【作者】 徐宁；

【导师】 朱卫平；

【作者基本信息】 暨南大学 ， 经济学，产业经济学， 2020， 硕士

【摘要】 随着近年来西方国家贸易保护主义日渐抬头,以技术性贸易壁垒(TBT)为主的贸易保护措施比关税壁垒往往具有更强的针对性,对国内企业的创新效率和产出绩效将产生实质性影响。本文首先从研发成本效应、出口学习效应和贸易促进效应系统梳理了技术性贸易壁垒对国内企业技术创新的作用机制;然后,基于2001-2011年工业企业和海关企业的微观匹配数据,采用PSM-DID方法实证考察了美国实施技术性贸易壁垒对我国出口企业技术创新的平均效应;最后,鉴于企业股权结构、行业属性以及地区归属的异质性特征,本文还进一步构建异质性DID模型分析了美国技术性贸易壁垒对国内企业技术创新的异质性影响。本文的基本结论在于,美国TBT的实施对我国企业技术创新产生显著的抑制效应,即TBT的实施通过增加企业自主研发成本和降低技术溢出而弱化国内企业的创新动机。通过平行趋势检验、安慰剂检验以及变换控制组等一系列稳健性检验,基准结果依然稳健。在此基础上,本文通过“分样本回归”和“三重差分法”的异质性分析发现,东部沿海发达地区企业创新受到美国TBT负面影响显著且远高于非东部沿海发达地区企业的负面影响;除了国有集体企业创新受到美国TBT负面影响显著外,私营企业和外资企业都不受美国TBT显著影响;知识密集型企业创新受到美国TBT负面影响显著,而劳动密集型企业和资本密集型企业受美国TBT影响不显著;盈利水平较高的企业在遭到技术性贸易壁垒后的技术创新水平也相对较高;而出口规模较高的企业在遭到技术性贸易壁垒后的技术创新水平相对较低。结合上述研究结论,本文的政策启示在于,各级政府应不断完善贸易技术法规和知识产权保护,避免国家间不合理和不必要的贸易壁垒措施;企业应当加强自主研发能力,避免对国外技术的过度依赖。更多还原

【Abstract】 As trade protectionism in Western countries has risen in recent years,trade protection measures based on technical barriers to trade(TBT)tend to be more targeted than tariff barriers,which will have a substantial impact on the innovation efficiency and output performance of domestic enterprises.This paper firstly systematically sorts out the mechanism of technical trade barriers on domestic enterprises’ technological innovation from the research and development cost effect,export learning effect and trade promotion effect system.Then,based on the micro-matching data of industrial enterprises and customs enterprises from 2001 to 2011,this paper uses PSM-DID method empirically examines the average effect of the implementation of TBT in the United States on the technological innovation of China’s export enterprises.Finally,in view of the heterogeneous characteristics of corporate equity structure,industry attributes and regional attribution,this paper further constructs a heterogeneous DID model to analyze the heterogeneous impact of TBT on technology innovation of domestic enterprises.The basic conclusion of this article is that the implementation of TBT in the United States has a significant inhibitory effect on the technological innovation of Chinese enterprises.That is,the implementation of TBT weakens the innovation motivation of domestic enterprises by increasing the independent research and development costs of enterprises and reducing technology spillovers.Through a series of robustness tests such as the parallel trend test,placebo test,and shift control group,the benchmark results are still robust.On this basis,through the heterogeneity analysis of "sub-sample regression" and "triple difference method",this paper finds that the innovation of enterprises in developed coastal regions in the east is significantly negatively affected by TBT in the United States and is much higher than that of non-developed coastal regions.In addition to the significant negative impact of TBT innovation on stateowned collective enterprises,private companies and foreign-funded enterprises are not significantly affected by TBT in the United States.The innovation of knowledgeintensive enterprises is significantly affected by the US TBT,while the labor-intensive and capital-intensive enterprises are not significantly affected by the US TBT.Enterprises with higher profitability have a relatively higher level of technological innovation after encountering technical barriers to trade.companies with higher export scale have a relatively lower level of technological innovation after encountering technical barriers to trade.Combining the above research conclusions,the policy enlightenment of this article is that governments at all levels should continuously improve trade technology regulations and intellectual property protection to avoid unreasonable and unnecessary trade barriers between countries.Enterprises should strengthen independent research and development capabilities to avoid Over-reliance.更多还原