8502 
7338钢铁行业产能过剩由来已久，梳理分析钢铁行业产能过剩的结构特征及其经济影响对于中国当前的供给侧改革具有重要的现实意义。文章利用1998–2007年中国工业企业数据，分析了我国钢铁企业产能利用率的变动趋势、企业性质及其与经营效益的关系。研究发现，产能利用状况一直以来都是影响我国钢铁企业经营效益的重要因素，这一现象在国有钢铁企业尤为突出。从变动趋势和结构差异来看，我国钢铁企业的产能利用率与利润率具有相近的变化趋势，且具有相似的企业性质差异，即国有企业的产能利用率和利润率明显低于非国有企业。实证结果表明，产能利用率是影响我国钢铁企业利润率的诸多因素中的主导因素，它的差异在很大程度上可以解释国有与非国有钢铁企业间的利润率差异。通过进一步区分企业的规模类型发现，我国钢铁企业产能利用率的企业性质差异主要表现在中小型企业，尤其是小型企业。因此治理我国钢铁企业产能过剩问题除了考虑企业的所有制形式外，还要区分企业的规模类型，同时坚持企业所有制改革和大型化的发展路径。
产能利用率、企业性质与经营效益——基于钢铁企业的实证分析
摘要
参考文献
1 刘小玄, 李双杰. 制造业企业相对效率的度量和比较及其外生决定因素(2000—2004)[J]. 经济学(季刊), 2008, (3).
2 路江涌. 外商直接投资对内资企业效率的影响和渠道[J]. 经济研究, 2008, (6).
3 聂辉华, 江艇, 杨汝岱. 中国工业企业数据库的使用现状和潜在问题[J]. 世界经济, 2012, (5).
4 沈利生. 我国潜在经济增长率变动趋势估计[J]. 数量经济技术经济研究, 1999, (12).
5 徐朝阳, 周念利. 市场结构内生变迁与产能过剩治理[J]. 经济研究, 2015, (2).
6 Berndt E R, Morrison C J. Capacity utilization measures: underlying economic theory and an alternative approach[J]. American Economic Review, 1981, 71(2): 48-52.
7 Berndt E R, Hesse D M. Measuring and assessing capacity utilization in the manufacturing sectors of nine oecd countries[J]. European Economic Review, 1986, 30(5): 961-989.
8 Braguinsky S, Ohyama A, Okazaki T, et al. Acquisitions, productivity, and profitability: Evidence from the Japanese cotton spinning industry[J]. Electronic Journal, 2015, 105(7): 1-63.
9 Borger B D, Kerstens K. The malmquist productivity index and plant capacity utilization[J]. Scandinavian Journal of Economics, 2000, 102(2): 303-310.
10 Bye T, Bruvoll A, Larsson J. Capacity utilization in a generalized malmquist index including environmental factors: A decomposition analysis[J]. Land Economics, 2009, 85(3): 529-538.
11 Cai H B, Liu Q. Competition and corporate tax avoidance: Evidence from Chinese industrial firms[J]. Economic Journal, 2009, 119(537): 764-795.
12 Cassels J M. Excess capacity and monopolistic competition[J]. The Quarterly Journal of Economics, 1937, 51(3): 426-443.
13 Chamberlin E H. The theory of monopolistic competition[M]. Cambridge: Harvard University Press, 1947.
14 Coelli T, Grifell-Tatjé E, Perelman S. Capacity utilization and profitability: A decomposition of short-run profit efficiency[J]. International Journal of Production Economics, 2002, 79(3): 261-278.
15 Driscoll J C, Kraay A C. Consistent covariance matrix estimation with spatially dependent data[J]. Review of Economics and Statistics, 1998, 80(4): 549-560.
16 Fare R, Grosskopf S, Kokkelenberg E C. Measuring plant capacity, utilization and technical change: A nonparametric approach[J]. International Economic Review, 1989, 30(3): 655-666.
17 Fare R, Grosskopf S, Kirkley J. Multi-output capacity measures and their relevance for productivity[J]. Bulletin of Economic Research, 2000, 52(2): 101-112.
18 Garofalo G A, Malhotra D M. Regional measures of capacity utilization in the 1980s[J]. Review of Economics and Statistics, 1997, 79(3): 415-421.
19 Gokcekus O. Trade liberalization and capacity utilization: New evidence from the Turkish rubber industry[J]. Empirical Economics, 1998, 23(4): 561-571.
20 Hickman B G. On a new method of capacity estimation[J]. Journal of the American Statistical Association, 1964, 59(306): 529-549.
21 Hoechle D. Robust standard errors for panel regressions with cross-sectional dependence[J]. The Stata Journal, 2007, 7(3): 281-312.
22 Jorgenson D W. Capital theory and investment behavior[J]. The American Economic Review, 1963, 53(2): 247-259.
23 Karagiannis R. A system-of-equations two-stage DEA approach for explaining capacity utilization and technical efficiency[J]. Annals of Operations Research, 2015, 227(1): 25.
24 Kirkley J, Paul C J M, Squires D. Capacity and capacity utilization in common-pool resource industries[J]. Environmental and Resource Economics, 2002, 22(1): 71-97.
25 Kirkley J, Paul C, Squires D. Capacity and capacity utilization in fishing industries[R]. Working Paper, 1999.
26 Klein L R. Some theoretical issues in the measurement of capacity[J]. Econometrica, 1960, 28(2): 272-286.
27 Klein L R, Long V, Greenspan A, et al. Capacity utilization: Concept, measurement, and recent estimates[J]. Brookings Papers on Economic Activity, 1973, 4(3): 743-763.
28 Lazkano I. Cost structure and capacity utilisation in multi-product industries: an application to the basque trawl industry[J]. Environmental and Resource Economics, 2008, 41(2): 189-207.
29 Lindebo E, Hoff A, Vestergaard N. Revenue-based capacity utilisation measures and decomposition: The case of Danish North Sea trawlers[J]. European Journal of Operational Research, 2007, 180(1): 215-227.
30 Morrison C J. On the economic interpretation and measurement of optimal capacity utilization with anticipatory expectations[J]. The Review of Economic Studies, 1985, 52(2): 295-309.
31 Nelson R A. On the measurement of capacity utilization[J]. Journal of Industrial Economics, 1989, 37(3): 273-286.
32 Paine C L. Rationalisation and the theory of excess capacity[J]. Economica, 1936, 3(9): 46-60.
33 Pascoe S, Tingley D. Economic capacity estimation in fisheries: A non-parametric ray approach[J]. Resource and Energy Economics, 2006, 28(2): 124-138.
34 Pascoe S, Tingley D. Capacity and technical efficiency estimation in fisheries: Parametric and non-parametric techniques[A]. Weintraub A, Romero C, Bjørndal T, et al, eds. Handbook of Operations Research in Natural Resources[C]. Boston, MA: Springer, 2007: 273-294.
35 Phillips A. An appraisal of measures of capacity[J]. The American Economic Review, 1963, 53(2): 275-292.
36 Smithies A. Economic fluctuations and growth[J]. Econometrica, 1957, 25(1): 1-52.
引用本文
马红旗. 产能利用率、企业性质与经营效益——基于钢铁企业的实证分析[J]. 上海财经大学学报, 2017, 19(6): 31–45.
导出参考文献，格式为：
