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©1994-2010ChinaAcademicJournalElectronicPublishingHouse.Allrightsreserved.(11;21)Malmquist,Malmquist,,19792005:,,1997,,,,MalmquistF224ATheAnalysisofTotalFactorProductivityinChina:AReviewandApplicationofMalmquistIndexApproachAbstract:ThispaperreviewstheMalmquistIndexApproachandintroducescomprehensivelytheargumentbetweenthedifferentdecompositionsoftheMalmquistIndex1Italsopointsouttheinsufficiencyinthepastdomesticresearchesaboutthedecomposition1Basedonit,thepaperanalysesthechangeanddecompo2sitionofthetotalfactorproductivity(TFP)inChinaduringtheperiodof1979-20051Themajorconclusionsareasfollows1TheTFPhasobtainedconsiderablegrowthsincethereformandopenpolicybecauseoftheprogressoftechnicaleffi2ciencyandtechnology1ButtheTFPhassloweddownsuccessivelysince1997asaresultofthedecreaseoftechnicalefficiency1AsawholetheChinaseconomyhasnotshowntheconvergenceeffectbecausethedisparityoftechnicalprogress1Keywords:MalmquistIndexApproach;TotalFactorProductivity;TechnicalEfficiency;TechnicalProgress;ConvergenceEffect111:Malmquist©1994-2010ChinaAcademicJournalElectronicPublishingHouse.Allrightsreserved.(,2003)TFP19791998TFP,(2004)0184%,Young(2003)114%,WangYao(2001)2132%,Chow(2002)2168%,(2003)218%,(1999)319%,(2001)4159%,(,),TFP,:,,,(Malmquist)(Hulten,2000;Coelli,2005)(DEA)TFP,(Fare,1998)Malmquist,TFP,TFPMalmquist,Fare(1994b),Malmquist,,30TFP,,MalmquistMalmquistStenMalmquist1953Malmquist,,Malmquist,Shephard(1953)Malmquist,Caves(CCD)1982,,Malmquist(MalmquistMalmquist)CCD,,MalmquistTornqvistCCD,Malmquist,CCD,1953Shephard,Farrell1957,,1978Charnes,CooperRhodes(DEA),,(),DEA,Fare(19891994a)MalmquistDEA,Fare(1994b,FGNZ)21120086©1994-2010ChinaAcademicJournalElectronicPublishingHouse.Allrightsreserved.(1997,RD)FENZ,Fare(1997)RD,GrifellLovell(1999)Malmquist,RDLovell(2003)Malmquist,RDGrosskopf(2003)FGNZ,Malmquist,RDMalmquist,FGNZ,,Malmquist,FGNZRD,,,,DEAC2RBC2,MalmquistxRN+,yRM+,tSt:St=(x,y)|t,xy(1),Stt,,St(,2004)Shephard(1970),s(xs,ys)tSt:Dto(xs,ys)=inf|(xs,ys/)St=(supz|(xs,zys)St)-1(2)oDto(xs,ys)1(xs,ys)St,Dto(xs,ys)=1(xs,ys)St,Farrell,,k=1,,K(DMU),t=1,,Tn=1,,Nxk,tn,m=1,,Myk,tmt(CRS):St(C)=(xt,yt)|xtKk=1k,txk,t;ytKk=1k,tyk,t;k,t0,k=1,,K(3)Kk=1k,t=1,t(VRS):St(V)=(xt,yt)|xtKk=1k,txk,t;ytKk=1k,tyk,t;k,t0,Kk=1k,t=1,k=1,,K(4)St(C)St(V),s=t-1,t,t+1,Dta(xs,ys),a=C,V,s=t-1,t,t+1(2)(4),DEAC2RBC2311:MalmquistDti(xs,ys)=sup|(xs/,ys)St©1994-2010ChinaAcademicJournalElectronicPublishingHouse.Allrightsreserved.(C2R)maxzC=(DtC(xk,s,yk,s))-1xk,snKk=1k,txk,tn,n=1,,NzCyk,smKk=1k,tyk,tm,m=1,,Mk,t0,k=1,,K(B2C)maxzV=(DtV(xk,s,yk,s))-1xk,snKk=1k,txk,tn,n=1,,NzVyk,smKk=1k,tyk,tm,m=1,,MKk=1k,t=1;k,t0,k=1,,K(5)LovellCRS,TFP;VRS,RDFare(1997),Malmquist,tt+1Malmquist:Mt(xt,yt,xt+1,yt+1)=DtC(xt+1,yt+1)DtC(xt,yt)Mt+1(xt,yt,xt+1,yt+1)=Dt+1C(xt+1,yt+1)Dt+1C(xt,yt)(6)tt+1Malmquist,Fisher(1922),:M(xt,yt,xt+1,yt+1)=(MtMt+1)1/2=DtC(xt+1,yt+1)DtC(xt,yt)Dt+1C(xt+1,yt+1)Dt+1C(xt,yt1/2(7)Malmquist,FGNZRD,FGNZ:M(xt,yt,xt+1,yt+1)=Dt+1V(xt+1,yt+1)DtV(xt,yt)DtC(xt,yt)Dt+1C(xt,yt)DtC(xt+1,yt+1)Dt+1C(xt+1,yt+1)1/2Dt+1C(xt+1,yt+1)/Dt+1V(xt+1,yt+1)DtC(xt,yt)/DtV(xt,yt)=TEFGNZTFGNZSFGNZ(8)RD:M(xt,yt,xt+1,yt+1)=Dt+1V(xt+1,yt+1)DtV(xt,yt)DtV(xt,yt)Dt+1V(xt,yt)DtV(xt+1,yt+1)Dt+1V(xt+1,yt+1)1/2DtC(xt+1,yt+1)/DtV(xt+1,yt+1)DtC(xt,yt)/DtV(xt,yt)Dt+1C(xt+1,yt+1)/Dt+1V(xt+1,yt+1)Dt+1C(xt,yt)/Dt+1V(xt,yt)1/2=TERDTRDSRD(9)TETSFGNZRD,FGNZ,FGNZVRS,41120086©1994-2010ChinaAcademicJournalElectronicPublishingHouse.Allrightsreserved.(x,y)=DtC(x,y)/DtV(x,y),,RDSEs(xt+1,yt+1)/SEs(xt,yt);FGNZSEt+1(xt+1,yt+1)/SEt(xt,yt),MalmquistFGNZ,RDRDFare(1997),st,(xs,ys)St(V),DtV(xs,ys),,,DtV(xs,ys),DtV(xs,ys)=1,GDP,,,1,(xt,yt)=(m,a),(xt+1,yt+1)=(n,c)FtFt+1,tRt1ta/m,t+1c/nmc/natMalmquistMt(,Mt=Mt+1),tt+1ABRtDtC(xt,yt)=a/f,DtC(xt+1,yt+1)=c/g,Mt=fc/ga=mc/na,RD:Mt=DtC(xt+1,yt+1)DtC(xt,yt)=c/ga/f=c/da/bdee/gb/f=TETS(10)a/bc/dtt+1,TE=bc/ad511:Malmquist(2004)©1994-2010ChinaAcademicJournalElectronicPublishingHouse.Allrightsreserved.=d/eb/fe/gtmn,S=ef/bg,S1,S111,Malmquist30(,)19782005,TFP,TFP,1978,,,(2004)1978,916%1992,GDP,30,2112,19792005TFP1160%,16157%,TFP(2005)0189%(19792004),(2005)-0187%(19802003)19791998TFP2140%,24136%,WangYao(2001)2132%(2319%),Chow(2002)2168%(2819%),(2003)218%(2819%);(1999)319%(3718%),(2001)4159%(4614%);(2004)0184%(815%),Young(2003)114%(1412%)19792001TFP2113%,ZhengHu(2004)3119%,(2004)0125%,,61120086Matlab,,19862005GDP,19902005,,11;8;11,,TFP,©1994-2010ChinaAcademicJournalElectronicPublishingHouse.Allrightsreserved.(:%)TFPTFP1979817671990153010619935130-21248162-01841980514151000173-01381994-0118-11132138-1138198131585195-0181-11521995116021200156-11151982510761060192-11921996117111131153-01941983410041781112-118619971172-01643109-01701984414021174146-211919980195-01191148-01341985-1190-01361104-21551999-0113-01550180-01371986-41242111-3105-31272000015701370173-01521987018331330156-21972001015301470