本文選題：全要素生產(chǎn)率 + 錯(cuò)配�。� 參考：《清華大學(xué)》2014年博士論文

【摘要】：全要素生產(chǎn)率（TFP）的差異是造成國際間人均收入差距的重要原因。近年的研究發(fā)現(xiàn)，資源在異質(zhì)廠商、行業(yè)之間的微觀配置效率，會(huì)在很大程度上影響宏觀上的總體TFP。本文梳理了資源錯(cuò)配理論的最新進(jìn)展，介紹了相關(guān)經(jīng)驗(yàn)研究和典型應(yīng)用，在此基礎(chǔ)上，利用中國1998~2007年間的工業(yè)企業(yè)微觀數(shù)據(jù)，考察了中國的企業(yè)、行業(yè)間資源錯(cuò)配程度及其隨時(shí)間變化趨勢，并將資源錯(cuò)配與企業(yè)特征和政策變量相聯(lián)系，探討造成錯(cuò)配的原因。本文的主要發(fā)現(xiàn)是： 工業(yè)部門內(nèi)行業(yè)間的資源錯(cuò)配年均降低了19%的TFP，明顯高于發(fā)達(dá)國家的平均水平（10%左右），表明我國的資源錯(cuò)配程度更嚴(yán)重，也意味著提高資源配置效率的空間仍然較大。資本錯(cuò)配造成的TFP損失遠(yuǎn)高于勞動(dòng)力錯(cuò)配（前者是后者的10倍）�？鐣r(shí)期看，采礦業(yè)、制造業(yè)內(nèi)部的資源錯(cuò)配程度大幅縮小，而電力、燃?xì)饧八纳a(chǎn)和供應(yīng)業(yè)的資源配置效率改善不明顯，這可能反映了各行業(yè)市場化進(jìn)程的差異�；貧w分析表明，行業(yè)集中度越低、國有企業(yè)比重越大、進(jìn)出門檻越低以及中西部地區(qū)比重越大的行業(yè)，越傾向于過度投資；而勞動(dòng)流動(dòng)性越高的行業(yè)，越可能投入了過多的勞動(dòng)力。 很多探討錯(cuò)配原因的研究都注意到借貸約束問題，但沒有獲得一致性的結(jié)論。本文發(fā)現(xiàn)這些研究往往依賴于衡量金融發(fā)展水平的宏觀指標(biāo)，如外部融資占GDP的比重、存貸款利差等，利用這些指標(biāo)難以解釋中國的TFP損失。本文則注意到中國的TFP損失還可能源自微觀層面的信貸錯(cuò)配。由于過去很長時(shí)期內(nèi)，利率的市場化程度不高，銀行貸款利率顯著低于非正式渠道融資，所以更容易從銀行獲得貸款的企業(yè)總是獲益并過度投資，從而造成資本錯(cuò)配，降低了整體TFP水平。因此，此前關(guān)于借貸約束與資源錯(cuò)配的研究，很可能低估了微觀金融扭曲在發(fā)展中國家的作用，同時(shí)也表明了中國利率市場化改革的迫切性以及對于改善經(jīng)濟(jì)總體效率的潛在收益。 在現(xiàn)有數(shù)據(jù)的基礎(chǔ)上，本文計(jì)算了TFP增長對經(jīng)濟(jì)增長的貢獻(xiàn)率，并進(jìn)行國際比較，發(fā)現(xiàn)中國和“東亞四小龍”的這一貢獻(xiàn)率在25%~50%之間，與世界平均水平較為接近，，高于美國等發(fā)達(dá)國家同期水平。因此，中國以及東亞過去幾十年的增長有別于于蘇聯(lián)模式，是較為健康可持續(xù)的。同時(shí)，中國當(dāng)前TFP水平遠(yuǎn)低于發(fā)達(dá)國家，表明未來提升生產(chǎn)率水平的空間依然很大。
[Abstract]:Total factor productivity (TFP) is an important cause of the difference between the per capita income gap. In recent years, the study found that the resources in the firm heterogeneity, micro allocative efficiency between industries, will greatly influence the overall macro TFP. this paper reviews the latest progress of the mismatch of resources theory, introduces the related empirical research and a typical application, on this basis, the use of industrial enterprises Chinese micro data from 1998~2007, were investigated China enterprises, with the degree of resource industry and the wrong trend over time, and the mismatch of resources and enterprise characteristics and policy related variables, discusses the cause of mismatch. The major findings of this paper are:
The mismatch of resources in the industrial sector between the industry average annual decrease 19% TFP, significantly higher than the average level of developed countries (about 10%), indicating that China's resource mismatch degree is more serious, also means to improve the efficiency of resource allocation of space is still large. TFP loss of capital mismatch loss caused by mismatch is much higher than that of labor (the former is 10 times of the latter). Over time, the mining industry, manufacturing industry internal resources mismatch degree is reduced, and the efficiency of resource allocation of electric power, gas and water production and supply industry improvement is not obvious, which may reflect the differences in each industry marketization. The regression analysis showed that the concentration of the industry the lower degree, the greater the proportion of state-owned enterprises, and the lower threshold and the central and western regions the proportion of the industry, the more inclined to excessive investment and labor mobility; the higher the industry is more likely to put too much labor.
A lot of research on the causes of mismatch was noticed in borrowing constraints, but did not get a consistent conclusion. We find that these studies often rely on macroeconomic indicators to measure the level of financial development, such as external financing accounted for the proportion of GDP, deposit and loan spreads, use these indicators to explain China loss of TFP. This paper is noticed Chinese TFP loss can also energy from the micro level credit mismatch. In the past a very long period of time, the degree of marketization of interest rate is not high, the bank loan interest rate was significantly lower than that of informal financing, so it is easier to get loans from the Bank of the enterprise always benefit and excessive investment, resulting in misallocation of capital, reducing the overall the level of TFP. Therefore, after about borrowing constraints and the mismatch of resources research, may underestimate the micro financial distortions in developing countries, but also that the China interest rate market The urgency of the reform and the potential benefits of improving the overall economic efficiency.
Based on the existing data, this paper calculates the TFP growth rate of contribution to economic growth, and international comparison, found this contribution China and four East Asian economies the ratio between 25%~50%, is close to the world average, higher than the United States and other developed countries over the same period level. Therefore, Chinese and East Asia over the past few decades years of growth from the Soviet Union, is a more healthy and sustainable. At the same time, the current level of TFP Chinese far lower than developed countries, improve productivity level that the future of space is still great.

【學(xué)位授予單位】：清華大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2014
【分類號】：F124;F224

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本文編號：1732859