中国高校人力资源管理创新绩效评价研究

利用DEA方法对我国2005-2009年的高校人力资源管理创新绩效进行了评价和分析,并运用Malmquist生产率指数对其绩效变动进行了测算。结果显示,我国高校人力资源管理创新绩效水平较为低下,纯技术效率低下是其主要原因;全要素生产率呈现较为显著的增长趋势,技术效率水平提高是引致TFP增长的主要原因,而技术进步对TFP有负面效应;我国高校人力资源管理创新绩效水平存在较为显著的省际和区域差异。     

The impact of the economic crisis on the (in)efficiency of public Higher Education institutions in Southern Europe: The case of Spanish universities

The evaluation of university efficiency in Europe began timidly when the European Higher Education Area (EHEA) was created. However, this issue is currently becoming increasingly important in Southern European countries, where the limitation of public funding following the economic crisis in 2008 has put greater pressure on their public universities to achieve excellence and improve competitiveness. In this context, the goals of this paper are: first, to measure the relative technical (in)efficiency of Spanish public Higher Education Institutions in the period 2002–03 to 2012–13, comparing the situation before and during the last economic crisis; and, second, to analyze the determinants of university (in)efficiency and, especially, the direct impact of the crisis. After applying the two-stage double bootstrap DEA methodology, the results show that Spanish public universities have become more efficient during the crisis than before it. In fact, the regression analysis confirms that the “crisis” variable has had a statistically significant positive impact on university efficiency. We also find that age has favorably influenced how these institutions utilize their resources to produce teaching and research outputs, but technical specialization has had a negative effect. Moreover, the regional location of public universities has been also a crucial determinant of their efficiency level. Our findings are therefore relevant for political and academic decision-makers in order to know if public universities have been adequately managed in the crisis period and to identify factors that could improve their efficiency, and hence to help them to enhance their international competitiveness in the future.     

A Cost Indirect Evaluation of Productivity Change in UK Universities

The study provides an empirical analysis of productivity change in publicly-funded UK universities, against a background of government policy specifically designed to enhance the productive efficiency of universities in the provision of teaching and research. The nonparametric analysis employs a cost indirect approach to measuring productivity change, taking explicit account of the quality of research output and decomposing productivity change into technical change and efficiency change. The latter is also decomposed into changes in pure technical efficiency, scale efficiency and output congestion. Changes in size efficiency are also computed. On average, productivity declined by 4% over 1989–92, mainly as a result of regressive technical change. Evidence of biased technological change was found, with the frontier shifting out in favour of the teaching outputs and in relative to the research output.     

研发创新绩效评价的国际比较研究

本文运用超效率DEA方法,建立统一的投入产出指标体系,对不同国家1998～2005年的研发创新活动进行效率评价。通过计算Malmquist指数,分析了各国的技术进步和技术效率、规模效率的变动情况。研究结果表明,大多数国家的研发创新主要依靠规模效率推动。我国的技术进步效率不高,应重点加强研发活动中的技术进步,并逐步提高研发投入的规模。     

Rising productivity of Australian trading banks under deregulation 1986–1995

Productivity of four major trading banks and six regional banks is investigated using Malmquist productivity indices in the deregulated period 1986–1995. The principal findings indicate an overall rise in total productivity driven more by technological progress than technical efficiency. Performance of major trading banks on technical efficiency is similar to that of regional banks but higher on technological progress. Distinguishing between improvement in technical efficiency and technological change is significant for policy formulation. Technological innovation can be construed as a sign of dynamic efficiency where banks take advantage of new cost-effective technologies and pursue product and market development.     

我国技术效率、技术进步与生产率区域差异的实证研究

本文用非参数Malmquist指数方法研究了我国全要素生产率的增长状况及其区域差异,并将其分解为技术进步和技术效率,同时采用增长回归法对我国地区之间TFP、技术效率、科技进步的差异进行了检验。研究表明:1994-2007年间我国全要素生产率年均增长率达到1%,主要得益于技术进步水平的提高,技术效率总体上呈现下滑趋势;我国各省市区的科技进步、技术效率、TFP变化呈现出较为明显的差异,其中TFP和科技进步变化差异最为明显,而技术效率变化差异不大。     

The impact of government funding on research innovation: An empirical analysis of Chinese universities

The university is one of the most important places for scientific research, and it is the cradle of knowledge output and technological invention. Using the granular data of more than 1,000 universities' funding from the government in China, we investigate the impact of government funding on research innovation at the university level. The results show that government funds promote the output of research innovation of universities. The effectiveness of government funding is greater when combined with greater human capital and more platforms for international cooperation. Interestingly, further studies have found that human capital and non-government funds have a moderating influence on the effect of government funds on university research output. Moreover, there are some differences between “211 Project” (high quality) universities and “non-211 Project” universities. Finally, given the relaxation of policy for government funding of university research in 2014, we investigate the relationship between human capital (especially specialists with senior titles) and government funds in the process of research innovation. The results show that, before 2014, human capital presents a substitution relationship with government funding while it presents a complementary relationship after 2014.     

高校科技经费投入趋势预测与比较研究

随着国家科技创新体系的不断完善,高校在科技创新工作中发挥重要作用。因此,加强高校科技管理,提高经费使用效益,就显得尤为重要。以十一五期间江苏高校科技经费投入为基础数据,采用灰色预测建模法构建了高校科技经费投入GM(1,1)模型,对十二五期间江苏高校科技经费投入演化趋势进行预测分析。研究结果表明,企业委托经费与政府下拨经费持高速增长趋势,其他收入转入科技经费增长较为平稳。因此,对于江苏高校而言,应积极争取政府财政科技经费和企业委托经费,进而增强自身科技发展水平和竞争力。     

2005年-2011年间我国矿业生产效率分析——基于DEA模型的Malmqusit指数实证分析

本文采用了2005年至2011年共7年的相关投入产出指标,使用数据包络分析的Malmqusit指数模型,对矿业的Malmqusit生产率指数进行测度,认为我国矿业的生产效率除2008-2009年间外均存在上升的趋势;然后对其进行RD分解,得到综合技术效率变动、技术进步、纯技术效率变动、规模报酬变动四个不同的指标值,认为生产效率改进的主要原因是技术进步效率的提升,而综合技术效率变动、纯技术效率变动、规模报酬则拖累了生产效率,随后分析了四个不同指标值的经济含义。     

How to optimize the allocation of research resources? An empirical study based on output and substitution elasticities of universities in Chinese provincial level

Although significant progress has been made in China's basic research in recent years, there remains a wide gap between research in China and that from developed countries. How to optimize the allocative efficiency of research resources is of great importance for increasing research output. In this paper, using the fixed effect stochastic frontier model based on the translog production function, we estimate output and substitution elasticities of research and development (R&D) inputs at universities in China's provincial level during 2009–2016. We find that the R&D technical efficiency of China's universities, after a rapid growth, has tended to become relatively stable. Improvements of internationalization degree and exogenous R&D capabilities are conducive to promoting R&D technical efficiency, whereas expenditures from government grants inhibit the promotion of R&D technical efficiency; the effects of R&D capital deepening and internet penetration are not evident. The output elasticity of R&D capital is much higher than that of R&D personnel, suggesting that R&D capital is the main driving force of research output. The substitution elasticity between R&D capital and personnel has experienced a change from substitution to complementary since 2014. To realize sustained growth of research output, we should increase R&D input with positive output elasticity or reduce R&D input with negative output elasticity, making the necessary trade-offs according to the substitution relationship between the two R&D inputs.     

Measuring productivity growth, technical progress, and efficiency changes of CPA firms prior to, and following the Sarbanes–Oxley Act

This paper investigates productivity growth, technical progress, and efficiency change for a group of the 56 largest CPA firms in the US from the period 1996–1999 through the period 2003–2006, where the former preceded, and the latter followed, enactment of the Sarbanes–Oxley Act (SOX). Data envelopment analysis (DEA) is used to calculate Malmquist indices of three measures of interest: productivity growth, technical progress, and efficiency change. Results indicate that CPA firms, on average, experienced a productivity growth of approx. 17% from the pre- to post-SOX period. Consistent with the finding of Banker et al. [Banker RD, Chang H, Natarajan R. Productivity change, technical progress and relative efficiency change in the public accounting industry. Management Science 2005;51:291–304], this productivity gain can be attributed primarily to technical progress rather than a change in relative efficiency. In addition, results indicate that the “Big 4” firms underperformed their non-Big 4 counterparts in both productivity growth and technical progress.     

The productivity of private and social farms: Multilateral Malmquist indices for Slovene dairying enterprises

Applying programming techniques to farm-level panel data for four cooperative and 12 private dairy farms in the Yugoslav Republic of Slovenia gives estimates of technical efficiency, scale efficiency, and technical progress. These are used to construct multilateral Malmquist indices of total factor productivity (TFP). For the cooperatives, TFP growth has been slow and is attributable to technical progress. For the private farms, technical progress was also slow, but TFP growth was faster due to improved efficiency. Scale inefficiency explains the poorer absolute performance of the private farms, indicating the need for land reform as well as technological change.     

Implications of variant efficiency measures for policy evaluations in UK higher education

Policy goals in UK higher education encourage the publicly funded universities to become more-specialised and larger in size without compromising output quality. Efficiency gains are expected to flow from this increased specialisation in accordance with universities’ comparative research and teaching strengths. Mergers to reap further gains from economies of scale are also being actively encouraged. Given this scenario, the paper investigates whether best-practice efficiency measurement based on data envelopment analysis (DEA) provides empirical support for the current policy goals. It also assesses whether such support is dependent on the specific type of efficiency measure used in the DEA modelling. This assessment finds that a selection of (nine) commonly used, variant efficiency measures generally support the current policy goals. The paper also uses the principal-agent framework to explore the issues involved in using computed DEA-based efficiency scores for policy evaluations and possible funding guidance in UK higher education. This highlights empirically how policy-makers and universities can have very different preferences about which efficiency measure is to be used for policy evaluations and possible funding guidance.     

How knowledge links with universities may foster innovation: The case of a science park

The objective of this research is to evaluate how technological knowledge flows from universities may increase innovation by firms located in a science park. We propose that firms with the capacity to acquire and assimilate the knowledge provided by universities, mainly due to being academic spin-offs or having long-term relationships with them, receive more knowledge from universities. We also argue that firms located in central positions inside the local firm-network have access to a complementary source of technical knowledge. Empirical evidence gathered from the Madrid Science Park confirms that having long-term relationships with universities, based on both formal and informal interactions, is the most important means of obtaining technical knowledge from them. We also observed a positive relationship between the technological knowledge obtained from universities and the innovation carried out by firms. Finally, we confirmed that firms with a significant role as intermediaries between other co-located firms have a higher level of innovation even if they are not involved in relationships with the university.     

企业技术创新：投资回报与风险控制

技术创新是一种具有探索性、创造性的技术经济活动,常常是机遇与风险并存。因此,控制技术创新风险,提高创新投资收益,是企业技术创新所要把握的核心问题。这就需要科学合理地选择技术创新投资策略;同时,还要尽可能防范和控制技术创新过程中出现的各种风险,以保证企业技术创新活动顺利进行,并使企业技术创新能够获得较高的投资回报。     

Measurement of innovation efficiency in logistic enterprises: Evidence from China based on the three-stage DEA-Malmquist index model approach

Continuous improvement of technological innovation ability, adjustment of the development strategy, and enhancement of operational performance are of great theoretical and practical significance for logistics enterprises. This paper aims to analyze and evaluate the innovation efficiency of the logistics industry. The study utilizes the static three-stage DEA model and the dynamic Malmquist index model, considering a total of 12 indicators related to innovation input, output, and environmental variables. A dataset of 2940 entries from 49 listed logistics enterprises from 2017 to 2021 was calculated. The analysis provides insights into the innovation efficiency of logistics enterprises from a static perspective and the innovation total factor productivity from a dynamic perspective and decomposition terms. Based on the analysis of environmental variables by the SFA model, it was found that DEA inefficiency is the combined result of environmental factors and management inefficiency. Environmental variables have both positive and negative effects on innovation. The improvement of the economic development level will lead to excess R&D investment. Increased government simple fund subsidies are not conducive to the efficient allocation of innovation resources within enterprises. The expansion of enterprise scale will increase R&D personnel and investment in fixed assets. A thriving technology market can encourage enterprises to improve their own conversion rate of scientific and technological output and give full play to their innovation ability. The dynamic Malmquist model analysis reveals a recution in the overall innovation efficiency of listed logistics enterprises over 5 years. The changes in total factor productivity and technological progress efficiency of all listed logistics enterprises are synchronized, with most enterprises exhibiting higher technological progress efficiency compared to comprehensive technical efficiency. The total factor productivity of logistics enterprise innovation is mainly affected by comprehensive technical efficiency.     

Measuring productivity of research in economics: A cross-country study using DEA

We measure productivity in leading edge economic research by using data envelopment analysis (DEA) for a sample of 21 countries belonging to the Organization for Economic Cooperation and Development (OECD). Publications in ten top journals of economics from 1980 to 1998 are taken as the research output. Inputs are measured by R&D expenditure, the number of universities with economics departments and (as an uncontrollable variable) population. Under constant returns-to-scale, the US emerges as the only efficient country. Under variable returns-to-scale, the efficiency frontier is defined by the US, Ireland and New Zealand. With the exception of the US, all countries in our sample display increasing returns-to-scale, and thus have the potential to raise their efficiency by scaling up their research activities.     

流通领域技术进步、分工发展与消费多样化福利

基于新兴古典经济学模型的两类比较静态分析，使用2008—2020年的省级面板数据，实证考察了流通领域技术进步对消费品种类扩增的影响及其机制。回归结果表明，流通领域技术进步能够促进消费品种类扩增；机制检验表明，流通领域技术进步可以通过降低交易成本促进区域市场融合，直接影响消费品种类，也可以通过社会分工水平间接影响消费品种类，产品管理效率提升会对该过程产生积极影响；异质性分析表明，相较于中东部地区，我国西部地区流通领域技术进步对消费品种类扩增作用更强。     

技术进步与效率改善的一种新测度方法

本文利用非参数路径收敛设计,建立了测度政府投入驱动经济增长效率的方法。基于浙江省级公立医院2005~2008年的数据,本文发现经典的Malquist指数和线性回归估计方法无法识别政府投入对技术进步和效率改善的影响。研究表明,2005年5月至2006年10月和2008年7月至2008年12月期间,政府投入显著促进了浙江省级公立医院技术进步,生产率大幅提升;然而,在2006年10月至2008年7月期间政府投入失败。这一结果不仅论证了本文测度方法的有效性和应用的可行性,同时也纠正了投入产出比导致的直观错误判断。     

Exploring efficiency differentials between Saudi higher education institutions

There have been considerable public debates surrounding the efficiency of Saudi higher education institutions, specifically after Vision 2030. We explore the efficiency of institutions of higher learning in Saudi Arabia. Panel data from 61 higher education institutions are employed for the academic years 2008–2014 to estimate efficiency scores. Also, second stage regression analysis was employed to identify the main determinants of efficiency scores. We conclude that despite exponential growth in government funding for the higher education sector, technical efficiencies remained almost stagnant over the study period along with a persistence of inefficiencies. Second stage regression results confirm that institution ownership itself does not have a significant effect on efficiency scores. However, being a university and acquiring more than 20 years of experience have a positive impact on efficiency scores. An increase in both lower secondary completion rates and percentage of female students in secondary general education increases efficiencies, whereas higher employment to population ratio and increasing female academic staff ratio in tertiary education reduces institutional efficiencies.