【作者】 徐旻；

【导师】 张小蒂；

【作者基本信息】 浙江大学 ， 政治经济学， 2009， 博士

【摘要】 经济发展的不平衡性往往体现在其区域性上,对典型发达区域的研究有助于得出对其他地区具有借鉴意义的结论。影响区域经济发展的关键因素有资源禀赋、区位优势、产业结构、科技水平等,但还有很多具有主观能动性的隐性资源如企业家较少被纳入主流经济学视野,生产函数依然是一个“黑匣子”。对劳动力进行“升华”的人力资本理论、波特的初级生产要素和高级生产要素理论等试图探索上述难点,但仍缺乏对转型中国具有较强解释力的理论及实证研究。不可忽视和否认的是,改革开放三十年来,民营企业成为中国经济增长最活跃和最坚实的基础推动力,民营企业家对转型经济时期中国市场化改革进程、劳动力充分就业等作出了非常突出的贡献,研究民营企业家无论在理论上还是实践上,对剖析区域经济发展的不平衡性与促进区域经济发展具有重大意义。处于长三角南北两翼的江浙两省,由于具有相似的区位优势、自然资源、文化传统等经济发展条件,照理应该取得相近的经济绩效,但本研究发现两省的经济绩效却存在较大差异,形成“绩效差异之谜”。为此,本研究着重从民营企业家资源角度进行深入剖析：首先,搭建一个企业家影响区域经济绩效的理论框架,并进一步研究民营企业家对经济绩效影响的途径和机理；在理论分析的基础上,用1992年到2007年两省数据,实证分析了民营企业家资源对经济绩效的影响,发现经济体制对民营企业家资源不同方式、途径和程度上的激活、甄别和拓展,是导致两省经济绩效差异的一个重要影响因素。更为重要的是,在转型经济条件下,相关制度对民营企业家潜能的发挥影响深远,这其中地方政府往往可发挥重要作用。为此,本研究把地方政府纳入中国经济发展动力的分析框架之中,深入剖析了地方政府与民营企业家良性互动机制形成的内在关联和渐进强化的机理,从而对区域经济绩效有了更强的解释力,这可为某些发展相对较慢区域如何实现可持续发展提供了前瞻性思路。最后,本研究针对在国际金融危机深化,国内产业转型升级日趋紧迫的背景下,如何实现民营企业家相应的“转型升级”提出了若干政策建议。本研究的创新点主要包括以下三个方面：1、对研究如何使民营企业家资源潜能获得发挥的难点进行了初步探索：一是对民营企业家资源进行测度与实证分析。二是全方位地研究区域经济绩效,即不仅注重从人均的、时序的视角来研究GDP,而且还将有关民生、可持续发展、节能减排等方面内容纳入其中,根据人均收入、储蓄率、就业率等指标对区域经济绩效进行了较全面的比较研究；三是对民营企业家具备的动态性能力的阶段化特征作了揭示。2、通过剖析经济转型时期和开放经济条件下,我国出现的区域经济绩效差异现象,发现与论证了有效激活、甄别和拓展民营企业家资源,是影响区域经济绩效的关键。在此基础上,本研究深入探索了民营企业家影响区域经济绩效的机理,并用江浙两省的数据作了验证。3、突破传统西方经济学的成熟市场经济体制这一暗含条件,充分考虑体制因素对民营企业家和经济绩效的影响,深入讨论了地方政府与民营企业家良性互动对区域经济绩效的影响机理。该互动表现为三个层次：一是政府为民营企业家提供一个宽容的环境,比如低的市场准入、良好的市场秩序、高效的公共品提供等；二是政府重“予”轻“取”,促使民营企业家资源的不断激活与“显化”；三是从制度上保障民营企业家在努力经营后可获得一个稳定、可预期的正当利益。“良性互动”的形成可有效提升区域资源配置的效率,有利于区域经济绩效的持续增进。在地方制度安排中,注重克服信息扭曲程度、遏制寻租行为、建立激励相容的利益机制,则可强化上述良性互动。更多还原

【Abstract】 As the imbalance of the economic development is often reflected by the regional characteristics, studying the typical developed regions would lead to fruitful conclusions which are useful to other regions. The regional economic development is influenced by many pivotal factors, such as the resource endowment the geographical superiority、the industrial structure and the technological level, etc.. Still, there remain many factors which are not integrated into the mainstream economic frame, obviously, the private entrepreneur is a kind of resource that can easily be "ignored". As a result, the connotation of the production function is not clear. Many theories, including the human capital theory and Porter’s thoery about the primary and senior factors of production have been focused on solving this problem, but there still lacking of theory with strong explanatory power and empirical study for China in economic transition piriod. No one can deny that the private enterprises have become the most active propelling force and the most solid foundation for China’s development in the three decades after the reform and opening up. The private entrepreneurs made great contributions in the transition period, stimulating the labor force employment and the market reform. The research on private entrepreneurs, both theoretically and practically, is of great significance for analyzing the unbalanced regional economic development in China.Jiangsu and Zhejiang provinces, located in the northern and the southern flanks of the Yangtze River Delta respectively, possess similar geographical advantages, natural resources, cultural traditions and other economic development conditions. It seems that they would seem display similar economic performances. However, our research revealed that the economic performances of the two provinces differentiated from each other to a great extent, forming a "enigma of performance". Therefore, we focused on the resource of the private entrepreneur for an in-depth analysis:First, a theoretical framework was built to show how the private entrepreneurs affected the regional economic achievements.The way and the mechanism through which the economic performance was influenced was studied afterwards. Based on the theoretical analysis, we conducted an empirical analysis using the data of these two provinces from 1992 to 2007, discovering that the different ways influenced by economic system to activate, detect and develop the private entrepreneurs are the reasons for the different economic achievements of the two provinces. More importantly, in the transition period, as the economic system imflicts a profound effect on the emergence of the private entrepreneur’s potentials, the local government’s role is important. Therefore, we integrated the Local government into the analytical framework of the China’s impetus for economic development.Our research thoroughly analyzed the intrinsic characteristics and the further-strengthen-mechanism of the interaction between the Local governments and the private entrepreneurs, thus having a stronger explanatory power for the regional economic performance and providing a forward-looking ideas for some underdeveloped areas about how to achieve sustainable regional development. Finally, we aimed at how to tackle the international financial crisis, how to upgrade the domestic industry, and how to "transform and upgrade" the private entrepreneurs. This study also put forward some relative policy recommendations.The innovation of this study mainly includes the following three aspects:1st, the preliminary exploration has been carried out in three difficulties during the study on how to develop the potential private entrepreneurs:The first is how to measure the resources of private entrepreneurs and giving the empirical study at same time; The second is a comprehensive study of regional economic performance, focusing not only on the per capita and the historical perspective of the GDP, but also on the per capita income, the employment, the energy-saving and the emission reduction, etc.; Third, reveal the stage features of the private entrepreneurs who have dynamic capabilities.2nd, by analyzing China’s regional differences in economic performance at the period of the economic restructuring with open policy, this paper revealed that the resources of the private entrepreneurs that were activated, detected and developed in different ways and to different extents, is an important factor influencing the regional economic performance. The paper thoroughly analyze such influence and its mechanism. Not only in theory, the paper also used the empirical data of Jiangsu and Zhejiang provinces to give support.3rd, Breaking the tradition of the Western economics which implies a mature market economic system conditions, this paper gave full consideration to the institutional factors on the private entrepreneurs and the impact of economic performance, as well as the role of local authorities in a large country like China, the in-depth analysis of the interaction between the local governments and the private entrepreneurs and the impact on the regional economic performance. Such benign interaction has three levels, one is for the government to provide private entrepreneurs with a permissive environment, such as low market access, a good market order, and efficient provision of public goods, etc.; Second, the government give more "support" to private entrepreneurs and avoid to "compete for profit" with them, to promote the resources of private entrepreneurs to continuously "come into being"; The third is to protect the private entrepreneurs from the system giving them a stable legitimate benefits prediction after their hard work. The formation of benign interaction will effectively enhance the efficiency of regional resource allocation, and is conducive to the regional economic performance with continued improvement. The design of the local institutional mechanisms, in particular by overcoming the degree of distortion of information, curbing rent-seeking behavior and establishing incentive-compatible mechanisms, will strengthen the formation of the benign interaction.更多还原