Economic Theory and Econometric Practice: Parametric Efficiency Analysis

Parametric efficiency analysis is one of the most investigated areas in applied production economics. Nevertheless, the vast majority of empirical studies are not accompanied by a thorough theoretical interpretation of the underlying functional form and the obtained estimates. The robustness of policy suggestions based on inferences from efficiency measures nevertheless crucially depends on theoretically well-founded estimates. This research contribution adresses parametric efficiency measurement by critically reviewing the theoretical consistency of recently published technical efficiency estimates. The theoretical concerns are verified by empirical applications confirming the need for a posteriori checking the regularity of the estimated frontier by the researcher and, if necessary, the a priori imposition of the theoretical requirements. Bootstrapping based stochastic simulations of a simple parametric efficiency model by using different flexible functional forms confirmed the severeness of the theoretical concerns especially with respect to the merely locally restrictable translog specification.     

The Measurement of Dynamic Productive Efficiency

Measuring dynamic productive efficiency from observed input-output data raises several new issues which are absent in the static production frontier studies. The adjustment cost approach is developed here as an interface between the static and the dynamic frontier studies, and the non-parametric method of Farrell developed for static efficiency is extended for the specification of a dynamic production frontier.     

卓越制造绩效度量方法的探析

卓越制造是制造业革命性的变革,是制造企业战略目标,制造技术、管理和组织的全面创新,但是在实践中卓越制造的卓越之处却没有完全发挥出发,这主要是因为缺乏一种有效的绩效度量方法来反馈,度量和指导制造活动。传统绩效度量主要侧重于财务上的指标,这对卓越制造来说并不完全合适,也是不够的;有效的绩效度量方法应基于组织的目标、成功的关键因素和客户的需求,既有财务指标也包括非财务指标。     

Parametric Approaches to Productivity Measurement: A Comparison among Alternative Models

This paper deals with modeling total factor productivity (TFP) growth in a flexible manner using panel data. Several competing parametric models are used to explore whether there are any similarities in the estimates of TFP growth and technical change among these models. Using a primal approach, we decompose TFP growth into different components. The models are then used to measure productivity and technical change in the Swedish cement industry. In general, the results are found to be model dependent and often conflicting, although much less so for returns to scale and overall productivity growth.
JEL classification: O 30; C 33     

城市能源效率测度方法与评价研究

如何测量城市能源效率已经成为低碳城市研究中亟待解决的难题,这其中又在城市能源效率划分和数据空间范围界定等领域存在颇多争议。基于城市能源研究的分析框架,文章将城市能源效率测度划分为广义和狭义两个层面,结合国内外研究结果,分别对国内外所使用的能源效率指标、能源消费数据获取方法进行对比评价,从理论和实际应用两方面探讨了不同测度方法的适用范围及其在城市能源效率分析中的优势和局限,并指出如何增强国外相关研究方法的适用性以及明确相关研究结论的政策边界范围。     

Performance Indicators and Efficiency Measurement in Public Libraries

A sample of one hundred and sixty-eight New South Wales local government libraries is used to analyse the efficiency measures derived from the non-parametric technique of data envelopment analysis. Depending upon the assumptions employed, 9.5 per cent of local governments were judged to be overall technically efficient in the provision of library services, 47.6 per cent as pure technically efficient, and 10.1 per cent as scale efficient. The study also analyses the posited linkages between comparative performance indicators, productive performance and non-discretionary environmental factors under these different model formulations. The results indicate that the presence of exogenous factors and scale effects account for a major portion of the differences in observed efficiency between different groups of local governments.     

不良资产证券化的模式、效率及其风险分析

随着我国金融体制改革的深化，国有商业银行面临的竞争环境越来越激烈。资产证券化业务的实施隐藏着复杂的风险。本文从资产证券化的角度，探讨资产证券化的模式、效率以及风险等问题。作者希望通过本文的阐述，能够给读者提供一些借鉴思路。     

效率测度方法的发展及在我国银行业的应用

本文介绍了国外银行效率测度方法的发展历程及其最新进展,分析、评价、比较了效率测度的数据包络分析法、随机前沿法、自由分布法、厚前沿法及递归厚前沿法等。同时,本文还介绍了上述方法在中国的研究与应用情况,指出了我国学者在研究与应用过程中存在的问题及改进方向。     

城市化效率的时空测度与省际差异研究

城市化效率作为衡量城市化质量内涵的重要标准,已成为城市经济协调运转的逻辑起点。基于数据包络分析法(DEA),利用Malmquist效率指数,以2005—2010年为样本研究时段,对中国31个省区(市)的城市化效率分别进行了动态测算。同时,运用DEA-BCC模型对其规模报酬和非集约度进行静态测算。结果表明:天津、福建、青海等17个省区(市)城市化效率较低;河北、安徽、四川等19省区(市)仍处于非有效且投入要素非集约度状态。文章最后提出要提高土地利用效率、发展集约型产业、实施科技推动的城市化道路等提高城市化效率的政策建议。     

科技成果转化效率测度与影响因素分析

基于我国大中型工业企业省际数据,运用DEA模型,对科技成果转化效率进行测度分析,发现我国大中型工业企业科技成果转化效率不高。选取多个指标,运用Tobit回归方法,综合分析影响科技成果转化效率的因素。研究发现,政府资金支持、新产品开发经费、科技服务和区域因素对科技成果转化具有显著影响。     

略论市场非营利机构的非市场产出核算

在国民核算体系(1993SN A)中,非营利机构可区分为非市场非营利机构和市场非营利机构。然而,对于前者既核算非市场产出又核算市场产出;但对于后者却只核算市场产出,结果低估了市场非营利机构的产出和增加值。本文对市场非营利机构的生产总量核算范围进行了修正,并就有关核算方法进行了研究。     

A Hierarchical Stochastic Frontier Model for Efficiency Measurement Under Technology Heterogeneity

Journal of Quantitative Economics - This article proposes an extension to the typical random-coefficients frontier model that allows the incorporation of firm management indicator(s) in the...     

辽宁城市化进程中土地利用结构效率测评分析

利用数据包络分析方法(DEA),以城市化水平相对较高的辽宁省为样本,选取2000和2009年辽宁省14个地市的土地利用结构数据和相关指标,对辽宁省土地利用结构效率进行了系统测评.结果表明,在辽宁快速城市化过程中,土地利用结构效率现状不理想,尤其是工业用地结构效率低于农业用地结构效率.在分析影响辽宁省土地利用结构效率相关因素的基础上,对如何优化辽宁省土地利用结构、提高土地利用结构效率设计了一条可行的路径.     

中国烟草加工企业技术效率分析——基于参数方法与非参数方法的对比研究

针对中国烟草加工企业因规模扩张而出现的管理效率低下等问题,使用2000--2006年企业层面的截面数据,运用参数方法和非参数方法测算了中国烟草加工企业的技术效率,并对两种方法的测算结果进行了比较分析。结果表明：两种测算结果存在较高的相关性,测算结果比较可靠;2000--2006年中国烟草加工企业的平均技术效率为0．74～0．79,具有稳步上升趋势;行业整体规模效率较高,但规模报酬递减的企业所占的比重有所增大。     

发展非公有制经济与效率公平原则的正相关性

运用经济学的相关理论，从所有制结构的调整对经济增长的效率与收入和公平原则入手进行实证分析可发现，非公有制对整个经济的技术效率具有正向效应；非公有经济比重增长会使居民的收入差距有所扩大；大力发展非公有制经济与效率公平原则具有正相关性。这样可为“进一步巩固和发展公有制经济，鼓励、支持和引导非公有制经济发展”提供理论与实践的诠释。     

中国省域旅游业发展效率测度及其时空演化

以1997—2011年的数据为例,运用修正的DEA模型对省域旅游业发展效率进行测度,进一步利用G指数、重心等空间统计分析方法,分析省域旅游业效率的时空演化规律。结果表明:1997—2011年省域旅游业发展的各项效率在波动中上升,总体上各项效率取得一定的进步,但仍需进一步提升。当前阶段省域旅游业综合效率由规模效率与纯技术效率交替驱动,旅游增长模式正处于由粗放型向集约化发展的转型阶段。1997—2011年旅游业综合效率与纯技术效率热点区主要位于东中部;而规模效率的热点区表现出相反的空间分布格局,主要位于西部地区。重心分析发现:综合效率与纯技术效率重心主要向西北发生偏移,而规模效率重心向东南方向发生偏移。未来省域旅游业发展应避免单纯追求旅游资源数量的增加,提倡集约化经营,增加对旅游业的资金、技术、人才投入,提升旅游发展效率。     

高端装备制造业技术创新效率测度与优化

为了拓展多阶段DEA模型的应用,文章充分发挥四阶段DEA模型和Bootstrap模型的优势,利用组合分析模型对高端装备制造技术创新效率进行测度.DEA模型选取R&D经费内部支出、技术引进经费支出、R&D人员全时当量、研发机构个数作为投入指标,有效发明专利数、利润总额作为产出指标,同时考虑宏观经济水平、市场劳动力供给和金融支持等环境因素对效率的影响.结果 表明:不考虑环境和统计噪音,高端装备制造业技术创新效率均值呈现显著的"U"型波动趋势.剔除环境因素和随机误差后,组合模型实证发现产业效率呈非显著性"U"型变化,创新水平差异不明显,大部分介于0.8～0.9之间,处于非效率状态;技术驱动和环境因素对创新效率提升发挥双重作用.医疗仪器设备及仪器仪表制造等产业的技术进步指数(TC)均大于1.     

Efficiency Measurement in Network Industries: Application to the Swiss Railway Companies

The persistence of increasingly high government subsidies in Switzerland’s railroads has led the federal and cantonal authorities to discussing the possibility of high-powered incentive contracts such as those based on cost efficiency benchmarking. Railways are however, characterized by a high degree of unobserved heterogeneity that could bias the efficiency estimates. This paper examines the performance of several panel data models to measure cost efficiency in network industries. The unobserved firm-specific effects and the resulting biases are studied through a comparative study of several stochastic frontier models, applied to a panel of 50 railway companies operating over a 13-year period.* The authors wish to thank Michael Crew and two anonymous referees for their helpful suggestions. Aurelio Fetz provided an excellent assistance, which is gratefully acknowledged. Any remaining errors are the responsibility of the authors.This revised version was published in June 2005 with corrections in the author affiliations.     

考虑环境因素的中国电力能源效率测度与改进

在界定全要素电力能源效率概念的基础上,构建了考虑环境因素的非径向全要素电力能源效率DEA模型。利用相关数据,从省际、区域两个层面对我国30个省(自治区、直辖市)的电力能源效率进行测度分析。结果显示:在全国30个省(自治区、直辖市)中,只有14个省区的电力能源效率是有效的,且这些省区不存在电力节能潜力;北京、天津、上海三大城市的平均电力能源效率最高,西部地区的该均值最低;我国省际电力能源效率存在显著的区域性差距,且4大区域的电力能源效率存在一定的梯度差距;对省区进行投入、产出调整,可使全国的电力消费量缩减6309.08亿千瓦小时。最后提出提高我国电力能源效率的政策建议。