中国军工企业技术效率与全要素生产率测算与分析
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摘要
运用超越对数生产函数形式的随机前沿模型,采用2001—2016年我国上市军工企业的面板数据,测算了其技术效率和全要素生产率增长率。结果表明:观测期间样本企业的技术效率均值为0.331;全要素生产率增长率的均值为0.066。全要素生产率增长的分解结果显示:军工企业技术效率的不断改进是全要素生产率增长的主要原因;规模效率不断恶化是制约我国军工企业发展的重要瓶颈;各分解项对不同细分行业全要素生产率增长的贡献存在差异。
Using the stochastic frontier model with Translog production function and the panel data of 43 listed defense firms in China during the period of 2001-2016,this paper estimates the technical efficiency,the total factor productivity growth and their decompositions of them.The results show as follows:the average technical efficiency during the observation period is 0.331,and the average total factor productivity growth is 0.066.By decomposing total factor productivity growth into technical progress,the change of technical efficiency and the change of scale efficiency,the results indicate that the improvement of technical efficiency makes the most contribution to the total factor productivity growth,which is followed by technical progress.Scale efficiency gets worse as time goes by and becomes the barrier that hinders defense firms' output growth.In addition,the contributions of different decompositions to total factor productivity growth vary a lot in different subindustries.
Using the stochastic frontier model with Translog production function and the panel data of 43 listed defense firms in China during the period of 2001-2016,this paper estimates the technical efficiency,the total factor productivity growth and their decompositions of them.The results show as follows:the average technical efficiency during the observation period is 0.331,and the average total factor productivity growth is 0.066.By decomposing total factor productivity growth into technical progress,the change of technical efficiency and the change of scale efficiency,the results indicate that the improvement of technical efficiency makes the most contribution to the total factor productivity growth,which is followed by technical progress.Scale efficiency gets worse as time goes by and becomes the barrier that hinders defense firms' output growth.In addition,the contributions of different decompositions to total factor productivity growth vary a lot in different subindustries.
引文
[1]习近平.决胜全面建成小康社会夺取新时代中国特色社会主义伟大胜利---在中国共产党第十九次全国代表大会上的报告[J].学理论,2017(11):6-20.
[2]KOOPMANS T C.An analysis of production as an efficient combination of activities[G]//Activity analysis of production and allocation.New York:Wiley,1951:404.
[3]DEBERU G.The coefficient of resource utilization[J].Econometrica,1951,19:273-292.
[4]FARRELL M J.The measurement of productive efficiency[J].Journal of the Royal Statistical Society,1957,120(3):253-290.
[5]LEIBENSTEIN H.Allocative efficiency vs"X-Efficiency"[J].American Economic Review,1966,56(3):392.
[6]刘光岭,卢宁.全要素生产率的测算与分解:研究述评[J].经济学动态,2008(10):79-82.
[7]匡远凤.技术效率、技术进步、要素积累与中国农业经济增长---基于SFA的经验分析[J].数量经济技术经济研究,2012(1):3-18.
[8]刘靖宇,张宪平.中国装备制造业技术效率的测度与空间差异分析[J].统计与决策,2007(21):110-112.
[9]黄凌云,李星,鲍怡.我国制造业技术效率的测度分析[J].科技进步与对策,2011,28(4):115-120.
[10]牛泽东,张倩肖.中国装备制造业的技术创新效率[J].数量经济技术经济研究,2012(11):51-67.
[11]牛泽东,张倩肖,王文.中国装备制造业全要素生产率增长的分解:1998-2009---基于省际面板数据的研究[J].上海经济研究,2012(3):56-73.
[12]唐守廉,张艳秋.我国制造业技术效率的测算与变动研究[J].北京邮电大学学报(社会科学版),2014(3):59-65.
[13]徐志仓.基于超越对数生产函数的制造业技术效率分析[J].统计与决策,2015(5):139-143.
[14]王卫,綦良群.中国装备制造业全要素生产率增长的波动与异质性[J].数量经济技术经济研究,2017(10):111-127.
[15]李苍舒.我国金融业效率的测度及对应分析[J].统计研究,2014,31(1):91-97.
[16]张各兴,夏大慰.中国输配电网技术效率与全要素生产率研究---基于2005-2009年24家省级电力公司面板数据的分析[J].财经研究,2012(10):112-122.
[17]石鸟云,周星.我国电力企业技术效率评价及影响因素分析[J].科技进步与对策,2012(5):127-132.
[18]伍青.基于超效率DEA模型的上市军工企业经营效率分析[J].湖南师范大学社会科学学报,2007,36(4):102-105.
[19]闫仲勇.中国上市军工企业X效率实证分析[J].国防科技,2010,31(1):33-42.
[20]胡红安,苑玉妹.基于DEA模型的军工企业转型评价分析[J].求索,2010(4):10-12.
[21]刘敏,常豪杰.军民融合视角下上市军工企业经营效率对比分析[J].江西社会科学,2016(2):188-193.
[22]张明亲,张雅雅.基于DEA-Malmquist指数的军工企业改制效率研究[J].工业技术经济,2016(3):88-94.
[23]宗瑾.我国上市军工企业技术效率的测度及影响因素研究[D].南昌:南昌大学,2017.
[24]熊国经,宗瑾.基于DEA-Tobit模型的我国上市军工企业技术效率研究[J].科技管理研究,2017(19):59-63.
[25]王柏杰,李爱文.军民融合企业效率测算及影响因素分析---来自我国“十大军工集团”上市公司的证据[J].科技管理研究,2016,36(23):67-73.
[26]CHARNESA,COOPER W W,RHODES E.Measuring the efficiency of decision making units[J].European Journal of Operational Research,1978,2(6):429-444.
[27]AIGNER D,LOVELL C A K,SCHMIDT P.Formulation and estimation of stochastic frontier production function models[J].Journal of Econometrics,1977,6(1):21-37.
[28]MEEUSEN W,BROECK J V D.Efficiency estimation from cobb-douglas production functions with composed error[J].International Economic Review,1977,18(2):435-444.
[29]GONG B H,SICKLES R C.Finite sample evidence on the performance of stochastic frontiers and data envelopment analysis using panel data[J].Working Papers,1991,51(1-2):259-284.
[30]李双杰,范超.随机前沿分析与数据包络分析方法的评析与比较[J].统计与决策,2009(7):25-28.
[31]BATTESE G E,COELLI T J.Frontier production functions,technical efficiency and panel data:With application to paddy farmers in India[J].Journal of Productivity A-nalysis,1992,3(1-2):153-169.
[32]COELLI T J.A guide to FRONTIER version 4.1:a computer program for stochastic frontier production and cost function estimation[R].CEPA Working papers,1996.
[33]ALTUNBAS Y,CHAKRAVARTY S P.Frontier cost functions and bank efficiency[J].Economics Letters,2001,72(2):233-240.
[34]宋罡,徐勇.基于随机前沿分析的中小企业技术效率[J].系统工程,2013(2):77-83.
[35]KUMBHAKAR S C,LOVELL C A K.Stochastic Frontier Analysis[M].Cambridge:Cambridge University Press,2003.
[36]KIM S,HAN G.A decomposition of total factor productivity growth in Korean manufacturing industries:a stochastic frontier approach[J].Journal of Productivity A-nalysis,2001,16(3):269.
[37]张卓元.中国国有企业改革三十年:重大进展、基本经验和攻坚展望[J].经济与管理研究,2008(10):5-19.
[38]吕岩威,孙慧.中国战略性新兴产业技术效率及其影响因素研究[J].数量经济技术经济研究,2014(1):128-143.
[39]涂正革,肖耿.中国的工业生产力革命---用随机前沿生产模型对中国大中型工业企业全要素生产率增长的分解及分析[J].经济研究,2005(3):4-15.
[40]项本武,齐峰.中国战略性新兴产业技术效率及其影响因素[J].中南财经政法大学学报,2015(2):3-11.
(1)限于篇幅,筛选过程和样本企业名单不再列出,如必要可以联系笔者获取。
(1)限于篇幅,测算结果不再单独汇报。
(2)限于篇幅,测算结果不再单独汇报。
[2]KOOPMANS T C.An analysis of production as an efficient combination of activities[G]//Activity analysis of production and allocation.New York:Wiley,1951:404.
[3]DEBERU G.The coefficient of resource utilization[J].Econometrica,1951,19:273-292.
[4]FARRELL M J.The measurement of productive efficiency[J].Journal of the Royal Statistical Society,1957,120(3):253-290.
[5]LEIBENSTEIN H.Allocative efficiency vs"X-Efficiency"[J].American Economic Review,1966,56(3):392.
[6]刘光岭,卢宁.全要素生产率的测算与分解:研究述评[J].经济学动态,2008(10):79-82.
[7]匡远凤.技术效率、技术进步、要素积累与中国农业经济增长---基于SFA的经验分析[J].数量经济技术经济研究,2012(1):3-18.
[8]刘靖宇,张宪平.中国装备制造业技术效率的测度与空间差异分析[J].统计与决策,2007(21):110-112.
[9]黄凌云,李星,鲍怡.我国制造业技术效率的测度分析[J].科技进步与对策,2011,28(4):115-120.
[10]牛泽东,张倩肖.中国装备制造业的技术创新效率[J].数量经济技术经济研究,2012(11):51-67.
[11]牛泽东,张倩肖,王文.中国装备制造业全要素生产率增长的分解:1998-2009---基于省际面板数据的研究[J].上海经济研究,2012(3):56-73.
[12]唐守廉,张艳秋.我国制造业技术效率的测算与变动研究[J].北京邮电大学学报(社会科学版),2014(3):59-65.
[13]徐志仓.基于超越对数生产函数的制造业技术效率分析[J].统计与决策,2015(5):139-143.
[14]王卫,綦良群.中国装备制造业全要素生产率增长的波动与异质性[J].数量经济技术经济研究,2017(10):111-127.
[15]李苍舒.我国金融业效率的测度及对应分析[J].统计研究,2014,31(1):91-97.
[16]张各兴,夏大慰.中国输配电网技术效率与全要素生产率研究---基于2005-2009年24家省级电力公司面板数据的分析[J].财经研究,2012(10):112-122.
[17]石鸟云,周星.我国电力企业技术效率评价及影响因素分析[J].科技进步与对策,2012(5):127-132.
[18]伍青.基于超效率DEA模型的上市军工企业经营效率分析[J].湖南师范大学社会科学学报,2007,36(4):102-105.
[19]闫仲勇.中国上市军工企业X效率实证分析[J].国防科技,2010,31(1):33-42.
[20]胡红安,苑玉妹.基于DEA模型的军工企业转型评价分析[J].求索,2010(4):10-12.
[21]刘敏,常豪杰.军民融合视角下上市军工企业经营效率对比分析[J].江西社会科学,2016(2):188-193.
[22]张明亲,张雅雅.基于DEA-Malmquist指数的军工企业改制效率研究[J].工业技术经济,2016(3):88-94.
[23]宗瑾.我国上市军工企业技术效率的测度及影响因素研究[D].南昌:南昌大学,2017.
[24]熊国经,宗瑾.基于DEA-Tobit模型的我国上市军工企业技术效率研究[J].科技管理研究,2017(19):59-63.
[25]王柏杰,李爱文.军民融合企业效率测算及影响因素分析---来自我国“十大军工集团”上市公司的证据[J].科技管理研究,2016,36(23):67-73.
[26]CHARNESA,COOPER W W,RHODES E.Measuring the efficiency of decision making units[J].European Journal of Operational Research,1978,2(6):429-444.
[27]AIGNER D,LOVELL C A K,SCHMIDT P.Formulation and estimation of stochastic frontier production function models[J].Journal of Econometrics,1977,6(1):21-37.
[28]MEEUSEN W,BROECK J V D.Efficiency estimation from cobb-douglas production functions with composed error[J].International Economic Review,1977,18(2):435-444.
[29]GONG B H,SICKLES R C.Finite sample evidence on the performance of stochastic frontiers and data envelopment analysis using panel data[J].Working Papers,1991,51(1-2):259-284.
[30]李双杰,范超.随机前沿分析与数据包络分析方法的评析与比较[J].统计与决策,2009(7):25-28.
[31]BATTESE G E,COELLI T J.Frontier production functions,technical efficiency and panel data:With application to paddy farmers in India[J].Journal of Productivity A-nalysis,1992,3(1-2):153-169.
[32]COELLI T J.A guide to FRONTIER version 4.1:a computer program for stochastic frontier production and cost function estimation[R].CEPA Working papers,1996.
[33]ALTUNBAS Y,CHAKRAVARTY S P.Frontier cost functions and bank efficiency[J].Economics Letters,2001,72(2):233-240.
[34]宋罡,徐勇.基于随机前沿分析的中小企业技术效率[J].系统工程,2013(2):77-83.
[35]KUMBHAKAR S C,LOVELL C A K.Stochastic Frontier Analysis[M].Cambridge:Cambridge University Press,2003.
[36]KIM S,HAN G.A decomposition of total factor productivity growth in Korean manufacturing industries:a stochastic frontier approach[J].Journal of Productivity A-nalysis,2001,16(3):269.
[37]张卓元.中国国有企业改革三十年:重大进展、基本经验和攻坚展望[J].经济与管理研究,2008(10):5-19.
[38]吕岩威,孙慧.中国战略性新兴产业技术效率及其影响因素研究[J].数量经济技术经济研究,2014(1):128-143.
[39]涂正革,肖耿.中国的工业生产力革命---用随机前沿生产模型对中国大中型工业企业全要素生产率增长的分解及分析[J].经济研究,2005(3):4-15.
[40]项本武,齐峰.中国战略性新兴产业技术效率及其影响因素[J].中南财经政法大学学报,2015(2):3-11.
(1)限于篇幅,筛选过程和样本企业名单不再列出,如必要可以联系笔者获取。
(1)限于篇幅,测算结果不再单独汇报。
(2)限于篇幅,测算结果不再单独汇报。