本論文應用策略性貿易理論的觀點，分別探討三個獨立的研究主題：各國關稅結構中普遍存在的「關稅調升」現象、外銷比例政策與外籍廠商技術選擇的關係、及關稅與配額政策對於外籍廠商技術授權決策的影響。

壹、 關稅調升與連續性壟斷

「關稅調升」為世界上大部分國家關稅結構中普遍存在的現象，惟這種現象的理論探討卻十分匱乏。因此，本章的目的即在補充「關稅調升」成因的理論探討。藉由連續性壟斷產業模型的建立，我們的研究顯示：政府若對下游進口產品課徵關稅，此一關稅除了具備新貿易政策理論所稱之「利潤萃取」效果之外，尚具備萃取外國生產上游產品廠商部份獨佔利潤的功能，我們稱此為下游產品關稅的「垂直」效果。在連續性壟斷產業的架構之下，隨著生產階段的遞增，下游產品關稅能夠萃取這些上游獨佔利潤的外國廠商家數亦將增加，「關稅調升」現象因而產生。因此，本章發現關稅之「利潤萃取」效果與「垂直」效果的聯合作用是造成關稅調升現象的重要因素。

貳、 外銷比例政策與技術選擇

在實務上，外銷比例政策常為開發中國家對於多國籍廠商在其國內設廠營運時的一項管制措施。在台灣的發展經驗中，外銷比例政策亦常被政府的財經官員認為具有移轉外國優越技術的有效政策工具，其理由乃在於藉由對多國籍廠商內銷比例的管制，誘使其提升在台的生產技術以面對高度競爭性的國際市場，並同時讓本國廠商透過技術擴散或技術移轉的方式獲得多國籍廠商的技術水準。

本章的目的在於探討外銷比例政策是否真能達到提升外籍廠商技術水準的效果。本章的研究結果發現：在外籍廠商獨占本國市場的情況下，除非政府允諾給於外籍廠商高度比例的內銷市場，否則外銷比例政策非但不會促使外籍廠商選擇較為優良的技術，反而會導致其採取較劣等的技術。另一方面，當本國市場有本國廠商參與競爭時，外銷比例對於外籍廠商技術水準的選擇除了受到前述比例值高低之影響外，也受到市場策略性競爭效果的影響。當本國市場的需求函數為線形時，市場競爭的策略性效果會使得外籍廠商在面對外銷比例的管制增加時會選擇較差之技術。因此，一般而言，外銷比例政策並無法確保外籍廠商會使用較為先進之技術水準。

參、 外籍廠商技術授權：關稅與配額政策的比較

貿易保護政策的實施有可能改變廠商海外市場的營運選擇，譬如改採以技術授權的方式間接進入海外市場，因此地主國的貿易保護政策可以促使該國廠商獲取外籍廠商先進技術的授權。

本章的研究乃在於提供貿易保護政策與國際間授權技術選擇關係的理論分析。藉由比較不同的貿易政策對於對於多國籍廠商市場進入方式與授權技術選擇的影響，本章發現對應於一特定之關稅稅率，等量配額政策在市場需求曲線為凹性（凸性）的情況下，將比關稅政策更易於（更不易於）誘使外國廠商授權先進的技術給本國廠商；而當市場需求曲線為線性的情況下，關稅政策與等量配額政策對於外籍廠商授權技術水準的影響是完全相同的。然而，若本國採取的是等率配額政策，則不論其對應之關稅稅率為何，外籍廠商在等率配額限制之下一定會授權給本國廠商最先進之技術。

第一章 緒論 1

第二章 關稅調升與連續性壟斷 6

第一節 本章前言 6

第二節 基本模型 11

（1） 最終財貨關稅 13

（2） 原物料關稅 20

第三節 關稅調升現象 23

第四節 n層次加工產業下的關稅結構 32

第五節 本章結語 35

附錄 37

第三章 外銷比例政策與技術選擇 39

第一節 本章前言 39

第二節 外籍廠商獨佔下的技術選擇 42

第三節 寡占下的外籍廠商技術選擇 48

第四節 本章結語 54

附 錄 56

第四章 外籍廠商技術授權：關稅與配額政策的比較 58

第一節 本章前言 58

第二節 基本模型 61

第三節 外籍廠商在關稅政策下的授權技術選擇 62

第四節 外籍廠商在等量配額政策下的授權技術選擇 70

第五節 外籍廠商在等率配額政策下的授權技術選擇 78

第六節 範例說明 82

第七節 本章結語 86

第五章 結論 87

參考文獻 89

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