【作者】 吴建新；

【导师】 刘德学；

【作者基本信息】 暨南大学 ， 国际贸易学， 2009， 博士

【摘要】 自1978年至2008年,中国经济经历了30年的高速增长,全国平均收入水平得到很大的提高,但非均衡的增长模式也带来了严重的地区收入差距问题。鉴于这一原因,地区收入水平的收敛和决定问题就成为国内经济研究的重要课题之一。关于我国地区发展差异的要素积累和全要素生产率之争更是近年来的热点,美国经济学家Paul Krugman提出的对于东亚经济增长模式的质疑将这一问题的争论推向高潮。研究地区收入差距的决定不但可以解释我国经济增长模式的问题,还可为缩小地区收入差距和实现经济赶超战略提供政策依据。基于此,本文系统地研究了开放经济条件下我国地区劳均产出的分布、发展趋势和决定。本文在结构上可分为九章。第1章是导论,介绍论文的研究背景、意义、方法等。第2章对相关文献进行述评。第3章采用核密度函数和一阶Markov过程动态分布方法研究我国地区劳均产出的动态分布、发展趋势及其与资本积累和全要素生产率的关系。发现改革开放后我国多数地区向高收入区间收敛,全要素生产率是决定我国地区收入差距的主要因素。第4章采用新古典标准分解方法分析了要素积累、全要素生产率对地区收入差距的贡献,结果再次证明全要素生产率是我国地区收入差距的主要源泉。第5章运用非参数方法将劳均产出分解为要素积累、技术效率和技术进步等三个成分。分析表明这三个成分都是我国地区收入差距的重要来源。分析还表明,技术进步与要素禀赋紧密相关。在前面水平分析的基础上,第6章采用DEA-Malmquist指数方法进一步将全要素生产率增长率分解为效率变化(包括纯效率变化、规模效率变化)和技术进步变化以考察其构成对地区收入差距的影响。研究发现我国全要素生产率增长的主要来源是技术进步,效率的贡献较小。值得注意的是,效率变化表现出明显的地域性特征。第7章通过动态面板数据模型检验了开放经济条件下的全要素生产率决定,发现不同层次人力资本中只有高等教育人力资本对全要素生产率存在显著的促进作用。进口和国内研发与全要素生产率显著正相关,但没有发现外商直接投资对我国全要素生产率产生了促进作用;在人力资本构成变量、国内研发、收入水平和综合技术水平等为指标的吸收能力中,只有综合技术水平促进了以进口为渠道的技术外溢。第8章进一步研究劳均产出的决定。结果表明,进口显著地促进了劳均产出增长,但人力资本构成中只有高等教育人力资本与地区劳均产出显著正相关;外商直接投资对地区劳均产出有一定促进作用,但作用较小;政府财政支出和投资对我国地区劳均产出有较大促进作用;对以人力资本构成、收入水平以及贸易开放度等为指标的吸收能力的检验表明,进口和外商直接投资对地区劳均产出的作用独立于上述变量。第9章总结全文并指出下一步要研究的问题。更多还原

【Abstract】 From 1978 to 2008,China has experienced high speed economic growth for thirty years.The average income level has been improved greatly.However,unbalanced economic growth increased Chinese regional income disparity.For this reason, convergence and determination of Chinese regional income become one of the important issues in Chinese economics study.The debate that whether factor accumulation or total factor productivity(TFP) is the main origin of Chinese regional income disparity is one of the hottest issues.The famous American economist Paul Kruguman’s paper on "Asia’s miracle" pushes the debate to summit.Research on this issue can explain china’s pattern of economic development.And the conclusions also have important policy implication for economic catch-up and the reduction of regional disparity.For this reason this dissertation gives a systematic research on the distribution,trend and determination of Chinese regional output per labor.The dissertation includes nine chapters.Chapter one introduce research background, implication and methodological issues.Chapter two give literature review.Chapter three use kernel density function and first order Markov process dynamic distribution approach to study the dynamic distribution and trends of output per labor and its relations to capital accumulation and TFP.The results show most Chinese provinces convergent to high income end.And TFP is the major factor that determinate the Chinese regional disparity. In chapter four,we analyze the contributions of factor accumulation and TFP to Chinese regional income disparity with standard accounting approach.The results confirm that TFP explains most of-the regional income disparity.In chapter five we decompose output per labor into factor accumulation,technology progress and technological efficiency with a nonparametric approach known as Data Envelop Analysis(DEA).The results indicate that all the three factors are important determinants of Chinese regional income disparity. The results also show that technology progress is correlated with factor endowments.In Chapter six we further decompose TFP growth into efficiency change(includes pure efficiency change and scale efficiency change) and technology progress change to analyze its composition’s contribution to Chinese regional disparity with DEA-Malmquist index approach.We find that technology progress is the main origin of TFP growth.The contribution of efficiency is comparatively small.However,efficiency changes are clearly marked with regional differences.Chapter seven checks the determinants of TFP in open economy with a dynamic panel data model.Among the compositions of human capital,only tertiary educated human capital accelerates TFP growth.We also find that import and domestic R&D are positively correlated with TFP.However,no evidence shows that foreign direct investment(FDI) promotes TFP growth.Among possible absorptive capability variables such as human capital composition,domestic R&D,income level and comprehensive technology level,only comprehensive technology level promote technology diffusion through trade.Chapter eight goes further to check the determinants of output per labor. Our results indicate import promote the growth of output per labor.Among human capital compositions,only tertiary educated human capital have a significant positive relation with output per labor.Although there some evidences that FDI promote the growth of output per labor,the effects are much weak.We also find that governmental expenditure and capital investment accelerate Chinese economy.The checks for absorptive capability variables such as human capital compositions,income level and economic openness show that both trade and FDI have independent effects for output per labor from these three variables.Chapter nine concludes and gives some suggestions for further research.更多还原