没。在1934年《互惠贸易协定法》出台之前,美国对外贸易政策主要体现在关税政策上。关税税率的变化是其对外贸易政策的睛雨表。此后,通过贸易谈判缔结互惠商约成为美国推行对外贸易政策的重要手段。但无论如何,贸易保护主义在美国外贸易政策中一直占有重要地位。论文研究的目的是考察美国对外贸易政策在历史上不同时期所表现出来的特征,把握其中的基本规律,并为中国对外贸易政策的制定提供启示。而且,通过分析美国对外贸易政策变迁轨迹研究(1776—1940)可以印证国际贸易政策的演变规律。论文包括绪论和正文七部分。首先,绪论。问题提出包括经济全球化,贸易全球化,美国的作用和影响,中国对外贸易政策取向、作用和影响。文献综述与评价包括关于美国对外贸易政策理论基础的研究;关于美国贸易政策的成因和影响因素的探讨;关于美国对外贸易政策特征的研究;关于美国对外贸易政策绩效的研究;对于国内外相关文献研究的评析。本文的结构安排包括绪论和从第一章到第六章的论文大纲。本文的创新之处包括研究角度方面和研究内容方面。第一章,对外贸易理论的发展与政策的变迁。首先,对自由贸易理论与自由贸易政策的研究,包括绝对利益理论与英国的自由放任政策,比较利益理论与英国的自由贸易政策,要素禀赋理论及其应用。它们从国际分工的角度分析对外贸易的基础,可以解释美国的自由贸易政策。其次,对保护贸易理论与保护贸易政策的研究,主要有重商主义与保护贸易政策,关税保护理论与保护政策,幼稚产业保护理论与保护政策,新重商主义与保护措施。再次,自由贸易理论的发展与修正。得出结论:自由贸易理论与保护贸易理论并不就是绝然对立的关系,而是存在着一定的互补性。即保护贸易理论是对自由贸易理论的发展和修正,可以解释美国的保护贸易政策。第二章,建国前后对外贸易政策的确立(1776—1789)。首先,保护贸易政策的起因和理论基础。包括英国重商主义政策的束缚,殖民地农业的特点,重商主义的理论。其次,建国初期美国的对外贸易政策,包括英国的殖民政策,保护贸易政策的实行。再次,对外贸易政策的特征,其中包括与英国特殊的贸易关系,对外贸易政策的特征。最后,对外贸易政策的作用,包括对外贸易与美国工业的发展和对外贸易与美国农业的发展。第三章,保护贸易为主线的对外贸易政策(1789—1860)。第一部分,对外贸易政策实施的背景,它包括对外贸易与美国工业和农业的均衡发展,与欧洲的经济关系。第二部分,对外贸易政策的实施,其中包括“门罗主义”的对外扩张政策以及关税政策。第三部分,对外贸易政策的特征。包括积极与欧洲各国开展贸易与禁运政策和互惠原则。最后,对外贸易与工业制度的兴起,包括农业的发展奠定了工业的基础和工业化的兴起。通过对美国对外贸易政策变迁轨迹的研究可以实证保护贸易理论是对自由贸易理论的修正和发展。第四章,保护贸易政策向自由贸易政策演化(1860—1914)。首先,经济发展面临的主要问题,包括南北战争带来了工业的繁荣,罗斯福恐慌引发的金融危机。其次,对外贸易政策的实施,它包括关税政策,美国与商业的扩张。再次,美国对外贸易政策的特征,它包括对外贸易呈倒V形变化特征,政府协调作用的强化。最后,对外贸易与美国工业体系的形成,其中包括对外贸易与农业的变革和工业体系的形成。本文通过对美国对外贸易政策的论述有利于对国际贸易规律的探寻。第五章,剧变时代的美国对外贸易政策的发展(1914—1940)。首先,对外贸易政策转变的背景。其中包括美国与第一次世界大战,1929年经济崩溃。其次,对外贸易政策的转变,其中包括保护贸易政策向自由贸易政策的转变,新政时期的外贸政策。再次,对外贸易政策的特征。其中包括从商品输出到资本输出,从计划调节到杠杆调节。随后,对外贸易政策与美国经济,包括对外贸易政策对工农业的影响,美国取代英国成为新的世界经济中心。通过对第一次世界大战开始到第二次世界大战开始的美国对外贸易政策的研究,可以实践美国对外贸易政策对美国向国家垄断资本主义转变的促进作用。第六章,基本结论。第一部分,美国对外贸易政策的特征,包括保护贸易政策的实施,保护贸易政策向自由贸易政策的转变。第二部分,美国对外贸易政策的成因,其中包括对外贸易政策成因的理论基础、对外贸易政策的成因。第三部分,美国对外贸易政策的绩效,其中包括促进了工业体系的建立,促进了农业的发展,确立了世界经济中心的地位。第四部分,美国对外贸易政策变化对中国的启示。包括不同时期实行不同的对外贸易政策,从贸易大国到贸易强国,贸易与经济发展。通过对美国对外贸易政策特征的论述,可以更好地理解美国对外贸易政策,由保护贸易政策,到自由贸易政策再回到保护贸易政策的特点。通过运用政治经济学分析美国对外贸易政策的成因,从而可以更好地理解美国的对外贸易政策的制定。通过对美国对外贸易政策绩效的研究,可以更好地理解美国对外贸易政策对于促进美国工农业发展的作用。通过对美国对外贸易政策的研究,可以从中得到启示,指导我国制定适当的对外贸易政策。论文采用的研究方法为:1.相关分析方法。利用Excel软件,对1914—1921年的进出口额进行相关分析,得出两者的相关度比较高。2.回归分析方法。利用Excel软件,对1914—1921年的进出口额进行回归分析,可知美国的进口额与出口额之间有密切的正相关关系,进口额每增加1单位,就可以有1.63单位的出口额的增长。运用该工具进行对外贸易政策研究的国内学者还有张远鹏(2004)对1971—2000年的有关统计数据处理后用Eviews对美国的进口总额和出口总额对数与GDP对数进行最小二乘法回归分析。但这是对90年代贸易政策的分析,对1776—1940年的对外贸易政策的分析还比较少。3.公共选择理论的应用。“公共选择”最早是由布坎南提出的,它是政治学的经济理论,它运用新古典经济学的分析工具来研究集体决策的政治过程。运用了“公共选择”理论来分析美国的对外贸易政策成因。盛斌(2001)在《中国对外贸易政策的政治经济分析》当中,用“公共选择”理论对中国对外贸易政策进行了分析,对本论文的研究有很大的借鉴作用。4.利用图象和表格对数据进行分析和说明。通过如图3—1 1790—1860年进口与出口贸易,图4—1 1860—1939年进出口商品统计表,可以很好的看出对外贸易进出口额的变化,从而可以分析出对外贸易的变化趋势。论文的创新之处:1.研究角度方面。论文通过对1776—1940年美国对外贸易政策的研究,从贸易的角度论述了美国对外贸易政策的内容、特征、原因和绩效,尤其是分析了1789—1860年实行的法案,体现了不同的产业实行不同的政策,其作用是对工业的保护,和对农业的促进。又如南北战争—第一次世界大战期间,工业产业发展起来,主要实行的是自由贸易政策,而对个别产业保护起来。2.研究内容方面。论文认为自由贸易理论和保护贸易理论并不对立,从亚当斯密开始自由贸易理论一直是主流,而保护贸易理论修正了自由贸易理论的一些条件,从而使自由贸易政策在一个新的水平上。同时,将内容转向美国对外贸易政策对于促进农业的发展和工业化体系的形成等深层次问题上,研究美国对外贸易政策变迁轨迹对美国经济可持续发展具有理论意义。更多还原

【Abstract】 Since industrial civilization,any country’s modernization contacts with foreign trade development. So foreign trade policy is important to a country’s economic growth. America has become a strong country in the world from a backword colonial and foreign trade policy plays an important role. In 1934, before Reciprocal Trade Agreement Act,American foreign trade policy is reflected by tariff policy.Tariff rate’s changes present foreign trade policy.Afterwards,reciprocal agreement by trade negotiation is a important way to implement foreign trade policy. In any case ,trade protectionism is always important in American foreign trade policy .This paper research’s goal is to grasp the rules and provide the Chinese foreign trade policy-making with the enlightenment by review of American trade policy characteristic in different periods .We may prove that evolution rule of international trade policy, by review of changes of American foreign trade policy (1776-1940).This article consists of seven parts:introductions and main text.Firstly, introductions.The question proposed includes economic globlization,trade globlization , American role and influence,Chinese foreign trade policy orientation、role and influence.Literature summary and appraisal includes studies on American foreign trade policy rationale; on American foreign trade policy origin and influecing factors; on American foreign trade policy characteristic; on American foreign trade policy achievements; and analysis on domestic and foreign related literature research . This paper’s structure arrangement includes introductions and the first chapter to the sixth chapter.This paper’s innovation includes research angle aspect and research content aspect.The first chapter, foreign trade policy development and changes of policy. Firstly, free trade theory and free trade policy. It includes absolute interests theory and English Laissez-faire policy ,comparative advantage theory and English free trade policy,and Factor Endowment theory and its using. They analyze foreign trade foundation from international division of labor and they may American free trade policy. Secondly,protected trade theory and protectionist policy. It includes mercantilism and protectionist policy, tariff protecion theory and protection policy,weak industrial protection theory and protection policy, new mercantilism and protective measures. Thirdly, free trade theory development and revision.It concludes: the free trade theory and the protected trade theory is not the relations which opposes completely but the relations which is certain complementarity. Namely, the protected trade theory is the free trade theory development and the revision,which may explain American protectionist policy.The second chapter, establishment of foreign trade policy before and after founding of the nation(1776-1789). At the first , the causes and rationale of protectionist policy,including British mercantilism policy fetter , features of agriculture in colonial and mercantilism theory. Secondly,American foreign trade policy early years of the new nation,including Britain’s colonial policy and protectionist policy execution. Thirdly,characteristic of American foreign trade policy including special trade relation with Britain and foreign trade policy characteristic.At last, foreign trade policy function including foreign trade and American industry development ;foreign trade and American agriculture development.The third chapter, protected trade for master line foreign trade policy(1789-1860). Firstly, foreign trade policy implementation background including foreign trade and American balanced development of industry and agriculture,economic relationships with Europe.Secondly,foreign trade policy implementation including Monroe Doctrine expansionist foreign policy and tariff policy.Thirdly, foreign trade policy characteristic, including positive trade with various European countries;embargo policy and reciprocal basis.Finally, foreign trade and industrial system’s starting, including agricultural development laying industrial foundation and industrialization starting.By review of changes of American foreign trade policy, we prove the protected trade theory is the free trade theory development and the revision.The fourth chapter, protectionist policy to free trade policy evolution(1860-1914). Firstly,major questions economic development facing including American Civil War causing industrial prosperity and Roosevelt Panic causing financial crisis.Secondly,foreign trade policy implementation, including tariff policy ;America and commercial expansion.Thirdly, American foreign trade policy characteristic, including counter-V shape foreign trade change characteristic; government coordinated function strengthening. At last, foreign trade and US industrial system’s formation, including foreign trade and agricultural transformation industrial system’s formation.This paper benefits inquisition of internaional trade rules by elaboration of American foreign trade policy.The fifth chapter, drastic change time American foreign trade policy development(1914-1940).Firstly, foreign trade policy transformation underground, including America and World WarⅠ; 1929 economical collapse. Secondly, foreign trade policy transformation including protectionist policy to free trade policy transformation and foreign trade policy during New Deal.Thirdly, foreign trade policy characteristic,including from export of commodities to export of capital and from plan adjustment to release lever adjustment. Afterward, foreign trade policy and American economy, including foreign trade policy influence on industry and agriculture; America as the world economic center instead of Britain.We may practise American foreign trade policy promotes the US to the state monopoly capitalism ,by researching American foreign trade policy from the beginning of World WarⅠto the beginning of World WarⅡ.The sixth chapter, basic conclusions.Firstly, American foreign trade policy characteristic ,including protectionist policy implementation ; protectionist policy to free trade policy transformation.Secondly,American foreign trade policy origin, including foreign trade policy origin rationale and foreign trade policy origin. Thirdly, American foreign trade policy achievements,including promotion of industrial system’s establishment; promotion of agricultural system’s establishment; established world economics center status.Fourthly,American foreign trade policy changes to China’s enlightment, including implementation of different foreign trade policy during different periods ;from trading country to trade powerful nation ;trade and economical development. We may better understand American foreign trade policy features from protectionist policy to free trade policy back to protectionist policy again,by elaboration of American foreign trade policy characteristic.We may better understand American foreign trade policy formulation by using political economy to analyze American foreign trade policy origin.We may better understand American foreign trade poliy plays a promoting role on industry and agricultural development by researching American foreign trade policy achievements. We may obtain the enlightenment to guide Chinese foreign trade policy formulation by reasearching American foreign trade policy.This paper uses the following researching approaches:1. Correlation analysis method. This paper uses Excel software to carry on the correlation analysis to 1914-1921 import amount and export amount. It concludes that both’s degree of correlation is quite high.2. Regression analysis method. This paper uses Excel software to carry on the regression analysis to 1914-1921 import amount and export amount.It shows that there is the close correlational dependence between American import amount and export amout, and every time import amount increases a unit, export amount increases 1.63 unit. After domestic scholar, Zhangyuanpeng(2004), using this tool to conduct the foreign trade policy research, deal with 1971-2000 related statistical data, he carries on the least squares method regression analysis to American import amount and export amount logarithm and GDP logarithm with Eview. But it is the analysis to 90s foreign trade policy, the analysis to 1776-1940 foreign trade policy is quite few.3. Public choice theory application.The public choice theory is most early proposed by Buchanan. It is politics economic theory and it uses neoclassic economic analysis tool to study the collective policy-making political process. This paper uese“public choice”theory to analyze American foreign trade policy origin. Shengbin (2001) uses“public choice”theory to analyze Chinese foreign trade policy, which helps to this paper research.4. Images and forms are used to analyze and explain data. For example, we may see foreign trade import and export amount change so as to analyze foreign trade change tendency by image 3-1 1790-1860 import-export trade and image 4-1 1860-1939 import-export goods statistical image.The article place of innovation lies in:1. Research angle aspect. The article expounds American foreign trade policy content, characteristic, reason and achievements from trade angle by researching 1776-1940 American foreign trade policy. Especially it analyzes 1789-1860 bills implemented, and these bills manifest the different policy to the different industry, which protects industry and promote agriculture. From Civil War to World WarⅠindustry developped,because free trade policy is implemented and the individual industry is protected.2. Research content aspect. The article thinks the free trade theory and protected trade theory does not oppose. The free trade theory has been a mainstream from Adam Smith, and the protected trade theory revises some conditions of free trade theory which causes the free trade theory in a new level. Meanwhile, it changes content into American foreign trade policy promoting agricultural development and industrial system’s formation and so on deep level question. It has the theory significance for American economy sustainable development to research review of changes of foreign trade policy of America.更多还原