【作者】 文雁兵；

【导师】 张旭昆；

【作者基本信息】 浙江大学 ， 西方经济学， 2014， 博士

【摘要】 发展是在特定时空环境和社会结构下发生的政治、社会和经济互动过程,大国如何形成有效的治理结构和构建适宜的治理模式是经济学需要回答的问题。中国经济改革迄今为止基本上延续了改革之前户籍制度的城乡分割、财税制度的经济分权和社会网络的关系纽带几个特征,这些政治、经济和社会结构在经济发展的早期对于资本积累、技术创新、市场激励和合约履行有一定的积极作用,但同时也带来了诸多发展代价,如城乡间、区域间和人际间的收入和公共服务差距的扩大,以及与此相关的经济结构的失衡和社会福利的扭曲。这些问题这使得当代中国的经济持续增长和社会和谐发展面临着巨大的挑战。我们未来需要什么样的大国治理模式呢?这种治理模式具有怎样的运行机制呢?是否具有一般性规则和借鉴意义呢?本文试图从政府生产性、发展性和包容性特征出发和聚焦其行为逻辑、治理模式与经济绩效对上述问题进行研究,一方面在国家理论下能够厘清不同经济转型过程中政府治理功能发展的脉络,以及总结出在经济社发展过程中所具有的作用差异、作用边界和作用大小,另一方面,能够基于中国经济发展的事实和已有的发展理论、增长理论和国家理论,深入剖析经济发展中适宜制度和政府治理的作用,构建包容型政府的理论框架,并对未来可能的改革路径进行展望,以期能够对中国可能走上的包容性增长道路具有一定启发意义。本文在构建包容型政府理论框架和对包容型政府行为及其绩效分析的基础上,强调适宜制度(专利制度、财政分权制度和收入分配制度)和政府干预(政府行为、政府规模和政府效率)发挥政府治理包容的作用,通过经济增长(利用物质资本、人力资本、技术进步实现)和成果分享(通过体现效率的初次分配、体现公平的二次分配)发挥经济增长包容的作用,通过社会流动(如通过代际流动和收入流动)和社会包容(如户籍改革如和教育公平)实现社会发展包容的作用,通过思想繁荣(思想自由和知识资本积累)实现思想市场包容的作用。本文首次对思想市场影响经济增长的机制进行了全面的论证,进一步提出了适宜制度的概念和功能,并构建了新的内生增长模型论证制度对于经济增长的根本作用和机理。思想市场在某种程度上是对经济增长既有逻辑链条(物质资本、人力资本、技术进步、全要素生产率、政治经济制度)的一个重要补充,而适宜制度则在一定程度上是对“华盛顿共识”和“北京共识”的否定之否定。政府积极干预可以对经济发展和社会转型产生更好的积极影响业已得到学者们的广泛赞同,但对于政府边界、政府行为选择(“攫取之手”或“援助之手”)及其演变(更多“攫取”或更多“援助”)仅基于中国式分权(“政治集权”和“财政分权”)宏观一元框架和“政治人”或“经济人”微观单峰偏好的假定,以及暗含区域间禀赋同质和完全流动,忽略了中观层面区域禀赋异质性对地方政府行为选择和演变的影响是已有研究的重要缺陷,本文既从中国层面考察了区域异质性视角,还基于地方政府官员“政治人”和“经济人”的微观联合偏好视角,对宏观财政分权制度背景下地方政府行为选择、演变和绩效进行深入细致的研究,是对已有财政政分权理论和地方政府竞争理论的有益增补。运用了面板门槛模型,本文首次全面细致的检验了“利维坦假说”、“粘纸效应”和“瓦格纳法则”在中国的存在性、有效性和条件性,结果发现政府规模与财政分权、转移支付和经济增长交互影响对发展包容分别表现出“N型”、“倒U型”和“N型”非线性关系,应当引起中央政府和各地政府的重视,在制定和执行区域性政策和战略时,应充分考虑政策实施的综合效果而不是单一目标。包容型政府行为模式不同于“泛利性政府”、“中性政府”、“生产型政府”和“发展型政府”,其治理模式也不同于市场式政府(强调政府管理市场化)、参与式政府(主张对政府管理有更多的参与)、弹性化政府(认为政府需要更多的灵活性)和解制型政府(提出减少政府内部规则)。本文的创新点主要体现在：(1)从社会包容视角首次提出并探讨了包容型政府概念和理论,为解决中国目前经济社会转型过程的诸多现实问题提供新的分析视角,包容型政府需同时解决经济增长和发展包容两个核心问题,具体而言,是形成适宜制度、经济增长和社会包容为核心内容的“发展的三角”。这一概念和理论是对林毅夫(2003,2013)关于要素禀赋决定比较优势和政府如何遵循比较优势理论的逆向补充和Acemoglu and Robinson(2012)关于中国“半包容半掠夺”制度和政府行为特征的有力佐证,也为中国道路可能具有的世界意义增加了新的内容。(2)关于政治经济制度的形成与发展,不同于既有研究的内生性视角(要素禀赋、政治博弈或威权选择的结果),而是在一个开放的国际经济环境中,从国际贸易这个外生性冲击渠道分析了政治经济制度演化。(3)既有研究强调产业集聚的溢出效应和产业集聚的自组织性,强调产业升级和产业内结构变动的市场机制,对政府行为在产业集聚过程的作用以及产业关联效应,尤其是二三产业发展对农业技术创新能力关注较少。本文则从产业关联视角考察了农业创新能力提升的关联绩效,农业现代化发展事关“三农问题”、粮食安全和食品安全,而本文的研究为农业现代化发展提供了新的思路。(4)本文关注了社会分层和社会流动对经济增长的影响,并将分属社会学的社会分层与社会流动和经济学的经济增长与发展包容有机结合起来,形成良性发展的耦合机制。社会流动不仅对于经济增长具有重要意义,对于发展包容同样具有重要作用,通过教育流动、劳动流动、职业流动、性别流动和收入流动可以减少“机会不平等”和“静态不平等”等“坏的不平等”,逐渐消除各种排斥(社会排斥、地理排斥和经济排斥),实现增长包容性,这一思路将有助于解决目前经济和社会转型过程中的各种难题。(5)本文首次提出了包容性减贫模式,强调通过经济增长与收入分配“自上而下”和自生能力与社会流动“自下而上”相结合的贫困缓解策略,从群体特征和个体特征两个视角强调贫困缓解的新渠道。2013年11月恰逢中共十八届三中全会通过《中共中央关于全面深化改革若干重大问题的决定》,《决定》提出坚持社会主义市场经济改革方向,以促进社会公平正义、增进人民福祉为出发点和落脚点,进一步解放思想、解放和发展社会生产力、解放和增强社会活力,坚决破除各方面体制机制弊端。本文的研究或许能够为未来政府职能改革提供少许有价值的学术火花。更多还原

【Abstract】 How a big country can evolve an effective governance structure, build the appropriate governance model and tend to perfect governance levels? This is an important question for economics. China’s economic reforms so far basically remain the registration system which lead to division between urban and rural sectors, taxation system which related to economic decentralization, and several characteristics which is outstanding in relations society. In the early stage of economic development, these political, economic and social structures play a certain positive role for the accumulation of capital, technology absorption and innovation, market incentives and fulfill of contracts. But they also brings a lot of the cost of reform, such as expansion of income gap and the public services gap between urban and rural areas, interregional and interpersonal, and also including the associated structural imbalances. Income gap continued to widen is not conducive to economic growth, poverty relief and social mobility, due to the serious income gap, contemporary Chinese economic growth and social harmonious development is faced with enormous challenges, which kind of governance model for large stronger country do we need in the future? What is the operating mechanism of this governance model? Whether it have a general rules and reference implications?This paper attempts to research their behavior logic, governance and economic performance of the above problem from production, development and inclusive character of government, with one hand under the theory of the state to clarify the different economic transition process in the context of governance functions to develop well, and summed up in the economic and social development process have different roles and role boundaries and role of size, on the other hand, can be more in-depth analysis of economic development because the appropriate institutions and governance in the role of the government, based on the fact that China’s economic development and existing development theory, growth theory and the theory of the state, we attempt to build an inclusive type of theoretical framework, and conduct a comprehensive reform of the possible future prospects, especially for China might inclusive growth path with practical significance.Based on building theoretical framework of inclusive and analytical framework of inclusive government’s behavior and its performance, this paper emphasize the appropriate institution(patent institution, fiscal decentralization institution and income distribution system) and government intervention (government behavior, the size of government and government efficiency) are playing the role of inclusive governance. Through economic growth (using the physical capital, human capital, technological progress) and share the results (initial distribution which focus on efficiency, secondary distribution which focus on fairness), the appropriate institution play the role of economic growth inclusion. Through social mobility (eg intergenerational mobility and structural mobility) and the inclusive development (such as household registration reform, educational equity), the appropriate institution can achieve the goal of social development inclusion, through idea prosperity (freedom of idea, accumulation of knowledge capital), the appropriate institution can achieve the purpose of ideas market inclusion.This paper analysis the concept of the marketplace of ideas, classification and characterization, and comprehensively demonstrate the marketplace of ideas affect economic growth mechanism for the first time, we propose a suitable system concepts and features, and establish a new endogenous growth model for the fundamental role of institution for economic growth. Marketplace of ideas is an important supplement to economic growth logical chain of (physical capital, human capital, technological progress, total factor productivity, political and economic system), and propose appropriate institution is negation of negation of the "Washington Consensus" and the "Beijing consensus".Appropriate institutions through active government intervention in the market mechanism on the basis of economic development and social transformation, have been better to have a positive impact derived scholars’attention, and the boundaries of government, government’s actions ("grabbing hand" or "helping hand") and its evolution (more "grabbing" or more "helping ") Existing research only based on macro framework of the Chinese-style separation of powers ("political centralization" and "fiscal decentralization"), and the microscopic single-peaked preferences of "political person" or "economic man", furthermore, the studies have implied endowment is homogeneity and inter-regional flows is complete, and also ignores the meso-level regional endowment heterogeneity and the evolution of local government’s behavioral choices, but this article examines both the regional level and micro preference of "political person" and " economic man" from the Chinese fiscal decentralization system, for the macro backdrop choose local government behavior, evolution and performance, there are some theoretical additions for the fiscal decentralization and local Government Competition theory.Empirical tests on the relationship between quality of governance and the development of inclusive governance, we use the panel threshold effect model for the first time to comprehensive and detailed examination existence, effective and conditions of "Leviathan hypothesis","Flypaper Effect" and " Wagner’s law" in China, as well as interact with the size of government influence on the development of inclusive, the theoretical threshold model found the size of government and fiscal decentralization, transfer payments and economic growth affect the development of inclusive interactive, and exhibits non-linear relationship of "N-type","inverted U" and "N-type", its should cause the central government and local government attention in the formulation and implementation of regional policies and strategies, should take full account of the combined effect of policy implementation rather than a single goal.Inclusive type of government behavior is different from "the Encompassing Government","the Neutral Government","the Production-oriented Government" and "the Development-oriented Government", and its governance model is also different from the market-style government(emphasis on market-oriented government administration), participatory government (advocate more government involvement), the elastic-government (the government needs more flexibility) and reconciliation system Government (proposed to reduce government internal rules),"the Inclusive Government" needs to simultaneously address two core issues of economic growth and the development of inclusive, specifically, it need adopt appropriate institutions, economic growth and social inclusion as the core content of the "Development triangle", inclusive type Government Options and governance model is "reverse" supplement of the theory of comparative advantage, which decided on comparative advantage and factor endowments government how to follow, and is a strong evidence of "semi-inclusive and semi-predatory" of Chinese system and government behavior, but also for China’s global significance roads may add new content.The innovations of this article are:(1) on the formation of political and economic system of a country study, unlike both endogenous research perspective (factor endowments, authoritarian political game, or the choice of Authority), but in an open international economic environment, we research international trade that exogenous shocks channel analyzes political and economic system evolution.(2) Existing studies emphasize the spillover effects of industrial agglomeration and industrial agglomeration of self-organization, emphasizing industrial upgrading and structural changes within the industry market mechanism, the government acts in the role of the process of industrial agglomeration and industrial related effects, but less attention to Secondary and tertiary industries’development affect on agricultural technology innovation capability. This paper studies the industry correlation effects on the impact of agricultural innovation capacity from Secondary and tertiary industries, agricultural modernization is related to food security, food safety issues and Modernization, this study provides the new industrial development ideas.(3)This article focuses on the social stratification and social mobility, which impact on economic growth, we combine to form a sound development of coupling mechanism from social stratification, which belong to the sociology and social mobility, which belong to economic development of inclusive economic growth. Not only for economic growth, social mobility is important, for the equally important role in the development of inclusive, flowing through education, labor flows, occupational mobility, gender mobility and income mobility, can reduce the "bad inequality" of "inequality of opportunity" and "static inequality", and gradually eliminate various exclusion(social exclusion, geographical exclusion and economic exclusion), inclusive growth can help to solve the economic and social transformation in a variety of problems.(4)This article combines "top-down" Poverty Alleviation Strategy (economic growth and income distribution) and "bottom-up" Poverty mitigation strategies(Viability and social mobility), it emphasize that poverty relief channels and proposed inclusive growth poverty reduction model from two perspectives of population characteristics and individual characteristics.更多还原