经济行为实验与反贫困:一个文献综述
姚宇 刘骄阳
摘 要:随着我国全面小康社会的建成,反贫困工作的重点从消除绝对贫困转向治理相对贫困。行为和实验经济学将关注点集中于贫困产生的心理机制并主张从内生动力角度探究贫困治理,这与相对贫困治理和当前防止返贫工作目标十分契合。将贫困者个体行为纳入理论视野,行为和实验经济学的兴起推动了反贫困研究逐步从统计调查和政策评估等外部分析转向人的认知、信念和动机等内在行为原因,为新的历史时期反贫困研究打开了一扇新的窗户。在对贫困者行为特征文献梳理基础上,本文以Woodworth(1939)S-O-R心理模式为架构从外部环境、认知资源和内生动力等三个方面对近年来基于行为实验的反贫困文献进行了归纳和总结,旨在为今后研究和制定扶贫政策提供一些有益的借鉴,也希望为进一步的反贫困研究发现一些可行的方向。
关键词:经济行为实验 反贫困 综述
Economic Behavior Experiments and Anti-Poverty:
A Literature Review
Yu Yao Jiaoyang Liu
Abstract: With the establishment of a well-off society in our country, the focus of anti-poverty work has shifted from eliminating absolute poverty to controlling relative poverty. Behavioral and experimental economics focuses on the psychological mechanism of poverty and advocates exploring poverty governance from the perspective of endogenous dynamics, which is in line with the relative poverty governance and the current goal of preventing poverty. The rise of behavioral and experimental economics has brought the individual behavior of the poor into the theoretical perspective, and has promoted the gradual shift of anti-poverty research from external analysis such as statistical surveys and policy evaluations to internal behavioral reasons such as human mentality, beliefs, and motivations. Anti-poverty research has opened a new window in this new historical period. On the basis of combing the literature on the behavior characteristics of the poor, this paper uses the Woodworth (1939) SOR mental model as a framework to summarize the anti-poverty literature based on behavior experiments in three aspects: external environment, cognitive resources, and endogenous motivation. It aims to provide some useful references for future research and formulation of poverty alleviation policies, and also hopes to find some feasible directions for further anti-poverty research.
Keywords: Economic Behavioral Experiment Anti-Poverty Literature Survey
JEL Classification: D63 D91 I32
内外资企业技术距离与企业创新水平
——基于知识产权保护的双向调节效应
方慧 封起扬帆 周亚如
摘 要:不同程度的内外资企业间技术差距对企业创新水平的作用如何?这种作用会因地方知识产权保护水平的提升而改变吗?本文首先基于技术距离理论及知识产权保护的双重影响,理论阐述了内外资企业技术差距对企业创新水平的影响以及知识产权保护的异质性调节效应。之后,本文以我国30个省区市2008-2018年的数据为样本,分别对全样本及分样本情况下内外资技术差距对创新的影响及知识产权保护的调节作用进行了检验后发现,内外资企业间技术差距对企业创新水平呈现抑制作用。调节效应检验结果显示,知识产权保护将使内外资技术差距对企业创新水平的拟线性影响“凹”化。即在技术距离较小时,知识产权保护水平提升能够有效缓解因技术距离扩大所导致的创新水平的下降;在技术距离较大时,知识产权保护水平提升将进一步加剧因技术距离扩大所导致的企业创新水平降低。进一步的研究结果显示,企业经营环境将影响内外资技术差距与知识产权保护对企业创新水平的作用。更高的金融发展程度和强度更大的企业竞争水平将有助于提升(缓解)知识产权保护的积极(消极)调节作用。最后,在使用工具变量及替换衡量指标后,本文基本结论依然稳健。
关键词:内外资企业技术距离 企业创新水平 知识产权保护
Technological Distance and Innovation Level of Domestic and Foreign Firms: Based on the Bidirectional Moderating Effect of Intellectual Property Protection
Hui Fang Qiyangfan Feng Yaru Zhou
Abstract: What is the effect of different degrees of technology gap between domestic and foreign firms on the level of innovation? Will this effect change with the improvement of local intellectual property protection? Based on the theory of technological distance and the dual impact of intellectual property protection, this paper firstly elaborates the impact of domestic and foreign firms' technological gap on the level of enterprise innovation and the heterogeneity regulating effect of intellectual property protection. Then, based on the data of 30 provinces and municipalities in China from 2008 to 2018, this paper tests the impact of domestic and foreign technology gap on innovation and the moderating effect of intellectual property rights protection in the full sample and sub-sample respectively, and finds that the technological gap between domestic and foreign enterprises has a inhibiting effect on the level of enterprise innovation. The moderating effect test results show that intellectual property protection will make the quasi-linear impact of domestic and foreign technology gap on the level of innovation "concave". In other words, when the technological distance is small, the improvement of intellectual property protection level can effectively alleviate the decline of innovation level caused by the expansion of technological distance. When the technological distance is large, the improvement of intellectual property protection level will further aggravate the decrease of enterprise innovation level caused by the expansion of technological distance. Further research results show that the operating environment of enterprises will affect the effect of the technology gap between foreign and domestic enterprises and the intellectual property protection on the innovation level of enterprises. Higher degree of financial development and stronger level of enterprise competition will help to enhance (alleviate) the positive (negative) regulatory effect of intellectual property protection. Finally, after the use of instrumental variables and the replacement of measurement indicators, the basic conclusions of this paper are still robust.
Keywords: Technology Distance of Domestic and Foreign Enterprises Enterprise Innovation Level Intellectual Property Protection
JEL Classification: D23 D22 F21
优化营商环境、信息质量与公司创新
——理论机制与实证研究
许恒 刘龑
摘 要:优化营商环境能够降低企业在创新、投资、研发过程中所面临的制度性交易成本,在企业的既定成本约束下,激发了企业发展和竞争活力。本文通过建立信息不对称市场环境下经济学模型,研究营商环境优化对公司创新投入和高质量创新形成的直接和间接的影响,并通过实证分析验证理论研究的主要结果。本文发现,优化营商环境能够在直接提升公司创新投入的同时,激发公司进行高质量创新的动机,营商环境优化降低了公司承担的制度性交易成本,释放公司在创新过程中的成本压力,弱化公司由于其成本压力过高而触发的低质量创新或虚假创新的道德风险动机,实现提升社会总福利的目标。实证分析验证了上述信息质量对公司创新的影响,营商环境优化能够从成本角度改善市场中信息质量不佳时公司创新的投入程度和创新质量,与信息质量形成有效互补。此外,本文通过延伸分析提出了政府在优化营商环境的政策执行中应当针对不同类型和处于不同发展阶段的公司进行差异化的引导。
关键词:营商环境 公司创新 道德风险 机制设计 政府规制
Doing Business Environment Optimization, Quality of Information and Corporate Innovation: The Theoretical Mechanism and Empirical Analysis
Heng Xu Yan Liu
Abstract: Doing business environment optimization can lower the institutional transaction cost when firms engaging into innovation, investment and R&D, vitalizing firms in development and competition given their cost constraint in operation. By constructing a theoretical model under asymmetric information, this paper is to study the direct and indirect effects on the firms’ innovation investment and high-quality R&D from the optimization of doing business environment, and examine the theoretical results with empirical analysis. The present study finds that optimization of doing business environment can directly increase the firms’ investment in innovation, and meanwhile can indirectly weakens the firms’ motivation of moral hazard in low-quality R&D through the reduction on their institutional transaction cost, improving social welfare. The empirical analysis verifies the positive effect of the quality of information on innovation, and doing business environment optimization can improve the quantity and quality of firm’s innovation under the environment of asymmetric information, complementing to the effect of the quality of information. Additionally, this paper points out that the government should be concerned about the differentiated regulation on the firms with different types and the ability to innovation is varied with periods during firms’ development.
Keywords: Doing Business Environment Innovation Moral Hazard Mechanism Design Government’s Regulation
JEL Classification: L52 O32 D82
中国连片贫困地区对口支援政策的减贫效应评估及优化取向
——基于省际对口支援西藏的准自然实验
王珺鑫 王 磊
摘 要:对口支援作为中国一项重要的区域政策创新,在助力脱贫攻坚中发挥了重要作用。在巩固拓展脱贫攻坚成果和全面推进乡村振兴的新背景下,有必要对对口支援政策的减贫效应进行评估,并提出优化取向,以接续充分发挥其助力作用。本文在分析对口支援政策减贫作用机制的基础上,将省际对口支援西藏作为一次准自然实验,基于中国西部10个省份1986~2014年的平衡面板数据,采用合成控制法(SCM)实证分析了对口支援政策的减贫效应。研究表明:对口支援政策对西藏具有显著的减贫效应,但这一效应大小并不稳定,表现为在政策实施初期的减贫效应十分明显,而随后一段时期的减贫效应趋于下降,之后又不断上升的趋势,这一结论经安慰剂检验和双重差分(DID)检验依然成立。双重差分检验结果进一步表明,政府财政支出规模和城镇化水平的提升有力地减少了西藏贫困,地区经济发展水平、对外开放水平和教育水平的提高也显著减少了西藏贫困,但作用效应相对有限,而第一产业规模的低质量增长并不利于贫困人口稳定脱贫。
关键词:对口支援 减贫效应 优化取向 合成控制法 西藏
Evaluation on Poverty Reduction Effect and Optimization Orientation of Partner Assistance Policy of Contiguous Poverty-stricken Areas in China
——Based on a Quasi-natural Experiment of Inter-provincial Partner Assistance in Tibet
Junxin Wang Lei Wang
Abstract: Partner assistance which is an important policy regional policy innovation in China has played an important role in helping to poverty alleviation. Under the new background of consolidating and expanding the achievements of poverty alleviation and comprehensively promoting rural revitalization, it is necessary to evaluate the poverty reduction effect and propose optimization orientation of partner assistance policy in order to continue to give full play to its role. Based on the analysis of the poverty reduction mechanism of partner assistance policy, the paper takes cross-provincial partner assistance in Tibet as a quasi-natural experiment, based on balance panel data of 10 provinces of western China from 1986 to 2014, uses the synthetic control method(SCM)to identify poverty reduction effect of partner assistance policy. The study shows that partner assistance policy has a significant poverty reduction effect in Tibet, but the effect of partner assistance policy is fluctuating, which is manifested in that the poverty reduction effect is very obvious in the early stages of policy implementation, and it tends to decline in the subsequent period, and then continues to rise. This conclusion is still valid through the placebo test and the double-difference test. The difference-in-differences (DID) test shows that the increase in the scale of government fiscal expenditure and the level of urbanization has effectively reduced poverty in Tibet, and the improvement in the level of regional economic development, opening up and education has also significantly reduced poverty in Tibet, but the effect of the three factors is relatively limited. The low-quality growth of the primary industry is not conducive to increase income and get rid of poverty for the poor.
Keywords: Partner Assistance Poverty Reduction Effect Optimization Orientation Synthetic Control Method Tibet
JEL Classification: H53 O21 Q01
最低工资、资源再配置效应与制造业企业出口国内增加值
祝树金 彭彬
摘 要:本文运用2000—2013年中国海关贸易数据、中国工业企业数据和中国县(区)数据,考察最低工资、资源再配置效应对企业出口国内增加值的影响及其作用机制。研究表明,最低工资的上调显著提升了我国制造业企业的出口国内增加值。同时最低工资的上调会引起企业间要素资源重组,由此形成的资源再配置效应会通过企业研发创新和中间品质量渠道促进企业出口国内增加值的提升。本文的研究既有助于对中国制造业价值链的深入理解,也为理性认识最低工资标准政策提供有益参考。
关键词:最低工资 企业出口国内增加值 资源再配置 制造业价值链
Minimum Wage, Resource Reallocation and Manufacturing Enterprises’ Domestic Value Added Ratio in Exports
Shujin Zhu Bin Peng
Abstract: The minimum wage is not only a policy that intervenes the distribution of income, but also an institutional factor that affects the labor cost. Using the trade data of “China Customs Trade Statistics”, firms’ characteristic information of “Chinese Industrial Enterprise Database”, and China counties’s minimum wage and feature information, this paper investigates the impact of minimum wage on enterprises’ export of domestic added value ratio (DVAR) and its mechanism. Research shows that the increase of minimum wage will lead to the reoganization of factor resources among enterprises, and the effect of resource reallocation thus formed will promote the increase of enterprises’ export of domestic added value through the innovative effect of R&D activities and the channel of the quality of import intermediate. The research not only contributes to a deeper understanding of the global value chain(GVC) of China’s manufacturing enterprises, but also provides a useful reference for the policy of minimum wage.
KeyWords: Minimum Wage Reallocation of Resource the Export of DVAR GVC
JEL Classification: L02 L60
僵尸企业对金融发展的影响
—基于融资约束的中介效应分析
孔繁成 韩育萌
摘 要:文章将我国企业微观数据与地级市宏观数据相匹配,利用面板数据双向固定效应模型,实证分析了僵尸企业对辖区金融发展的影响。进一步地,我们引入企业融资约束作为中介变量,考查了僵尸企业对金融发展的作用机制。实证研究结果表明,僵尸企业显著抑制了金融发展规模扩大和金融发展效率提高,企业融资约束在僵尸企业占比和金融发展程度之间起着部分中介效应,且工具变量回归结果证实了这一研究结论稳健可靠。僵尸企业通过加剧融资约束等损害企业间公平竞争的方式,影响正常企业融资能力,从而抑制辖区金融发展。
关键词:僵尸企业 融资约束 金融发展
The Influence of Zombie Enterprises on Financial Development
——Analysis of Intermediary Effect Based on Financing Constraints
Fancheng Kong Yumeng Han
Abstract:This paper matches the micro data of Chinese enterprises with the macro data of prefecture level cities, and analyzes the influence of zombie enterprises on the financial development of the jurisdiction by using the two-way fixed effect model of panel data. Furthermore, we introduce corporate financing constraints as an intermediary variable to examine the mechanism of zombie enterprises on financial development. The empirical results show that zombie enterprises significantly inhibit the expansion of financial development scale and the improvement of financial development efficiency, and corporate financing constraints play a partial intermediary effect between the proportion of zombie enterprises and the degree of financial development, and the regression results of instrumental variables confirm that this research conclusion is robust and reliable. Zombie enterprises damage fair competition among enterprises by aggravating financing constraints, which affects the normal financing ability of enterprises, so as to inhibit the financial development of the jurisdiction.
Keywords:Zombie Enterprises Financing Constraints Financial Development
JEL Classification:M21 G01 E62
普惠金融、金融素养降低家庭金融脆弱性了吗?
——基于CHFS2015数据的实证
邢大伟 管志豪
摘 要:家庭金融是我国金融体系的重要组成部分,对金融风险的防控具有特殊意义。本文基于中国家庭金融调查(CHFS)2015年的数据,以居民家庭为研究对象,采用有序Probit模型研究了普惠金融、金融素养对家庭金融脆弱性的影响。研究发现:普惠金融及金融素养均对家庭金融脆弱性有显著的负向影响,但金融素养的上升降低了普惠金融对家庭金融脆弱性的抑制作用。普惠金融及金融素养显著提高了低金融脆弱性家庭的金融脆弱性,但对中高金融脆弱性家庭仍有显著的抑制作用。异质性研究发现,随着普惠金融指数的增加,农村家庭的金融脆弱性会比城镇家庭更大程度地降低,中部地区比东西部地区家庭金融脆弱性降低概率更大;随着金融素养的上升,普惠金融对城镇家庭及中西部地区家庭金融脆弱性的抑制作用会消失。本文的研究结论对于理解普惠金融和金融素养对我国家庭金融脆弱性的影响,进而抑制家庭金融风险具有重要的理论和现实意义。
关键词:普惠金融 金融素养 家庭金融脆弱性
Do Inclusive Finance and Financial Literacy Weaken Household Financial Vulnerability?
-- Empirical Research Based on CHFS2015 Data
Dawei Xing Zhihao Guan
Abstract: As an important part of Chinese financial system, household finance is of special significance to the prevention and control of financial risks. Based on the data of China Household Finance Survey (CHFS) in 2015, this paper studies the impact of inclusive finance and financial literacy on household financial vulnerability by using the ordered Probit model with households as the research object. The study shows that both inclusive finance and financial literacy have a significant negative impact on household financial vulnerability. However, the increase of financial literacy weakens the inhibitory effect of inclusive finance on household financial vulnerability. Inclusive finance and financial literacy significantly increase the financial vulnerability of households with low financial vulnerability, but still has a significant inhibiting effect on households with medium and high financial vulnerability. The heterogeneity study finds that with the increase of inclusive finance index, the financial vulnerability of rural households will be weakened to a greater extent than that of urban households, and the probability of the decrease of financial vulnerability of households in the central region is greater than that in the eastern and western regions. With the rise of financial literacy, the inhibiting effect of inclusive finance on the financial vulnerability of urban families and families in the central and western regions will disappear. The research conclusions of this paper have important theoretical and practical significance for understanding the impact of inclusive Finance and financial literacy on the household financial vulnerability in China, and then to curb the financial risk of households.
Keywords: Inclusive Finance Financial Literacy Household Financial Vulnerability
JEL Classification: D13 G28 H31