【作者】 聂红隆；

【导师】 许统生；

【作者基本信息】 江西财经大学 ， 政治经济学， 2009， 博士

【摘要】 在开放经济条件下,技术进步已成为世界各国经济的核心竞争力。而技术水平的提高主要源于本国的技术创新(R&D活动)以及利用各种技术转移和技术溢出途径对国外知识进行引进与学习、吸收与模仿。国际贸易是国际技术传递和溢出的最主要渠道之一,国际贸易的发展,既为发达国家提供了进行技术创新的充足资金,又为发展中国家创造了学习先进技术的机遇。但是,在经济全球化过程中,由于一国对外贸易政策的本质是国家的产物,任何一个国家在制定经济贸易政策时,为了维护国家利益,必然要考虑本国政治、经济、文化、社会等诸多方面因素。我国已经加入世界贸易组织(WTO)。这意味着我国必须逐步开放国内市场,大幅度削减关税和非关税壁垒,把本国市场纳入到整个世界市场体系中。但是,尽管世贸组织以及世界各国都在不断的为贸易自由化而努力,然而存在于世界各国之间的贸易壁垒依然有增无减；同时,我国与国际贸易对手和伙伴的贸易冲突也日益增多。尤其是20世纪70年代中期以后,随着一批新兴工业化国家和地区经济的迅速发展和国际竞争力的提高,美国、欧盟等在国际竞争中处于优势地位的国家和地区,兴起了以非关税壁垒为核心内容的新保护主义潮流。可以说,贸易保护政策的存在是世界经济和政治发展不稳定和不平衡的必然结果。我国作为一个发展中国家,工业化水平尚处于初期阶段,从整体上讲,生产技术和生产效率与当今世界先进水平差距较大,决定了入世后我国必须对本国有关行业和企业实行适度的保护。而且,实质上世贸组织也是承认并接受贸易保护的观点的。这既体现在其基本原则上,也体现在谈判协调机制及其实际运行上。在国际贸易壁垒变化不定及贸易冲突加剧的形势下,我国作为一个技术相对落后的发展中国家,如何认识并处理好贸易保护与技术创新、技术扩散的关系,如何有效利用技术扩散(技术转移和技术溢出)这一技术传输途径,发挥技术进步效应,成为一个理论和现实的问题。因此本文选择技术进步的载体之一——国际贸易渠道作为具体分析对象,可能首次从贸易保护的视角,围绕“技术进步”这一核心概念,沿着技术创新、技术转移、技术溢出的技术进步途径,对贸易保护对技术进步的影响进行了较为系统的研究。提出贸易保护对技术进步影响的评估是贸易保护动态成本评价范畴。一方面具有一定的理论意义,具有认识贸易保护促进或抑制技术创新、技术扩散内在机制的作用,将丰富技术进步理论和国际贸易理论(主要是贸易保护对技术进步途径的影响及技术传播理论)；另一方面又具有一定的现实意义,可以根据贸易保护对技术创新、技术转移、技术溢出的影响作出相应的对策,有利于为制定我国的战略性贸易政策提供参考,有利于将比较优势转化为竞争优势,提供可借鉴的国际经验,有利于认识目前我国关税有效保护结构的合理性及其存在的问题。本文广泛运用规范分析和实证分析相结合、静态分析和动态分析相结合、逻辑与历史相统一的研究方法,综合运用新国际贸易理论、博弈理论、新古典经济学、新经济增长理论、技术进步理论、计量经济学等经济学理论进行分析与论述。其中,突出定量分析和实证分析。本文将收集、计算、绘制R&D投入与产出、货物和服务贸易、技术贸易、分国别中间产品和资本品贸易、关税征收率和资本存量、劳动投入、人力资本存量等数据和图形,构建并估算贸易开放度、知识产权保护强度、技术创新综合指标、技术转移综合指数、全要素生产率等指标,进行贸易保护对技术进步影响的定量实证分析,并采用国内外该领域研究中常用的主流分析工具,如Pearson相关分析、Granger因果检验、Johansoen协整检验及向量误差修正模型、向量自回归(VAR),以及较少使用的结构向量自回归(SVAR)分析、脉冲响应函数分析、投入产出分析等计量经济学和统计学的研究方法,运用常用的Eviews6.0软件和鲜见使用的Matlab数学计算软件作为运算工具,再引用贸易限制指数和TFP增长率来说明贸易保护对技术进步的影响。为了保证结论的稳健性,本文在实证分析中,还对同一变量采用不同的代理指标进行检验。如体现技术创新的指标有国家财政科研拨款、R&D投资支出和构建的技术创新综合指标；体现贸易保护程度的贸易依存度和关税征收率指标。这些方法有一定的系统性和创新性。本文的主要内容如下：本文首先就研究的背景、目的和问题进行了阐述,界定了技术创新、技术转移、技术溢出、贸易保护与技术进步的概念,并且对技术创新、技术转移、技术溢出与贸易保护、国际贸易的相关理论进行了综述,重点介绍了新近发展的贸易保护的技术创新和技术扩散理论等。本文第三章提出了几个技术创新、技术转移、技术溢出与贸易保护、知识产权保护的理论分析模型。先后回顾了贸易保护理论的发展过程,技术创新、国际技术转移、技术溢出与贸易保护的理论联系,基于贸易保护的技术创新、技术转移、技术溢出效应,贸易保护影响技术进步的主要因素以及贸易保护影响技术进步的相关模型。在理论分析之后,本文第四章至第六章就中国关于贸易保护的技术创新、技术转移、技术溢出效应进行了实证分析。通过对中国技术创新与对外贸易和贸易开放现状分析的基础上,详细考察了我国贸易保护所带来的技术创新与技术转移、技术溢出影响程度,并分别从总进口贸易开放度、中间产品进口贸易开放度结构、资本品进口贸易开放度等角度,重点考察了我国由进口贸易保护所带来的技术溢出效应。最后,根据新增长理论,对贸易保护和人力资本因素对我国整体技术进步的影响也进行了详细的实证研究；并运用可获得的、能较全面反映贸易保护程度的贸易限制指数国际截面数据,对开放经济条件下,贸易保护与国民收入、技术进步之间的关系进行了国际层面的分析。考虑到我国的基本国情以及各种技术进步途径对我国的实际影响,本文在讨论贸易保护的技术进步效应时,更多的是关注其通过技术创新和技术溢出渠道,对我国技术水平的提升所带来的抑制作用。因此,基于贸易保护的技术创新、技术溢出效应是本文的重点研究内容。通过本文对开放经济条件下贸易保护对技术进步影响的深入研究,得出以下核心结论及各个子结论。南方和北方的贸易保护对技术创新、技术模仿和技术转移具有有利或不利的影响；我国的贸易保护对技术创新、技术转移和技术溢出均有显著的抑制作用,因此我国从总体上来说处于技术模仿国的地位；我国中、高技术中间产品、资本品进口贸易开放度的技术溢出效应为正,而低技术中间产品进口贸易开放度的技术溢出效应为负；我国关税有效保护结构与我国技术进步效、应相适应,而与我国的国际贸易比较优势的动态变化和产业结构调整的方向还存在不相适应。据此,必须提出促进技术创新、技术转移、技术溢出的对策。主要的子结论如下：1、贸易保护对R&D活动的两面性有不利影响。一方面,在技术模仿国知识产权保护不力的情况下,技术创新来源国的贸易保护对技术创新是有利的,模仿国的贸易开放对技术创新具有促进作用,而知识产权保护对技术创新活动提供了有力的保证。另一方面,贸易保护抑制了国内R&D活动,从而也降低了我国对外来技术的模仿和吸收能力。2、贸易保护对我国国际技术转移有不利影响。理论分析认为,技术引进国提高贸易保护程度,可能导致“绕过关税”的国际技术转移活动；而降低贸易保护程度,也有可能导致“遏制竞争”的竞争性国际技术转移活动。实证研究表明,从我国总体层面来讲,存在来自国外的竞争性的“遏制进入”的技术转移,即掌握先进技术的外国企业为了阻止其他外国企业进入中国市场,可能采取向中国企业转移技术的现象,并且贸易开放度和知识产权保护程度是技术转移的Granger原因。3、贸易保护对外国技术溢出效应有不利影响。实证分析也表明,无论是全部产品层面的进口贸易开放度还是中等技术和高技术中间产品、资本品进口贸易开放度对我国的技术进步都产生了正面影响,贸易开放度的技术溢出效应十分明显,而低技术中间产品进口贸易对技术进步具有负面影响。一方面,从全部产品贸易来看,本国研发支出对全要素生产率提高(技术进步)起到促进作用,而且作用系数大于国外的技术溢出,说明中国当前的国内技术创新是本国技术进步的根本。另一方面,中国对工业化国家和亚洲国家的贸易开放,促进了从这些国家的中间产品和机械设备等有技术含量的资本品进口,促进了相关产业的竞争与发展,提升了国内企业的生产率。选定的欧美和亚洲国家通过中间产品贸易产生的技术溢出显著促进了中国的技术进步和全要素生产率的增长,而且估计系数大于本国的研发资本弹性系数。这和我们假定中间产品贸易开放度越大,技术溢出效应越明显一致,进一步证实中间产品贸易开放度在技术溢出中的重要作用,也证明我国处于中间产品净进口国地位和加工贸易为主的贸易格局的现状,我国整体上处于生产贸易价值链条的较低端。4、必须合理安排中间产品(含资本品)贸易保护结构。对中间产品(含资本品)贸易保护的价格关联效应的投入产出分析表明,由于中间产品(含资本品)前后项产业关联特性,对其实施贸易保护将导致上下游产品价格的连锁反应,扭曲整个产业链条的资源配置,抑制进口贸易,阻碍了技术溢出效应的发挥。而基于总产品、中高技术中间产品和资本品进口贸易开放度的R&D溢出效应均为正；低技术中间产品的溢出效应为负,但由于以矿产资源为主的低技术中间产品的无序和过度开采,将导致巨大的环境成本和不可持续的发展问题,因此,对于我国这样的资源匮乏的国家来说,相对于技术进步的代价而言,低技术中间产品过度开采的代价更值得考虑。因此,中间产品和资本品贸易保护程度的降低,不仅可以增加外国R&D溢出量,更大程度地促进我国技术进步,而且可以保护资源、降低环境成本、提高可持续发展的能力。因此,如何安排现有的中间产品贸易保护结构,以减少贸易保护对技术进步效应的抑制,是一个重大的贸易政策问题。5、人力资本对我国技术进步的有显著促进作用。作为技术进步的载体,人力资本在新增长理论中成为了内生技术进步的主要表述形式之一(Lucas,1988)。第七章的实证分析表明,人力资本显著促进技术进步,而且人力资本与劳动力结合比人力资本与有形资本结合对技术进步的促进作用更大。一国人力资源的数量和质量是其成功获得技术扩散、取得技术进步的关键。6、贸易保护的国别特征及其对国别技术进步的影响。越发达的国家,贸易保护程度越低,但核心非关税壁垒和农业国内支持越高；贸易保护程度越低的国家,技术进步效应越大。7、目前我国关税有效保护结构存在合理性及不合理性之处。从结构角度看：一方面,我国关税有效保护结构与技术进步效应相适应。随着产业链的延伸,对加工阶段越深的产品征收越高的关税,从而形成了从上游产品到下游产品逐渐升高的阶梯型分布。相应地,有效保护率也呈现出了从上游产品到下游产品逐渐升高的阶梯型保护结构。这样的名义和有效关税保护结构符合关税升级原理,也与相关产品的技术溢出效应相适应。另一方面,关税的有效保护结构与贸易优势的动态变化发展不相适应。按照一般的贸易政治经济学理论,关税等贸易措施是用来保护不具有比较优势的部门,因此产业竞争优势越低的部门保护程度越高,即形成一种逆比较优势的保护结构,从而抵消外国的竞争优势,促进本国产品的进口替代和幼稚产业内生比较优势的配置。但现实情况是,我国呈现出了一种顺比较优势的有效保护结构。这种顺比较优势的有效保护结构说明我国关税有效保护结构与国际贸易比较优势的动态变化和产业结构调整的方向还存在不相适应的情况。以上两方面存在一定的矛盾,在政策实践中必须加以协调处理。本论文虽然在研究视角、研究方法、研究内容和结论有一些创新性,但还存在以下不足之处(研究展望)：1、本文的不足之一在于没能对地区或产业层次的贸易保护技术进步效应问题进行分析,从而为政策制定提供可行的建议。这固然与本文主题的过于宏大有关,但也与地区或产业层面的数据的系统性和可得性有关。这是笔者打算进一步研究的课题之一。2、本文的不足之二在于贸易保护度量指标没能采用能够较客观和直接地反映贸易保护程度的贸易限制指数,而是采用贸易依存度作为代理变量或采用局部反映贸易保护程度的关税实际征收率指标。这主要是因为贸易保护数据并不是连续时间系列,而是间断的,而且非关税壁垒的关税等值估计很困难。这也是笔者打算进一步研究的课题之一。更多还原

【Abstract】 Under an open economy, the technology progress has already become the key competitiveness of an economy all over the world. The improvement of the technology level mainly comes from the domestic technology innovation (R&D activity) and the usage of various kinds of technology diffusion (technology transfer and technology spillover) channel to introduce and study, absorb and imitate to advanced knowledge. With the economic globalization being accelerated day by day, international trade, as one of the main channels transmitting and spreading international technology, the development of international trade has not only offered the sufficient fund which has been carried on technology innovation for developed country, but also provided the opportunities of studying advanced technology for developing country.However, during the course of economic globalization, a country must considers domestic politics, economy, culture and some other factors when she makes economic and trade policies since the essence of a country’s foreign trade policies are the outcome of the nation. China has been the member of WTO. China’s entry to WTO predicates that she has to open her domestic market to the outside, and reduce the tariff and non-tariff barriers so as to bring her domestic market into the world-economy system. However, the trade barriers among the countries are still increasing though WTO and all countries in the world have been made great efforts for trade liberalization. At the same time, trade conflicts between China and her trading opponents and trading partners are increasing. Moreover, with the rapid economy-development in some newly industrializing countries and regions, some developed countries and regions such as U.S.A. and EU started a new protectionism-trend by taking non-tariff barriers as the main measures since 1970s. We may say that the existence of trade protection policy is the result of instability and imbalance of world economy and politics.China is a developing country and the level of industrialization is in the initial stages. The overall situation is that there is a gap between China and the advanced countries in production technology and production efficiency. Therefore, China must implement temperate trade-protection policies on some certain industries and enterprises. Furthermore, in fact, WTO admits and accepts trade protection. And this embodies not only in the basic principles but also in the dispute settlement system and its practices. Under the conditions of variable trade barriers and drastic trade conflicts in world, it is a theoretical and realistic issue for China how to recognize and deal with the relation between trade protection and technology innovation or diffusion well as well as how to effectively use technology diffusion’s (technology transfer&technology spillover) technology transition channels in order to enjoy more benefit of the technology progress. Therefore, this dissertation choose one of the vehicles of technology progress——international trade channels as a specific analyzed object, and may be firstly having a more systematic study to the impact of trade protection on technology progress from the view of trade protection, around the core concept "technology progress", along the technology innovation, technology transfer, technology spillover channels of technology progress, having a proposition that assessment of the impact of trade protection on technology progress is the evaluation of dynamic costs of trade protection. Thus my article-research, on one hand, has a certain theoretical significance, and is beneficial to understanding inherent mechanism of trade protection promoting or inhibiting technology innovation and technology diffusion, and it will enrich the technology progress theory and international trade theory (mainly the impact of trade protection on technology progress and technology communication theory); on the other hand, it also has some practical significance. Corresponding countermeasure may be taken according to the relationship between trade protection and technology innovation, technology transfer, technology spillover. It is beneficial for China to provide a reference of making a strategic trade policy; It facilitates for China to transform its comparative advantage into a competitive advantage; It provide references of international experiences; This dissertation make us aware of the rationalities of China’s current effective tariff protection structure and its existing problems.This dissertation will extensively apply methodologies of the combination of normative analysis and empirical analysis, the combination of static analysis and dynamic analysis and the unity of logical and historical, and synthetically use economy theories such as new international trade theory, game theory, new classical economics, new economic growth theory, technological progress theory, econometrics etc to analyze and discuss, among which, gives emphasis on quantitative analysis and empirical analysis. This dissertation will collect, calculate data or draw graphics such as R&D input and output, goods and service trade, technology trade, sub-national trade in intermediate goods and capital goods, tariff collection rate and the capital stock, labor input, human capital stock and other data, and construct and estimate trade openness, intellectual property protection degree, synthetic technology innovation indicator, composite technology transfer index, total factor productivity indicators etc to do quantitative and empirical analysis on the impact of trade protection on technology progress, and use current analysis tools applied to commonly in the file in domestic and abroad, such as the Pearson correlation analysis, Granger causality test, Johansen cointegration test and vector error correction model, vector auto-regression (VAR) model as well as econometrics and statistics methods less used such as structural vector auto-regression (SVAR) model, impulse response function analysis, input-output analysis, apply Eviews6.0 commonly used and Matlab mathematical software rarely used as a computing tool, then cite trade restrictiveness indices and the TFP growth rate to explain the impact of trade protection on technology progress. In order to ensure the robustness of the conclusions of this dissertation in the empirical analysis, the same variable has used different proxy measurements, such as indicators of capturing technology innovation include national financial research funding, R&D investment expenditure and built technology innovation indicators; indicators of reflecting trade protection degree has trade dependence degree and real tariff collection ratios indicator. These methods are somewhat systematic and innovative.The main contents of this dissertation are as follows:Firstly, this dissertation has explored the background, purpose and problem and defined the concept of technology innovation, technology transfer, technology spillover, trade protection and technology progress. Then it has surveyed the relevant research of the technology innovation, technology transfer, technology spillover and trade protection, international trade, and introduced the recent theory development of technology innovation and technology diffusion especially. Chapter Three of this dissertation has proposed several theory analysis models such as technology innovation, technology transfer, technology spillover and trade protection, intellectual property protection. Among them it successively discussed the development orbit of the trade protection theory, the theory contact of technology innovation, international technology transfer, technology spillover and trade protection, the technology innovation and technology diffusion effects on the basis of international trade protection, the main influencing factor of the technology progress effects of trade protection, and the relevant models of trade protection impacting technology progress. After the above theories have been analyzed, Chapter Four to Six have carried on the empirical study of China. On the basis of the current situation of China’s technology innovation and foreign trade as well as trade openness, this dissertation has investigated the degrees of the impacts of trade protection on technology innovation, transfer and spillover in detail. And with the angles such as total import trade openness, intermediate import trade openness structure, capital goods import trade openness etc, we have investigated the technology spillover effect through import trade protection especially.Finally, on the basis of new growth theory, this dissertation has empirically analyzed the effect of trade protection and human capital factors on the overall technology progress of China. Moreover, we have a cross-country analysis on the relations between trade protection and national income, technology progress through the obtainable cross-section data of trade restrictiveness indices which can reflect trade restrictiveness more comprehensively. Considering China’s situation and real influence of various technology progress channels on her, when this dissertation discuss technology progress effects based on trade protection, we pay more important attention to the technology innovation and diffusion based on trade protection.I can draw the following core conclusion and sub-conclusions by my profound study on the impact of trade protection on technology progress under an open economy in this dissertation. My core conclusion is that trade protection of north and south have a positive or negative impact on technology innovation, technology imitation and technology transfer; China’s trade protection has significantly inhibited its technology innovation, technology transfer and technology spillover, so generally speaking, China is in the status of technology imitation in the world; The technology spillover effect based on middling-tech and high-tech intermediate goods and capital goods import trade openness is positive in China, while the technology spillover effect based on the low-tech intermediate goods import trade openness is negative; The effective protection structure of China’s tariff and China’s technology progress effects are adaptive, but are still incompatible with the dynamic changes of China’s comparative advantage in international trade and the adjustment direction of industrial structure. Accordingly, we must make countermeasures of promoting technology innovation, technology transfer, technology spillover.And my sub-conclusions are stated respectively as follows:Firstly, Trade protection in China has a two-side significance to R&D activities. Trade protection in China not only has impeded R&D activities, but also impeded the promotion of the imitative and absorptive capacity to foreign technology.Secondly, International technology transfer in. China is adversely affected by trade protection. Theoretical analyses show that an increase in trade protection degree in technology introduction countries may lead to "tariff-jumping" technology transfer; while "entry-deterring" technology transfer may occur in the case of tariff-reductions. In particular, our policy implication that the South countries should take pro-competitive policies to facilitate technology transfer seems to be novel in the development economics literature. Empirical studies have shown that there is a competitive "entry-deterring" technology transfer in China’s nation level, and that trade openness and the degree of intellectual property protection in China are technology transfer’s Granger causes.Thirdly, Trade protection has an adverse impact for China to international technology spillovers. Empirical analyses also show that the effects of total import trade openness or middle-and high-tech intermediate goods and capital goods import trade openness on China’s technology progress are significantly positive, and their technology spillover effects are very significant, while the low-tech intermediate goods import trade openness have a negative impact on technology progress. This confirms our assume that the higher the intermediate goods trade openness, the more significant the technology spillover effects, further confirms the important role of intermediate goods import trade openness in technology spillovers, also shows that China is in a status of net importer of intermediate products and the status quo of processing trade-based trade pattern, China overall is in a lower end of the value chain of production and trade.Fourthly, It is necessary for China to optimize the structure of trade protection of intermediate goods (including capital goods). This dissertation empirically measures the price effects of trade protection on intermediate products (including capital goods) through the Input/Output table analysis and yields the conclusion that trade protection on intermediate products affects downstream products negatively, distorts the allocation of resources throughout the industry chain, curbs import trade, then hinders technology spillovers. China should take the effects of technology spillovers into consideration in trade protection on intermediate products. Therefore, how to arrange the existing structure of trade protection on intermediate goods so as to reduce the inhibitory effects of trade protection on technology progress is an important issue on trade policy.Fifthly, Human capital on technology progress in China has an important promoting role. As one of carriers of technology progress, human capital in the new growth theory has become a main expression form of endogenous technology progress (Lucas,1988). Empirical analysis in Chapter VII shows that human capital significantly promotes technology progress, and the combination of human capital and labor has a greater impact than the combination of human capital and physical capital in promoting technology progress. The quantity and quality of the human capital of host country are the key factors of developing countries carrying on innovation and obtaining technology diffusion successfully.Sixthly, National characteristics of trade protection and its impacts on technology progress in every country. More developed countries have lower trade restrictiveness, and have higher equivalent of core non-tariff barrier and agriculture domestic support. Those countries having lower trade restrictiveness obtained higher technology improvement.Seventhly, Current structure of effective tariff protection in China has some rationalities and irrationalities. From the view of structure:on one hand, the structure of effective tariff protection in China adapts to the effects of technology progress. On the other hand, the structure of effective tariff protection in China is incompatible with dynamic change and development of trade advantages. These two aspects have a certain contradiction, and we must be coordinated well in the policy practice.Although I have innovative research perspectives, research methods, research contents and conclusions in the dissertation, some shortcomings (research prospects) do exist:First, This dissertation failed to analysis the effects of trade protection on technology progress based on regional or industrial level so as to provide some viable policy recommendations. Of course, this is relative to the subject of this dissertation being too ambitious, but also due to the limitation of systematization and acquisition of datas about regions or industries. This is one of the issues which I attend to further research.Second, Trade protection measurement failed to adopt trade restrictiveness indices which can more objectively or directly capture trade protection degree, instead of, using trade dependence ratios as a proxy as well as using real collected tariff ratios indicators to partially reflect trade protection degree. This is mainly due to data of trade protection being not continuous time series, but intermittent, and the estimation on ad-valorem equivalents of non-tariff barriers (AVEs of NTBs) is difficult. This is also one of the issues which I attend to further research.更多还原