TFP (2001) , TFP Gao (2004) : (1) CD, ; (2) TFP (1998) (2001),CD, (Zheng et al.,2003) 700, Malmquist (2005) ,,, 19

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1 : : : 3 : Kumbhakar (2000),TFP : (1) 1988 TFP, ; (2),, (3) 90,(4),90,,, : TFP,,,,,,,,,,, :80,80 (Rawski,1994) ;90 90, (2002a,2002b) 90, (TFP),Jefferson et al. (1996) ( CD ) 3,, :310027, com. cn ;, ;,, Subal C. Kumbhakar,, 48

2 TFP (2001) , TFP Gao (2004) : (1) CD, ; (2) TFP (1998) (2001),CD, (Zheng et al.,2003) 700, Malmquist (2005) ,,, 1987, Kumbhakar (2000),,,, TFP,,,, () TFP : y it = f ( x it, t) exp ( - u it ) (1) y it ; f ( ),; x it ; u it 0,(Technical Efficiency, TE) TE it = exp ( - u it ) ; i t f ( ), : lnf ( x it, t) = x it + v it (2) ; v, (2) (1),: ln y it = lnf ( x it, t) - u it = x it + v it - u it (3) Battese and Coelli (1992),u v : u it = u i exp[ - ( t - T) ] (4) v it N (0, 2 v) (5) u,, v u Chen(1997) Felipe (1999) TFP,20 90 TFP,Zheng et al. (2003) (2004) (2005) DEA Malmquist,(2005) (2006) (SFA), TFP, Zheng et al. (2003), (2004) (2005) (2006),,, TFP,,,, 49

3 : : () TFP Kumbhakar (2000),( Technical Change,TC),: TC it = 5lnf ( x it, t) 5 t (Technical Efficiency Change,TEC) : (6) TEC it = 5ln TE it 5 t = 5 u it 5 t : (7) 5ln y it 5 t = TC it + TEC it (8),TFP, : TgFP = gy - s gx (9) s (1), (8) (9) TFP : TgFP = TC + TEC + (- s ) gx = TC + TEC + ( RTS - 1) gx + ( - s ) gx (10), 5lnf ( )Π5ln x, ; RTS, ; ΠTRS,, = s, (,2005) (10),TFP (TFPG) : ( TC) ( TEC) (SCALE) (ALLCTV) () CD CES, (translog),,,,: ln y it = a 0 + a ln x it + a t t m a m ln x it ln x mit a tt t 2 + a t tln x it + v it - u it (11) K L,, m = K, L,: = a + a m ln x m + a t t (12) m RTS = = ( a + a m ln x m + a t t) (13) m TC = a t + a tt t + a t ln x (14) TEC = - 5^u it 5 t TFP (15),s (Kumbhakar,2000) 50

4 ( ) ,16 () ( Y) ( ) ( ) GDP, (1987 ) GDP,1999 () ( K),: K it = K i, t I it - it i t, K, I, ( ) ( = - ), ^I it ;^I it ^I it ΠP it = I it - it, P (,, ), ,(2004),, t (t - 1 = 1) = t ( )Πt (t - 1 = 1) t - 1 ( ) ( ),, 1987 ^I it ΠP it, t : K it = K i, ^I it ΠP it i = 1 () (L), (), ( 1) Z,(0112),, Wald 51

5 : : 1,, 1 :ln y Z ( ) Wald Wald , , : % 5 %1 % 0192 (4),,1 %, 2 u, =,,, 2 u + 2 v, 0199,1, () () TFP, TFP 1 TFPG ( ) 1,, TFP,TFP, TFP,, TFP :, ;,, TFP : (1),(2)

6 ,,,, (3),, , ;, 2 6, 2 TFP TFP ( TFPG) ( TC) (TEC) (SCALE) ( ) (ALLCTV), TFP,, TFP,1999 TFP,TFP,TFP 1999,TFP TFP, (2005) ,,,, TFPG 21,, , 90 TFP (,2005 ;,2006) 53

7 : : 3,TFP TFP 31,4,,1987, (4, ),, ,,,,7 ( ) , () , 41 ( 6) 1997,,, TFPG, 1998,, , %,, 51 ( 6) 1997, ,- 011,- 012, 2000, TFPG 54

8 ,,, 2002 TFPG, TFP 55

9 : : 2 6 TFP TC TEC SCALE ALLCTV TC TEC SCALE ALLCTV TC TEC SCALE ALLCTV TC TEC SCALE ALLCTV :TFP :Π TFP, 2 TFP, TFP,;,, TFP,, 56

10 , (2005),,90 TFP,, , TFPG ( TFPG ),, , TFP,, (TEC) ;, ,,TC ( 1999, ),SCALE ( 1998, ),ALLCTV ( 1998, ), TFPG,, TFPG,TFPG,TFPG,, :, ? ,,,,,,,,,,, (= Π ), 1998 ( ), , 1999 SCALE ALLCTV 13,,, 1999 SCALE ALLCTV, 57

11 : : ( E,M,N,W ),,1998, 1999, , 7 ( ),, 90,1998,, ( ),,, (2005) ,,, Kumbhakar (2000),,1988 TFP,TFP,TFP, () TFP 58

12 ,;,,90,, 90,,,,,,,( ),,2005 :, 3,2006 : ( ), 2,2001 :, 6,2004 :: DEA, 12,1998 :, 12,2001 :, 10,2002a ::, 6,2002b : :, ( ) 1 2,2004 :: , 10,2005 :( ), ( ) 2 Battese, G. E. and T. J. Coelli, 1992,Frontier Production Functions, Technical Efficiency and Panel Data : With Application to Paddy Farmers in India, Journal of Productivity Analysis 3, pp Chen, E. K. Y., 1997,The Total Factor Productivity Debate : Determinants of Economic Growth in East Asia, Asian2Pacific Economic Literature 11, pp Felipe, J., 1999,Total Factor Productivity Growth in East Asia : A Critical Survey, Journal of Development Studies 35, pp Gao, T., 2004,Regional Industrial Growth : Evidence from Chinese Industries, Regional Science and Urban Economics 34. Jefferson, G. H., T. G. Rawski, and Y. Zheng, 1996, Chinese Industrial Productivity : Trends, Measurement Issues, and Recent Developments, Journal of Comparative Economics 23, pp Kumbhakar, S. C., 2000,Estimation and Decomposition of Productivity Change when Production Is Not Efficient : A Panel Data Approach, Econometric Reviews 19, pp Rawski, T. G., 1994,Chinese Industrial Reform : Accomplishments, Prospects, and Implications, American Economic Review, Papers and Proceedings 84, pp Zheng, J., X. Liu, and A. Bigsten, 2003,Efficiency, Technical Progress, and Best Practice in Chinese State Enterprises ( ), Journal of Comparative Economics 31, pp ( 71 ) 59

13 R&D and Productivity : An Empirical Study on Chinese Manufacturing Industry Wu Yanbing ( Institute of Economics, Chinese Academy of Social Sciences) Abstract :The paper investigates the relationship between R&D and productivity by using the data on the four2digital manufacturing industries in China. We find that R&D has significantly positive effects on productivity through estimating two different kinds of production function model, and that the positive relationship between R&D and productivity is still remarkably existent when market factors and ownership factors are being controlled in the production function model. We also find that the positive effects of R&D on productivity depend on technical opportunities of industries, and that the elasticity of output with respect to R&D in high2tech industries is higher than that in non2high2tech industries. The paper gives empirical proof of appraising correctly R&D roles in economic growth. Key Words :R&D ; Productivity ; Empirical Analysis JEL Classification :D210, L600, O310 ( : ) ( : ) ( 59 ) The Performances of Industrial Productivity across Regions of Transitional China : Structural Differences, Institutional Shocks and Dynamic Characteristics Wang Zheng 1, Zheng Jinghai 2 and Shi Jinchuan 3 (11College of Economics, Zheiang University ;21Department of Economics, Ggteborg University ;31CRPE, Zheiang University) Abstract :This paper is dedicated to probing into the dynamic performances of industrial productivity across regions of transitional China, using the province2level panel data. Based on the approach by Kumbhakar (2000), TFP growth is decomposed into four components. The main results are as follows. (1) Since 1988, the industrial TFP growth has been commonly accelerated across regions, with a rising technical change rate as the principal impetus. (2) Meanwhile, technical efficiency and factorsallocative efficiency are deteriorated with scale efficiency switching from being retrogressive to being progressive. (3) Although the SOE reform in the late 1990s has constitutes a common shock to the industrial productivity, the eastern area with relatively few SOEs suffers the least from this policy enforcement. (4) By exploring the sources of productivity differences, we further confirm that the institutional shock launched by SOE reform in the late 1990s is crucial for the enhancement of scale effects as well as the temporarily rapid decline of factors allocative efficiency ; in addition, the educational level of the labor2force and the share of non2 SOEs in the industrial output contribute positively to the acceleration of technical change and the improvement of allocative efficiency. The economic transition, accompanied by gradual institutional reforms, is reshaping the map of regional industrialization through various channels. Key Words :Transition ; Industry ; Productivity ; TFP ; SOE Reform JEL Classification : E230, O140, O470 ( : ) ( : ) 71

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