中国钢铁企业的规模过小了吗?――基于NEIO和SFA方法的比较分析
周末 王良举 陈甬军
摘 要:本文讨论了中国钢铁产业规模与效率之间的关系问题。在标准的新古典产出模型当中引进近年来发展的新产业组织实证方法,根据中国产业数据的实际进行了调整,引入动态的技术进步模型结构估计了中国钢铁规模弹性。随后,进一步采用随机前沿方法(SFA),测定了样本企业的技术效率,验证了产业组织实证方法得到的结果。传统意义上认为钢铁业所具有的规模效应在中国上市钢铁企业中没有体现,相反中国钢铁产业存在规模不经济的重要特征,而SFA方法得到的企业技术效率方面的结果也表明,企业技术效率和资产规模存在负相关。两种方法所获结论的比较分析表明,中国钢铁企业存在显著小于1的规模弹性,钢铁企业不存在随规模增长的技术效率。目前政府产业政策主导的以扩大规模为目的的钢铁企业重组,应当慎行,否则可能造成“落后兼并先进”的反效率行为。
关键词:钢铁业 规模效应 新产业组织实证 随机前沿方法
Appropriate Size of China's Steel Enterprises:
A Comparative Analysis Based on The NEIO and SFA Methods
Mo Zhou Liangju Wang Yongjun Chen
Abstract: This paper discusses the relationship between the scale and the efficiency issues within the Chinese steel industry. We combined the standard neoclassical structure with new empirical industrial organization methods which had been developed in recent years and added the dynamic structural which allowed the variation of technological condition according to the actual data of Chinese industry. Then we estimate the scale elasticity of the industry. Subsequently, based on the Stochastic Frontier Analysis, we measure the technical efficiency of steel industry in China which verified the results from the empirical industrial organization methods. By measuring the results from the empirical works, we concluded that the traditional sense that the steel industry has the significant scale economy dose not reflect by the listed steel companies in China. On the contrary, China's steel industry reflected an obvious feature of diseconomies of scale. While the technical efficiency of firms obtained by the SFA method also indicated that there exists an negatively but not very significant correlationship between Scale of assets and the technology efficiency. Based on the two results from the methods of comparative analysis, we concluded that, there is a significant the scale elasticity, less than 1, among the Chinese steel companies and technical efficiency do not rise with the expansion of scale. This paper argues that the corporate restructuring under the government-led industrial policy in purpose of expanding the scale and improving the efficiency should be Cautious, or may results the anti-efficiency behavior.
Keywords:Steel Industry Scale Economy NEIO SFA
JEL Classification: L11 L60 D43 C23
专利丛林问题研究——产生与发展、经济影响及度量
马大明 杜晓君 宋宝全 罗猷韬
摘 要:当前许多重要的高科技产业中出现了严重的专利丛林问题,使新技术的商业化进程受到阻碍。从产生与发展、经济影响和度量方法等几个角度,较全面的分析了专利丛林问题,得到以下几点主要结论。首先,说明专利丛林产生的根本原因是当前技术复杂化趋势;专利丛林问题是一个自我繁殖、强化的系统,个体的理性应对会造成进一步严重化的结果;专利丛林的蔓延已在多个方面体现出来。其次,由博弈模型得出专利丛林的经济影响为,在事前会抑制研发投资,在事后会放大专利权人的垄断力量,削弱市场竞争并损害社会福利,由此对市场效率产生很强的负面作用。再次,评介了片段化指标、网络密度与三角阻碍等三种专利丛林度量方法,通过算例说明其核心算法,进而讨论了这些方法在进一步实证研究中如何应用。最后,简要概括了相关研究的发展,以及专利丛林问题的对策。
关键词:专利丛林;产生发展;经济影响;度量
Research on Patent Thicket – Emergence and Development, Economic Effect, and Measurement
Daming Ma Xiaojun Du Baoquan Song Youtao Luo
Abstract:Serious patent thicket problem emerges in many hi-tech industries recently, which block the process of new technology enter into business. This paper relatively comprehensively analysis patent thicket problem from the three perspectives of emergence and development, economic effect, and measurement, obtained main results as blow. Firstly, explained the main reason generate patent thicket is the trend of technologic complexity; patent thicket problem is an auto reproductive and self-reinforcing system, individual rational countermeasures to the problem may result in deterioration; the propagating of patent thicket presented as many aspects. Secondly, the economic effects of patent thicket deduced from game models are that, inhibit R&D investment ex ante, amplify monopoly power of patentee ex post, and weaken market competence and injury social welfare, negatively influence market efficiency strongly there by. Thirdly, review three method of fragmental index, network density, and triple blocking to measure patent thicket, exemplify the corn algorithm, and then discuss the application of the methods in relative empirical studies. Lastly, briefly generalize the development of relative research and the Countermeasures of patent thicket problem.
Keywords: Patent Thicket Emergence and Development Economic Effect Measurement
JELClassification:D42 D45 D58
规制改革对我国发电行业上市公司绩效影响的实证研究
——基于面板数据和随机前沿分析方法
梁树广
摘 要:本文选取我国1997-2010年的20家发电行业上市公司,利用面板数据和随机前沿分析方法,测算了规制改革、资产负债率、上市年龄、企业规模、煤炭价格指数对公司绩效中的利润和效率影响。研究结果表明,规制改革对我国发电行业上市公司利润影响为正,效率为负;资产负债率对利润和效率影响为负;上市年龄对利润为负,对效率为正;企业规模对利润和效率均为正;煤炭价格指数对利润为正,对效率为负;发电行业上市公司的技术效率处于上升趋势,平均为0.7,资本和劳动产出弹性之和小于1,处于规模报酬递减阶段,并且资本产出弹性大于劳动产出弹性。
关键词:发电行业;上市公司;绩效;规制改革
An Empirical Study of Effects of Regulatory Reform and Performance of China's Power Generation Industry Listed Companies
-----Based on Panel Data and Stochastic Frontier Analysis
Shuguang Liang
Abstract:The paper selects 20 China's power generation industry listed companies during 1997-2010 and estimates effects of regulatory reform, asset-liability ratio, listed age, firm size, coal price index and corporate performance by making use of panel data and stochastic frontier. The results show that: regulatory reform is positive relation to the profit and negative relation to efficiency of China's power generation industry listed companies; asset-liability ratio is negatively related to profit and efficiency; listed age is negative relation to profits and positive relation to the efficiency; firm size is positively related to profit and efficiency; coal price index is positive relation to profit and is negative relation to the efficiency; the technical efficiency is on the rise; average technical efficiency is 0.7; the sum of output elasticity of capital and labor is less than 1; returns to scale is decreasing; the output elasticity of capital is greater than the output elasticity of labor.
Keywords:Power Generation Industry Listed Companies Performance Regulatory Reform
JEL Classification: C01 L53 M38
产业集聚机制:一个文献综述
王永齐
摘 要:有关产业集聚形成机制的种种理论是一个相对松散但又存在着一定联结的集合体,本文旨在通过评述这些机制并梳理其发展脉络,进而理清这些不同机制内部及其相互之间的内在发展逻辑,在此基础上提出产业集聚形成和演化过程中可能存在的另外一种机制,即企业家不断显现过程中的产业集聚现象。
关键词:分工 外部性 交易成本 产业集聚
The Mechanisms of Industrial Agglomeration: A Survey
Yongqi Wang
Abstract: Theories about the formation of industrial agglomeration are relatively loose but there is a connection between them. Our aim is to take further steps to make clear the context of these theories, and to sort out the logic between these different mechanisms. On this base, we point out another mechanism about the formation and evolution of industrial agglomeration. That is the process of industrial agglomeration induced form Entrepreneurs formation.
Keywords:Division of Labor Externality Transaction Costs Industrial Agglomeration
JEL Classification: R11 O18 D20
经济全球化条件下的国际生产网络与发展中国家价值链的重构
赵明亮 杨蕙馨
摘 要:经济全球化条件下国际产业分工进一步细化,产品内分工盛行,产品的国际生产网络形成,同时产品内分工条件下价值链分工存在层级关系,发展中国家从事价值链中低附加值环节的生产,制约了本国经济和产业发展。因此,发展中国家应通过向价值链的两端延伸、重构新的价值链等措施改变自己在国际分工中的不利地位,进而促进国内产业结构调整与升级。
关键词:国际生产网络 发展中国家 价值链 产业升级
International Production Networks and the Reconstruction of Value Chain in Developing Countries Under the Conditions of Economic Globalization
Mingliang Zhao Huixin Yang
Abstract: International division of labor become further refinement under the conditions of economic globalization. Intra-product specialization becoming popular, international production networks take shape.While there is a hierarchy relationship existing in the division of production value chain. Developing countries undertake low value-added stages production,that restrict the development of national economy and industry. Developing countries should take the measures of extension to the two ends of the value chain, reconstruction of a new value chain to promote domestic industrial upgrading.
Keywords: International Production Networks Developing Countries Value Chain Industrial Upgrading
JEL Classification: F14 F15
软预算约束的原因与性质:综述及评论
谢作诗 李善杰
摘 要:本文建立起一个改进的解释软预算约束成因与性质的逆向选择模型,使得软预算约束的承诺的动态不一致成因解释、公有产权成因解释以及与上述两种成因解释相关联的其它成因解释在更加一般的意义上得到了一致理解。本文分析得出了硬化软预算约束的如下政策主张:其一,产权私有化,尽可能地将产权清晰地界定给个人,同时努力降低私人经济运行中的交易费用,让价格机制充分发挥作用;其二,对于不得不存在的大量公共组织和领域,必须进行政治上的分权,要增加公共资产使用中的谈判协商费用,尽可能地减少政府干预。
关键词:软预算约束 信息不对称 动态承诺 成本分离
The Cause and Nature of Soft Budget Constraint: A Survey and Comment
Zuoshi Xie Shanjie Li
Abstract: This thesis develops an improved adverse selection model which explains the causes and properties of the soft budget constraint, and enables the diversified explanations conducted either from the angle of the time inconsistency of commitment under the soft budget constraint, or from public ownership, or from other angles concerned with the previous two, to converge into a unanimous understanding in a more general sense. Based on the analysis of the model, this thesis works out the following policy propositions: (1) Ownership shall be privatized and defined to individuals as clarified as possible, transaction cost in the operation of private-based economy shall be lowered in the mean time with no efforts spared, and price mechanism shall be brought into full play. (2) In those innumerous public organizations and realms which have to exist, political rights shall be divided, negotiation costs concerned with how to use public assets shall be increased, and government interference shall be decreased as much as possible.
Keywords: Soft Budget Constraint Information Asymmetry Dynamic Commitment Cost Separation
JEL Classification: A10 D01 P20
供水TOT项目特许经营权拍卖机制研究
王 岭
摘 要: 供水TOT项目特许经营权拍卖的核心问题是如何设计最优的拍卖机制,激励企业以真实信息参与竞拍,并选择最有效率的企业获取特许经营权。在充分考虑激励相容约束和参与约束的基础上,本文运用激励理论和机制设计理论,构建包含质量属性和特许经营权拍卖价格的拍卖机制模型,通过求解得到实现社会福利最大化目标的最优机制。同时鉴于最优机制在实际运用中的复杂性,本文进一步探讨了该机制的实施方式。
关键词: 供水 TOT 特许经营权 多维拍卖 激励机制
Research on the Mechanism for Franchise Auction in Supply Water TOT Projects
Ling Wang
Abstract:The core problem of franchise auction in supply water TOT project is how to design the optimal auction mechanism to inspire enterprises to participate in the auctions with the true information, and choose the most efficiency enterprise to get the franchise. After the full consideration on incentive compatible constraint and participate constraints, the model of auction mechanism containing quality attributes and the franchise auction prices is established based on the incentive theory and mechanism design theory ,which is to maximize the expected social welfare and obtain the optimal auction mechanism by solving the model. Furth more, in view of the complexity of the optimal mechanism in the practical application, the paper further discusses the implementation of the mechanism.
Keywords:Supply Water TOT Franchise Multi-Attribute Auction Incentive Mechanism
JEL Classification: C02 C72 L43
中国城镇食品零售业市场竞争分析
王汭妲 武拉平
摘 要:本文通过分析食品零售行业的市场势力来了解食品市场竞争情况。应用新产业组织理论方法和企业行为经济模型对中国城镇食品零售行业的市场势力进行分析,通过对代表竞争程度参数的估计来判断城镇食品零售市场的竞争情况。由于NEIO方法主要应用于具有同质产品的行业,本文尝试对经营多品种食品的零售行业进行分析,通过对面板数据的计量分析,结果表明目前中国城镇目前的食品零售市场的竞争程度较高。
关键词:市场势力 食品零售业 竞争分析
China Urban Food Retailing Industry Competition
Ruida Wang Laping Wu
Abstract: This paper analyzes the market power of the food retailing industry to understand the food market competition situation. By applicating NEIO method and econometric model of corporate benefit maximization, market power is measured. The parameter on behalf of the degree of competition is estimated to measure the urban food retailing market competition. As NEIO method is mainly used in industries with homogeneous products, this paper attempts to analyse the retailing food industry which manages multi-species , by computing the panel data, the conclution is got that the China urban food retailing market is in the normal competitive status.
Keywords:Market Power Food Retailing Industry Competition Analysis
JEL Classification: C33 D42 L81
关于我国各地区农村公共产品供给水平差异的实证分析
牛勇平 辛波 杨海山
摘 要:本文提取了收入因子、生产因子和政策因子,建立了一个综合指标评价模型对我国各地区农村公共产品供给水平进行分析。因子分析结果显示,我国各地区之间农村公共产品供给水平存在明显差异,基本上仍呈现东、中、西依次梯度递减的格局。为改善这种局面,可以考虑在农村公共产品供给中采取相对公平政策,并引入多元投资主体,探索一条符合我国国情的农村公共产品供给的新途径。
关键词: 公共产品供给 因子分析 相对公平政策
An Empirical Analysis on the difference of Rural Public Goods Supply Level of Each Region in China
Yongping Niu Bo Xin Tengyun Sun
Abstract:The paper constructs a comprehensive index system to make factor analysis on the level of rural public goods supply of each region in China and extracts three common factors which are income factor,production factor and policy factor. The results of factor analysis show that there are significant differences of the level of rural public goods supply among each region and there appears the gradient decreasing pattern in accordance with the order of the eastern, the central and the west. In order to change the situation, we may take the relative fairness policy in the rural public goods supply and introduce multiple investors, explore a new way of rural public goods supply which is consistent with our national conditions.
Keywords:Public Goods Supply Factor Analysis Relative Fairness Policy
JEL Classification: Q18 H41 C15