转型时期劳动力资源再配置研究
摘要
本文立足于从计划到市场转型这个史无前例的经济背景，分析劳动力资源再配置的路径、转型过程中影响劳动力资源再配置的因素，这对深刻理解转型至关重要，对全面理解劳动力市场体系的功能也意义重大，另外，对进一步发展适用于任何经历大规模结构重组经济体的再配置理论也是意义匪浅。就现实意义而言，本文通过对中东欧(CEE)和独联体(CIS)两类国家进行比较，为其他转型国家和面临资源重新配置问题的国家提供了充分的信息，也能够对中国改革阶段大规模制度变迁下的劳动力资源重新配置提供借鉴和参考。
关于转型时期的劳动力资源再配置问题，经典的最优转型速度(OST)理论认为，通过合理控制国有企业关闭的速度来实现劳动力资源再配置的最优化是转型时期政府最重要的手段。本文以OST理论为出发点，从宏观、中观和微观三个角度对CEE和CIS国家转型时期劳动力资源再配置的路径进行了比较，通过实证分析指出OST理论在关于劳动力供给、劳动力流动方式的假设上存在不足，也不能对CEE和CIS国家在再配置过程中出现的差异作出解释。通过引进“非就业福利”等劳动力市场制度因素，本文对OST理论进行了修正，得出结论认为合理建设劳动力市场制度、恰当安排福利制度改革的时间(在转型初期不能实行过于宽松的福利制度)相比OST理论所提出的“控制国企关闭速度”的政策建议，对优化劳动力资源再配置而言更为重要，通过对斯洛文尼亚1998年福利制度改革前后的情况进行实证分析，进一步证实了修正后的结论。另外，本文对CEE和CIS国家的比较研究还有其他一些发现，如对于转型国家的资源再配置，促进新企业、约束老企业是最成功转型国家的经验；与劳动力供给相关的人力资本建设对再配置而言也至关重要等，这些对我国改革时期的劳动力资源再配置都具有借鉴意义。
本文的第一章为导论；第二章介绍了转型和转型国家的情况、转型前的劳动力资源配置体系及转型对其的冲击；第三章引入了经典的OST理论，分析了转型国家的政府如何通过控制国企关闭的节奏来实现转型速度和劳动力资源再配置的最优化；第四章从宏、中、微观三个角度比较分析了CEE和CIS国家再配置的路径以及转型中出现的非就业情况，对OST理论进行实证分析，指出其不足之处并提出了修正目标；第五章修正了OST理论假设上的不足，分析了转型时期劳动力市场制度尤其是非就业福利的作用，得出了和OST理论不同的关于非就业福利设计的政策建议；第六章比较全面地考察了CEE和CIS国家在转型时期劳动力市场制度性因素的变动，对比分析了这些因素变动对劳动力资源的再配置造成的影响，选取斯洛文尼亚1998年福利制度改革的情况进行了实证研究，并就这些制度性因素的进一步调整提出了建议；最后一章将CEE和CIS国家比较的结论运用到了中国。
本文的创新之处在于：首先，以前关于非就业福利等劳动力市场制度的理论分析大多见于对发达国家的研究，本文将此运用到了转型国家，通过在OST理论基础上进行修正，得出关于劳动力资源再配置过程中应当如何安排非就业福利制度改革的建议，并通过对斯洛文尼亚的实证研究验证了该建议的合理性。其次，本文在对CEE和CIS国家转型期间劳动力资源再配置的路径进行比较分析时，第一次采用了宏观、中观和微观的三维研究方法，对两者的分析更为全面，这一方法在已有国内外相关文献中从未被采用过。再次，本文贯穿全文都采用了比较研究的方法，相对已有相关文献针对某几个国家或某一个方面的比较，本文针对两个国群，对两者的转型初始条件、再配置路径、以及影响再配置的劳动力市场制度性因素都进行了比较，通过这种全方位的比较来对大规模再配置进行分析，到目前为止也属于开创性的工作。此外，绝大多数对CEE和CIS国家情况的研究都是仅限于这些国家，并且以对这些国家情况的描述为主，本文从理论和实际角度对两类国家进行了比较研究，并将研究的部分结果运用到了中国，这在世界经济学科的转型研究和中国经济研究之间构起了桥梁，也使本文对CEE和CIS国家的研究更具有现实意义。
Based on the unprecedented economic background of transition from plan to market, this thesis researches on the paths of labor resources reallocation and the factors influencing the reallocation during transition. It is very important to understand transition and the function of labor market system better. In addition, it holds significance to develop the reallocation theory applying to any economies under large-scale restructuring. As its practical significance, this thesis does comparative study of the Central and Eastern European Countries (CEE) and the Commonwealth of Independent States (CIS), offers sufficient information to other transition countries and the countries facing resources reallocation problem. It also provided lessons and reference to China' s labor resources reallocation during reform.
This thesis takes "the labor resources reallocation during transition" as the topic, uses the classic the Optimal Speed of Transition (OST) theory as the basis, compares the paths of labor resources reallocation of CEE and CIS countries during transition from the three perspectives of macro, middle and micro. Through empirical analysis, this thesis points out that OST theory has deficiency in the hypothesis about labor supply and ways of labor flow so that it could not explain why CEE and CIS countries holds differences about labor resources reallocation. By introducing the labor market institutions as non-employment benefits, this thesis rectifies the OST theory and concludes that compared with the policy advice of "controlling the closure speed of state-owned enterprises" raised by OST theory, constructing the labor market institutions and arranging the reform time of welfare system properly is more important to the labor resources reallocation. The experimental analysis of 1998 Slovenia benefit reform testified that conclusion. What' s more, this thesis also finds that as to the resources reallocation during transition, promoting new enterprises and restraining old enterprises is the experience from the most successful transition country, and the human resources construction combined with labor supply is also very important to the reallocation.
This founds offer lessons to China' s labor resources reallocation during reform.
The first chapter is preface. The second chapter introduces the situation of transition and transition countries, the labor resources allocation system before transition and the shocks by transition. The third chapter introduces the OST theory, analyses the government of transition countries how to realize the optimization of transition speed and labor resources reallocation by controlling the closure speed of SOEs. The fourth chapter comparatively studies the paths of labor resources reallocation and the non-employment situation of CEE and CIS countries, analyses the OST theory empirically and points out its deficiency and amendment target. The fifth chapter rectifies the deficiency of hypothesis of OST theory, analyses the functions of labor market institutions especially the non-employment benefits during transition, draw a conclusion different with OST theory. The sixth chapter studies the adjustment of labor market institutional factors of CEE and CIS countries during transition, comparatively studies the impacts of these factors on the labor resources reallocation, takes the 1998 Slovenia benefit reform as example to do an experimental study to testify the conclusion, and offers some advices about the forward reform on these factors. The last chapter is applies of comparative conclusion of CEE and CIS countries to China.
The creations of this thesis lie in: firstly, the former theoretic analysis about the labor market institutions as non-employment benefits focused on developed countries, it is the first time to apply it in transition countries, by amending the OST theory, this thesis gets a new conclusion about how to arrange the benefit system reform during transition and testifies this conclusion through the experimental study about 1998 Slovenia benefit reform. Secondly, it is the first time to use the three-perspective comparative methods to compare the reallocation paths of CEE and CIS countries. Thirdly, this thesis uses the comparative method completely the whole thesis. In addition, most of the studies about CEE and CIS counties are limited within these economies, this thesis compares these two country groups both from theory and practice, and
applies the conclusion to China, which constructs a bridge between transition research and China' s economic research.
关于转型时期的劳动力资源再配置问题，经典的最优转型速度(OST)理论认为，通过合理控制国有企业关闭的速度来实现劳动力资源再配置的最优化是转型时期政府最重要的手段。本文以OST理论为出发点，从宏观、中观和微观三个角度对CEE和CIS国家转型时期劳动力资源再配置的路径进行了比较，通过实证分析指出OST理论在关于劳动力供给、劳动力流动方式的假设上存在不足，也不能对CEE和CIS国家在再配置过程中出现的差异作出解释。通过引进“非就业福利”等劳动力市场制度因素，本文对OST理论进行了修正，得出结论认为合理建设劳动力市场制度、恰当安排福利制度改革的时间(在转型初期不能实行过于宽松的福利制度)相比OST理论所提出的“控制国企关闭速度”的政策建议，对优化劳动力资源再配置而言更为重要，通过对斯洛文尼亚1998年福利制度改革前后的情况进行实证分析，进一步证实了修正后的结论。另外，本文对CEE和CIS国家的比较研究还有其他一些发现，如对于转型国家的资源再配置，促进新企业、约束老企业是最成功转型国家的经验；与劳动力供给相关的人力资本建设对再配置而言也至关重要等，这些对我国改革时期的劳动力资源再配置都具有借鉴意义。
本文的第一章为导论；第二章介绍了转型和转型国家的情况、转型前的劳动力资源配置体系及转型对其的冲击；第三章引入了经典的OST理论，分析了转型国家的政府如何通过控制国企关闭的节奏来实现转型速度和劳动力资源再配置的最优化；第四章从宏、中、微观三个角度比较分析了CEE和CIS国家再配置的路径以及转型中出现的非就业情况，对OST理论进行实证分析，指出其不足之处并提出了修正目标；第五章修正了OST理论假设上的不足，分析了转型时期劳动力市场制度尤其是非就业福利的作用，得出了和OST理论不同的关于非就业福利设计的政策建议；第六章比较全面地考察了CEE和CIS国家在转型时期劳动力市场制度性因素的变动，对比分析了这些因素变动对劳动力资源的再配置造成的影响，选取斯洛文尼亚1998年福利制度改革的情况进行了实证研究，并就这些制度性因素的进一步调整提出了建议；最后一章将CEE和CIS国家比较的结论运用到了中国。
本文的创新之处在于：首先，以前关于非就业福利等劳动力市场制度的理论分析大多见于对发达国家的研究，本文将此运用到了转型国家，通过在OST理论基础上进行修正，得出关于劳动力资源再配置过程中应当如何安排非就业福利制度改革的建议，并通过对斯洛文尼亚的实证研究验证了该建议的合理性。其次，本文在对CEE和CIS国家转型期间劳动力资源再配置的路径进行比较分析时，第一次采用了宏观、中观和微观的三维研究方法，对两者的分析更为全面，这一方法在已有国内外相关文献中从未被采用过。再次，本文贯穿全文都采用了比较研究的方法，相对已有相关文献针对某几个国家或某一个方面的比较，本文针对两个国群，对两者的转型初始条件、再配置路径、以及影响再配置的劳动力市场制度性因素都进行了比较，通过这种全方位的比较来对大规模再配置进行分析，到目前为止也属于开创性的工作。此外，绝大多数对CEE和CIS国家情况的研究都是仅限于这些国家，并且以对这些国家情况的描述为主，本文从理论和实际角度对两类国家进行了比较研究，并将研究的部分结果运用到了中国，这在世界经济学科的转型研究和中国经济研究之间构起了桥梁，也使本文对CEE和CIS国家的研究更具有现实意义。
Based on the unprecedented economic background of transition from plan to market, this thesis researches on the paths of labor resources reallocation and the factors influencing the reallocation during transition. It is very important to understand transition and the function of labor market system better. In addition, it holds significance to develop the reallocation theory applying to any economies under large-scale restructuring. As its practical significance, this thesis does comparative study of the Central and Eastern European Countries (CEE) and the Commonwealth of Independent States (CIS), offers sufficient information to other transition countries and the countries facing resources reallocation problem. It also provided lessons and reference to China' s labor resources reallocation during reform.
This thesis takes "the labor resources reallocation during transition" as the topic, uses the classic the Optimal Speed of Transition (OST) theory as the basis, compares the paths of labor resources reallocation of CEE and CIS countries during transition from the three perspectives of macro, middle and micro. Through empirical analysis, this thesis points out that OST theory has deficiency in the hypothesis about labor supply and ways of labor flow so that it could not explain why CEE and CIS countries holds differences about labor resources reallocation. By introducing the labor market institutions as non-employment benefits, this thesis rectifies the OST theory and concludes that compared with the policy advice of "controlling the closure speed of state-owned enterprises" raised by OST theory, constructing the labor market institutions and arranging the reform time of welfare system properly is more important to the labor resources reallocation. The experimental analysis of 1998 Slovenia benefit reform testified that conclusion. What' s more, this thesis also finds that as to the resources reallocation during transition, promoting new enterprises and restraining old enterprises is the experience from the most successful transition country, and the human resources construction combined with labor supply is also very important to the reallocation.
This founds offer lessons to China' s labor resources reallocation during reform.
The first chapter is preface. The second chapter introduces the situation of transition and transition countries, the labor resources allocation system before transition and the shocks by transition. The third chapter introduces the OST theory, analyses the government of transition countries how to realize the optimization of transition speed and labor resources reallocation by controlling the closure speed of SOEs. The fourth chapter comparatively studies the paths of labor resources reallocation and the non-employment situation of CEE and CIS countries, analyses the OST theory empirically and points out its deficiency and amendment target. The fifth chapter rectifies the deficiency of hypothesis of OST theory, analyses the functions of labor market institutions especially the non-employment benefits during transition, draw a conclusion different with OST theory. The sixth chapter studies the adjustment of labor market institutional factors of CEE and CIS countries during transition, comparatively studies the impacts of these factors on the labor resources reallocation, takes the 1998 Slovenia benefit reform as example to do an experimental study to testify the conclusion, and offers some advices about the forward reform on these factors. The last chapter is applies of comparative conclusion of CEE and CIS countries to China.
The creations of this thesis lie in: firstly, the former theoretic analysis about the labor market institutions as non-employment benefits focused on developed countries, it is the first time to apply it in transition countries, by amending the OST theory, this thesis gets a new conclusion about how to arrange the benefit system reform during transition and testifies this conclusion through the experimental study about 1998 Slovenia benefit reform. Secondly, it is the first time to use the three-perspective comparative methods to compare the reallocation paths of CEE and CIS countries. Thirdly, this thesis uses the comparative method completely the whole thesis. In addition, most of the studies about CEE and CIS counties are limited within these economies, this thesis compares these two country groups both from theory and practice, and
applies the conclusion to China, which constructs a bridge between transition research and China' s economic research.
引文
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