摘要
有关企业家精神与经济增长的跨国研究表明：企业家精神对发达国家的增长有积极贡献,但在许多发展中国家却产生了负效应,这其中的反差使学者们意识到企业家精神不应该被视为高尚及美德的同义词。Baumol(1990)将企业家精神区分为生产性和非生产性的经典分析预示着相同的企业家才能既可以配置到创新等生产性活动,也可以配置到寻租等非生产性活动,从而引发了大量关于企业家职能配置及其激励机制的研究。正是基于这一视角,本文从微观层面的企业家职能配置的角度入手来研究我国经济增长的绩效问题,并尝试验证企业家精神对经济增长的推动作用不仅和企业家资源存量水平相关,更与企业家职能的配置状况紧密联系,从而将微观与宏观两个层面有效地结合起来。
第一章和第二章分别是导论与文献综述。第一章主要是提出问题,对本论文选题的背景和意义进行阐述,并对论文的结构安排做一个简要的说明。第二章对企业家精神与经济增长理论、制度环境与企业家职能配置两个领域的经典文献进行了梳理和述评。
第三章构建了一个包括消费者、企业和政府三部门的数理模型,使用一般均衡方法将企业家的微观行为选择引入宏观的分析中,考察了市场化进程、企业家职能配置与经济增长之间的关系。其中,消费者与企业构成经济市场的行为主体,企业与政府则形成政治市场的行为主体,企业家将同时面临经济市场的创新活动与政治市场的寻租活动。两类活动都能带来租金收益,企业家根据最大化租金净现值的原则将其才能及生产要素配置到不同的活动中。均衡的企业家职能配置结构最终由两种市场的特征变量内生决定,并进一步影响到均衡的经济增长率。结合本章的主要研究结论我们提出了如下两个命题：(1)当市场化程度越高,企业家的职能越容易配置到经济市场的创新活动,从而企业家精神对经济增长的贡献也越大；反之,则越小。(2)当市场竞争越激烈,企业家的职能越容易配置到经济市场的创新活动,从而企业家精神对经济增长的贡献越大；反之,则越小。
第四章与第五章分别从区域和行业两个层面对第三章的理论命题进行实证检验。第四章以我国大陆30个省区1997-2007年的面板数据为样本,实证检验了市场化程度对企业家精神与区域经济绩效之间关系的影响程度。实证结果表明,一方面企业家精神对经济增长确实有显著的促进作用,另一方面这种促进作用还会受到各地市场化程度的影响。具体而言,政府对企业的行政干预程度越小、金融市场发展越完善、对生产者合法权益保护越充分,企业家精神对区域经济增长的促进作用就越强：反之,企业家精神对区域经济增长的促进作用则越弱。因此,市场环境所导致的企业家职能配置成为企业家精神对区域经济增长贡献差异性的最大原因,从而验证了第三章的理论命题一。上述结论针对企业家精神的4种不同的代理变量均成立,进一步表明了实证结果具有较高的稳定性。
在第五章,我们采用产业技术效率来衡量行业层面的增长绩效,并以我国36个两位数工业行业1998-2007年的面板数据为样本,运用随机前沿生产函数的方法,实证检验了企业家的创业精神与创新精神对产业技术效率的影响及作用机制。实证结果表明：创业精神主要通过纠错机制影响产业的技术效率,其对技术效率的促进作用在行政壁垒越高的行业越明显,对全部行业却并不显著。这主要是由于在行政壁垒较高的行业,企业家职能更容易配置到寻租活动,从而为新企业发现市场错误提供了空间。另一方面,创新精神通过推动生产前沿边界的外移成为提升我国产业技术效率的主导力量,且该效应在市场竞争较充分的行业会得到强化。这些结论为理论命题二中关于市场结构与企业家职能配置的分析提供了经验证据。
最后是本文的主要研究结论以及相关展望。
The empirical researches on entrepreneurship and economic growth across different countries show that in the developed countries entrepreneurship stimulates economic growth significantly, while in many developing countries entrepreneurship has a negative effect on growth. The contradiction between theoretical inference and empirical results makes scholars realize the entrepreneurship could not be viewed as synonymous with virtue. Baumol (1990) initially distinguish entrepreneurship into productive and unproductive including destructive, which means the same entrepreneurial talent and effort could be allocated between productive activities such as innovation and unproductive activities such as rent-seeking or organized crime. Then it inspires academic interest in the allocation of entrepreneurial talent and incentive mechanism. Based on such analytical approach, the dissertation tries to find how the allocation of entrepreneurial talent at micro-level influences the economic growth in China, and examine whether the contribution of entrepreneurship to growth not only depends on the supply of entrepreneur resources but also the allocation of entrepreneurial effort.
The first chapter is an instruction of the whole thesis, which states the background and values of the selected title of the dissertation, then proposes the problems for study, and at last outlines the structure of the thesis.
The second chapter surveys extensively the theories of economic growth refer to entrepreneurship and the allocation of entrepreneurial talent taking the institution into account, and reviews the representative literatures in the two fields respectively.
The third chapter constructs a theoretical model with three sectors including consumers, firms and government, and analyzes the relationship between the allocation of entrepreneurial talent and economic growth taking the institution into account, by utilizing the general equilibrium method to introduce the entrepreneur's activity into the macroeconomic analysis. In the benchmark model, there are two markets, namely the economic market consisting of consumers and firms and the political market consisting of firms and government. And the entrepreneurs face two types of activities, which contain innovation activity in economic market and rent-seeking activity in political market. Since both kinds of activities can produce rents, then the entrepreneurs allocate their talent and resources between innovation and rent-seeking according to maximizing their present discounted value of net rents. Finally, the allocation structure of entrepreneurship in equilibrium is endogenously determined by the characteristics of economic and political markets, which would influence the equilibrium growth rate. According to the main findings, we advance two propositions:(1) If the institution is better, then the entrepreneurial talent would be allocated more to the innovation activity in economic market, resulting in more contribution of entrepreneurship to growth, whereas if the institution is worse, then the less contribution of entrepreneurship to growth is. (2) If the competition in the economic market is more intensive, then the entrepreneurial talent would be allocated more to the innovation activity, resulting in more contribution of entrepreneurship to growth, whereas if the market competition is weak, then the less contribution of entrepreneurship to growth is.
The next two chapters examine the propositions in the third chapter at regional and industrial level respectively. The fourth chapter examines the extent to which marketization influence the contribution of entrepreneurship to regional economic growth, based on the panel data set of 30 provinces in Chinese Mainland from 1997 to 2007. The results show that on the one hand entrepreneurship has a significantly effect on economic growth, and on the other hand the effect is affected much by the marketization environment. Specific speaking, entrepreneurship has more contribution to economic growth in the regions where firms face less administrative intervention from local government, or where financial market develops better, or where the legitimate rights of entrepreneurship are protected more sufficiently. While entrepreneurship has less contribution to growth in the else regions. Such results indicate the allocation structure of entrepreneurial talent determined by marketization environment is the main reason for the diverse contribution of entrepreneurship to regional economic growth. These conclusions always hold consistent for all four kinds of proxy variables measuring entrepreneurship, which indicate the empirical results are stable and reliable.
In the fifth chapter we employ industrial technical efficiency to measure the performance of growth at the industry level, and examine the effect entrepreneurship has on the technical efficiency of Chinese industries based on SFA analysis, utilizing the panel data set of 36 two-digit industries from 1998 to 2007. The results show that the venture entrepreneurship influences the technical efficiency mostly by the discovery of market arbitrage opportunity because of resources misallocation. And it improves the technical efficiency more obviously in the industry with higher entry barriers, but not significantly for the whole industries. This is because the entrepreneurs in the industry with higher entry barriers would be more likely to allocate the resources to rent-seeking activity, leaving enough room for the new entry to discover arbitrage opportunity. Additionally, the innovation entrepreneurship enhances the technical efficiency through shifting the production frontier outwards, which would be strengthened by the market competition. These results supply the empirical evidence for the second propositions in the third chapter on market competition and allocation of entrepreneurial effort.
The last chapter states the conclusions of the thesis, and points out some prospects on the relationship between the allocation of entrepreneurship and economic growth.
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