本文選題：數(shù)據(jù)包絡(luò)分析　切入點(diǎn)：網(wǎng)絡(luò)結(jié)構(gòu)　出處：《中國(guó)科學(xué)技術(shù)大學(xué)》2016年博士論文　論文類型：學(xué)位論文

【摘要】：在實(shí)際生產(chǎn)活動(dòng)中,許多決策單元往往具有網(wǎng)絡(luò)生產(chǎn)結(jié)構(gòu),比如銀行、醫(yī)院、保險(xiǎn)公司、機(jī)場(chǎng)、鐵路等等。對(duì)這些決策單元的效率求解以及對(duì)這些決策單元進(jìn)行排名一直受到海內(nèi)外學(xué)者以及企業(yè)決策者的關(guān)注。數(shù)據(jù)包絡(luò)分析(data envelopment analysis, DEA)方法,作為一種非參數(shù)的方法,有無(wú)需預(yù)先設(shè)定生產(chǎn)函數(shù)的參數(shù)以及無(wú)需預(yù)先設(shè)定投入產(chǎn)出權(quán)重等優(yōu)點(diǎn)。因此,自1978年被提出以來(lái),DEA方法受到越來(lái)越多學(xué)者的關(guān)注,同時(shí)也在許多領(lǐng)域被廣泛應(yīng)用。本文以具有網(wǎng)絡(luò)結(jié)構(gòu)的決策單元為研究對(duì)象,以現(xiàn)有的網(wǎng)絡(luò)DEA模型為基礎(chǔ),研究具有網(wǎng)絡(luò)結(jié)構(gòu)的決策單元的排名區(qū)間問題以及網(wǎng)絡(luò)結(jié)構(gòu)效率的效率評(píng)價(jià)問題,并且將網(wǎng)絡(luò)DEA方法應(yīng)用到環(huán)境效率以及并購(gòu)效率評(píng)估領(lǐng)域。因此,本研究有效拓展了網(wǎng)絡(luò)DEA理論并推動(dòng)了相關(guān)應(yīng)用研究的深入。本文一共分為六章,主要內(nèi)容總結(jié)如下：第一章是緒論。首先,我們介紹了有關(guān)DEA的基本理論：即投入和產(chǎn)出、決策單元、生產(chǎn)可能集、生產(chǎn)前沿面和效率等基本概念；使用DEA方法做效率評(píng)價(jià)的基本思路；一些最基本的DEA模型以及DEA方法的應(yīng)用。然后,引入本文的主要研究領(lǐng)域-網(wǎng)絡(luò)DEA的理論方法以及應(yīng)用。我們介紹了網(wǎng)絡(luò)DEA理論的研究意義、研究現(xiàn)狀以及應(yīng)用領(lǐng)域。最后,我們概括了本文的研究方法、研究?jī)?nèi)容和研究意義。第二章是基于兩階段關(guān)系模型的環(huán)境效率評(píng)價(jià)方法。在實(shí)際的生產(chǎn)過程中,決策單元往往具有兩階段的網(wǎng)絡(luò)結(jié)構(gòu)。比如說,中國(guó)區(qū)域工業(yè)系統(tǒng)由生產(chǎn)子系統(tǒng)和污染物處理子系統(tǒng)兩個(gè)串行子系統(tǒng)構(gòu)成。針對(duì)此種具有網(wǎng)絡(luò)結(jié)構(gòu)的決策單元的環(huán)境效率評(píng)估問題,本文將兩階段關(guān)系模型引入環(huán)境效率評(píng)估,構(gòu)建出新的基于兩階段關(guān)系模型的環(huán)境效率評(píng)估模型。中國(guó)各個(gè)省份的工業(yè)系統(tǒng)的算例驗(yàn)證了提出模型的合理性。第三章是考慮決策者偏好的基于網(wǎng)絡(luò)SBM模型的環(huán)境效率評(píng)價(jià)研究。中國(guó)將資源節(jié)約和環(huán)境保護(hù)寫進(jìn)法律,目標(biāo)是逐步構(gòu)建資源節(jié)約型、環(huán)境友好型社會(huì)。在中國(guó),資源節(jié)約和環(huán)境保護(hù)同等重要。本研究考慮每個(gè)區(qū)域工業(yè)系統(tǒng)的內(nèi)在網(wǎng)絡(luò)結(jié)構(gòu),以及中國(guó)的資源利用和環(huán)境保護(hù)的政策,同時(shí)彌補(bǔ)了以往使用網(wǎng)絡(luò)DEA模型評(píng)估環(huán)境效率時(shí)使投入和產(chǎn)出僅僅徑向投影的缺陷。本研究提出了一個(gè)新的網(wǎng)絡(luò)SBM模型(NSBM)。這個(gè)模型考慮了投入產(chǎn)出以及中間產(chǎn)品的非徑向投影以及中國(guó)現(xiàn)有的資源環(huán)境政策,測(cè)度中國(guó)區(qū)域工業(yè)系統(tǒng)的環(huán)境效率,并做了實(shí)證分析。第四章是基于兩階段排名區(qū)間的分析方法。傳統(tǒng)的DEA模型在評(píng)估每個(gè)決策單元的效率值時(shí)僅僅尋找其最優(yōu)的權(quán)重,Salo and Punkka(2011)為了解決這個(gè)問題,提出了考慮所有可行的權(quán)重的一系列混合整型模型。但是他們將每個(gè)決策單元視為一個(gè)“黑盒子”而忽視了決策單元的內(nèi)部結(jié)構(gòu)。針對(duì)此問題,本文提出了基于兩階段排名區(qū)間的分析方法,這種新的方法考慮了決策單元的網(wǎng)絡(luò)結(jié)構(gòu),不僅計(jì)算了總系統(tǒng)的排名區(qū)間而且計(jì)算了兩個(gè)子系統(tǒng)的排名區(qū)間。并且,計(jì)算出的排名區(qū)間可以用來(lái)分析總系統(tǒng)和兩個(gè)子系統(tǒng)排名的穩(wěn)定性。我們用了兩個(gè)算例來(lái)演示模型。第五章是非合作博弈兩階段生產(chǎn)系統(tǒng)DEA并購(gòu)效率評(píng)價(jià)。如何選擇并購(gòu)對(duì)象及預(yù)測(cè)并購(gòu)可行性是企業(yè)管理者在并購(gòu)決策過程中常面臨的問題。針對(duì)企業(yè)并購(gòu)預(yù)測(cè)問題,本文以兩階段生產(chǎn)系統(tǒng)的決策單元為研究對(duì)象,研究數(shù)據(jù)包絡(luò)分析方法在預(yù)測(cè)并購(gòu)可行性方面的應(yīng)用。該生產(chǎn)系統(tǒng)有兩個(gè)明顯的特點(diǎn)：(1)決策單元由兩個(gè)階段串行子系統(tǒng)構(gòu)成,(2)兩個(gè)子系統(tǒng)一個(gè)處于主導(dǎo)地位,而另一個(gè)處于從屬地位。兩個(gè)或者兩個(gè)以上決策單元并購(gòu)為一個(gè)虛擬決策單元。本文在分析由決策單元整體效率與其子系統(tǒng)效率之間關(guān)系的基礎(chǔ)上,引入非合作博弈的思想,提出了基于非合作博弈的DEA模型評(píng)估虛擬決策單元兩階段生產(chǎn)系統(tǒng)的并購(gòu)效率。文章提出的這種方法能夠在考慮子系統(tǒng)之間的主從關(guān)系的基礎(chǔ)上,有效地分析虛擬決策單元內(nèi)部子系統(tǒng)的并購(gòu)有效性水平。第六章是總結(jié)和展望。首先對(duì)前面各個(gè)章節(jié)的內(nèi)容進(jìn)行總結(jié)、歸納；然后列出本文的主要?jiǎng)?chuàng)新點(diǎn)和不足；最后根據(jù)本文的不足之處指出了幾個(gè)未來(lái)可以研究的后續(xù)問題。本文的創(chuàng)新性總結(jié)為以下幾個(gè)方面：(1)本文首次將兩階段關(guān)系模型引入環(huán)境效率評(píng)估,構(gòu)建出新的基于兩階段關(guān)系模型的環(huán)境效率評(píng)估模型,并且將兩階段關(guān)系模型從規(guī)模報(bào)酬不變的情形擴(kuò)展到規(guī)模報(bào)酬可變的情形,啟發(fā)式搜索的方法(heuristic search procedure)被用來(lái)求解新提出的模型。(2)與以往將每個(gè)地區(qū)的工業(yè)系統(tǒng)視為一個(gè)“黑盒子”不同,我們將中國(guó)每個(gè)地區(qū)的工業(yè)系統(tǒng)分為生產(chǎn)子系統(tǒng)和污染物處理子系統(tǒng)。考慮每個(gè)區(qū)域工業(yè)系統(tǒng)的內(nèi)在網(wǎng)絡(luò)結(jié)構(gòu)以及中國(guó)的資源利用和環(huán)境保護(hù)的政策,本研究提出了一個(gè)新的網(wǎng)絡(luò)SBM模型(NSBM)測(cè)度中國(guó)區(qū)域工業(yè)系統(tǒng)的環(huán)境效率,這個(gè)模型考慮了每個(gè)子系統(tǒng)中投入和非期望產(chǎn)出的相對(duì)重要性來(lái)體現(xiàn)決策者偏好或中國(guó)的資源環(huán)境政策。(3)在本研究中,通過考慮決策單元的內(nèi)部結(jié)構(gòu)擴(kuò)展了Salo and Punkka(2011)的方法。我們將它們的方法擴(kuò)展到兩階段生產(chǎn)系統(tǒng),計(jì)算兩階段生產(chǎn)系統(tǒng)的排名區(qū)間。然后,我們通過使用已有文獻(xiàn)中的算例驗(yàn)證了這種方法。因此,通過這種方法,決策單元的“黑盒子”被打開了。這樣,可以為決策者提供更多關(guān)于總系統(tǒng)和兩個(gè)子系統(tǒng)排名區(qū)間的信息。(4)為解決具有網(wǎng)絡(luò)結(jié)構(gòu)的決策單元內(nèi)部各子系統(tǒng)之間可能存在主從的非合作博弈關(guān)系的并購(gòu)效率評(píng)估問題,本文將非合作博弈思想引入,首次提出了兩階段的非合作博弈并購(gòu)效率評(píng)價(jià)模型。這種方法能夠有效地處理具有主從博弈子系統(tǒng)的網(wǎng)絡(luò)生產(chǎn)系統(tǒng)的并購(gòu)效率評(píng)價(jià)問題。
[Abstract]:In actual production, many decision-making units often have network structure of production, such as banks, hospitals, insurance companies, airports, railway and so on. The efficiency of solving these decision unit and has been ranked by scholars at home and abroad and business decision-makers attention to these decision unit. Data envelopment analysis (data envelopment, analysis, DEA) the method, as a nonparametric methods, there is no need to set parameters of the production function and without presetting the advantages of input and output weights. Therefore, since 1978, the DEA method is put forward, more and more attention of scholars, but also is widely applied in many domains. In this paper, a decision unit has a network structure as the research object, the DEA network model based on existing efficiency ranking interval problems with decision making unit network structure and network structure efficiency evaluation The price problem, and the DEA method is applied to the network environment and the efficiency of M & A efficiency evaluation field. Therefore, this study extends the network DEA theory and promote the further application of the research. This paper is divided into six chapters, the main contents are summarized as follows: the first chapter is the introduction. Firstly, we introduce the basic theory about DEA namely: input and output, decision-making units, production sets, the basic concept of production frontier and efficiency; basic idea of using DEA method to evaluate the efficiency of application; some of the most basic DEA model and DEA method. Then, the main theoretical research field is introduced into the network and the application of DEA. We introduce the significance of DEA network theory, research and application. Finally, we summarize the research methods, research content and research significance. The second chapter is the two stage model based on Relationship The environmental efficiency evaluation method. In the actual production process, decision making units often have network structure of two stage. For example, China regional industrial system by the production subsystem and pollutant processing subsystem of two serial subsystems. In view of this evaluation with decision-making units of the network structure on the environmental efficiency of the two stage the relationship between environmental efficiency evaluation model, and proposes a new evaluation model of two stage model of the relationship between the environmental efficiency based on industrial system. Chinese all provinces of the examples to verify the rationality of the proposed model. The third chapter is to consider the preference of efficiency evaluation of network environment based on the SBM model. China will conserve resources and protect the environment written into law, the goal is to gradually build a resource-saving and environment-friendly society. In Chinese, resource conservation and environmental protection are equally important. This study considers each The internal network structure of regional industrial system, policy and resource utilization China and environmental protection, and remedy the defects of the previous use of DEA network model to assess environmental efficiency of input and output only radial projection. This paper proposes a new network model SBM (NSBM). This model takes into account the non radial projection the input and output of the intermediate products and China existing resources and environmental policy, measure China regional industrial system of environmental efficiency, and do empirical analysis. The fourth chapter is the analysis method of two stage ranking based on interval weight. The traditional DEA model to find the optimal efficiency evaluation in only when the value of each decision unit, Salo and Punkka (2011) in order to solve this problem, put forward a series of mixed integer model all feasible considering weights. But they will each decision unit is regarded as a "black box "While ignoring the internal structure of the decision-making unit. Aiming at this problem, this paper proposed two stage analysis method based on interval number, this new method considering the network structure of decision making units, ranking interval of the two subsystems of the total system and calculate the ranking interval is calculated. And the calculated ranking interval can be used to rank the stability analysis of total system and two subsystems. We use two examples to demonstrate the model. The fifth chapter is a non cooperative game two stage production system DEA acquisition efficiency evaluation. How to choose and purchase and acquisition target prediction feasibility is the enterprise managers often face in making decision for enterprise problems. M & a prediction problem, the decision making unit two stage production system as the research object, study on the application of data envelopment analysis to predict the feasibility of mergers and acquisitions in the production system. There are two distinct characteristics: (1) the decision unit is composed of two stage serial subsystems, (2) the two subsystems of a dominant position, and the other one is in a subordinate position. Two or more than two mergers and acquisitions decision unit as a virtual decision unit. Based on the analysis of the relationship between the overall efficiency and efficiency of decision making units on the subsystem, the introduction of non cooperative game theory, put forward the evaluation of virtual decision-making unit two stage production system of M & A efficiency DEA model based on non cooperative game. The method proposed in this paper can considering the master-slave relationship between the subsystems, effectively analyze the level of effectiveness of mergers and acquisitions virtual decision-making unit internal subsystem. The sixth chapter is the summary and outlook. The chapters of the content of the summary, induction; main innovations and shortcomings of this article and list; according to the The inadequacies of this article points out the future problems for further research. This paper summarizes the innovation as follows: (1) the two phase relation model into the environmental efficiency evaluation, construct a new two stage model based on environmental efficiency evaluation model, and the two stage model from returns to scale the same situation is extended to the case of variable returns to scale, heuristic search methods (heuristic search procedure) was used to solve the proposed model. (2) and the industrial system in each region is regarded as a "black box", we will Chinese industrial system in each region is divided into sub production processing subsystem system and pollutants. Considering the internal network structure of each region of the industrial system and policy Chinese resource utilization and environmental protection, this paper proposes a new network model SBM Type (NSBM) measure China regional industrial system of environmental efficiency, this model considers the relative importance of inputs and undesirable outputs of each subsystem to reflect the environmental policy preference or China. (3) in this study, by considering the internal structure of the decision-making unit extends Salo and Punkka (2011) methods. We will expand to two stages of their method of production system, calculation of the two stage production system ranking interval. Then, we use the example to verify this method. Therefore, by this method, the decision unit of the "black box" was opened. In this way, can provide more information about the total system and two subsystems of ranking interval for decision makers. (4) to solve with possible non cooperative game between master-slave decision-making units subsystems in network structure of the M & A efficiency rating To estimate the problem, this paper introduces the non cooperative game theory, and first proposes the two stage non cooperative game M & A efficiency evaluation model. This method can effectively handle the M & A efficiency evaluation problem of the network production system with master slave game subsystem.

【學(xué)位授予單位】：中國(guó)科學(xué)技術(shù)大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2016
【分類號(hào)】：F224

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6 彭煜;基于多目標(biāo)規(guī)劃的DEA有效性研究[D];西南交通大學(xué);2005年

7 楊鋒;含有多個(gè)子系統(tǒng)的決策單元的DEA效率評(píng)估研究[D];中國(guó)科學(xué)技術(shù)大學(xué);2006年

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4 陳金曉;超效率數(shù)據(jù)包絡(luò)分析模型與評(píng)價(jià)方法的改進(jìn)研究[D];浙江大學(xué);2011年

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6 韓利娜;關(guān)于DEA模型中若干問題的研究[D];西南大學(xué);2008年

7 孫娜;樣本DEA有效性研究及其靈敏度分析[D];內(nèi)蒙古大學(xué);2008年

8 寇婧;論在建筑項(xiàng)目安全生產(chǎn)效益中的研究[D];長(zhǎng)安大學(xué);2009年

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