政策引致性扭曲：开放效益的体制因素

【作者】 王庭东；

【导师】 张幼文；

【作者基本信息】 上海社会科学院 ， 世界经济， 2007， 博士

【摘要】 本文运用西方扭曲理论对我国区域发展导向型体制对开放效益的影响进行了系统阐述。本文认为,尽管扭曲理论源于对一般市场经济的分析,但对于分析发展中国家在对外开放过程中由激励型外资与外贸政策所导致的各类扭曲同样具有适用性。所不同的是,像中国这样的转轨经济国家,除具有一般市场经济的各类扭曲之外,还存在着更广泛的从计划经济向市场经济转变过程中的体制性扭曲,并且体制性扭曲成为导致政策引致性扭曲的重要根源。因此,发展中国家不仅要在微观层次上消除经济中的各类扭曲,而且还要以西方扭曲理论所未有的角度(例如体制转轨的视角)探索中观与宏观领域的各类扭曲现象及其矫正问题。首先需要明确的是,我国的区域发展导向型体制在激发地方政府发展经济的积极性促进地区经济发展方面起到了积极推动作用,例如通过政策优惠积极开展对外贸易与大力引进外资从而消除了我国改革开放初期资金短缺的瓶颈,为我国经济高速增长做出了贡献。同时,政策引致性扭曲在破除传统的计划经济体制障碍建立市场经济体制方面也发挥了巨大作用。地区竞争不仅刺激了经济增长,而且创造出多个充满活力的区域发展模式(如长三角模式、珠三角模式等),其制度创新机制在路径上与熊彼特式制度创新范式是一致的。就其实质而言,这是以一种较少扭曲的对外开放政策取代另一种较多扭曲的旧的计划经济政策,从而实现资源的优化配置与经济增长。然而,必须看到,随着对外开放的深入发展与经济高速增长,我国早已经跨越资金瓶颈,对外资、外贸的过度政策优惠导致要素扭曲与生产扭曲,从而不仅带来国民利益的对外流失,而且令内资与外资处于不公平的竞争环境之下,从而产生外资对内资的“挤出效应”,并且导致内资在价值链分工中出现低端锁定倾向,以及内资企业技术创新能力的下降。因此,所谓的出口比较优势是建立在价格扭曲即低成本基础之上的虚假比较优势,是不可持续的。本文认为,从表面上看,地区恶性竞争是导致政策引致性扭曲的根源,但实际上,地区恶性竞争却源于区域发展导向型体制。因此,区域发展导向型体制“塑造”了政策引致性扭曲的如下特征。首先是区域发展导向型体制下的财政分权与政绩观,激发了地方政府对税收的追求与对以GDP增长为核心的政绩追求——包括对其他非经济目标的追求,如就业、城市建设等,从而导致政策引致性扭曲,使地方政府呈现出“公司化”倾向;第二是政府职能的越位、缺位、错位,如替代企业招商引资、对外资监管不力、对跨区域公共产品供给存在搭便车行为等,这使得政策引致性扭曲具有了政府职能“失灵”的特征;第三是改革过程中,部分领域改革滞后,例如要素市场与金融市场的改革滞后加剧要素扭曲等,从而使政策引致性扭曲具有“非市场性”与转轨特征;第四是区域发展导向型体制下地方政府面对国际垄断势力在谈判中处于弱势地位而产生政策引致性扭曲,从而使政策引致性扭曲具有了外部干预的“非自主性”特征。从开放效益的角度看,政策引致性扭曲不仅造成国民利益的外流,还造成宏观上总体经济的内外失衡,例如地区差距不断扩大、“双顺差”等,这也在一定程度上降低了对外开放效益。根据扭曲理论消除扭曲的对症规则,政策建议是明确的。首先是完善财政分权并转变政绩观,即完善区域发展导向型体制的激励机制。其次是转变政府职能,在现阶段主要是进一步完善政府的监督职能,提高其科学决策能力。第三是通过调整对外资、外贸的优惠政策制约地方政府的恶性竞争,提高外资质量,并通过实行地区差异性优惠政策来达到协调地区经济发展之目的。第四是对竞争优势进行培育。在当今全球化时代,决定各国收益分配份额的是稀缺要素,谁拥有稀缺要素谁就能够获得竞争优势以及更为丰厚的利润。对于发展中国家而言,尽管对外开放是一条引进稀缺要素(如先进技术与管理)提高国际竞争力的捷径,然而其前提条件是发展中国家本身吸收能力的提高(如高的人力资本),而这是无法通过开放而满足的,必须要通过本国的精心培育才能得到。根据扭曲理论,通过择定扭曲能够实现培育本国稀缺要素的目标,从而最终建立本国的竞争优势。更多还原

【Abstract】 This thesis applies the western distortion theory to systematically analyze the effects on the benefit of opening up induced by the region-oriented development system in China.Although the distortion theory derives from the analysis on the general market economy, it is also suitable to analyze the distortion caused by the incentive foreign capital and trade policy adopted in the process of opening up to the outside world. In transition economies like China, besides distortions in the general market economy, there is a system inherent distortion due to transition from planned economy to market economy, which is the main root of the above policy imposed distortion. Therefore, the developing countries need not only eliminate the distortions in the micro-area, but probe into and rectify those in the middle- and macro-area from new angles, say system transition, where the western distortion theory says nothing.First, it needs to clarify that the region-oriented development system has played a positive role in stimulating the local authority’s enthusiasm for developing the economy and promoting the local economic development. For example, the local authority facilitates foreign trade and foreign investment through preferential policy, which has eliminated the capital bottleneck in the early period of reform and opening-up and has contributed to the fast growth of the economy in China. In addition, the policy imposed distortion has played an important role in breaking the traditional planned economic system and setting up the market economic system. The inter-regional competition has not only accelerated the economic growth, but also created several energetic regional development patterns, e.g. the Changjiang River Delta pattern and the Pearl River Delta pattern. The institution innovation path is consistent with the Schumpeterian notion of“creative destruction”. Essentially, the mechanism is to use an opening-up policy to replace the planned economy policy, where the former has less resulting distortions while the latter has more, so as to optimize the allocation of resources and stimulate economic growth.Nevertheless, along with the development of opening up to the outside and the fast growth of the economy, China has already overcome the capital bottleneck. Therefore, the production and factors distortion, caused by extremely preferential policy of foreign trade and investment, not only leads to national wealth outflow, but also puts domestic capital in an environment inferior to that of foreign capital. It then leads to the“crowding out effect”on native capital by foreign capital, and causes the native capital to show a low end locking tendency in the value chain as well as a decline of innovative capacity. Therefore, the so-called export comparative advantage is based on low cost due to price distortion, which is unreal and unsustainable.It seems that the root of the policy-imposed distortion is inter-regional malignant competition, but this competition actually derives from the region-oriented development system. Therefore, the region-oriented development system has produced the following characteristics of the policy-imposed distortion. First, the decentralized public finance system and the appraisal system of achievements under the region-oriented development system make local government personnel pursue high tax income and achievements in their post, with the core of high GDP growth rates and including other non-economic targets, for example, employment rates and city construction. The resulting policy-imposed distortion makes local government take on the tendency of“corporationalization”. Second, the offside, vacancy and dislocation of local governments, of which examples include attraction of foreign capital in place of enterprises, inadequate supervision over foreign capital, and“free-ride”actions in supply of inter-regional public goods, has made the policy-imposed distortion take on the characteristic of“malfunction of local governments”. Third, during the reforming process, reform in some fields like production factors market and financial market lags far behind, which has intensified some phenomena such as production factors distortion and has characterized the policy-imposed distortion with the feature of“non-market”and transition. Fourth, under the region-oriented development system, local governments are at a disadvantage in negotiations with foreign monopolistic powers, which has made the policy-imposed distortion possess the feature of“non-autonomy”owing to outside interference.In the view of opening-up benefit, the policy-imposed distortion not only leads to wealth outflow, but to unbalance of the macro-economy, e.g. the expansion of inter-regional gaps and“double favorable balances”, which has reduced the opening-up benefit to a certain degree.According to the Specific Rule in the distortion theory, whose function is to eliminate distortions, the policy suggestions are straightforward. First, the central government should struggle to perfect the decentralized public finance system and change the appraisal system of achievements during one’s post, that is to perfect the incentive mechanism of the region-oriented development system. Second, local governments’functions must be transformed. For the present period, they should be transformed into stricter supervision functions and to promote the scientifically decision-making capability. Third, the authorities should restrict local governments’malignant competition by adjusting the preferential policy towards foreign capital and foreign trade, so as to enhance the quality of foreign capital and make different regional economies develop harmoniously through the application of diversified preferential policies for different regions. Fourth, the competitive advantage should be fostered.In the present globalization period, it is the rare factors in different countries that determine their shares of total profit in the world. Those countries who hold more rare factors will gain competitive advantage and more profit. For developing countries, although opening up to the outside is a short cut to attract rare factors, like advanced technology and management methods, the prerequisite is the increase of their absorption abilities, which can be realized not by opening up to the outside, but by studious accumulation in the home country. According to the distortion theory, the target of fostering home country’s rare factors can be realized by selective distortion, and consequently the home country’s competitive advantage can be established.更多还原