进口、企业绩效与国民福利——文献回顾及对中国贸易强国建设的启示
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摘要
扩大进口既是新时代贸易强国建设的重要组成部分,也是其具体实现路径。本文回顾并梳理了近年来基于中国背景的以"进口"为研究主题的主要代表性文献。现有研究一方面从加剧市场竞争和改善生产投入两个渠道,考察了进口对生产率、研发创新、成本加成和出口行为等企业绩效的影响;另一方面测算了进口对消费者福利的影响,为以进口促进新时代贸易强国建设提供了重要启示。在此基础上,本文还分析了已有研究的不足,并从影响进口的因素、进口对国内服务业发展的推动以及进口对国内产业空间布局的优化三个方面,展望了未来值得进一步深入和拓展的研究方向,以激发学术界对进口与新时代贸易强国建设这一重大理论和现实问题展开更加深入的思考和研究。
Expanding imports is both part and path of making China a trade power in the New Era.This paper reviews main literatures about imports based on Chinese background in recent years.The existing literatures examine the impacts of imports on the firm performance,such as TFP,R&D,innovation,markup,and exports through increasing market competition channel and improving inputs of production channel,meanwhile,estimate the impacts of imports on consumer welfare,which provides important implications for making China a trade power through expanding imports in the New Era.This paper also analyzes the shortcomings of the existing literatures and provides three suggestions for further research in the future,including factors affecting imports,the promotion of imports to domestic service sectors and the impacts of imports on the location of domestic industries,in order to stimulate more deeply thinking and research on the topic of making China a trade power through expanding imports in the New Era.
Expanding imports is both part and path of making China a trade power in the New Era.This paper reviews main literatures about imports based on Chinese background in recent years.The existing literatures examine the impacts of imports on the firm performance,such as TFP,R&D,innovation,markup,and exports through increasing market competition channel and improving inputs of production channel,meanwhile,estimate the impacts of imports on consumer welfare,which provides important implications for making China a trade power through expanding imports in the New Era.This paper also analyzes the shortcomings of the existing literatures and provides three suggestions for further research in the future,including factors affecting imports,the promotion of imports to domestic service sectors and the impacts of imports on the location of domestic industries,in order to stimulate more deeply thinking and research on the topic of making China a trade power through expanding imports in the New Era.
引文
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[3]Muendler,M.A.Trade,Technology,and Productivity:A Study of Brazilian Manufacturers,1986-1998[Z].CESifo Group Munich,2004.
[4]Amiti,M.,Konings,J.Association Trade Liberalization,Intermediate Inputs and Productivity:Evidence from Indonesia[J].American Economic Review,2007,97(5):1611-1638.
[5]Topalova,P.,Khandelwal,A.Trade Liberalization and Firm Productivity:The Case of India[J].Review of Economics and Statistics,2011,93(3):995-1009.
[6]Kasahara,H.,Rodrigue,J.Does the Use of Imported Intermediates Increase Productivity?Plant-Level Evidence[J].Journal of Development Economics,2008,87(1):106-118.
[7]Muuls,M.,Pisu,M.Imports and Exports at the Level of the Firm:Evidence from Belgium[J].The World Economy,2009,32(5):692-734.
[8]Bas,M.,Strauss-Kahn,V.Does Importing More Inputs Raise Exports?Firm-Level Evidence from France[J].Review of World Economics,2014,150(2):241-275.
[9]Halpern,L.,Koren,M.,Szeidl,A.Imported Inputs and Productivity[J].American Economic Review,2015,105(12):3660-3703.
[10]Damijan,J.P.,Koning,J.,Polanec,S.Import Churning and Export Performance of Multi-Product Firms[J].The World Economy,2012,37(11):1483-1506.
[10]Coe,D.T.,Helpman,E.International R&D Spillovers[J].European Economic Review,1995,39(5):859-887.
[12]Coe,D.T.,Helpman,E.,Hoffmaister,A.W.North-South R&D Spillovers[J].The Economic Journal,1997,107(440):134-149.
[13]Acharya,R.C.,Keller,W.Technology Transfer through Imports[J].Canadian Journal of Economics,2009,42(4):1411-1448.
[14]Kugler,M.,Verhoogen,E.Plants and Imported Inputs:New Facts and an Interpretation[J].American E-conomic Review,2009,99(2):501-507.
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[16]Conti,G.,Turco,A.L.,Maggioni,D.Rethinking the Import-Productivity Nexus for Italian Manufacturing[J].Empirica,2014,41(4):589-617.
[17]张杰,郑文平,陈志远.进口与企业生产率---中国的经验证据[J].经济学(季刊),2015,14(3):1029-1052.
[18]Yu,M.,Li,J.Imported Intermediate Inputs,Firm Productivity and Product Complexity[J].The Japanese Economic Review,2014,65(2):178-192.
[19]余淼杰,李晋.进口类型、行业差异化程度与企业生产率提升[J].经济研究,2015,(8):85-97.
[20]魏浩,李罛,赵春明.中间品进口的来源地结构与中国企业生产率[J].世界经济,2017,(6):48-71.
[21]戴翔,金碚.服务贸易进口技术含量与中国工业经济发展方式转变[J].管理世界,2013,(9):21-31.
[22]陈启斐,刘志彪.生产性服务进口对我国制造业技术进步的实证分析[J].数量经济技术经济研究,2014,(3):74-88.
[23]毛其淋,许家云.中间品贸易自由化、制度环境与生产率演化[J].世界经济,2015,(9):80-106.
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[25]Elliott,R.,Jabbour,L.,Zhang,L.Firm Productivity and Importing:Evidence from Chinese Manufacturing Firms[J].Canadian Journal of Economics,2016,49(3):1086-1124.
[26]简泽,张涛,伏玉林.进口自由化、竞争与本土企业的全要素生产率---基于中国加入WTO的一个自然实验[J].经济研究,2014,(8):120-132.
[27]Ding,S.,Sun,P.,Jiang,W.The Effect of Import Competition on Firm Productivity and Innovation:Does the Distance to Technology Frontier Matter?[J].Oxford Bulletin of Economics and Statistics,2016,78(2):197-227.
[28]Ding,S.,Jiang,W.,Sun,P.Import Competition,Dynamic Resource Allocation and Productivity Dispersion:Micro-Level Evidence from China[J].Oxford Economic Papers,2016,68(4):994-1015.
[29]Yu,M.Processing Trade,Tariff Reductions and Firm Productivity:Evidence from Chinese Firms[J].Economic Journal,2015,125(585):943-988.
[30]Goldberg,P.K.,Khandelwal,A.K.,Pavcnik,N.,Topalova,P.Trade Liberalization and New Imported Inputs[J].American Economic Review,2009,99(2):494-500.
[31]Damijan,J.P.,Kostevc,C.Learning from Trade through Innovation:Causal Link between Imports,Exports and Innovation in Spanish Microdata[J].Oxford Bulletin of Economics and Statistics,2015,77(3):408-436.
[32]Liu,Q.,Qiu,L.Intermediate Input Imports and Innovations:Evidence from Chinese Firms’Patent Filings[J].Journal of International Economics,2016,103(6):166-183.
[33]张杰.进口对中国制造业企业专利活动的抑制效应研究[J].中国工业经济,2015,(7):68-83.
[34]田巍,余淼杰.中间品贸易自由化和企业研发:基于中国数据的经验分析[J].世界经济,2014,(6):90-112.
[35]Tian,W.,Yu,M.Firm R&D,Processing Trade and Input Trade Liberalization:Evidence from Chinese Firms[J].The World Economy,2015,40(11):297-313.
[36]Chen,Z.,Zhang,J.,Zheng,W.Import and Innovation:Evidence from Chinese firms[J].European Economic Review,2017,94(5):205-220.
[37]Chu,A.,Fan,H.,Shen,G.,Zhang,X.Effects of International Trade and Intellectual Property Rights on Innovation in China[J].Journal of Macroeconomics,2018,57(4):110-121.
[38]De Loecker,J.,Goldberg,P.K.,Khandelwal,A.K.,Pavcnik,N.Prices,Markups,and Trade Reform[J].Econometrica,2016,84(2):445-510.
[39]Fan,H.,Gao,X.,Li,Y.A.,Luong,T.A.Trade Liberalization and Markups:Micro Evidence from China[J].Journal of Comparative Economics,2018,46(1):103-130.
[40]毛其淋,许家云.中间品贸易自由化提高了企业加成率吗?---来自中国的证据[J].经济学(季刊),2017,16(2):485-524.
[41]黄先海,诸竹君,宋学印.中国中间品进口企业“低加成率之谜”[J].管理世界,2016,(7):23-35.
[42]钱学锋,范冬梅,黄汉民.进口竞争与中国制造业企业的成本加成[J].世界经济,2016,(3):71-94.
[43]田巍,余淼杰.企业出口强度与进口中间品贸易自由化:来自中国企业的实证研究[J].管理世界,2013,(1):28-44.
[44]Feng,L.,Li,Z.,Swenson,D.L.The Connection between Imported Intermediate Inputs and Exports:Evidence from Chinese Firms[J].Journal of International Economics,2016,101(4):86-101.
[45]张杰,郑文平,陈志远,王雨剑.进口是否引致了出口:中国出口奇迹的微观解读[J].世界经济,2014,(6):3-26.
[46]Kugler,M.,Verhoogen,E.Prices,Plant Size and Product Quality[J].Review of Economic Studies,2012,79(1):307-339.
[47]Amiti,M.,Khandelwal,A.K.Import Competition and Quality Upgrading[J].Review of Economics and Statistics,2013,95(2):476-490.
[48]Bas,M.,Strauss-Kahn,V.Input-Trade Liberalization,Export Prices and Quality Upgrading[J].Journal of International Economics,2015,95(2):250-262.
[49]Fan,H.,Li,Y.A.,Yeaple,S.R.Trade Liberalization,Quality,and Export Prices[J].The Review of E-conomics and Statistics,2015,97(5):1033-1051.
[50]Fan,H.,Li,Y.A.,Yeaple,S.R.On the Relationship between Quality and Productivity:Evidence from China’s Accession to the WTO[J].Journal of International Economics,2018,110(1):28-49.
[51]许家云,毛其淋,胡鞍钢.中间品进口与企业出口产品质量升级:基于中国证据的研究[J].世界经济,2017,(3):52-75.
[52]余淼杰,李乐融.贸易自由化与进口中间品质量升级---来自中国海关产品层面的证据[J].经济学(季刊),2016,15(3):1011-1028.
[53]施炳展,张雅睿.贸易自由化与中国企业进口中间品质量升级[J].数量经济技术经济研究,2016,(9):3-21.
[54]陈雯,苗双有.中间品贸易自由化与中国制造业企业生产技术选择[J].经济研究,2016,(8):72-85.
[55]盛斌,毛其淋.进口贸易自由化是否影响了中国制造业出口技术复杂度[J].世界经济,2017,(12):52-75.
[56]Krugman,P.R.Increasing Returns,Monopolistic Competition,and International Trade[J].Journal of International Economics,1979,9(4):469-479.
[57]Krugman,P.R.Scale Economies,Product Differentiation,and the Pattern of Trade[J].American Economic Review,1980,70(5):950-959.
[58]Feenstra,R.New Product Varieties and the Measurement of International Prices[J].American Economic Review,1994,84(1):157-177.
[59]Broda,C.,Weinstein,D.Globalization and the Gains from Variety[J].Quarterly Journal of Economics,2006,121(2):541-585.
[60]任志成,巫强,杨帆.国际贸易利益测算问题研究动态[J].经济学动态,2013,(9):144-152.
[61]陈勇兵,李伟,钱学锋.中国进口种类增长的福利效应估算[J].世界经济,2011,(12):76-95.
[52]陈勇兵,赵羊,李梦珊.纳入产品质量的中国进口贸易利得估算[J].数量经济技术经济研究,2014,(12):101-115.
[63]Benkovskis,K.,Woerz,J.How Does Taste and Quality Impact on Import Prices?[J].Review of World E-conomics,2014,150(4):665-691.
[64]Chen,B.,Ma,H.Import Variety and Welfare Gain in China[J].Review of International Economics,2012,20(4):807-820.
[65]魏浩,付天.中国货物进口贸易的消费者福利效应测算研究---基于产品层面大型微观数据的实证分析[J].经济学(季刊),2016,15(4):1683-1714.
[66]张永亮,邹宗森.进口种类、产品质量与贸易福利:基于价格指数的研究[J].世界经济,2018,(1):123-147.
[67]余淼杰.中国的贸易自由化与制造业企业生产率[J].经济研究,2010,(12):97-110.
[2]Biesebroeck,J.V.Revisiting Some Productivity Debates[Z].NBER Working Paper,No.10065,2003.
[3]Muendler,M.A.Trade,Technology,and Productivity:A Study of Brazilian Manufacturers,1986-1998[Z].CESifo Group Munich,2004.
[4]Amiti,M.,Konings,J.Association Trade Liberalization,Intermediate Inputs and Productivity:Evidence from Indonesia[J].American Economic Review,2007,97(5):1611-1638.
[5]Topalova,P.,Khandelwal,A.Trade Liberalization and Firm Productivity:The Case of India[J].Review of Economics and Statistics,2011,93(3):995-1009.
[6]Kasahara,H.,Rodrigue,J.Does the Use of Imported Intermediates Increase Productivity?Plant-Level Evidence[J].Journal of Development Economics,2008,87(1):106-118.
[7]Muuls,M.,Pisu,M.Imports and Exports at the Level of the Firm:Evidence from Belgium[J].The World Economy,2009,32(5):692-734.
[8]Bas,M.,Strauss-Kahn,V.Does Importing More Inputs Raise Exports?Firm-Level Evidence from France[J].Review of World Economics,2014,150(2):241-275.
[9]Halpern,L.,Koren,M.,Szeidl,A.Imported Inputs and Productivity[J].American Economic Review,2015,105(12):3660-3703.
[10]Damijan,J.P.,Koning,J.,Polanec,S.Import Churning and Export Performance of Multi-Product Firms[J].The World Economy,2012,37(11):1483-1506.
[10]Coe,D.T.,Helpman,E.International R&D Spillovers[J].European Economic Review,1995,39(5):859-887.
[12]Coe,D.T.,Helpman,E.,Hoffmaister,A.W.North-South R&D Spillovers[J].The Economic Journal,1997,107(440):134-149.
[13]Acharya,R.C.,Keller,W.Technology Transfer through Imports[J].Canadian Journal of Economics,2009,42(4):1411-1448.
[14]Kugler,M.,Verhoogen,E.Plants and Imported Inputs:New Facts and an Interpretation[J].American E-conomic Review,2009,99(2):501-507.
[15]Goldberg,P.K.,Khandelwal,A.K.,Pavcnik,N.,Topalova,P.Imported Intermediate Inputs and Domestic Product Growth:Evidence from India[J].The Quarterly Journal of Economics,2010,125(4):1727-1767.
[16]Conti,G.,Turco,A.L.,Maggioni,D.Rethinking the Import-Productivity Nexus for Italian Manufacturing[J].Empirica,2014,41(4):589-617.
[17]张杰,郑文平,陈志远.进口与企业生产率---中国的经验证据[J].经济学(季刊),2015,14(3):1029-1052.
[18]Yu,M.,Li,J.Imported Intermediate Inputs,Firm Productivity and Product Complexity[J].The Japanese Economic Review,2014,65(2):178-192.
[19]余淼杰,李晋.进口类型、行业差异化程度与企业生产率提升[J].经济研究,2015,(8):85-97.
[20]魏浩,李罛,赵春明.中间品进口的来源地结构与中国企业生产率[J].世界经济,2017,(6):48-71.
[21]戴翔,金碚.服务贸易进口技术含量与中国工业经济发展方式转变[J].管理世界,2013,(9):21-31.
[22]陈启斐,刘志彪.生产性服务进口对我国制造业技术进步的实证分析[J].数量经济技术经济研究,2014,(3):74-88.
[23]毛其淋,许家云.中间品贸易自由化、制度环境与生产率演化[J].世界经济,2015,(9):80-106.
[24]毛其淋,许家云.中间品贸易自由化的生产率效应---以中国加入WTO为背景的经验研究[J].财经研究,2015,(4):42-53.
[25]Elliott,R.,Jabbour,L.,Zhang,L.Firm Productivity and Importing:Evidence from Chinese Manufacturing Firms[J].Canadian Journal of Economics,2016,49(3):1086-1124.
[26]简泽,张涛,伏玉林.进口自由化、竞争与本土企业的全要素生产率---基于中国加入WTO的一个自然实验[J].经济研究,2014,(8):120-132.
[27]Ding,S.,Sun,P.,Jiang,W.The Effect of Import Competition on Firm Productivity and Innovation:Does the Distance to Technology Frontier Matter?[J].Oxford Bulletin of Economics and Statistics,2016,78(2):197-227.
[28]Ding,S.,Jiang,W.,Sun,P.Import Competition,Dynamic Resource Allocation and Productivity Dispersion:Micro-Level Evidence from China[J].Oxford Economic Papers,2016,68(4):994-1015.
[29]Yu,M.Processing Trade,Tariff Reductions and Firm Productivity:Evidence from Chinese Firms[J].Economic Journal,2015,125(585):943-988.
[30]Goldberg,P.K.,Khandelwal,A.K.,Pavcnik,N.,Topalova,P.Trade Liberalization and New Imported Inputs[J].American Economic Review,2009,99(2):494-500.
[31]Damijan,J.P.,Kostevc,C.Learning from Trade through Innovation:Causal Link between Imports,Exports and Innovation in Spanish Microdata[J].Oxford Bulletin of Economics and Statistics,2015,77(3):408-436.
[32]Liu,Q.,Qiu,L.Intermediate Input Imports and Innovations:Evidence from Chinese Firms’Patent Filings[J].Journal of International Economics,2016,103(6):166-183.
[33]张杰.进口对中国制造业企业专利活动的抑制效应研究[J].中国工业经济,2015,(7):68-83.
[34]田巍,余淼杰.中间品贸易自由化和企业研发:基于中国数据的经验分析[J].世界经济,2014,(6):90-112.
[35]Tian,W.,Yu,M.Firm R&D,Processing Trade and Input Trade Liberalization:Evidence from Chinese Firms[J].The World Economy,2015,40(11):297-313.
[36]Chen,Z.,Zhang,J.,Zheng,W.Import and Innovation:Evidence from Chinese firms[J].European Economic Review,2017,94(5):205-220.
[37]Chu,A.,Fan,H.,Shen,G.,Zhang,X.Effects of International Trade and Intellectual Property Rights on Innovation in China[J].Journal of Macroeconomics,2018,57(4):110-121.
[38]De Loecker,J.,Goldberg,P.K.,Khandelwal,A.K.,Pavcnik,N.Prices,Markups,and Trade Reform[J].Econometrica,2016,84(2):445-510.
[39]Fan,H.,Gao,X.,Li,Y.A.,Luong,T.A.Trade Liberalization and Markups:Micro Evidence from China[J].Journal of Comparative Economics,2018,46(1):103-130.
[40]毛其淋,许家云.中间品贸易自由化提高了企业加成率吗?---来自中国的证据[J].经济学(季刊),2017,16(2):485-524.
[41]黄先海,诸竹君,宋学印.中国中间品进口企业“低加成率之谜”[J].管理世界,2016,(7):23-35.
[42]钱学锋,范冬梅,黄汉民.进口竞争与中国制造业企业的成本加成[J].世界经济,2016,(3):71-94.
[43]田巍,余淼杰.企业出口强度与进口中间品贸易自由化:来自中国企业的实证研究[J].管理世界,2013,(1):28-44.
[44]Feng,L.,Li,Z.,Swenson,D.L.The Connection between Imported Intermediate Inputs and Exports:Evidence from Chinese Firms[J].Journal of International Economics,2016,101(4):86-101.
[45]张杰,郑文平,陈志远,王雨剑.进口是否引致了出口:中国出口奇迹的微观解读[J].世界经济,2014,(6):3-26.
[46]Kugler,M.,Verhoogen,E.Prices,Plant Size and Product Quality[J].Review of Economic Studies,2012,79(1):307-339.
[47]Amiti,M.,Khandelwal,A.K.Import Competition and Quality Upgrading[J].Review of Economics and Statistics,2013,95(2):476-490.
[48]Bas,M.,Strauss-Kahn,V.Input-Trade Liberalization,Export Prices and Quality Upgrading[J].Journal of International Economics,2015,95(2):250-262.
[49]Fan,H.,Li,Y.A.,Yeaple,S.R.Trade Liberalization,Quality,and Export Prices[J].The Review of E-conomics and Statistics,2015,97(5):1033-1051.
[50]Fan,H.,Li,Y.A.,Yeaple,S.R.On the Relationship between Quality and Productivity:Evidence from China’s Accession to the WTO[J].Journal of International Economics,2018,110(1):28-49.
[51]许家云,毛其淋,胡鞍钢.中间品进口与企业出口产品质量升级:基于中国证据的研究[J].世界经济,2017,(3):52-75.
[52]余淼杰,李乐融.贸易自由化与进口中间品质量升级---来自中国海关产品层面的证据[J].经济学(季刊),2016,15(3):1011-1028.
[53]施炳展,张雅睿.贸易自由化与中国企业进口中间品质量升级[J].数量经济技术经济研究,2016,(9):3-21.
[54]陈雯,苗双有.中间品贸易自由化与中国制造业企业生产技术选择[J].经济研究,2016,(8):72-85.
[55]盛斌,毛其淋.进口贸易自由化是否影响了中国制造业出口技术复杂度[J].世界经济,2017,(12):52-75.
[56]Krugman,P.R.Increasing Returns,Monopolistic Competition,and International Trade[J].Journal of International Economics,1979,9(4):469-479.
[57]Krugman,P.R.Scale Economies,Product Differentiation,and the Pattern of Trade[J].American Economic Review,1980,70(5):950-959.
[58]Feenstra,R.New Product Varieties and the Measurement of International Prices[J].American Economic Review,1994,84(1):157-177.
[59]Broda,C.,Weinstein,D.Globalization and the Gains from Variety[J].Quarterly Journal of Economics,2006,121(2):541-585.
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