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A complete ranking of DMUs with undesirable outputs using restrictions in DEA models 使用DEA模型中的限制对具有不良输出的dmu进行完整排序
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2011.12.044
Dong Guo, Jie Wu

Ranking DMUs is an important issue in DEA studies. Traditional DEA model usually leads to the failure to ranking all DMUs when DMUs get the same efficiency score, such as efficient DMUs or inefficient DMUs with the same efficiency score. For the sake of comparing and improving capabilities of DMUs, many researchers have sought to fully rank both efficient, as well as inefficient DMUs. In this paper, an extended DEA model considering undesirable outputs using restrictions is presented to realize a unique ranking of DMUs through the new “Maximal Balance Index” based on the optimal shadow prices. Meanwhile, a numerical example and an empirical example are provided to illustrate the difference from previous work and the application of the extended model. In the empirical study, the complete ranking of DMUs incorporating undesirable outputs is proved to be useful and unique.

dmu排序是DEA研究中的一个重要问题。传统的DEA模型通常会导致当dmu的效率得分相同时,无法对所有dmu进行排序,例如效率得分相同的高效dmu或低效dmu。为了比较和提高dmu的能力,许多研究人员试图对高效和低效的dmu进行全面排名。本文提出了一个考虑约束的非期望产出的扩展DEA模型,通过基于最优影子价格的新“最大平衡指数”来实现dmu的唯一排序。同时,通过数值算例和实证算例说明了扩展模型与以往工作的区别以及扩展模型的应用。在实证研究中,证明了包含不良产出的dmu的完整排名是有用的和独特的。
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引用次数: 51
Production efficiency evaluation of energy companies based on the improved super-efficiency data envelopment analysis considering undesirable outputs 基于考虑不良产出的改进超效率数据包络分析的能源企业生产效率评价
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2012.07.001
Lei Li, Mingyue Li, Chunlin Wu

The introduction of a precise and effective production efficiency evaluative model has vital theoretical importance. It can promote the improvement of production efficiency in energy companies and the enhancement of China’s energy supply. Data envelopment analysis (DEA) is a nonparametric method to evaluate the relative effectiveness of decision-making units (DMU). While DEA has many theoretical advantages, it is also very sensitive to the number of decision-making units being evaluated as well as the accuracy of the data. Super-efficiency DEA can make up this limitation. However, this model has several shortcomings, like the possible exaggeration of the efficiency value and the variety of the evaluating benchmarks. Integrating the measurement of undesirable outputs, this paper combined the traditional CCR model, super-efficiency DEA model and ideal-DMU-based benchmark sorting model to get an improved super-efficiency DEA model. Then, we applied this method to 10 subsidiaries of a well-known domestic energy corporation to testify to the feasibility of it.

建立精确有效的生产效率评价模型具有重要的理论意义。它可以促进能源企业生产效率的提高和中国能源供应的增强。数据包络分析(DEA)是一种评价决策单元(DMU)相对有效性的非参数方法。DEA虽然在理论上有很多优势,但它对被评价决策单元的数量和数据的准确性也非常敏感。高效DEA可以弥补这一缺陷。然而,该模型也存在一些不足,如效率值可能被夸大,评估基准的多样性。结合不良产出的度量,将传统的CCR模型、超效率DEA模型和基于理想dmu的基准排序模型相结合,得到改进的超效率DEA模型。然后,将该方法应用于国内某知名能源企业的10家子公司,验证了该方法的可行性。
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引用次数: 16
Regional differences of environmental efficiency of China’s energy utilization and environmental regulation cost based on provincial panel data and DEA method 基于省级面板数据和DEA方法的中国能源利用环境效率与环境规制成本的区域差异
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2012.04.004
Li Yang, Ke-Liang Wang

Recently, environmental pollution has attracted a lot of attention domestically and internationally. It is known that energy utilization is a major source of China’s environmental pollution. Measuring environmental efficiency of energy utilization in Chinese provinces first, the paper then offers decision supports for relevant departments in order to achieve sustainable development of energy and environment in China. This research chooses CO2 emission as a substitute variable for environmental effects of energy utilization and puts it into the study framework based on total-factor production theory to measure the environmental efficiency of energy utilization of each province and three major regions. On the basis of the above results this research further measures the cost of environmental regulation for each province. Provincial panel data during the period of 2000–2007 are used to carry out empirical study. The analysis indicates that the environmental efficiency of energy utilization in Chinese provinces varies greatly from each other, meaning that both economic output and CO2 emissions need considerable improvement. In addition, the results of empirical study also show that the environmental efficiency of energy utilization in China is quite low. Therefore, to ensure sustainable development of China’s energy, economy and environment, we should resort to advanced technology as the support to promote the efficient and clean utilization of energy resources. Besides, most Chinese provinces have spent quite a lot on environmental regulation, implying that in these provinces development of the economy and the environment are not in harmony. The contributions of this research are as follows: it constructs the models for measuring environmental efficiency of energy utilization in Chinese provinces; it introduces the idea of “environmental regulation” into research system and measures the environmental regulation cost of each Chinese province.

近年来,环境污染问题引起了国内外的广泛关注。众所周知,能源利用是中国环境污染的一个主要来源。本文首先测量了中国各省能源利用的环境效率,然后为相关部门提供决策支持,以实现中国能源与环境的可持续发展。本研究选择CO2排放作为能源利用环境效应的替代变量,并将其纳入基于全要素生产理论的研究框架,对各省和三大区域的能源利用环境效率进行测度。在此基础上,本研究进一步测算了各省的环境规制成本。本文采用2000-2007年的省级面板数据进行实证研究。分析表明,中国各省能源利用的环境效率差异较大,经济产出和二氧化碳排放都有较大的提升空间。此外,实证研究结果还表明,中国能源利用的环境效率相当低。因此,为了确保中国能源、经济和环境的可持续发展,我们应该以先进的技术为支撑,促进能源的高效、清洁利用。此外,中国大多数省份在环境监管方面投入了大量资金,这意味着这些省份的经济发展与环境不协调。本研究的贡献主要体现在:构建了中国各省能源利用环境效率的测度模型;将“环境规制”的概念引入研究体系,并对中国各省的环境规制成本进行测度。
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引用次数: 93
Environmental efficiency of electric power industry in the Yangtze River Delta 长三角电力工业环境效率研究
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2012.10.025
Ye Tao, Shilong Zhang

There are 16 cities in the Yangtze River Delta and this region plays a leading role in Chinese economic growth. A great deal of power is needed for the economic growth and social development in the Yangtze River Delta, but the local firms’ production and people’s living are often disturbed by shortages of power. From 2000 to 2010, the power output of the regional electric power industry was accompanied by a large amount of undesirable outputs. Environmental Data Envelopment Analysis (DEA) technology is applied. Two DEA models incorporating undesirable outputs are constructed and used to measure the environmental efficiency of the electric power industry in the Yangtze River Delta from 2000 to 2010. Both constant return of scale and variable return of scale are considered. Some meaningful findings are obtained from the measurement results of the 16 cities and of the whole region.

长江三角洲有16个城市,在中国经济增长中起着主导作用。长三角地区的经济增长和社会发展需要大量的电力,但电力短缺往往困扰着当地企业的生产和人民的生活。2000年至2010年,区域电力行业的输出功率伴随着大量不良输出。应用环境数据包络分析(DEA)技术。构建了两个包含不良产出的DEA模型,并对2000 - 2010年长三角地区电力行业的环境效率进行了测度。同时考虑了规模不变收益和规模可变收益。从16个城市和整个区域的测量结果中得出了一些有意义的结论。
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引用次数: 33
Understanding urban dynamics based on pervasive sensing: An experimental study on traffic density and air pollution 基于普适感知的城市动态研究:交通密度与空气污染的实验研究
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2013.01.002
Xiaoxiao Yu , Wenzhu Zhang , Lin Zhang , Victor O.K. Li , Jian Yuan , Ilsun You

Modern urban areas are influenced by numerous inter-related human and natural factors and present extremely complicated non-linear and dynamic properties. As a bridge between the physical world and the cyber space, pervasive sensing technologies make it possible to have a deep understanding of urban environments. There are two inter-related technical planes to achieve it, namely, sensing and computing. In this paper, we introduce our work progress on the urban dynamics study for each technical plane, respectively. First, we design and implement a prototype urban sensing system based on automobiles as mobile agents, performing information-rich data collection. Then, we propose a Spatial–Temporal-Entangled Analysis (STEA) algorithm based on semi-supervised manifold learning and the regularized optimization to extract semantic information from incomplete sensing data, aiming for better understanding of the spatial–temporal correlation of a complex physical process and the correlation between human activities and environmental changes via incomplete sensing data. Finally, we evaluate STEA in a real urban sensing application. Specifically, the proposed prototype is used to collect traffic and air pollution data in Beijing, and such real-world datasets are used to evaluate the effectiveness of STEA. The results obtained are very promising and show an implicit correlation between the traffic density and the air pollution, demonstrating the potential of this technique in environmental studies for urban areas.

现代城市区域受到众多相互关联的人为因素和自然因素的影响,呈现出极其复杂的非线性和动态特性。作为连接物理世界和网络空间的桥梁,无处不在的传感技术使人们对城市环境的深入了解成为可能。实现它有两个相互关联的技术层面,即传感和计算。本文分别介绍了各技术层面的城市动力学研究进展。首先,我们设计并实现了一个基于汽车作为移动代理的原型城市传感系统,进行信息丰富的数据采集。然后,我们提出了一种基于半监督流形学习和正则化优化的时空纠缠分析(spatial-temporal - entangled Analysis, STEA)算法,从不完整的传感数据中提取语义信息,旨在通过不完整的传感数据更好地理解复杂物理过程的时空相关性以及人类活动与环境变化之间的相关性。最后,我们评估了STEA在实际城市传感中的应用。具体来说,该原型用于收集北京的交通和空气污染数据,并使用这些真实世界的数据集来评估STEA的有效性。所获得的结果非常有希望,显示了交通密度与空气污染之间的隐含相关性,表明了该技术在城市地区环境研究中的潜力。
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引用次数: 16
Cognitive analysis system for description and recognition of pathological changes in coronary arteries structure 用于描述和识别冠状动脉结构病理变化的认知分析系统
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2012.11.029
Mirosław Trzupek, Marek R. Ogiela

In this paper the authors present the idea of a system for cognitive analysis of coronary vascularisation reconstructions acquired by a 128-slice spiral CT apparatus. Unlike previous authors’ solutions this paper presents a multi-stage analysis system, which utilises cognitive analysis for description and recognition of pathological changes in coronary arteries structure. Such systems can be built for various types of data, but the main subject of this paper is a presentation of the cognitive system for diagnostic and therapeutic purposes. The main idea of such a system consists in gathering information from several stages of analysis, which allows a comprehensive assessment of the analysed image and formulation of the appropriate diagnosis. The proposed methods although they are mainly predestined for medical applications can also provide a base for other solutions, particularly for the acquisition and sophisticated semantic analysis of complex image patterns. Such techniques can be of great significance and find a number of uses in image recognition.

在本文中,作者提出了一个认知分析系统的想法,该系统是由128层螺旋CT设备获得的冠状动脉血管重建。与之前作者的解决方案不同,本文提出了一个多阶段分析系统,该系统利用认知分析来描述和识别冠状动脉结构的病理变化。这样的系统可以为各种类型的数据建立,但本文的主要主题是介绍用于诊断和治疗目的的认知系统。这种系统的主要思想包括从分析的几个阶段收集信息,从而可以对分析的图像进行全面评估并制定适当的诊断。所提出的方法虽然主要是为医疗应用而设计的,但也可以为其他解决方案,特别是复杂图像模式的获取和复杂语义分析提供基础。这些技术在图像识别中具有重要的意义和许多用途。
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引用次数: 5
ENDMal: An anti-obfuscation and collaborative malware detection system using syscall sequences ENDMal:一个使用系统调用序列的反混淆和协作恶意软件检测系统
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2013.03.008
Huabiao Lu, Xiaofeng Wang, Baokang Zhao, Fei Wang, Jinshu Su

Malware obfuscation obscures malware into different versions, making traditional syntactic nature based detection ineffective. Furthermore, with the huge and exponentially growing number of malware samples, existing malware detection systems are either evaded by malware obfuscation, or overwhelmed by numerous malware samples. This paper proposes an anti-obfuscation, scalable and collaborative malware detection system—ENDMal. ENDMal identifies the program that behaves suspiciously in end-hosts and similarly between a group of suspicious programs in a wide area as malicious. We present the Iterative Sequence Alignment (ISA) method to defeat malware obfuscation. Instead of using complex behavior graph, we propose the Handle dependences and Probabilistic Ordering Dependence (HPOD) technology to represent the program behaviors. In addition, we design a novel information sharing infrastructure, RENShare, to collaboratively congregate the group characteristics of programs spreading over different network areas. Our experimental results show that ENDMal can detect unknown malwares much faster than the centralized detection system and is more effective than the existing distributed detection system.

恶意软件混淆将恶意软件模糊成不同的版本,使得传统的基于语法性质的检测无效。此外,随着恶意软件样本数量的巨大和指数级增长,现有的恶意软件检测系统要么被恶意软件混淆所逃避,要么被大量的恶意软件样本所淹没。提出了一种抗混淆、可扩展、协同的恶意软件检测系统endmal。ENDMal识别在终端主机中行为可疑的程序,以及在广泛区域内一组可疑程序之间的恶意程序。我们提出了迭代序列对齐(ISA)方法来挫败恶意软件混淆。我们提出了句柄依赖和概率排序依赖(HPOD)技术来代替复杂的行为图来表示程序行为。此外,我们设计了一种新的信息共享基础设施,RENShare,以协同聚集分布在不同网络区域的程序的组特征。实验结果表明,ENDMal可以比集中式检测系统更快地检测出未知恶意软件,并且比现有的分布式检测系统更有效。
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引用次数: 18
Transverse and longitudinal analysis of the environmental efficiency of Chinese industries 中国工业环境效率的横向与纵向分析
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2012.10.003
Wang Hongqi , Wang Xueyuan, Wang Yuqi

In this paper, the environmental efficiencies of 39 industrial sectors are measured using a non-radical, non-oriented slacks-based measure (SBM) model that considers the environmental impact of each industry. The economic efficiency of each industrial sector is measured using traditional data envelope analysis (DEA) methods and the differences between environmental efficiency and economic efficiency are analyzed using the transverse analysis method. A total of 39 industrial sectors are examined within three main industrial sectors (mining, manufacturing, and supply). Using the longitudinal analysis method, the environmental efficiencies of the three main industrial sectors from 2002 to 2009 are analyzed using the average value of their sub-industries’ environmental efficiencies. The time regression equation of the three industrial fields’ environmental efficiencies is examined using a regression analysis method. Based on these results, tactics for enhancing the environmental efficiency of Chinese industries are suggested in accordance with the characteristics of each industrial sector’s environmental efficiency.

本文采用一种非激进、非导向的基于懒汉测度(SBM)模型对39个工业部门的环境效率进行了衡量,该模型考虑了每个行业的环境影响。采用传统的数据包络分析(DEA)方法测算各产业部门的经济效率,并采用横向分析方法分析环境效率与经济效率之间的差异。在三个主要工业部门(采矿业、制造业和供应)中,总共审查了39个工业部门。采用纵向分析方法,利用各子行业环境效率均值对2002 - 2009年三个主要工业部门的环境效率进行了分析。运用回归分析方法,对三个工业领域环境效率的时间回归方程进行了检验。在此基础上,根据各行业环境效率的特点,提出了提高中国工业环境效率的策略。
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引用次数: 4
China’s regional energy and environmental efficiency: A DEA window analysis based dynamic evaluation 中国区域能源环境效率:基于DEA窗口分析的动态评价
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2011.11.067
Ke Wang , Shiwei Yu , Wei Zhang

Data envelopment analysis (DEA) has recently become a popular approach in measuring the energy and environmental performance at the macro-economy level. A common limitation of several previous studies is that they ignored the undesirable outputs and did not consider the separation of inputs into energy resources and non-energy resources under the DEA framework. Thus, within a joint production framework of considering both desirable and undesirable outputs, as well as energy and non-energy inputs, this study analyzes China’s regional total-factor energy and environmental efficiency. This paper utilizes improved DEA models to measure the energy and environmental efficiency of 29 administrative regions of China during the period of 2000–2008. In addition, the DEA window analysis technique is applied to measure the efficiency in cross-sectional and time-varying data. The empirical results show that the east area of China has the highest energy and environmental efficiency, while the efficiency of the west area is worst. All three areas of China have similar trends in the variation of efficiency and in general the energy and environmental efficiency of China slightly increased from 2000 to 2008. The regions of the east area have a more balanced development than the regions of the central area and west area according to energy and environmental efficiency.

近年来,数据包络分析(DEA)已成为宏观经济层面衡量能源和环境绩效的一种流行方法。以往一些研究的一个共同局限性是忽略了不希望的产出,没有考虑DEA框架下能源资源和非能源资源投入的分离。因此,在考虑理想产出和不理想产出、能源投入和非能源投入的联合生产框架下,本研究分析了中国区域全要素能源和环境效率。本文利用改进的DEA模型对2000-2008年中国29个行政区域的能源环境效率进行了测度。此外,采用DEA窗口分析技术对横截面和时变数据的效率进行了测量。实证结果表明,中国东部地区能源和环境效率最高,西部地区效率最差。从2000年到2008年,中国三个地区的能源和环境效率变化趋势相似,总体上略有上升。在能源和环境效率方面,东部地区比中部地区和西部地区的发展更加均衡。
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引用次数: 358
Environmental efficiency of industrial sectors in China: An improved weighted SBM model 中国工业部门环境效率:一个改进的加权SBM模型
Pub Date : 2013-09-01 DOI: 10.1016/j.mcm.2012.09.021
Yan Zhou, Dapeng Liang, Xinpeng Xing

Utilizing undesirable outputs, a weighted SBM model was proposed in our study. Weights of undesirable outputs and weights of fossil energy were established, based on energy scarcity and the effect on the environment caused by undesirable outputs respectively. Then the environmental efficiency of industrial sectors in China are assessed with the improved weighted SMB. To eliminate the difference in energy structure and undesirable outputs structure, energy inputs and undesirable outputs were employed as classification indicators. Industrial sectors were classified into four groups. Results of the environmental efficiency assessed by three methods showed that the improved SBM model has stronger discrimination power than the previous SBM. The efficiency score measured by the improved SBM is close to the score measured by the SBM model. However, there is an obvious gap between the CCR and the improved SBM. Finally, it is easy to find key indices that have a great impact on the environmental efficiency with the improved SBM.

在我们的研究中,利用不期望的输出,提出了一个加权SBM模型。根据能源稀缺性和不期望产出对环境的影响,分别建立了不期望产出权重和化石能源权重。然后,用改进的加权中小企业法对中国工业部门的环境效率进行了评价。为了消除能量结构和不良产出结构的差异,采用能量投入和不良产出作为分类指标。工业部门被分为四类。三种方法的环境效率评价结果表明,改进的SBM模型比以前的SBM模型具有更强的识别能力。改进SBM的效率得分与SBM模型的得分接近。然而,CCR与改进后的SBM之间存在明显的差距。最后,通过改进的SBM,可以很容易地找到对环境效率有较大影响的关键指标。
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引用次数: 33
期刊
Mathematical and Computer Modelling
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