【作者】 王争；

【导师】 史晋川；

【作者基本信息】 浙江大学 ， 理论经济学， 2010， 博士

【摘要】 制造企业的发展是中国经济维持高速增长的主要推动力。在对内经济方面,它们是国内工业品需求的主要提供者,也是满足劳动力就业的重要保证。在对外经济方面,它们是中国企业同外资企业竞争和扩大在国际分工中角色的主要参与者。这些企业本身的生产效率,对先进技术的吸收消化,以及在国际贸易中的附加值贡献,直接关系到国民经济当前和未来发展的可持续性。而其中,日渐壮大的私营企业又扮演着举足轻重的作用。基于这样的研究背景,本博士论文的研究充分利用兼具广泛性和代表性的微观数据,按照三个课题进行展开深入。第一个的课题的研究旨在利用第一次全国经济普查数据系统地研究中国私营企业的生产率表现和投资效率问题。样本分析表明,东部地区材料和机械设备制造业的私营企业在劳动生产率和资本生产率上都明显领先于其他地区,然而这种优势主要集中表现在规模较大的企业上。生产函数的估计结果显示各地区大部分行业的资本弹性稳定地处于0.2-0.3之间。对生产率方差的分解表明,地区和行业内部接近90%的生产率差异来自TFP的差异,劳均资本的差异只占贡献来源的13%左右。虽然行业间生产率差异的主要来源还是TFP,但地区间的生产率差异则主要来源于劳均资本的差异。资本边际产出在地区间和行业间的不均衡分布意味着部门间存在资本配置的非效率。随后我们通过一个模拟实验发现,省际间资本重置给私营制造业带来的潜在产出增长效果比行业间的资本重置要更加明显,这意味着私营制造业资本的地区间流动障碍比行业间障碍要更为严重。第二个课题同样采用第一次全国经济普查的企业微观数据,但是研究主题转向中国私营企业生产率的异质性对吸收外资谥出的影响。由于通常外资企业代表着广义技术的前沿,而内资私营企业则代表着本土民间经济力量和未来国民经济的希望,因此从经济学研究的角度出发,研究所关心的问题可以简要概括为：外资活动是促进还是抑制了内资私营企业的生产率增长?这种效应的发生机制又是如何的?在研究中我们发现：(1)企业层面外资份额及其控股与否对企业生产率的积极影响随生产率水平递增；(2)私营企业存在着吸收外资水平溢出和后向溢出的生产率“门槛”效应,即吸收能力的差别；(3)下游外资控股企业的溢出促进了上游大部分私营企业的生产率,而非外资控股的合资企业则对上游生产率较低的私营企业有负的净效应。私营企业面临的外资竞争格局正从各方面形成,而私营部门内部生产能力分化也日渐明显。第三个课题研究中国制造企业在2000年以后的出口增长中的角色。与前面两个课题不同,这份研究的数据来源包括了经过匹配得到的企业-产品层面。这在以中国为案例的研究文献中尚属首次。这个课题的研究内容可以概括为三个方面。首先,我们将总量出口增长分解为企业和产品层面的内涵扩张和外延扩张两个来源。这一方法随后应用到加工贸易企业、外资企业和受特殊出口政策影响的出口加工区企业中。其次,我们根据中国加工贸易企业较为普遍的事实,修正了Hummels et al. (2001)提出的垂直专业化程度的度量方法,借此来评估中国出口的国内附加值含量。最后,在上述研究的基础上,我们利用了一系列的技术指标,进一步考察了中国出口的技术密度,并且在文献中第一次刻画了中国出口中的国内附加值所体现的技术密度。我们的分析显示,企业进入在中国的出口激增中起到了比在其他国家更重要的作用,其中加工贸易企业的进入尤其明显。根据微观数据估计的中国出口中的国内附加值比之前文献的估计要高很多,这也映证了简单应用Hummels etal.(2001)方法到中国案例时会带来的偏差。最后,研究还揭示出随着时间推移,中国出口技术密度的增加。但是当我们用国内附加值而非出口产品的最终价值来衡量出口时,技术密度却有所降低。这意味着中国出口的技术水平并没有通过最终产品价值所显示的那样高。更多还原

【Abstract】 The development of manufacturing firms is the primary driving force behind rapid economic growth in China. On the side of the domestic economy, these firms are the main suppliers of the industrial products, and an important guarantee of labour employment. On the side of the international economy, they play the key roles in competing with foreign companies and participating in the global labor divisions. Thus, the production efficiency, absorbative capability of advanced technology, and contribution to the value-added in trade, are all essential to the current and future substainabilities of the national economy. Of these firms, private ones are playing increasingly significant roles. Based on such background, this thesis will be composed of three closely related projects by explorting micro-level datasets both of comprehensiveness and represebntativeness.The first project uses the first national economic census data to systematically investigate the issue of productivity performance of China’s private enterprises and their investment efficiency. Evidences indicate that the private enterprises in the material and machinery industries in the eastern area have a leading advantage of both labor and capital productivity over their counterparts in the other areas, much of which, however, is due to the outstanding performance of the large firms. An estimation of the production function leads to a robust estimates of capital elasticity between 0.2 and 0.3 in most sectors. Based on this, we decompose the variances of productivity and find that nearly 90% of the within-region and industry productivity variation stems from total factor productivity (TFP), while the contribution from capital per capita accounts for only 13%.Although the primary source of inter-industry productivity variation is still TFP, capital per capital plays an essential role in explaining the differences in productivity across regions. The marginal product of capital is found to be unequal across regions and industries, which implies that there exist some degrees of inefficiency in the allocation of private capital across sectors. Then we infer from an experimental simulation that the potential improvement is more significant if the capital is reallocated across provinces than if across industries, which implies that the inter-region barriers are more serious than inter-industry barriers for the mobility of private manufacturing capital.Also using a firm-level dataset from the first national economic census, the second project explores the impact of the productivity heterogeneity on the absorption of FDI spillovers. Foreign firms in China are usually thought to have the frontier technologies while domestic private firms are the rising, prospective force for the future development of the economy. With this in mind, the rearch questions underlying this project can be expressed as:do foreign investment activities promote or hinder the productivity improvement of domestic firms? And, if any, how do the mechanisms work?We find that foreign presence at the firm level has a positive and increasing effect on productivity. And a threshold effect of productivity of the private firms is found in absorbing horizontal and backward spillovers from FDI. Finally, spillovers from the downstream foreign-owned firms-increase most upstream private firms’ productivity, while non-foreign-owned joint ventures in the downstream sector has a negative impact on those upstream with low productivity. These findings imply that the divergence in productive capacity is shaped within the private sector.The third project studies the roles of firms in China’s export boom since 2000. Different from the previous two projects, we use new, detailed and comprehensive linked firm-product data for this project. The study is organised in three parts. First, we decompose the total growth in exports into an intensive and extensive margin at both the firm and the product level. We also use this decomposition to analyse the role of processing firms, foreign-owned firms and firms which benefit from export policies. Second, we evaluate the extent of value-added in China’s exports, using a modification of a method proposed by Hummels et al. (2001) which takes into account the prevalence of processing firms. Third, we provide new estimates of the technological intensity of China’s exports.Our decomposition analysis indicates that firm entry played a larger role in China’s export boom than is the case in other countries, and that processing firms were an important component of this. Our estimates of value-added suggest that the foreign content of China’s exports is much higher than previously estimated. Finally, our estimates of technological intensity show that Chinese exports had been increasingly intensive in technology, but the overall intensity is lower when the exports are evaluated by domestic value-added than by final value.更多还原