Para Marx, o capital é um sujeito automático e, ao mesmo tempo, depende da exploração do proletariado, e dos interesses da burguesia e dos membros do Estado burguês de direito. À primeira vista, parece incoerência, contradição e erro de raciocínio defender que algo seja automático enquanto este algo é movido pelo conjunto da sociedade. Para um pensamento pautado pela identidade abstrata (como o mainstream científico) o lógico do automático e o socio-lógico dos representantes particulares do gênero humano não podem coexistir como elementos explicativos de um mesmo objeto - o capital. Mas, isso também polariza e divide marxistas e teóricos da dialética. Essa determinação de que um dos lados é verdadeiro e o outro deve ser falso pode ser compreendida como manifestação da identidade abstrata, que é forma absoluta da ideologia e é fundamentada nos princípios da não-contradição e do terceiro excluído. Grosso modo, no polo da identidade temos conceitos e deduções lógicas, no da não-identidade temos dados e fatos empíricos. Ocorre que Marx disse não partir de nenhum dos dois polos, mas das formas sociais. Se, para Marx, ambos os polos são verdadeiros e, ao mesmo tempo, sua investigação não parte de nenhum deles, mas das formas sociais - pouco definidas na história do marxismo - talvez elas sejam chave para compreender como conciliar os polos, mantendo no centro a contradição. Assim, a principal tarefa desta tese é apresentar, do modo mais explícito possível, uma caixa de ferramentas orientada a investigar a realidade social mantendo a tensa e contraditória unidade entre os polos da identidade e da não-identidade (definidos por diversos outros pares de termos ao longo da tese), tendo no centro o conceito de forma social. Para isso, foi necessário inicialmente expor os debates que, no campo marxista, podem confirmar a existência de tal polarização (primeiro ensaio). No ensaio seguinte, os fundamentos hegelianos da dialética marxista são mobilizados para desenvolver uma definição para o conceito de forma social. Ao final desse segundo ensaio, apresentamos e discutimos as duas definições de capital que abrem este resumo (mas que estão também em Marx). A partir daí passamos a refletir sobre as tendências à dissolução do capital-sujeito e as contratendências que agem no sentido de impedir tal dissolução. O primeiro par tendência-contratendência estudado é a lei tendencial da queda na taxa de lucro em sua relação com a financeirização (terceiro ensaio) e o segundo apresenta tendências dissolutivas mais gerais contrariadas por técnicas de subsunção da força viva de trabalho ao capital (quarto ensaio). Em poucas palavras, o principal objetivo desta tese é desenvolver ferramentas para manter a tensão da não-identidade na identidade, a conciliação negativa dos polos unilaterais. Trata-se de apontar para a dignidade do obscuro, do negativo e do velado que resistem no objeto. As seções finais do último ensaio, que constituem também um encerramento da tese, expõem mecanismos por meio dos quais o impedimento ao pensar não-idêntico é tão caro à estabilização do sistema social capitalista. Eles são fundamentos da tendência à unilateralização dos discursos, que passam a se rejeitar mutuamente. Por isso, mesmo intramuros da discussão marxista e dialética, parece difícil escapar da unilateralização. O necessário desmoronar das certezas, em favor da unidade contraditória da Coisa com seu conceito, é assim o impulso maior da teorização aqui apresentada. / For Karl Marx, capital is an automatic subject and, at the same time, it depends on the exploration of the proletariat and on the interests of the bourgeoisie and of the members of the bourgeois State. At first sight, it seems incoherence, contradiction and error of reasoning to argue that something is automatic while this something is moved by the whole of society. For a thinking based on abstract identity (as is the scientific mainstream) the logical of the automatic and the socio-logical of the particular representatives of the human species (menschliche Gattung) can not coexist as explanatory elements of the same object - capital. But this also polarizes and divides Marxists and dialectical theorists. This determination that one side is true and the other must be false can be understood as a manifestation of abstract identity, which is the absolute form of ideology and is based on the principles of non-contradiction and the excluded middle. Roughly, when it comes to identity, we have concepts and logical deductions. In the case of non-identity, we have data and empirical facts. But Marx did not see the beginning of his science coming from one or another side of contradiction, but from the social forms. If, for Marx, both sides are true and at the same time his research did not come from any of them, but from the social forms - barely conceptualized in the history of Marxism - perhaps they are key to understanding how to reconcile both sides, keeping the contradiction in the center. Thus, the main task of this thesis is to present, as explicitly as possible, a toolbox oriented to investigate social reality maintaining the tense and contradictory unity between the sides of identity and non-identity (defined by several other pairs of terms throughout the thesis), having in the center the concept of social form. To this end, it was necessary to first present the debates which, in the Marxist field, can confirm the existence of such polarization (first essay). In the following essay, the Hegelian foundations of Marxist dialectics are mobilized to develop a definition for the concept of the social form. At the end of the second essay, we present and discuss the two definitions of capital that open this abstract (but which are also in Marx theorization). From that point on, we begin to reflect on the tendencies toward the dissolution of the capital as subject and the tendencies that act to prevent such dissolution. The first tendency-to-counter-tendency pair studied is the law of the tendency of the rate of profit to fall in relation to financialization (third essay) and the second essay presents more general dissolution tendencies contradicted by techniques of subsumption of labor force to capital (fourth essay). In short, the main objective of this thesis is to develop tools to maintain the tension of non-identity in identity, that is, the negative reconciliation of unilateral sides. It is about pointing to the dignity of the obscure, the negative and the veiled that resist in the object. The final sections of the last essay, which also constitutes a closing of the thesis as a whole, expose some mechanisms by which the impediment to non-identical thinking is so dear to the stabilization of the capitalist social system. They are the foundations of the tendency to unilateralize discourses that are mutually rejecting. Hence, even within the walls of Marxist and dialectical discussion, it seems difficult to escape from unilateralisation. The necessary breakdown of certainties, in favor of the contradictory unity of the Thing with its concept, is thus the major thrust of the theorizing presented here.

Para Marx, o capital é um sujeito automático e, ao mesmo tempo, depende da exploração do proletariado, e dos interesses da burguesia e dos membros do Estado burguês de direito. À primeira vista, parece incoerência, contradição e erro de raciocínio defender que algo seja automático enquanto este algo é movido pelo conjunto da sociedade. Para um pensamento pautado pela identidade abstrata (como o mainstream científico) o lógico do automático e o socio-lógico dos representantes particulares do gênero humano não podem coexistir como elementos explicativos de um mesmo objeto - o capital. Mas, isso também polariza e divide marxistas e teóricos da dialética. Essa determinação de que um dos lados é verdadeiro e o outro deve ser falso pode ser compreendida como manifestação da identidade abstrata, que é forma absoluta da ideologia e é fundamentada nos princípios da não-contradição e do terceiro excluído. Grosso modo, no polo da identidade temos conceitos e deduções lógicas, no da não-identidade temos dados e fatos empíricos. Ocorre que Marx disse não partir de nenhum dos dois polos, mas das formas sociais. Se, para Marx, ambos os polos são verdadeiros e, ao mesmo tempo, sua investigação não parte de nenhum deles, mas das formas sociais - pouco definidas na história do marxismo - talvez elas sejam chave para compreender como conciliar os polos, mantendo no centro a contradição. Assim, a principal tarefa desta tese é apresentar, do modo mais explícito possível, uma caixa de ferramentas orientada a investigar a realidade social mantendo a tensa e contraditória unidade entre os polos da identidade e da não-identidade (definidos por diversos outros pares de termos ao longo da tese), tendo no centro o conceito de forma social. Para isso, foi necessário inicialmente expor os debates que, no campo marxista, podem confirmar a existência de tal polarização (primeiro ensaio). No ensaio seguinte, os fundamentos hegelianos da dialética marxista são mobilizados para desenvolver uma definição para o conceito de forma social. Ao final desse segundo ensaio, apresentamos e discutimos as duas definições de capital que abrem este resumo (mas que estão também em Marx). A partir daí passamos a refletir sobre as tendências à dissolução do capital-sujeito e as contratendências que agem no sentido de impedir tal dissolução. O primeiro par tendência-contratendência estudado é a lei tendencial da queda na taxa de lucro em sua relação com a financeirização (terceiro ensaio) e o segundo apresenta tendências dissolutivas mais gerais contrariadas por técnicas de subsunção da força viva de trabalho ao capital (quarto ensaio). Em poucas palavras, o principal objetivo desta tese é desenvolver ferramentas para manter a tensão da não-identidade na identidade, a conciliação negativa dos polos unilaterais. Trata-se de apontar para a dignidade do obscuro, do negativo e do velado que resistem no objeto. As seções finais do último ensaio, que constituem também um encerramento da tese, expõem mecanismos por meio dos quais o impedimento ao pensar não-idêntico é tão caro à estabilização do sistema social capitalista. Eles são fundamentos da tendência à unilateralização dos discursos, que passam a se rejeitar mutuamente. Por isso, mesmo intramuros da discussão marxista e dialética, parece difícil escapar da unilateralização. O necessário desmoronar das certezas, em favor da unidade contraditória da Coisa com seu conceito, é assim o impulso maior da teorização aqui apresentada. / For Karl Marx, capital is an automatic subject and, at the same time, it depends on the exploration of the proletariat and on the interests of the bourgeoisie and of the members of the bourgeois State. At first sight, it seems incoherence, contradiction and error of reasoning to argue that something is automatic while this something is moved by the whole of society. For a thinking based on abstract identity (as is the scientific mainstream) the logical of the automatic and the socio-logical of the particular representatives of the human species (menschliche Gattung) can not coexist as explanatory elements of the same object - capital. But this also polarizes and divides Marxists and dialectical theorists. This determination that one side is true and the other must be false can be understood as a manifestation of abstract identity, which is the absolute form of ideology and is based on the principles of non-contradiction and the excluded middle. Roughly, when it comes to identity, we have concepts and logical deductions. In the case of non-identity, we have data and empirical facts. But Marx did not see the beginning of his science coming from one or another side of contradiction, but from the social forms. If, for Marx, both sides are true and at the same time his research did not come from any of them, but from the social forms - barely conceptualized in the history of Marxism - perhaps they are key to understanding how to reconcile both sides, keeping the contradiction in the center. Thus, the main task of this thesis is to present, as explicitly as possible, a toolbox oriented to investigate social reality maintaining the tense and contradictory unity between the sides of identity and non-identity (defined by several other pairs of terms throughout the thesis), having in the center the concept of social form. To this end, it was necessary to first present the debates which, in the Marxist field, can confirm the existence of such polarization (first essay). In the following essay, the Hegelian foundations of Marxist dialectics are mobilized to develop a definition for the concept of the social form. At the end of the second essay, we present and discuss the two definitions of capital that open this abstract (but which are also in Marx theorization). From that point on, we begin to reflect on the tendencies toward the dissolution of the capital as subject and the tendencies that act to prevent such dissolution. The first tendency-to-counter-tendency pair studied is the law of the tendency of the rate of profit to fall in relation to financialization (third essay) and the second essay presents more general dissolution tendencies contradicted by techniques of subsumption of labor force to capital (fourth essay). In short, the main objective of this thesis is to develop tools to maintain the tension of non-identity in identity, that is, the negative reconciliation of unilateral sides. It is about pointing to the dignity of the obscure, the negative and the veiled that resist in the object. The final sections of the last essay, which also constitutes a closing of the thesis as a whole, expose some mechanisms by which the impediment to non-identical thinking is so dear to the stabilization of the capitalist social system. They are the foundations of the tendency to unilateralize discourses that are mutually rejecting. Hence, even within the walls of Marxist and dialectical discussion, it seems difficult to escape from unilateralisation. The necessary breakdown of certainties, in favor of the contradictory unity of the Thing with its concept, is thus the major thrust of the theorizing presented here.

O objetivo central desta tese é verificar novas evidências para a Lei da Queda Tendencial da Taxa de Lucro nos Estados Unidos da América. Primeiramente, apresenta-se revisão bibliográfica sobre a Lei e sua verificação empírica. Observa-se uma tendência inerente ao capitalismo de baixar a taxa de lucro média, que estimações de séries de taxa de lucro podem ser obtidas a partir das contas nacionais e, também, que não há consenso sobre a metodologia de estimação mais adequada. Por não haver consenso, são identificadas e avaliadas as qualidades desejáveis das diferentes séries de taxa de lucro. É desejável que a série de taxa de lucro tenha relação estável de longo prazo com variáveis de investimento e de produção, apresente movimentos cíclicos, tendência de queda e, em períodos de mudanças bruscas da economia, mostre outliers e quebras. No curto prazo, é desejável que a taxa de lucro apresente Granger-causar variáveis de investimento e de produção. Estas qualidades são testadas e avaliadas nas diferentes séries de taxa de lucro. São examinadas as metodologias de estimação da taxa de lucro de Duménil e Lévy (2011), Shaikh (2010), Kliman (2011), Jones (2012), Freeman (2012), Norfield (2012), Bakir e Campbell (2015), Marquetti (2012a), Husson (2010) e Moseley (1991). É, então, estimada a taxa de lucro segundo as diferentes metodologias, considerando custos de reposição, custos históricos, em expressão monetária do tempo de trabalho, incluindo e excluindo o capital financeiro, incluindo e excluindo a rotação do capital. As séries resultantes são agrupadas conforme o tamanho da amostra e analisadas por meio de instrumental econométrico. Para as séries de taxa de lucro integradas de primeira ordem, aplica-se o teste de cointegração com as séries de investimento e produção de mesma ordem de integração. Também são realizados testes de causalidade de Granger entre essas variáveis. Para as séries de maior dimensão amostral, são aplicados modelos de espaço de estados, os quais apresentam resultados convergentes e apontam tendência de queda na taxa de lucro a custos de reposição e irrelevância da política neoliberal na determinação dos movimentos da taxa de lucro. Além disso, torna-se evidente que não há uma metodologia de estimação de taxa de lucro que seja absolutamente superior. Para cada problema de pesquisa há vantagens e desvantagens no uso de cada série de taxa de lucro. / The central objective of this thesis is to verify new evidence for the Law of the Tendency of the Profit Rate to Fall in the United States of America. First, we present a bibliographical review on the Law and its empirical verification. We notice an inherent tendency to capitalism to lower the average profit rate, that estimates of profit rate series can be obtained from national accounts and, also, that there is no consensus on the most appropriate estimation methodology. Because there is no consensus, the desired qualities of the different profit rate series are identified and evaluated. It is desirable that, in the long run, the series of profit rates have a stable relationship with investment and production variables, show cyclical movements, a downward trend and, in times of sudden changes in the economy, show outliers and breaks. In the short term, it is desirable that the rate of profit Granger-cause investment and production variables. These qualities are tested and evaluated for the different profit rate series. We examine the methodologies for estimating the profit rate proposed by Duménil and Lévy (2011), Shaikh (2010), Kliman (2011), Jones (2012), Freeman (2012), Norfield (2012), Bakir and Campbell Marquetti (2012a), Husson (2010) and Moseley (1991). Then, we estimate the rate of profit according to the different methodologies, considering replacement costs, historical costs, in the monetary expression of working time, including and excluding financial capital, including and excluding capital turnover. The resulting series are grouped according to the sample size and analysed by means of econometric instruments. For the first-order integrated profit rate series, the cointegration test is applied with the investment and production series of the same integration order. Granger causality tests are also performed between these variables. For the series of larger sample size, state space models are applied, which show convergent results and indicate a tendency of a decrease in the rate of profit at replacement costs and irrelevance of the neoliberal policy in determining the movements of the profit rate. In addition, it becomes evident that there is no methodology for estimating the rate of profit that is absolutely superior. For each research problem there are advantages and disadvantages in using each series of profit rate.

O objetivo central desta tese é verificar novas evidências para a Lei da Queda Tendencial da Taxa de Lucro nos Estados Unidos da América. Primeiramente, apresenta-se revisão bibliográfica sobre a Lei e sua verificação empírica. Observa-se uma tendência inerente ao capitalismo de baixar a taxa de lucro média, que estimações de séries de taxa de lucro podem ser obtidas a partir das contas nacionais e, também, que não há consenso sobre a metodologia de estimação mais adequada. Por não haver consenso, são identificadas e avaliadas as qualidades desejáveis das diferentes séries de taxa de lucro. É desejável que a série de taxa de lucro tenha relação estável de longo prazo com variáveis de investimento e de produção, apresente movimentos cíclicos, tendência de queda e, em períodos de mudanças bruscas da economia, mostre outliers e quebras. No curto prazo, é desejável que a taxa de lucro apresente Granger-causar variáveis de investimento e de produção. Estas qualidades são testadas e avaliadas nas diferentes séries de taxa de lucro. São examinadas as metodologias de estimação da taxa de lucro de Duménil e Lévy (2011), Shaikh (2010), Kliman (2011), Jones (2012), Freeman (2012), Norfield (2012), Bakir e Campbell (2015), Marquetti (2012a), Husson (2010) e Moseley (1991). É, então, estimada a taxa de lucro segundo as diferentes metodologias, considerando custos de reposição, custos históricos, em expressão monetária do tempo de trabalho, incluindo e excluindo o capital financeiro, incluindo e excluindo a rotação do capital. As séries resultantes são agrupadas conforme o tamanho da amostra e analisadas por meio de instrumental econométrico. Para as séries de taxa de lucro integradas de primeira ordem, aplica-se o teste de cointegração com as séries de investimento e produção de mesma ordem de integração. Também são realizados testes de causalidade de Granger entre essas variáveis. Para as séries de maior dimensão amostral, são aplicados modelos de espaço de estados, os quais apresentam resultados convergentes e apontam tendência de queda na taxa de lucro a custos de reposição e irrelevância da política neoliberal na determinação dos movimentos da taxa de lucro. Além disso, torna-se evidente que não há uma metodologia de estimação de taxa de lucro que seja absolutamente superior. Para cada problema de pesquisa há vantagens e desvantagens no uso de cada série de taxa de lucro. / The central objective of this thesis is to verify new evidence for the Law of the Tendency of the Profit Rate to Fall in the United States of America. First, we present a bibliographical review on the Law and its empirical verification. We notice an inherent tendency to capitalism to lower the average profit rate, that estimates of profit rate series can be obtained from national accounts and, also, that there is no consensus on the most appropriate estimation methodology. Because there is no consensus, the desired qualities of the different profit rate series are identified and evaluated. It is desirable that, in the long run, the series of profit rates have a stable relationship with investment and production variables, show cyclical movements, a downward trend and, in times of sudden changes in the economy, show outliers and breaks. In the short term, it is desirable that the rate of profit Granger-cause investment and production variables. These qualities are tested and evaluated for the different profit rate series. We examine the methodologies for estimating the profit rate proposed by Duménil and Lévy (2011), Shaikh (2010), Kliman (2011), Jones (2012), Freeman (2012), Norfield (2012), Bakir and Campbell Marquetti (2012a), Husson (2010) and Moseley (1991). Then, we estimate the rate of profit according to the different methodologies, considering replacement costs, historical costs, in the monetary expression of working time, including and excluding financial capital, including and excluding capital turnover. The resulting series are grouped according to the sample size and analysed by means of econometric instruments. For the first-order integrated profit rate series, the cointegration test is applied with the investment and production series of the same integration order. Granger causality tests are also performed between these variables. For the series of larger sample size, state space models are applied, which show convergent results and indicate a tendency of a decrease in the rate of profit at replacement costs and irrelevance of the neoliberal policy in determining the movements of the profit rate. In addition, it becomes evident that there is no methodology for estimating the rate of profit that is absolutely superior. For each research problem there are advantages and disadvantages in using each series of profit rate.

O objetivo central desta tese é verificar novas evidências para a Lei da Queda Tendencial da Taxa de Lucro nos Estados Unidos da América. Primeiramente, apresenta-se revisão bibliográfica sobre a Lei e sua verificação empírica. Observa-se uma tendência inerente ao capitalismo de baixar a taxa de lucro média, que estimações de séries de taxa de lucro podem ser obtidas a partir das contas nacionais e, também, que não há consenso sobre a metodologia de estimação mais adequada. Por não haver consenso, são identificadas e avaliadas as qualidades desejáveis das diferentes séries de taxa de lucro. É desejável que a série de taxa de lucro tenha relação estável de longo prazo com variáveis de investimento e de produção, apresente movimentos cíclicos, tendência de queda e, em períodos de mudanças bruscas da economia, mostre outliers e quebras. No curto prazo, é desejável que a taxa de lucro apresente Granger-causar variáveis de investimento e de produção. Estas qualidades são testadas e avaliadas nas diferentes séries de taxa de lucro. São examinadas as metodologias de estimação da taxa de lucro de Duménil e Lévy (2011), Shaikh (2010), Kliman (2011), Jones (2012), Freeman (2012), Norfield (2012), Bakir e Campbell (2015), Marquetti (2012a), Husson (2010) e Moseley (1991). É, então, estimada a taxa de lucro segundo as diferentes metodologias, considerando custos de reposição, custos históricos, em expressão monetária do tempo de trabalho, incluindo e excluindo o capital financeiro, incluindo e excluindo a rotação do capital. As séries resultantes são agrupadas conforme o tamanho da amostra e analisadas por meio de instrumental econométrico. Para as séries de taxa de lucro integradas de primeira ordem, aplica-se o teste de cointegração com as séries de investimento e produção de mesma ordem de integração. Também são realizados testes de causalidade de Granger entre essas variáveis. Para as séries de maior dimensão amostral, são aplicados modelos de espaço de estados, os quais apresentam resultados convergentes e apontam tendência de queda na taxa de lucro a custos de reposição e irrelevância da política neoliberal na determinação dos movimentos da taxa de lucro. Além disso, torna-se evidente que não há uma metodologia de estimação de taxa de lucro que seja absolutamente superior. Para cada problema de pesquisa há vantagens e desvantagens no uso de cada série de taxa de lucro. / The central objective of this thesis is to verify new evidence for the Law of the Tendency of the Profit Rate to Fall in the United States of America. First, we present a bibliographical review on the Law and its empirical verification. We notice an inherent tendency to capitalism to lower the average profit rate, that estimates of profit rate series can be obtained from national accounts and, also, that there is no consensus on the most appropriate estimation methodology. Because there is no consensus, the desired qualities of the different profit rate series are identified and evaluated. It is desirable that, in the long run, the series of profit rates have a stable relationship with investment and production variables, show cyclical movements, a downward trend and, in times of sudden changes in the economy, show outliers and breaks. In the short term, it is desirable that the rate of profit Granger-cause investment and production variables. These qualities are tested and evaluated for the different profit rate series. We examine the methodologies for estimating the profit rate proposed by Duménil and Lévy (2011), Shaikh (2010), Kliman (2011), Jones (2012), Freeman (2012), Norfield (2012), Bakir and Campbell Marquetti (2012a), Husson (2010) and Moseley (1991). Then, we estimate the rate of profit according to the different methodologies, considering replacement costs, historical costs, in the monetary expression of working time, including and excluding financial capital, including and excluding capital turnover. The resulting series are grouped according to the sample size and analysed by means of econometric instruments. For the first-order integrated profit rate series, the cointegration test is applied with the investment and production series of the same integration order. Granger causality tests are also performed between these variables. For the series of larger sample size, state space models are applied, which show convergent results and indicate a tendency of a decrease in the rate of profit at replacement costs and irrelevance of the neoliberal policy in determining the movements of the profit rate. In addition, it becomes evident that there is no methodology for estimating the rate of profit that is absolutely superior. For each research problem there are advantages and disadvantages in using each series of profit rate.

In this study, the hydrolytic kinetics of mixtures of cotton gin waste (CGW) and recycled paper sludge (RPS) at various initial enzyme concentrations of Spezyme AO3117 and Novozymes NS50052 was investigated. The experiments showed that the concentrations of reducing sugars and the conversions of the mixtures increased with increasing initial enzyme concentration. The reducing sugar concentration and conversion of the mixture of 75% CGW and 25% RPS were higher than those of the mixture of 80% CGW and 20% RPS. The conversion of the former could reach 73.8% after a 72-hour hydrolysis at the initial enzyme loading of 17.4 Filter Paper Unit (FPU)/g substrate. A three-parameter kinetic model with convergent property based on enzyme deactivation and its analytical expression were derived. Using nonlinear regression, the parameters of the model were determined from the experimental data of hydrolytic kinetics of the mixtures. Based on this kinetic model of hydrolysis, two profit rate models, representing two kinds of operating modes with and without substrate recycling, were developed. Using the profit rate models, the optimal enzyme loading and hydrolytic time could be predicted for the maximum profit rate in ethanol production according to the costs of enzyme and operation, enzyme loading, and ethanol market price. Simulated results from the models based on the experimental data of hydrolysis of the mixture of 75% CGW and 25% RPS showed that use of a high substrate concentration and an operating mode with feedstock recycle could greatly increase the profit rate of ethanol production. The results also demonstrated that the hydrolysis at a low enzyme loading was economically required for systematic optimization of ethanol production. The development of profit rate model points out a way to optimize a monotonic function with variables, such as enzyme loading and hydrolytic time for the maximum profit rate. The study also investigated the ethanol production from the steam-exploded mixture of 75 wt% cotton gin waste and 25 wt% recycled paper sludge at various influencing factors, such as enzyme concentration, substrate concentration, and severity factor, by a novel operating mode: semi-simultaneous saccharification and fermentation (SSSF) consisting of a pre-hydrolysis and a simultaneous saccharification and fermentation (SSF). Four cases were studied: 24-hour pre-hydrolysis + 48-hour SSF (SSSF 24), 12-hour pre-hydrolysis + 60-hour SSF (SSSF 12), 72-hour SSF, and 48-hour hydrolysis + 12-hour fermentation (SHF). SSSF 24 produced higher ethanol concentration, yield, and productivity than the other operating modes. The higher temperature of steam explosion favored of ethanol production, but the higher initial enzyme concentration could not increase the final ethanol concentration though the hydrolytic rate of the substrate was increased. A mathematical model of SSSF, which consisted of an enzymatic hydrolysis model and a SSF model including four ordinary differential equations that describe the changes of cellobiose, glucose, microorganism, and ethanol concentrations with respect to residence time, was developed, and was used to simulate the data for the four components in the SSSF processes of ethanol production from the mixture. The model parameters were determined by a MATLAB program based on the batch experimental data of the SSSF. The analysis to the reaction rates of cellobiose, glucose, cell, and ethanol using the model and the parameters from the experiments showed that the conversion of cellulose to cellobiose was a rate-controlling step in the SSSF process of ethanol production from cellulose. / Ph. D.

本文主要是利用中國統計年鑑、中國鄉鎮企業年鑑、中國工業經濟統計年鑑及1995年第三次全國工業普查資料匯編各年版所提供的一九九五至一九九七年期間大陸工業三十三個產業別之追蹤資料，研究大陸鄉鎮企業對國有企業經營績效之影響。本文所定義的國有企業經營績效，主要分為兩部分：一為大陸國有企業的獲利能力，一為大陸國有企業的生產技術效率。在大陸國有企業的獲利能力部分，本研究論文是採用固定效果模型（fixed-effect model）之迴歸模型來探討大陸鄉鎮企業的產業發展對國有企業獲利能力的影響。接著在大陸國有企業的生產技術效率部分，本研究論文則採用Battese and Coelli（1995）提出的具有轉移對數形式及可採用時序加截面數據的隨機邊界生產函數模型（stochastic frontier production function model），來探討大陸鄉鎮企業的產業發展對國有企業技術效率的影響。 　　本文主要的研究發現為，大陸鄉鎮企業確實對國有企業之經營績效產生不利影響。從區分的產業類別來看，大陸鄉鎮企業對國有輕工業部門經營績效之影響，已由損害獲利階段進入不利技術效率之階段，而國有重工業部門則停留在受鄉鎮企業負面影響獲利的階段，此乃由於鄉鎮企業發展階段的不同，所造成的影響結果亦有所差異。在本文之研究期間，鄉鎮企業在輕工業的發展已趨成熟，並開始積極發展重工業部門，所以國有之重工業部門依循其輕工業受影響模式，已出現獲利受到鄉鎮企業影響而下降之情形。 　　其次，本文之實證結果顯示，國有企業規模對其經營績效有顯著的助益效果。規模較大之國有企業尤其是大型國有之重工業，確實存在顯著的規模經濟效益。亦顯現出大陸政府自一九九０年開始，希望透過國有企業資源之整合，促進其發揮規模經濟效益之政策，在一九九五至一九九七年期間可能已在國有企業及其重工業部門初見成效。 此外，本文之實證結果顯示，資金密集度對國有重工業部門產生不利技術效率的影響，對其獲利能力並無顯著影響。 　　雖然，本文之研究結果顯示，大陸鄉鎮企業確實對國有企業之經營績效產生不利影響，但這僅是短期之現象，本論文認為鄉鎮企業所扮演的角色除了是市場競爭者外，其更應積極的被視為篩選國有企業之機制，經由鄉鎮企業的競爭壓力及短期內之不利影響，可迫使國有企業為保護其獲利不被損害及在市場上繼續生存，必須採取反應措施，而逐漸走向符合市場經濟的制度，例如讓營運不佳的企業在競爭下自市場退出、選擇適當的技術路線、發展具生產利益的產業及企業必須加強產品的創新，以獲取較高的創新利潤等回應措施。若國有企業在長期下真能依循上述模型進行調整，則國有企業之技術效率將有所提昇，並能改善其獲利低下的情況，進而達到經營績效改善。依此看來，本論文認為鄉鎮企業所發揮的是更為積極、穩定的改革力量，促使國有企業長期且持續的進行經營績效改善。 　　因此，在解決大陸國有企業經營績效的問題時，國有企業制度的改革固然重要，但若大陸政府在推行改革時，能加以考量鄉鎮企業發展此一重要因素，將大陸鄉鎮企業之發展視為篩選國有企業之機制，淘汰不適於市場機制、競爭力不足、虧損之國有企業，則長期下將可使國有企業達到經營績效改善之效果。 / This thesis investigates the influence of township-village enterprises (TVEs) on the performance of China’s state-owned enterprises (SOEs). Industrial-based panel data from 1995~1997 provided by various published years of the China Statistical Year Book , China Industry Economy Statistical Year Book, The data of The Third National Industiral Census of The People’s Repiblic of China in 1995, and China Township-Village Enterprises Year Book　are adopted to estimate the fixed-effect model of SOEs’ profit rate function, and stochastic frontier production function model of SOEs’ technical efficiency function. The primary finding is that the profit rate in the heavy industry and the technical efficiency in light industry of China’ SOEs are both influenced negatively by the output share of TVEs, the above proves the influence of TVEs on the performance of SOEs has changed from profit loses to technical inefficiency, but this condition won’t exist for long because of the policies to improve performance adopted by SOEs , like relocation factors, adjustment size or any useful acts will take effect. Secondly, larger scale of SOEs, especially in heavy industry, gets higher profit rate and higher technical efficiency, the conclusion indicate that size of SOEs brings improvement of performance to SOEs. Besides, improvement of the technical efficiency of SOEs is crossed in capital intensive, but has no effect on profitability. The above proves that SOEs will against the competition by reactions in policy, as long as longtime performance, the technical efficiency of SOEs will make great advances. Therefore, for solving the problem about the performance of SOEs, besides the innovation in economic system, China should concern about the competitiveness of TVEs. In conclusion, China should regard TVEs not only as a competitor but also as a mechanism to sift out uncompetitive SOEs from China’s market so that the performance of SOEs can be improved to reach the crucial position in China.

Cette thèse commence par souligner les contextes et les difficultés d'analyse de l'économie chinoise : la première difficulté est la particularité de la Chine qui est également référencée comme «socialisme avec des caractéristiques chinoises», qui comprend le contexte culturel unique et la langue, la nature de l'économie, le manque de données, et les changements institutionnels fréquents. La deuxième difficulté est l'insuffisance des modèles de croissance économique modernes. En outre, les chercheurs souffrent également des problèmes économétriques généraux de la modélisation macroéconomique, par exemple le problème de petit échantillon, la faible identification et l'estimation sensible pour la stationnarité des séries et paramètres tronqués. Par conséquent, nous devons trouver et travailler dans un cadre approprié. Cette thèse montrera l'insuffisance des modèles de croissance économique dominante pour expliquer la croissance économique de la Chine et la nécessité de sortir du cadre néoclassique. L'analyse se tourne progressivement vers les approches marxistes et se concentre sur l'analyse des taux de profit. [...]Cette thèse propose quelques éléments de réflexion méthodologique sur le thème de la croissance de l’économie chinoise dans la longue période. À partir de données statistiques officielles chinoises retravaillées, nous reconstruisons des séries temporelles de stocks de capital physique les plus longues possibles, soit de 1952 à 2014, de façon à remonter au plus près de la date de formation de la République populaire et étendre cette base de données jusqu’au présent, pour tenir compte des derniers annuaires statistiques publiés en 2016. Nous testons ces nouvelles données afin d’estimer les contributions des facteurs de production à la croissance dans un cadre théorique néoclassique, en soulignant les limites de tels modèles – problématiques, car selon nous indépassables. [...] L'auteur a prédit les valeurs de certaines variables économiques de 2015. L'auteur prédit que le taux de profit continuera à baisser même s'il est déjà faible dans 2014. Si le taux de profit continue à baisser, les marxistes pourraient soutenir qu'une crise se produira à l'avenir. Toutefois, l'argument est cohérent avec les faits qu'une crise financière sur le marché boursier se produira en 2015 et 2016. La prévision pour la croissance économique est également très réussie. En outre, l'auteur a également étendu la décomposition économique des taux de profit. L'auteur a proposé trois décompositions différentes puis appliqué un filtre à ces composants. Les cycles économiques et les crises ont été confirmés avec une perspective marxiste revisée. / The rise of emerging economies and their increasing contributions to the world’s economy has led to the development of the science of economics. China is a typical representative of emerging market economies. This economic phenomenon pushes the development of economic growth theory, and the problems in empirical analyses also promote econometric techniques. Though China is still a developing country, China has successfully dragged itself out of absolute poverty. Is the technique of China’s economic development an alternative method for the struggle against the poverty of other poor countries? With the lack of modern international standard data, the empirical analyses of modern economic growth theories in the literature are generally focused on the period after the opening-up reform in 1978 or the period after the fiscal reform in 1993. In this thesis, the author attempts to extend the vision, by further analyzing China’s economy using modern economic approaches since the foundation of the People’s Republic of China in 1949. Alongside the wave of privatization, marketization, and liberalization in the countries of the former Soviet Union, socialist countries, and developing countries, China has also begun its economic reform since 1978 in which it has achieved great economic success. Chinese policymakers themselves contribute the rapid economic growth to the success of the institutional choice. For instance, Hu Jintao’s report at the 17th Party Congress (2007) has the following assertion: “To sum up, the fundamental reason behind all our achievements and progress since the reform and opening up policy was introduced is that we have blazed a path of socialism with Chinese characteristics and established a system of theories of socialism with Chinese characteristics.” However, what does the so-called “socialism with Chinese characteristics” really mean? How does it work on the path of economic growth? All those interesting questions incite this thesis to explore the answers. [...]