长沙市扩大对外开放的研究与思考
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摘要
改革开放20多年的实践昭示我们，任何一个地区，要想实现经济社会快速发展，要迅速提升国家或地区的综合竞争力，不断改善人民的物质和文化生活水平，都必须坚持改革开放，不断扩大对外开放的层次和水平。长沙，作为一个中部内陆省会城市，面对21世纪国内外经济进一步开放的大趋势，提高对外开放水平、发展开放型经济是应对全球化趋势，充分利用当前良好机遇的必然选择。
对对外开放的深入研究，是长沙市进一步扩大对外开放的内在要求。本文先从理论与实践上分析对外开放对经济增长的巨大促进作用，然后通过对对外开放含义的诠释，来寻求评价一个国家或地区的对外开放水平的标准。本文逐一分析了与对外开放程度相关的多项指标，最终选择了商品贸易开放进口比率、商品贸易开放出口比率、服务贸易开放比率、利用内资比率、利用外资比率和政策环境这六个主要的指标。对这六个指标采用加权平均的方法，并运用层次分析法来确定各指标的权重，设计出了一套对外开放评价指标体系。为了验证该指标体系的适用性和准确性，本文对长沙市和全国六个重要城市的对外开放水平进行了测算，并将测算的结果与世界银行和国家信息中心的报告《政府治理、投资环境与和谐社会——中国120个城市竞争力的提升》的相关内容进行比较，结果证明该指标体系具有一定程度的科学合理性。
城市对外开放的目的是为了促进经济的增长和城市化的发展，本文将理论上分析的结论应用到具体的长沙市的发展上来，依据设计出的对外开放测评指标，认真分析了长沙市对外开放的特点、存在的问题，并对长沙市对外开放环境的优势、劣势与全国发达城市进行对比分析，最后提出了长沙市扩大对外开放的具体对策与建议，以此为实现“中部崛起”献计献策。
The practice of over 20 years' opening-up of China gives us an idea that opening-up is necessary to countries or areas which want to develop their economy rapidly or to promote their integrate competition or to improve people's standard of living. As a provincial capital city of midland China, Changsha must face the currency and get hold of the opportunity of domestic and overseas opening-up in the 21st century.
Studying on opening-up is essential to expand the opening-up of Changsha. In this article, we firstly analyze its main function to economy development, then we interpret the word of opening-up, so as to find some standards of evaluating the level of opening-up. Many indexes are analyzed, but only six of them are selected, which are the ratio of commodity import, the ratio of commodity export, the ratio of service trade, the ratio of using inner capital, the ratio of using foreign capital and the policy environment. We work out a set of index system of evaluating the opening-up by the weighted mean of the six indexes, and each weighing of the index is determined by using the method of Analytic Hierarchy Process. In order to validate the applicability and veracity of the system, we calculate the opening-up level of some important cities in China. The result is consistent to the report of World Bank and National Information Center about "Government fathering, investment environment and harmonious society——upgrading the competition of 120 cities in China". This proved that the index system is scientific and rational in some degrees.
The purpose of city opening-up is to promote economy increasing and the urban development. We apply the result to analyze Changsha's characteristics and problems, so as to bring forward some countermeasures for and advice to Changsha's forward opening-up, and even to give some advice for Middle Part Growing-up.
对对外开放的深入研究，是长沙市进一步扩大对外开放的内在要求。本文先从理论与实践上分析对外开放对经济增长的巨大促进作用，然后通过对对外开放含义的诠释，来寻求评价一个国家或地区的对外开放水平的标准。本文逐一分析了与对外开放程度相关的多项指标，最终选择了商品贸易开放进口比率、商品贸易开放出口比率、服务贸易开放比率、利用内资比率、利用外资比率和政策环境这六个主要的指标。对这六个指标采用加权平均的方法，并运用层次分析法来确定各指标的权重，设计出了一套对外开放评价指标体系。为了验证该指标体系的适用性和准确性，本文对长沙市和全国六个重要城市的对外开放水平进行了测算，并将测算的结果与世界银行和国家信息中心的报告《政府治理、投资环境与和谐社会——中国120个城市竞争力的提升》的相关内容进行比较，结果证明该指标体系具有一定程度的科学合理性。
城市对外开放的目的是为了促进经济的增长和城市化的发展，本文将理论上分析的结论应用到具体的长沙市的发展上来，依据设计出的对外开放测评指标，认真分析了长沙市对外开放的特点、存在的问题，并对长沙市对外开放环境的优势、劣势与全国发达城市进行对比分析，最后提出了长沙市扩大对外开放的具体对策与建议，以此为实现“中部崛起”献计献策。
The practice of over 20 years' opening-up of China gives us an idea that opening-up is necessary to countries or areas which want to develop their economy rapidly or to promote their integrate competition or to improve people's standard of living. As a provincial capital city of midland China, Changsha must face the currency and get hold of the opportunity of domestic and overseas opening-up in the 21st century.
Studying on opening-up is essential to expand the opening-up of Changsha. In this article, we firstly analyze its main function to economy development, then we interpret the word of opening-up, so as to find some standards of evaluating the level of opening-up. Many indexes are analyzed, but only six of them are selected, which are the ratio of commodity import, the ratio of commodity export, the ratio of service trade, the ratio of using inner capital, the ratio of using foreign capital and the policy environment. We work out a set of index system of evaluating the opening-up by the weighted mean of the six indexes, and each weighing of the index is determined by using the method of Analytic Hierarchy Process. In order to validate the applicability and veracity of the system, we calculate the opening-up level of some important cities in China. The result is consistent to the report of World Bank and National Information Center about "Government fathering, investment environment and harmonious society——upgrading the competition of 120 cities in China". This proved that the index system is scientific and rational in some degrees.
The purpose of city opening-up is to promote economy increasing and the urban development. We apply the result to analyze Changsha's characteristics and problems, so as to bring forward some countermeasures for and advice to Changsha's forward opening-up, and even to give some advice for Middle Part Growing-up.
引文
[1] Edwards. Trade policy, Growth, and Income Inequality. American Economic Review Papers and Proceedings, 1998, 87(2): 331-366
[2] Diana Weinhold and James E. Rauch. Openness, Specialization and Productivity Growth in Less Developed Countries. NBER Working Papers. 1997, No. 6131
[3] Cameron, G., Proudman J. and Redding, J. Openness and Its Association with Productivity Growth in UK Manufacturing Industry. Bank of England Working Papers. 1999, No. 104
[4] 何枫，陈荣．经济开放度对中国经济效率的影响：基于跨省数据的实证分析．数量经济技术经济研究，2004(3)：18-24
[5] 包群，赖明勇．FDI技术外溢的动态测算及原因解释．统计研究，2003(6)：33-38
[6] Falvey R. et al. Exports, Knowledge Spillovers and Growth. Economic Letters. 2004, (85): 209-213
[7] Aitken, Brian J., Hanson Gordon H. and Harrison, Ann E. Spillovers, Foreign Investment, and Export Behavior. NBER Working Paper. 1994, No. 4967
[8] Clerides, Sofronis, Saul Lach and James Tybout. Is Learning-by-Exporting Important? Working Paper. 1996; No. 5715.
[9] Bernard Andrew B. and Joachim Wagner. Export Entry and Exit by Working Paper. 1998, No. 6538. Firms. NBER
[10] Ricardo A. L'opez. Department of Economics, Self-Selection into the Export Markets: A Conscious Decision? Indiana University; 2004
[11] Jens Matthias Arnold and Katrin Hussinger. Export Behavior and Firm Productivity inGerman Manufacturing A Firm-level Analysis. Economies Working Paper Archive at WUSTL. 2004, No. 0403007
[12] Kraay, A. Exports and Economic Performance: Evidence from a Panel of Chinese Enterprises. Mimeo, Development Research Group. The World Bank, 1997
[13] Johannes Van Biesebroeck. Exporting Raises Productivity in Sub-Saharan African Manufacturing Plants. NBER Working Paper. 2003, No. 10020
[14] 何洁．外国直接投资对中国工业部门外溢效应的进一步精确量化．世界经济．2000，(12)：29-36
[15] 沈坤荣，耿强．外商直接投资、技术外溢与内生经济增长．中国社会科学．2001，(5)
[16] 潘文卿．外商投资对中国工业部门的外溢效应：基于而板数据的分析．世界经济，2003(6)：3-7
[17] 张建华等．外商直接投资、技术外溢与经济增长—对广东数据的实证分析．经济学(季刊)．2003，2(3)：647-666
[18] Dollars, D. Outward-oriented Developing Economies Really Do Grow More Rapidly: Evidence From 95 LDCs, 1976-1985. Economic Development and Cultural Change. 1992: 523-544
[19] Sachs, J., and A. Warner. Economic Reform and the Process of Global Integration. Brookings Papers of Economic Activity. 1995, (1): 1-18
[20] Learner, E. Measuring of Openness. in R. Baldwin(ed) Trade Policy and Empirical Analysis. Chicago: University of Chicago Press, 1988
[21] Harrison, A. Openness and Growth: A Time series, Cross-country Analysis for Developing Countries. Journal of Development Economics. 1996, 48 (2): 419-447
[22] Patrick, L., Marcelo O. and S. Javier. Does Globalization Cause a Higher Concentration of International Trade and Investment Flow? WTO Working Paper. August, 1998
[23] 黄德发．对广东开放水平的测度与研判．统计与预测．2000，(5)：5-9
[24] 吴园一．中国经济开放度选择及指标体系．财经研究．1998，(1)：21-25
[25] 刘朝明，韦海鸣．对外开放的度量方法与模型分析．财经科学．2001，(2)：34-36
[26] Clerides, Sofronis, Saul Lach and James Tybout. Is Learning-by-Exporting Important? Working Paper. 1996, No. 5715
[27] Bernard Andrew B. and J. Bradford Jensen. Exceptional Exporter Performance: Cause, Effector Both? NBER Working Paper. 1997, No. 6272
[28] Bernard Andrew B. and J. Bradford Jensen. Exporting and Productivity. NBER WorkingPaper. 1999, No. 7135
[29] Joachim Exports and Productivity: A Survey of the Evidence from Firm Level Data. University of Luneburg Working Paper Series in Economics. 2005, No. 4
[30] Aw, B. Y, Chung, S. and Roberts, M. J. Productivity and the Decision to Export: Micro Evidence from Taiwan and South Korea. NBER Working Paper. 1998, No. 6558
[31] Aw, B. Y., Chung, S. and Roberts, M. J. Productivity and Turnover in the Export Market: Micro-Level Evidence from the Republic of Korea and Taiwan (China). World Bank Economic Review. 1999, 14(1): 65-90
[32] Falvey R. et al. Exports, Knowledge Spillovers and Growth. Economic Letters. 2004, 85; 209-213
[33] Pamina Koenig. Agglomeration and the Export Decision of French Firms. www.adres.polytechnique.fr/JD/pdf/Koenig.pdf. 2004
[34] Coe, D. T. and Helpman, E. International R&D Spillovers. European Economic Review. 1995, 39(5): 859-887
[35] Park, W International R&D Spillovers and OECD Economic Economic Inquiry. 1995, 23: 571-591
[36] Coe, D. T, Helpman, E. and Hoffmeister. North-South R&D Spillovers. Economic Journal. 1997, 107 (January): 134-149
[37] Keller W Do Trade Patterns and Technology Flows Economic Review. Productivity Growth. World Bank. 2000, 14 (1): 17-47
[38] Martin-Marcos A. and J. Jaumandreu. Entry, Exit and Productivity Growth: Spanish Manufacturing During the Eighties. Spanish Economic Review. 2004, (6): 211-226
[39] Cohen W and D. Levinthal. Innovation and Learning: The Two Faces of R&D. Economic Journal. 1989, 569-596
[40] 赖明勇等．经济增长的源泉：人力资本、研究开放与技术外溢．中国社会科学．2005，(2)：32-460
[41] 李小平等．国际贸易的技术溢出门槛效应—基于中国各地区面板数据的分析，统计研究．2004，(10)：27-320
[42] Grossman, C M., and E. Helpman. Innovation and Growth in the World Economy. Cambridge MA; MTT Press, 1991
[43] Blomstrom, M. and A. kokko. Multinational Corporations and Spillovers. Journal of Economic Surveys. 1998, 12(2): 247-277
[44] Findlay, R. Relative Backwardness, Direct Foreign Investment and The Transfer of Technology: A Simple Dynamic Model. Quarterly Journal of Economics. 1978, 92(1): 1-6
[45] Lichtenberg, F. and Pottelsberghe de la Potterie. International R&D Spillovers: A Re-examination. NBER Working Paper. 1996, No. 5688
[46] Xu, B. Multinational Enterprises, Technology Diffusion, and Host Country Productivity Growth. Journal of Development Economics. 2000, 62: 477-493
[47] Beata Smarzynska Javorcik. Does Foreign Direct Investment Increase the Productivity of Domestic Firms? In Search of Spillovers Through Backward Linkages. American Economic Review. 2004, 94(3): 605-627
[48] Borensztein E., J. D. and J. W Lee. How Does Foreign Direct Investment Economic Growth?, Journal of International Economics. 1997, 45 (1): 115-135
[49] Blomstrom, M. and E. Wolff. Multinational Corporation and Productivity Convergence in Mexico. In W. R. Nelson and E. Wolff (Eds.), vergence of Productivity: Cross-national Studies and Historical Evidence: York; Oxford. University Press, 1994: 243-59
[50] Haddad, M. and A. Harrison. Are There Positive Spillovers from Direct Foreign Investment? Evidence from Panel data for Morocco. Journal of Development Economics. 1993, 42 (1): 51-74
[51] Aitken, Brian J. and Harrison, Ann E. Do Domestic Firms Benefit from Direct Foreign Investment? Evidence from Venezuela. American Economics Review June 1999, 89(3): 605-618
[52] Konings, J. The Effect of Foreign Direct Investment on Domestic Firms: Evidence from Firm-level Panel Data in Emerging Economies. Economics of Transition. 2001, 9(3): 619-633.
[53] 张海洋，刘海云．外资溢出效应与竞争效应对中国工业部门的影响．国际贸易问题．2004，(3)：76-81
[54] 张海洋．中国工业部门R&D吸收能力与外资技术扩散，管理世界．2005，(6)：82-88
[55] 于淼等译，安德森等著．数据、模型与决策(第10版)．机械工业出版社．2003：525-527
[56] 王莲芬，许树柏．层次分析法引论．北京：中国人民大学出版社．1989：233
[2] Diana Weinhold and James E. Rauch. Openness, Specialization and Productivity Growth in Less Developed Countries. NBER Working Papers. 1997, No. 6131
[3] Cameron, G., Proudman J. and Redding, J. Openness and Its Association with Productivity Growth in UK Manufacturing Industry. Bank of England Working Papers. 1999, No. 104
[4] 何枫，陈荣．经济开放度对中国经济效率的影响：基于跨省数据的实证分析．数量经济技术经济研究，2004(3)：18-24
[5] 包群，赖明勇．FDI技术外溢的动态测算及原因解释．统计研究，2003(6)：33-38
[6] Falvey R. et al. Exports, Knowledge Spillovers and Growth. Economic Letters. 2004, (85): 209-213
[7] Aitken, Brian J., Hanson Gordon H. and Harrison, Ann E. Spillovers, Foreign Investment, and Export Behavior. NBER Working Paper. 1994, No. 4967
[8] Clerides, Sofronis, Saul Lach and James Tybout. Is Learning-by-Exporting Important? Working Paper. 1996; No. 5715.
[9] Bernard Andrew B. and Joachim Wagner. Export Entry and Exit by Working Paper. 1998, No. 6538. Firms. NBER
[10] Ricardo A. L'opez. Department of Economics, Self-Selection into the Export Markets: A Conscious Decision? Indiana University; 2004
[11] Jens Matthias Arnold and Katrin Hussinger. Export Behavior and Firm Productivity inGerman Manufacturing A Firm-level Analysis. Economies Working Paper Archive at WUSTL. 2004, No. 0403007
[12] Kraay, A. Exports and Economic Performance: Evidence from a Panel of Chinese Enterprises. Mimeo, Development Research Group. The World Bank, 1997
[13] Johannes Van Biesebroeck. Exporting Raises Productivity in Sub-Saharan African Manufacturing Plants. NBER Working Paper. 2003, No. 10020
[14] 何洁．外国直接投资对中国工业部门外溢效应的进一步精确量化．世界经济．2000，(12)：29-36
[15] 沈坤荣，耿强．外商直接投资、技术外溢与内生经济增长．中国社会科学．2001，(5)
[16] 潘文卿．外商投资对中国工业部门的外溢效应：基于而板数据的分析．世界经济，2003(6)：3-7
[17] 张建华等．外商直接投资、技术外溢与经济增长—对广东数据的实证分析．经济学(季刊)．2003，2(3)：647-666
[18] Dollars, D. Outward-oriented Developing Economies Really Do Grow More Rapidly: Evidence From 95 LDCs, 1976-1985. Economic Development and Cultural Change. 1992: 523-544
[19] Sachs, J., and A. Warner. Economic Reform and the Process of Global Integration. Brookings Papers of Economic Activity. 1995, (1): 1-18
[20] Learner, E. Measuring of Openness. in R. Baldwin(ed) Trade Policy and Empirical Analysis. Chicago: University of Chicago Press, 1988
[21] Harrison, A. Openness and Growth: A Time series, Cross-country Analysis for Developing Countries. Journal of Development Economics. 1996, 48 (2): 419-447
[22] Patrick, L., Marcelo O. and S. Javier. Does Globalization Cause a Higher Concentration of International Trade and Investment Flow? WTO Working Paper. August, 1998
[23] 黄德发．对广东开放水平的测度与研判．统计与预测．2000，(5)：5-9
[24] 吴园一．中国经济开放度选择及指标体系．财经研究．1998，(1)：21-25
[25] 刘朝明，韦海鸣．对外开放的度量方法与模型分析．财经科学．2001，(2)：34-36
[26] Clerides, Sofronis, Saul Lach and James Tybout. Is Learning-by-Exporting Important? Working Paper. 1996, No. 5715
[27] Bernard Andrew B. and J. Bradford Jensen. Exceptional Exporter Performance: Cause, Effector Both? NBER Working Paper. 1997, No. 6272
[28] Bernard Andrew B. and J. Bradford Jensen. Exporting and Productivity. NBER WorkingPaper. 1999, No. 7135
[29] Joachim Exports and Productivity: A Survey of the Evidence from Firm Level Data. University of Luneburg Working Paper Series in Economics. 2005, No. 4
[30] Aw, B. Y, Chung, S. and Roberts, M. J. Productivity and the Decision to Export: Micro Evidence from Taiwan and South Korea. NBER Working Paper. 1998, No. 6558
[31] Aw, B. Y., Chung, S. and Roberts, M. J. Productivity and Turnover in the Export Market: Micro-Level Evidence from the Republic of Korea and Taiwan (China). World Bank Economic Review. 1999, 14(1): 65-90
[32] Falvey R. et al. Exports, Knowledge Spillovers and Growth. Economic Letters. 2004, 85; 209-213
[33] Pamina Koenig. Agglomeration and the Export Decision of French Firms. www.adres.polytechnique.fr/JD/pdf/Koenig.pdf. 2004
[34] Coe, D. T. and Helpman, E. International R&D Spillovers. European Economic Review. 1995, 39(5): 859-887
[35] Park, W International R&D Spillovers and OECD Economic Economic Inquiry. 1995, 23: 571-591
[36] Coe, D. T, Helpman, E. and Hoffmeister. North-South R&D Spillovers. Economic Journal. 1997, 107 (January): 134-149
[37] Keller W Do Trade Patterns and Technology Flows Economic Review. Productivity Growth. World Bank. 2000, 14 (1): 17-47
[38] Martin-Marcos A. and J. Jaumandreu. Entry, Exit and Productivity Growth: Spanish Manufacturing During the Eighties. Spanish Economic Review. 2004, (6): 211-226
[39] Cohen W and D. Levinthal. Innovation and Learning: The Two Faces of R&D. Economic Journal. 1989, 569-596
[40] 赖明勇等．经济增长的源泉：人力资本、研究开放与技术外溢．中国社会科学．2005，(2)：32-460
[41] 李小平等．国际贸易的技术溢出门槛效应—基于中国各地区面板数据的分析，统计研究．2004，(10)：27-320
[42] Grossman, C M., and E. Helpman. Innovation and Growth in the World Economy. Cambridge MA; MTT Press, 1991
[43] Blomstrom, M. and A. kokko. Multinational Corporations and Spillovers. Journal of Economic Surveys. 1998, 12(2): 247-277
[44] Findlay, R. Relative Backwardness, Direct Foreign Investment and The Transfer of Technology: A Simple Dynamic Model. Quarterly Journal of Economics. 1978, 92(1): 1-6
[45] Lichtenberg, F. and Pottelsberghe de la Potterie. International R&D Spillovers: A Re-examination. NBER Working Paper. 1996, No. 5688
[46] Xu, B. Multinational Enterprises, Technology Diffusion, and Host Country Productivity Growth. Journal of Development Economics. 2000, 62: 477-493
[47] Beata Smarzynska Javorcik. Does Foreign Direct Investment Increase the Productivity of Domestic Firms? In Search of Spillovers Through Backward Linkages. American Economic Review. 2004, 94(3): 605-627
[48] Borensztein E., J. D. and J. W Lee. How Does Foreign Direct Investment Economic Growth?, Journal of International Economics. 1997, 45 (1): 115-135
[49] Blomstrom, M. and E. Wolff. Multinational Corporation and Productivity Convergence in Mexico. In W. R. Nelson and E. Wolff (Eds.), vergence of Productivity: Cross-national Studies and Historical Evidence: York; Oxford. University Press, 1994: 243-59
[50] Haddad, M. and A. Harrison. Are There Positive Spillovers from Direct Foreign Investment? Evidence from Panel data for Morocco. Journal of Development Economics. 1993, 42 (1): 51-74
[51] Aitken, Brian J. and Harrison, Ann E. Do Domestic Firms Benefit from Direct Foreign Investment? Evidence from Venezuela. American Economics Review June 1999, 89(3): 605-618
[52] Konings, J. The Effect of Foreign Direct Investment on Domestic Firms: Evidence from Firm-level Panel Data in Emerging Economies. Economics of Transition. 2001, 9(3): 619-633.
[53] 张海洋，刘海云．外资溢出效应与竞争效应对中国工业部门的影响．国际贸易问题．2004，(3)：76-81
[54] 张海洋．中国工业部门R&D吸收能力与外资技术扩散，管理世界．2005，(6)：82-88
[55] 于淼等译，安德森等著．数据、模型与决策(第10版)．机械工业出版社．2003：525-527
[56] 王莲芬，许树柏．层次分析法引论．北京：中国人民大学出版社．1989：233