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新视角

劳动力转移对我国经济增长的作用分析
——哈里斯 - 托达罗模型的一种扩展
马轶群 李晓春
(南京大学商学院,江苏 南京 210093)
摘要:本文运用对哈里斯 - 托达罗模型的扩展,把我国劳动力转移的特点纳入新古典增长模型,来分析
劳动力转移对我国经济增长的作用,劳动力的转移在二元结构的经济增长中可使经济的平衡增长路径收
敛于更高的人均资本存量,使我国经济增长处在更高的起点,而对城市部门各种直接和间接的补助行为
加大了城乡之间收入差距,对经济增长起到抑制作用,劳动力转移是有效弥补这种差距的手段。
关键词:二元经济增长;劳动力转移;平衡增长路径

一、提出问题
人口从农村流入城市是经济发展的共生现象。在
50-60年代经济学家一般都肯定这种人口流动对经济发展
的积极作用。代表性的文献是刘易斯于 1954 年发表的
《无限劳动供给下的经济发展》
,文中提出了著名的刘
易斯模型,这一模型在现代经济学界引起巨大反响。
但到 60 年代末 70 年代初,在许多发展中国家,城
市失业问题越来越严重,
于是对早期劳动力转移理论提
出了质疑,
哈里斯- 托达罗在1970 年发表的开创性的论
文中,
将农业部门向城市部门的劳动力转移的焦点放在
工业部门的失业上。很明显,哈里斯 - 托达罗模型比刘
易斯模型更具有一般性,但哈里斯 - 托达罗模型却忽略
了对发展中国家更有意义的经济增长。
在新古典增长模型中,分析经济增长的出发点是找
到平衡增长路径的收敛点,也就是稳态的人均资本存
量。 本文仍然沿用新古典增长模型的分析方法,
把我国
劳动力流动的特点纳入了新古典增长模型,建立了一个
适用于我国农村劳动力向城市转移的二元经济增长模型,
并在此基础上分析劳动力转移对平衡增长路径的影响。
二、分析模型
(一)模型的前提条件
(1 )经济分为两个部门:城市部门和农村部门
(2 )2 个部门的生产要素为资本和劳动力
(3 )城市部门生产供投资和消费用的产出,农村
部门只生产供消费用的产出,
也就是说整个社会的投资
由城市部门的生产提供
(4 )以农村部门产品价格为基准的城市部门产品
价格为 P
(5 )该国为小国经济,即价格为外生变量
以上条件在二元结构的经济中具有一般性,
在此基
础上我们再作出如下假设,
城市部门和农村部门的生产

76 经济理论研究

函数为强准凹, 一阶齐次函数, 分别为: m Ym=F (Lm,Km) a Ya =F (La,Ka)
为使分析简便这里不考虑技术进步,
因为其规模收
益不变性,
我们可以把两部门的生产函数用资本集约度
表示出来:
ym= f(km) , 其中 km =Km/Lm ,ym=Ym/Lm ya=f(ka), 其中 ka =Ka/La ,ya=Ya/La
经济总体的劳动力总量与资本总量分别为:L=L a +
Lm +L u ,K=K a+K m ,其中 L a 为农村部门劳动力,L m 为
城市部门劳动力,Lu 为城市部门失业人数,Ka 为农村部
门资本量,Km 为城市部门资本量,资本和劳动力可以在
两部门自由移动,
像一般的新古典经济增长模型一样我
们设定,
城市部门和农村部门的出生率相同为n,
即(dL/
dt)/L= (dLm/dt)/Lm =(dLa/dt)/La=n,
城市部门和农村
部门的折旧率相同为δ,
储蓄率为s,
做了这些约定我们
可以建立模型。
(二)二元经济结构下经济的增长:
根据前面假设,
城市部门资本存量的变动等于投资
减去城市部门折旧,农村部门资本存量的变动只有折
旧,我们可以得到以下两式: dKm /dt=s Ym -δKm ⑴ dKa/dt= -δKa ⑵
可以看到,如果不存在城市部门向农村部门提供投资
的话,农村部门的资本存量变动是净减少,像其他经济
增长模型一样,
整个经济体的资本集约度用k表示, k=K/ L,则:k=laka+lmkm ⑶
其中 la =La/L, lm =Lm/L,使用链式法则得到下面
三式:
dka/dt=(dK a/dt)/L a-ka(dLa/dt)/L a ⑷ dkm/dt= (dK m /dt)/ Lm -km(dL m/dt)/L m ⑸

新视角 dk/dt=-k(dL/dt)/L+laka(dLa/dt)/La+lmkm(dLm/dt)/ Lm+ladka/dt+lmdkm/dt ⑹
因为我们假设:
出生率(dL/dt)/L= (dLm/dt)/Lm =
(dL a /dt)/L a =n,⑹式可变为: dk/dt=-k n +laka n +lmkm n +ladka/dt+lmdkm/dt
把⑴,⑵,⑷,⑸式代入上式得:
dk/dt=slmf(k m)-(δ+n)k
令 dk/dt 为零,
得到整个经济体处于稳态的人均资
本存量: slmf(km)=(δ+n)k ⑺
⑺式就是二元结构经济增长的关键方程,
下面我们
引入劳动力转移。
(三)我国劳动力转移特点
在我国城乡差别较大,
城市职工的收入明显高于农
村的农民。于是,出现了农村劳动力流向城市的现象。
Harris-Todaro 将这一现象定式化,认为农业部门的劳
动力为了谋求高收入欲向工业部门转移时,
考虑的是工
业部门的期望工资与农村工资大小的比较(Harris and
Todaro,1970),
如果这里用Wm表示工业部门的工资,
Lm、
Lu 分别表示在职部门的在职人数和失业人数,
那么农村
劳动力对工业部门的期望工资就是 WmLm /( L m +Lu),这
样劳动力分配机制为:只要该期望工资高于农村部门的工
资 W a ,农村劳动力就会向工业部门转移,当期望工资
与农村部门的工资相等时,
农村劳动力就会停止向城市
移动,
劳动力转移的均衡点可以用以下公式表示 Wa=WmLm

/( Lm +Lu),我们假设λ = Lu / L m ,则上式可以表示
为:
Wa=Wm/( 1+λ) ⑻
从上面分析的我国劳动力转移的特点可知⑻式表示
劳动力转移的均衡点。
(四)考虑劳动力转移的经济增长模型的建立:
通过两部门追求利润最大化的行为,
可得出以下四
个方程:
P〔f(km)- kmf'(km)〕=W m(1-vm ) ⑼ f(ka)-k a f'(ka)= W a(1-va) ⑽
P f'(km)=r ⑾ f'(ka)=r ⑿
其中 f'(ki )=d f(ka)/dki (i=a,m),P 是以农村
部门产品价格为基准的城市部门产品的相对价格,vm , va 分别为对城市部门和农村部门的工资补贴,Wm ,Wa 分
别为城市部门和农村部门的工资率,
r为利率,因为两部
门资本可自由移动,两部门利率相等,按前面的假设,
还可以得到一个数量方程: la+(1+λ)lm=1 ⒀
至此,
我们建立了一个考虑劳动力转移的经济增长
模型,该模型包括 8 个内生变量:W a , λ,k m ,k a ,l a ,

lm,k,r,可以由⑶及⑺—⒀共 8 个方程解出。
三、理论分析
对⑶及⑺—⒀式全微分,在 vm , v a 为 0 时整理,
可以得到:

对⒁式求解有:dk/dv m = (α + β + γ)/ Δ,其
中Δ为⒁的系数行列式,并且:
α=-Wm P ka f"(km ) ka f"(ka )f(km)lm s<0, β= Wa 2 P f"(km )la s f(km)<0 γ=slm kmf'(km)- (1+λ)ka f'(km)lm s-f(km)lm s<0
Δ=P Wa km f"(km ) f"(ka ) (1+ λ)ka (n+δ)+s

f(km)-km (n+ δ))
>0
因此dk/dvm <0 ⒂
从⒂式可以得到下面的命题:
命题:对城市部门工资补贴越高稳态的人均资本存
量越低,反之,稳态的人均资本存量越高。
这里把对城市部门的工资补贴Vm 看作我国经济常态
的一种近似,
在模型中对城市部门提供工资补贴相当于
提高城市部门的工资,引起劳动力的流动,当城市部门
的工资补贴逐渐减少直至为零时,
劳动力转移达到均衡
点,劳动力不再流动。这样对方程⒁求解,实际上得出
了劳动力流动对稳态人均资本存量的影响。
结论:劳动力从农村部门向城市部门自由转移可以
使整个经济体的平衡增长路径收敛于更高的人均资本存
量,当劳动力转移达到均衡点不再移动时,城乡收入
差别消失,稳态的人均资本存量也就达到最大。这时
如果政府向城市部门提供工资补贴,
又会引起劳动力向
城市部门转移,
这种政策行为导致城乡收入差别重新出
现, 城乡收入差别使稳态的人均资本存量下降。
四、结束语
通过模型分析我们知道劳动力的自由转移最终会促
使人均资本存量的不断增加,使平衡增长路径收敛于不
断增加的人均资本存量,可以很清楚,城乡差别是引起
劳动力转移的根本原因,劳动力转移只是对城乡之间收
入不同的弥补,目前在我国劳动力转移有诸多限制,最
(下转第 75 页)

经济理论研究 77

法律天地
认可后对债权人全体有约束力。
债权人会议决议的作出
通常是通过少数服从多数得到的,
且此处的少数不仅指
人数更关注债权额。如日本《破产法》规定,可决强制

或于决议和解时未曾出席亦未委托代理人出席,
而能证
明和解偏重其他债权人之利益有损本人权利者,
可自法
院认可和解或商会主席签署和解契约之日起十日内,


和解,
应有可行使表决权的出席破产债权人的过半数、

债权额相当于已申报破产债权人总债权的3/4 以上者同
意。台湾《破产法》也有类似规定。我国《企业破产法》
第16条规定, 债权人会议的决议,

由出席会议的有表决

请法院撤销和解。我国《企业破产法》第 16 条规定,债
权人认为债权人会议的决议违反法律规定的,
可以在债
权人会议作出决议后七日内提请人民法院裁定。可见,
我国法仅允许债权人在和解决议程序和内容违法的情况

权的债权人的过半数通过,并且其所代表的债权额,必
须占无财产担保债权总额的半数以上,
但是通过和解协
议草案的决议,
必须占无财产担保债权总额的2/3以上。
债权人会议的决议,
对于全体债权人均有约束力。 由以


下才可以申请法院审查,
而没有为债权人认为自己利益
受损时提供救济途径。
综上所述,新《破产法》的制定填补了我国没有
统一破产法的空白,
将在我国法制建设的进程中添加浓

上规定可以看出,
破产和解常常是在忽略小额债权人利
益的情况下达成的。因此,若无对小额债权人的特殊保
护,
多数或大额债权人很可能利用其表决权优势侵害小
额债权人的正当利益,
有违公平正义原则和债权人共担

墨重彩的一笔,欣喜之余笔者提出些许观点和建议,以
期抛砖引玉。

损失的破产制度本意。依据各国的立法例,目前主要有
两项制度或原则对此进行规制。
(1 )确立各破产债权人平等对待原则。所谓平等
对待,
是指所有债权人对债务作出的减让应该一律平等,

[1]王利明.破产立法中的若干疑难问题探讨.法学,
2005
年第 3 期
[2]杜万华,
宋晓明.基层人民法院法官培训教材实务卷
[3]陈爱国.破产企业债权人权益保护之我见.法学评论

包括债务清偿期限、减免的比例等,小额债权人不应被
要求作出更大牺牲和让步。
如日本
《破产法》
第304条规
定,
“强制和解的条件对于各破产债权人应一律平等。

是,经 受 不 利 益 者 同 意 时 ,不在此限。


(双月刊)
,1999 年第 5 期
[4]Robert W. Hamilton: The Law of Corporations, 4th Edition, West Publishing Co. 1996
[5]朱慈蕴.公司法人格否认法理研究.北京 法律出版


(2 )赋予债权人对和解协议的异议权和请求撤销
权。
规定有此项权利的国家一般赋予债权人基于两个原
因提出异议和申请撤销。
其一是和解协议的内容或程序
违法;第二是认为和解协议侵犯其合法权益。
如台湾
《破

社,1998 年
[6]梁宇贤.商事法论.北京 中国人民大学出版社,

2003年

产法》
规定,
债权人于债权人会议时不赞同和解之条件,

张晓霞,法学学士,北京市天睿律师事务所律师。

(上接第 77 页)主要的限制应该说是户籍制度,李晓春
等已在这方面做过研究
(李晓春,
2004)除了户籍制度,

还有很多因素限制着劳动力的自由转移,
如劳动力转移的
成本,
劳动力转移到城市的就业问题以及民工子女入托、
入学等问题,
这些问题都可以通过哈里斯-托达罗模型的
扩展来研究。
[ 注]:本论文得到江苏省社科规划 2 0 0 4 年度基金第
04ELB016号的资助,
是江苏省哲学社会科学研究
“十五”
规划基金项目成果。
参考文献:
[1] Solow,Robert M. A Contribution to the Theory of Economic Growth J]
[ .Quarterly Journal of Economic,1956,
70,1
(February) 65-94

[2]Mas-Colell,Andreu and Assaf Razin. A Model of Intersectoral

参考文献:

作者简介:

Migration and Growth J]
[ Oxford Economic Papers, 1973, 25(March) 72-79

[3]Harris J.R.and M.P.Todaro. Migraion,Unemployment and Develoyment:A Tow-Sector Analysis,American Economic
[J]
Review, 1970,
Vol.60
[4]V.Chandra and M.A.Khan. Foreign Investment in the Presence of an informal Sector J]
[ Economica,1993,60:79-103
[5]M.R.Gupta. Foreign Capital and the Informal Sector:Comments on Chandra and Khan Economica,1997,64:35-63
[J]
[6]李晓春,
马轶群.我国户籍制度下的劳动力转移
[J]

管理世界,2004(11)
:47-52
作者简介:
1.马轶群,南京大学商学院经济系 03 级硕士研究生。
2.李晓春,南京大学经济系副教授,日本名古屋大学经
济学博士。

经济理论研究 75

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...A business undertaking is an organisation which is engaged in some industrial or commercial activity. It represents an institutional arrangement for carrying on any kind of business activity. It may be owned and controlled by a single individual or by a group of individuals who have entered into a formal or informal agreement to jointly conduct the business. Every business undertaking is a separate and distinct business unit. It has its own identity and separate ownership. It can be distinguished from other undertakings on the basis of its ownership, management and control. According to Wheeler, a business undertaking is a concern, company or enterprise which buys and sells, is owned by one person or a group of persons and is managed under a specific set of operating policies". Thus, a business undertaking may be defined as an organisation operating under separate ownership, management and control and carrying on any business activity with independent risk- bearing. All business undertakings are directly or indirectly engaged in the transfer or exchange of goods and services for value. They deal in goods and services on a regular basis. Their main motive is to earn profits and they are exposed to various types of risks. Characteristics of a Business Undertaking The basic features of a business undertaking are as follows: 1. Separate identity: Every business undertaking has a separate identity. It has a distinct name and separate existence. Its assets and liabilities are...

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