论资本分类配置及其对我国经济发展的影响

发布时间：2018-04-22 14:03

本文选题：资本 + 无形资本　；参考：《山西财经大学》2013年博士论文

【摘要】：产品内分工是国际分工深化所呈现的最新形态。在产品内分工的条件下，从事加工制造的国家不但消耗了大量的资源、污染了环境，而且只能获得较小的价值链利益分配份额；而从事技术研发、市场开发、品牌塑造的国家不仅资源消耗小、环境污染少，还获得了较大的价值链利益分配份额。针对这一问题，本文提出了“资本分类配置”理论来解释以上现象。本文的主要结论：（1）“资本分类配置”，是指不变资本区分为有形资本和无形资本，在国家间形成了两种资本形成的分工。一个国家属于哪类资本配置，既可以从无形资本的形成比重来看，还可以从无形资本的国际净收支来看。资本分类配置国家可以分为三种角色：可以把无形资本收益国际收支保持顺差的国家称作“无形资本占优国家”，把无形资本收益国际收支保持逆差且研发占GDP比重较高的国家称作“精密制造国家”，把其余无形资本收益国际收支保持逆差的国家称作“有形资本占优国家”。（2）资本分类配置对一个国家的生产方式、价值链利益分配、产品质量、资源环境都会产生重要影响。无形资本是应对风险与不确定性的过程中智力劳动成果物化的载体，并且在应对新的风险与不确定性的过程中为智力劳动提供物质基础。技术、品牌、制度是无形资本的主要组成部分。无形资本与有形资本在资本形成、资本积累与资本运动过程等诸多方面存在巨大的差别，这对不同角色国家的生产方式产生了巨大的影响。发展中国家对国外无形资本的使用提高了本国产品的质量。一国向有形资本占优国家转变时经济增长速度加快，向无形资本占优国家转变时经济增长速度减慢。两类资本的数量对比决定了制造业价值链利益分配。价值链利益分配是由两类资本间的供求关系决定的，价值链利益分配有利于稀缺资本。最近几十年来，有形资本的大量形成与无形资本的相对稀缺，世界范围内稀缺的无形资本与相对丰裕的有形资本共同决定了价值链利益分配的不平衡，有利于无形资本而不利于有形资本。有形资本占优国家从事的加工制造是资源环境消耗型的，国际价值链中处于低端又制约了资源环境的改善，所以，有形资本占优国家面临严重的资源环境问题。（3）本文通过对资本分类配置国家角色变化发展历史的考察，运用归纳的方法，得出了资本分类配置国家角色变化的决定因素有：人口数量、成人平均受教育年限、研发投入、储蓄率、储备率、对外版权与专利技术支出等。因素之间的相互作用也是重要的影响因素：研发要与人均教育水平相适应，技术引进可以弥补国内人才资源的不足，过度的技术引进抑制国内研发，内外储蓄的协调等。（4）本文通过总储蓄率、总储备率二者在不同条件下的考察，运用静态比较的方法，揭示了总储蓄率、总储备率的正向线性关系。结合资本分类配置国家在角色转变过程中储蓄率的异常升高、储备率相应地升高的现象，推断出内外储蓄一致调整的规律。 2000年以来，我国的总储蓄率和总储备率出现了显著的、快速的双增长。从模型表示的趋势来看，在资本分类配置国家这个群体里，从有数据的1980年以来我国一直是“现实资本投资”倾向前列的国家，并非是“货币资本投资”倾向类型国家。我国较高的外汇储备率，是与很高的储蓄率相适应的。（5）近二十年来，我国在教育、科研投入方面的比较优势发生了较大变化，具备了从有形资本占优国家转变为精密制造国家的部分条件。我国是世界上最大的有形资本占优国家。我国要从有形资本占优国家转变为精密制造国家，关键在于降低储备率、提高对外版权与专利技术支出和人才引进，弥补我国成人平均受教育年限低的不足。本文的创新点：（1）在理论创新上，本文提出了“资本分类配置理论”，对资本分类配置的描述、影响、形成、发展、国家角色的转变过程和决定因素进行了系统的证明和研究。本文还对无形资本的产生、包含的内容、与其它相近的概念做了区分，对无形资本与有形资本之间的区别与联系做了研究；对无形资本的形成与运动过程做了研究。（2）在应用创新上，，本文应用“资本分类配置理论”解释了我国的高储蓄率、高储备率以及高资源环境消耗的问题，指出了这些问题的存在是一个国家向有形资本占优国家转变特定阶段出现的、多个国家共同存在的问题，并非特例。
[Abstract]:The division of labor within the product is the latest form of the deepening of the international division of labor . Under the condition of the division of labor within the product , the countries engaged in the processing and manufacture not only consume a large amount of resources , pollute the environment , but can only obtain a small value chain benefit distribution share ;
In order to solve the problem , the paper puts forward the theory of " Capital Classification Configuration " to explain the above phenomenon .

The main conclusions are as follows :

( 1 ) " Capital classification configuration " refers to the division of capital into tangible capital and intangible capital , and forms two types of capital formation in the country .

( 2 ) The allocation of capital classification to a country ' s production mode , value chain benefit distribution , product quality and resource environment have an important impact .

Intangible capital is the carrier of intellectual labor results in the process of dealing with risks and uncertainty , and provides material foundation for intellectual work in the process of dealing with new risks and uncertainties . The technology , brand and system are the main components of intangible capital .

The distribution of value chain benefits is determined by the relationship between two types of capital . The distribution of value chain benefit is determined by the relationship between two types of capital . The distribution of value chain benefit is beneficial to scarce capital . In recent decades , tangible capital has been formed with relatively scarce capital , which is beneficial to intangible capital and unfavorable to physical capital .

( 3 ) Based on the investigation of the history of the change of the role of capital classification , the author concludes that the determinants of the change of the role of capital classification are as follows : population quantity , average age of adult education , R & D investment , savings rate , reserve ratio , external copyright and patent technology expenditure , etc . The interaction between factors is also an important factor : the development of technology is to adapt to the per capita education level , and technology introduction can make up for the shortage of domestic talent resources , excessive technology introduction and the coordination of domestic and external savings .

( 4 ) Through the investigation of the total savings rate and the total reserve ratio under different conditions , the forward linear relationship between the total savings rate and the total reserve ratio is revealed by the static comparison method .

Since 2000 , China ' s total savings rate and total reserve ratio have seen remarkable and rapid double growth . From the trend of model representation , in the country this group has been the trend of " real capital investment " since 1980 , China has been a country with the tendency of " real capital investment " . China ' s higher foreign exchange reserve ratio is adapted to the high rate of savings .

( 5 ) In the last two decades , the comparative advantage of our country in education and scientific research has changed greatly , and it has the partial condition of changing from tangible capital dominant state to precision manufacturing country .

Our country is the world ' s largest tangible capital dominant country . Our country wants to change from tangible capital dominant state to precision manufacturing country . The key is to reduce reserve rate , raise foreign copyright and patent technology expenditure and talent introduction , and make up for the shortage of the average age of adult education in our country .

Innovative points in this article :

( 1 ) Based on the theory innovation , this paper puts forward the theory of capital classification collocation , the description , the influence , the formation , the development , the transition process and the determinants of the country ' s role are proved and studied . The paper also makes a distinction between the generation of intangible capital , the content of the inclusion and other similar concepts , and makes a study on the difference and connection between intangible capital and tangible capital ;
This paper studies the formation and movement process of intangible capital .

( 2 ) On the application of innovation , the paper explains the high savings rate , the high reserve rate and the consumption of high resource environment in our country by using the theory of capital classification collocation , and points out that the existence of these problems is the problem that a country has occurred in a specific stage to a tangible capital - dominant country , and it is not a special case .

【学位授予单位】：山西财经大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F124

【参考文献】