中国的生产率与效率：1952-2000——基于时间序列的DEA分析

本文介绍了一个时间序列DEA模型，并运用时间序列DEA模型对中国1952-2000年生产率和效率的波动进行了实证分析。我们的主要结论有，在整个样本期内技术进步的平均增长率为正；总体效率和各种要素的效率在改革开放前增长率均为负，而改革开放后均为正值；特定要素强度指数在改革开放前除了劳动投入外增长率均为负，而改革开放后均为正值。     

Human capital contributions to explain productivity differences

This paper develops a parametric decomposition framework of labor productivity growth relaxing the assumption of labor-specific efficiency. The decomposition analysis is applied to a sample of 121 developed and developing countries during the 1970–2007 period drawn from the recently updated Penn World Tables and Barro and Lee (A new data set of educational attainment in the world 1950–2010. NBER Working Paper No. 15902, 2010) educational databases. A generalized Cobb–Douglas functional specification is used taking into account differences in technological structures across groups of countries to approximate aggregate production technology using Jorgenson and Nishimizu (Econ J 88:707–726, 1978) bilateral model of production. The measurement of labor efficiency is based on Kopp’s (Quart J Econ 96:477–503, 1981) orthogonal non-radial index of factor-specific efficiency modified in a parametric frontier framework. The empirical results indicate that the weighted average annual rate of labor productivity growth was 1.239 % over the period analyzed. Technical change was found to be the driving force of labor productivity, while improvements in human capital and factor intensities account for the 19.5 and 12.4 % of that productivity growth, respectively. Finally, labor efficiency improvements contributed by 9.8 % to measured labor productivity growth.     

基于ISP指数的中国能源生产率再测度与分解研究

本文首次采用基于投入冗余的全要素生产率指数来重新测度和分解中国1985-2009年29个省份的能源生产率,该指数优势在于不仅可以测度与分解全要素生产率,而且可以将全要素生产率进一步分解为各种投入要素的生产率,测度的能源生产率还可以分解为能源的技术变化与技术效率变化。研究表明：中国能源生产率年均提高2.89%,总体水平并不高,低于其他国内外文献的测度结果。2002年是中国能源生产率发生变化的关键年份。2002年之前,中国能源生产率年均变化为3.69%,但是波动性较大,2002年之后,中国的能源生产率水平稳步上升。2002年之前,技术变化是能源生产率提升的主要驱动力量,2002年之后,技术效率变化推动了中国能源生产率的稳步上升,表明中国能源生产率开始走上效率提升的轨道。中、西部与东部的能源生产率水平差距越来越大,技术变化是导致东、中、西部之间差距的主要原因。东部地区呈现出“高能效-高增长”的经济发展模式,而中西部则表现为“低能效-低增长”的经济发展模式。全部省份的能源生产率均得到提升,最佳实践省份越来越多,但是省份之间的追赶效应只有0.36%,     

Has agricultural labor restructuring improved agricultural labor productivity in China? A decomposition approach

This paper presents a framework for analyzing the changes in agricultural labor productivity with regards to the structural, land intensity, and land productivity effects. This approach allows for the residual-free decomposition of data from different levels of aggregation. The logarithmic mean Divisia index was applied for the analysis and a data envelopment analysis model was constructed to identify potential gains in agricultural labor productivity due to the optimization of input use and output production. The proposed approach was applied to the case of China over the period of 1997–2017. Province-level data were used to identify the major driving factors behind agricultural labor productivity change. Land productivity change appeared to be the major source of agricultural labor productivity gains in China. The structural change was rather negligible, suggesting that the reallocation of the agricultural labor force did not add to the agricultural labor productivity growth in China. A frontier analysis indicated that agricultural labor productivity could increase by some 45% on average in case full technical efficiency is achieved.     

Creation of climate-smart and energy-efficient agriculture in the European Union: Pathways based on the frontier analysis

Creation of the climate-smart agriculture requires efficient resource use and mitigation of the environmental pressures among other objectives. Therefore, it is important to assess the energy efficiency and productivity growth in the European Union's agriculture. This paper analyses the sample of the selected European Union member states. The productive technology including the energy consumption and the resulting greenhouse gas (GHG) emission is constructed. The measurement of the energy efficiency and productivity change relies on the slacks-based measure and Luenberger productivity indicator. The productivity growth was decomposed with respect to the input/output variables and the sources of growth (i.e., efficiency change and technical progress). The average annual productivity growth of 0.79% was obtained for the selected countries during 1995–2016. The highest productivity gains were observed in Lithuania, Denmark, Belgium and Romania (1.27%–1.94% per year). The productivity growth related to GHG emission dominated the contributions by the input/output variables in Lithuania, Denmark, Belgium, Romania, Poland, Austria, France, the Netherlands, Hungary and Estonia.     

A Decomposition of Total Factor Productivity Growth in Korean Manufacturing Industries: A Stochastic Frontier Approach

This paper applies a stochastic frontier production model to Korean manufacturing industries, to decompose the sources of total factor productivity (TFP) growth into technical progress, changes in technical efficiency, changes in allocative efficiency, and scale effects. Empirical results based on data from 1980–1994 show that productivity growth was driven mainly by technical progress, that changes in technical efficiency had a significant positive effect, and that allocative efficiency had a negative effect. This study suggests that specific guidelines are required to promote productivity in each industry, and provides additional insight into understanding the recent debate on TFP growth in Korean manufacturing.     

Estimating Radial Measures of Productivity Growth: Frontier vs Non-Frontier Approaches

In this paper, we propose an alternative econometric framework for estimating and decomposing productivity change that does not require a distribution for inefficiency or the uncorrelatedness between inefficiency and the regressors. We develop our methodology for the input-oriented radial measure of productivity change and establish that this equals the negative of the time change in the log cost function. Our econometric framework is based on a fixed-effects, multiple-output cost frontier, where we decompose productivity change into discrete shifts in the frontier and changes in firm efficiency levels relative to the frontier. We also show that the standard non-frontier specification is nested within our frontier model and thus can produce different estimates of productivity change. Using a panel of twelve US railroads from 1951 to 1975, our estimated cost frontier suggests average annual productivity growth of roughly 0.3 percent, with efficiency change rising then falling over the period. Specification tests reject the non-frontier model, which yields smaller gains in productivity.     

Productivity Growth, Efficiency and Outsourcing in Manufacturing and Service Industries

This paper is a survey of recent contributions to, and developments of, the relationship between outsourcing, efficiency and productivity growth in manufacturing and services. The objective is to provide a thorough and up–to–date survey that provides a significant discussion on data, as well as on the core methods of measuring efficiency and productivity. First, the readers are introduced to the measurement of partial and total factor productivity growth. Different parametric and non–parametric approaches to the productivity measurement in the context of static, dynamic and firm–specific modelling are discussed. Second, we survey the econometric approach to efficiency analysis. The issues of modelling, distributional assumptions and estimation methods are discussed assuming that cross–sectional or panel data are available. Third, the relationship between outsourcing and productivity growth in manufacturing and services is discussed. The correspondence between a number of hypotheses and empirical findings are examined. Examples of varieties of relevant empirical applications, their findings and implications are presented. Fourth, measurement of inputs and outputs in manufacturing and services are discussed. Finally, to promote useful research, a number of factors important to the analysis of outsourcing, efficiency and productivity growth in the service sector are summarised.     

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.     

资本市场扭曲对城市全要素生产率的影响研究——基于规模和技术视角

在创新驱动发展的背景下,资本市场化改革有助于提高资本配置效率,进而对全要素生产率产生影响。基于中国城市相关数据,利用生产函数法和随机前沿估计法测算资本市场扭曲,并利用DEA-Malmquist指数法对城市全要素生产率进行分解,从规模和技术视角切入,实证分析了资本市场扭曲对城市规模效率、技术效率和全要素生产率的影响。研究发现,资本市场扭曲增加对规模效率具有正向影响,对技术效率和全要生产率具有负向影响。反事实分析结果显示,当消除资本市场扭曲后,从全国层面看,规模效率平均下降0.54%,技术效率平均上升4.25%,全要素生产率平均上升1.54%。     

数字经济对全要素生产率的影响研究——来自国家级大数据综合试验区的证据

基于国家级大数据综合试验区的准自然实验，运用2014—2019年280个地级市的面板数据，采用多期双重差分法实证检验数字经济对全要素生产率的影响。研究结果表明：数字经济显著提升了全要素生产率，这一结论在经过多种稳健性检验后仍然成立；中介效应检验表明，数字经济通过提高资源配置效率和促进技术创新来提升全要素生产率；异质性分析表明，数字经济对低资源禀赋城市、低数字经济发展水平城市以及智慧城市的全要素生产率具有促进作用，抑制高资源禀赋、高数字经济城市的全要素生产率，而对非智慧城市的作用则不明显。因此，应基于大数据综合试验区深度挖掘数字经济的直接作用与间接作用，同时采取差异化发展战略，培育壮大全要素生产率增长新动能。     

基于环境负产出的能效动态Malmquist模型研究

本文旨在研究环境效率—能源效率—经济效率的"三位一体动态全要素生产率"。首先基于数据包络分析建立了环境约束下的能效动态Malmquist模型,定义了能效效率改变指数、污效效率改变指数和动态进步指数。通过对中国18个行业2000～2007年的数据分析,指出未考虑环境效应、动态效应的Malmquist模型会带来误判,进而揭示出在中国能效全要素生产率改变过程中,能源环境效应起到了不可忽略的作用,而动态效应则是最大的瓶颈,却没得到应有的重视。     

AGGLOMERATION ECONOMIES IN JAPAN: TECHNICAL EFFICIENCY, GROWTH AND UNEMPLOYMENT

This paper examines if the effects of agglomeration economies are manifested in technical efficiency and generate faster economic growth and higher (lower) levels of employment (unemployment). Using the prefecture level data for each of the two-digit groups of industries in Japan, it estimates a region-specific technical efficiency index based on the stochastic frontier production function framework. The factor analysis shows that in most of the industry-groups, efficiency has a positive association with external scale variable(s). Though the relationship is not very strong, it would be erroneous to ignore the effect of agglomeration economies on efficiency. For some light goods industries, the agglomeration effect is relatively stronger. Economic growth varies positively with external scale variable(s) and the unemployment rate tends to fall with respect to growth and concentration. This suggests that measures against industrial concentration may be counter-productive, particularly in the context of globalization when countries greatly need to raise productivity.     

Efficiency in government health spending: a super slacks-based model

This article evaluates the performance of health expenditure and demonstrates how productivity has changed over time for 46 selected countries in Europe and Central Asia by applying three nonparametric data envelopment analysis models that assume variable returns-to-scale, slacks-based measures (SBM), and Super SBM, respectively. Our results show that countries could have increased output by 1.2 % based on existing levels of inputs. The finding of decreased productivity growth is related to technical change, and super efficiency is found to provide a good framework for ranking efficient units. Based on the Super SBM model, we obtain proper scores and find the most efficient country.     

Efficiency and Technical Change in Intertemporal Intersectoral DEA

A new procedure for the measurement of efficiency and technical change is presented, using DEA with three-dimension data (box data), pooling over sectors, regions and time. Until now, when pooling the data in panel applications it has been assumed that technology remained unchanged, so productivity change was entirely attributed to technical efficiency change. However, patterns of technology change and the decomposition into efficiency and technical change elements can be accomplished by means of restrictions on the general structure of the technology indexes. Under the assumption of non-regressive technical change, upper and lower bounds for efficiency and technical change are obtained. The new methodology is illustrated in an analysis of productivity growth in 13 manufacturing sectors in the Spanish regions from 1980 to 1992.     

中国装备制造产业创新网络运行效率及提升策略研究

通过分析装备制造产业创新网络运行机理,选取BBC模型、Malmquist指数作为运行效率测度模型,结合装备制造产业创新网络面板数据对其运行效率进行测度,结果表明:2008—2018年中国装备制造产业创新网络整体运行效率以平均每年8.7%的速度递增;从地区角度看,创新网络运行效率呈“东—中—西”阶梯差异态势,但差异态势逐年缩小;从省份角度看,全国26个省份运行效率存在异质性,大体可分为第一、二、三、四梯队;技术水平进步对全要素生产率增长的提升作用要大于纯技术效率和规模效率贡献;技术研发阶段效率低于成果转化阶段效率,两阶段存在脱节现象。创新网络是推动装备制造产业创新升级的重要力量之一,中国要坚定不移地推进创新驱动战略,以提升装备制造产业创新网络运行效率;依据不同地区、不同省份装备制造产业创新网络状况,实施差异化政策组合,以提升运行效率;注重研发技术市场化,以提升成果转化阶段效率。     

Productivity, convergence and policy: a study of OECD countries and industries

This paper analyses trends in labour productivity and its underlying determinants in a panel of OECD countries from 1979 to 2002. Data Envelopment Analysis (DEA) is used to estimate a Malmquist measure of multifactor productivity (MFP) change. We decompose the growth in labour productivity into (i) net technological change (ii) input biased technical change (IBTC) (iii) efficiency change and (iv) capital accumulation. We analyse the effect of each of these factors in the transition towards the equilibrium growth paths of both labour productivity and per capita GDP for the OECD countries, controlling for the effects of different policies and institutions. The results indicate that on average gaps in productivity or income levels are narrowing down although there is no evidence to suggest that the entire OECD area comprises a single convergence “club”. Using kernel estimation methods we find that that labour productivity and per capita GDP are settling toward a twin peak (bimodal) distribution. Panel unit root tests over an extended (1960–2001) period provide general support for the convergence hypothesis. Analysis of the contributions of productivity growth within industries and sectoral composition changes show that aggregate productivity change is predominantly driven by ‘net’ within sector effects with very little contribution emerging from sectoral shifts (the ‘in-between’ static or dynamic effects resulting from higher or above average productivity industries gaining employment shares or low productivity industries losing shares).     

改革开放以来中国经济增长动力转换的时空特征

基于中国1978~2012年的省级面板数据,采用检验后的超越对数生产函数的随机前沿模型,利用两套资本存量核算方法,对中国经济增长动力的来源及其时空特征进行分析,并对2008年金融危机的4万亿元投资政策进行了效率评价。研究结果表明,中国属于典型的投资主导型经济,资本投入是中国经济增长持续稳定的最主要来源,TFP贡献率呈现逐年下降的趋势;中国经济增长动力由改革开放初期的资本、劳动力和TFP三驾马车平衡拉动,形成了现阶段的资本投入与TFP反向角力态势;区域经济差距主要源于资本投入与TFP双重差异,但TFP差异是最重要因素;4万亿元经济刺激政策下中国经济复苏属于典型的“投资主导型复苏”,是以牺牲中国生产率为代价的,TFP在2008年后呈现断崖式下降,平均拉低中国TFP达0.23~0.32个百分点。     

Neoclassical Growth Accounting and Frontier Analysis: A Synthesis

The standard measure of productivity growth is the Solow residual. Its evaluation requires data on factor input shares or prices. Since these prices are presumed to match factor productivities, the standard procedure amounts to accepting at face value what is supposed to be measured. In this paper we estimate total factor productivity growth without recourse to data on factor input prices. Factor productivities are defined as Lagrange multipliers to the program that maximizes the level of domestic final demand. The consequent measure of total factor productivity is shown to encompass not only the Solow residual, but also the efficiency change of frontier analysis and the hitherto slippery terms-of-trade effect. Using input-output tables from 1962 to 1991 we show that the source of Canadian productivity growth has shifted from technical change to terms-of-trade effects.     

The impact of contextual factors on the efficacy of ISO 9000 adoption

This study investigates the importance of contextual factors on the efficacy of ISO 9000 adoption. We explore the role of various contextual factors at the firm-level (i.e., technology intensity, labor productivity, and labor intensity) and industry-level (i.e., industry efficiency level, industry competitiveness, industry sales growth, and industry ISO 9000 adoption level) that potentially impact the efficacy of ISO 9000 adoption. We carry out a hierarchical linear modeling (HLM) analysis based on objective financial data from 438 U.S. manufacturing firms. The results show that firms with low technology intensity, low labor productivity and high labor intensity reap more benefit from ISO 9000 adoption. Firms in industries with low efficiency levels, high competition, high sales growth and low ISO 9000 adoption levels also obtain more benefit from the adoption. Our research provides supporting evidence for the context-dependent proposition of ISO 9000 adoption. Given the significant costs and resources involved, it is crucial for operations managers to assess to what extent ISO 9000 might benefit their performance before embarking on the implementation process.