论劳动收入份额的决定机制
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摘要
本文从事劳资分配的基础理论和应用研究。文章完成了三项理论任务:其一,详细地梳理、比较、评判新古典主义、马克思主义和后凯恩斯主义的劳资分配思想,重点是全面批判新古典主义的劳资分配理论,分析马克思和后凯恩斯主义的互补性和内在联系;其二,在综合马克思主义与后凯恩斯主义相关理论的基础上,分析建立劳动收入份额的决定机制,亦即劳资分配比例的系统化决定因素,以及因素间的内在联系和作用方式,其间提出若干理论命题与推论;其三,对我国劳动收入份额的变动趋势及相关现象展开实证研究,验证理论分析部分提出的命题与推论,得到若干启示与政策建议。
     在理论回顾与批评部分,笔者沿着经济思想史的发展脉络,依次回顾、评判了现代三大经济学理论体系——新古典主义、马克思主义和后凯恩斯主义的劳资分配理论。文章指出,新古典主义的劳资分配理论(乃至整个新古典主义理论体系)在立论基础、理论建构和方法论方面都存在不容回避的缺陷,“边际生产力分配论”不足以解释现实中的劳资分配问题,更不能用来指导收入分配实践。相比之下,马克思主义和后凯恩斯主义从古典经济学继承了共同的学术传统,二者在本质上兼容,在侧重点上互补。通过对二者不同“支流”的比较研究,笔者归纳出了两条理论脉络:“马克思(高登)-斯拉法-卡莱斯基”(MSK)体系和“马克思(古德温)-卡尔多-罗宾逊”(MKR)体系。MSK体系研究先于价格体系存在的社会经济因素对劳资分配的决定作用,它对应劳动收入份额的潜在均衡水平;MKR体系研究社会经济因素既定,劳动收入份额在利润预期和有效需求的作用下围绕潜在均衡水平的周期性波动。劳资分配是经济学的理论本体及其潜在意识形态和阶级属性的核心。选择什么样的劳资分配理论指导实践,关乎政治立场和经济方针。当前我国的收入分配乃至经济体制改革要摆正方向,就必须改变新古典主义一统天下的局面,重塑基于马克思和后凯恩斯主义相结合的主流意识形态。
     在理论综合和应用部分,笔者分别基于MSK和MKR理论体系,分析建立劳动收入份额的静态决定机制和动态决定机制。静态决定机制不考虑预期和有效需求的影响。文章指出,宏观劳资分配服从剩余价值规律,工资份额与剩余价值率成反比。剩余价值率取决于特定“积累的社会结构”(SSA)下的劳资力量对比,其中SSA以微观生产方式为核心特征,它是决定劳资关系进而剩余价值率的本质因素,其他制度因素——包括技术进步、市场结构、工会力量和政府干预等,通过作用于生产方式,或者直接影响劳资关系,影响剩余价值率。各行业的价格加成率、技术构成和工资率决定了剩余价值总额在行业间的再分配,进而决定了行业工资份额。特定行业的价格加成率、技术构成和工资率对各自平均水平的偏离,决定了行业工资份额对平均工资份额的偏离。通过上下游行业的价格传导效应,低工资份额的行业实际上得到了高工资份额行业的剩余价值让渡或补贴。动态决定机制假设社会经济因素既定,考察劳动收入份额在预期和有效需求的作用下,沿“历史时间”的变动趋势。文章表明,短期内劳动收入份额与投资率成反比。在预期利润率、投资支出、有效需求、就业率、产能利用率、工资率和价格水平等一系列宏观经济变量的连锁反应下,劳动收入份额呈反周期波动。长期内,劳资分配影响经济增长。根据投资支出对利润份额和产能利用率的相对反应敏感程度,经济增长表现出“工资拉动”(wage-led)和“利润拉动”(profit-led)两种模式。在工资拉动模式下,劳动收入份额提高会导致经济增长率提高,公平与效率的目标相容;在利润拉动模式下,劳动收入份额提高会导致经济增长率降低,公平与效率需要权衡。
     在实证研究和启示部分,笔者通过数据分析,验证了理论综合与应用部分提出的命题与推论,同时解释了我国劳动收入份额的变动趋势和相关问题,主要结论包括:(1)近年来我国劳动收入份额下降的根本原因,是资本化经济部门的扩大以及资本化经济部门内剩余价值率的提高。(2)改革开放以来,薪金份额相比工资份额持续提高,薪金收入与工资收入差距不断扩大。(3)行业劳动收入份额的差距分解为价格加成率、技术构成和工资率的差距,其中价格加成率与国有垄断势力、产业集中度和人均固定资本存量正相关,与技术构成负相关;工资率与国有企业的就业比重和技术构成正相关。国有垄断行业的高加成率和高工资率造成对下游行业的工资份额和利润率的双重挤压。(4)劳资分配失衡和产能过剩问题密切相关,投资主导的经济增长模式会导致劳动收入份额下降和产能过剩的恶性循环。(5)当前我国经济已处于工资拉动增长的阶段,提高劳动收入份额会促进经济增长,因而劳资双方的利益共赢,公平与效率的目标相容。
     基于实证研究结果,我们得到如下启示:(1)无论从实证的角度还是规范的角度,都有必要提高劳动收入份额。市场原教旨主义的思想不可取。(2)需要辩证看待公有制经济的主体地位。应该鼓励一般国有企业扩大就业覆盖率,让按劳分配受惠更多人群;但对于垄断性的中央企业,应逐步引入竞争,同时提高利润上缴比例。(3)不是产业结构决定收入分配,而是收入分配决定产业结构。产业结构没有先进落后之分,只有是否适合既有的分配与需求结构之别。应走出“产业结构升级”的误区。当前我国收入分配改善的结果,将是消费品制造业和普通消费服务业的比重扩大。(4)当前我国最需要的是一大批稳定、富足、团结的产业工人队伍,而不是更多的白领精英。为此需要消除就业身份歧视,推进农民工市民化;加强工会的代表性和独立性;改变地方政府的激励机制,改革税制,营造优先就业、民生和劳动权益的制度环境。
The dissertation is about theory of capital-labor distribution and its applications. It finishes three major tasks:first, review, compare and evaluate the capital-labor theories of Neo-Claasical, Marxian and Post-Keynesian economics, by which the author criticizes the Neo-Classical distribution theory, while disentangling the relations and complementarity between Marxian and Neo-keynesian distribution theories. Second, by combining Marxian and Post-Keynesian theories, analyze the determination of labor share, which means the systematic determinants of labor share and the imapcts and reactions of the determinants, and then put forward some propositions and inferences. Third, make empirical researches into the labor share and relevant problems of China, so as to prove the propositions and inferences, and then put forward some implications and policy suggestions.
     In theories review and criticism, the author reviews and criticizes the capital-labor distribution theories of the three major schools of modern economics, namely, Neo-Classicism, Marxism and Post-Keynesianism. It asserts that the Neo-Classical distribution theory has inevitable shortfalls in its philosophy foundation and knowledge construction. The theory is unable to explain the capital-labor distribution in the real world, neither able to guide the distribution practices.In contrast, Marxism and Post-Keynesianism inherit common precious traditions from the Classical economics, which make them compatible in nature, and complementary in their focuses. By comparative analysis of their branches, including Classical Marxism, Neo-Marxism, and Neo-Ricardian, Kaleckian and Neo-Cambridge schools, the author figures out two theory strands about capital-labor distribution, namely,'Marx (Gordon)-Sraffa-Kalecki'(MSK) strand and'Marx (Goodwin)-Kaldor-Robinson'(MKR) strand. The former focuses on the socioeconomic determination of capital-labor distribution, or the potential equilibrium of labor share, which is determined independent of the price system, while the latter focuses on the cyclical fluctuations of labor share around the potential equilibrium level, driven by expectations and effective demand, with socioeconomic background given. Capital-labor distribution is right the core of economic thoughts and their backup ideaology. Choice of the capital-labor distribution theory directly relates to the political position and economic policy. To realign the orientation of our reform of income distribution or even the whole economic system, we have to overturn the domination of Neo-Classicism, and reshape the mainstream ideaology based on the synthesis of Marxism and Post-Keynesianism.
     In the theory synthesis and application, the author analyzes the static and dynamic determination of labor share, based on MSK strand and MKR strand, respectively. The static part omits the influences of expectations and effective demand. It asserts that, capital-labor distribution on the macro level is dominated by the rule of surplus value; macro labor share is in reverse relation with the ratio of surplus value. The ratio is overdetermined by a complex of institutional arrangements, named SSA (social structure of accumulation), with specific mode of production as its core and many supportive factors including market structure, powerof labor union, technology system and government participation. Markup, technology composition and wage rate of every industry determines the redistribution of aggregate surplus value among the industries. For each industry, deviation of its markup, technology composition and wage rate from the average levels determines deviation of its labor share from the aggregate level, or whether it get (or render) surplus value as subsidy from (to) other industries. The dynamic dtermination investigates the labor share dynamics in the historical time under the impacts of uncertain expectations and effective demand. It asserts that labor share is in reverse relation with investment rate. Along with the chain reactions of profit expectation, investment expenditure, employment rate, capacity utilization, wage rate and price level, the labor share tends to fluctuate anti-cylicaly. In the long run, labor share influences growth. In accordance with the relative sensitivities of the investment expenditure to profit share and capacity utilization, respectively, growth can be wage-led or profit-led. For the wage-led growth, rising labor share can improve growth rate, which means equality and efficiency are compatible; while for the profit-led growth, rising labor share can lower growth rate, which means equality and efficiency need trade-off.
     In empirical research and implications, the author gets empirical evidences for the theory propositions and inferences based on data analysis, and explains the labor share trend and relevant issues of China along the way. Main findings include:(1) Declining labor share in the recent years in China is attribute to the expansion of capitalist sectors (i.e. sectors with capitalist mode of production) and the rising ratio of surplus value.(2) The ratio of salary share to wage share keeps increasing, because of rising proportion of salary labor and widening gap between salary level and wage level.(3) decompose the differences of industry-level labor into differences of markup, technology composition and wage rate; the markup relates positively to the output share of State Owned Enterprises (SOEs), industry concentration and fixed assets per head, while negatively to the technology composition; the wage rate relates positively to the employment share of SOEs and technology composition. High markup and high wage rate of some monopoly SOEs squeeze the labor share and profit rate of downstream industries.(4) Declining labor closely relates to the problem of excess capacity; over dependence on investment to stimulate growth may leads to vicious cycle of declining labor share and excess capacity.(5) Now China has entered the pahse of wage-led growth; rising labor share can stimulate growth, which means that capital-labor relation is cooperative other than antagonistic, efficiency and equality are compatible other than contradictory.
     Form the empirical outcomes, we can get the following implications:(1) Both from the positive side and normative side, it's necessary to increase the labor share; free market fundamentalism can't be the right guide.(2) The domination position of SOEs should be treated dialectically. We should expand the employment coverage of normal SOEs, while for the minority monopoly SOEs, competition should be introduced and profit delivering proportion should be increased.(3) Income distribution determines the industry structure, other than the opposite. We must break up the myth of so-called upgrading of industry structure, since industry structure has nothing to do with the grade, rather matters whether fitting the given distribution and demand structure. At present in China, consumption goods manufacture and consumption service industries will expand at most following distribution improvement.(4) At present in China, a bigger mass of stable, affluent and united industrial workers are in most need, instead of more white-collar elites. To reach the goal, we should eliminate the employment discrimination, promote the rural immigrants become fairly treated urban workers; strengthen the power and independence of labor union; reform the incentives of local government and taxation system, to establish the institutional environment prioritize employment, livelihood and labor rights.
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