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Abstract. In this paper, we discuss the relationship between multi-attribute utility theory and DEA models without explicit inputs (DEA-WEI), including dual models and some theoretical analysis of DEA-WEI models. We then propose generic DEA-WEI models with quadratic utility terms. Finally, we provide illustrative examples to show that DEA-WEI with suitable quadratic utility terms are able to reflect some value judgments that the standard DEA models cannot.

Abstract. This paper develops three DEA performance indicators for the purpose of performance ranking by using the distances to both the efficient frontier and the antiefficient frontier to enhance discrimination power of DEA analysis. The standard DEA models and the Inverted DEA models are used to identify the efficient and anti-efficient frontiers respectively. Important issues like possible intersections of the two frontiers are discussed. Empirical studies show that these indicators indeed have much more discrimination power than that of standard DEA models, and produce consistent ranks.

Since the ecological protection and high-quality development of the Yellow River Basin (YRB) in China have become a primary national strategy, the low-carbon economy is crucial. To formulate effective emission mitigation policies for the YRB, we need to comprehensively understand the characteristics of the spatial agglomeration of the carbon emissions intensity in the YRB and its regional heterogeneity. Therefore, based on the relevant data from 2005 to 2017, we first scientifically measure the carbon emissions intensity of 57 cities along the YRB. Then, we analyze the spatial agglomeration characteristics and long-term transfer trends of carbon emission intensity using exploratory spatial data analysis methods and Markov chains. Finally, the Dagum Gini coefficient and the variation coefficient method are used to study the regional differences and differential evolution convergence of the carbon emissions intensity in the YRB. The results show that the carbon emissions intensity of the YRB has dropped significantly with the spatial distribution characteristics “high in the west and low in the east”, and there is a significant spatial autocorrelation phenomenon. In addition, the probability of a shift in urban carbon intensity is low, leading to a “club convergence” and a “Matthew effect” in general and across regions. Inter-regional differences have always been the primary source of spatial differences in carbon emissions intensity in the YRB, and the intra-regional differences in carbon emissions intensity in the lower YRB show a significant convergence phenomenon. The research results may provide a reference for the regional coordinated development of a low-carbon economy in the YRB, and serve to guide the win-win development model of ecological environment protection and economic growth in the YRB.

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