基于CAR-DEA方法的环境效率评价研究

运筹学学报 ›› 2012, Vol. 16 ›› Issue (2): 41-50.

基于CAR-DEA方法的环境效率评价研究

卞亦文¹, 孙瑜峰¹

1. 上海大学悉尼工商学院, 上海, 201800

出版日期:2012-06-15 发布日期:2012-06-15
通讯作者: 卞亦文

nvironmental efficiency evaluation based on CAR-DEA approach

BIAN Yiwen¹, Sun Yufeng¹

1. Sydney Institute of Language \& Commerce, Shanghai University, Shanghai 201800, China

Online:2012-06-15 Published:2012-06-15
Supported by:
Supported by grants from The National Natural Science Foundation of China (No. 71101085) and Innovation Program of Shanghai Municipal Education Commission (No. 12ZS099).

摘要/Abstract

摘要： 现有环境效率评价的DEA方法没有考虑多维偏好约束问题，即不同决策单元对不同期望产出和不期望产出的偏好不同. 以地区为例，不同地区对GDP、废水和废气赋予的权重偏好各不相同. 在这种情况下，由于各决策单元的偏好约束不同，形成多维偏好约束集，在传统DEA模型中容易出现无可行解现象. 针对这一问题，基于CAR-DEA方法，结合保证域理论，提出一种解决多维偏好约束集问题的环境效率评价模型. 采用中国工业系统的环境效率评价实例对提出的方法进行了分析和说明.

关键词: 数据包络分析, 不期望产出, 保证域, CAR-DEA

Abstract: The existing environmental efficiency evaluation DEA models have not considered the issue that different decision making units (DMUs) may impose different preferences on different outputs (desirable and undesirable outputs), e.g., different DMUs may value GDP (desirable output), waste water discharge and waste gas emissions differently. This paper aims at addressing this problem. We present a DEA model incorporating desirable outputs and undesirable outputs, which can increase desirable outputs and decrease undesirable outputs simultaneously. To restrict DMUs' different preferences on outputs, we then extend the model by incorporating multiple sets AR constraints based on Context-Dependent Assurance Regions DEA approach (CAR-DEA) in recent DEA literature. An application of 30 regions in China with real data set is used to illustrate the proposed approach.

Key words: data envelopment analysis, undesirable outputs, assurance region, CAR-DEA

卞亦文, 孙瑜峰. 基于CAR-DEA方法的环境效率评价研究[J]. 运筹学学报, 2012, 16(2): 41-50.

BIAN Yi-Wen, Sun-Yu-Feng. nvironmental efficiency evaluation based on CAR-DEA approach[J]. Operations Research Transactions, 2012, 16(2): 41-50.

参考文献

Zhang B, Bi J, Fan Z, et al. Eco-efficiency analysis of industrial system in China: A data envelopment analysis approach [J]. Ecologicaleconomics, 2008, 68: 306-316.
Charnes A, Cooper W W, Rhodes E. Measuring the efficiency of decision making units [J]. European Journal of Operational Research, 1978, 2: 429-444.
Banker R D, Charnes A, Cooper W W. Some models for estimating technical and scale inefficiencies in data envelopment analysis [J]. Management Science, 1984, 30: 1078-1092.
Zhou P, Ang B W, Poh K L. A survey of data envelopment analysis in energy and environment studies [J]. European Journal of Operational Research, 2008, 189: 1-18.
Fare R, Grosskopf S, Lovell C A K, et al. Multilateral productivity comparisons when some outputs are undesirable: a nonparametric approach [J]. The Review of Economics and Statistics, 1989, 71: 90-98.
Scheel H. Undesirable outputs in efficiency valuations [J]. European Journal of Operational Research, 2001, 132: 400-410.
Seiford L M, Zhu J. Modeling undesirable factors in efficiency evaluation [J]. European Journal of Operational Research, 2002, 142: 16-20.
Fare R, Grosskopf S. Modeling undesirable factors in efficiency evaluation: Comment [J]. European Journal of Operational Research, 2004, 157: 242-245.
Vencheh A H, Matin R K, Kajani M T. Undesirable factors in efficiency measurement [J]. Applied Mathematics and Computation, 2005, 163: 547-552.
Thompson R G, Langemeier L N, Lee C T, et al. The role of multiplier bounds in efficiency analysis with application to Kansas farming [J]. Journal of Econometrics, 1990, 46: 93-108.
Zhu J. DEA/AR analysis of the 1988-1989 performance of the Nanjing Textile Cooperation [J]. Annals of Operations Research, 1996, 66: 311-335.
Cook W D, Zhu J. CAR-DEA: Context-Dependent Assurance Regions in DEA [J]. Operations Research, 2008, 56: 69-78.
Liang L, Li Y, Li S. Increasing the discriminatory power of DEA in the presence of the undesirable outputs and large dimensionality of data sets with PCA [J]. Expert Systems with Applications, 2009, 36: 5895-5899.
Chung Y H, Fare R, Grosskopf S. Productivity and undesirable outputs: A directional distance function approach [J]. Journal of Environmental Management, 1997, 51: 229-240.
Kordrostami S, Amirteimoori A. Un-desirable factors in multi-component performance measurement [J]. Applied Mathematics and Computation, 2005, 171: 721-729.
Hua Z, Bian Y. Performance measurement for network DEA with undesirable factors [J]. International Journal of Management and Decision Making, 2008, 9: 141-152.

[1]	陈磊, 王应明. 具有包容关系的结构异质DEA效率评价方法[J]. 运筹学学报, 2019, 23(4): 34-44.
[2]	王有森, 许皓. 基于数据包络分析的并行生产系统效率评价方法[J]. 运筹学学报, 2015, 19(4): 25-36.
[3]	王晓敏. 二阶段加法DEA模型的生产可能集与生产前沿面[J]. 运筹学学报, 2015, 19(3): 131-139.
[4]	施海柳, 王应明, 陈圣群. 不完全信息下考虑效率和规模的多时点并购决策[J]. 运筹学学报, 2015, 19(1): 65-76.