第17卷第3期 2018年9月-《产业经济评论》杂志

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第17卷第3期 2018年9月

中国产能过剩的政治经济学分析：基于财政分权和政府竞争的视角

冯伟　李嘉佳

摘　要：当前，治理中国产能过剩主要凸显为是一个政治经济学问题。本文基于财政分权和政府竞争的视角，从省际整体、分行业、分地区以及分地区分行业等四个层面，较为细致地实证分析了导致中国产能过剩的主要原因及其作用特征，研究认为：总体而言，以获取财税激励为目的的财政分权和以政治晋升为特征的政府锦标赛竞争均会导致产能过剩，而且这两者在共同作用于提升产能利用率的过程中会因财政分权所包含的不同内容而展现出不同的作用特征，即政府竞争与财政收入分权会呈现出相互牵制地诱发产能过剩，而政府竞争与财政支出分权则会呈现出相互协同地促进产能利用率的特征；另外，鉴于各地区各行业具有不同的禀赋特征和发展约束，本文通过更细层面的分样本回归得出了形成中国产能过剩的更为细致的结论，也更为具体地明确了财政分权和政府竞争对于产能过剩的作用特征，这将给中国治理产能过剩提供有益的借鉴和参考。本文不仅能丰富和深化对于中国式产能过剩原因探析的学术研究，而且还能对我国如何更好地治理产能过剩提供有益的政策启示。

关键词：财政分权　政府竞争　产能过剩　治理

Political Economy of China’s Capacity Surplus: Based on the Fiscal Decentralization and Governmental Competition

Wei Feng Jiajia Li

Abstract: Governing China’s capacity surplus is a political economical problem. Based on the fiscal decentralization and governmental competition, this paper analyzes the reasons and characteristics of China’s capacity surplus from two aspects i.e., provinces and industries. We get the conclusions as follows: totally speaking, fiscal decentralization and governmental competition will induce China’s capacity surplus, and their mutual effect will bring out different mechanism, for example the effect between fiscal income decentralization and governmental competition will induce further capacity surplus, and the effect between fiscal expenditure decentralization and governmental competition will improve capacity utilization. Meantime, because different regions and different industries have different endowments and conditions, we use the method of separating regression and get much more conclusions and make clearer about the characteristics of China’s capacity surplus. At last, we give out some countermeasures such as enforcing fiscal decentralization’s supervising, optimizing the mechanism of government performance examination, advocating the idea of systematic government and so on.

Keywords: Fiscal Decentralization Governmental Competition Capacity Surplus Government

JEL Classification: H11 E22

中国城市发展战略与人口空间结构的实证研究

邹旭鑫 宋顺锋

摘要：随着中国经济和城市的发展变化，国家对城市的发展战略也应势而变。八十年代实施了“控制大城市的规模扩张，积极发展中小城市”的发展方针，以及在九十年代末期，随着城市化步伐的加快，国家随之放松了对大城市规模的控制，逐渐形成由中心城市带动周边中小城市协调发展的新趋势。城市发展战略不仅影响城市化总体进程，促进了不同规模城市的扩张速度，同时也改变着中国城市人口空间的结构。根据现有文献可知，已有大量学者深入细致的研究城市发展战略如何影响城市化总体进程问题进行了深入细致的研究，但鲜有学者研究城市发展战略对城市人口空间结构的作用。而人口密度梯度作为研究人口空间分布规律的一项重要衡量指标，反映的是城市人口从中心到边界的变化速率。本文首先估算了中国地级市1990、2000、2010和2014年的人口密度梯度，结果显示从1990至2014年受中国城市发展政策的影响，平均人口密度梯度呈现正“U”型的变化规律。同时，市中心人口密度的变化体现了中国城市的逆城市化和去中心化的发展趋势。然后文章用四年的地级市面板数据对人口密度梯度的影响因素进行实证分析，发现城市规模越大、交通越发达、第二产业从业人员比重越小，人口密度梯度越小。中国收入水平与人口密度梯度呈正相关关系，反映出在中国富人优先选择在市区居住的现象。本文还将户籍人口数据和常住人口数据分别进行回归，两组数据的差异揭示了人口向经济发达程度高的地区聚集的现象。

关键词：人口密度梯度　单中心城市模型　户籍人口　常住人口

China's Urban Development Policy and Population Spatial Structure

Xuxin Zou Shunfeng Song

Abstract: With the development of China's economy and cities, China has experienced dramatic changes in urban development policies，from “strictly control large cities, reasonably develop medium-size and small cities” in the 1980s to “coordinated urbanization” in the 1990s. The urban development strategy not only affects the overall process of urbanization and promotes the expansion speed of cities of different scales, but also changes the urban spatial structure. According to the existing literature, a large number of scholars have conducted meticulous research on how urban development strategies affect the overall process of urbanization, but few scholars studied the effects of urban development strategies on the urban spatial structure. Population density gradient in an urban area measures the percentage change in density over a distance change from the center to the periphery, and it reflects the urban spatial structure. This paper calculated the population density gradients of Chinese prefecture-level cities for 1990, 2000, 2010, and 2014. The statistical results show that population density gradients on average experienced a U-shape pattern during 1990-2014, a finding consistent with the changes of China’s urban development strategies. However, the results on the central-area density reveal a trend of decentralization and hollowing-out. The paper also used the four years panel data to empirically examine factors that determine the density gradients. As expected, larger population, better transportation, and less resident workers of secondary industry would lower density gradients. Unlike cities in North America, higher income cities in China tend to have a more centralized spatial structure, suggesting that rich people in China still prefer to live in central areas. The difference of statistical results between hukou population and resident population reveals the phenomenon that the population is clustering to more developed areas.

Keywords: Population Density Gradient Monocentric Model Hukou Population Resident Population

JEL Classification：J61 R12 R50

“互联网+”与市场关系网络的转变：

基于沙河网批市场的田野调查

贺婷

摘要：“互联网+”作为一种新经济模式，改变了传统的市场关系网络。本文通过在沙河网批市场进行以参与观察与半结构式访谈为主的田野调查，发现受“互联网+”影响的商户行为嵌入在商户关系网络当中，其中经营行为嵌入在工具性关系当中，非经营行为嵌入在情感性关系当中，得出结论为：“互联网+”使商户的工具性关系更具工具性，情感性关系更具情感性，且加强了情感性圈层之间的工具性。总体上，“互联网+”使商户关系网络呈现出工具性增强而情感性减弱的趋势，市场关系网络由传统的“市场共同体”转变为“工具性圈层格局”。

关键词：“互联网+” 市场关系网络嵌入性市场共同体工具性圈层格局

“Internet+” and The Transformation of Market Relational Network:

Based on the Field Study on Shahe Online Clothing Wholesale Market

Ting He

Abstract: As a new technology, the "Internet+" has changed the traditional market relational network. Through the field study based on participant observation and semi-structured interviews in Shahe Online Clothing Wholesale Market, it is found that the merchants’ behavior influenced by "Internet+" is embedded in the merchants’ relational network, and the business behavior is embedded in instrumental relation, the non-business behavior is embedded in the emotional relation.The conclusions are as follows:the "Internet+" make the merchants’ instrumental relations more instrumental and the emotional relations more emotional, further more strengthen the instrumentality between the emotional circles. On the whole, the “Internet+” makes the merchants’ relational network presents a tendency of instrumentality enhancement and emotionality weakening, and the market relational network is changed from the traditional "market community" to "Instrumental Multi-layered Structure".

Keywords: "Internet+" Market Relational Network Embeddedness Market Community Instrumental Multi-layered Structure

JEL Classification: A14 Z13

新支付工具发展初期市场特征及定价策略研究

——以我国银行卡发展为例

邱甲贤

摘要：基于新支付工具发展初期市场特征，构建了一个一般性的新旧支付工具替代情形下新支付工具双边市场定价模型，并案例分析了我国银行卡发展定价策略变化及影响。结果显示，我国银行卡定价及相关政策的转变，政府从固定成本、网络规模和定价对市场三个方面介入，有效的解决了银行卡发展初期“鸡和蛋”的问题。研究弥补了多种支付工具定价研究的不足，解释了中国银行卡发展过程中的现象及市场到政府定价策略转变的作用，为政府制定相关政策提供了理论支撑。

关键词：支付工具定价双边市场网络外部性银行卡

Market Characteristics and Pricing Strategies of New Payment Instrument in the Early Development Stage: A Case Study of the Development of Bank Card in China

Jiaxian Qiu

Abstract: Based on the market characteristics of new payment instrument in the early development stage, a general two-sided market pricing model of two payment instruments is built, and a case study of Chinese bank card is given. The main results show that the change of China's bank card pricing and related strategies have effectively solved the problem of "chicken and egg" in the early development of the bank card. The research explains the phenomena of bank card market in China, which provides theory support for the government to make the related policies.

Keywords: Payment Instrument Pricing Two-Sided Market Network Externality Bank Card

JEL Classification: G28 L52 L11

环境规制、能源效率与电力行业协同减排---基于长三角地区的实证研究

张茜刘宏笪孙华平朱进[]

摘要：中国正处于高碳产业低碳转型的关键时期，产业发展正逐步向绿色化、生态化转型。然而，以电力行业为代表的传统高耗能型产业仍处于低碳化转型的起步阶段，产业能源效率偏低，转型动力不明显。并且由于新能源的推广普及存在一定的滞后性，使得电力行业仍处于高碳排放状态，这将影响我国经济的绿色增长。基于此，本研究以长三角19个城市电力行业为分析对象，运用考虑非期望产出的SBM-DEA效率评价方法，实证测度了19个城市电力行业2010-2015年环境规制效率、能源效率及减排潜力，进而讨论各城市电力行业的绿色转型状态及城市间该行业的协同减排作用。研究结果显示：长三角城市电力行业可分为五类典型发展模式，各地区电力产业集中化、专业化程度较高；但内部差异性明显，相对能源效率差距较大；环境规制对于电力行业能源效率提升有显著推动作用；能源效率与人均GDP呈倒U型曲线，引导拐点延后或产生新拐点是各城市电力行业的发展新方向；城市间存在电力行业减排的协同作用。因此，应注重电力产业优化布局，鼓励城市间技术、人才、资本等要素分享及整合，逐步构建长三角区域一体化、共享化电力行业减排机制，建立跨区域协同的环境规制体系，推动实现电力行业的绿色低碳化发展。

关键词： 环境规制能源效率电力行业空间集聚协同减排

Environmental Regulation, Energy Efficiency and Collaborative Emission Reduction in Power Industry

---An Empirical Study Based on Yangtze River Delta Region

Xi ZhangHongda Liu Huaping SunJinZhu

Abstract: China is in a crucial period of low-carbon transformation in high-carbon industries, and industries are gradually turning green and ecological as well. However, the traditional industry represented by the power industry is still in the initial stage of low-carbon development with low industrial energy efficiency and not obvious transformation motivation; and since there is a certain lag in popularization of new energy, so power industry is still in a state of high carbon emission. This will affect our economy’s green growth. Based on this situation, this paper studies the development status of power industry in Yangtze River Delta, a world-class city cluster and explores the differences of power industry development among cities. The power industry of 19 cities in Yangtze River Delta is studied and analyzed , the energy efficiency, environmental regulation efficiency and emission reduction potential of 19 urban power industries from 2010 to 2015 were tested empirically based on the SBM-DEA method considering the undesirable output. Therefore, the green development status of the power industry in various cities and the collaborative emission reduction effect between cities were discussed. Results show that the power industry in Yangtze River Delta can be divided into five typical modes and the power industry in various regions is centralized and highly specialized, but there is a big gap in inner difference and relative energy efficiency. Environmental regulation plays a significant role in promoting energy efficiency in the power industry. Energy efficiency and GDP per capita show an inverted U-shaped curve and delayed inflection or new inflection point is the new development direction of city power industries. There is a collaborative effect of emission reduction in the power industry among cities. Thus, we should pay attention to the optimal layout of the power industry; encourage technology, talent and capital factors sharing in multiple regions; and establish a mechanism for regional integration and collaborative sharing mechanism of power industry emission reduction；and set up a cross regional coordination system of environmental regulation which can promote the low-carbon development of the power industry.

Keywords: Environmental Regulation Energy Efficiency Power Industry Spatial Agglomeration Collaborative Emission Reduction

JEL Classification: D24 L94 Q51 R15

高管海外背景能够促进中国企业“走出去”吗？

———基于我国A股上市公司的PSM估计

李笑 华桂宏

摘要：基于高阶理论，本文考察不同类型高管海外背景在促进中国企业顺利实施“走出去”战略中所发挥的作用。通过2008年—2016年我国A股上市公司数据，运用倾向得分匹配法（PSM），在有效规避内生性和选择偏差的基础上测算拥有海外背景高管的企业和不具备该特征高管企业设立海外公司的战略实施情况。研究发现，拥有海外背景高管的企业会更积极地在海外设立公司，并且海外工作背景比海外留学背景对企业海外公司的设立有更大的促进作用。在对比了不同所有制企业后发现，国有企业的海外背景高管能够在设立海外公司战略推动过程中起到最为明显的效果。本文的研究结论强调了企业人才海外背景多元化的重要性，对企业高层人才的聘任及为中国企业顺利“走出去”提供新思路。

关键词：高管海外背景倾向得分匹配对外直接投资

Can Overseas Background of Senior Executives Promote the Implement of the "Going out" Strategy for Chinese Enterprises?

——Based on the A-share Listed Firms with PSM Estimate

Xiao Li Guihong Hua

Abstract: Based on the high order theory, the purpose of this paper is to check whether the overseas background of senior executives can promote the implement of the "going out" strategy smoothly for Chinese enterprises. On the basis of the effective avoidance in the discrepancy between endogeneity and selectivity, it measures the degree of “going out” in enterprises which have or don’t have overseas background executives, with the method of Propensity Score Matching, through the dataset from A-shares listed corporation in China from 2008-2016. The research shows that the degree of “going out” in enterprises with overseas background executives are apparently higher. And in different overseas backgrounds, working experience is more effective than studying background on the implementation of the "going out" strategy. After comparing different ownership enterprises, it is considered that the overseas background executives in state-owned enterprises play the most obvious effect for promoting strategy.

Keywords: The Overseas Background of Senior Executives Propensity Score Matching Method Outward Direct Investment

JEL Classification: F23 L72

产品质量升级对企业经营绩效的影响研究

辛大楞

摘要：建设质量强国是党的十九大提出的我国非常重要的战略目标。近年来，随着我国经济步入新时代，经济增长方式在持续转变，经济增长质量得到进一步提高，而质量强国的建设也取得了很大进步。与此同时，深入探究产品质量升级对企业经营绩效的影响，既可以为质量强国战略的实施提供强有力的理论支撑，也有利于探寻未来企业产品质量升级的着力点。鉴于此，本文采用世界银行调研的2012年中国企业数据，并使用普通最小二乘法和倾向得分匹配法（PSM）等多种计量方法实证检验了产品质量升级对企业经营绩效的影响。研究结果表明，从普通最小二乘法的估计结果来看，产品质量升级显著促进了企业销售额、企业劳动生产率和企业利润水平的提高。为了缓解内生性问题，本文又分别使用最近邻匹配、半径匹配和核匹配等三种匹配方法，对产品质量升级对企业经营绩效的影响进行了倾向得分匹配法估计。其实证结果仍然显示获取国际质量认证可以显著提高企业销售额、企业劳动生产率和企业利润水平，即产品质量升级促进了企业经营绩效的提高。通过将企业分成制造业企业和服务业企业两部分并进行稳健性分析，本文的研究结论仍然成立。

关键词：企业质量升级经营绩效倾向得分匹配法

Product Quality Upgrading and Firm’s Performance

Daleng Xin

Abstract: Building a high-quality product country is a very important strategic goal of China, which is released at the 19th National Congress of the Communist Party of China. In recent years, as China's economy has entered a new era, the mode of economic growth has continued to change, the quality of economic growth has been further improved, and the construction of a high-quality product country has made great progress. At the same time, exploring the impact of product quality upgrading on business performance can not only provide strong theoretical support for the implementation of the strategy of high-quality product country, but also help to explore the focus of product quality upgrading in the future. In view of this, this paper uses Chinese enterprises data released by the World Bank in 2012, and uses the ordinary least squares method and propensity score matching method (PSM) to empirically test the impact of product quality upgrading on business performance. The research results show that, from the estimation results of the ordinary least squares method, the product quality upgrading significantly promotes the increase of enterprise’s sales, labor productivity and profit levels. In order to alleviate the endogeneity problems, this paper uses three matching methods, which are nearest neighbor matching, radius matching and kernel matching, to estimate the impact of product quality upgrading on business performance. The results still show that obtaining international quality certification can significantly improve enterprises’ sales, labor productivity and profit levels. That is, product quality upgrading promotes the improvement of business performance. By dividing the enterprises into two parts, which are manufacturing enterprises and service enterprises and conducting robust analysis, the conclusions of this paper are still valid.

Keywords: Enterprise Quality Upgrading Business Performance Propensity Score Matching Method

JEL Classification：D22 M11

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