【作者】 林在进；

【导师】 邓伟根；

【作者基本信息】 暨南大学 ， 产业经济学， 2013， 博士

【副题名】基于中国工业企业诱致性技术变迁及其影响的实证研究

【摘要】 由于要素市场改革的相对滞后，中国经济结构同其要素禀赋结构之间的矛盾日益突显。其中比较突出的便是中国这样劳动力资源总体过剩的国家，其制造业却在快速地资本深化，并存在二元资本深化现象。这虽引起国内学者们的关注，但缺乏对其动因及其趋势的实证研究。因此，本文基于诱致性技术变迁视角来解释这种有悖于要素禀赋条件的资本深化现象及其对经济的影响，并分析这种基于要素市场扭曲原因诱致的资本深化正反馈效应即自我强化现象的存在性。本文围绕三个核心问题展开，包括：（1）要素市场扭曲与资本深化动因机制；（2）诱致性资本深化过程的正（负）反馈作用，即自我强化（弱化）机制；（3）要素市场扭曲诱致的资本深化对经济的影响。本文认为企业的资本深化是企业偏资本技术选择的表现，在完全竞争市场条件下资本深化水平取决于由企业的要素价格和偏向性技术进步。但在市场扭曲条件下，要素价格的“硬约束”条件被软化，进而导致企业偏要素技术选择不再完全基于要素的实际价格比，而是在一定程度上基于要素市场扭曲所带来额外收益比所产生的诱致性作用。同时，企业的要素禀赋条件和技术的路径依赖性使得企业的技术进步也一定的要素偏向性，从而产生了基于技术偏度的内在自我强化作用或弱化作用，即正反馈效应和负反馈效应。另外，这一诱致过程还会对外在的宏观经济，包括产业效率和就业产生影响。在此基础之上，本文在实证部分运用中国工业企业样本对资本深化与要素市场扭曲的关系和影响进行了实证研究，得出的实证结果说明了：我国资本与劳动力市场均存在负向扭曲，其中不同所有制企业有不同的扭曲水平，并且资本市场的扭曲比要远高于劳动力场的扭曲比，这为诱发我国二元资本深化和过快资本深化提供了必要条件；我国要素市场扭曲对我国资本深化过程产生了显著的诱致性作用，而且这一诱致性过程产生了效应损失和抑制就业等影响。我国各种所有制类型的工业企业总体来说均产生了有偏于资本的技术进步，即要素市场诱致性技术变迁所产生的资本深化过程存在正反馈机制，即存在资本深化的自我强化现象。更多还原

【Abstract】 Due to the comparatively slow factor market reform, the contradiction betweeneconomic structure and factor endowment structure is increasingly conspicuous. Oneof that, manufacturing industry of China is in rapid capital deepening and binarycapital deepening with the under the background of overall surplus labor resources, isvery prominent among them. This kind of phenomenon has become a hot topic foracademic research, but the insufficient research of the dynamic mechanism and theeffect is a limitation in this area. So, this paper aims to investigate the reason of rapidcapital deepening and binary capital deepening base on theory of induced technicaltransformation, then analysis whether there is positive feedback phenomenon.This part revolves around three core issues, which are:(1) Factor marketdistortions and Incentive mechanism of capital deepening.(2) If there is a Positivefeedback or negative feedback in the induced process?(3) How The induced processof factor market distortions and capital deepening impact on the economy? This paperargues that, capital-deepening is the result of capital-biased technology choices,co-determined by factor prices and biased technological progress facing enterprisesunder perfect-competitive-market conditions. However, in a distorted market, the‘rigid constaints’ on factor prices are softened, so that enterprise’ factor-biasedtechnology choices are based not completely on the real price ratios between factors,but to some extent on the lure of extra gain from the distortion of the factor market.Meanwhile, factor endowment and technological path-dependence has moldedtechnological progress into a factor-biased pattern, thus generating effects of advanceor suppression, i.e. endogenous stability. In addition, this induced process will alsoapply to external macroeconomic, affect the efficiency of industry and employment.On this basis, the empirical part of this paper validate the theory based on industryenterprises in China, the empirical results shows: in both capital prices and laborprices, there is a negative distortion, where the marginal benefit is greater than the marginal cost, with the distortion ratio in the capital sector being higher, providing thenecessary condition for the development of capital-deepening in China. Then, provedthat the induced effect of factor market distortions is existent, and the induced processproduced the efficiency loss and inhibition of job growth. The result also proves thepositive feedback effect of technology choices as a responses to the ‘soft constraints’imposed by factor-market distortion, by showing the capital-biasedness of technologychoices of Chinese industrial enterprises of various ownership types.更多还原