A cautionary note on methods of comparing programmatic efficiency between two or more groups of DMUs in data envelopment analysis

In some applications of data envelopment analysis (DEA) there may be doubt as to whether all the DMUs form a single group with a common efficiency distribution. The Mann-Whitney rank statistic has been used to evaluate if two groups of DMUs come from a common efficiency distribution under the assumption of them sharing a common frontier and to test if the two groups have a common frontier. These procedures have subsequently been extended using the Kruskal-Wallis rank statistic to consider more than two groups. This technical note identifies problems with the second of these applications of both the Mann-Whitney and Kruskal-Wallis rank statistics. It also considers possible alternative methods of testing if groups have a common frontier, and the difficulties of disaggregating managerial and programmatic efficiency within a non-parametric framework. © 2007 Springer Science+Business Media, LLC.

Programmatic efficiency comparisons between unequally sized groups of DMUs in DEA

Data envelopment analysis (DEA) is a popular non-parametric technique for determining the efficiency of a homogeneous set of decision-making units (DMUs). In many practical cases, there is some doubt if the all the DMUs form a single group with a common efficiency distribution. The Mann-Whitney rank statistic has been used in DEA both to test if two groups of DMUs come from a common efficiency distribution and also to test if the two groups have a common frontier, each of which are likely to have important but different policy implications for the management of the groups. In this paper it is demonstrated that where the Mann-Whitney rank statistic is used for the second of these it is likely to overestimate programmatic inefficiency, particularly of the smaller group. A new non-parametric statistic is proposed for the case of comparing the efficient frontiers of two groups, which overcomes the problems we identify in the use of the Mann-Whitney rank statistic for this purpose. © 2005 Operational Research Society Ltd. All rights reserved.

Optimal allocation of water in village irrigation systems of Sri Lanka

This PhD study examines whether water allocation becomes more productive when it is re-allocated from 'low' to 'high' efficient alternative uses in village irrigation systems (VISs) in Sri Lanka. Reservoir-based agriculture is a collective farming economic activity, which inter-sectoral allocation of water is assumed to be inefficient due to market imperfections and weak user rights. Furthermore, the available literature shows that a „head-tail syndrome. is the most common issue for intra-sectoral water management in „irrigation. agriculture. This research analyses the issue of water allocation by using primary data collected from two surveys of 460 rice farmers and 325 fish farming groups in two administrative districts in Sri Lanka. Technical efficiency estimates are undertaken for both rice farming and culture-based fisheries (CBF) production. The equi-marginal principle is applied for inter and intra-sectoral allocation of water. Welfare benefits of water re-allocation are measured through consumer surplus estimation. Based on these analyses, the overall findings of the thesis can be summarised as follows. The estimated mean technical efficiency (MTE) for rice farming is 73%. For CBF production, the estimated MTE is 33%. The technical efficiency distribution is skewed to the left for rice farming, while it skewed to the right for CBF production. The results show that technical efficiency of rice farming can be improved by formalising transferability of land ownership and, therefore, water user rights by enhancing the institutional capacity of Farmer Organisations (FOs). Other effective tools for improving technical efficiency of CBF production are strengthening group stability of CBF farmers, improving the accessibility of official consultation, and attracting independent investments. Inter-sectoral optimal allocation shows that the estimated inefficient volume of water in rice farming, which can be re-allocated for CBF production, is 32%. With the application of successive policy instruments (e.g., a community transferable quota system and promoting CBF activities), there is potential for a threefold increase in marginal value product (MVP) of total reservoir water in VISs. The existing intra-sectoral inefficient volume of water use in tail-end fields and head-end fields can potentially be removed by reducing water use by 10% and 23% respectively and re-allocating this to middle fields. This re-allocation may enable a twofold increase in MVP of water used in rice farming without reducing the existing rice output, but will require developing irrigation practices to facilitate this re-allocation. Finally, the total productivity of reservoir water can be increased by responsible village level institutions and primary level stakeholders (i.e., co-management) sharing responsibility of water management, while allowing market forces to guide the efficient re-allocation decisions. This PhD has demonstrated that instead of farmers allocating water between uses haphazardly, they can now base their decisions on efficient water use with a view to increasing water productivity. Such an approach, no doubt will enhance farmer incomes and community welfare.

Input Aggregation in Models of Data Envelopment Analysis: A Statistical Test with an Application to Indian Manufacturing

A problem frequently encountered in Data Envelopment Analysis (DEA) is that the total number of inputs and outputs included tend to be too many relative to the sample size. One way to counter this problem is to combine several inputs (or outputs) into (meaningful) aggregate variables reducing thereby the dimension of the input (or output) vector. A direct effect of input aggregation is to reduce the number of constraints. This, in its turn, alters the optimal value of the objective function. In this paper, we show how a statistical test proposed by Banker (1993) may be applied to test the validity of a specific way of aggregating several inputs. An empirical application using data from Indian manufacturing for the year 2002-03 is included as an example of the proposed test.

Análisis y modelización de la dinámica emergente durante el proceso de difusión de información en las redes sociales de internet

Durante la actividad diaria, la sociedad actual interactúa constantemente por medio de dispositivos electrónicos y servicios de telecomunicaciones, tales como el teléfono, correo electrónico, transacciones bancarias o redes sociales de Internet. Sin saberlo, masivamente dejamos rastros de nuestra actividad en las bases de datos de empresas proveedoras de servicios. Estas nuevas fuentes de datos tienen las dimensiones necesarias para que se puedan observar patrones de comportamiento humano a grandes escalas. Como resultado, ha surgido una reciente explosión sin precedentes de estudios de sistemas sociales, dirigidos por el análisis de datos y procesos computacionales. En esta tesis desarrollamos métodos computacionales y matemáticos para analizar sistemas sociales por medio del estudio combinado de datos derivados de la actividad humana y la teoría de redes complejas. Nuestro objetivo es caracterizar y entender los sistemas emergentes de interacciones sociales en los nuevos espacios tecnológicos, tales como la red social Twitter y la telefonía móvil. Analizamos los sistemas por medio de la construcción de redes complejas y series temporales, estudiando su estructura, funcionamiento y evolución en el tiempo. También, investigamos la naturaleza de los patrones observados por medio de los mecanismos que rigen las interacciones entre individuos, así como medimos el impacto de eventos críticos en el comportamiento del sistema. Para ello, hemos propuesto modelos que explican las estructuras globales y la dinámica emergente con que fluye la información en el sistema. Para los estudios de la red social Twitter, hemos basado nuestros análisis en conversaciones puntuales, tales como protestas políticas, grandes acontecimientos o procesos electorales. A partir de los mensajes de las conversaciones, identificamos a los usuarios que participan y construimos redes de interacciones entre los mismos. Específicamente, construimos una red para representar quién recibe los mensajes de quién y otra red para representar quién propaga los mensajes de quién. En general, hemos encontrado que estas estructuras tienen propiedades complejas, tales como crecimiento explosivo y distribuciones de grado libres de escala. En base a la topología de estas redes, hemos indentificado tres tipos de usuarios que determinan el flujo de información según su actividad e influencia. Para medir la influencia de los usuarios en las conversaciones, hemos introducido una nueva medida llamada eficiencia de usuario. La eficiencia se define como el número de retransmisiones obtenidas por mensaje enviado, y mide los efectos que tienen los esfuerzos individuales sobre la reacción colectiva. Hemos observado que la distribución de esta propiedad es ubicua en varias conversaciones de Twitter, sin importar sus dimensiones ni contextos. Con lo cual, sugerimos que existe universalidad en la relación entre esfuerzos individuales y reacciones colectivas en Twitter. Para explicar los factores que determinan la emergencia de la distribución de eficiencia, hemos desarrollado un modelo computacional que simula la propagación de mensajes en la red social de Twitter, basado en el mecanismo de cascadas independientes. Este modelo nos permite medir el efecto que tienen sobre la distribución de eficiencia, tanto la topología de la red social subyacente, como la forma en que los usuarios envían mensajes. Los resultados indican que la emergencia de un grupo selecto de usuarios altamente eficientes depende de la heterogeneidad de la red subyacente y no del comportamiento individual. Por otro lado, hemos desarrollado técnicas para inferir el grado de polarización política en redes sociales. Proponemos una metodología para estimar opiniones en redes sociales y medir el grado de polarización en las opiniones obtenidas. Hemos diseñado un modelo donde estudiamos el efecto que tiene la opinión de un pequeño grupo de usuarios influyentes, llamado élite, sobre las opiniones de la mayoría de usuarios. El modelo da como resultado una distribución de opiniones sobre la cual medimos el grado de polarización. Aplicamos nuestra metodología para medir la polarización en redes de difusión de mensajes, durante una conversación en Twitter de una sociedad políticamente polarizada. Los resultados obtenidos presentan una alta correspondencia con los datos offline. Con este estudio, hemos demostrado que la metodología propuesta es capaz de determinar diferentes grados de polarización dependiendo de la estructura de la red. Finalmente, hemos estudiado el comportamiento humano a partir de datos de telefonía móvil. Por una parte, hemos caracterizado el impacto que tienen desastres naturales, como innundaciones, sobre el comportamiento colectivo. Encontramos que los patrones de comunicación se alteran de forma abrupta en las áreas afectadas por la catástofre. Con lo cual, demostramos que se podría medir el impacto en la región casi en tiempo real y sin necesidad de desplegar esfuerzos en el terreno. Por otra parte, hemos estudiado los patrones de actividad y movilidad humana para caracterizar las interacciones entre regiones de un país en desarrollo. Encontramos que las redes de llamadas y trayectorias humanas tienen estructuras de comunidades asociadas a regiones y centros urbanos. En resumen, hemos mostrado que es posible entender procesos sociales complejos por medio del análisis de datos de actividad humana y la teoría de redes complejas. A lo largo de la tesis, hemos comprobado que fenómenos sociales como la influencia, polarización política o reacción a eventos críticos quedan reflejados en los patrones estructurales y dinámicos que presentan la redes construidas a partir de datos de conversaciones en redes sociales de Internet o telefonía móvil. ABSTRACT During daily routines, we are constantly interacting with electronic devices and telecommunication services. Unconsciously, we are massively leaving traces of our activity in the service providers’ databases. These new data sources have the dimensions required to enable the observation of human behavioral patterns at large scales. As a result, there has been an unprecedented explosion of data-driven social research. In this thesis, we develop computational and mathematical methods to analyze social systems by means of the combined study of human activity data and the theory of complex networks. Our goal is to characterize and understand the emergent systems from human interactions on the new technological spaces, such as the online social network Twitter and mobile phones. We analyze systems by means of the construction of complex networks and temporal series, studying their structure, functioning and temporal evolution. We also investigate on the nature of the observed patterns, by means of the mechanisms that rule the interactions among individuals, as well as on the impact of critical events on the system’s behavior. For this purpose, we have proposed models that explain the global structures and the emergent dynamics of information flow in the system. In the studies of the online social network Twitter, we have based our analysis on specific conversations, such as political protests, important announcements and electoral processes. From the messages related to the conversations, we identify the participant users and build networks of interactions with them. We specifically build one network to represent whoreceives- whose-messages and another to represent who-propagates-whose-messages. In general, we have found that these structures have complex properties, such as explosive growth and scale-free degree distributions. Based on the topological properties of these networks, we have identified three types of user behavior that determine the information flow dynamics due to their influence. In order to measure the users’ influence on the conversations, we have introduced a new measure called user efficiency. It is defined as the number of retransmissions obtained by message posted, and it measures the effects of the individual activity on the collective reacixtions. We have observed that the probability distribution of this property is ubiquitous across several Twitter conversation, regardlessly of their dimension or social context. Therefore, we suggest that there is a universal behavior in the relationship between individual efforts and collective reactions on Twitter. In order to explain the different factors that determine the user efficiency distribution, we have developed a computational model to simulate the diffusion of messages on Twitter, based on the mechanism of independent cascades. This model, allows us to measure the impact on the emergent efficiency distribution of the underlying network topology, as well as the way that users post messages. The results indicate that the emergence of an exclusive group of highly efficient users depends upon the heterogeneity of the underlying network instead of the individual behavior. Moreover, we have also developed techniques to infer the degree of polarization in social networks. We propose a methodology to estimate opinions in social networks and to measure the degree of polarization in the obtained opinions. We have designed a model to study the effects of the opinions of a small group of influential users, called elite, on the opinions of the majority of users. The model results in an opinions distribution to which we measure the degree of polarization. We apply our methodology to measure the polarization on graphs from the messages diffusion process, during a conversation on Twitter from a polarized society. The results are in very good agreement with offline and contextual data. With this study, we have shown that our methodology is capable of detecting several degrees of polarization depending on the structure of the networks. Finally, we have also inferred the human behavior from mobile phones’ data. On the one hand, we have characterized the impact of natural disasters, like flooding, on the collective behavior. We found that the communication patterns are abruptly altered in the areas affected by the catastrophe. Therefore, we demonstrate that we could measure the impact of the disaster on the region, almost in real-time and without needing to deploy further efforts. On the other hand, we have studied human activity and mobility patterns in order to characterize regional interactions on a developing country. We found that the calls and trajectories networks present community structure associated to regional and urban areas. In summary, we have shown that it is possible to understand complex social processes by means of analyzing human activity data and the theory of complex networks. Along the thesis, we have demonstrated that social phenomena, like influence, polarization and reaction to critical events, are reflected in the structural and dynamical patterns of the networks constructed from data regarding conversations on online social networks and mobile phones.

ESSAYS IN ENERGY, ENVIRONMENT AND TECHNOLOGICAL CHANGE

This dissertation studies technological change in the context of energy and environmental economics. Technology plays a key role in reducing greenhouse gas emissions from the transportation sector. Chapter 1 estimates a structural model of the car industry that allows for endogenous product characteristics to investigate how gasoline taxes, R&D subsidies and competition affect fuel efficiency and vehicle prices in the medium-run, both through car-makers' decisions to adopt technologies and through their investments in knowledge capital. I use technology adoption and automotive patents data for 1986-2006 to estimate this model. I show that 92% of fuel efficiency improvements between 1986 and 2006 were driven by technology adoption, while the role of knowledge capital is largely to reduce the marginal production costs of fuel-efficient cars. A counterfactual predicts that an additional $1/gallon gasoline tax in 2006 would have increased the technology adoption rate, and raised average fuel efficiency by 0.47 miles/gallon, twice the annual fuel efficiency improvement in 2003-2006. An R&D subsidy that would reduce the marginal cost of knowledge capital by 25% in 2006 would have raised investment in knowledge capital. This subsidy would have raised fuel efficiency only by 0.06 miles/gallon in 2006, but would have increased variable profits by $2.3 billion over all firms that year. Passenger vehicle fuel economy standards in the United States will require substantial improvements in new vehicle fuel economy over the next decade. Economic theory suggests that vehicle manufacturers adopt greater fuel-saving technologies for vehicles with larger market size. Chapter 2 documents a strong connection between market size, measured by sales, and technology adoption. Using variation consumer demographics and purchasing pattern to account for the endogeneity of market size, we find that a 10 percent increase in market size raises vehicle fuel efficiency by 0.3 percent, as compared to a mean improvement of 1.4 percent per year over 1997-2013. Historically, fuel price and demographic-driven market size changes have had large effects on technology adoption. Furthermore, fuel taxes would induce firms to adopt fuel-saving technologies on their most efficient cars, thereby polarizing the fuel efficiency distribution of the new vehicle fleet.

On the efficiency of an alternative codification for multiobjective service restoration in electric distribution networks

This paper proposes an alternative codification to solve the service restoration in electric power distribution networks using a SPEA2 multiobjective evolutionary algorithm, assuming the minimization of both the load not supplied and the number of switching operations involved in the restoration plan. Constrains as the line, power source and voltage drop limits in order to avoid the activation of protective devices are all included in the proposed algorithm. Experimental results have shown the convenience on considering these new representations in the sense of feasibility maintenance and also in the sense of better approximation to the Pareto set. ©2009 IEEE.

Volt-VAR multiobjective optimization to peak-load relief and energy efficiency in distribution networks

Fundação de Amparo à Pesquisa do Estado de São Paulo (FAPESP)

Distribution and Efficiency of Bacteriolysis in the Gut of Arenicola Marina and Three Additional Deposit Feeders

A simple technique was developed to measure the bacteriolytic activities of the digestive fluids of the deposit-feeding polychaete Arenicola marina. Lysis of a cultured environmental isolate, incubated with extracts of gut luminal contents, was monitored spectrophotometrically. Concurrent direct counts were used to verify cell lysis. The ability of extracts from 8 longitudinal sections of the gut to lyse the bacterium was monitored. The digestive ceca, anterior stomach, and posterior stomach regions exhibited high lytic activities, whereas bacteriolytic activities in all other regions of the gut were negligible. Similarly, extracts of surface sediments and fecal castings showed negligible lytic capabilities. The sharply limited distribution of lytic activity implicates the ceca as the source of bacteriolytic agent and suggests a true plug-flow system, with little axial mixing. Questions regarding the fate of lytic agents, which disappear abruptly posterior to the stomach, remain unanswered. Localization of lysis in the gut coupled with estimates of gut residence time permit the calculation that ingested bacteria are exposed to strong lytic activity for approximately 20 min. Incubation of in situ sediment samples with gut fluids corroborates the distributional findings of the in vitro work although the efficiency of lysis is much reduced, possibly due to exopolymer capsules and slimes of natural sedimentary bacteria. Cross-phyletic comparisons of bacteriolytic activities reveal both qualitative and quantitative differences. Much less demarcation of lytic activity is observed in the guts of a holothuroid (Caudina arenata) and a hemichordate (Stereobalanus canadensis), with a pattern more similar to that of A. marina observed in another polychaete, Amphitrite johnstoni. Quantitatively, the polychaetes showed higher levels of activity with rates in A. marina exceeding those of the hemichordate and holothuroid by more than 10-fold.

On the efficiency of a dedicated LMA for multicast traffic distribution in PMIPv6 domains

IP multicast allows the efficient support of group communication services by reducing the number of IP flows needed for such communication. The increasing generalization in the use of multicast has also triggered the need for supporting IP multicast in mobile environments. Proxy Mobile IPv6 (PMIPv6) is a network-based mobility management solution, where the functionality to support the terminal movement resides in the network. Recently, a baseline solution has been adopted for multicast support in PMIPv6. Such base solution has inefficiencies in multicast routing because it may require multiple copies of a single stream to be received by the same access gateway. Nevertheless, there is an alternative solution to support multicast in PMIPv6 that avoids this issue. This paper evaluates by simulation the scalability of both solutions under realistic conditions, and provides an analysis of the sensitivity of the two proposals against a number of parameters.

Leaf Gas Exchange and Nutrient Use Efficiency Help Explain the Distribution of Two Neotropical Mangroves under Contrasting Flooding and Salinity

Rhizophora mangle and Laguncularia racemosa cooccur along many intertidal floodplains in the Neotropics. Their patterns of dominance shift along various gradients, coincident with salinity, soil fertility, and tidal flooding. We used leaf gas exchange metrics to investigate the strategies of these two species in mixed culture to simulate competition under different salinity concentrations and hydroperiods. Semidiurnal tidal and permanent flooding hydroperiods at two constant salinity regimes (10 g L−1 and 40 g L−1) were simulated over 10 months. Assimilation ( ), stomatal conductance ( ), intercellular CO2 concentration ( ), instantaneous photosynthetic water use efficiency (PWUE), and photosynthetic nitrogen use efficiency (PNUE) were determined at the leaf level for both species over two time periods. Rhizophora mangle had significantly higher PWUE than did L. racemosa seedlings at low salinities; however, L. racemosa had higher PNUE and and, accordingly, had greater intercellular CO2 (calculated) during measurements. Both species maintained similar capacities for A at 10 and 40 g L−1 salinity and during both permanent and tidal hydroperiod treatments. Hydroperiod alone had no detectable effect on leaf gas exchange. However, PWUE increased and PNUE decreased for both species at 40 g L−1 salinity compared to 10 g L−1. At 40 g L−1 salinity, PNUE was higher for L. racemosa than R. mangle with tidal flooding. These treatments indicated that salinity influences gas exchange efficiency, might affect how gases are apportioned intercellularly, and accentuates different strategies for distributing leaf nitrogen to photosynthesis for these two species while growing competitively.