基于大数据分析的港口绩效评价研究
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摘要
基于CNKI和Science Direct数据,研究了1984—2017年期间,国内外港口绩效评价测度对象确定、指标体系构建及评价分析方法开发的研究动态和发展方向。研究表明:绩效评价指标体系包括传统绩效、投入产出和综合绩效等3方面的评价指标体系。传统绩效评价指标体系便于比较评价,但体系复杂;投入产出评价指标体系可以有效地反映投入与产出间的关系,但体系较为简单,缺乏全面性;综合绩效评价指标体系综合了定量指标与定性指标,但体系过于庞大,部分信息难以统计。评价分析方法主要包括前沿分析法、BP神经网络法、仿真模拟法和综合分析法等4大类,其中,前沿分析法中的DEA模型在港口绩效评价中的应用最为普遍,其他3种新兴研究方法是对传统前沿分析法的有效补充和拓展。研究提出发展方向:未来研究应重视企业管理行为、外部制度环境等多因素对于港口绩效的影响;应注重指标体系与测度对象间的内在联系以及指标体系中各指标间的相互关系;还需进一步开发综合定性与定量且现实操作性强的研究方法。
Based on the literature from databases of CNKI and Science Direct,the research trends and development directions of port performance measurement including measurement objects,index system components and evaluation analysis methods at home and abroad during 1984—2017 were reviewed. The research results show that the performance evaluation index system includes traditional performance evaluation index system,input-output evaluation index system and comprehensive performance evaluation index system. The traditional performance evaluation index system is easy to compare and evaluate,but the system is complex; the input-output index system can effectively reflect the relationship between input and output,but the system is relatively simple and lacks comprehensiveness; the comprehensive performance evaluation index system integrates quantitative and qualitative indicators,but the system is too large,and part of the information is difficult to statistics. The evaluation and analysis methods mainly include frontier analysis method,BP neural network method,simulation method and comprehensive analysis method. Among them,DEA model of the frontier analysis method is the most widely used in port performance evaluation. The other three new research methods are the effective supplement and expansion of the traditional frontier analysis method. The research puts forward the direction of development: future research in this field should pay attention to the influence of enterprise management behavior,external institutional environment and other factors on port performance; pay attention to the internal relationship between index system and measurement objects,and the relationship between indicators in the index system; it is also necessary to further develop comprehensive qualitative and quantitative research methods which are practical and operable.
Based on the literature from databases of CNKI and Science Direct,the research trends and development directions of port performance measurement including measurement objects,index system components and evaluation analysis methods at home and abroad during 1984—2017 were reviewed. The research results show that the performance evaluation index system includes traditional performance evaluation index system,input-output evaluation index system and comprehensive performance evaluation index system. The traditional performance evaluation index system is easy to compare and evaluate,but the system is complex; the input-output index system can effectively reflect the relationship between input and output,but the system is relatively simple and lacks comprehensiveness; the comprehensive performance evaluation index system integrates quantitative and qualitative indicators,but the system is too large,and part of the information is difficult to statistics. The evaluation and analysis methods mainly include frontier analysis method,BP neural network method,simulation method and comprehensive analysis method. Among them,DEA model of the frontier analysis method is the most widely used in port performance evaluation. The other three new research methods are the effective supplement and expansion of the traditional frontier analysis method. The research puts forward the direction of development: future research in this field should pay attention to the influence of enterprise management behavior,external institutional environment and other factors on port performance; pay attention to the internal relationship between index system and measurement objects,and the relationship between indicators in the index system; it is also necessary to further develop comprehensive qualitative and quantitative research methods which are practical and operable.
引文
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[9]匡海波.中国港口效率测度研究[D].大连:大连理工大学,2007.KUANG Haibo. Research on Chinese Ports Efficiency Measurement[D]. Dalian:Dalian University of Technology,2007.
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[13] TALLEY W K. Port performance:An economics perspective[J].Research in Transportation Economics,2006,17(1):499-516.
[14]BROOKS M R. Issues in measuring port devolution program performance:A managerial perspective[J]. Research in Transportation Economics,2006,17(1):599-629.
[15] BICHOU K. Review of port performance approaches and a supply chain framework to port performance benchmarking[J]. Research in Transportation Economics,2006,17(1):567-598.
[16]邓娟.基于功能演进的港口效率内涵解析及实证研究[J].河北大学学报(哲学社会科学版),2011,36(6):100-105.DENG Juan. Based on the function evolution of port efficiency analysis and empirical study[J]. Journal of Hebei University(Philosophy and Social Science),2011,36(6):100-105.
[17]邓娟.中国港口效率的DEA测度与提升研究[D].杭州:浙江大学,2012.DENG Juan.Research on Measurement Via DEA and Improvement of China's Port Efficiency[D]. Hangzhou:Zhejiang University,2012.
[18]张小蒂,邓娟.中国港口效率测度及提升研究[J].浙江大学学报(人文社会科学版),2013,43(4):39-51.ZHANG Xiaodi,DENG Juan. Study on the efficiency of China's ports and its enhancement[J]. Journal of Zhejiang University(Humanities and Social Sciences),2013,43(4):39-51.
[19]王坚.港口绩效评价指标设计[J].经营与管理,2011(6):82-83.WANG Jian.Design of port performance indicators for the evaluation[J]. Management and Administration,2011(6):82-83.
[20]吴国强,汪原也.港口效率的影响因素及评价指标体系[J].港工技术,2013,50(1):6-8.WU Guoqiang,WANG Yuanye. Influencing factors of port efficiency and evaluating indices system[J]. Port Engineering Technology,2013,50(1):6-8.
[21]陈姿颖. BP神经网络在港口绩效评价中的应用研究[D].北京:北京交通大学,2015.CHEN Ziyin. Application of BP Neural Network in Performance Evaluation of Port[D]. Beijing:Beijing Jiaotong University,2015.
[22]CHIN A T H,LOW J M W. Port performance in Asia:Does production efficiency imply environmental efficiency?[J]. Transportation Research Part D:Transport and Environment,2010,15(8):483-488.
[23] BERGANTINO A S,MUSSO E,PORCELLI F. Port management performance and contextual variables:Which relationship?Methodological and empirical issues[J/OL]. Research in Transportation Business&Management,2013,8:39-49[2018-02-15]. https://www. researchgate. net/publication/259170425_Port_management_performance_and_contextual_variables_Which_relationship_Methodological_and_empirical_issues.
[24]吉阿兵,朱道立.基于极效率DEA模型的港口绩效评价[J].系统工程,2005,23(4):119-122.JI A'bin,ZHU Daoli. Efficiency measurement of ports based on super-efficiency DEA model[J]. System Engineering,2005,23(4):119-122.
[25]寿建敏,徐文霞.港口转型升级下中国沿海港口效率动态变化研究[J].中国发展,2016,16(4):9-13.SHOU Jianmin,XU Wenxia. Research on the dynamic change of efficiency of Chinese coastal ports under transformation and upgrading[J]. China Development,2016,16(4):9-13.
[26] PUIG M,WOOLDRIDGE C,DARBRA R M. Identification and selection of environmental performance indicators for sustainable port development[J]. Marine Pollution Bulletin,2014,81(1):124-130.
[27] HA M H,YANG Zaili. Comparative analysis of port performance indicators:Independency and interdependency[J]. Transportation Research Part A:Policy and Practice,2017,103:264-278.
[28]向坚,刘洪伟.技术创新绩效评价研究综述[J].科技进步与对策,2011,28(6):155-160.XIANG Jian,LIU Hongwei. A review of technology innovation performance evaluation[J]. Science&Technology Progress and Policy,2011,28(6):155-160.
[29]刘晶.考虑非期望产出的我国沿海港口效率评价与分析[D].合肥:中国科学技术大学,2015.LIU Jing. Coastal Ports Efficiency Evaluation and Analysis When Considering Undesirable Outputs[D]. Hefei:University of Science and Technology of China,2015.
[30]艾亚钊,周坤晓.基于SFA法的集装箱港口效率比较研究[J].物流技术,2015,34(3):141-144.AI Yazhao,ZHOU Kunxiao. Study on scale efficiency of container ports based on SFA[J]. Logistics Technology,2015,34(3):141-144.
[31]TONGZON J,HENG W. Port privatization,efficiency and competitiveness:Some empirical evidence from container ports(terminals)[J]. Transportation Research Part A:Policy and Practice,2005,39(5):405-424.
[32]唐沙沙.基于随机前沿模型的中国集装箱港口效率研究[D].重庆:重庆大学,2015.TANG Shasha. Study on Efficiency of Chinese Container Ports Based on Random Frontier Model[D]. Chongqing:Chongqing University,2015.
[33]李多志.河北沿海经济隆起带港口效率评价及发展对策研究[D].西安:长安大学,2012.LI Duozhi. Study on Efficiency of Ports and Development of Measures in Coastal Economic Uplifted Zone in Hebei Province[D]. Xi'an:Chang'an University,2012.
[34]周婷婷.基于数据包络分析的我国主要港口效率研究[D].重庆:重庆交通大学,2015.ZHOU Tingting. Study on Efficiency of Chinese Main Ports Based on Data Envelopment Analysis[D]. Chongqing:Chongqing Jiaotong University,2015.
[35]刘玲玲.基于神经网络的港口效率评价研究[D].大连:大连海事大学,2010.LIU Lingling. Study on Measurement of Port Efficiency Based on Neural Network[D]. Dalian:Dalian Maritime University,2010.
[36]ALMAZ O A,ALTIOK T. Simulation modeling of the vessel traffic in Delaware River:Impact of deepening on port performance[J].Simulation Modelling Practice and Theory,2012,22:146-165.
[37]KAVAKEB S,NGUYEN T T,MCGINLEY K,et al. Green vehicle technology to enhance the performance of a European port:A simulation model with a cost-benefit approach[J]. Transportation Research Part C:Emerging Technologies,2015,60:169-188.
[38] MADEIRA A G,CARDOSO M M,BELDERRAIN M C N,et al. Multicriteria and multivariate analysis for port performance evaluation[J]. International Journal of Production Economics,2012,140(1):450-456.
[2]郑士源.基于投入距离函数法的中国港口效率及生产率分析[J].兰州学刊,2014(6):125-130.ZHENG Shiyuan. Analysis of China's port efficiency and productivity based on input distance function method[J]. Lanzhou Academic Journal,2014(6):125-130.
[3]UNCTAD.Port Performance Indicators[R]. New York:United Nations Conference on Trade and Development,1976.
[4] HA M H,YANG Zaili,NOTTEBOOM T,et al. Revisiting port performance measurement:A hybrid multi-stakeholder framework for the modelling of port performance indicators[J]. Transportation Research Part E,2017,103:1-16.
[5]UMIT S B,CLLAN S C,TREVOR T. Integrated performance measurement systems:A reference model[J]. Organizing the Extended Enterprise,1998:191-202.
[6]HOFFECKER J,GOLDENBERG C. Using the balanced scorecard to develop companywide performance measures[J/OL]. Journal of Cost Management, 1994, 8(3):5-17. https://www.researchgate. net/publication/288285469_Using_the_balanced_scorecard_to_develop_companywide_performance_measures/citations.
[7]周守华.国有企业绩效评价与经营者激励问题研究[D].大连:东北财经大学,2000.ZHOU Shouhua. Study on State-Owned Enterprise Performance Evaluation and Operators'Incentive Mechanism Issues[D]. Dalian:Dongbei University of Finance and Economics,2000.
[8]刘笑霞.政府绩效评价理论框架之构建[D].厦门:厦门大学,2008.LIU Xiaoxia. Framework of Government Performance Evaluation[D]. Xiamen:Xiamen University,2008.
[9]匡海波.中国港口效率测度研究[D].大连:大连理工大学,2007.KUANG Haibo. Research on Chinese Ports Efficiency Measurement[D]. Dalian:Dalian University of Technology,2007.
[10]WILLIAMSON E,DAUNT M. Improving port performance in developing countries:A case study[J/OL]. European Journal of Operational Research,1984,15(2):169-177[2018-02-22]. https://www.researchgate. net/publication/4870975_Improving_port_performance_in_developing_countries--A_case_study.
[11]刘大镕.多指标体系的港口效率评价模型[J].上海海事大学学报,1994,15(2):1-8.LIU Darong. Model of port efficiency measurement based on multiindicator system[J]. Journal of Shanghai Maritime University,1994,15(2):1-8.
[12] TONGZON J L. Determinants of port performance and efficiency[J]. Transportation Research Part A:Policy and Practice,1995,29(3):245-252.
[13] TALLEY W K. Port performance:An economics perspective[J].Research in Transportation Economics,2006,17(1):499-516.
[14]BROOKS M R. Issues in measuring port devolution program performance:A managerial perspective[J]. Research in Transportation Economics,2006,17(1):599-629.
[15] BICHOU K. Review of port performance approaches and a supply chain framework to port performance benchmarking[J]. Research in Transportation Economics,2006,17(1):567-598.
[16]邓娟.基于功能演进的港口效率内涵解析及实证研究[J].河北大学学报(哲学社会科学版),2011,36(6):100-105.DENG Juan. Based on the function evolution of port efficiency analysis and empirical study[J]. Journal of Hebei University(Philosophy and Social Science),2011,36(6):100-105.
[17]邓娟.中国港口效率的DEA测度与提升研究[D].杭州:浙江大学,2012.DENG Juan.Research on Measurement Via DEA and Improvement of China's Port Efficiency[D]. Hangzhou:Zhejiang University,2012.
[18]张小蒂,邓娟.中国港口效率测度及提升研究[J].浙江大学学报(人文社会科学版),2013,43(4):39-51.ZHANG Xiaodi,DENG Juan. Study on the efficiency of China's ports and its enhancement[J]. Journal of Zhejiang University(Humanities and Social Sciences),2013,43(4):39-51.
[19]王坚.港口绩效评价指标设计[J].经营与管理,2011(6):82-83.WANG Jian.Design of port performance indicators for the evaluation[J]. Management and Administration,2011(6):82-83.
[20]吴国强,汪原也.港口效率的影响因素及评价指标体系[J].港工技术,2013,50(1):6-8.WU Guoqiang,WANG Yuanye. Influencing factors of port efficiency and evaluating indices system[J]. Port Engineering Technology,2013,50(1):6-8.
[21]陈姿颖. BP神经网络在港口绩效评价中的应用研究[D].北京:北京交通大学,2015.CHEN Ziyin. Application of BP Neural Network in Performance Evaluation of Port[D]. Beijing:Beijing Jiaotong University,2015.
[22]CHIN A T H,LOW J M W. Port performance in Asia:Does production efficiency imply environmental efficiency?[J]. Transportation Research Part D:Transport and Environment,2010,15(8):483-488.
[23] BERGANTINO A S,MUSSO E,PORCELLI F. Port management performance and contextual variables:Which relationship?Methodological and empirical issues[J/OL]. Research in Transportation Business&Management,2013,8:39-49[2018-02-15]. https://www. researchgate. net/publication/259170425_Port_management_performance_and_contextual_variables_Which_relationship_Methodological_and_empirical_issues.
[24]吉阿兵,朱道立.基于极效率DEA模型的港口绩效评价[J].系统工程,2005,23(4):119-122.JI A'bin,ZHU Daoli. Efficiency measurement of ports based on super-efficiency DEA model[J]. System Engineering,2005,23(4):119-122.
[25]寿建敏,徐文霞.港口转型升级下中国沿海港口效率动态变化研究[J].中国发展,2016,16(4):9-13.SHOU Jianmin,XU Wenxia. Research on the dynamic change of efficiency of Chinese coastal ports under transformation and upgrading[J]. China Development,2016,16(4):9-13.
[26] PUIG M,WOOLDRIDGE C,DARBRA R M. Identification and selection of environmental performance indicators for sustainable port development[J]. Marine Pollution Bulletin,2014,81(1):124-130.
[27] HA M H,YANG Zaili. Comparative analysis of port performance indicators:Independency and interdependency[J]. Transportation Research Part A:Policy and Practice,2017,103:264-278.
[28]向坚,刘洪伟.技术创新绩效评价研究综述[J].科技进步与对策,2011,28(6):155-160.XIANG Jian,LIU Hongwei. A review of technology innovation performance evaluation[J]. Science&Technology Progress and Policy,2011,28(6):155-160.
[29]刘晶.考虑非期望产出的我国沿海港口效率评价与分析[D].合肥:中国科学技术大学,2015.LIU Jing. Coastal Ports Efficiency Evaluation and Analysis When Considering Undesirable Outputs[D]. Hefei:University of Science and Technology of China,2015.
[30]艾亚钊,周坤晓.基于SFA法的集装箱港口效率比较研究[J].物流技术,2015,34(3):141-144.AI Yazhao,ZHOU Kunxiao. Study on scale efficiency of container ports based on SFA[J]. Logistics Technology,2015,34(3):141-144.
[31]TONGZON J,HENG W. Port privatization,efficiency and competitiveness:Some empirical evidence from container ports(terminals)[J]. Transportation Research Part A:Policy and Practice,2005,39(5):405-424.
[32]唐沙沙.基于随机前沿模型的中国集装箱港口效率研究[D].重庆:重庆大学,2015.TANG Shasha. Study on Efficiency of Chinese Container Ports Based on Random Frontier Model[D]. Chongqing:Chongqing University,2015.
[33]李多志.河北沿海经济隆起带港口效率评价及发展对策研究[D].西安:长安大学,2012.LI Duozhi. Study on Efficiency of Ports and Development of Measures in Coastal Economic Uplifted Zone in Hebei Province[D]. Xi'an:Chang'an University,2012.
[34]周婷婷.基于数据包络分析的我国主要港口效率研究[D].重庆:重庆交通大学,2015.ZHOU Tingting. Study on Efficiency of Chinese Main Ports Based on Data Envelopment Analysis[D]. Chongqing:Chongqing Jiaotong University,2015.
[35]刘玲玲.基于神经网络的港口效率评价研究[D].大连:大连海事大学,2010.LIU Lingling. Study on Measurement of Port Efficiency Based on Neural Network[D]. Dalian:Dalian Maritime University,2010.
[36]ALMAZ O A,ALTIOK T. Simulation modeling of the vessel traffic in Delaware River:Impact of deepening on port performance[J].Simulation Modelling Practice and Theory,2012,22:146-165.
[37]KAVAKEB S,NGUYEN T T,MCGINLEY K,et al. Green vehicle technology to enhance the performance of a European port:A simulation model with a cost-benefit approach[J]. Transportation Research Part C:Emerging Technologies,2015,60:169-188.
[38] MADEIRA A G,CARDOSO M M,BELDERRAIN M C N,et al. Multicriteria and multivariate analysis for port performance evaluation[J]. International Journal of Production Economics,2012,140(1):450-456.