非国有企业与中国经济体制的变迁

【作者】 王庆新；

【导师】 张晖明；

【作者基本信息】 复旦大学 ， 政治经济学， 2003， 博士

【摘要】 中国经济从计划体制向市场体制转轨的过程中，一个显著的特征就是非国有企业在体制外的成长。许多研究表明，非国有企业的持续快速发展是中国经济保持不断增长的主要动力。关于非国有企业、特别是具有中国特色的乡镇企业的发生和发展，大量的文献集中于研究非国有企业对中国经济的稳定、持续增长所带来的促进作用，并重点研究非国有企业在转轨经济中不完善的制度环境下为何具有较高的活力。这些研究大都将制度环境当作一个外生变量，考察特定的制度环境对生存于其中的企业所产生的影响。本文则试图将制度环境内生化，从相反的角度来研究非国有企业的发展对制度环境变迁所产生的推动作用。制度环境的变迁是参与经济活动的各个主体之间进行相互博弈的结果。就本文而言，我们希望通过考察非国有企业对中国转轨经济中其他经济主体的影响来论述非国有企业的不断壮大如何促进制度环境从一个较低的市场化、经济自由化水平逐步向完善的、成熟的市场经济制度环境转变。要研究非国有企业对体制变迁的影响，需要首先了解非国有企业是如何在改革开始后进入中国经济舞台的。为此我们在第二章中利用新制度经济学的制度变迁和制度创新理论给出了一个非国有企业进入的分析框架，指出非国有企业的进入是一群行动主体为了获取制度不均衡所出现的潜在获利机会而自发进行的制度创新活动。这构成了本文研究的逻辑起点。在接下来的三章中，我们分别就非国有企业发展对经济转轨中其他三个重要决策主体——国有企业、政府和公民个体的影响进行了逐一考察。我们首先用反公共品理论对非国有企业同国有企业的效率差异给出了一个新的解释，然后通过理论和实证分析证明，非国有企业的快速发展不仅减少了国有企业的市场份额，影响了其利润率和生产效率，而且还通过放松改革的约束条件，促进了国有企业产权改革的提速。对于政府而言，非国有企业的影响主要体现在政府提供的产权规则的改变和政府管理经济方式的转变。我们用博弈论分析方法证明，非国有企业发展所带来的经济利益收益诱使政府不断调整产权规则，使之从严重等级化逐渐趋向于平等化。第五章则重点从企业家精神的培育和公民个体独立性的提高两个方面考察了非国有企业的发展对于公民个体所带来的影响。通过上述三章的分析，我们将非国有企业对转轨中制度环境的反作用做了分解，初步完成了将制度环境内生化的工作。最后我们对非国有企业自身随制度环境的变化而不断进行的调整作了简要回顾，并对非国有企业和中国经济转轨的未来进行了展望。更多还原

【Abstract】 During China’s transition from centrally planned economy to market economy, one remarkable feature is the quick development of non-state enterprises (NSEs) outside of the planning system. It has been proved by many researches that the sustaining growth of NSEs is the main source of China’s economic growth in the post-reform period. Most of the literatures on NSEs focused on their contributions to economic growth and endeavored to explain where their vigor comes from. By doing so, these researches tended to treat the institutional environment as an exogenous variable and only noticed the influence of environment on the development of enterprises. However, the purpose of this article is to try to treat the institutional environment as an endogenous variable. That is, we want to study how the development of NSEs has influenced the transition of institutional environment.The change of institutional environment is the result of the games among all the economic entities. So far as this article is concerned, we try to understand how NSEs help to improve China’s institutional environment from low levels of commercialization and marketization to high ones through the interaction between NSEs and other entities of the economy.In order to start our research, we must first understand how those newly emerged NSEs began to go upon the stage of China’s economy. Therefore, by adopting New Institutionalism’s theory of institution change and institution innovation, we present in chapter 2 a new explanation to the entry of NSEs of China after reform. This chapter points out that the entry of NSEs is the result of a series of spontaneous institution innovation activities which have been initialized by certain entities aiming at getting the potential profits of institution innovation.The next three chapters constitute the main parts of our research. We will in turn study the influence of NSEs on three entities of the economy, which are the state-owned enterprises (SOEs), the government and the individuals. In chapter 3, we first provide a new perspective on the efficiency difference between SOEs and NSEs with the new theory of the Anticommons. Then we prove that the rapid growth of NSEs have not only reduced the proportion of SOEs in the economy and affected the latter’s profit and productivity rate, but also have relaxed many restrictions disturbing SOEs reform, which helps to further improve the property rights reform of SOEs. As to the government, the effect of NSEs’ development can<WP=10>be studied from two visual angles. First is the change of property right rule. We prove through game theory analysis that the change of China’s property right rule from a highly unequal one to a fairly equal one has been an induced institutional change. It is the economic interests which are produced by NSEs, especially by those non-public enterprises, that induced the government to change the property right rule it ever established under centrally planning economy. The other angle is that the rapid growth of NSEs has forced the government to change its usual way of managing the whole economy. Chapter 5 focuses on the influence of NSEs on individuals. Through an empirical analysis, we draw the conclusion that the growth of NSEs is beneficial to the diffusion of entrepreneurship in China. It is also evident that a strong non-state sector helps to enlarge individual’s set of choices, which in return will increase their sense of independence and civism. Through the work of the above three chapters, we have analyzed the counterforce of NSEs on the transition of institutional environment. Then in the end of our research, that is, in chapter 6, we make a brief review on the changes of NSEs themselves along with the transition of institutional environment. We also make an outlook on the future of NSEs and China’s economic transition. We are confident that, as time goes on, NSEs will become the central participants of economic activities and China’s transition to market economy will surely have a bright future.更多还原