效率与生产率讲义(1)

经济学课程:

参考书 Coelli, T., Rao, D.S.P., and Battese, G.E. (2005) An

Introduction to Efficiency and Productivity Analysis, Kluwer Academic Publishers, Boston. Cooper, W.W., L. M. Seiford and K. Tone (2007), Data Envelopment Analysis: A Comprehensive Text with Models, Applications, References and DEA-Solver Software, Boston: Kluwer Academic Publishers 績效評估 : 效率與生產力之理論與應用 / 黃鏡如, 傅 祖壇, 黃美瑛著著 台北 : 新陸書局股份有限公司, 中 華民國97年 [2008] 组织效率与生产力评估 : 资料包络分析法 / 吴济华 ，何柏正著 著 台北县 : 前程文化事业有限公司, 2008

Chapter 1 introduction

1.1TFP and performance evaluation Evaluation of a Decision Making Unit(DMU)Input Output

X

Production

Y

Productivity HOW WELL the operation of a DMU is doing Y Observed Productivity: X HOW MUCH it could potentially improve

Potential (Frontier)Output:Y* Frontier Y* Potential Productivity: X Y Y* Observed Productivity Efficiency: = X X Potential Productivity

生产率与效率、效能决策单位 A投入 (1) 20 计划产出 (2) 90 潜在产出 (3) 120 实际产出 (4) 100

BC

2515

11090

125105

10090

决策单位A B C

计划生产率 潜在生产率 实际生产率 (5)=(2)/(1) (6)=(3)/(1) (7)=(4)/(1)4.5 4.4 6.0 6 5 7 5 4 6

效能 (8)=(7)/(5)1.11 0.91 1.00

效率 (9)=(7)/(6)0.83 0.80 0.86

1.2 效率和生产率发展演变 The measurement of technical efficiency Debreu (1951) Debreu, G., 1951. The coefficient of resource utilization.

Econometrica 19, 273–292.

Koopmans(1951) Koopmans, T.C., 1951. Analysis of production as an efficient

combination of activities. In: Koopmans, T.C. (Ed.), Activity Analysis of Production and Allocation. Wiley, New York.

效率和生产率发展演变 The problem of measuring the productive efficiency

of an industry is important to both the economic theorist and the economic policy maker. (Farrell,1957) Farrell, M.J., 1957. The measurement of productive

efficiency. Journal of the Royal Statistical Society, Series A 120 (Part 3), 253–290.(activity analysis approach) Farrell, M.J., Fieldhouse, M., 1962. Estimating efficient production functions under increasing returns to scale. Journal of the Royal Statistical Society,Series A (General) 125, 252–267. ( a linear programming (LP), Alan Hoffman一个运筹学家的建议)

效率和生产率发展演变 The measurement of technical efficiency productivity of labour "indices of efficiency“ OQ/OP

technical efficiency OR/OQ

Price efficiency OR/OP Over efficiency

效率和生产率发展演变 The measurement of technical efficiency productivity of labour "indices of efficiency“ OQ/OP

technical efficiency OR/OQ

Price efficiency OR/OP Over efficiency

效率和生产率发展演变 Data Envelopment Analysis Charnes, A.

, Cooper, W.W. and Rhodes, E. (1978)

Measuring the efficiency of decision making units. European Journal of Operational Research 2(6): 429– 444. Banker, R.D., Charnes, A., Cooper, W.W., 1984. Some models for estimating technical and scale inefficiencies in data envelopment analysis. Management Science 30, 1078–1092.

效率和生产率发展演变 Stochastic frontier analysis,SFA Aigner, D. L., Lovell, C. K., and Schmidt, P. (1977).

Formulation and estimation of stochastic frontier production function models. Journal of Econometrics, 6(1):21–37. Meeusen, W. and van den Broeck, J. (1977). Efficiency Estimation from Cobb-Douglas Production Functions with Composed Error. International Economic Review, 18(2):435–444.

1986 年，学者周泽昆、陈珽发表于期刊《系统工

程》上的一篇论文《评价管理效率的一种新方法 》,是我国第一篇关于 DEA 的论文。

重要生产率定义时间表 萌芽阶段 1927年Cobb and Douglas在美国经济学协会宣读了他

们著名的论文《一个生产理论》。 Copeland在其1937年的论文《国民收入的概念》中 最先提出一个产出除以投入的指数 Tinbergen1942 Griliches, Z. (1996), “The Discovery of the Residual: A Historical Note,” Journal of Economic Literature 34:3 (September), 1324-30.