【作者】 杨福林；

【导师】 龚汝富；

【作者基本信息】 江西财经大学 ， 政治经济学， 2010， 博士

【摘要】 抗日战争时期贸易统制政策的产生并非偶然,有其深刻而特殊的历史背景,具备必然性和必要性。纵观战前数十年的贸易状况,不仅逆差持续数额惊人,而且贸易结构畸形发展,作为农业国家,农产品输入数额巨大；贫穷国家,奢侈品输入数量过多；落后国家,机器设备输入比例太小。同时,战前中国贸易主权被外商操纵,主要商品进出口以及辅助国际贸易的各项事业均受制于人,国人不能自主。造成战前贸易衰颓的主要原因,首先在于列强倚恃不平等条约对中国进行大肆商品倾销；其次在于政府捐税繁杂保护乏力；再次在于工商企业自身产业落后经营无方。面对贸易衰颓的危害,战前精英阶层围绕着贸易统制的可能性与可行性进行了系统深入的探讨。要求政府进行严格的贸易统制,以求挽回权益、维持进出口平衡,逐渐成为社会的主流认识。日本大举侵华后,战时急需的物品仅凭国内生产显然不足以保障战时供应,大量军需品自海外源源购入成为持续抗战的必要条件,而外汇和黄金储备的有限及海外侨胞汇款的减少,难以满足战时巨额购买的需求；同时,国难面前政府进行了战时政治经济体制的全面调整,这些都使得贸易统制势在必行。在此情形下,贸易统制配合整体经济政策产生,并在战争初期迅速确立。战时贸易统制是全面而动态的,从贸易的经营权而言,国营贸易与商营贸易并行,国营贸易是统制的高级阶段,而商营贸易统制是初级阶段；从贸易统制的时段而言,抗战前期侧重于获取外汇,即配合外汇政策开展贸易统制；后期侧重于对战争物资的争取,即配合物资政策控制进出口。商营贸易统制中,为调控物资进出,鼓励优势产品的出口、限制非必需品的进口,是抗战前期直接贸易统制政策法规涵盖的重要内容；为配合掌控外汇的宗旨,出口外汇售结政策及进口外汇请核政策随之出台,政府对外汇进出实施了全面配套管制,并且随着局势的演变进行相应的调整。太平洋战争爆发后,因国外援助及贷款的增加,外汇需求有所缓解；同时因日本的严密封锁,物资进出口困难,使得争取物资成为这一阶段贸易统制的核心目标,鼓励抗战所需物资进口、限制物资出口和对敌进行经济封锁成为统制商营贸易的主题。抗战初期,商营贸易统制过程中政府与商民利益上的对峙,致使两者矛盾激化,由此引发了关于国营贸易的实施条件与路径的激烈论争。学界对国营贸易政策的深入探讨,为国民政府实施国营贸易提供了理论铺垫。同时,在调整民营贸易的实践中,国民政府也逐渐意识到,政府很难将组织分散、资金薄弱、经营方式落后的商人组建成能够应付战时贸易困局的全国性民营贸易系统。因此,抗战前期国民政府着力调整战时贸易行政机构,并创办三大国营贸易公司,积极树立国营贸易体系。国营贸易政策从其运行考察,主要体现在统购统销和易货贸易两大政策上,两者相互配合,从内部而言,则通过对指定的主要农矿产品实施统购统销,以配合易货偿债的进行；从外部而言,则通过种种外交努力积极达成与各国的贸易协定,为国内物产外输和国外军火等物资内运创造条件。贸易统制政策因国家整体目标及战时现实需要而产生,并随着时局的变化而不断调整,政策的实施不仅十分必要,而且是适合战时环境的最佳选择。从政策实施效果考察,总体上讲利大于弊,与政策初衷基本吻合。贸易统制的积极作用从支持抗战分析,它的实施不仅使优势产品得以集中出口,换取了大量军需物资的输入,极大提升了战时武器装备的性能,缩小了中日军队的差距；而且使抗战所需的其他各项国计民生物资得以调剂补充。因此,战时贸易统制政策为抗战胜利奠定了坚实的物质基础。从经济角度分析,政策的推行使得国内局部时段、局部地域出现贸易出超,为平衡国际贸易发挥了较好的作用；同时也使得商品进出受到严格管制,改善了战前进出口商品结构畸形的状态。当然,政策的弊病也不容忽视,战时贸易统制的消极影响主要体现在,贸易统制机构庞杂不一、职权交错,弊端丛生；统购商品价格畸形,窒碍生产和贸易的发展；相关职能机构人员徇私舞弊,祸害国家。抗战时期国民政府推行的贸易统制是涵盖了政策主体、政策客体、政策目标、政策内容和政策手段诸方面的第一次全面管制,是近代以来贸易主权兴起背景下的具体实践,是中国对外贸易史上一个划时代的进步,对支持中国抗战及逐渐摆脱半殖民地经济走向自主经济具有非常积极的意义。近代鸦片战争以来世界列强对中国发动的一系列侵略战争,其目的归根结底在于从中国获取超额经济利益,并通过贸易先导、武力护航、特权支撑这一基本模式,将中国纳入其主导的经济体系之内,中国经济性质因此逐步转变为半殖民地经济。抗战爆发,战争的危急状态迫使国民政府以本国的最大利益诉求为原则自主进行贸易统制,并按照现实需要控制进出口,调整产销体制和产业布局,取得了贸易上的主导地位。战争的扩展及各大国的卷入,也使得各反法西斯大国从实际利益考虑,在原有驻华贸易体系被摧毁之后,为配合整体抗战的需要,或被迫或主动放弃相关经济权益。自主的贸易体系的确立及不平等条约的废除,使得中国经济已逐渐地由被动的、殖民地式的经济转到自主自立的经济轨道上来。更多还原

【Abstract】 It was not accidental to perform the trade control during the Anti-Japanese War, which had necessity and inevitability under certain history background. Overview the decades of trade conditions before the Anti-Japanese War. The typical features were sustained trade deficit, distortion development, and manipulation by foreigners due to deliberate dumping, lack of protection, heavy taxes, and poor operation of businesses. Because of the trade crisis before the war, the government had been requested for interfering trade to protect the trade interests and trade balance.After the outbreak of the war, it was not enough to guarantee the supply of war urgent materials only depending on the domestic production. Therefore importing war materials overseas was necessary. However, the limitation of foreign exchange and gold reserve and reduction of immigrant remittance could not satisfy the huge demand. Meanwhile, Political and economic mobilization during the war before in the national crisis’ structural adjustment was imperative to make trade control. Under such circumstances, trade control complying to the whole economic control turned up and developed at high speed at the beginning of the war.Trade control was a comprehensive and dynamic control during the Anti-Japanese War. From the franchise, commercial trade was the primary stage of trade control, commercial trade and state trade are parallel respectively. And state trade was the advanced stage.From the trade control period, at the beginning of the war the government emphasized on access to foreign exchange, in other words conducting trade control with foreign exchange policy. Later the government focused on war materials, in other words control of import and export goods with material policy.For meeting the purpose of obtaining exchange, it became important part of directly policies and regulations of trade control to meet, to encourage exports advantage products and restrict import non-essentials. For the core objective of exchange, the policy of exchange settlement and the policy of authorization import exchange established,and the polices used to comprehensively control exchange and were made the appropriate adjustments according to the situation. After the outbreak of Pacific war, increasing international aid and loan helped to relieve the need of exchange. At the same time, for tight block from Japan and difficulty of import materials, access to war materials was the main purpose at this stage.At the beginning of the war, benefits conflict between government and businessmen frequently took place.State trade was established as a national policy paralleling with commercial trade after heated debate. The system of state trade became major aspect of trade control during the war with the establishment and adjustment of trade committee, and establishment of the three state companies. Government trade institutions on behalf of the nation could obviously overcome the shortcomings which brought forth by private trade in the war. The system of state trade divided to two parts, one was government monopoly purchase and sale, the other one was barter. Externally, the government reached the trade agreements by diplomatic efforts, internally, it executed unified purchase and marketing accompany with agricultural and mineral products with barter.Trade control policy during the war adjusted frequently according to the facts and the national destination. Every coin has two sides, At the macro level, the policy effect is obvious, In the micro, there was many drawbacks. From the positive aspect, the government not only focused on collecting financial and material resources for the fight against Japanese aggression through trade control, but also played an important part in the maintenance of import and export trade balance and improvement of China’s export structure.From the view of negative impact, in the process of trade control complicated agencies caused numerous drawbacks, distorted purchase and commodity price obstructed the development of production and trade. Favoritism was adverse to the state.In the progress of formulation and evolution of Trade Control Policy, although the regulatory documents were dominant, the results also were constrained by the policy of trade countries and interests and surroundings, also the interests conflicts between central and local government weakened the effect of trade control. Overall, the policy effects and policy-making met the original purpose.The trade control of KMT Government was constituted by policy subject, policy object and policy goals, policy content and policy instruments was the first comprehensive control of sovereignty in modern times, the concrete practice, the epoch-making progress in the foreign trade history. This was meaningful to Chinese to get rid of semi-colonial economy for independent economic. From Opium war, imperialist countries launched a series of aggressive wars against China in the aim of extra economic profits through the model of trade guide, force escort, privileges supported this basic model led China into its economic system. And Chinese economy gradually changed the nature to semi-colonial economy. Because the war broke out, the critical state of war forced the government to take the best interests as the main principle to control trade, in accordance with the reality of their need to control the import and export, obtain the leading trade, and actively adjust the layout of the national production and marketing system and industry. Expansion of the war and the involvement of major powers also made these countries who considered real interests give up their rights to give China more sovereignty after the destruction of the existing trading system in China for whole benefits of the war. All concessions were forced or voluntary. With establishment of independent trade system and the abolition of unequal treaties, China’s economy had gradually transferred from the colonial economy to independent economy.更多还原