贸易自由化与异质性企业生产效率变动:来自中国制造业的微观证据

本文使用1998-2007年高度细化的关税数据测算了最终品关税和中间品关税,在此基础上结合中国微观企业数据实证考察了贸易自由化与异质性企业生产率变动之间的关系.研究结果表明:(1)贸易自由化对制造业企业生产率进步具有相当的解释力,其中中间品关税减让引致的成本节约以及优质要素获得效应对制造业企业生产率的促进作用比最终品关税减让引致的竞争效应更大;(2)贸易自由化对非出口企业、非加工企业以及本土企业的生产率提高的影响效应分别显著地大于出口企业、加工企业和外资企业,并且这些差异又主要体现在中间品关税减让引致的成本节约以及优质要素获得效应对生产率的作用上;(3)制造业行业总体生产率的上升主要来自企业内部生产率的改善,而市场份额重置效应的贡献相对较小,进一步的估计发现,贸易自由化对资源重置效率的净影响也较为微弱.本文为理解中国制造业企业生产率的动态演进提供了一个新的视角和经验证据,同时也为评价中国入世的经济效果提供了一个有益的判别视角.     

进口关税减免、企业异质性与新产品创新——基于中国企业层面的分析

本文以中国2001年入世为背景,利用中国工业企业数据与关税数据研究进口关税减免对中国企业新产品创新的微观效应,研究结果表明:中间品关税减免引致的成本及种类效应不仅可以显著促进企业新产品创新决策,而且也提高了企业的新产品创新强度,但最终品关税减免引致的竞争效应对企业新产品创新的影响不明显,这一结论在有效克服进口关税减免的内生性之后依然稳健。进口关税减免对不同特征企业的新产品创新具有异质性影响:最终品关税减免显著抑制了最低生产率企业进行新产品创新的概率,但对最高生产率企业具有显著的促进作用;中间品关税减免对中低生产率企业、中低规模企业、较高融资约束企业的创新活动具有显著的促进作用。     

企业生产率、经济政策不确定性与中国上市服务企业出口

服务贸易发展水平是衡量一国经济实力的标志之一,发展服务出口是提高国内外市场竞争力的必然选择。本文以异质性企业贸易理论为基础,利用2007-2017年中国上市服务企业数据,采用Heckman模型研究了企业生产率、经济政策不确定性对服务企业出口选择和出口规模的影响。研究发现:企业生产率对企业出口选择及出口企业的出口规模具有显著正向影响;经济政策不确定性对企业出口选择无显著影响,而对出口企业的出口规模具有显著正影响,而且经济政策不确定性对不同所有制企业的出口选择行为和出口规模的影响具有差异性。该研究拓展并丰富了中国服务企业出口方面的研究,对服务企业出口以及政府部门的决策具有启示性意义。     

中国出口企业生产率之谜:加工贸易的作用

研究发现中国出口企业生产率在特定行业与所有制中低于非出口企业,存在"出口企业生产率之谜"。本文通过对2000—2006年企业—海关数据的分析表明,这一现象完全是由中国大量的加工贸易企业导致的。在中国,近20%的出口企业完全从事加工贸易,这些企业的生产率比非出口企业低10%~22%。剔除加工贸易企业的影响就能使我们回到出口企业生产率更高的传统结论中。本文说明区分加工与非加工贸易企业对于正确理解中国出口企业的表现至关重要。     

企业生产率、产品质量与出口目的地选择——来自中国制造业企业微观层面证据

采用2005-2006年中国制造业企业微观层面贸易数据,基于企业产品质量异质性视角,研究企业生产率、产品质量与出口目的地之间的关系。研究结果表明:企业生产率、产品质量与对低收入国家的出口贸易额占比呈稳健负相关关系,生产率高的企业通过追加研发投入更易生产出高质量产品,以满足高收入国家对高质量产品的偏好需求,因而更倾向于向高收入国家出口;出口目的地人均收入与企业的生产率、研发密度、产品质量的交互项的系数显著为正,表明由于人均收入较高的目的地对高质量产品的较强偏好,向人均收入较高的目的地出口有助于提高企业生产率和提升产品质量。生产高质量产品的企业应集中向高收入水平的目的地市场出口。     

中间品贸易自由化与中国制造业企业生产技术选择

本文在异质性企业分析框架下,构建了贸易自由化下中间品进口与企业技术选择的理论模型,分析了中间品贸易自由化对企业技术选择的影响机理,并利用2000—2006年中国制造业企业数据考察了中间品贸易自由化对中国制造业企业技术选择的影响。实证结果表明,入世后,中间品贸易自由化显著促进了中国制造业出口企业应用高技术。进一步考虑企业生产率差异性时,发现这种促进作用与企业的初始生产率水平有关,仅仅显著促进中等生产率的企业进行技术升级。另外,中间品贸易自由化对技术密集型出口企业技术升级的促进作用最强,对劳动密集型出口企业技术选择的影响最弱。     

企业异质性、贸易自由化与市场扭曲

即使没有任何政策干预,市场本身的不完全也可能导致扭曲。本文在企业异质性框架下,构建包含Behrens类型需求结构的垄断竞争一般均衡模型,研究贸易自由化对市场扭曲程度的影响。通过比较静态分析,发现贸易自由化(市场规模扩张或者贸易成本下降)并没有减缓市场扭曲,这是因为,贸易自由化导致市场均衡福利和社会最优福利上升幅度相同。此外,随着一个经济体平均生产率的上升,会出现市场均衡福利上升和市场扭曲程度加剧并存的局面。进一步研究发现,理论模型得到的一般性结论同样适用于中国。本文的政策含义是,产业政策和贸易政策应该协调使用;随着一个经济体平均生产率的上升,产业政策的重要性加强。     

企业异质性、贸易自由化与环境污染

本文将企业的"排污—减排"决策引入基于拟线性需求系统的异质性企业垄断竞争模型,以研究贸易自由化对企业以及总体污染排放的影响。研究发现:在固定排污税率下,贸易自由化会增加全球总产出,但可能降低全球总污染排放,从而引致经济效益与环境效益的"双赢"。然而本文也发现这种情况只在初始排污税率较低之时成立。此外,在内生化的排污税率下,本文发现在一定参数下,最优的排污税率在贸易自由化以后应该上升。     

贸易自由化与中国工业行业生产率演进——基于动态OP方法的分析

本文分析了贸易自由化对中国工业行业总量生产率增长的影响,研究发现:第一,中国工业行业存活企业平均生产率高于进入企业平均生产率,退出企业平均生产率最低;第二,使用动态OP方法对中国工业行业总量生产率增长进行分解,发现存活企业生产率增长对总量生产率增幅贡献最大,低效率企业退出同样促进总量生产率增长;第三,总进口增加、中间品进口增加和最终品进口增加会促进中国工业行业总量生产率增长及各个分解部分增长;第四,国内企业竞争主要通过影响存活企业间资源再配置促进总量生产率增长,而贸易自由化则主要通过淘汰低效率企业实现经济资源再配置,并以此推动总量生产率增长。     

我国出口企业选择加工贸易的原因探究:生产率和融资约束视角

基于异质性企业全要素生产率和融资约束视角,从理论和实证两个方面对我国出口企业选择加工贸易的原因进行了研究。理论分析表明,生产率较低、融资约束较高的企业倾向于选择加工贸易从事出口;采用2000-2006年中国工业企业数据库和中国海关进出口数据库对应后的数据、利用probit二元离散选择模型和工具变量ivprobit模型估计方法的实证结果表明,我国出口企业融资约束程度越大、生产率水平越低,越倾向于选择加工贸易。稳健性检验结果进一步表明,融资约束较为严重、生产率水平较低的加工贸易企业,将提高加工贸易强度。     

Trade Liberalization and Firm Productivity: Evidence from Chinese Manufacturing Industries

This paper examines the impact of tariff reduction following China's World Trade Organization (WTO) entry on the productivity of Chinese manufacturing firms using a firm‐level panel database that comprises all of China's manufacturing firms with an annual turnover above 5 million yuan and that spans the period of 2000–2006. An instrumental variable estimator is used to account for the endogeneity of the tariff reduction. The results indicate that China's trade liberalization in the five years following its WTO entry has led to a 0.94% annual increase in total factor productivity for Chinese manufacturing firms. However, the overall productivity gain from the tariff reduction is a net result of a productivity depressing effect of output tariff reduction and a productivity enhancing effect of input tariff reduction. Both effects have diminished in magnitude over the years after China joined the WTO. Firm heterogeneity and turnover plays an important role in generating gains from trade liberalization. The surviving firms have managed to cope with and take advantage of lower tariffs. The extent to which the tariff reduction affects Chinese firms' productivity is also dependent on the ownership structure of the firms with foreign‐invested firms being the clear winner.     

Trade Liberalization, Exit, and Productivity Improvements: Evidence from Chilean Plants

This paper empirically investigates the effects of liberalized trade on plant productivity in the case of Chile. Chile presents an interesting setting to study this relationship since it underwent a massive trade liberalization that significantly exposed its plants to competition from abroad during the late 1970s and early 1980s. Methodologically, I approach this question in two steps. In the first step, I estimate a production function to obtain a measure of plant productivity. I estimate the production function semiparametrically to correct for the presence of selection and simultaneity biases in the estimates of the input coefficients required to construct a productivity measure. I explicitly incorporate plant exit in the estimation to correct for the selection problem induced by liquidated plants. These methodological aspects are important in obtaining a reliable plant-level productivity measure based on consistent estimates of the input coefficients. In the second step, I identify the impact of trade on plants' productivity in a regression framework allowing variation in productivity over time and across traded- and nontraded-goods sectors. Using plant-level panel data on Chilean manufacturers, I find evidence of within plant productivity improvements that can be attributed to a liberalized trade for the plants in the import-competing sector. In many cases, aggregate productivity improvements stem from the reshuffling of resources and output from less to more efficient producers.     

Trade Liberalization and Productivity Growth: Evidence from Indian Manufacturing

The impact of trade liberalization on productivity growth is still an empirical issue; the theoretical literature is as yet unclear on the direction of any such association. This paper develops an analytical framework and employs it to empirically test whether trade liberalization in Indian manufacturing has raised total factor productivity (TFP) growth. The answer is in the affirmative. The results also support a key postulate of the new growth theories, that liberalization of the intermediate-good sectors has a larger favorable impact on TFP growth than that of the final-good sectors.     

Trade Liberalization and Productivity Growth: Time-Series Evidence from Australian Manufacturing

This paper uses historical annual data for 27 years from 1968-69 on eight two-digit ANZSIC industries to assess the impact of the changes in industry assistance on economic efficiency. The empirical analysis shows that a 1 per cent decline in the nominal rate of assistance leads to between O.J 8 and 056 per cent gain in total factor productivity, the latter our measure of economic efficiency. This finding has strong policy implications for the future of tariff reform in the manufacturing sector.     

企业出口前研发投入、出口及生产率进步-来自中国制造业企业的证据

出口会导致企业生产率提高么?什么因素会影响出口的生产率效应?本文采用2001—2007年中国规模以上制造业企业调查数据估计了出口的即期和长期生产率效应。我们认为企业出口之前的研发投入可以通过增加企业的吸收能力来提高出口的生产率效应。通过采用倾向得分匹配的计量方法,我们发现:(1)平均看来,对于首次出口的企业,其出口当年企业生产率有2%的提升,然而在出口之后的几年中这种提升效应均不显著。(2)对于有出口前研发投入的企业,出口对生产率存在着持续且幅度较大的提升作用;但对于没有出口前研发投入的企业,出口对生产率没有显著的提升效应或提升效应短且较弱。(3)出口对生产率的提升效应随企业从事出口前研发年数的增加而提高。     

New Evidence from Brazil on Trade Liberalization and Productivity Growth*

This article presents evidence on the positive effect of international trade on productivity growth using industrial level data preceding and following Brazil's trade liberalization in 1988–90. Our data reveal large and widespread productivity improvement across industries after barriers to trade were drastically reduced. Econometric results confirm the association between trade liberalization and productivity growth and show that the impact was indeed substantial: The observed tariff reduction in the period brought a 6% estimated increase in total factor productivity growth rate and a similar impact on labor productivity.     

A Welfare Ranking of Multilateral Reductions in Real and Tariff Trade Barriers when Firms are Heterogenous

Trade liberalization comes about through reductions in various types of trade barriers. This paper introduces, apart from the customary real trade costs (i.e. iceberg and fixed export costs), two revenue generating trade barriers (i.e. an ad valorem tariff and a trade license) into a standard heterogeneous‐firms‐trade model with Pareto distributed productivities. We derive analytical welfare rankings of all four liberalization channels for an equal effect on two openness measures, for any trade cost level and while all four barriers are simultaneously present, i.e. for any initial equilibrium. We show that when openness is measured at retail prices, not border prices, the welfare rankings are sensitive to the degree of efficiency in revenue redistribution, e.g. the share of tariff revenues wasted on rent‐seeking activities. As a result, multilateral tariff reductions can switch from the least to the most preferred mode of liberalization. Among the other three barriers we establish a universal welfare ranking for any strictly positive level of revenue redistribution and for either measure of openness.     

集聚经济、公共基础设施与劳动生产率——来自中国城市动态面板数据的证据

文章采用2001-2007年中国城市面板数据实证检验了集聚经济、公共基础设施与城市非农劳动生产率的关系。结果表明:在控制住其他影响因素后,一个地区的就业密度和公共基础设施对其非农劳动生产率都有着显著为正的影响,但在忽略城市公共基础设施的情况下,集聚经济的估计值明显偏高了。     

Export Market Dynamics and Plant‐Level Productivity: Impact of Tariff Reductions and Exchange‐Rate Cycles*

In this paper, we examine how changes in tariff rates and industry‐specific real exchange rates affect the entry/exit process to export markets and productivity growth. Using the experience of the Canadian manufacturing sector over three decades, we find that firms in export markets enjoy faster productivity growth than non‐participants. The size of the growth advantage depends on whether real exchange rates are increasing or decreasing. The increase in the value of the Canadian dollar during the post‐2000 period almost completely offset the productivity growth advantages enjoyed by new exporters during this period.