CAJ | 학술논문

本文首先梳理产能利用率的主要测算方法：峰值法、函数法（包括成本最小化标准与利润最大化标准情形）及数据包络分析方法。在此基础上，对这些方法进行比较分析，发现不同方法的假设条件以及对生产能力的界定标准存在着明显差异。目前中国工业的落后产能普遍存在，而且非市场因素的影响也比较大，考虑到这些因素，使用技术意义上生产能力的数据包络分析方法，可能更符合中国的现实情况。
본문수선소리산능이용솔적주요측산방법：봉치법、함수법（포괄성본최소화표준여리윤최대화표준정형）급수거포락분석방법。재차기출상，대저사방법진행비교분석，발현불동방법적가설조건이급대생산능력적계정표준존재착명현차이。목전중국공업적락후산능보편존재，이차비시장인소적영향야비교대，고필도저사인소，사용기술의의상생산능력적수거포락분석방법，가능경부합중국적현실정황。
The issue of excess capacity, one of the main challenges of the Chinese economy, is attracting more and more attention. When talking about this issue, what should to do first is the extent and trend of excess capacity, which requires quantification estimates of capacity utilization. However, there were rarely researches in China about quantification estimates of capacity utilization estimates still now. In contract, developed countries such as US, started to explore methods to estimate capacity utilization, and this offer help to relevant research in China. Based on the research literatures, this paper systematically introduces several methods to calculate capacity utilization rate： trend-through-peak, function method and data envelope analysis. These methods differ in theory presumption as well as definition of capacity. As theory presumption mentioned, on one hand, trend-through-peak method assumes that the peak can be observed has reached fully capacity utilization. On the other hand, function method needs to set a special production function or cost function, and different function form may lead to different result. But data envelopment analysis method does not require special function form, which make analysis more convenient. As definition of capacity mentioned, firstly, capacity delimited in trend-through-peak method refers to the peak of macro output. Secondly, capacity delimited in the survey method refers to the designed production capacity of machinery or equipment, which can be understood as ＂engineering capacity＂. Thirdly, capacity delimited in the function method is the production level at which cost minimization or profit maximization criterion satisfies, and capacity of this kind can be understood as ＂economic capacity＂. Fourthly, capacity delimited in the envelopment analysis measurement is the production level at which fixed capital can be fully used, and capacity of this kind can be understood as ＂technical capacity＂. Even if the function method, which is used most widely, definition of capacity is not definite, there are at least several d mization of short-run cost function, tangent function, profit maximization. efining criteria ： minimization of long-term point of long-term average cost function average cost function, mini- and short-term average cost It should highlight the differences between ＂technical capacity＂ and ＂engineering making an decision of fixed capital investment, it can choose various of equipment, and capacity＂. When a firm different forms of equipment may differ in production capacity. Traditional studies often assume that firms will choose equipment of the largest production capacity, which is known as ＂technical efficiency＂. If this assumption holds, there is no difference between ＂technical capacity＂ and ＂engineering capacity＂. However, due to various reasons, firms may not choose equipment of the largest production capacity, resulting in technical inefficiencies which often known as ＂backward production capacity＂. In this case, ＂technical capacity＂ is different from ＂engineering capacity＂. When large backward capacity exits, it is particularly important to distinct ＂technical capacity＂ and ＂engineering capacity＂. The utilization rate of ＂engineering capacity＂ in this case may be very high, but this does not reflect the reality of serious waste of resources. Different from developed economies, there is large backward capacity in China currently, and impacts of nonmarket factors also large. All of these were showed clearly in Guidance to Resolve Excess Capacity Problem, which was issued by the State Council. Taking into account these factors, either the presumption of technical efficiency of ＂engineering capacity＂ or the presumption of economic decision by firm of ＂economic capacity＂ may not hold, so ＂technical capacity＂ may be more suitable for the situation of current China industry.