【作者】 胡晓珍；

【导师】 张卫东；

【作者基本信息】 华中科技大学 ， 西方经济学， 2010， 博士

【摘要】 制度创新有利于增加生产要素的实际有效供给数量,对中国改革开放以来的高速经济增长具有巨大推动作用。但是,制度创新的作用机理及其作用程度并没有得到很好的论述,尤其是制度创新对于劳动配置效率、资本配置效率、技术效率的影响还未得到充分重视,导致制度创新对经济增长的贡献被低估。因此,本文以制度创新作用于经济增长的途径及其量化研究为题,从提升要素生产效率的角度对制度创新的重要性进行剖析。通过分析主流经济理论、制度经济理论中对制度作用的阐述,结合国内外学者对中国改革开放以来经济发展战略、双轨制等制度创新的研究,本文指出目前国内还普遍存在重技术创新轻制度创新的倾向,忽视经济体对于制度创新的需求。现有研究往往都是针对数据或社会现象所做的规律与特征总结,忽视了中国的制度创新所带来的更多是对生产要素提供良好的激励条件,使其在数量上以及利用效率上有所提高。在改革开放带来我国经济总量快速上升的同时,我国各地区的经济增长差距迅速拉大,这也可以从制度上找到原因。因此,本文做了一个理论假定：制度创新是我国高速经济增长的原因,中国改革开放以来的制度创新极大地提高了我国经济、金融体系的运行效率,并且由于各地区的制度环境存在差异,导致地区经济增长绩效出现差异。经济体制转轨以来,户籍制度的改革和国有企业的改革对于农村剩余劳动力的大规模迁移意义重大,促进了我国劳动力市场从无到有的发育,考核制度与聘任制度的实施构建起市场化的激励约束机制,使劳动力要素的数量与配置效率均显著增加。一方面,由于传统的就业安置体系发生变动,导致城镇劳动力参与率下降,但农村劳动力向城市的迁移保证了我国总人口劳动参与率的稳定,平衡了劳动力供需；另一方面,在自由的劳动力市场中,劳动力从低劳动生产率、低报酬的农业转移至高劳动生产率、高报酬的工业与服务业部门,带来劳动力市场整体资源配置效率的提高。经济学界一直存在着有关金融发展与经济增长两者主次关系的争论,为了从实证方面验证金融制度创新能够改善资本配置效率,从而对经济增长有重大影响,同时针对学界的争论提出我们的看法,本文将资本配置效率纳入金融发展与经济增长研究框架,运用基于松弛变量效率测度模型(SBM)对我国1995-2007年29个省市区资本配置效率进行测度,并利用面板协整检验考察了金融发展、资本配置效率与经济增长的关系。研究结果表明,我国资本配置效率整体上呈波动型上升趋势,且依次由东部、西部、中部递减,经济发展水平与资本配置效率呈近似倒“U”形关系；金融发展规模、资本配置效率与经济增长之间存在协整关系,整体上我国金融发展与资本配置效率的改善对经济增长有正的影响,但其促进作用在区域层面上具有“门槛效应”：东、中部地区金融发展与资本配置效率对经济增长有正的影响,且东部地区资本配置效率的经济增长效应更为显著,而在西部地区其促进作用并不明显。很多学者将技术进步作为我国改革开放以来经济高速增长的原因,我们认为,技术进步固然重要,但技术的利用效率对经济的持续稳定增长意义更为显著。为了从实证方面验证制度创新对于技术效率的影响,本文将影响技术效率的制度因素纳入效率评价模型,构造DEA三阶段模型测度1995-2007年中国29个省市区经制度环境变量调整前后的技术效率水平,并对制度环境与地区间技术效率水平及增长差异的关系进行分析。研究结果表明,中国技术效率整体上呈波动型增长趋势；东、中、西部地区纯技术效率呈收敛增长趋势,且西部地区技术效率低下的主要原因在于规模非效率；所有制改革、对外开放、财税体制改革等制度变迁均有利于技术效率的改善；经制度变量调整后各地区技术效率差异增加,制度因素在区域经济平衡发展方面具有重要作用。为了详细描述制度创新对经济增长的作用途径,本文构造了一个理论模型,提出了“厂房理论”,将制度对经济增长的作用区分为直接贡献与间接贡献,从定量角度考察制度对经济增长的作用途径。研究表明,制度对中国经济增长的贡献被低估,其不仅作为一种生产要素直接影响经济增长,还通过影响资本与劳动配置效率间接作用于经济增长；中国经济的增长是依靠制度要素投入增加的“效率型”模式,但制度改革对东部地区经济增长的作用已日趋衰减,下一步制度改革的重点应放在中西部地区的自由经济环境建设与要素配置效率改善方面。更多还原

【Abstract】 The innovations of institution help to incerease the effective supply of factors, which have great impact on China’s rapid economic growth during the process of China’s reform. However, the mechanism and the extent of institutional innovation acting on economic growth have not been well dicussed, especially the impact of instituional innovation on labor allocative efficiency, capital allocative efficiency and technical efficiency has not got enough attention, which makes the contribution of instituional innovation to economic growth understimated. Therefore, this article choose the way of institutional innovation acting on economic growth and quantitative research as the subject, analyze the importance of institutional innovation from the perspective of factor productivity.By analyzing the role of institutional innovation played in dominant economic theory and institutional theory, linking it with the researches of economic development strategies, two-tier system by scholars at home and abord, we point out that domestic scholars lay too much stress on the innovations of technology, while ingnoring the demand of economy for institution innovations.Existed studies mainly concentrate on the summary of principles and characteristics form the economic data as well as social phenomena, while ingnoring the incentives of factors brought by China’s institution innovation, which can improve their quantity and effiency. China’s reform has brought rapid growth of GDP, meanwhile, the differences of regional economic growth have been increased drastically, which can also be attributed to institutional innovation. Therefore, a theoretical assumption is raised in this article: institutional innovation is the source of China’s rapid economic growth, it can improve the efficiency of China’s economic and financial system; the differences of regional institutional environment lead to the differences of regional economic growth.The reform of household registration system and state-owned enterprises have great improtance on the large-scale migration of rural surplus labor force, promoted the development of labor market from scratch since the economic transition. The implementation of appointment and appraisal system have established the market-oriented incentive and restraint mechanism, the quantity and allocative efficiency of elements have increased significantly in labor market.On one hand, the urban labor-force participation ratio has dropped because of the change of traditional employment system. However, the migration of rural labor to cities ensure the stability of the country’s total labor-force participation ratio, it balanced the labor supply and demand. On the other hand, in a free labor market, labors migrate from agriculture sector with low productivity and return to industrial and service sectors with high productivity and return brings the improvement of labor allocative efficiency.There’s an controversy about the primary and secondary relationship between the development of financial system and economic growth. In order to confirm that financial institutional innovations can improve the efficiency of capital allocation, and have a significant impact on economic growth, and put forward our views on the controversy, this article take the capital allocative efficiency into the research framework of financial development and economic growth. We measure the capital allocative efficiency of 29 provinces in China in period of 1995-2007 applying slacks-based efficiency measure model, and test the relationship between financial development, capital allocative efficiency and economic growth using panel co-integration analysis. The result indicate that the capital allocative efficiency in China is fluctuant increasing as a whole. Co-integration relationship do exist between financial development, capital allocative efficiency and economic growth; financial development, capital allocative efficiency have positive impact on economic in nationwide, but for different region there is "threshold effect":the promotion effect do exist in east and middle China but not for the west China.Many scholars take the technological progress as the main reason for China’s economic growth, we point out technological progress is important, but the technical efficiency has more significant impact on the steady growth of economy. As to verify the impact of institutional innovations on technical efficiency from the perspective of empirical study, we construct a three-stage DEA model to take institutional environment into efficiency measure model in this article, and the model is used to measure the technical efficiency of 29 provinces in China from 1995 to 2007 before and after adjusted by institutions. It has also analyzed the relationship between regional technical efficiency and growth differences. The main findings are as follow:the technical efficiency in China is fluctuating increasing as a whole; the pure technical efficiency of east, middle, west regions in China is convergent, the low technical efficiency of western china is mainly due to scale inefficiency. Ownership reform, economic opening and the reform of taxation system are benefit for the improvement of technical efficiency. After adjusted by institutional factors, the differences between regional technical efficiency gradually increase which shows that institutional factors play an important role in balancing regional economic development.For a detailed description about the way institutional innovation acting on the economic growth, this article construct a theoretical model, make an quantitative study on institutional innovations’contributions on economic growth. The result indicate that the institutional innovations’ impact on Chinese economic growth has been underestimated; economic growth of China mainly depends on the input of institutional factors, as it called "efficiency pattern", but the impact of institutional innovations on eastern area is decreasing, government should focus the next institutional reform on the middle area and western area in order to construct a free economic environment and improve the allocative efficiency.更多还原