企业性质、区域差异与产能过剩治理——基于三层级共同前沿DEA模型的研究  

Enterprise Property,Regional Difference and Excess Capacity Governance

作　　者：刘京星[1] 黄健柏[1,2] 丰超[1] 

机构地区：[1]中南大学商学院,湖南长沙410083 [2]中南大学金属资源战略研究院,湖南长沙410083

出　　处：《中国软科学》2017年第9期127-140,共14页China Soft Science

基　　金：国家自然科学基金重点项目(71633006);国家社科基金重大项目(13&ZD024);国家自然科学基金面上项目(41271139)

摘　　要：积极稳妥化解产能过剩是现阶段推进供给侧结构性改革的首要任务之一,深入剖析产能过剩成因是有效治理过剩产能问题的关键。与常规研究不同,本文引入三层级共同前沿DEA模型,运用非参数法从解构企业性质和区域差异两个维度的产能利用率入手,从结构效率、技术效率、管理效率三个层面客观地提取产能过剩影响因子。研究表明:我国国有工业企业产能过剩程度明显高于私营企业和外资企业,其主要影响因素是国有企业的技术无效率;西部地区产能过剩程度远高于东、中部地区,其主要影响因素是该区域占比最大的国有企业技术无效率非常突出;国家对东部地区产能过剩的主要影响因素是管理无效率,东部地区优惠政策的过度供给造成资源配置效率降低。研究还表明,对于产能过剩的影响,不存在国有企业所有制属性的"先天性缺陷",但在落户项目的技术水平上国有工业企业却存在明显的"地域歧视"。这些结论为我们治理产能过剩提供了重要的对策依据和新的思路。Dissolving the over capacity actively and safe is one of the primary tasks to boost supply-side structural reform at the present stage and identifying the causes of excess capacity is the key to control the problem of excess capacity effectively. Different from conventional research, this paper deeonstructs the capacity utilization from the perspectives of enterprise property and regional difference in order to extract the impact factors of excess capacity objectively from three levels（ structural efficiency, technical efficiency, management efficiency） through applying nonparametrie method which is based on three-hierarchy recta-frontier DEA model. This research shows that the degree of excess capacity of Chinese state-owned enterprise is higher than private enterprise and foreign-funded enterprise significantly because of the technical inefficiency of state-owned enterprise; the degree of excess capacity of the west area is far above the eastern region and central region which is caused by the technical inefficiency of the state-owned enterprise which occupies the largest proportion in the west area is very remarkable; the main influence factor of over capacity of eastern region is management inefficiency, because the oversupply of preferential policies makes the efficiency of resource allocation declining. The research also suggests that in terms of the influence of excess capacity, the nature of ownership of state- owned enterprise has no ＂inborn defect＂ but state-owned enterprise has ＂regional discrimination＂ in technological level of settled projects. These conclusions above provide importantc the countermeasurefor governance excess capacity. basis and new ideas for us to formulate

关 键 词：共同前沿 异质性 DEA模型 影响因子 产能过剩治理 

分 类 号：F062.9[经济管理—政治经济学]