“中国式财政分权”与全要素生产率:“竞次”还是“竞优”  

The “Chinese Mode”Fiscal Decentralization and TFP:Race to the Bottom or Race to be Better

作　　者：余泳泽[1] 刘大勇[2] 

机构地区：[1]南京财经大学产业发展研究院 [2]天津大学管理与经济学部

出　　处：《财贸经济》2018年第1期23-37,83,共16页Finance & Trade Economics

基　　金：国家自然科学基金"适宜性创新模式选择与区域全要素生产率提升:基于创新价值链与空间外溢视角"(71403115);国家社会科学基金"基于技术授权途径的我国产业攀登技术制高点战略研究"(15CJY009);江苏省333工程项目"创新投入为何不能转化为技术进步:基于适宜性创新模式视角的研究"

摘　　要：本文揭示了"中国式财政分权"制度对区域全要素生产率(TFP)的影响作用是导致了TFP的"竞次"还是"竞优"。理论分析表明,"中国式财政分权"制度通过改变资源配置条件影响技术进步:当地方政府间的竞争通过市场开放、要素流动及基础设施改善的方式实现资源有效配置时,分权制度会促进技术进步,形成地区间"竞优";当地方政府以分割市场等途径作为竞争手段时,会造成要素扭曲,分权制度则抑制了技术的进步,形成地区间"竞次"。实证结果表明,"中国式财政分权"制度显著改进了中国全要素生产率水平,但也会在一定程度上造成要素市场的扭曲进而不利于技术进步。进一步观察TFP的内部构成后得出,财政分权导致技术进步(TP)与技术效率(TE)呈现较为明显的"竞优",但全要素生产率"竞优"正在弱化。This paper reveals how the ＂Chinese Mode＂ fiscal decentralization system impact on regional total factor productivity （TFP） ： race to the bottom or race to be better.9 The theoretical analysis shows that ＂Chinese Mode＂ fiscal decentralization system would make a technology progress by changing the conditions of resource allocation. When the competition between local government fulfills the optimization of resource distribution by means of open markets, flowing elements and improve facilities, the technology would be progressed, and the regional trend of competition would be formed by the decentralization system. When local government use segmentation market as the competition means which will cause the distortion of factors, the technology progress would be curbed, the end of competition would be formed by the decentralization system. The empirical results show that ＂Chinese Mode＂ fiscal decentralization system improves the TFP of China significantly. What＇s more, it reveals that the improvement action is come true more through ＂ racing to be better＂ of infrastructure construction and FDI. At the same time, this paper also observes that ＂Chinese Mode＂ fiscal decentralization system would lead to some problems which are factor mismatch and distortion of fiscal expenditure structure. It will result in factors market distortion to a certain extent, furthermore, and go against technology progress. A further observation on the internal structure of TFP comes to that fiscal decentralization has forced technological progress （TP）and technical efficiency （TE） has more ＂race to be better＂. At the same time, this TFP ＂race to be better＂ effect is weakening because of political incentives and biased economic incentives.

关 键 词：中国式财政分权 全要素生产率 竞次 竞优 

分 类 号：F812.2[经济管理—财政学] F812.7