基于改进DEA模型的油田企业效率研究
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摘要
运用一定的数学模型,测算油田企业的效率,并提出指导改进意见,对我国油田企业的生存与发展有着重要的意义,同时也影响着我国整体经济的健康运行。模型的选择直接影响着企业效率测算的准确性。油田企业是一个复杂系统,先验信息少,因而使用DEA模型对油田企业进行效率测量,保证了结果的客观性和指导改进的准确性。传统的DEA模型没有考虑到客观因素的限制和环境因素的影响,本文通过对若干传统DEA模型的改进和综合应用,设计了一个适合于油田企业进行评价和指导改进的体系,为油田企业的效率评价和指导工作提供了一种解决方案,提高了油田企业进行效率评价的可行性。本文的主要工作和研究内容如下:
1.首先阐述了本文选题背景和研究意义,然后对几种评价企业效率的测算方法进行了对比,指出DEA方法的适用性。简要回顾了DEA方法的理论和应用研究现状,提出存在的一些问题。最后,详细阐明了本文的研究思路及结构安排。
2.详细阐述了数据包络分析相关的基本概念,包括决策单元、生产可能集、生产前沿面的概念,生产率与效率的区别,效率的组成与效率拆分,技术效率和规模效率的概念和意义以及投入导向和产出导向的选择。然后,又阐述了DEA模型的基本假设和CCR、BCC、NIRS三个基本模型,并给出了算例。
3.系统的研究了在使用基本模型进行评价过程中存在的问题,如超效率模型标准不一致性和不可行性,评价模型的单一性等,并给出了相应的解决方案和算例。然后又系统研究了在传统投影改进过程中存在非意愿变量的问题,并提出解决方法。最后研究了外部环境因素的影响,指出如何针对环境因素对模型进行调整。为建立对油田企业进行评价和指导改进的体系打下了理论基础。
4.首先对中国某石油公司及其下属各油田企业进行了简要介绍,然后将前文研究的理论基础和油田企业的实际相结合,提出了基于改进DEA模型的评价及指导改进体系。然后使用该体系对该公司下属各油田企业进行了详细的实证研究,得到了有效性综合评价的结果和投影改进的数据。
5.在前面实证研究的基础上,指出了油田企业日常经营管理中存在的问题,提出了政策建议。
6.最后,总结了本文的研究工作及研究成果,并在此基础上对未来的研究目标和工作安排进行了展望。
There are very important meanings for survival and development of oil field company to calculate the relative effectiveness base on certain mathematical model and give some opinions of improvement while it also matters the running of entire economics of our country.The choice of model directly affect the accuracy of efficiency.The oil field is a complex system without a lot of imformation.In order of keeping accuracy, we use DEA model to calculate the efficiency.But the traditional DEA model fail to recognize the limit of object and environment factor,so the paper design a more suitable system of changing traditional DEA model and integrated application for oil field company.It offers a solution for calculating the relative effectiveness and improvement of oil field company, and improves the feasibility of evaluate the efficiency of oil field companies.The following is the main work of this paper:
1. First, it describes the background and meaning of this paper.Then it compares some methods of evaluating the efficiency of companies and figure out the fittness of DEA model.It briefly describes the theory and application of DEA model now and point out some problem.At last, it elaborated the idea and the structural arrangements of this study.
2. It detailed data envelopment analysis and its relative concepts, including decision making unit, production possibility set, the concept of the production frontier, the difference between productivity and efficiency, separation of efficiency, technical efficiency and scale efficiency concept and the significance of input-oriented and output-oriented choice. Then, it expounds the basic DEA model assumptions and CCR, BCC, NIRS three basic models, and gives some examples.
3. It systemicly study the problem of the basic model used to evaluate in the process, such as inconsistency of standard and non-feasibility of super-efficiency model, the oneness of model and the corresponding solutions and examples. Then it systemicly describe the problems in the traditional projection of non-variable and give some propose solutions. Finally, it research on the impact of external environmental factors, and point out how to adjust against environmental factors . For the establishment of the system for oil companies to evaluate and guide the improvement, it laid a theoretical foundation.
4. First it introduced the information of a Chinese petrol company and oil field company.And then it combined the theory and practice of oil field, create a system of evaluting and improving base on several improved DEA models.Then it study the oil field companies in detail and gives the result of efficiency and the opinions for improvement.
5. It points out the problem of daily management and gives some advice.
6. At last, it summizes the work and gain of this paper, and point out the future study of this topic.
1.首先阐述了本文选题背景和研究意义,然后对几种评价企业效率的测算方法进行了对比,指出DEA方法的适用性。简要回顾了DEA方法的理论和应用研究现状,提出存在的一些问题。最后,详细阐明了本文的研究思路及结构安排。
2.详细阐述了数据包络分析相关的基本概念,包括决策单元、生产可能集、生产前沿面的概念,生产率与效率的区别,效率的组成与效率拆分,技术效率和规模效率的概念和意义以及投入导向和产出导向的选择。然后,又阐述了DEA模型的基本假设和CCR、BCC、NIRS三个基本模型,并给出了算例。
3.系统的研究了在使用基本模型进行评价过程中存在的问题,如超效率模型标准不一致性和不可行性,评价模型的单一性等,并给出了相应的解决方案和算例。然后又系统研究了在传统投影改进过程中存在非意愿变量的问题,并提出解决方法。最后研究了外部环境因素的影响,指出如何针对环境因素对模型进行调整。为建立对油田企业进行评价和指导改进的体系打下了理论基础。
4.首先对中国某石油公司及其下属各油田企业进行了简要介绍,然后将前文研究的理论基础和油田企业的实际相结合,提出了基于改进DEA模型的评价及指导改进体系。然后使用该体系对该公司下属各油田企业进行了详细的实证研究,得到了有效性综合评价的结果和投影改进的数据。
5.在前面实证研究的基础上,指出了油田企业日常经营管理中存在的问题,提出了政策建议。
6.最后,总结了本文的研究工作及研究成果,并在此基础上对未来的研究目标和工作安排进行了展望。
There are very important meanings for survival and development of oil field company to calculate the relative effectiveness base on certain mathematical model and give some opinions of improvement while it also matters the running of entire economics of our country.The choice of model directly affect the accuracy of efficiency.The oil field is a complex system without a lot of imformation.In order of keeping accuracy, we use DEA model to calculate the efficiency.But the traditional DEA model fail to recognize the limit of object and environment factor,so the paper design a more suitable system of changing traditional DEA model and integrated application for oil field company.It offers a solution for calculating the relative effectiveness and improvement of oil field company, and improves the feasibility of evaluate the efficiency of oil field companies.The following is the main work of this paper:
1. First, it describes the background and meaning of this paper.Then it compares some methods of evaluating the efficiency of companies and figure out the fittness of DEA model.It briefly describes the theory and application of DEA model now and point out some problem.At last, it elaborated the idea and the structural arrangements of this study.
2. It detailed data envelopment analysis and its relative concepts, including decision making unit, production possibility set, the concept of the production frontier, the difference between productivity and efficiency, separation of efficiency, technical efficiency and scale efficiency concept and the significance of input-oriented and output-oriented choice. Then, it expounds the basic DEA model assumptions and CCR, BCC, NIRS three basic models, and gives some examples.
3. It systemicly study the problem of the basic model used to evaluate in the process, such as inconsistency of standard and non-feasibility of super-efficiency model, the oneness of model and the corresponding solutions and examples. Then it systemicly describe the problems in the traditional projection of non-variable and give some propose solutions. Finally, it research on the impact of external environmental factors, and point out how to adjust against environmental factors . For the establishment of the system for oil companies to evaluate and guide the improvement, it laid a theoretical foundation.
4. First it introduced the information of a Chinese petrol company and oil field company.And then it combined the theory and practice of oil field, create a system of evaluting and improving base on several improved DEA models.Then it study the oil field companies in detail and gives the result of efficiency and the opinions for improvement.
5. It points out the problem of daily management and gives some advice.
6. At last, it summizes the work and gain of this paper, and point out the future study of this topic.
引文
[1]Charnes A.Cooper W, W.Rodes.E, Measuring the Efficiency of Decision Making Units, European Journal of Operations Research, 1978,(2):429~444
[2]Bauer P W, Recent Development in Econometric Estimation of Frontiers, Journal of Economietrics, 1990,(46):39~56
[3]Coelli, T.J and S.Perelman, A Comparison of Parametric and Non-parametric Distance Functions: With Application to European Railways, European Journal of Operational Research, 1999,(117):326~339.
[4]王维嘉,刘中成,中国石油产业结构与绩效研究,沿海企业与科技,2008,(04):94～96
[5]曾卿,赖玉洪,陈岳龙,黔桂石油物探公司的核心竞争力及其维持办法,沿海企业与科技,2005,(6):30～32
[6]孙建召,曾巧明,索洛余值法模型研究及其应用,计算机技术与发展,2006,16(9):139～141
[7]焦玉梅,基于DEA的中石油物探类技术服务公司有效性分析:[硕士学位论文],中国石油大学,2007
[8]杜纲,管理数学基础,天津:天津大学出版社,2007,196～198
[9]Boles, J.N., Efficiency Squared-Efficiency Computation of Efficiency Indexes, Proceedings of the 39th Annual Meeting of the Western Farm Economics Association, 1966:137~142
[10]Banker, R.D.,A.Charnes and W.W.Cooper, SomeModels for Estimating Technical and Scale Inefficiencies in Data Envelopment Analysis, Management Science, 1984, (30):1078~1092
[11]Cooper, W.W., R.G. Thompson and R.M. Thrall, Introduction:extensions and new developments in DEA, Annals of Operations Research, 1996,(66):3~45
[12]Fare, R., S.Grosskopf and J.Logan, The Relative Performance of Publicly-Owned and Privately-Owned Eletric Utilities, Journal of Public Economics, 1985,(26):89~106
[13]Fare, R.S. Grosskopf and C.A.K. Lovell, The Measurement of Efficiency of Production, Boston:Kluwer Academic Publishers, 1994
[14]Thrall, R.M., Duality Classification and Slacks in DEA, Annals of Operations Research, 1996,(66):109~138
[15]Ali, A.I. and L.M. Seiford, The Mathematical Programming Approach to Efficiency Analysis, New York:Oxford University Press, 1993:120-159
[16]Zhu, J., Data envelopment analysis with preference structure, Journal of Operational Research Society, 1996,(47):136~150
[17]王惊涛,郝春晖,数据包络分析(DEA)理论综述及展望,科技情报开发与经济,2009(19),19:127～129
[18]马立杰,DEA理论及应用研究:[博士学位论文],山东大学,2007:22～24
[19]吴育华,杜纲,管理科学基础,天津:天津大学出版社,2006,231~232
[20]Coelli, T.J. and S.Perelman, Technical Efficiency of European Railways: A Distance Function Approach, Applied Economics, 2000,(32):1967~1976
[21]杜纲,管理数学基础,天津:天津大学出版社,2007,235～236
[22]Seiford, L.M. and R.M. Thrall, Recent developments in DEA:the mathematical programming approach to frontier analysis, Journal of Econometrics, 1990,(46):7~38
[23]Timothy J.Coelli, D.S.Prasade Rao and George E.Battese, An Introduction to Efficiency and Productivity Analysis, Springer Science Media Inc., 2005, 173~175
[24]张经文,浦春玲,凌长青,基于DEA的风力发电场管理效率评价,长江大学学报,2008(5),4:149～152
[25]Andersen, P. and N.C. Petersen, A procedure for ranking efficient units in data envelopment analysis, Management Science, 1993,(39):1261~1264
[26]David R.Anderson, Dennis J. Sweeney and Thomas A. Williams, Staistics for Business and Economics 9th, Cengage Learning, 2005
[27]Banker, R.D. and R.C. Morey, Efficiency analysis for exogenously fixed inputs and outpus, Operations Research, 1986,(34):513~521
[28]Charnes, A., W.W. Cooper and E. Rhodes, Evaluating Program and Managerial Efficiency: An Application of Data Envelopment Analysis to Program Follow Through, Management Science, 1981,(27):668~697
[29]姚晋兰,毛定祥,基于DEA-Tobit两步法的股份制商业银行效率评价与分析,2009(8):437～439
[30]胡锐,Tobit模型的产生与发展,统计与咨询,2007(1):73
[31]盛昭瀚,朱乔,吴广谋,DEA理论、方法与应用,北京:科学出版社,1996
[32]罗鑫,基于数据包络分析(DEA)法定TH油田经济效益评价研究:[硕士学位论文],中国石油大学,2007
[33]Pastor J.T, Ruiz J.L. and Sirvent I., A statistical test for dectecting influential observations in DEA, European Journal of Operational Research, 115,(3):542~554
[34] Dannodar N, Gujarati,计量经济学,北京:中国人民大学出版社,1996:713~723出版社,2004
[35]邓菲,卢文忠,湖北省能源消费与经济增长关系的协整分析,2006(8),1:101～104
[36]国家统计局城市社会经济调查司,中国城市统计年鉴2003,北京:中国统计
[2]Bauer P W, Recent Development in Econometric Estimation of Frontiers, Journal of Economietrics, 1990,(46):39~56
[3]Coelli, T.J and S.Perelman, A Comparison of Parametric and Non-parametric Distance Functions: With Application to European Railways, European Journal of Operational Research, 1999,(117):326~339.
[4]王维嘉,刘中成,中国石油产业结构与绩效研究,沿海企业与科技,2008,(04):94～96
[5]曾卿,赖玉洪,陈岳龙,黔桂石油物探公司的核心竞争力及其维持办法,沿海企业与科技,2005,(6):30～32
[6]孙建召,曾巧明,索洛余值法模型研究及其应用,计算机技术与发展,2006,16(9):139～141
[7]焦玉梅,基于DEA的中石油物探类技术服务公司有效性分析:[硕士学位论文],中国石油大学,2007
[8]杜纲,管理数学基础,天津:天津大学出版社,2007,196～198
[9]Boles, J.N., Efficiency Squared-Efficiency Computation of Efficiency Indexes, Proceedings of the 39th Annual Meeting of the Western Farm Economics Association, 1966:137~142
[10]Banker, R.D.,A.Charnes and W.W.Cooper, SomeModels for Estimating Technical and Scale Inefficiencies in Data Envelopment Analysis, Management Science, 1984, (30):1078~1092
[11]Cooper, W.W., R.G. Thompson and R.M. Thrall, Introduction:extensions and new developments in DEA, Annals of Operations Research, 1996,(66):3~45
[12]Fare, R., S.Grosskopf and J.Logan, The Relative Performance of Publicly-Owned and Privately-Owned Eletric Utilities, Journal of Public Economics, 1985,(26):89~106
[13]Fare, R.S. Grosskopf and C.A.K. Lovell, The Measurement of Efficiency of Production, Boston:Kluwer Academic Publishers, 1994
[14]Thrall, R.M., Duality Classification and Slacks in DEA, Annals of Operations Research, 1996,(66):109~138
[15]Ali, A.I. and L.M. Seiford, The Mathematical Programming Approach to Efficiency Analysis, New York:Oxford University Press, 1993:120-159
[16]Zhu, J., Data envelopment analysis with preference structure, Journal of Operational Research Society, 1996,(47):136~150
[17]王惊涛,郝春晖,数据包络分析(DEA)理论综述及展望,科技情报开发与经济,2009(19),19:127～129
[18]马立杰,DEA理论及应用研究:[博士学位论文],山东大学,2007:22～24
[19]吴育华,杜纲,管理科学基础,天津:天津大学出版社,2006,231~232
[20]Coelli, T.J. and S.Perelman, Technical Efficiency of European Railways: A Distance Function Approach, Applied Economics, 2000,(32):1967~1976
[21]杜纲,管理数学基础,天津:天津大学出版社,2007,235～236
[22]Seiford, L.M. and R.M. Thrall, Recent developments in DEA:the mathematical programming approach to frontier analysis, Journal of Econometrics, 1990,(46):7~38
[23]Timothy J.Coelli, D.S.Prasade Rao and George E.Battese, An Introduction to Efficiency and Productivity Analysis, Springer Science Media Inc., 2005, 173~175
[24]张经文,浦春玲,凌长青,基于DEA的风力发电场管理效率评价,长江大学学报,2008(5),4:149～152
[25]Andersen, P. and N.C. Petersen, A procedure for ranking efficient units in data envelopment analysis, Management Science, 1993,(39):1261~1264
[26]David R.Anderson, Dennis J. Sweeney and Thomas A. Williams, Staistics for Business and Economics 9th, Cengage Learning, 2005
[27]Banker, R.D. and R.C. Morey, Efficiency analysis for exogenously fixed inputs and outpus, Operations Research, 1986,(34):513~521
[28]Charnes, A., W.W. Cooper and E. Rhodes, Evaluating Program and Managerial Efficiency: An Application of Data Envelopment Analysis to Program Follow Through, Management Science, 1981,(27):668~697
[29]姚晋兰,毛定祥,基于DEA-Tobit两步法的股份制商业银行效率评价与分析,2009(8):437～439
[30]胡锐,Tobit模型的产生与发展,统计与咨询,2007(1):73
[31]盛昭瀚,朱乔,吴广谋,DEA理论、方法与应用,北京:科学出版社,1996
[32]罗鑫,基于数据包络分析(DEA)法定TH油田经济效益评价研究:[硕士学位论文],中国石油大学,2007
[33]Pastor J.T, Ruiz J.L. and Sirvent I., A statistical test for dectecting influential observations in DEA, European Journal of Operational Research, 115,(3):542~554
[34] Dannodar N, Gujarati,计量经济学,北京:中国人民大学出版社,1996:713~723出版社,2004
[35]邓菲,卢文忠,湖北省能源消费与经济增长关系的协整分析,2006(8),1:101～104
[36]国家统计局城市社会经济调查司,中国城市统计年鉴2003,北京:中国统计