Multiple Criteria Analysis and Expert Evaluation

A methodology for criteria analysis and evaluation of research and financial-economic activity of scientific organizations. The methods of verbal decision analysis, which to operate with qualitative information without converting into a numeric form.

Рубрика Менеджмент и трудовые отношения
Вид статья
Язык английский
Дата добавления 16.01.2018
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Multiple Criteria Analysis and Expert Evaluation of Activity Efficiency of Scientific Organizations This work was supported in part by the Russian Academy of Sciences, Research Programs "Intelligent Information Technologies, Mathematical Modeling, Systems Analysis, and Automation" (projects 207), "Information Technologies and Methods for Complex Systems Analysis" (projects 1. 2), the Russian Foundation for Basic Research (projects 11-07-00230, 11-07-00398), the Russian Foundation for Humanities (project 11-02-00131).

Alexey B. Petrovsky, Gregory V. Royzenson,

Alexander V. Balyshev, Igor P. Tikhonov, Edward N. Yakovlev

Abstract

The paper describes a methodology for multiple criteria analysis and expert evaluation of research and financial-economic activity of scientific organizations. The suggested methodology is based on the original methods of verbal decision analysis, which allow to operate with qualitative information without converting into a numeric form. A system of indicators for the expert assessment of organization activity and the special complex index of organization effectiveness were elaborated. The aggregated scale of the complex index gives the ranked gradations of organization effectiveness taking into account initial indicators. The scale constructed with the algorithms, which are used various methods of verbal decision analysis. The proposed approach was applied to identification of the most effective federal state scientific organizations engaged in basic research.

Keywords: activity effectiveness, scientific organizations, verbal decision analysis, group ordering, multi-attribute objects

1. Introduction

One of the main activity areas of the Expert-Analytical Center, Ministry of Education and Science of the Russian Federation, is the analysis of research and financial-economic activity of federal state scientific organizations. Obviously, the “activity effectiveness of scientific organization” is the complex notion that can be characterized with manifold quantitative and/or qualitative factors of various nature. And required information about divers areas of organization activity can be obtained only with peer review procedures.

The analysis of both domestic and foreign experience in the evaluation of scientific organization efficiency has shown inadequate practical applicability of the offered methods. The majority of the methods requires cumbersome and time-consuming calculations of hundreds of numerical indices and/or weighing factors estimated by many experts. Often such expert information is convoluted in a single index or several indices of efficiency without any explanation. So, in the case of expert information in qualitative form, one needs in new approaches to find the aggregated index of efficiency.

In this paper, we describe a new methodology for multiple criteria analysis and expert evaluation of activity effectiveness of the scientific organizations. The suggested methodology is based on the original methods of group verbal decision analysis (Larichev, 2006), (Petrovsky, 2009), which provide a manipulation of diverse qualitative (verbal) information without its conversation into a numerical form. The techniques were modified taking into account the specifics of the criteria systems developed for expert estimation of research and financial-economic activity of scientific organizations. The proposed approach has been applied in Expert Analytical Center to evaluate the organization efficiency and identify the most effective organizations. This approach allows also to clarify the notion of “activity effectiveness of scientific organization”.

multiple criteria analysis expert evaluation

2. Methodological framework

Most of the known methods for group ordering multi-attribute objects like group Analytic Hierarchy Process (Saaty, 1990), TOPSIS method (Hwang, Yoon, 1981), and others are focused on the well-defined goals where predominantly quantitative information is used. So, such methods are not applicable to qualitative features intrinsic for the ill-defined goals, for instance, estimation of efficiency organizations that carry out fundamental research. The principal obstacles of group ranking and sorting multi-attributed objects are associated with processing a large amount both verbal and numerical data without any additional transformations like averaging, mixing and/or weighing, which may result in ungrounded or irreversible distortions of the original data. Furthermore, it is also very difficult to ground the destination of the criteria weights, especially when several experts are engaged. In the quantitative methods, a convolution of a wide range of the criteria using weighing factors does not allow to recover the initial data on the aggregated criteria, and, thus, no interpretation of the obtained results is actually possible.

To evaluate effectiveness of scientific organization we elaborated a system of qualitative criteria with verbal scales, gradations of which specify various aspects of research and financial-economic activity of the scientific organization. Using these criteria, several experts evaluated activity of the considered scientific organizations. To operate with verbal data and determine the complex index of organization effectiveness we applied the original methodology of verbal decision analysis, which has been developed at the Institute for Systems Analysis of Russian Academy of Science for several years and successfully applied to solve various practical problems.

Verbal decision analysis (Larichev, Olson, 2001), (Larichev, 2006) deals with ill-structured problems described on a professional language. In a verbal decision analysis, fairly complex object properties and decision rules can be described even with a small amount of rating gradations on criteria scales. Numerical coefficients for the importance of criteria and the value of versions are not calculated or applied/ Verbal data are not transformed into a numerical form. Thus, when using only quality measurements, through a set of tuples of multicriteria assessments it is possible to define superiority and equivalence relations of the decision alternatives for their ordinal classification, partial ordering or the best option selection. A decision maker participates actively in specification, analysis and solution of the problem considered. Personal decision maker's judgements are verified and corrected in the course of the problem solution. So, the obtained results can be explained to a decision maker.

Group verbal decision analysis enlarges verbal methodology to group decisions [Petrovsky, 2008]. In group choice problems, preferences of several decision makers can be discordant, whereas objects are described with repeating quantitative and/or qualitative attributes and can be presented as multisets. Methods of group verbal decision analysis do not exclude discordant information and provide a reasonable decision. In general, verbal methods are more “transparent”, slightly subject to measurement errors and less time-consuming for human beings. From the methodological point of view, it is just the verbal decision analysis that is the most suitable for the efficiency assessment of scientific organizations performing basic research.

We consider the expert evaluation of scientific organization efficiency as group sorting multi-attribute objects on a complex criterion. For this purpose, we use the multi-stage technique PAKS (the abbreviation of Russian words: Consistent Aggregation of Classified Situations) that has been modified in accordance with specifics of the criteria of organization activity. At the first stage, the complex criterion is constructed with a reduction of the attribute space dimension that is based on decision maker's preferences. A construction of the criterion scale is considered as the classification problem, where the classified alternatives are combinations of object attributes, and the decision classes are verbal grades of the complex criterion (Petrovsky, Royzenzon, 2008). At the second stage, the criterion grades are composed step by step by using various verbal decision tools such as the tuples stratification technique, ZAPROS and ORCLASS methods. Thus, each object is assigned into some classes correspondent to the grades of complex criterion, which are obtained with different methods (Petrovsky, et al, 20090. At the third stage, all objects, which have been classified by several experts with different techniques, are sorted by ARAMIS method for group ordering multi-attribute objects presented as multisets (Petrovsky, 2010). In ARAMIS (Aggregation and Ranking Alternatives nearby the Multi-attribute Ideal Situations) method, the multi-attribute objects are arranged with respect to closeness to the hypothetically best object A+ or the worst object A - (i. e. the ideal or anti-ideal situations) in the multiset metric space. All objects are ordered by the indices of relative proximity to the best object A+.

The proposed methodology was applied to elaborate decision rules for analysis and evaluation of scientific organizations engaged in basic research, which had been estimated by several experts upon many qualitative criteria.

3. Multiple criteria expertise of scientific organizations

For expert assessment of the efficiency of scientific organizations performing basic research we elaborated the system of 11 criteria, which were combined in two groups related to research activity and financial-economic performance. Each criterion has an ordinal or nominal rating scale with the developed verbal formulations of quality gradations.

The group “Research activity of the organization” includes the criteria: Q11. “Rate of research results in comparison with the level of world's achievements”; Q12. “Received awards and prizes for research results”; Q13. “Qualification of academic staff”; Q14. “Average age of researchers”; Q15. “Average age of scientific equipment”. For instance, the scale of the criterion Q14. “Average age of researchers" is as follows: q141 - the average age of researchers is less than 35 years; q142 - the average age of researchers is 35-45 years.; q143 - the average age of researchers is over 45 years.

The group “Financial and business performance of the organization” includes the criteria: Q21. “Reliability of the organization balance sheet relating to the property complex and the compliance with its constitutional and founding documents”; Q22. “Tendency to change of the general balance indices ”; Q23. ”Solvency and financial stability ratios”; Q24. “Efficiency indices for current capital (business activity), profitability and financial performance (profitability) ”; Q25. ”Performance indicators for non-current capital and investment activity”; Q26. ”Quality of the organization development (business) plan”. For example, the criterion Q23. ”Solvency and financial stability ratios” has the following scale: q231 - the company is solvent and financially stable; q232 - the company is insolvent and financially unstable. The scale of the criterion Q26. ”Quality of the organization development (business) plan” is as follows: q261 - the plan includes all of the verified documents substantiating any progress in financial conditions of the organization; q262 - the plan is not confirmed by the documents justifying the improvement in financial conditions of the organization; q263 - the plan has not been elaborated.

Thus, using a multiset mathematical tools, each object (scientific organization) Ai, i=1,…,n is represented as the following set of repeating attributes:

Ai={kAi (q11) ?q11,…,kAi (q1h1) ?q1h1; …; kAi (qm1) ?qm1,…,kAi (qmhm) ?qmhm}.

Here kA: XZ+={0,1,2,…} is a multiplicity function of multiset, a set X=Q1. Qm consisted of m attribute (criteria) scales Qs={qses}, s=1,…,m. The value kAi (qses) is a number of the attribute qses, which is equal to a number of experts evaluated the object Ai with the criterion estimate qsesQs. The sign ? denotes that there are kAi (qses) copies of attribute qses within the description of object Ai.

Applying the developed methodology, experts of the Expert-Analytical Center carried out a monitoring of some federal state organizations engaged in basic research. After processing the questionnaire data, estimates of organizations given by 3 experts on 11 criteria were represented as the following multisets:

A1 = {2,1,0; 3,0,0; 3,0,0; 1,1,1; 1,2,0; 2,1,0; 3,0,0; 2,1; 3,0; 3,0; 3,0,0};

A2 = {3,0,0; 2,1,0; 2,1,0; 1,2,0; 2,1,0; 3,0,0; 2,1,0; 3,0; 2,1; 2,1; 3,0,0};

A3 = {2,1,0; 2,1,0; 2,1,0; 2,1,0; 3,0,0; 2,1,0; 2,0,1; 3,0; 3,0; 3,0; 2,1,0};

A4 = {2,1,0; 1,2,0; 2,1,0; 1,2,0; 2,1,0; 2,1,0; 2,1,0; 1,2; 3,0; 3,0; 2,1,0};

A5 = {2,1,0; 2,1,0; 3,0,0; 2,1,0; 2,0,1; 2,0,1; 2,1,0; 3,0; 2,1; 3,0; 3,0,0};

A6 = {2,1,0; 1,2,0; 2,1,0; 0,3,0; 1,2,0; 3,0,0; 2,1,0; 3,0; 3,0; 2,1; 2,1,0};

A7 = {2,1,0; 2,1,0; 2,1,0; 2,1,0; 2,1,0; 1,1,1; 2,1,0; 1,2; 2,1; 1,2; 2,0,1};

A8 = {3,0,0; 3,0,0; 2,1,0; 1,1,1; 1,0,2; 3,0,0; 3,0,0; 1,2; 3,0; 3,0; 2,1,0};

A9 = {2,1,0; 2,1,0; 1,1,1; 0,2,1; 0,2,1; 2,0,1; 1,1,1; 1,2; 2,1; 2,1; 1,1,1};

A10= {1,2,0; 1,1,1; 2,0,1; 2,0,1; 2,1,0; 2,0,1; 2,0,1; 2,1; 2,1; 2,1; 2,0,1}.

The hypothetically best and the worst organizations are represented as the following multisets:

A+ = {3,0,0; 3,0,0; 3,0,0; 3,0,0; 3,0,0; 3,0,0; 3,0,0; 3,0; 3,0; 3,0; 3,0,0};

A - = {0,0,3; 0,0,3; 0,0,3; 0,0,3; 0,0,3; 0,0,3; 0,0,3; 0,3; 0,3; 0,3; 0,0,3}.

Every series of numbers above corresponds to the values of multiplicity function of multiset elements, which are the gradations of the criteria scales Q11 - Q15; Q21 - Q26.

In the assumption that all criteria Qs have the equal relative importance, the calculated distances between single organization Ai and the ideal A+ and the anti-ideal A - ones in the multiset metric space, and the indices of relative proximity l (Ai) =d+ (Ai) / [d+ (Ai) +d- (Ai)] of organization Ai to the best organization A+ are as follows:

A1 A2 A3 A4 A5 A6 A7 A8 A9 A10

d+ (Ai) 15 17 14 26 14 25 29 16 37 24;

d- (Ai) 61 60 63 59 60 61 50 55 46 50;

l (Ai) 0, 1970,2210,1820,3060,1890,2910,3670,2250,4460,324.

The final ordering the organizations in accordance with their relative proximity is represented as follows:

A3A5A1A2A8A6A4A10A7A9.

It should be noted that application of various methods for constructing the aggregated complex index of organization efficiency and ranking organizations with various metrics in ARAMIS method can result in some different final orderings. The results obtained in the approbation on a model data base confirmed the effectiveness of the suggested methodology. Thus, we identified organizations with different efficiency rates, which provides better decisions on the point of giving credits or some other supports to the organizations.

4. Conclusion

In this paper, we present a new methodological approach to activity efficiency of scientific organizations. Each organization was estimated by a number of experts on many verbal criteria. While using the PAKS technique based on the verbal decision analysis and theory of multiset metric spaces, ranking of research organizations was set up, and the most effective ones were identified. The proposed approach provides to present, detect and utilize any available information, as well as analyze the obtained results and their specificity in monitoring for the activity of federal state organizations carrying out basic research. Additionally, recommendations on the modification of the criteria system and improvement of peer review procedure to assess the activity of scientific organizations were elaborated. The developed methodology of multicriteria estimation of organizations for their efficiency can be successfully applied in a wide range of fields where activity evaluation is based on ill-structured qualitative information.

References

1. Hwang C.L. and Yoon K. (1981); Multiple Attribute Decision Making - Methods and Applications: A State of the Art Survey; Springer-Verlag, New York.

2. Larichev, O.I. and D.L. Olson (2001); Multiple Criteria Analysis in Strategic Siting Problems; Kluwer Academic Publishers, Boston.

3. Larichev, O.I. (2006); Verbal Decision Analysis; Nauka, Moscow (in Russian).

4. Petrovsky, A.B. (2003); Spaces of Sets and Multisets; Editorial URSS, Moscow (in Russian).

5. Petrovsky, A. (2008); Group Verbal Decision Analysis; Encyclopedia of Decision Making and Decision Support Technologies (ed. by F. Adam, P. Humphreys); Hershey, IGI Global, (pp.418-425).

6. Petrovsky, A.B. and G.V. Royzenson (2008); Sorting multi-attribute objects with a reduction of space dimension; Advances in Decision Technology and Intelligent Information Systems, Vol. IX (ed. by K.J. Engemann, G.E. Lasker); The International Institute for Advanced Studies in Systems Research and Cybernetics, Tecumseh, Canada (pp.46-50).

7. Petrovsky, A.B. (2009); Theory of Decision Making; Academia, Moscow (in Russian).

8. Petrovsky A.B., Royzenson G.V. and Tikhonov I.P. (2009); Hierarchical Aggregation Approach to Building the Integrated Criterion of R&D Project Efficiency; Advances in Decision Technology and Intelligent Information Systems, Vol. X (ed. by K.J. Engemann, G.E. Lasker); The International Institute for Advanced Studies in Systems Research and Cybernetics, Tecumseh, Canada (pp.26-30).

9. Petrovsky A.B. (2010); Method for Group Ordering Multi-attribute Objects; Advances in Decision Technology and Intelligent Information Systems, Vol. XI (ed. by K.J. Engemann, G.E. Lasker); The International Institute for Advanced Studies in Systems Research and Cybernetics,, Tecumseh, Canada (pp.27-31).

10. Saaty, T. (1990); Multicriteria Decision Making: The Analytic Hierarchy Process; RWS Publications, Pittsburgh.

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