中间品进口对企业产能利用率的影响:基于中间品进口的数量、种类与质量维度
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摘要
文章分析了中间品进口影响企业产能利用率的内在机制,并利用2000～2011年国泰安数据库和中国海关数据库匹配得到的541家上市公司面板数据进行实证检验。研究结果表明,从总体上看,中间品进口能够促进企业提高产能利用率,化解企业产能过剩。其中,中间品进口的数量效应和种类效应对企业产能利用率产生正向影响,中间品进口的质量效应对企业产能利用率的正向影响存在滞后效应。进一步研究发现,进口半成品的数量效应明显,进口零配件的种类效应和质量效应明显,技术资本密集型行业中间品种类效应明显,劳动资源密集型行业中间品进口的数量效应明显;加工贸易方式下中间品进口不能显著提高企业产能利用率,一般贸易方式下进口中间品能够通过种类效应和质量效应显著提高企业产能利用率。
This paper analyzes the mechanism of impact of the imported intermediates inputs on the capacity utilization rate of enterprises,and uses the panel data of 541 listed companies matched between the CSMAR Database and the China Customs Database from 2000 to 2011.The results show:totally,the imported intermediate inputs improve the capacity utilization rate and resolves the overcapacity of enterprises through quantity effect,variety effect and quality effect.Among them,the quantity effect and variety effect of imported intermediates inputs have positive impacts on the capacity utilization rate of enterprises.The quality effect is delayed.Further researches show:the quantity effect of imported semi-finished products are obvious,and the variety effect and the quality effects of the imported components and accessories are obvious;the variety effects of the technology-intensive and capital-intensive industries are obvious,and the quantity effects of labor-intensive and resources-intensive industries are obvious;the imported intermediate inputs from processing trade could not significantly increase the capacity utilization rate of enterprises,while the imported intermediate inputs from general trade improve the utilization rate of the enterprises through variety effect and quality effect.This paper provides a micro-explanation and empirical evidence for assessing the effects of imported intermediate inputs on overcapacity.
This paper analyzes the mechanism of impact of the imported intermediates inputs on the capacity utilization rate of enterprises,and uses the panel data of 541 listed companies matched between the CSMAR Database and the China Customs Database from 2000 to 2011.The results show:totally,the imported intermediate inputs improve the capacity utilization rate and resolves the overcapacity of enterprises through quantity effect,variety effect and quality effect.Among them,the quantity effect and variety effect of imported intermediates inputs have positive impacts on the capacity utilization rate of enterprises.The quality effect is delayed.Further researches show:the quantity effect of imported semi-finished products are obvious,and the variety effect and the quality effects of the imported components and accessories are obvious;the variety effects of the technology-intensive and capital-intensive industries are obvious,and the quantity effects of labor-intensive and resources-intensive industries are obvious;the imported intermediate inputs from processing trade could not significantly increase the capacity utilization rate of enterprises,while the imported intermediate inputs from general trade improve the utilization rate of the enterprises through variety effect and quality effect.This paper provides a micro-explanation and empirical evidence for assessing the effects of imported intermediate inputs on overcapacity.
引文
[1]Amiti,M.,Konings,J..Association Trade Liberalization,Intermediate Inputs and Productivity:Evidence from Indonesia.The American E-conomic Review,2007,97(5):1611-1638.
[2]Andersson A..Export Performance and Access to Intermediate Inputs:The Case of Rules of Origin Liberalisation[J].World Economy,2016,39(8):1048-1079.
[3]Banker R D,Charnes A,Cooper W W..Some Models for Estimating Technical and Scale Inefficiencies in Data Envelopment Analysis[J].Management Science,1984,30(9):1078-1092.
[4]Blalock G,Veloso F M.Imports,Productivity Growth,and Supply Chain Learning[J].World Development,2007,35(7):1134-1151.
[5]Brandt L,Morrow P M.Tariffs and the Organization of Trade in China[J].Journal of International Economics,2017,104:85-103.
[6]Colantone I,CrinòR.New imported inputs,new domestic products[J].Journal of International Economics,2014,92(1):147-165.
[7]Fan H,Li Y A,Yeaple S R.On the Relationship Between Quality and Productivity:Evidence from China's Accession to the WTO[J].Journal of International Economics,2017.
[8]Feng L,Li Z,Swenson D L.The connection between imported intermediate inputs and exports:Evidence from Chinese firms[J].Journal of International Economics,2016,101:86-101.
[9]Halpern L,Koren M,Szeidl A.Imported inputs and productivity[J].The American Economic Review,2015,105(12):3660-3703.
[10]Liu Q,Qiu L D.Intermediate input imports and innovations:Evidence from Chinese firms'patent filings[J].Journal of International Economics,2016,103:166-183.
[11]Tian X L.Participation in export and Chinese firms'capacity utilization[J].Journal of International Trade&Economic Development,2017,25(5):1-28
[12]Yu M,Li J.Imported Intermediate Inputs,Firm Productivity and Product Complexity[J].Japanese Economic Review,2014,65(2):178-192.
[13]董敏杰,梁泳梅,老其仔.中国工业产能利用率:行业比较、地区差距及影响因素[J].经济研究,2015(1):84-98.
[14]樊茂清.中国产业部门产能利用率的测度以及影响因素研究[J].世界经济,2017,40(9):3-26.
[15]干春晖,邹俊,王健.地方官员任期、企业资源获取与产能过剩[J].中国工业经济,2015(3):44-56.
[16]耿晔强,郑超群.中间品贸易自由化、进口多样性与企业创新[J].产业经济研究,2018(2).40-52.
[17]国务院发展研究中心.当前我国产能过剩的特征、风险及对策研究[J].管理世界,2015(4):1-10.
[18]林毅夫,巫和懋,邢亦青.“潮涌现象”与产能过剩的形成机制[J].经济研究,2010,45(10):4-19.
[19]黎文靖,郑曼妮.实质性创新还是策略性创新?---宏观产业政策对微观企业创新的影响[J].经济研究,2016(4):60-73.
[20]刘晴,程玲,邵智,陈清萍.融资约束、出口模式与外贸转型升级[J].经济研究,2017,52(5):75-88.
[21]马述忠,吴国杰.中间品进口、贸易类型与企业出口产品质量---基于中国企业微观数据的研究[J].数量经济技术经济研究,2016(11):77-93.
[22]施炳展,曾祥菲.中国企业进口产品质量测算与事实[J].世界经济,2015(3):57-77.
[23]田巍,余淼杰.中间品贸易自由化和企业研发:基于中国数据的经验分析[J].世界经济,2014(6):90-112.
[24]王碧珺,李冉,张明.成本压力、吸收能力与技术获取型OFDI[J].世界经济,2018,41(4):99-123.
[25]王维薇.全球生产网络背景下中间品进口与最终品出口的二元边际---基于微观视角的解释[J].世界经济研究,2015(10):90-100.
[26]汪伟,刘玉飞,彭冬冬.人口老龄化的产业结构升级效应研究[J].中国工业经济,2015(11):47-61.
[27]吴飞飞,张先锋.本地制度环境对异质性企业对外出口的影响研究[J].产业经济研究,2018(4):40-51.
[28]许家云,毛其淋,胡鞍钢.中间品进口与企业出口产品质量升级:基于中国证据的研究[J].世界经济,2017,40(3):52-75.
[29]杨光,孙浦阳.外资自由化能否缓解企业产能过剩?[J].数量经济技术经济研究,2017(6):3-19.
[30]余东华,吕逸楠.政府不当干预与战略性新兴产业产能过剩---以中国光伏产业为例[J].中国工业经济,2015(10):53-68.
[31]张先锋,蒋慕超,刘有璐.化解过剩产能的路径:出口抑或对外直接投资[J].财贸经济,2017,38(9):63-78.
[32]张少华,蒋伟杰.中国的产能过剩:程度测算与行业分布[J].经济研究,2017,52(1):89-102.
[33]张杰,郑文平,陈志远.进口与企业生产率---中国的经验证据[J].经济学:季刊,2015(2):1029-1052.
[34]张杰.进口行为、企业研发与加工贸易困境[J].世界经济研究,2015(9):22-36.
[35]张翊,陈雯,骆时雨.中间品进口对中国制造业全要素生产率的影响[J].世界经济,2015,38(9):107-129.
(1)数据来源于《中华人民共和国2017年国民经济和社会发展统计公报》。根据国际通行标准,企业产能利用可以划分为四种情况:产能不足(产能利用率超过90%)、正常水平(产能利用率79%~90%)、产能过剩(产能利用率低于79%)、严重产能过剩(产能利用率低于75%)。
(2)Jacob M.Schlesinger.美国政府以国家安全为由对钢材进口展开调查[N/OL].华尔街日报,2017-04-21[2018-05-14].https://cn.wsj.com/articles/CN-BGH-20170421080442.
(3)笔者根据UN Comtrade数据库相关数据计算所得。
(1)黎文靖和郑曼妮(2016)使用的是企业发明专利申请的总数,本文认为专利申请数目具有一定的不确定性,而专利有效数是企业得到认可的创新水平。
(1)BEC代码中“111”“121”“21”“22”“31”“322”“42”“53”这8类属于本文需要研究的中间品,其中“111”“21”“31”为初级中间品,“121”“22”“322”为加工中间品,“42”“53”为零配件。
(2)本文对各匹配结果进行了逐年考察,限于篇幅仅汇报核匹配法2011年的检验结果,其他年份或匹配法结果备索。
(1)在当期DEA方法测算产能利用率检验结果中,中间品进口种类通过技术溢出效应提高企业产能利用率,但是数量效应和质量效应的作用效果不显著,结果备索。
(1)限于篇幅,分样本回归不予展示,结果备索。
[2]Andersson A..Export Performance and Access to Intermediate Inputs:The Case of Rules of Origin Liberalisation[J].World Economy,2016,39(8):1048-1079.
[3]Banker R D,Charnes A,Cooper W W..Some Models for Estimating Technical and Scale Inefficiencies in Data Envelopment Analysis[J].Management Science,1984,30(9):1078-1092.
[4]Blalock G,Veloso F M.Imports,Productivity Growth,and Supply Chain Learning[J].World Development,2007,35(7):1134-1151.
[5]Brandt L,Morrow P M.Tariffs and the Organization of Trade in China[J].Journal of International Economics,2017,104:85-103.
[6]Colantone I,CrinòR.New imported inputs,new domestic products[J].Journal of International Economics,2014,92(1):147-165.
[7]Fan H,Li Y A,Yeaple S R.On the Relationship Between Quality and Productivity:Evidence from China's Accession to the WTO[J].Journal of International Economics,2017.
[8]Feng L,Li Z,Swenson D L.The connection between imported intermediate inputs and exports:Evidence from Chinese firms[J].Journal of International Economics,2016,101:86-101.
[9]Halpern L,Koren M,Szeidl A.Imported inputs and productivity[J].The American Economic Review,2015,105(12):3660-3703.
[10]Liu Q,Qiu L D.Intermediate input imports and innovations:Evidence from Chinese firms'patent filings[J].Journal of International Economics,2016,103:166-183.
[11]Tian X L.Participation in export and Chinese firms'capacity utilization[J].Journal of International Trade&Economic Development,2017,25(5):1-28
[12]Yu M,Li J.Imported Intermediate Inputs,Firm Productivity and Product Complexity[J].Japanese Economic Review,2014,65(2):178-192.
[13]董敏杰,梁泳梅,老其仔.中国工业产能利用率:行业比较、地区差距及影响因素[J].经济研究,2015(1):84-98.
[14]樊茂清.中国产业部门产能利用率的测度以及影响因素研究[J].世界经济,2017,40(9):3-26.
[15]干春晖,邹俊,王健.地方官员任期、企业资源获取与产能过剩[J].中国工业经济,2015(3):44-56.
[16]耿晔强,郑超群.中间品贸易自由化、进口多样性与企业创新[J].产业经济研究,2018(2).40-52.
[17]国务院发展研究中心.当前我国产能过剩的特征、风险及对策研究[J].管理世界,2015(4):1-10.
[18]林毅夫,巫和懋,邢亦青.“潮涌现象”与产能过剩的形成机制[J].经济研究,2010,45(10):4-19.
[19]黎文靖,郑曼妮.实质性创新还是策略性创新?---宏观产业政策对微观企业创新的影响[J].经济研究,2016(4):60-73.
[20]刘晴,程玲,邵智,陈清萍.融资约束、出口模式与外贸转型升级[J].经济研究,2017,52(5):75-88.
[21]马述忠,吴国杰.中间品进口、贸易类型与企业出口产品质量---基于中国企业微观数据的研究[J].数量经济技术经济研究,2016(11):77-93.
[22]施炳展,曾祥菲.中国企业进口产品质量测算与事实[J].世界经济,2015(3):57-77.
[23]田巍,余淼杰.中间品贸易自由化和企业研发:基于中国数据的经验分析[J].世界经济,2014(6):90-112.
[24]王碧珺,李冉,张明.成本压力、吸收能力与技术获取型OFDI[J].世界经济,2018,41(4):99-123.
[25]王维薇.全球生产网络背景下中间品进口与最终品出口的二元边际---基于微观视角的解释[J].世界经济研究,2015(10):90-100.
[26]汪伟,刘玉飞,彭冬冬.人口老龄化的产业结构升级效应研究[J].中国工业经济,2015(11):47-61.
[27]吴飞飞,张先锋.本地制度环境对异质性企业对外出口的影响研究[J].产业经济研究,2018(4):40-51.
[28]许家云,毛其淋,胡鞍钢.中间品进口与企业出口产品质量升级:基于中国证据的研究[J].世界经济,2017,40(3):52-75.
[29]杨光,孙浦阳.外资自由化能否缓解企业产能过剩?[J].数量经济技术经济研究,2017(6):3-19.
[30]余东华,吕逸楠.政府不当干预与战略性新兴产业产能过剩---以中国光伏产业为例[J].中国工业经济,2015(10):53-68.
[31]张先锋,蒋慕超,刘有璐.化解过剩产能的路径:出口抑或对外直接投资[J].财贸经济,2017,38(9):63-78.
[32]张少华,蒋伟杰.中国的产能过剩:程度测算与行业分布[J].经济研究,2017,52(1):89-102.
[33]张杰,郑文平,陈志远.进口与企业生产率---中国的经验证据[J].经济学:季刊,2015(2):1029-1052.
[34]张杰.进口行为、企业研发与加工贸易困境[J].世界经济研究,2015(9):22-36.
[35]张翊,陈雯,骆时雨.中间品进口对中国制造业全要素生产率的影响[J].世界经济,2015,38(9):107-129.
(1)数据来源于《中华人民共和国2017年国民经济和社会发展统计公报》。根据国际通行标准,企业产能利用可以划分为四种情况:产能不足(产能利用率超过90%)、正常水平(产能利用率79%~90%)、产能过剩(产能利用率低于79%)、严重产能过剩(产能利用率低于75%)。
(2)Jacob M.Schlesinger.美国政府以国家安全为由对钢材进口展开调查[N/OL].华尔街日报,2017-04-21[2018-05-14].https://cn.wsj.com/articles/CN-BGH-20170421080442.
(3)笔者根据UN Comtrade数据库相关数据计算所得。
(1)黎文靖和郑曼妮(2016)使用的是企业发明专利申请的总数,本文认为专利申请数目具有一定的不确定性,而专利有效数是企业得到认可的创新水平。
(1)BEC代码中“111”“121”“21”“22”“31”“322”“42”“53”这8类属于本文需要研究的中间品,其中“111”“21”“31”为初级中间品,“121”“22”“322”为加工中间品,“42”“53”为零配件。
(2)本文对各匹配结果进行了逐年考察,限于篇幅仅汇报核匹配法2011年的检验结果,其他年份或匹配法结果备索。
(1)在当期DEA方法测算产能利用率检验结果中,中间品进口种类通过技术溢出效应提高企业产能利用率,但是数量效应和质量效应的作用效果不显著,结果备索。
(1)限于篇幅,分样本回归不予展示,结果备索。