中国港口效率的DEA测度与提升研究
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摘要
随着国际分工的深化和经济全球化的长足发展,港口日益成为比较优势动态提升的重要突破口。当今国际分工以生产要素流动与重组为基础,分工对象深入到产品内部的工序和环节,并根据各个生产阶段的要素密集度在全球范围内进行要素配置。随着要素、产品加速流动,物流成本、交易费用激增,比较优势动态提升所产生的收益可能被抵消,故比较优势的动态提升并不会自动实现。对于物流网络尚不完善、交易费用较高的发展中大国而言,尤为显著。中国欲实现动态比较优势的增进,亟需提高贸易的物流效率。而港口在全球物流网络中占据重要地位,其效率提升对于中国动态比较优势的增进无疑具有关键性意义。
随着当今国际分工模式下港口功能的演进,港口经济绩效及其最重要的衡量指标——港口效率,均已在内涵上发生变化。本文依据港口实现其功能过程中所发生的三种主要经济联系,将港口效率的内涵分解为三个层次。在某一港口的运营过程中、在某一港口与其他港口的经济联系中、在港口与腹地的经济联系中,各种投入要素相对于该港口产出能力的利用率,可分别反映港口内部的运营效率、港口与港口之间的联网效率、港口对腹地经济的辐射效率,即本文所定义的港口效率Ⅰ、Ⅱ、Ⅲ。上述三层港口效率相互联系、彼此制约,构成了港口效率的内涵体系。
港口在上述三个层次上的效率提升,将可促进国际分工的深化及动态比较优势的增进。其一,港口效率Ⅰ的提升,可基于其核心活动之一——物流服务的规模报酬递增,增强国际生产工序的可分离性,从而促进分工深化。其二,港口效率Ⅱ的提升,可通过港口物流供应链实现专业化物流服务的“纵向和横向一体化”,并产生直接、间接网络效应,从而进一步降低物流成本和交易费用,成为促进分工深化的重要基础。其三,港口效率Ⅲ的提升,可基于港口特定区位优势产生显著的要素及产业集聚效应,使“港口—腹地”以更加优化的生产力布局,融入全球价值链并获取国际分工的收益,这恰恰是分工深化的根本动因。而国际分工深化所致的规模报酬递增或市场规模扩大,又将为动态比较优势的增进提供来源与动力。由此,本文论述了基于港口效率提升的动态比较优势增进机理。作为动态比较优势增进的一个直接体现,贸易规模将可扩大。对此,本文在现有引力模型的基础上引入港口效率,并作计量回归分析。结果表明,港口效率的提高,可对贸易规模产生显著的正向作用。这进一步论证了港口效率对动态比较优势及贸易规模的重要意义。
鉴于此,本文采用数据包络分析(DEA)方法,对中国规模以上港口作效率测度与评估。结果表明：其一,就港口效率Ⅰ而言,除宁波-舟山、天津、青岛、日照等少数港口之外,大多数港口为非DEA有效,其中包括上海港、深圳港等重要大型沿海港口。其二,就港口效率Ⅱ而言,长三角、山东、西南等沿海港口群呈DEA有效,津冀、珠三角、辽宁等沿海港口群则为非DEA有效,且港口群有效性与群内港口有效性之间关系密切。其三,就港口效率Ⅲ而言,津冀、长三角、珠三角等港口—腹地为DEA有效,此外某些贸易规模较大的港口—腹地则呈非DEA有效。其四,就各层效率的对比而言,仅长三角、山东的港口效率表现为逐层增强。总体而言,中国大多数港口、港口群及腹地区域呈现不同程度的效率低下,其中不乏在中国贸易中占据重要地位的大规模沿海港口、港口群及腹地区域,且港口效率体系并未实现逐层提升。
对上述评估结果作进一步分析发现,市场竞争不足或过度竞争、要素配置主体出现一定程度的错位现象等,是中国港口效率低下的主要原因。据此,本文提出了更有利于中国港口效率提升的若干对策。
综上所述,本文所作的创新性探索体现在：其一,突破港口个体效率内涵的狭义局限,从港口内部运营、港口群、港口与腹地等三个层面,构建港口效率内涵体系。其二,揭示港口效率提升对国际分工深化的促进机理,以及分工深化对动态比较优势增进的动力机制,从而论述基于港口效率提升的动态比较优势增进机理。其三,基于DEA方法,对中国主要港口、港口群及腹地区域的相对效率作测度和评估,并通过投影手段揭示无效成因及改进方向。其四,从市场有效竞争、要素配置主体等方面,提出有利于中国港口效率提升的若干对策。对于中国提升港口效率,并以此为突破口实现动态比较优势的增进,具有重要的现实意义。
As the international division of labor deepens and economic globalization develops, ports are increasingly regarded as a breakthrough point for the enhancement of dynamic comparative advantage. Today, the international division of labor is based on the flow and recombination of production factors, and is deepening into the production processes and sessions. The the factors are allocated to different countries or regions according to the factor intensity of each production phrase. However, since logistic costs and transaction costs increase sharply with the accelerated flow of factors and products, the gains resulting from the enhancement of dynamic comparative advantage may be offset. Therefore, dynamic comparative advantage can not be enhanced automatically. This is a especially significant problem for a large developing country like China, where the logistic network is not so sound and transaction costs are comparatively high. With a view of enhancing dynamic comparative advantage and achieving gains from internation trade, it is important that China should improve the logisitic efficiency. Regarding that ports play a key role in the global logistic network, the improvement of port efficiency is essential for the enchancement of China's dynamic comparative advantage.
With the evolution of functions under the present mode of international division of labor, ports' performance and its most important measurer, namely port efficiency, tend to bear new meanings. Therefore, this paper decomposes port efficiency according to the three main types of economic relationship during the functioning of ports. The efficiency of input with regard to output during the internal operation of a port is defined as the Operative Efficiency, namely Port Efficiency I. Similarly, the efficiency in the economic activities between a port and other ports, and efficiency in the economic activities between a port and its hinderland, are respectively defined as the Network Configuration Efficiency, namely Port Efficiency II, and the Radiant Efficiency, namely Port Efficiency III. These three levels of port efficiency interact between each other, and consist of the concept system of port efficiency.
The improvement of the above three Port Efficiencies will help promote the deepening of international division of labor, and hence the enchancement of dynamic comparative advantage. Firtly, with the improvement of Port Efficiency I, the separability of intenational production processes strenghthens based on increasing returns to scale in logisitic service activities, a key aspect of a port's internal operation. Resultantly, the division of labor deepens. Secondly, with the improvement of Port Efficiency II, a port will co-provide logisitic service with other ports in a horizontal and vertical integration of supply chain, generating direct and indirect network effects. As a result, logistic costs and transaction costs can be further reduced, which is a necessary foundation for the deepening of division of labor. Thirdly, with the improvement of Port Efficiency III, significant effects of agglomeration of factors and industries will emerge based on ports'particular location advantage. Such effects will enable a port and its hinderland to integrate into the global value chain with a higher productivity and achieve more gains, which is exactly the fundamental driving force for the deepening of division of labor.
Moreover, the deepening of division of labor will give rise to two main results, namely increasing returns to scale and expansion of market size, which provide the major source and driving power for the enhancement of dynamic comparative advantage. Thereby, this paper analyzes the enhancing mechanism of dynamic comparative advantage based on the improvement of port efficiency. As a direct reflection of the enchancement of dynamic comparative advantage, the trade volume of a coutry will expand. Seeing that, this paper introduces the variable of port efficiency into a common Gravity Model before empirically studying the relationship between port efficiency and trade volume. It is found that the improvement of port efficiency will have a significant positive impact on China's trade volume. This econometric result confirms the above-mentioned impacts of port efficiency on the enhancement of dynamic comparative advantage and expansion of trade volume.
In view of this, the three levels of efficiencies of China's main ports are measured and assessed via DEA. Mains results are as follows. Firstly, as far as Port Efficiency I is concerned, except for few ports like Ningbo-Zhoushan, Tianjin, Qingdao and Rizhao, the majority of China's ports are inefficient, including some dominant ports like Shanghai and Shenzhen. Secondly, as far as Port Efficiency II is concerned, port clusters in Yangtze River Delta, Shandong Province and Southeatern Region are efficient, while those in Jin-Ji, Pearl River Delta and Liaoning Province are not. Moreover, the efficiencies of port clusters are closely related to those of ports in the clusters. Thirdly, as far as Port Efficiency III is concerned, Port-Hinderland relationship in Jin-Ji, Yangtze River Delta and Pearl River Delta are efficient. However, some ports and hinderland are inefficient while taking a large account in China's trade volume. Last but not the least, the three-leveled port efficiencies do not strengthen stepwise in most cases, except for few ports in Yangtze River Delta and Shandong. To sum up, most of China's ports, port clusters and port-hinderland are inefficient to some extend, including those playing an important role in China's international trade. And in most cases, the three-leveled port efficiency do not strengthen stepwise.
Further analysis show that main reasons for inefficiency lie in the absence or excessiveness of market competition, as well as stakeholder malpositioning in the process of factor allocation. Accordingly, this paper puts forward several suggestions with a view of improving China's port efficiency.
To sum up, this paper attempts to make progress in the following aspects. Firstly, it broadens the commonly-used narrow definition of port efficiency by building up a three-leveld system, which consists of Operative Efficiency, Network Configuration Efficiency, and Radiant Efficiency. Secondly, it reveals the mechanism of promoting international division of labor and enhancement of dynamic comparative advantage by improving port efficiency. Thirdly, it estimates and assesses the relative efficiencies of China's major ports, port clusters and hinderland via DEA, and analyzes reasons for inefficiency and ways to better off by means of projecction. Fourthly, it puts forward several suggestions with a view of efficiency improvement. All these analyses help improve China's port efficiency, and hence have realistic significance to China's enhancement of dynamic comparative advantage.
随着当今国际分工模式下港口功能的演进,港口经济绩效及其最重要的衡量指标——港口效率,均已在内涵上发生变化。本文依据港口实现其功能过程中所发生的三种主要经济联系,将港口效率的内涵分解为三个层次。在某一港口的运营过程中、在某一港口与其他港口的经济联系中、在港口与腹地的经济联系中,各种投入要素相对于该港口产出能力的利用率,可分别反映港口内部的运营效率、港口与港口之间的联网效率、港口对腹地经济的辐射效率,即本文所定义的港口效率Ⅰ、Ⅱ、Ⅲ。上述三层港口效率相互联系、彼此制约,构成了港口效率的内涵体系。
港口在上述三个层次上的效率提升,将可促进国际分工的深化及动态比较优势的增进。其一,港口效率Ⅰ的提升,可基于其核心活动之一——物流服务的规模报酬递增,增强国际生产工序的可分离性,从而促进分工深化。其二,港口效率Ⅱ的提升,可通过港口物流供应链实现专业化物流服务的“纵向和横向一体化”,并产生直接、间接网络效应,从而进一步降低物流成本和交易费用,成为促进分工深化的重要基础。其三,港口效率Ⅲ的提升,可基于港口特定区位优势产生显著的要素及产业集聚效应,使“港口—腹地”以更加优化的生产力布局,融入全球价值链并获取国际分工的收益,这恰恰是分工深化的根本动因。而国际分工深化所致的规模报酬递增或市场规模扩大,又将为动态比较优势的增进提供来源与动力。由此,本文论述了基于港口效率提升的动态比较优势增进机理。作为动态比较优势增进的一个直接体现,贸易规模将可扩大。对此,本文在现有引力模型的基础上引入港口效率,并作计量回归分析。结果表明,港口效率的提高,可对贸易规模产生显著的正向作用。这进一步论证了港口效率对动态比较优势及贸易规模的重要意义。
鉴于此,本文采用数据包络分析(DEA)方法,对中国规模以上港口作效率测度与评估。结果表明：其一,就港口效率Ⅰ而言,除宁波-舟山、天津、青岛、日照等少数港口之外,大多数港口为非DEA有效,其中包括上海港、深圳港等重要大型沿海港口。其二,就港口效率Ⅱ而言,长三角、山东、西南等沿海港口群呈DEA有效,津冀、珠三角、辽宁等沿海港口群则为非DEA有效,且港口群有效性与群内港口有效性之间关系密切。其三,就港口效率Ⅲ而言,津冀、长三角、珠三角等港口—腹地为DEA有效,此外某些贸易规模较大的港口—腹地则呈非DEA有效。其四,就各层效率的对比而言,仅长三角、山东的港口效率表现为逐层增强。总体而言,中国大多数港口、港口群及腹地区域呈现不同程度的效率低下,其中不乏在中国贸易中占据重要地位的大规模沿海港口、港口群及腹地区域,且港口效率体系并未实现逐层提升。
对上述评估结果作进一步分析发现,市场竞争不足或过度竞争、要素配置主体出现一定程度的错位现象等,是中国港口效率低下的主要原因。据此,本文提出了更有利于中国港口效率提升的若干对策。
综上所述,本文所作的创新性探索体现在：其一,突破港口个体效率内涵的狭义局限,从港口内部运营、港口群、港口与腹地等三个层面,构建港口效率内涵体系。其二,揭示港口效率提升对国际分工深化的促进机理,以及分工深化对动态比较优势增进的动力机制,从而论述基于港口效率提升的动态比较优势增进机理。其三,基于DEA方法,对中国主要港口、港口群及腹地区域的相对效率作测度和评估,并通过投影手段揭示无效成因及改进方向。其四,从市场有效竞争、要素配置主体等方面,提出有利于中国港口效率提升的若干对策。对于中国提升港口效率,并以此为突破口实现动态比较优势的增进,具有重要的现实意义。
As the international division of labor deepens and economic globalization develops, ports are increasingly regarded as a breakthrough point for the enhancement of dynamic comparative advantage. Today, the international division of labor is based on the flow and recombination of production factors, and is deepening into the production processes and sessions. The the factors are allocated to different countries or regions according to the factor intensity of each production phrase. However, since logistic costs and transaction costs increase sharply with the accelerated flow of factors and products, the gains resulting from the enhancement of dynamic comparative advantage may be offset. Therefore, dynamic comparative advantage can not be enhanced automatically. This is a especially significant problem for a large developing country like China, where the logistic network is not so sound and transaction costs are comparatively high. With a view of enhancing dynamic comparative advantage and achieving gains from internation trade, it is important that China should improve the logisitic efficiency. Regarding that ports play a key role in the global logistic network, the improvement of port efficiency is essential for the enchancement of China's dynamic comparative advantage.
With the evolution of functions under the present mode of international division of labor, ports' performance and its most important measurer, namely port efficiency, tend to bear new meanings. Therefore, this paper decomposes port efficiency according to the three main types of economic relationship during the functioning of ports. The efficiency of input with regard to output during the internal operation of a port is defined as the Operative Efficiency, namely Port Efficiency I. Similarly, the efficiency in the economic activities between a port and other ports, and efficiency in the economic activities between a port and its hinderland, are respectively defined as the Network Configuration Efficiency, namely Port Efficiency II, and the Radiant Efficiency, namely Port Efficiency III. These three levels of port efficiency interact between each other, and consist of the concept system of port efficiency.
The improvement of the above three Port Efficiencies will help promote the deepening of international division of labor, and hence the enchancement of dynamic comparative advantage. Firtly, with the improvement of Port Efficiency I, the separability of intenational production processes strenghthens based on increasing returns to scale in logisitic service activities, a key aspect of a port's internal operation. Resultantly, the division of labor deepens. Secondly, with the improvement of Port Efficiency II, a port will co-provide logisitic service with other ports in a horizontal and vertical integration of supply chain, generating direct and indirect network effects. As a result, logistic costs and transaction costs can be further reduced, which is a necessary foundation for the deepening of division of labor. Thirdly, with the improvement of Port Efficiency III, significant effects of agglomeration of factors and industries will emerge based on ports'particular location advantage. Such effects will enable a port and its hinderland to integrate into the global value chain with a higher productivity and achieve more gains, which is exactly the fundamental driving force for the deepening of division of labor.
Moreover, the deepening of division of labor will give rise to two main results, namely increasing returns to scale and expansion of market size, which provide the major source and driving power for the enhancement of dynamic comparative advantage. Thereby, this paper analyzes the enhancing mechanism of dynamic comparative advantage based on the improvement of port efficiency. As a direct reflection of the enchancement of dynamic comparative advantage, the trade volume of a coutry will expand. Seeing that, this paper introduces the variable of port efficiency into a common Gravity Model before empirically studying the relationship between port efficiency and trade volume. It is found that the improvement of port efficiency will have a significant positive impact on China's trade volume. This econometric result confirms the above-mentioned impacts of port efficiency on the enhancement of dynamic comparative advantage and expansion of trade volume.
In view of this, the three levels of efficiencies of China's main ports are measured and assessed via DEA. Mains results are as follows. Firstly, as far as Port Efficiency I is concerned, except for few ports like Ningbo-Zhoushan, Tianjin, Qingdao and Rizhao, the majority of China's ports are inefficient, including some dominant ports like Shanghai and Shenzhen. Secondly, as far as Port Efficiency II is concerned, port clusters in Yangtze River Delta, Shandong Province and Southeatern Region are efficient, while those in Jin-Ji, Pearl River Delta and Liaoning Province are not. Moreover, the efficiencies of port clusters are closely related to those of ports in the clusters. Thirdly, as far as Port Efficiency III is concerned, Port-Hinderland relationship in Jin-Ji, Yangtze River Delta and Pearl River Delta are efficient. However, some ports and hinderland are inefficient while taking a large account in China's trade volume. Last but not the least, the three-leveled port efficiencies do not strengthen stepwise in most cases, except for few ports in Yangtze River Delta and Shandong. To sum up, most of China's ports, port clusters and port-hinderland are inefficient to some extend, including those playing an important role in China's international trade. And in most cases, the three-leveled port efficiency do not strengthen stepwise.
Further analysis show that main reasons for inefficiency lie in the absence or excessiveness of market competition, as well as stakeholder malpositioning in the process of factor allocation. Accordingly, this paper puts forward several suggestions with a view of improving China's port efficiency.
To sum up, this paper attempts to make progress in the following aspects. Firstly, it broadens the commonly-used narrow definition of port efficiency by building up a three-leveld system, which consists of Operative Efficiency, Network Configuration Efficiency, and Radiant Efficiency. Secondly, it reveals the mechanism of promoting international division of labor and enhancement of dynamic comparative advantage by improving port efficiency. Thirdly, it estimates and assesses the relative efficiencies of China's major ports, port clusters and hinderland via DEA, and analyzes reasons for inefficiency and ways to better off by means of projecction. Fourthly, it puts forward several suggestions with a view of efficiency improvement. All these analyses help improve China's port efficiency, and hence have realistic significance to China's enhancement of dynamic comparative advantage.
引文
① 可参见Banker等(1984)、魏权龄等(1989a；b；c)。
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