文献类型：期刊文献

中文题名：双重外部性约束下中国资源型企业绩效研究

英文题名：Resources Listed Enterprises' Performance under the Constrains of Duel Externalities

作者：于立宏[1];李嘉晨[1]

机构：[1]华东理工大学商学院,上海200237

年份：2016

卷号：26

期号：4

起止页码：63

中文期刊名：中国人口·资源与环境

外文期刊名：China Population,Resources and Environment

收录：CSTPCD;;国家哲学社会科学学术期刊数据库;Scopus;北大核心:【北大核心2014】；CSCD:【CSCD2015_2016】；CSSCI:【CSSCI2014_2016】；

基金：教育部人文社科规划基金项目"要素替代与产业内结构优化升级:以中国高耗能产业为例"(编号:14YJA790074)

语种：中文

中文关键词：代际外部性;环境外部性;所有权性质;资源型企业;面板数据

外文关键词：intergenerational negative externality; environmental negative externality; ownership nature; resources enterprises; penaldata

摘要：中国资源型产业的可持续发展受到代际外部性与环境外部性的双重制约,却长期存在过度进入导致的过度开采,加剧了资源型企业的产能过剩与配置扭曲,但与此相关的"结构-行为-绩效"关系研究尚未将外部性纳入考量。本文引入双重外部性,构建了"SCP-2E"模型,并基于80家资源开采上市公司2011-2014年的面板数据,首先运用使用者成本法和条件估值法分别估算了代际外部性和环境外部性,然后将它们作为企业行为的因变量和影响绩效的自变量分别纳入资源型企业的SCP-2E模型中,同时考虑双重外部性下市场结构、所有权性质等因素对绩效的影响。结果发现,中国资源型产业有着明显的周期性特征,而2011年以来资源型企业的兼并重组只是单纯扩大了企业规模,而没有切实提高企业效率;进一步结合企业规模和所有权性质的相关性来看,大型企业多以国有企业为主,由此说明企业规模扩大、绩效却显著降低的原因在很大程度是由于国有企业的低效率造成的;另外,目前企业绩效的提高,主要还是依赖于地区经济增长的拉动,但在用电量增速较快的地区,也伴随着较大的环境外部性损失,暂时没有受到资源枯竭的约束。基于以上结论,本文认为,监管部门应加强资源开采权的审查,提高资源型企业的进入门槛和技术标准,适当鼓励企业在不增加生产投资和规模的前提下,通过技术进步和劳动效率的提高提升绩效,而国有企业改革力度重点应放在解决大型国企的低效率问题上。政府应该权衡经济增长与代际和环境负外部性,在保证能源、资源安全的前提下,鼓励和扩大可耗竭资源的进口,逐步建立国家和企业的战略资源储备制度。
The sustainable development of resource-based industries has been restrained by intergenerational and environmental negative externalities. In a long term, over exploitation existed, induced by over-entry, and contributed to overeapacity of resources industry and configuration of distortion, but the industrial study of structure-conduct-performance （SCP） hypotheses had not put the externalities into account. Duel externalities were introduced in SCP-2E model in this paper. Firstly, the intergenerational externalities and the environmental externalities were estimated by users＇ cost method and contingent valuation method separately based on the panel data of 80 listed resources enterprises from the year 2011 to 2014, then, dual externalities were added into basic SCP models as dependent and independent variables separately, and proprietary nature, enterprise scale and economic growth were control variables in these models. Results showed that as obvious seasonal industry, merger and reorganization of China＇s resources industry had simply expanded the enterprise scale but without effectively improvement since 2011. Combined with the correlation of the size and ownership nature, most of large enterprises were mainly state-owned enterprises, so the cause of the lower performance was significantly due to the low efficiency of state-owned enterprises. In addition, the improvement of enterprise performance at present, mainly depended on the pull of the district economy. However, the external losses were bigger in rapid growth areas of power consumption, the development of the resources of enterprises depended on the expense of the environment pollution, but no constraint by resource depletion. Thus, regulators should strengthen the examine of resources rights as well as improve the resources industry barriers to entry and the technical standard, to encourage enterprises to appropriate investment without any increase in production scale under the premise of technology progress. The reform of large state-owned enterprises should focus on solving the problem of the low efficiency, and the government needs to balance the economic development and dual externality losses, thus to induce transferring investment on resources industry in different areas. Moreover, to encourage greater import of depleted resources on the premise of safety of energy and resources ,we could gradually establish a strategic resource reserve system.