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貿(mào)易自由化對我國收入差距的影響研究

發(fā)布時間:2018-08-07 10:04
【摘要】:收入差距問題是當(dāng)前學(xué)術(shù)界研究的重點問題之一,收入差距問題不僅關(guān)系到人民的生活問題,而且與經(jīng)濟(jì)、社會的可持續(xù)發(fā)展密切相關(guān),不適度甚至過大的收入差距將不利于社會穩(wěn)定和經(jīng)濟(jì)發(fā)展。但是,收入差距是發(fā)展中國家在經(jīng)濟(jì)轉(zhuǎn)型過程中必然要經(jīng)歷的一個問題。與大多數(shù)發(fā)展中國家一樣,我國經(jīng)濟(jì)快速發(fā)展的轉(zhuǎn)型時期,與之相伴的是收入差距的不斷擴(kuò)大。中國收入差距的不斷拉大已影響到了中國經(jīng)濟(jì)的可持續(xù)發(fā)展和全面小康社會的建立。盡管中國收入差距問題與中國國民收入初次分配中資本規(guī)模不斷攀升,勞動者報酬占比逐年下降密切相關(guān),但也離不開國民收入的二次調(diào)配。在中國經(jīng)濟(jì)面臨結(jié)構(gòu)轉(zhuǎn)型的大環(huán)境下,“十二五規(guī)劃”也將民生問題提到了前所未有的戰(zhàn)略高度。合理調(diào)整收入分配已成為當(dāng)前加快轉(zhuǎn)變經(jīng)濟(jì)增長方式的重中之重。 近年來,中國的收入差距問題得到了眾多學(xué)者的關(guān)注,并取得了豐碩的研究成果。但是,鮮有學(xué)者關(guān)注到中國收入差距是伴隨著中國貿(mào)易自由化進(jìn)程的不斷推進(jìn)而逐年擴(kuò)大的。自改革開放以來,特別是1992年鄧小平同志南巡后,中國加大了貿(mào)易自由化進(jìn)程,這有力的促進(jìn)了中國經(jīng)濟(jì)的快速增長,隨著中國順利加入WTO,中國已成為世界公認(rèn)的貿(mào)易大國。但貿(mào)易自由化進(jìn)程的加快時期也是中國收入差距不斷擴(kuò)大的時期。貿(mào)易自由化進(jìn)程本質(zhì)上是利益重新分配、資源重新配置的過程,其一方面推進(jìn)了一國經(jīng)濟(jì)福利的增長,但也會對一國內(nèi)部不同地區(qū)、行業(yè)和階層間的收入分配格局產(chǎn)生影響。根據(jù)現(xiàn)有貿(mào)易理論,貿(mào)易自由化對發(fā)展中國家的收入分配影響方向是不確定的。因此,本文在梳理相關(guān)理論文獻(xiàn)的基礎(chǔ)上,通過分析貿(mào)易自由化影響收入差距的傳輸路徑,重點研究了貿(mào)易自由化對中國收入差距的影響。 本文的研究內(nèi)容主要包括文獻(xiàn)綜述、中國貿(mào)易自由化進(jìn)程和收入差距現(xiàn)狀以及貿(mào)易自由化影響收入差距的實證研究。全文共分為七章,各章的具體內(nèi)容和結(jié)論如下: 第一章為導(dǎo)論,主要介紹本文的研究背景、研究方法、邏輯思路、研究內(nèi)容以及研究意義等。 第二章對貿(mào)易自由化影響收入差距的相關(guān)貿(mào)易理論進(jìn)行了梳理。從貿(mào)易自由化影響收入差距的理論發(fā)展來看,早在以李嘉圖模型(David Richardo Model)為代表的古典貿(mào)易理論就開始涉及國際貿(mào)易的收入分配效應(yīng)。而以完全競爭市場等一些列假設(shè)條件為前提的新古典貿(mào)易理論則較為完整、系統(tǒng)的研究了國際貿(mào)易的收入分配效應(yīng),該理論以H-O理論和S-S定理為代表。此后,新貿(mào)易理論將技術(shù)進(jìn)步融入到國際貿(mào)易中,不但解釋了新出現(xiàn)的產(chǎn)業(yè)內(nèi)貿(mào)易模式,也開始關(guān)注貿(mào)易和技術(shù)創(chuàng)新對要素收入的影響以及在南北貿(mào)易中國際貿(mào)易對工資收入的影響。而隨著外包開始在國際貿(mào)易中出現(xiàn),基于中間產(chǎn)品貿(mào)易的新新貿(mào)易理論隨之誕生,新新貿(mào)易理論不但解釋了發(fā)展中國家中間產(chǎn)品貿(mào)易的發(fā)展對其收入差距擴(kuò)大的影響,同時也對發(fā)達(dá)國家收入差距的擴(kuò)大給出了相應(yīng)的解釋。 第三章主要分析了中國貿(mào)易自由化趨勢與收入差距現(xiàn)狀,在此基礎(chǔ)上分析了貿(mào)易自由化影響收入差距的傳導(dǎo)路徑。自上世紀(jì)90年代以來,隨著中國貿(mào)易自由化程度的不斷深化,經(jīng)濟(jì)快速增長,中國收入差距不斷擴(kuò)大,中國基尼系數(shù)總體趨勢呈現(xiàn)上升趨勢。中國收入差距具體表現(xiàn)在地區(qū)收入差距,城鄉(xiāng)收入差距,技術(shù)工人與非技術(shù)工人收入差距等方面。從影響中國收入差距的原因來看,主要包括壟斷因素、人力資本差異、制度因素、要素市場扭曲、城鄉(xiāng)二元結(jié)構(gòu)等。而貿(mào)易自由化影響收入分配的傳導(dǎo)路基主要包括:(1)貿(mào)易自由化通過價格變動影響收入分配;(2)貿(mào)易自由化通過產(chǎn)業(yè)結(jié)構(gòu)調(diào)整影響收入分配;(3)貿(mào)易自由化通過就業(yè)渠道影響收入分配;(4)貿(mào)易自由化通過政府作用影響收入分配。 第四章實證檢驗了貿(mào)易自由化對地區(qū)收入差距的影響。該部分利用CHNS數(shù)據(jù)庫對中國城市和農(nóng)村地區(qū)的居民收入差距進(jìn)行了測度,通過建立貿(mào)易自由化程度的衡量指標(biāo),在此基礎(chǔ)上構(gòu)建面板回歸模型,檢驗了貿(mào)易自由化對中國城市和農(nóng)村地區(qū)收入差距的影響。研究結(jié)果表明,貿(mào)易自由化有較強(qiáng)的異質(zhì)作用。(1)貿(mào)易自由化拉大了城市和農(nóng)村地區(qū)的收入差距;(2)相對勞動力要素流動較低的地區(qū),貿(mào)易自由化在勞動力要素較高的地區(qū)有利于縮小收入差距。 第五章基于CHIP數(shù)據(jù),將樣本分為貿(mào)易部門和非貿(mào)易部門,從行業(yè)角度對貿(mào)易自由化對我國收入差異進(jìn)行了較為系統(tǒng)的研究。研究發(fā)現(xiàn)1988-2002年貿(mào)易部門收入水平顯著低于非貿(mào)易部門,而2007年貿(mào)易部門收入?yún)s高于非貿(mào)易部門,貿(mào)易部門與非貿(mào)易部門這種收入差異的變化趨勢與初中和大專以上學(xué)歷教育回報率成一定相似變化趨勢。通過對樣本分類研究發(fā)現(xiàn),第一,貿(mào)易自由化提高了貿(mào)易部門的非技術(shù)勞動者的收入水平;第二,貿(mào)易部門與非貿(mào)易部門大專及以上教育(技術(shù)勞動)回報率均呈上升趨勢,2002年及以前非貿(mào)易部門大專及以上教育程度的回報率明顯高于貿(mào)易部門,但2007年卻低于貿(mào)易部門;第三,教育對收入差距的貢獻(xiàn)越來越大,貿(mào)易部門的技能工人教育回報率低于非貿(mào)易部門是導(dǎo)致2002以前貿(mào)易部門收入水平低于非貿(mào)易部門的主因。 第六章重點考察了貿(mào)易自由化對技術(shù)與非技術(shù)工人收入差距的影響。通過建立一般均衡模型表明,貿(mào)易自由化將引起發(fā)展中國家的技術(shù)“追趕”,這種技術(shù)“追趕”無論是中性還是有偏的都將引起發(fā)展中國家向技術(shù)密集型產(chǎn)品轉(zhuǎn)向,從而增加對技能工人的需求,提高技能工人收入,擴(kuò)大技能工人與非技能工人的收入差距。并基于CGSS數(shù)據(jù)庫,對此進(jìn)行了經(jīng)驗驗證,結(jié)果表明,貿(mào)易自由化有利于提高非技術(shù)工人和技術(shù)工人的收入水平,但是非技術(shù)勞動力貿(mào)易開放的收入回報率低于技能工人的收入回報率,即貿(mào)易自由化拉大技能與非技能工人的收入差距。 第7章是全文的總結(jié),本章總結(jié)了全文的研究結(jié)論,闡述了文章的政策含義,并提出本文的研究啟示和未來的研究方向。 本文在吸收和借鑒國內(nèi)外研究成果的基礎(chǔ)上,考察貿(mào)易自由化對我國收入差距的影響,具有一定的創(chuàng)新性:(1)當(dāng)前國內(nèi)對貿(mào)易自由化對收入差距影響的研究主要是采用FDI、貿(mào)易來檢驗收入差距,缺少深入系統(tǒng)的分析貿(mào)易自由化影響收入差距的原因,本課題通過建模和實證方法深入分析貿(mào)易自由化影響的收入差距的原因、機(jī)制及路徑選擇;(2)本文依據(jù)各地區(qū)行業(yè)關(guān)稅和關(guān)稅保護(hù)率,以行業(yè)就業(yè)人口為權(quán)重創(chuàng)新性的建立地區(qū)關(guān)稅水平和地區(qū)關(guān)稅保護(hù)率來衡量地區(qū)貿(mào)易自由化程度,同時在數(shù)據(jù)選擇上,本文主要采用微觀數(shù)據(jù)和方法更為直接來研究貿(mào)易自由化對收入差距的影響;(3)本文從不同角度較為全面的研究貿(mào)易自由化對收入差距的影響,不但研究了貿(mào)易自由化對地區(qū)和行業(yè)收入差距的影響,還研究了貿(mào)易自由化對技術(shù)與非技術(shù)工人之間的收入差距,并建立一般均衡模型對此進(jìn)行了解釋。 貿(mào)易自由化與勞動力市場之間相互關(guān)系問題是一個復(fù)雜且不斷變化的課題,限于自己的理論水平、計量模型操作經(jīng)驗相對缺乏以及中國經(jīng)濟(jì)數(shù)據(jù)特別是微觀數(shù)據(jù)缺乏等影響,本研究對于該課題中的許多探索和研究分析難免不夠透徹和深入,此外受模型中的變量選擇、數(shù)據(jù)整理和評估方法差異的影響,也可能會對本文最終的計量結(jié)果產(chǎn)生影響,以上問題將在今后的研究中通過完善理論知識、實證模型、細(xì)化指標(biāo)及改進(jìn)計量方法來逐步加以改善。
[Abstract]:The income gap is one of the key problems in the current academic research. The income gap is not only related to the people's life problems, but also closely related to the economy and the sustainable development of the society. The disparities of the income gap will not benefit the social stability and the economic development. However, the income gap is the economic turn of the developing countries. Like most developing countries, the transition period of China's rapid economic development is accompanied by the continuous expansion of the income gap. The widening of the income gap in China has affected the sustainable development of China's economy and the establishment of a well-off society in an all-round way. The problem is closely related to the rising capital scale in the initial distribution of China's national income and the decline of the remuneration of workers, but it is also inseparable from the two allocation of national income. In the environment of structural transformation of China's economy, the "12th Five-Year plan" also mentioned the unprecedented strategic height of the people's livelihood issues. Allocation has become the top priority in accelerating the transformation of the mode of economic growth.
In recent years, China's income gap has been paid much attention by many scholars and has achieved fruitful research results. However, few scholars have noticed that China's income gap has been increasing with the continuous progress of China's trade liberalization process. Since the reform and opening up, it is especially after Comrade Deng Xiaoping's southern tour in 1992, and China has increased The process of trade liberalization has greatly promoted the rapid growth of China's economy. With China's smooth entry into the WTO, China has become a recognized trade power in the world. However, the accelerated period of trade liberalization is also a period of increasing income gap in China. The process of trade liberalization is essentially redistribution of interests and redistribution of resources. The process, on the one hand, promotes the growth of a country's economic welfare, but it also affects the distribution pattern of income distribution between different regions, industries and classes within a country. According to the existing trade theory, the direction of the influence of trade liberalization to the income distribution of developing countries is uncertain. Therefore, this paper is to comb the basis of the relevant theoretical literature. On the other hand, through the analysis of the transmission path of trade liberalization affecting income gap, this paper focuses on the impact of trade liberalization on China's income gap.
The main contents of this paper include literature review, China's trade liberalization process and income gap, as well as the empirical research on the impact of trade liberalization on income gap. The full text is divided into seven chapters. The contents and conclusions of each chapter are as follows:
The first chapter is an introduction, which mainly introduces the research background, research methods, logical thinking, research contents and research significance.
In the second chapter, the theory of trade liberalization affecting income gap is combed. From the view of the theory of trade liberalization affecting income gap, the classical trade theory, represented by the Ricardo model (David Richardo Model), begins to involve the income distribution effect of international trade. The new classical trade theory with the premise of the premise is more complete. It systematically studies the income distribution effect of international trade. The theory is represented by the H-O theory and the S-S theorem. After that, the new trade theory integrates technological progress into the international trade. It not only explains the newly emerging intra industry trade model, but also begins to pay attention to trade and technology. The influence of innovation on factor income and the impact of international trade on wage income in the north and South trade. With the emergence of outsourcing in international trade, new new trade theory based on intermediate product trade is born, and the new new trade theory not only explains the development of product trade between developing countries and the widening of its income gap. It also explains the enlargement of the income gap in developed countries.
The third chapter mainly analyzes the trend of China's trade liberalization and the income gap. On the basis of this, it analyzes the transmission path of the trade liberalization that affects the income gap. Since the 90s of last century, with the deepening of the degree of trade liberalization in China, the rapid economic growth, the increasing income gap in China, the overall trend of the Gini coefficient in China The income gap in China is manifested in the regional income gap, the income gap between the urban and rural areas, the income gap between the technical workers and the unskilled workers. From the factors that affect the income gap in China, the main factors include the monopoly factors, the human capital differences, the institutional factors, the factor market distortion, the urban and rural two yuan structure and so on. The subgrade which affects the distribution of income distribution mainly includes: (1) trade liberalization affects income distribution through price changes; (2) trade liberalization affects income distribution through industrial restructuring; (3) trade liberalization affects income distribution through employment channels; (4) trade liberalization affects income distribution through government action.
The fourth chapter empirically examines the impact of trade liberalization on regional income gap. This part uses the CHNS database to measure the income gap between urban and rural areas in China. By establishing a measure of the degree of trade liberalization, a panel regression model is built on this basis, and the trade liberalization has been tested for Chinese cities and farmers. The research results show that trade liberalization has a strong heterogeneity. (1) trade liberalization has widened the income gap between urban and rural areas; (2) in areas with relatively low labor factors, trade liberalization in areas with higher labor factors is conducive to narrowing the income gap.
The fifth chapter, based on CHIP data, divides the sample into trade sector and non trade sector. From the perspective of industry, trade liberalization has carried out a more systematic study of China's income differences. The study found that the income level of the trade sector was significantly lower than the non trade sector in the 1988-2002 years, while the 2007 trade sector was higher than the non trade sector and the trade sector. The change trend of the income difference with the non trade sector is similar to the return on education of junior high school and higher education. First, trade liberalization improves the income level of non technical workers in the trade sector; and second, higher education and higher education in the trade and non trade sectors ( The return rate of technical labor is increasing, and the rate of return on education in non trade sectors in 2002 and before is significantly higher than that in the trade sector, but in 2007 it is lower than the trade sector; third, the contribution of education to the income gap is increasing, and the rate of return on the education of skilled workers in the trade sector is lower than that of the non trade sector by 2002. The income level of the former trade sector is lower than that of the non trade sector.
The sixth chapter focuses on the impact of trade liberalization on the income gap between technology and non technology workers. Through the establishment of a general equilibrium model, it is shown that trade liberalization will cause technology "catching up" in developing countries, which will lead to the turn of developing countries to technology intensive products, whether neutral or biased. In order to increase the demand for skilled workers, increase the income of skilled workers, expand the income gap between skilled workers and unskilled workers, and based on the CGSS database, the empirical test shows that trade liberalization is conducive to improving the income level of non skilled workers and skilled workers, but the income of the non-technical labor trade is open. The rate of return is lower than that of skilled workers, that is, trade liberalisation widen the income gap between skilled and unskilled workers.
Chapter 7 is the summary of the full text. This chapter summarizes the conclusions of the full text, expounds the policy implications of the article, and puts forward the Enlightenment of this study and future research directions.
On the basis of absorbing and drawing lessons from domestic and foreign research results, this paper examines the impact of trade liberalization on China's income gap. (1) the current domestic research on the impact of trade liberalization on income gap is mainly using FDI, trade to test income gap, and the lack of in-depth systematic analysis of the impact of trade liberalization. The reason for the gap is to analyze the reasons, mechanisms and path choices of the income gap influenced by trade liberalization through modeling and empirical methods. (2) this paper is based on the tariff and tariff protection rates of various industries in each area, and measures the region by the tariff level and the regional tariff protection rate with the weight and innovation of the industry employed population as the weight innovation. The degree of trade liberalization, and in the selection of data, this article mainly uses micro data and methods to study the impact of trade liberalization on the income gap. (3) this paper studies the impact of trade liberalization on income gap from different angles and studies not only the income gap between trade liberalization and trade liberalization, but also on the income gap between trade liberalization and industry. This paper also studies the effect of trade liberalization on the income gap between skilled and unskilled workers, and establishes a general equilibrium model to explain it.
The relationship between trade liberalization and the labor market is a complex and changing subject. It is limited to its own theoretical level, the relative lack of operational experience of measurement models, and the lack of China's economic data, especially the lack of microcosmic data. This study is insufficiently thorough for the exploration and analysis of the subject. In addition, the influence of the selection of variables in the model, the difference of data sorting and evaluation methods may also affect the final measurement results of this article. The above problems will be gradually improved by improving the theoretical knowledge, empirical model, refining index and improving measurement methods in the future research.
【學(xué)位授予單位】:西南財經(jīng)大學(xué)
【學(xué)位級別】:博士
【學(xué)位授予年份】:2014
【分類號】:F752;F124.7

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