【作者】 赵榄；

【导师】 张小蒂；

【作者基本信息】 浙江大学 ， 国际贸易学， 2010， 博士

【摘要】 自亚当·斯密创立绝对优势理论和大卫·李嘉图创立相对比较优势理论以来,比较优势理论已经成为了国际贸易理论的核心。我国改革开放三十年来,正是充分利用了劳动力资源丰富的比较优势参与国际分工,使经济获得了持续的高速增长,这可以说是对比较优势理论的成功实践。然而,随着经济全球化和产业链国际分工的深化,来自发达国家的跨国公司凭借其在技术、资金、销售渠道等方面的优势,纷纷占据了全球价值链中高利润的环节。我国虽然已经成为世界制造业的中心,但由于在国际竞争中仅仅凭借廉价劳动力这一初级要素参与分工,在全球价值链中往往只能得到微薄的利润。我国要避免在全球价值链的分工和利润分配等环节中被低端锁定的命运,就必须在经济发展过程中,不断提升自己的比较优势内涵,追求动态的比较优势。“干中学”和创新虽然已经被证明是动态比较优势的两大来源,但经济学家们对发展中国家如何提升“干中学”水平和创新能力,进而促进本国比较优势动态演进的机理却研究甚少。受新增长理论关于人力资本对技术进步具有重要影响的观点启发,我们认为,一国的企业家要素将通过持续地“干中学”和自主创新,进而对比较优势的动态演进以及比较利益的动态获取产生积极影响。因此,研究企业家要素与技术进步的关系无论在理论上还是实践上,对我国加快动态比较优势构建、实现比较利益增进都具有重大意义。本研究首先定量测度了我国各省区企业家要素的丰度和能力,接着从理论和实证两个维度论证了企业家要素水平的提高能有效地促进“干中学”水平和创新能力的提升,进而实现本国比较优势的动态演进。当然,动态比较优势的提升必须建立在比较利益不断增进的基础上。因此,本研究接着从企业家要素丰度和结构的角度,探寻了其对地区比较利益获取差异的影响。最后,本研究从制度层面分析了我国动态比较优势提升过程中企业家要素的显化障碍,并提出了促进我国企业家要素显化的对策和建议。本研究所作的创新性探索要点如下：1、揭示了企业家要素在转型经济背景下对中国动态比较优势增进的特殊重要性,由此拓展了传统比较优势理论的内涵,增强了其对现实的解释力,从而为经济全球化浪潮中扭转我国企业参与国际分工的不利地位、提升企业国际竞争力提供了有益思路。按照传统比较优势理论,我国企业在国际分工中唯有廉价劳动力要素可以参与,由于这类初级要素相对不稀缺,必然导致我国在全球价值链中分工体系中被“低端锁定”,进而只能获取微薄的比较利益。但这一理论忽略了世界不同国家之间市场竞争结构的差异性,作为处于转型经济条件下的发展中国家,企业家要素在完全市场化之前往往处于“隐性”状态,而这类要素若能在适宜的市场化制度环境下得到“显化”,将能对一揽子要素进行优化配置,提高经济活动过程中的学习和创新效率,进而动态地提升一国参与国际分工的地位和水平,增进本国获取更多的比较利益。2、突破了传统人力资本研究方法的局限,将企业家纳入了经济增长、技术进步、地区比较利益与富裕状况差异等分析框架,构建了对企业家资源丰度进行测度的指标,并通过计量模型定量分析与验证了上述理论发现与实践途径.通过构建企业家资源提升“干中学”效应和创新能力的内生增长模型,拓展了以企业家资源为核心推动技术进步,进而实现动态比较优势演进的分析框架。在实证分析中,突破了传统人力资本理论大多采用地区人均受教育年限作为人力资本替代变量的窠臼,构建了企业家资源的定量测度方法,并验证了企业家资源对“干中学”效应和创新能力的提升作用。3、剖析了中国企业家要素拓展中的“瓶颈”约束——限制“干中学”的行业准入壁垒。这一壁垒在开放经济中,实际上堵塞了我国企业家通过“干中学”获取动态比较优势的源泉,是中国企业家要素显化与拓展之路上的严重障碍,笔者对如何化解此障碍做了探索。对行业的准入限制以及外资企业的“挤出”效应使得我国企业家更多地聚集在“干中学”效应较弱的出口加工行业,而这些加工行业的研发部门往往设在发达国家,这种“干”与“学”的国别分离将导致我国企业家较难接触到最前沿的先进技术,无法通过“干中学”实现企业技术水平的提升,从而造成企业家要素作用发挥的局限,不利于我国动态比较优势的提升。实践中,可从宏观法律经济制度、中观产业政策制度以及微观激励制度三个层面破除企业家资源的“显化”障碍,促进我国企业家要素的持续发展。更多还原

【Abstract】 Since the creation of Adam Smith’s absolute advantage theory and David Ricardo’comparative advantage theory, the theory of comparative advantage has become the core of the international trade theory. In the past three decades after China’s reform and opening up, the country made full use of its comparative advantage of the abundant labor resource to participate in the international division of labor, realizing a rapid economic growth. It can be seen as a successful application of the comparative advantage theory. However, with the deepening of economic globalization and the international division of labor in the industrial chain, transnational corporations from the developed countries have taken control of high-profit links in the global value chain with its dominance in technology, capital and marketing channels, etc. Although China has become the world’s manufacturing center, it only receives the minor share of the value chain revenue because of the fact that it takes part in the international division of labor using the primary factor of the cheap labor. In order to change the "low-end lock-in" situation in the global value chain, China must continuously enhance its comparative advantages and to achieve the dynamic comparative advantage.Although "learning by doing" and innovation have been proved to be the two main sources of the dynamic comparative advantage, there are few studies on the mechanism of enhancing the dynamic comparative advantage by increasing the capability of "learning by doing" and innovation. Inspired by the standpoint of the new growth theory that the human capital plays a vital role in the technology progress, we believe that through persistent "learning by doing" and indigenous innovation, entrepreneurs would inflict a positive impact on the dynamic evolution and the obtaining of the comparative advantage. Therefore, the study on the relationship between the entrepreneurial factor and the technology progress is of great significance both theoretically and practically.First, we quantitatively measure the density and capability of the entrepreneurial factor in various regions of China. The positive correlation between the increase in the quality of the entrepreneurial factor and the enhancement of the "learning by doing" and the innovation capability is proved from both the theoretical and the empirical dimensions, promoting the dynamic evolution of the national comparative advantage. It is undeniable that the upgrading of the dynamic comparative advantage is based on a higher level of comparative profits. Therefore, we study the impact the density and the structure of the entrepreneurial factor could inflict on the gaining of the regional comparative profits. Finally, our study analyzes the institutional barriers blocking the "visualization" of the entrepreneurial factor and gives some advice to promote the development of entrepreneurial factor. The innovative points are as follows:1. We reveal the special importance of the entrepreneurial factor in the enhancement of China’s dynamic comparative advantage in the transition period, expanding the connotation of the traditional comparative advantage e theory by giving a better explanation for the real-life problems and providing a beneficial solution to the changing of the disadvantageous status-quo and the increasing of the competitiveness of China’s enterprises in the international market. According to the traditional comparative advantage theory, China’s enterprises use only the cheap labor resource which is comparatively abundant to participate in the international division of labor. As a result, our country is "locked-in" at the lower end of the global value chain, receiving the minor share of the comparative profits. This theory, however, has ignored the differences between the market structures of various countries. As a developing country in the transition period, China needs to visualize its originally implicit entrepreneurial factor under proper market-oriented system settings so as to optimize the distribution of factors, to increase the efficiency of learning and innovation process in the economy and to obtain more comparative profits.2. Breaking the limits of the traditional human capital study, we include the factor of entrepreneur into the analytical frame of the economic growth, the technology progress and the regional gap in the comparative profits and the residents’ well-being. Indexes reflecting the density and the capability of the entrepreneurial factor are constructed. Using an econometric model, we quantitively prove the correctness of the above theoretical hypothesis. By building an endogenous growth model of the entrepreneurial resource enhancing the "learning by doing" effect and innovation capability, we expand the analytical frame, stating that the entrepreneurial resource is the core for the promotion of technology progress and the realization of the evolution of the dynamic comparative advantage. In the empirical analysis, a method to quantatively evaluate the entrepreneurial factor is designed, replacing the use of the average years of schooling as an alternative variable for human capital. We further verify the positive correlation between the richer entrepreneurial resources and the better "learning by doing" effect and the higher innovation capability.3. We analyze the "bottleneck" constraints-the industrial entry barriers which limits the effect of "learning by doing" in the expansion of the China’s entrepreneurial factor. In the open economy, the barriers actually block the path through which the Chinese entrepreneur might obtain the dynamic comparative advantage, becoming a serious obstable for the visualization and expansion of the entreprenerial factor. The industrial entry restrictions and the "crowding out" effect imflicted by the foreign-funded enterprises restrict the Chinese entrepreneurs in the manufacturing sectors of the export industries which exert weaker "learning by doing" effects. The R&D sectors of these industries are mainly located in the developed countries. The seperation of "doing" and "learning" would result in the isolation of the Chinese entrepreneurs from the most advanced technology, hence restricting the full play of the entrepreneurial factors and the enhancement of China’s dynamic comparative advantage. In practice, the "visualization" barriers of the entrepreneurial factor may be removed in the the macro, meso and micro levels of the legal and economic systems, industrial entry regulations and the coorperation governance principles respectively, so as to promote the sustainable development of entrepreneurial factor.更多还原