技术效率、技术进步与东亚经济增长——基于APEC视角的实证分析

本文运用当期DEA和序列DEA两种方法测度了1960—2004年APEC17个国家和地区的技术效率、技术进步及曼奎斯特生产率指数,并且对APEC经济增长的趋同效应进行了实证检验。本文的主要结论是:20世纪80年代,东亚地区全要素生产率平均增长超过了APEC其他地区,但是全要素生产率对于劳动生产率增长的贡献仍然低于发达国家;在整个样本期存在显著的趋同,资本积累是趋同最重要的源泉,而技术进步则使经济增长发散;序列DEA避免了技术的退步,是一种比当期DEA测度技术进步更好的方法。     

Sulphur emissions and productivity growth in industrialised countries

Abstract ** :  In this paper, we examine the relationship between economic and environmental performance. More specifically, we analyse the impact of SO2 reduction in the eighties (1980–1992) on productivity growth, technical efficiency and technological progress for a set of 12 OECD countries. Our timeframe roughly corresponds to the adoption and implementation of the First Sulphur Protocol signed in 1985. First, we estimate an output based Malmquist productivity index using distance functions derived from successive DEA (Data Envelopment Analysis) frontiers. This index is decomposed in two components namely technical and efficiency change. Second, we regress the change in productivity and its two components on a set of explanatory variables including annual variations in SO2 emissions. The results indicate that reductions in SO2 do not seem to have had a significant impact on productivity growth. The decomposition into efficiency and technology changes suggests that two countervailing effects may explain this result. On one hand, SO2 cutbacks adversely affect efficiency but on the other hand, they stimulate technical change .     

Productivity and efficiency change and shareholder value: evidence from the Spanish banking sector

Productivity change and shareholder value have been analysed in the banking sector in the last few years, although it should be noted that these two important aspects have been studied separately. In this regard, the main contribution of our study is to link these two lines of research by verifying whether those banks characterized by higher levels of efficiency and productivity change have a higher shareholder value. To measure changes in efficiency and productivity we use the Malmquist nonparametric technique, which is calculated from Data Envelopment Analysis (DEA) linear programming approach. The Malmquist total factor productivity index enables separation of the ‘catching up’ effect, i.e. changes over time in technical efficiency, from ‘technological change’, i.e. the shift of best practice frontier over time due to technological progress. Our results for a sample of listed Spanish banks in the period 2000 to 2004 confirm that those banks with higher efficiency and productivity changes have a higher shareholder value, even after controlling for the impact of traditional measures of performance, such as return on assets.     

NOTE ON THE PRODUCTIVITY CONVERGENCE OF AIRPORTS IN CHINA

The present paper uses a Malmquist index measure of productivity growth to study the productivity convergence of 25 airports in China during the period 1995–2004. By decomposing the Malmquist index, we find evidence for the convergence of the efficiency level of airports, but not the productivity and technology levels. These results imply that the more productive airports are pushing the frontiers of technology faster by adopting new technology, and that the relative efficiency level of the laggards increases quickly and catches up with the efficiency level of the leaders over time.     

中国区域绿色全要素生产率增长差异及收敛分析

文章利用熵值法拟合环境污染综合指数,将其作为经济的非理想产出纳入非参数DEA-Malmquist指数模型,测度了1995-2008年中国29个省份的绿色Malmquist指数,并在此基础上分析了我国的绿色Malmquist指数、绿色技术效率和绿色技术进步率对区域经济增长差距的影响及其时间演化趋势。研究表明:样本期内,我国的环境污染日益严重;考虑环境污染因素后,中国的全要素生产率增长率显著下调,技术进步率的差异是地区经济增长差距的主要原因;我国的绿色Malmquist指数整体上不存在绝对收敛趋势,只有东部地区呈现较典型的俱乐部收敛特征;在控制投资率、从业人员增长率与环境治理力度后,各地区均表现出条件收敛趋势。     

Human capital in OECD countries: Technical change,efficiency and productivity

The aim of this paper is to analyse the role of human capital in the productivity gains of the OECD countries in the period 1965-90, breaking down the productivity gains into technical change and gains in efficiency. For this purpose we use both a stochastic frontier approach and a non-parametric approach (DEA) and calculate Malmquist indices of productivity. The results obtained indicate the existence of both a level effect (a higher level of human capital raises labour productivity) and a rate effect (a higher level of human capital affects positively the rate of technical change) associated with human capital. The differences among countries in endowments of human capital have worked against labour productivity convergence, since the richer countries, thanks to their greater endowment of human capital, have experienced higher rates of technical change.     

广东省高技术产业各行业效率变化的实证研究

采用基于DEA的Malmquist生产率指数法,选取5个投入指标和4个产出指标对1995—2008年广东省高技术产业的4个细分行业进行多投入、多产出的动态效率测度。结果表明:1995—2008年期间广东省高技术产业全要素生产率的年均增长率为12.3%,这是技术进步和技术效率共同推动的结果,其贡献率分别为11.1%和1.1%;电子及通信设备制造业全要素生产率的平均增长率最高,主要由技术进步推动;其次是医疗设备及仪器仪表制造业,由技术进步和规模效率共同推动;然后依次是电子计算机及办公设备制造业和医药制造业,技术进步是两者的主要推动力量。最后,提出促进广东省高技术产业生产率提升的政策建议。     

中国钢铁行业全要素生产效率实证分析

基于动态DEA的非参数Malmquist指数法,分析了1992～2007年中国28个省市钢铁行业全要素生产率以及七大经济区钢铁行业全要素生产率变动情况,并将全要素生产率的变动分解为技术进步、纯技术效率、规模效率三个指标,分析了这三个指标对中国钢铁行业全要素生产率的影响。结果显示,中国钢铁行业TFP的增长主要是由技术进步推动的,当技术进步促进TFP提升时,总会受到技术效率相对下降对TFP增长的抑制;七大经济区钢铁行业全要素生产率存在明显级差,低效经济区学习和追赶高效经济区的效应也应该发挥更大作用;钢铁产业各经济区产能应实现在高效率地区的相对集中,获取行业的规模经济;各经济区都应该注重钢铁行业管理水平的提高,突破钢铁行业能效提高的技术效率瓶颈。     

不同教育水平对全要素生产率增长的影响——来自中国省份的实证研究

本文计算了从1993年到2001年间中国29个省份的生产率增长数据的曼奎斯特指数，然后通过面板数据计量经济模型研究了不同教育水平对技术效率的影响。我们的结果显示，大学教育对效率改善和技术进步都具有有利影响，而中小学教育对于效率改善具有不利影响；而且，大学教育对效率改善的有利影响是通过具有大学教育水平的劳动者向更有效率的非国有企业再分配实现的。     

Efficiency change,technological change and capital accumulation in Italian regions: a sectoral study

This paper examines the sources of labour productivity in the Italian regions during the period 1980–2004. Five economic sectors are investigated using data envelopment analysis (DEA) and taking into account productive specialisation and sector inefficiencies. Labour productivity change is decomposed into five components by means of Malmquist productivity indices: intra-sector efficiency change, composition efficiency change, input-biased technical change, magnitude component technical change and capital accumulation. Using bootstrap procedure, the components of labour productivity changes are statistically tested. Efficiency analysis shows that productive specialisation is not a source of inefficiency and efficiency gains can be obtained by sector-specific policies. Thus, it is possible to obtain improvements in efficiency in each sector of activity rather than reallocating resources among sectors. The results of the decomposition by sectors reveal heterogeneous sources of growth. The total economy has shown evidence of non-neutral technical change and, it has been found that agriculture, industry and construction experienced capital using technical change. The analysis of the decomposition of the labour productivity growth is complemented by an analysis of β-convergence.     

Convergence in OECD countries: technical change,efficiency and productivity

The aim of this study is to analyse labour productivity convergence in the OECD countries over the period 1975-90. A nonparametric frontier approach is used to calculate the Malmquist productivity index. By breaking it down, the contribution in the growth of labour productivity of technical progress, of changes in efficiency, and of the accumulation of inputs per worker are quantified. Unlike other studies, the results obtained show that technical change has worked against labour productivity convergence, since it has always been greater in the countries with higher labour productivity.     

From transition to competitionDynamic efficiency analysis of Polish electricity distribution companies1

In this paper, we test the hypothesis that the economic transition toward a market economy increases the efficiency of firms. We study 32 Polish electricity distribution companies between 1997 and 2002, by applying common benchmarking methods to the panel: the non‐parametric data envelopment analysis (DEA), the free disposal hull (FDH), and, as a parametric approach, the stochastic frontier analysis (SFA). We then measure and decompose productivity change with Malmquist indices. We find that the technical efficiency of the companies has indeed increased during the transition, while allocative efficiency has deteriorated. We also find significantly increasing returns to scale, suggesting that the regulatory authority should allow companies to merge into larger units.     

中国财产保险业效率实证分析

据中国财产保险公司1999年-2003年相关数据统计，通过运用数据包络分析方法（DEA）对各家公司的技术效率的测度和实证分析，表明我国财产保险公司5年内综合技术效率呈锯齿形渡动，极不稳定。在对技术效率进行分解后发现，投入要素用拥挤测度和纯技术效率值比较接近生产前沿面，且规模效率值的变化是造成综合技术效益波动的主要因素。     

Specification and estimation of stochastic multiple-output production and technical inefficiency

This paper presents a primal-based approach for specification and estimation of multiple-output production frontiers that allows simultaneous identification and estimation of determinants of technical inefficiency. The proposed model extends the technical efficiency effects model by Battese and Coelli (1995) to general multiple-output technologies. An empirical application using Swedish health care panel data from the years 1989–1994 is included. The key issue is to test for the effects on technical efficiency of an organizational reform implemented with the primary purpose to increase efficiency. The results reveal no significant effect on technical efficiency of the reform, but evidence of overall decreased technical efficiency and technical progress in the provision of health care over the studied time period are found.     

A comparative analysis of the change in R&D efficiency: a case of R&D leaders in the technology industry

This paper measures the cumulative change in research and development (R&D) efficiency of globally leading R&D companies in the technology industry. We use Data Envelopment Analysis /Malmquist index to analyse 49 such companies. The change in R&D efficiency is analysed by decomposing the Malmquist index into ‘catch-up’ and ‘frontier shift’ indices, and by comparing cumulative indices to those at the starting period. Those cumulative indices are obtained at both a firm and an industry level. Results indicate that the overall R&D efficiency of these globally leading R&D companies declined slightly during the period 2007–2013. At a firm level, this study determines in detail how the trend of each firm in R&D activities differs from other companies.     

Productivity and technical change: the case of Taiwan

This paper analyses productivity growth in 16 of Taiwan's manufacturing industries during the period 1978–1992. The non-parametric Data Envelopment Analysis approach is used to compute Malmquist productivity indexes. These are decomposed into efficiency change and technical change. The latter is further decomposed into an output bias, an input bias and a magnitude component. In addition, the direction of input bias is identified. Empirical results indicate that the sector's TFP increased at a rate of 2.89% per annum, which could be ascribed to a technical progress (2.56%) and an efficiency improvement (0.33%).     

Total factor productivity in the Lithuanian family farms after accession to the EU: application of the bias-corrected Malmquist indices

The non-parametric measures of efficiency and productivity do not enable to fathom the underlying technology changes in terms of input saving and consumption. However, the bias-corrected Malmquist productivity index offers a remedy to this shortcoming. This paper, thus, employed the bias-corrected Malmquist productivity index to measurement of the total factor productivity changes in the Lithuanian family farms. The paper employed the Malmquist productivity indices to measure the technical changes (TCs) in terms of input-saving or input-use. Specifically, a sample of 200 family farms was used for the analysis. The research period covered years 2004–2009. The three farming types were considered, namely crop, livestock, and mixed farming. The analysis indicted that crop farming was peculiar with land-using and asset-saving TC, whereas labour-using and intermediate consumption saving TCs were observed only for certain combinations of inputs. As for livestock farms these generally experienced intermediate consumption and asset saving TCs against all the remaining inputs, whereas labour-saving and land-using TC varied with the reference inputs. Finally, mixed farms can be considered as those peculiar with increasing land use and decreasing capital consumption. Labour-using and intermediate consumption saving TCs did also hold for most of the analysed factors. The Lithuanian agricultural sector has not been analysed by the means of the bias-corrected Malmquist indices. Furthermore, there is a gap in the literature on the efficiency and total factor productivity in the Lithuanian farms in general. The present study, therefore, presents insights on the technology change based on non-parametric estimates.     

我国制造业技术进步、技术效率及区域差异——基于DEA方法的实证研究

利用Malmquist生产率指数方法,对我国29个省的制造业在1999--2005年间的全要素生产率（TFP）的变化进行了测算,把TFP的增长构成分解为技术进步和生产效率变化两个成分,并对其区域差异进行了分析,最后对省际制造业TFP进行了趋同分析。结果显示：我国制造业TFP的增长主要是由技术进步推动的,当技术进步促进TFP提升时,总会受到生产效率下降对TFP增长的抑制影响;区域间技术进步及技术效率存在较大差异,省级制造业TFP存在条件β收敛。     

The use of bootstrapped Malmquist indices to reassess productivity change findings: an application to a sample of Polish farms

This article assesses the extent to which sampling variation affects findings about Malmquist productivity change derived using data envelopment analysis (DEA), in the first stage by calculating productivity indices and in the second stage by investigating the farm-specific change in productivity. Confidence intervals for Malmquist indices are constructed using Simar and Wilson's (1999) bootstrapping procedure. The main contribution of this article is to account in the second stage for the information in the second stage provided by the first-stage bootstrap. The DEA SEs of the Malmquist indices given by bootstrapping are employed in an innovative heteroscedastic panel regression, using a maximum likelihood procedure. The application is to a sample of 250 Polish farms over the period 1996 to 2000. The confidence intervals’ results suggest that the second half of 1990s for Polish farms was characterized not so much by productivity regress but rather by stagnation. As for the determinants of farm productivity change, we find that the integration of the DEA SEs in the second-stage regression is significant in explaining a proportion of the variance in the error term. Although our heteroscedastic regression results differ with those from the standard OLS, in terms of significance and sign, they are consistent with theory and previous research.     

我国环渤海地区主要港口技术效率的时空差异分析

将DEA方法与Malmquist生产率指数法相结合,测度了2007—2010年我国环渤海地区9大港口的投入-产出效率。结果表明:研究期间,受金融危机的影响,我国环渤海地区主要港口总体的技术效率不佳,但庞大内需使其技术效率呈上升趋势,规模效率过低是导致其技术效率不佳的主要原因,港口的投入-产出效率在很大程度上与港口规模有关;从动态效率来看,9大港口的Malmquist生产率指数整体上呈上升趋势且其增长率为正,但个别港口的Malmquist生产率指数受金融危机的影响明显且有不同程度的下降;不同省份港口的Malmquist生产率指数存在明显差距;技术进步迟滞和规模效率不高是制约我国环渤海地区主要港口的Malmquist生产率指数进一步提高的主要因素。