公平视角下异质团队与成员效率评价与优化方法研究

In practice, the team and its members generally exhibit heterogeneous characteristics. This program intends to expand the homogeneous assumptions in classical DEA theory, and to explore how to evaluate and optimize the performance of the team and its members in heterogeneous contexts. We summarize and refine typical differences of the units in practice, and build a unified analytical framework incorporating various heterogeneities, such as environmental, processing and structural heterogeneity. We use the characterization of fair allocation, fair process and distributive fairness in the equity theory for reference, and design fair rules adapting to various heterogeneous scenarios. As a result, a bridge is constructed for comparison, analysis and reference among heterogeneous units. By classifying the inner relationships between the efficiency and the utility, the association patterns can be established between DEA efficiency and the utility function. In an attempt to adjust the objective function, LP constraints, environmental and contextual constraints, we will propose several new DEA models focusing on heterogeneity, multi-frontier and behavioral probability and other topics. We also explore the transformation rules and heuristic optimization algorithm to convert non-linear models into linear ones. Expectedly, this program will overcome the deficiencies of traditional DEA theory to some extent and push the innovation and especially breakthrough of the DEA theory. The research results of the program will contribute to the enrichment of Operations Management and Human Resource Management, and are a useful attempt to build an interface between them. The methods proposed also have significant effects on enhancing the adaptability and competitiveness of the enterprises and on implementing high-performance team strategies.

实践中，团队与成员普遍表现出异质特征。项目拟拓展经典DEA理论的同质性假设，探究异质情境下团队与成员效率优化问题。项目归纳并提炼实践情境中团队与成员的典型差异，构建包括环境、过程、结构等异质在内的统一分析架构。借鉴公平理论中配置公平、过程公平和分配公平内涵的不同刻画，设计适应于不同异质情境的公平规则，搭建异质单元之间比较、分析、参照的桥梁。厘清效率与效用的内在联系，建立DEA效率与效用函数的关联模式。通过对目标函数、规划约束、环境及情境约束的合理调整，提出包括异质单元、多前沿面、行为概率等主题在内的DEA 新模型，并探讨非线性模型向线性模型转换的规则与启发式优化算法。这将在一定程度上克服传统DEA的不足，较大的推动DEA理论的创新与突破。相关研究成果将有助于丰富运作管理与人力资源管理理论，为二者间的接合研究提供有益的尝试，对企业实施高绩效团队策略以增强其适应性和竞争力具有较强的指导意义。

项目拟结合运作管理理论，拓展经典DEA理论，探究不同异质情境下团队与成员效率优化问题，进而考虑供应链内部不同成员之间的决策行为对供应链绩效的影响。主要研究：1、不同情境下考虑不同影响因素的团队与成员效率，包括（1）员工互相合作情境下共享成果分配后的工作组和员工的效率评估，（2）基于价值判断和权重约束的效率改进；（3）基于期望和非期望产出的拥堵与效率测度；（4）碳排放的不确定性对能源和CO2排放效率评价的影响；（5）考虑非期望产出的两阶段、多周期动态效率评估；（6）考虑社会比较和公平感知的两阶段效率测度。2、服务平台商业模式下服务供应链绩效与合作机制研究，包括（1）供应链一方占优、讨价还价能力对平台绩效的影响；（2）受平台努力驱动的服务平台绩效及企业与服务平台之间的合作机制。成果发表在Computer &Operations Research，Journal of the Operational Research Society，Annals of Operations Research，Omega和管理科学学报等运筹学领域国内外主流期刊上。其中，Measuring regional efficiency of energy and carbon dioxide emissions in China： A chance constrained DEA approach一文受到学者的广泛关注，为2016-2017年度ESI高被引论文。相关研究应用于中国商业银行、区域能源和经济效率、工业发展和以携程为代表的服务供应链协调与优化的实践中。这在一定程度上丰富运作管理与人力资源管理理论，为二者间的接合研究提供有益的尝试，对企业和供应链实施高绩效团队策略以增强其适应性和竞争力具有较强的指导意义。