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Author

Yao Chen

Other affiliations: Nanjing Audit University, Beihang University, Merrimack College  ...read more
Bio: Yao Chen is an academic researcher from University of Massachusetts Amherst. The author has contributed to research in topics: Data envelopment analysis & Returns to scale. The author has an hindex of 30, co-authored 87 publications receiving 4189 citations. Previous affiliations of Yao Chen include Nanjing Audit University & Beihang University.


Papers
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Journal ArticleDOI
TL;DR: The current paper develops an additive efficiency decomposition approach wherein the overall efficiency is expressed as a (weighted) sum of the efficiencies of the individual stages and can be applied under both CRS and variable returns to scale (VRS) assumptions.

563 citations

Journal ArticleDOI
TL;DR: An efficiency model is developed that identifies the efficient frontier of a two-stage production process linked by intermediate measures and is used to characterize the indirect impact of IT on firm performance and highlight those firms that can be further analyzed for best practice benchmarking.
Abstract: It has been recognized that the link between information technology (IT) investment and firm performance is indirect due to the effect of mediating and moderating variables. For example, in the banking industry, the IT-value added activity helps to effectively generate funds from the customer in the forms of deposits. Profits then are generated by using deposits as a source of investment funds. Traditional efficiency models, such as data envelopment analysis (DEA), can only measure the efficiency of one specific stage when a two-stage production process is present. We develop an efficiency model that identifies the efficient frontier of a two-stage production process linked by intermediate measures. A set of firms in the banking industry is used to illustrate how the new model can be utilized to (i) characterize the indirect impact of IT on firm performance, (ii) identify the efficient frontier of two principal value-added stages related to IT investment and profit generation, and (iii) highlight those firms that can be further analyzed for best practice benchmarking.

491 citations

Journal ArticleDOI
TL;DR: This study reviews the literature on data envelopment analysis (DEA) applications in sustainability using citation-based approaches and constructs a directional network based on citation relationships among DEA papers published in journals indexed by the Web of Science database from 1996 to March 2016.

235 citations

Journal ArticleDOI
TL;DR: Two models are proposed to evaluate the performance of this type general two-stage network structures where all outputs of the first stage are the only inputs to the second stage, and a non-cooperative model, in which one of the stages is regarded as the leader and the other is the follower.
Abstract: This chapter discusses DEA modeling technique for a two-stage network process where the inputs of the second stage include both the outputs from the first stage and additional inputs to the second stage. Two models are proposed to evaluate the performance of this type two-stage network structures. One is a non-linear centralized model whose global optimal solutions can be estimated using a heuristic search procedure. The other is a non-cooperative model, in which one of the stages is regarded as the leader and the other is the follower. The newly developed models are illustrated with a case of regional R&D of China.

231 citations

Journal ArticleDOI
TL;DR: In this article, a modified variable returns to scale (VRS) model was proposed to evaluate the performance of the countries in Olympic games, where each DMU is viewed as a competitor via non-cooperative game and a multiplier bundle is determined that optimizes the efficiency score for that DMU.
Abstract: A number of studies have used data envelopment analysis (DEA) to evaluate the performance of the countries in Olympic games. While competition exists among the countries in Olympic games/rankings, all these DEA studies do not model competition among peer decision making units (DMUs) or countries. These DEA studies find a set of weights/multipliers that keep the efficiency scores of all DMUs at or below unity. Although cross efficiency goes a further step by providing an efficiency measure in terms of the best multiplier bundle for the unit and all the other DMUs, it is not always unique. This paper presents a new and modified DEA game cross-efficiency model where each DMU is viewed as a competitor via non-cooperative game. For each competing DMU, a multiplier bundle is determined that optimizes the efficiency score for that DMU, with the additional constraint that the resulting score should be at or above that DMU 's estimated best performance. The problem, of course, arises that we will not know this best performance score for the DMU under evaluation until the best performances of all other DMUs are known. To combat this “chicken and egg” phenomenon, an iterative approach leading to the Nash equilibrium is presented. The current paper provides a modified variable returns to scale (VRS) model that yields non-negative cross-efficiency scores. The approach is applied to the last six Summer Olympic Games. Our results may indicate that our game cross-efficiency model implicitly incorporates the relative importance of gold, silver and bronze medals without the need for specifying the exact assurance regions.

221 citations


Cited by
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Journal ArticleDOI
TL;DR: A sketch of some of the major research thrusts in data envelopment analysis (DEA) over the three decades since the appearance of the seminal work of Charnes et al. is provided.

1,390 citations

Journal ArticleDOI
TL;DR: The relational model developed in this paper is more reliable in measuring the efficiencies and consequently is capable of identifying the causes of inefficiency more accurately.

1,112 citations

Book Chapter
01 Jan 2016
TL;DR: In this paper, the authors compare TBL approaches and principles-based approaches to developing such sustainability criteria, concluding that the latter are more appropriate, since they avoid many of the inherent limitations of the triple-bottom-line as a conception of sustainability.
Abstract: Sustainability assessment is being increasingly viewed as an important tool to aid in the shift towards sustainability. However, this is a new and evolving concept and there remain very few examples of effective sustainability assessment processes implemented anywhere in the world. Sustainability assessment is often described as a process by which the implications of an initiative on sustainability are evaluated, where the initiative can be a proposed or existing policy, plan, programme, project, piece of legislation, or a current practice or activity. However, this generic definition covers a broad range of different processes, many of which have been described in the literature as 'sustainability assessment'. This article seeks to provide some clarification by reflecting on the different approaches described in the literature as being forms of sustainability assessment, and evaluating them in terms of their potential contributions to sustainability. Many of these are actually examples of 'integrated assessment', derived from environmental impact assessment (EIA) and strategic environmental assessment (SEA), but which have been extended to incorporate social and economic considerations as well as environmental ones, reflecting a 'triple bottom line' (TBL) approach to sustainability. These integrated assessment processes typically either seek to minimise 'unsustainability', or to achieve TBL objectives. Both aims may, or may not, result in sustainable practice. We present an alternative conception of sustainability assessment, with the more ambitious aim of seeking to determine whether or not an initiative is actually sustainable. We term such processes 'assessment for sustainability'. 'Assessment for sustainability' firstly requires that the concept of sustainability be well-defined. The article compares TBL approaches and principles-based approaches to developing such sustainability criteria, concluding that the latter are more appropriate, since they avoid many of the inherent limitations of the triple-bottom-line as a conception of sustainability.

859 citations

Journal ArticleDOI
TL;DR: This study is the first literature survey that focuses on DEA applications, covering DEA papers published in journals indexed by the Web of Science database from 1978 through August 2010, and suggests that the two-step contextual analysis and network DEA are the recent trends across applications.
Abstract: The literature of data envelopment analysis (DEA) encompasses many surveys, yet all either emphasize methodologies or do not make a distinction between methodological and application papers. This study is the first literature survey that focuses on DEA applications, covering DEA papers published in journals indexed by the Web of Science database from 1978 through August 2010. The results show that on the whole around two-thirds (63.6%) of DEA papers embed empirical data, while the remaining one-third are purely-methodological. Purely-methodological articles dominated the first 20 years of DEA development, but the accumulated number of application-embedded papers caught up to purely-methodological papers in 1999. Among the multifaceted applications, the top-five industries addressed are: banking, health care, agriculture and farm, transportation, and education. The applications that have the highest growth momentum recently are energy and environment as well as finance. In addition to the basic statistics, we uncover the development trajectory in each application area through the main path analysis. An observation from these works suggests that the two-step contextual analysis and network DEA are the recent trends across applications and that the two-step contextual analysis is the prevailing approach.

622 citations

Journal ArticleDOI
TL;DR: In this paper, an alternative environmentally sensitive productivity growth index, which is circular and free from the infeasibility problem, is proposed. But it can also be decomposed into sources of productivity growth, and the suggested index is employed in analyzing 26 OECD countries for the period 1990-2003.
Abstract: This paper introduces an alternative environmentally sensitive productivity growth index, which is circular and free from the infeasibility problem. In doing so, we integrated the concept of the global production possibility set and the directional distance function. Like the conventional Malmquist-Luenberger productivity index, it can also be decomposed into sources of productivity growth. The suggested index is employed in analyzing 26 OECD countries for the period 1990–2003. We also employed the conventional Malmquist-Luenberger productivity index, the global Malmquist productivity index and the conventional Malmquist productivity index for comparative purposes in this empirical investigation.

591 citations