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论文编号：	13796
作者编号：	1120180930
上传时间：	2023/3/14 15:55:02
中文题目：	基于数据包络分析的两阶段系统资源配置研究
英文题目：	Research on Resource Allocation of Two-stage System Based on Data Envelopment Analysis
指导老师：	方磊
中文关键字：	数据包络分析；两阶段生产系统；内部资源冲突；资源配置
英文关键字：	data envelopment analysis;two-stage production system;internal resources conflict;resource allocation
中文摘要：	制造业作为国民经济的支柱产业，提高制造业效率是推动实体经济长期稳定增长的核心引擎。其中，优化资源配置是提高制造业效率的关键。为了能够客观地评价制造业效率并提供合理的资源配置方案，数据包络分析（Data Envelopment Analysis, DEA）得到了广泛应用。该方法是一种数据驱动的非参数方法，能够为效率低下的决策单元提供目标，使其在未来的生产过程中变得有效。因此，基于制造业企业在生产运作过程中所面临的内部资源冲突、公共资源配置等问题，本文旨在运用DEA方法来探究合理的资源配置方案，并为推动制造业高效率生产提供改进措施。 考虑到实际制造业企业是由多个部门通过纵向关联效应构成，并且这些部门在生产过程、生产技术以及生产计划等方面具有相对独立的管理决策权。在此背景下，如何设计一种公平合理的资源配置方案，以使制造业企业内部的各个部门都能接受就显得尤为重要。因此，需要考虑制造业企业的内部结构以及企业内部各个部门的生产决策。基于此，本文以两阶段生产系统为研究对象，并从相对效率评价的视角来探究两阶段生产系统的资源配置方案。本文的主要内容概括如下： 首先，探究了部门优势度无差异情形下的两阶段生产系统内部资源配置问题。本章首先分析了生产系统内部资源的潜在冲突。随后，在构建中间资源配置方法时引入边际生产率概念，提出了一个基于最近距离投影的DEA模型及其相应的算法，从而使得两个分权部门都能通过最小程度地调整他们各自的最优中间产物来实现二者之间中间产物的供需精准匹配。最后，引入效率偏差概念来说明本文模型相较于传统集中式模型的优势所在。 其次，探究了部门优势度有差异情形下的两阶段生产系统内部资源配置问题。本章基于部门相对优势度概念，协调上下游部门共同确定目标中间产物，从而消除系统内部资源的潜在冲突。此外，结合损失规避效用函数来揭示各个分权部门坚持独立而不采取合作策略所主观感知到的损益值，并以最大化各分权部门的综合损益值为目标来构建一个合作模型。最后，通过调整相关参数，探究本章模型与非合作模型以及与传统集中式模型之间的关系。 再次，在消除了系统内部资源冲突的基础上，从部门的个体视角出发来研究两阶段生产系统之间的资源配置问题。具体地，本章探究了各个部门在基于非利己主义原则的资源配置过程中所能实现的利己效果。随后，结合“己他两利”原则和非合作博弈理论，得到了各个部门在资源配置过程中的资源分配区间。并在该区间内，通过构建一个多目标规划模型来最大化所有部门的最小综合损益值，从而得到一组合理的公共资源配置方案。 最后，在集中决策情境下研究了两阶段生产系统之间的资源配置问题。具体地，本章立足于资源配置过程中两阶段生产系统的相互评价，并探究了生产系统的交叉效率与两个部门的交叉效率之间的关系。随后，本文提出了一种帕累托改进条件。并在此基础上，通过构建一个帕累托最优的两阶段交叉效率模型以使整体效率达到最大，从而使得所有生产系统的帕累托最优交叉效率分数在最优的资源配置方案下均为1。 本文从不同问题情境和视角研究了两阶段生产系统的资源配置问题，并在以下几个方面进行了创新：首先，提出了一种中间资源配置方法，通过使系统内部两个部门最小程度地调整他们各自的最优中间产物来消除系统内部资源的潜在冲突问题。其次，建立了合作模型来解决因潜在冲突所造成的中间资源浪费问题，并探究了本文模型与非合作模型以及与传统集中式模型之间的关系。再次，提出了一种“己他两利”原则，并从部门的个体视角出发探究两阶段系统之间的资源配置问题。最后，利用交叉评价的优势，建立了一种帕累托最优的两阶段交叉效率模型，并在集中决策情境下研究两阶段系统之间的资源配置问题。 基于本文研究结论，结合文中的实际制造业企业的应用研究，得到的管理启示可总结如下：针对制造业企业内部的中间资源冲突及优化配置问题，在优化企业内部各部门的生产过程时，需要增强上下游部门之间的协同性与合作性，并且协同优化各部门效率要比直接优化整个制造企业效率的效果好。针对制造业企业之间的公共资源配置问题，需要制定统一且合理的评价标准体系来客观评价制造业企业当前的产业规模和绩效水平，明确阻滞制造业发展的影响因素，并以此为依据来合理分配公共资源，通过优化资源配置来实现制造业整体最优。
英文摘要：	As manufacturing industry is the pillar industry of national economy, improving its efficiency is the core engine to promote the long-term stable growth of real economy. Among them, optimizing resource allocation is the key to improving manufacturing efficiency. In order to evaluate the efficiency of manufacturing industry objectively and provide a reasonable resource allocation scheme, Data Envelopment Analysis (DEA) has been widely used. DEA is a data-driven and non-parametric performance measurement method that provides targets for inefficient decision units to become efficient in future production processes. Therefore, based on the internal resources conflict and the resource allocation problem faced by manufacturing enterprises in the production and operation process, this thesis aims to explore the reasonable resource allocation schemes by using DEA method, and to provide improvement measures to promote efficient production in the manufacturing industry. Considering that the actual manufacturing enterprise is composed of multiple departments through the vertical correlation effect, and these departments have individual rights of decision-making in terms of the production process, production technology and production planning. In view of this consideration, it is vitally important to design a fair and reasonable resource allocation scheme that is acceptable to all departments within a manufacturing enterprise. Therefore, it is necessary to take into account the internal structure of a manufacturing enterprise and the decision making of each department within the enterprise. Further, this thesis takes the two-stage production system as the research object, and explores the resource allocation scheme from the perspective of relative efficiency analysis. The main contents are summarized as follows. First, this thesis explores the problem of internal resources conflict within the two-stage production system under the scenario of no difference in departmental dominance. It analyzes the potential conflict of intermediate resources within the production system. Afterwards, the concept of marginal productivity is introduced into the building of the intermediate resources allocation method, and a DEA model based on closest targets and its corresponding algorithm are proposed, so that the two decentralized departments can achieve precise matching between supply and demand of intermediate products by minimally adjusting their respective optimal intermediate products. In the end, the concept of efficiency deviation is introduced to illustrate the advantages of the proposed model over the traditional centralized model. Second, this thesis explores the problem of internal resources conflict within the two-stage production system under the scenario of different degrees of departmental dominance. It coordinates the upstream and downstream departments to jointly determine the target intermediate products based on the concept of relative dominance degree, so as to eliminate the potential conflict of internal resources within the system. In addition, a loss-averse utility function is combined to reveal the utility gains and losses subjectively perceived by each decentralized enterprise insisting on independence instead of cooperation. And this thesis proposes a DEA-based cooperative model with the objective of utility maximization. In the end, the relationship between the proposed model and the non-cooperative model and the relationship between the proposed model and the traditional centralized model are explored by adjusting the relevant parameters. Third, based on the elimination of internal resources conflict within the system, this thesis discusses the resource allocation between the two-stage production systems from the perspective of individual departments. It proposes a new concept called the reciprocity principle, which implies that each department can achieve certain egoistic effects in the altruistic behavior. Then, combining the reciprocity principle and non-cooperative game theory, the allocation interval of each department in the resource allocation process is determined. Based on this, a multi-objective planning model is used to maximize the utilities of all departments in their allocation intervals, and a reasonable resource allocation scheme is determined by balancing these utilities. Fourth, the resource allocation between the two-stage production systems is explored under a centralized decision-making environment. By focusing on the peer appraisal among the two-stage production system, this thesis discusses the relationship between the cross-efficiency of the two-stage system and that of its two internal enterprises. Afterwards, this chapter proposes a Pareto improvement condition. And on the basis, the global efficiency is maximized by proposing a Pareto-optimal two-stage cross-efficiency model, so that the Pareto-optimal cross-efficiency scores of all two-stage systems are 1 under the optimal allocation strategy. This thesis studies the resource allocation problem of two-stage production systems from different problem contexts and perspectives, and it makes innovates in the following aspects: first, it develops an intermediate resources allocation method to eliminate the potential conflict of internal resources by minimally adjusting the optimal intermediate products of the two departments within the system. Further, it develops a cooperative model to address the waste of intermediate resources caused by the potential conflict of internal resources, and explores the relationship between the proposed model and the non-cooperative model as well as the traditional centralized model. Also, it proposes the reciprocity principle to explore the allocation of public resources between two-stage systems from the perspective of individual departments. Lastly, a Pareto-optimal two-stage cross-efficiency model is developed taking advantage of peer appraisal, and the resource allocation between the two-stage production systems is studied under a centralized decision-making environment. Based on the conclusions of the thesis, and combined with the applied research of the actual manufacturing industry in the thesis, the management insights can be summarized as follows. To solve the potential conflict of intermediate resources and the problem of intermediate resources allocation within a manufacturing enterprise, it is necessary to enhance the cooperation between upstream and downstream departments when optimizing the production process, and it is better to optimize the efficiency of each department collaboratively than to optimize the efficiency of the whole manufacturing enterprise directly. To address the problem of common resources allocation among manufacturing enterprises, it is necessary to formulate a unified and reasonable evaluation standard system to objectively evaluate the current industrial scale and performance level of manufacturing enterprises. The factors that hinder the development of manufacturing industry should be clarified and used as the basis to reasonably allocate common resources, so as to achieve the overall optimum of manufacturing industry.
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