Recent Trends in Decision Science and Management: Proceedings of ICDSM 2019 (Advances in Intelligent Systems and Computing, 1142) 9811535876, 9789811535871

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Advances in Intelligent Systems and Computing 1142

Tao-Sheng Wang Andrew W. H. Ip Madjid Tavana Vipul Jain   Editors

Recent Trends in Decision Science and Management Proceedings of ICDSM 2019

Advances in Intelligent Systems and Computing Volume 1142

Series Editor Janusz Kacprzyk, Systems Research Institute, Polish Academy of Sciences, Warsaw, Poland Advisory Editors Nikhil R. Pal, Indian Statistical Institute, Kolkata, India Rafael Bello Perez, Faculty of Mathematics, Physics and Computing, Universidad Central de Las Villas, Santa Clara, Cuba Emilio S. Corchado, University of Salamanca, Salamanca, Spain Hani Hagras, School of Computer Science and Electronic Engineering, University of Essex, Colchester, UK László T. Kóczy, Department of Automation, Széchenyi István University, Gyor, Hungary Vladik Kreinovich, Department of Computer Science, University of Texas at El Paso, El Paso, TX, USA Chin-Teng Lin, Department of Electrical Engineering, National Chiao Tung University, Hsinchu, Taiwan Jie Lu, Faculty of Engineering and Information Technology, University of Technology Sydney, Sydney, NSW, Australia Patricia Melin, Graduate Program of Computer Science, Tijuana Institute of Technology, Tijuana, Mexico Nadia Nedjah, Department of Electronics Engineering, University of Rio de Janeiro, Rio de Janeiro, Brazil Ngoc Thanh Nguyen , Faculty of Computer Science and Management, Wrocław University of Technology, Wrocław, Poland Jun Wang, Department of Mechanical and Automation Engineering, The Chinese University of Hong Kong, Shatin, Hong Kong

The series “Advances in Intelligent Systems and Computing” contains publications on theory, applications, and design methods of Intelligent Systems and Intelligent Computing. Virtually all disciplines such as engineering, natural sciences, computer and information science, ICT, economics, business, e-commerce, environment, healthcare, life science are covered. The list of topics spans all the areas of modern intelligent systems and computing such as: computational intelligence, soft computing including neural networks, fuzzy systems, evolutionary computing and the fusion of these paradigms, social intelligence, ambient intelligence, computational neuroscience, artificial life, virtual worlds and society, cognitive science and systems, Perception and Vision, DNA and immune based systems, self-organizing and adaptive systems, e-Learning and teaching, human-centered and human-centric computing, recommender systems, intelligent control, robotics and mechatronics including human-machine teaming, knowledge-based paradigms, learning paradigms, machine ethics, intelligent data analysis, knowledge management, intelligent agents, intelligent decision making and support, intelligent network security, trust management, interactive entertainment, Web intelligence and multimedia. The publications within “Advances in Intelligent Systems and Computing” are primarily proceedings of important conferences, symposia and congresses. They cover significant recent developments in the field, both of a foundational and applicable character. An important characteristic feature of the series is the short publication time and world-wide distribution. This permits a rapid and broad dissemination of research results. ** Indexing: The books of this series are submitted to ISI Proceedings, EI-Compendex, DBLP, SCOPUS, Google Scholar and Springerlink **

More information about this series at http://www.springer.com/series/11156

Tao-Sheng Wang Andrew W. H. Ip Madjid Tavana Vipul Jain •

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Editors

Recent Trends in Decision Science and Management Proceedings of ICDSM 2019

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Editors Tao-Sheng Wang Department of Applied Economics Hunan International Economics University (International Trade Direction) Changsha, China Madjid Tavana Department of Business Systems and Analytics La Salle University Philadelphia, PA, USA

Andrew W. H. Ip Department of Mechanical Engineering University of Saskatchewan Saskatoon, SK, Canada Vipul Jain Victoria Business School Victoria University of Wellington Wellington, New Zealand

ISSN 2194-5357 ISSN 2194-5365 (electronic) Advances in Intelligent Systems and Computing ISBN 978-981-15-3587-1 ISBN 978-981-15-3588-8 (eBook) https://doi.org/10.1007/978-981-15-3588-8 © Springer Nature Singapore Pte Ltd. 2020 This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, express or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

Editorial

The 2nd International Conference on Decision Science and Management (ICDSM-2019) was organized by the Hunan International Economics University in collaboration with IRNet International Academic Communication Center at Changsha, Hunan, on September 20–21, 2019. ICDSM-2019 has provided a suitable platform for academicians, practitioners, researchers and experts to showcase their work and findings as well as exchange ideas and future directions while sharing their experiences with each other. ICDSM-2019 has focused on recent research trends and advancements in decision science field and its importance in diversified application fields. Decision science integrated with other relevant techniques not only adds values to crucial decisions but also provides new direction to advancement in key technical areas such as adoption of Internet of things, distributed computing, cloud computing and blockchain. It provides significant insights that support managers in various sectors such as human resource developments, resource management, marketing strategies, supply chain management, logistics, business operations and financial markets, thus making it a potential research area. The conference has received a good response with a large number of submissions. The total number of relevant papers accepted for publication has been broadly divided into five major tracks including: (i) social network and decision science; (ii) decision support system; (iii) big data analytics; (iv) computational intelligence and application; and (v) knowledge management and its applications. The first part, social network and decision science, is an interdisciplinary area that involves research works related to the role of decision science in management of social responsibility in social media as well as moderating influence and risks in other e-commerce-based Web sites. The second part involves research works done over decision support system that includes various novel risk assessment and prediction theories and models. Some of the works short-listed include new decision support solutions that provide important insights for various application areas ranging from real estate projects, credit scoring to automobile market, private banking and facial beauty prediction. These insights support managers in making crucial decisions in uncertain and critical situations. v

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The next part is big data analytics that deals with proposals specific to analysis and management in the application areas directly related to generation of big data such as radar signal and data processing; control decision system of rescue team driving data; and managing college student data and intelligent governance. These proposals showcase how things can be managed in big data era. The fourth and fifth parts consist of research works, models and proposals dealing with computational intelligence and knowledge management techniques and their applications. The application areas explored for problem solving are quite diversified, ranging from environmental survival analysis, stock price, vehicle routing problem, energy consumption and carbon dioxide emission, housing supply elasticity in labor market, financial market improvement, MOOC construction, information integration platform in hospital and many more. Adoption of computational intelligence techniques helps in managing knowledge in such diversified sectors and thus adds values to significant decisions required in the execution of various processes of management. This part of the conference has received the maximum attention. ICDSM-2019 has not only encouraged submission of unpublished original articles in the field of decision science and managerial issues but also considered the several cutting-edge applications across organizations and firms while scrutinizing the relevant papers. Prof. Tao-Sheng Wang Dr. Andrew W. H. Ip Prof. Madjid Tavana Dr. Vipul Jain

Acknowledgements

The contributions covered in this proceedings are the outcome of the contributions from more than one hundred researchers. We are thankful to the authors, paper contributors of this volume and the departments which support the event a lot. We are thankful to Editor in Chief of the Springer Book Series on Advances in Intelligent Systems and Computing Prof. Janusz Kacprzyk for his support to bring out the second volume of the conference, i.e., ICDSM-2019. It is noteworthy to mention here that constant support from the editor in chief and the members of the publishing house makes the conference fruitful for the second edition. We would like to extend our heartfelt thanks to Dr. Aninda Bose, Senior Editor of Springer Interdisciplinary Applied Sciences and Computational Intelligence, and his publishing team, for their encouragement and support. We are thankful to Prof. Madjid Tavana, La Salle University, USA, and Dr. Andrew W. H. Ip, University of Saskatchewan, Canada, for their well-researched keynote addresses. We are also thankful to our academic partners: School of Economics and Management, South China Normal University, Guangzhou, China; Scientific Research Office, Hainan University, Hainan, China; Hunan University of Finance and Economics, Changsha, China; School of Electrical and Information Engineering, Hunan University of Technology, Zhuzhou, China; School of College of Ocean Information Engineering, Hainan Tropical Ocean University, Hainan, China; Interscience Research Network (IRNet), India; IRnet International Academic Communication Center, China; Financial Big Data Science and Technology Key Laboratory of Hunan Province, Changsha, China; Hunan Provincial 2011 Collaborative Innovation Center for Development and Utilization of Finance and Economics Big Data Property, Changsha, China; Hunan Province Higher Educational Institutions Key Laboratory “Information Technology and Information Security,” Changsha, China; Key Laboratory for Electric Drive Control and Intelligent Equipment of Hunan Province, China; Guangdong Graphic Image Association, China; Guangdong Massive Biometric Information Processing Engineering Technology Research Center; Jiangmen Computer Federation, China;

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and last but not least Interscience Institute of Management and Technology, Bhubaneswar, India, We look forward to your valued contribution and support to the next editions of the 3rd International Conference on Decision Science and Management (ICDSM-2020), whose venue will be announced shortly. We are sure that the readers shall get immense benefit and knowledge from the fourth volume of the area decision science and management. Prof. Tao-Sheng Wang Dr. Andrew W. H. Ip Prof. Madjid Tavana Dr. Vipul Jain

Contents

Social Network and Decision Science Management of the Social Responsibility of the Legitimate Sports Organizations in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Runzhi Liu, Xinxian Zou, Zhongmin Lv, and Xinjian Li

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Enterprise Social Media and Innovation: The Mediating Effect of Competitor Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Magadlene Mpandare and Guoxin Li

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Management of the Social Responsibility of the Grass-Root Sports Organizations in China: An Examination of Huilongguan Football Association . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Zhongmin Lv and Runzhi Liu

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The Moderating Effect of Risk Perception on the Evaluation of E-commerce Vendors’ Attributes on Online Relationship Quality . . . . Meng Xiangyu and Liu Lili

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Innovation and Practice of “Radar Signal Processing” Course Based on Construction Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Hui-Yong Zeng, Tong Xu, Guo-Ping Hu, and Bin-Feng Zong

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Analysis of the Influence of Fashion Design on Clothing Structure and Garment Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Changmei Chen

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Decision Support System Research on Risk Transfer Model of Real Estate Projects . . . . . . . . . . . Tang Xinfa and Cheng Na Scientific Research Efficiency Evaluation Model Based on DEA and Its Application Analysis—Take Shanghai as an Example . . . . . . . . Tong Niu, Lin Zhang, Bo Zhang, Baoshan Zhang, and Bofan Yang

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Analysis and Preventions on the Financial Risks of Chinese Real Estate Market . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Shaofang Sun

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Investment Risk Assessment and Control Strategy About Countries Along the Belt and Road Based on the TOPSIS Methods . . . . . . . . . . . Huaren Zhou, Gang Wang, Jia Yao, and Xiaoyang Li

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Interpretable Weighted Soft Decision Forest for Credit Scoring . . . . . . Zeyu Zhang, Xinyang Liu, Zijian Gao, and Yanwen Qu Cross-Test Case Design and Suggestions for CBTC System Interconnection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Guangzheng Bai, Lei Gao, Weihua Chen, and Yibo Cui

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Analysis on the Influencing Factors and Countermeasures of Employee Satisfaction in Chain Enterprises—Take an Enterprise as an Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107 Fang Hu L-CNN: An Improved Convolutional Neural Network to Capture Long-Distance Dependencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 Hongguang Sun, Conglei Xu, Yudan Wu, Shuangdai Zou, and Fang Wan Research on Classification Evaluation Standards and Incentive and Constraint Method of Military School Teachers . . . . . . . . . . . . . . . 129 Hui-Yong Zeng, Guo-Ping Hu, Qin Zhang, and Shi-Qiang Wang Mechanism of Decision Making for Legal Risk Prevention and Management in Private Banking . . . . . . . . . . . . . . . . . . . . . . . . . . . 137 Kai Wang and Shujing Wu Analysis on Marketing Strategy of China’s Independent Brand Automobile Market . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 Fan Yang Deep Cascaded Forest-Based Facial Beauty Prediction . . . . . . . . . . . . . 149 Yikui Zhai, Peilun Lv, Wenbo Deng, Qirui Ke, Cuilin Yu, and Junying Gan Study on Financial Risk Early Warning of the Foreign Investment of Chinese Enterprises Against the Context of “The Belt and Road” . . . 155 Jie Chen, Lei Wang, and Manting Li Linear Programming Solution of Figure Combination Problem with Designated Summation and Its Excel Implementation . . . . . . . . . . 163 Meihua Xie and Lixin Deng

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On the Improvement of Green Logistics Efficiency in the Yangtze River Economic Belt of China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169 Mingming Hu and Shu Xu Proceedings Paper Template Parameter Optimization of Vertical Drying System for Corn Ears Based on BP Neural Network . . . . . . . . . 177 Qiang Fei and Lijing Yan Research on the Measurement and Its Influencing Factors of the Technical Complexity of Agricultural Products Export in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185 Yong Bai Research on the Influence of Internal Factors on the Quality of Decision-Making of MNCs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197 Jiangong Wu, Hongyan Jiang, and Yuting Li The Monitoring Analysis of Chinese Enterprise Overseas Investment in “One Belt and One Road” Operational Risk . . . . . . . . . . . . . . . . . . . 209 Jialong Mi and Yijia (Eddie) Zhao Research on Improvement of Community Public Health Service Based on Scientific Decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217 He Wei and Liu Qingqing Big Data Analytics Research on Control Decision System of Rescue Team Driving Based on Big Data Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229 Gang Wang and Huaren Zhou Analysis on the Teaching Implementation of “Radar Signal and Data Processing” Course in Radar Engineering . . . . . . . . . . . . . . . . . . . . . . . 235 Hui-Yong Zeng, Tong Xu, Shi-Qiang Wang, and Bin-Feng Zong Application Research of “Target-Driven Problem Traction” Teaching Method in “Radar Signal and Data Processing” Course . . . . . . . . . . . . 241 Hui-Yong Zeng, Xin Wang, Tong Xu, and Shi-Qiang Wang Research on How to Manage Contemporary College Students Under Big Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247 Huifang Hu Research on the Governance Ability of Intelligent Government in the Era of Big Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253 Sijing Chen Research on the Development of International E-Commerce Under Big Data Landscape—A Case Study in Hunan Province . . . . . . . 261 Ting Liu

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Computational Intelligence and Application Cox Proportional Risk Model and Its Application in Environmental Survival Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271 Zhina Yu, Xiaojing Zhou, Shaoqin Liu, and Xiaoshuang Wang The Influence of Research and Development Investment Expense and Capitalization on Stock Price—Based on the Empirical Research of Chinese Telecommunication Enterprises . . . . . . . . . . . . . . . . . . . . . . 281 Heng Wang Comparative Study and Hybrid Modeling of Vehicle Routing Problem and Job Shop Scheduling Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285 Jufang Li Economic Growth Decouples Energy Consumption and Carbon Dioxide Emission—An Evidence from China . . . . . . . . . . . . . . . . . . . . . 295 Shuiping Li Research on Information-Based Construction of Audit Culture Based on Improved Particle Swarm Optimization Algorithm . . . . . . . . . 303 Wen Long Research on Remote Frequency Scan and Display Device Based on Wireless WIFI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311 Yan Fei Liu, Yi Hui Wang, Peng Yao, and Jie Ling Wang Research on High-Definition and High-Speed Video Transmission Technology Based on Double SDI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319 Hai Feng Zhang, Qing Sheng Xie, Hua Wang, He Bian, and Jia Feng Knowledge Management and Its Applications Effects of Housing Supply Elasticity on Local Labor Markets . . . . . . . . 329 Yihui Zhong Empirical Study on the Influence Factors of the Development of China’s Trade in Producer Services . . . . . . . . . . . . . . . . . . . . . . . . . . 341 Qianying Zhang and Lei Yao The Research on the Impact of “Trade Facilitation” on China’s Textile and Apparel Exports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349 Ying Tian and Lei Yao A Study of College Teaching by Multimodal English Teaching Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359 Jing Zhang and Yong Ma

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Financial Market Improvement, Entrepreneurs’ Technology Choice, and Economic Growth . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369 Daojin Cheng, Liwei Cheng, and Yuanyuan Guo The Feasibility Research on Express/Local Train Plan of Beijing Subway with Passenger Flow Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . 381 Yuliang Zhou, Shenghan Zhou, Bo Wang, Yiyong Xiao, Wenbing Chang, and Fajie Wei Analysis of the Ideas of Ideological and Political Education and Scientific Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 395 Hui-Yong Zeng, Shi-Qiang Wang, and Bin-Feng Zong Application Research of Flexible Management in the Construction of Military School Teachers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 399 Hui-Yong Zeng, Tong Xu, Ji-Liang Cai, and Shi-Qiang Wang The Three “Hands” of the Grassroots Company’s Chief Executives to Improve Their Workability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 407 Dong-Li Tang, Hui-Yong Zeng, and Qin Zhang Design of Photoelectric Detection Circuit Against Background Light Interference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411 Cao Yong, Wang Xiao, Zhou Heng, Zheng Yifan, and Liu Yi The Influences of Expectations and Future Directions . . . . . . . . . . . . . . 419 Pwint Kay Khine, Jianing Mi, and Shahid Raza The Relationship Between Patent Characteristics and Patent Litigation in the Patent Pool of High-Tech Enterprises . . . . . . . . . . . . . 427 Liubin Lai and Yunsheng Zhang Research on the Construction of Teaching Quality Management Team in Applied Undergraduate Colleges . . . . . . . . . . . . . . . . . . . . . . . . . . . . 443 Wang Yan Management and Teaching Practice for In-Depth Interactive Lesson of Digital Signal Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 449 Shiqiang Wang, Caiyun Gao, Qin Zhang, Xin Wang, Huiyong Zeng, and Juan Bai Research on Technology Innovation of ICT Industry in China Based on Patent Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457 Liubin Lai and Yunsheng Zhang Economic Growth and Export Advantages in Hunan Province . . . . . . . 471 Mengqiao Huang and He Huang

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Management and Teaching of Discrete Fourier Transform Using Matrix Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 477 Shiqiang Wang, Caiyun Gao, Juan Bai, Qin Zhang, Huiyong Zeng, Binfeng Zong, and Jiliang Cai Evaluation of the Quality of Work Life of College Teachers . . . . . . . . . 485 Xiuyuan Tang Management and Exploration of Digital Signal Processing Course Practical Teaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493 Shiqiang Wang, Caiyun Gao, Juan Bai, Qin Zhang, Huiyong Zeng, Binfeng Zong, and Jiliang Cai Knowledge Management of Digital Signal Processing MOOC Course Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499 Shiqiang Wang, Caiyun Gao, Juan Bai, Qin Zhang, Huiyong Zeng, Binfeng Zong, and Jiliang Cai The Relationship Between Information Infrastructure Construction and Coordinated Economic Development: A Case Study of Guangdong–Hong Kong–Macau Greater Bay Area . . . . . . . . . . . . . . 507 Qianyun Yang and Can Chen Study on Influencing Factors of Local Government Implicit Debt in PPP Project Based on Factor Analysis . . . . . . . . . . . . . . . . . . . . . . . . 519 Wuwen Cao and Chao Leng The Application of Translation Workshop Teaching Model to College English Translation Teaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529 Yali Qiang and Weiji Chen LCD Electronic Advertising Display Design Based on Single-Chip Microcomputer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535 Hanhong Tan and Zhirong Qiu Design and Important Technical Analysis of Electric Vehicle Braking Energy Recovery System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 543 Zhiqiang Xu Human Thermal Energy Generation Analysis . . . . . . . . . . . . . . . . . . . . 549 Libo Yang Based on Analysis of Large Data Computer Information Management System Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 555 Haifeng Liao CAFC-NEV Mandate, Manufacturer Heterogeneity and Technology Innovation Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 563 Xu Li

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New Energy Vehicles Manufacturers’ EAMFP to Technology-Forcing Regulation: The Case of China’s CAFC-NEV Mandate . . . . . . . . . . . . . 577 Xu Li and Yangyang Li Dynamic Correlation Analysis of RMB Exchange Rate Intermediate Price and Stock Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591 Shuzhen Zhu and Jingyu Zhang Location Choice of Overseas Investments in Transportation Infrastructure by Chinese Enterprises: From the Perspective of the “BRICS+” Mode . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599 Jiangong Wu, Teng Wang, Hongyan Jiang, and Zhuoping Ouyang Diamond Principles for Economic Management . . . . . . . . . . . . . . . . . . . 613 En Zhu Research of Trade Characteristics and Problems on Vietnam to China’s Farm Exports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 619 Xing Liu and Yuan Yuan Tang Study on the Symbiosis of Participants in Low-Carbon Governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629 Xiaoyan Wang The Construction of Risk Evaluation System of Small Loan Company in China Based on AHP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 637 Qianyun Yang and Xiangwang Wu Community Evolution in International Patent Application Top1 Networks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 649 You Zhou, Shan Kang, and Guangrong Tan Evaluation of the Quality of Undertaking Major Illness Insurance Based on Principal Component Analysis . . . . . . . . . . . . . . . . . . . . . . . . 659 Junshan Li, Ziyou Chen, Tingting Dia, Yilin Wu, and Yuanan Lu Research on Selection Model of Sponge Pilot Cities Based on Fuzzy Comprehensive Evaluation Method . . . . . . . . . . . . . . . . . . . . . . . . . . . . 667 Hong-Li Huang, Liang-Song Li, Yong-Fang Qi, Chong-Ci Tang, and Ke-Cheng Xiao Research on Intellectual Property Protection of Network Information in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 675 Lin Wang, Ying Xiong, and Zhe Yan Application of Ubiquitous Power Internet of Things in Power Grid Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 685 Man Zhao, Yingna Li, and Li Yang

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Design of PLC Ladder Diagram for Four-Position Tool Holder of FANUC CNC Lathe . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 693 Xiurong Zhu and Haokun Hu Feature Extraction Based on Improved Feature Weighting Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 703 ShuangXin Wu and Ji Kang Jia Research on Mixed Text Feature Selection Algorithm Based on CHI and ECE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 709 Xinyang Cui, Xin Xiong, and Hua Long Class of Problems on Inequality Proof . . . . . . . . . . . . . . . . . . . . . . . . . . 717 Miaohua Liu, Xiuchao Song, and Hao Song Application of Apriori Algorithm in User Data Mining in Electronic Commerce . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 725 Xie Chao and He Defu Arrangement for Hand Move Irrigation System . . . . . . . . . . . . . . . . . . 733 Guo Li, Xinshe Qi, Ruiping Huang, Na Wang, Cuicui Gao, and Xin Wang Implementation and Application of Information Integration Platform in Hospital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 741 Na Wang, Jinguo Wang, Ri Li, and Zhijun Lun Measurement and Analysis of the Technological Sophistication of Chinese Vegetable Export . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 747 Zhenjun Cai and Mengjie Lu Determinants of the Profitability of Automobile Manufacturing Enterprises: Evidence from China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 757 Chune Liu and Xinli Wen Study on the Determinants of Export Sophistication of China’s Manufacturing Subdivided Sectors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 769 Taosheng Wang and Xiang Yin Study on the Effect of Agricultural Total Factor Productivity on the Export of Agricultural Products . . . . . . . . . . . . . . . . . . . . . . . . . 779 Zhenjun Cai and Chen Wang

About the Editors

Dr. Tao-Sheng Wang is a Professor of Applied Economics (International Trade Direction), Director of the Chinese Society of World Economy, Vice Chairman of the Expert Committee of the China Association of Trade in Service. He is also the Dean of the School of Business at Hunan International Economics University and Chief Expert of the provincial-level social science key research base. His main research areas are international economic and trade theory and policy, institutional innovation and international trade, and international competitive advantage and competitive strategy. Dr. Andrew W. H. Ip is a Principal Research Fellow, Associate Director of IGDS at Hong Kong Polytechnic University (PolyU), and an Honorary Fellow of the University of Warwick, Warwick Manufacturing Group. He was previously in-charge of the RFID laboratory and an Associate Professor at Hong Kong Polytechnic University. He is a chartered engineer, senior member of IEEE, and a member of the Hong Kong Institution of Engineers, as well as various professional bodies in mechanical and electrical engineering. Dr. Madjid Tavana is a Professor and Lindback Distinguished Chair of Business Analytics at La Salle University. He also holds an Honorary Professorship in Business Information Systems at the University of Paderborn in Germany. Dr. Tavana is a Distinguished Research Fellow at the Kennedy Space Center, the Johnson Space Center, the Naval Research Laboratory at Stennis Space Center, and the Air Force Research Laboratory. He was recently honored with the prestigious Space Act Award by NASA. Dr. Vipul Jain is an Associate Professor of Operations and Supply Chain Management at Victoria Business School, Victoria University of Wellington, New Zealand. He is the Editor-in-Chief of the International Journal of Intelligent Enterprise and an editorial board member for seven international journals.

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Social Network and Decision Science

Management of the Social Responsibility of the Legitimate Sports Organizations in China Runzhi Liu, Xinxian Zou, Zhongmin Lv, and Xinjian Li

Abstract By adopting methods of the literature interview and expert interview, this paper examines the social responsibility to which the legitimate sports organizations in China are subject, the status of the social responsibility undertaken by the legitimate sports organizations, as well as major factors retraining the legitimate sports organizations to take on social responsibilities. Currently, the legitimate sports organizations lack responsibility in some area and overtake responsibility in other area. To meet the sound development of sports industry in China, the legitimate sports organizations should be managed from national laws and regulations, organizational constitution, and social supervision perspectives. Keywords China · Sports organizations · Responsibility · State-run sports system · Governance

1 Introduction Sports organizations are an important part of China’s social organization. In the real sports world, a lot of sports organizations have practiced the social responsibility. In 2005, the Fédération Internationale de Football Association launched the movement of ‘Football for Hope’ that is committed to developing the potential of football for social development. The International Olympic Committee launched the Young Change Maker + Project in 2016, which was an initiative that enabled young social entrepreneurs around the world to deliver life-changing projects in their local communities. The projects in 2018 are more than double the Young Change Maker + Projects successfully rolled out in 2017. The IOC releases its annual report not only on its financial statements according to International Financial Reporting Standards but also on its reform policy to increase its transparency. On July 25, 2019, the IOC publishes its Annual Report 2018 at the 134th IOC session in Lausanne, which is a direct result of Recommendations 29 of Olympic Agenda 2020. R. Liu · X. Zou (B) · Z. Lv · X. Li Beijing Sport University, Xinxi Road 48, Haidian District, Beijing, People’s Republic of China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_1

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There are plenty of the literatures on social responsibility, while social sports responsibility has begun to attract growing scholarly interest in sports management perspective until the past decade. Bradish and Cronin [2] indicate that social responsibility should be considered as an important element of the theory and practice of contemporary sports management. Levermore [10] considers social responsibility from its potential and limitation perspective. In China, Xie et al. [8] indicates that sports organizations should take the responsibilities at moral, legal, and public levels. Du and Tan [3] defines that the professional sports organizations should undertake economical accountability, legal accountability, ethic accountability, and philanthropy. Besides the four kinds of responsibilities, Bai [11] argues that professional sports organizations should take charge of cultural communication and sustainable development of the society. This paper accounts for managing the legitimate sports organizations in China by examining the social responsibility to which the legitimate sports organizations in China are subject, the status of the social responsibility undertaken by the legitimate sports organizations, as well as major factors retraining the legitimate sports organizations to take on social responsibilities.

2 Social Responsibilities of the Legitimate Sports Organizations The current unfavorable legislative policy environment in China influences the ability of sports organizations in undertaking social responsibilities. Sports organizations in China can be categorized as three types according to their legitimacy: social legitimacy, administrative legitimacy, and law legitimacy. Theoretically speaking, sports organizations with law legitimacy in China are the legitimate sports organizations, which register in the Ministry of Civil Affairs or Civil Affairs Department above the county level. The CAA in charge of upgrading the development of athletics in China is the only national social organization for athletics with independent corporate capacity. Thus, the CAA is a typical example of the legitimate sports organizations. Based on the above definitions documented, this paper defines the responsibilities of the legitimate sports organizations in China herein as the requirements or expectations of the society for the legitimate sports organizations at the aspects of legislation, economy, morality and public benefits, and the responses of the legitimate sports organization to the requirements or expectations.

3 The Status of Social Responsibilities The ninth Article of the Regulation on Registration and Administration of Social Organizations (Regulation) requires that candidate’s social organizations must have and be approved by a professional leading unit, as well as make preliminary application to the registration and management agency. That is to say, to be legitimate status,

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social organizations must be approved by the authorized department and register in one Civil Affairs Department following the registration procedure set out in the Regulations. For example, in sports context, the CAA is the national governing body for athletics of China, which has the Athletics Administrative Center of the GASC as its professional leading unit. While in the real world, the CAA and the Athletics Administrative Center of the GASC are two organizations with the same staff.

3.1 Legal Responsibility Sports organizations are involved in a system trouble when fulfilling social responsibility due to the imperfections of laws and regulations. Davis [5] points out that if the social organizations cannot self-regulate their actions, then the law should step in. The Regulation has rigid requirements about what the legitimate social organizations in China should do and should not do. Furthermore, there are some norms relating to social organizations, such as the terms about public benefit and relief donation tax exemption in the Provisional Regulations on Enterprise Income Tax, the terms about property in the Property Law of the PRC, and the terms about industry association in the Law of the PRC on Lawyers and the Law of the PRC on Certified Public Accountants. While the present laws and regulations have some shortcomings: Firstly, the existing laws and regulations lack operability. Secondly, the legitimate sports organizations lack a fair playing field. Thirdly, the substantial law is vacant. As for the CAA, its structure of the CAA with Chinese characteristics guarantees the legitimacy of the activities of the CAA to some extent. As the leader of the CAA claims: The GASC is a unit under the State Council and governs directly its Athletics Administrative Center. As an institutional unit of the GASC, the Athletics Administrative Center shares the same staff with the CAA. The departments of the Athletics Administrative Center are accordance with the six committees of the CAA, which are adjusted per 4 years and absorb many associations of the society.

3.2 Public Responsibility The prerequisite public responsibility comes from the laws and regulations. There are great differences between the responsibilities specified by the laws and regulations and those undertaken actually by the legitimate sports organizations. In China, elite sport is the primary focus for government authorities—different sports administrative centers of the GASC. In other words, different legitimate sports organizations at national level are in charge of the elite sport in China because the administrative centers of the GASC share the same staff with the legitimate sports organizations, whereas mass participation sport is left to sports organizations with social or administrative legitimacy. According to the leader of the CAA,

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R. Liu et al. For the CAA, the public responsibility is to absorb more people to participate in athletics and promote the development of Chinese athletics. For example, 44% people take regular exercise in Jiangsu Province in China, among whom 80% take walking and running as their main exercise. In order to promote the development of the athletics of the rural areas, the CAA carries out the poverty alleviation plan, such as donating equipment to the poverty schools and training bases, building Track and Field Center Hope Primary School. Moreover, charity has become the important sports culture in the booming marathon competitions. The situation of the charitable resources is closely related with the economy development of the country. Only the organizations concerning the people’s livelihood have ability to carry out charity activities when the economy is not good. For example, the CAA was in economy trouble between 1997-2002, when the CAA had no money for competitions and rewards. Let alone the ability to undertake the public responsibility.

3.3 Moral Responsibility Among the factors influencing the moral responsibility of the legitimate sports organizations in China, stakeholders, laws, and regulations should be considered. That social organizations must not offend social morality regulated in the fourth Article in the first Chapter of the Regulation is normative requirements on the moral responsibility, which let the moral rights of the state rise to the legal norms and become ‘non-violation’ requirements; i.e., the moral obligations that the sports organizations should carry out are regulated in a social will in favor of the state. Owing to the resources of operating expenses, characteristics of national governing, administrative background of human resource of the CAA, the moral rights of the CAA claimed from the GASC, IOC, and IAAF are in a dominant position. The moral obligation of the CAA to the sponsors binds with commercial interests, and the requirements from the public are met at limited level. If the legitimate sports organizations are subjected to remain their tasks and objectives to develop sports for all in accordance with their Charters, such organizations as the CAA must take both the instrumental goals and stakeholder claims into consideration.

3.4 Economical Responsibility Friedman [7] gives the opinion that the main aim of organizations is to make profits and to meet the requirements from shareholders. The 31st Article of Regulation indicates that social organizations shall hand in its work report of the previous year to the professional leading unit before March 31 of each year and to the registration administrative agency before May 31 of each year, after accepting the preliminary examination and approval of the professional leading unit, and shall accept the annual inspection. Theoretically, the legitimate sports organizations shall accept the inspection of the audit department led by the GASC and of the National Audit Office of PRC. While survey shows that the audit department of the GASC conducts finance

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inspection on the legitimate sports organizations by random rather than annually as regulated, the National Audit Office of PRC also makes nonscheduled finance examination of the sports organizations themselves and the leaders. Thus, the audit of the legitimate sports organizations from the government is not conducted according to the Regulations. In reality, such stakeholders as donors investigate the organizations relying on the assessment from the professional leading units and the registration authorities due to limited supervision authorities. We all know that the legitimate sports organizations and the professional leading units are founded under the system of ‘two organizations of the same staff.’ Thus, the supervision of the legitimate sports organization is conducted actually by the government.

4 Dilemma of the Social Responsibility Status 4.1 Excessive Social Responsibility In China, the legitimate sports organizations share the staff with the administrative departments of the government. The dual management system makes the legitimate sports organizations become the government’s ‘pocket of things.’ The fact that the legitimate sports organizations are controlled by the government decides what they can do is to help other than trouble the government. The isomorphic mode between the legitimate sports organizations and the sports administrative centers of the GASC makes the departments of legitimate sports organizations become the functional departments or institutions of the government. The nature of the legitimate sports organizations is modified into administrative institution other than nonprofit enterprise. Thus, the legitimate sports organizations actually fulfill the duties and responsibilities in place of the government and become an extension of the government agencies. In this sense, these legitimate sports organizations fulfill excessively the social responsibilities in place of the government beyond themselves, which is also the government failure.

4.2 Lack of Social Responsibilities The legitimate sports organizations should follow the trend of the governmental reform of ‘small government and big society.’ With the development of national economy, the sports industry of China takes on a new look—a ‘state-run sports system’ took form initially [6]. During the reform process, on the one hand, the government is the mainstay of the reform under the mode of ‘state-run sports system.’ As the immediate beneficiary, the government is unwilling to have decentralized periphery which means benefits missing. On the other hand, legitimate sports organizations are subsidiary to the strong government institutions, which makes the impetus for

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further reform of the legitimate sports organizations inadequate. With the state-run sports system, the sporting resources of China focus on the most talented world champions—“gold medal first” strategy. In this regard, competitive sports have become an exam-oriented system. Thus, the national legitimate sports organizations play an indispensable role in promoting the development of competitive sport, while they lack responsibilities in carrying out nationwide fitness campaign. In this sense, we can say the legitimate sports organizations lack social responsibilities, which is also the market failure.

5 Managing the Legitimate Sports Organizations The topic of good governance in formal and informal organizations of all sizes and among public, voluntary, and private sectors has been the focus of study today. Hoye et al. [9] identified that exploring good governance of the nonprofit sector is quite important. Calabrese et al. [1] pointed out that it is of quite importance to measure the integration or the gap between stakeholders related to their demands, values, preferences, and perceptions. Cutt and Murray [4] indicate that it is meaningful to build an accountability framework if the framework can link the real consequences with the desired performance.

5.1 Laws and Regulations of the State To establish a reliable and long-lasting mechanism, the normative design of laws and regulations is the core link. Due to the strict requirement of the legitimate sports organizations, it is an ideal that eliminating the ‘illegitimate’ organizations and covering all ‘legitimate’ organizations, that is, offering a free admission to all the social organization while regulating their legal responsibility, moral responsibility, public responsibility, and economic responsibility. There have been great changes in recent years in the relationship between the government and the legitimate organizations. Many provinces have introduced some innovative measures; for example, Guangdong Province has been already registered for social organizations in line with the Regulations, where social organizations need not find a professional leading unit as before when they want to register.

5.2 Self-Discipline Constitution The legitimate sports organizations should be self-discipline and self-management in line with their constitutions. The self-discipline reflects the constraint and coordination among stakeholders, which is composed of two parts. The first is based on

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the requirements of internal and external relations. The external management norms and institutional norms ensure the separation of powers and coordination among various organs within the legitimate sports organization, including the mandatory requirements of its constitution and the mandatory model texts of internal agency management. The second part is based on the needs of the competitiveness themselves, which is the necessary supervision and evaluation of internal organs for their own reforms, adjustments, and, in particular, capacity building needs.

5.3 Social Supervision Social supervision of the legitimate sports organizations is composed of competition mechanism, supervision, and evaluation mechanism. The legitimate sports organizations are the objects of supervision and evaluation, and the performance of social responsibility of the legitimate sports organizations is the content of supervision and evaluation. As for evaluation, there are two forms, i.e., self-initiated evaluation and condition-initiated evaluation. Self-initiated evaluation originates from the internal reaction of the legitimate sports organizations, the requirements of the third-party assessment agency, the government and other competent authorities, such as annual inspections. Condition-initiated evaluation originates from a wide range of social participation, including self-initiated entities, media, donors, etc.

6 Conclusions The legitimate sports organizations feature with Chinese characteristics when taking the social responsibilities due to the current imperfect administrative mechanism. The degree of legitimacy of sports organizations affects their ability to undertake social responsibility, and sports organizations will take into account the needs or expectations of stakeholders when undertaking social responsibilities. The legitimate sports organizations, as the extension of the government administration system, cannot meet the expectations of their beneficiaries because of the influence of the stakeholders. The legitimate sports organizations have a stronger ability in taking on social responsibilities than other style sports organizations, while they lack responsibilities in some fields and take excessive responsibilities in other fields. To promote its sound, consecutive, and rapid development, the legitimate sports organizations need not only internal self-discipline mechanism but also external effective social supervision and evaluation mechanism. More importantly, the current administrative mechanism concerning sports organizations should be reformed and improved, and hierarchical laws and regulations that are practicable and accessible should be established.

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References 1. Calabrese A, Costa R, Menichini T, Rosati F (2012) Measuring the CSR company-stakeholder fit. World Acad Sci Eng Technol 71:1860–1866 2. Bradish C, Joseph Cronin J (2009) Corporate social responsibility in sport. J Sport Manage 23:691–697 3. Du C, Tan J (2012) Research on the social responsibility of the professional sport organizations. Guide Sci Educ 11:217–218 4. Cutt J, Murray V (2000) Accountability and effectiveness evaluation in non-profit organizations. Routledge, New York 5. Davis K (1960) Can business afford to ignore social responsibilities? Calif Manage Rev 2(3):70–76 6. Dawei Yu, Li G, Liu R, Lufeng Su (2015) Role underplayed: research on the function weakening of all-China sports federation from a historical perspective. Int J Hist Sport 32(10):1279–1290 7. Friedman M (2002) Capitalism and freedom (40th, anniversary edn. University of Chicago Press, Chicago 8. Xie H, Huang Y, Jiang H, Zhang H (2011) Social responsibilities of non-profit sports organizations. J Chengdu Sport Univ 37(8):9–13 9. Hoye R, Smith A, Westerbeek H, Stewart B, Nicholson M (2009) Sport management. Elsevier Butterworth-Heinemann, London 10. Levermore R (2010) CSR for development through sport: examining its potential and limitations. Third World Quart 31(2):223–241. https://doi.org/10.1080/01436591003711967 11. Bai Y (2012) Theoretical exploration of professional sports organizations social responsibility, Ph.D dissertation, Beijing Sports University

Enterprise Social Media and Innovation: The Mediating Effect of Competitor Orientation Magadlene Mpandare and Guoxin Li

Abstract Using the affordance theory, the study explores the influence of enterprise social media (ESM) utilisation on innovation with the mediating role of competitor orientation. Questionnaires were used to collect data from the service industry in Zimbabwe. Results from the structural equation modelling (SEM) data analysis revealed that there is a positive relationship between internal enterprise social media (IESM) use and innovation; however, there was a negative effect on the influence of external enterprise social media (EESM) utilisation and innovation. Results also showed that competitor orientation positively and significantly mediates the relationship between IESM utilisation and innovation. However, the mediation between external social media utilisation and innovation was not significant. Managerial and theoretical implications are discussed. Keywords Enterprise social media · Innovation · Competitor orientation

1 Introduction The twenty-first century has brought about an explosion of information and communication technologies (ICTs), which the business world is exploiting to attain various business objectives. Enterprise social media platforms are emerging social media platforms specifically tailored for use by organisations. According to [1], ESM are Web-based platforms that enable employees to (1) communicate messages with specific employees or post messages to everyone in the organisation; (2) clearly indicate and or reveal particular employees as communication partners; (3) post, edit, and sort text and documents connected to themselves or fellow employees; and (4) view the messages, connections, posts, and documents, posted, edited, and sorted by any employee in the organisation at any time. In an endeavour to be more innovative, organisations are increasingly turning to technology [2, 3], particularly ESM to improve communication visibility, collaborations, and knowledge sharing [4]. Some M. Mpandare (B) · G. Li Harbin Institute of Technology, Harbin 150006, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_2

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examples of ESM include IBM connections, Yammer, Jive, Chatter [5], and Mingdao which is popular in China [6]. The study defines ESM as a single construct containing two variables: internal enterprise social media (IESM) and external enterprise social media (EESM). IESM refers to the utilisation of social media amongst employees within the organisation only; examples of IESM platforms include Yammer and IBM connections. EESM refers to the use of social media by organisations to communicate with external stakeholders such as customers and the general public; examples of external social media include Facebook and Twitter. We take a holistic approach to define ESM because it is essential that organisations understand that both external and internal social media complement each other; for example, important feedback from the EESM platform can be swiftly shared on IESM for deliberation and execution.

2 Theoretical Background The affordance theory has attracted significant attention in the ESM literature in recent years [7–11]. The affordance theory was propagated by Gibson [12] a psychologist who adopted the concept from eco-psychology field in which he argued that different objects afford different benefits. Environmental affordances are what the environment awards the animal and what it furnishes, either for good or for ill [12]. The same aspect of the environment can afford different people with different affordances. For example, fire affords warming and burning, and a glass wall affords seeing through but not walking through. The theory explains why organisations or people using similar technology may engage in differing or similar work practices [4] and deduce similar or different benefits from its use. In technology, an affordance refers to what a particular technology can do or what a certain individual or organisation can achieve using that technology [7]. Characteristics of the technology may be the same, but what it affords to different people or organisations differs depending on the different goals of individuals and organisations.

3 Conceptual Model and Hypothesis 3.1 Internal Enterprise Social Media and Innovation IESM can be used as a driver of innovation in the workplace [13]. IESM affords communication visibility which increases metaknowledge, vicarious learning, social capital, and collaborations in an organisation, which propagate innovation [14]. Since ESM utilisation affords communication persistence [14], employees can always refer to “posts” and avoid work duplication; hence, employees find new ways to work. IESM platforms enable employees to collaborate at any time despite their geographical location, and workplace collaborations improve creativity and innovations

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because they capitalise on employees’ insights and ideas since it pools talent and strength from different people, bringing in diversity during collaborations. Diversity in collaborations has the potential to unlock creativity and innovation [15, 16]. IESM significantly improves communication visibility, knowledge sharing, vicarious learning and collaborations which all stimulate and cultivate innovation. Basing on the discussion above, we propose that: H1 Internal enterprise social media (IESM) use has a positive influence on innovation.

3.2 External Enterprise Social Media and Innovation Due to the emergence of EESM platforms, open innovation is thriving, and interactions between organisations and customers are not only continual but they are occuring in real time [17]. EESM enables organisations to brainstorm and collaborate with customers so as to bring about new innovations; for example, Starbucks came up with their own EESM platform www.mystarbucksidea.com [18] where customers suggest ideas [19], Dell also has a similar platform, www.ideastorm.com. These organizations have implemented numerous innovative ideas suggested by customers via their EESM platforms. They have managed to turn their customers from being passive recipients of finished products into active innovation contributors. Apart from collaborating and getting direct ideas from customers, IESM platforms also enable organisation to collect big data which can be analysed and used to forecast customers’ current and future needs. Hence, we hypothesise that: H2 External enterprise social media (EESM) use has a positive influence on innovation.

3.3 Mediation of Competitor Orientation Organisations in the twenty-first century are operating in highly competitive and rapidly changing complex environments; therefore, it is imperative that organisations prioritise competitor orientation. Competitors just like customers have become dynamic, and there is need to constantly monitor what they are doing and how they are evolving. Being competitor-oriented means that the organisation understands the short-term weaknesses and long-term strategies and capabilities of both the current and potential competitors [20] in an intimate manner. Organisation can make use of EESM to monitor all the activities of the competitors and use the information to improve or create superior innovations. Feedback and suggestions from derived from competitor’s EESM platforms can be swiftly shared on IESM platforms for deliberation enabling the organization to make better informed decisions. Therefore, we hypothesise that: H3 Competitor orientation mediates the relationship between IESM and innovation.

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Fig. 1 Proposed research model

H4 Competitor orientation mediates the relationship between EESM and innovation (Fig. 1).

4 Methodology Questionnaires were used to collect data, and the questionnaire was created using valid scale items from previous studies. The study used five-point Likert scale to measure the scales. The questionnaires were distributed to organisations using ESM in the service industry in Zimbabwe. There is dearth of research when it comes to ESM studies in Africa; hence, we chose to conduct the study in Zimbabwe in order to study ESM in an African context. In total, we received 380 responses of which 23 responses were incomplete and were consequently discarded. We were left with 357 valid responses which were used for quantitative data analysis. In this study, structural equation modelling (SEM) was used to test the proposed conceptual framework and hypothesis. Amos 23 configured under maximum likelihood estimates was used to confirm fit indices in SEM such as the CFI, AGFI, RMSEA, AGFI, NFI. Instrument reliability and validity were measured using three indicators: composite reliability, convergent validity, and discriminant validity. We controlled for age, industry type, and size of organisation during the analysis.

5 Results and Discussion The required fitness values for the model were sufficiently established, the model was tested, and it achieved the endorsed reliability and validity traits as shown in Table 1. Harman’s test for common method bias (CMB) was conducted, and there were no

Enterprise Social Media and Innovation: The Mediating … Table 1 Measurements of the model

Fit index CMIN/DF

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Threshold

Initial model

≤3.00

1.250

GFI (%)

≥90.0

0.917

AGFI (%)

≥80.0

0.900

NFI (%)

≥90.0

0.909

CFI (%)

>0.95

0.980

RMSEA

(1 − λ2 )m 2

(8)

Equation (8) implies that the ratio of return between entrepreneurs and lenders is varied with entrepreneurs’ net worth, and Fig. 2 describes the loci of Eq. (8).

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Fig. 2 Steady equilibrium return ratio between entrepreneurs and lenders

R2 R1

1 2

R1 R2

o

wc 1 )m1

2 )m2

wt

Figure 2 illustrates the return rate of entrepreneurs and lenders is determined by the level of financial development and entrepreneurs’ net worth, as well as entrepreneurs’ action on investment. Therefore, entrepreneurs usually undertake mature technology projects in a low-income country with imperfect financial market, but entrepreneurs might also invest in innovation projects if their net worth is sufficient. In addition, it finds that there is dynamic equilibrium between entrepreneurs and lenders. When the ratio of entrepreneurs’ and lenders’ return rate is above the loci of Eq. (8), some entrepreneurs will exit from production section and become lenders, then the ratio return to the curve. While the ratio below the curve, some lenders will invest in projects and be entrepreneurs, and the ratio accesses the curve again. Hence, the curve of Eq. (8) is a steady state. However, financial intermediaries must have destroyed this equilibrium in many under-development countries, the possible reason is banking sectors charging a high rate to entrepreneurs and paying a low rate to lenders, for example, the annual deposit rate is only 1.5%, but the annual lending rate is 4.75% in China. The intuition is clear from Fig. 1 that there exists intersection between the locus of mature technology project and the trace of innovation project, where the value of wc can be donated as   λ2 R 2 wc = m 2 1 − R1

(9)

In this paper, it treats wc as a threshold of net worth that entrepreneurs access to innovation projects, and the partial derivatives of financial development level λ2 to the threshold value wc can be written as R2 ∂wc = − m2 < 0 ∂λ2 R1

(10)

That means an improvement of the financial market could induce entrepreneurs to invest in innovation projects. Similarly, it can get another threshold wcc wcc =

λ2 R2 − λ1 R1 m1m2 λ2 R2 m 2 − λ1 R1 m 1

(11)

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As Fig. 1 illustrates, entrepreneurs will undertake innovation projects in the range [0, wcc ] when the degree of financial development that innovation projects faced is λ2 . It also computes the partial derivatives of financial level λ2 to the threshold value wcc , which can be expressed as follows: ∂wcc λ1 R1 R2 (m 2 − m 1 ) = 2 ∂λ2 λ2 R2 m 2 − λ1 R1 m 1

(12)

Generally, the cost of innovation projects is larger than those of mature technology projects; therefore, ∂wcc /∂λ2 > 0, or the threshold wcc increases with the improvement of financial development. That is because the revenue stemming from technology improvement beyond the cost resulting from of the  the imperfection financial market. In addition, it concludes that the range wcc , wc decreases with the improvement of financial development; in other words, the number of entrepreneurs who manage innovation projects will rise with the improvement in the financial market.

2.4 Financial Market Improvement and Economic Growth In this section, it will explore the impaction of financial development on entrepreneurs’ technology choice in investment decisions. Consider the condition that agents’ labor income is subjected to unit distribution (0, 1), it then can response to the number of entrepreneurs who invest in innovation project through the distance changes. Labor incomes are useless except allocating to production projects in period t. At the beginning, the labor incomes are allocated to mature technology projects and innovation projects; hence, it establishes θ1 m 1 + θ2 m 2 = wt

(13)

The ratio of entrepreneurs who undertake innovation projects is Pt =

θ2 1 − wc = 1 − wc = θ1 + θ2 1

(14)

With the improvement of financial market, the proportion become Pt = 1 −

wc − wcc = 1 − wc + wcc 1

(15)

Intuitively, Pi > Pt , which means an improvement in the financial market could induce more entrepreneurs to undertake innovation projects. On the contrary, a serious financial market friction may restrict entrepreneurs access to innovation projects.

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There exist two types of projects in the economy at each period, so it can gain the average wage level of agents 2 1 + (1 − Pt )wt+1 wt+1 = Pt wt+1

(16)

2 1 represents the labor incomes that paid by innovation projects, and wt+1 where wt+1 represents the labor incomes that paid by mature technology projects. Hence, it can compute the growth rate of wage, or the economic growth

gt =

2 1 + (1 − Pt )wt+1 Pt wt+1 wt+1 = wt wt

(17)

Combining Eqs. (2) and (17) yields  gt = (1 − α) Pt R2α + (1 − Pt )R1α wt1−α

(18)

It can be easily obtained that gt increases with the raising of Pt from Eq. (18); hence, it proves that an improvement of the financial market enhances economic growth through inducing much more entrepreneurs to invest in innovation projects.

3 Parameter Calibration and Simulation Now, it will simulate the variation of entrepreneurs’ actions under state-steady equilibrium to support the conclusion above. The parameters are set as follows: m1 = 1, R1 = 2, λ1 = 0.6, m2 = 1.5, and R2 = 3. In this paper, it measures the improvement of financial market with the difference between λ1 and λ2 decreasing, the rising of parameter λ2 suggests financial market becomes more perfect, in order to reveal the progress that financial market improvement, it sets λ2 = 0.3 as the initial value, and λ2 = 0.6 as terminal value. It uses the distance of [wc , 1] or [0, wcc ] ∪ [wc , 1] to denote the ratio that entrepreneurs who undertake innovation projects. For initial value k0 = 1, the progress that the ratio of entrepreneurs’ and lenders’ return rate moves with the improvement of financial markets as shown in Fig. 3. Figure 3 shows that the intersection wc moves to the left with the increasing of parameter λ2 , which suggests that the number of entrepreneurs who operate innovation projects is increasing. That means, a perfect financial market can crowd capital in innovation projects. A basic funcution of financial markets is that selecting innovation or the most productivity projects (or firms) in a economy, according to Fig. 3, the improvement of the financial market is in favor of this function promotion. The solid curve in Fig. 4 illustrates and reflects the change in the ratio of entrepreneurs who investing in innovation projects. The dash line divides the solid curve into two parts, in the left, λ2 R2 < λ1 R1 and the solid curve has a fixed slope; in the right, λ2 R2 > λ1 R1 , the slope of the curve climbs up and then decreases.

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Fig. 3 Movement of return rate ratio with parameter λ2 increasing

Fig. 4 Proportion of innovation entrepreneurs under different parameter λ2

That means, it is decreasing for entrepreneurs to suffer the influence stem from financial market with financial development. As Quadrini has confirmed, production only takes place in the entrepreneurial sector in a perfect financial market. Hence, it presents that a perfect financial market could induce entrepreneurs to participate

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Fig. 5 Variation of wage and growth with financial market improvement

in innovative activities in production and then increase economic growth. It also deems that the interplay between enterprise and financial development is mutually reinforcing, financial development provides enough fund for the development and growth of enterprises, and enterprise growth could promote the improvement of the financial market. Figure 5 illustrates the impact of financial development on wage and economic growth. The solid curve reports the variation of wage with financial market improvement, and the wage is rising for the increasing number of entrepreneurs who undertake innovation projects. It implies that financial improvement could induce capital accumulation in economy, and the higher the level of financial development, the more capital accumulation. The dash line describes economic growth with financial development, when financial development is low and the economic growth is low. With the further improvement of financial markets, the rate of economic growth skips to a high level, even though the economic growth rate will decrease soon. According to Fig. 5, capital accumulation is increasing and the economic growth rate increases and then declines with the improvement of financial markets, which suggest that financial development could promote economic growth but the extent is limited. Figure 5 also shows that financial development cannot drive economic growth directly, but it induces entrepreneurs’ activities in innovation and enhances economic development. That means a perfect financial market is the pledge of economic growth, and financial innovation is necessary for economic growth.

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4 Conclusion It extends the Matsuyama [12] model, through which it attempts to explore the mechanism that how financial development impacts on economic growth. It shows that financial market has effect on entrepreneurs’ actions in production, a perfection financial market can induce more entrepreneurs to undertake innovation project, which is because the improvement of financial market reducing the threshold that entrepreneurs access to innovation projects. In addition, it also suggests that financial development might not always benefit in accumulating capital and enhancing economic growth. It shows that an imperfection of financial market could result in declining in economic growth, but financial market improvement could not enhance economic growth directly; the way financial markets rising economic growth must be that inducing entrepreneurs to undertake projects with innovative technology. Acknowledgements The first author would like to acknowledge my seniors who have given me the help in language and provided valuable comment. This work was financially supported by the Nation Nature Science Foundation of China (No. 71974026, 71804096, and 71473025), Humanities and Social Science Fund of Chinese Ministry of Education (No. 18YJC630044), the Social Science Foundation of Shandong (No. 18DJJJ05) and Liaoning (No. 19lslktyb-007), and Doctoral Research fund of Shandong Technology and Business University (No. BS201736).

References 1. Tirole J (1985) Asset bubbles and overlapping generations. Econometrica 53(6):1499–1528 2. Matsuoka T, Shibata A (2012) Asset bubbles, credit market imperfections, and technology choice. Econ Lett 116(1):52–55 3. Martin A, Ventura J (2012) Economic growth with bubbles. Am Econ Rev 102(6):3033–3058 4. Hirano T, Yanagawa N (2017) Asset bubbles, endogenous growth, and financial frictions. Rev Econ Stud 84(1):406–443 5. Midrigin V, Xu D (2014) Finance and misallocation: evidence from plant-level data. Nber Working Papers 104(15647):422–458 6. Gilchrist S, Sim JW, Zakrajsek E (2013) Misallocation and financial market frictions: some direct evidence from the dispersion in borrowing costs. Rev Econ Dyn 16(1):159–176 7. Pratap S, Urrutia C (2012) Financial frictions and total factor productivity: accounting for the real effects of financial crises. Rev Econ Dyn 15(3):336–358 8. Chen K, Song Z (2013) Financial frictions on capital allocation: a transmission mechanism of TFP fluctuations. J Monetary Econ 60(6):683–703 9. Moll B (2012) Productivity losses from financial frictions: can self-financing undo capital misallocation? Am Econ Rev 104(10):3186–3221 10. Cagetti M, De Nardi M (2006) Entrepreneurship, frictions, and wealth. J Polit Econ 114(5):835– 870 11. Adeniyi O, Oyinlola A, Omisakin O et al (2015) Financial development and economic growth in Nigeria: evidence from threshold modelling. Econ Anal Policy 47:11–21 12. Matsuyama K (2007) Credit traps and credit cycles. Am Econ Rev 97(1):503–516 13. Matsuyama K (2013) The good, the bad, and the ugly: an inquiry into the causes and nature of credit cycles. Theor Econ 8(3):623–651

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14. Sakuragawa M (2008) Dynamic efficiency and asset bubbles under financial market friction. Nagoya City University Working Paper 15. Stiglitz JE, Weiss A (1981) Credit rationing in markets with imperfect information. Am Econ Rev 71(3):393–410 16. Robinson J (1952) The rate of interest and other essays. Econ J 62: 930–935 17. Schumpeter J (1911) The theory of economics development. Harvard University Press, Cambridge, MA

The Feasibility Research on Express/Local Train Plan of Beijing Subway with Passenger Flow Analysis Yuliang Zhou, Shenghan Zhou, Bo Wang, Yiyong Xiao, Wenbing Chang, and Fajie Wei

Abstract The paper aims to analyze the feasibility of express/local trains in Beijing urban rail transit based on the distribution characteristics of passenger flow; the study analyzes the advantages of express train schemes compared with the existing stopping schedules according to the specific passenger flow distribution. In this paper, four schemes are discussed, i.e., All-Stop, Stop-Skip, Non-Stop-Skip, and Non-allstop. Four different stopping modes of operation schemes and whether overtaking is necessary are analyzed and discussed. Compared with other modes of travel, such as public transportation and automobiles, rail transit produces the least amount of pollution per capita, which is also an important force for the country to promote green development. Then, from the three aspects of passenger travel time, line capacity, and operation cost of enterprises, the most suitable operation scheme for Beijing rail transit is found out. The present situation of Beijing rail transit is illustrated from five aspects: the time distribution characteristics of passenger flow, the spatial distribution characteristics of passenger flow, the distribution characteristics of average passenger stations, the distribution characteristics of passenger flow between stations, and the distribution characteristics of full load rate, and the suitability of different operation schemes for the reflected passenger flow characteristics is analyzed and discussed. The result suggests that the Non-all-stop express trains plan is the best choice for Beijing urban rail transit. Keywords Express/local trains · Urban rail transit · Stopping schedules · Distribution characteristic Y. Zhou · S. Zhou · Y. Xiao (B) · W. Chang School of Reliability and Systems Engineering, Beihang University, Beijing 100191, China e-mail: [email protected] B. Wang Beijing Transportation Information Center, Beijing 100161, China Beijing Key Laboratory for Comprehensive Traffic Operation Monitoring and Service, Beijing 100161, China F. Wei School of Economics and Management, Beihang University, Beijing 100191, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_45

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1 Introduction Urban rail transit has developed more and more rapidly in recent years, and its proportion in urban travel has increased year by year [1]. Compared with other modes of travel, such as public transportation and automobiles, rail transit produces the least amount of pollution per capita, which is also an important force for the country to promote green development. However, with the expansion of the rail transit network, more and more people are taking rail transit every day, and the ride distance is getting longer and longer. The traditional All-Stop program cannot fully meet the needs of urban rail transit development. At present, there are various driving plans for rail transit. Based on the actual situation of Beijing rail transit [2, 3], this paper analyzes the advantages and disadvantages of four different driving schemes [4, 5]. In addition, the existing passenger flow conditions are studied and the advantages of the Beijing rail transit express train compared to the existing model are discussed from various aspects.

2 Analysis of Operation Scheme 2.1 Existing Operating Scheme Before deciding on the operation plan of rail transit, it is necessary to know the stopping plan of rail transit. At present, the main stopping schemes are All-Stop, combination of express and local trains, and combination of express trains. Among them, the All-Stop program scheme is the most common one which is currently used in China. The express and local train schemes have been applied in New York, Tokyo, Paris, and other cities. At present, the mode of express train combination scheme in some cities is similar to that of this scheme, but not quite the same. (1) All-Stop scheme In the All-Stop scheme, the trains are parked at all stations of the rail transit [6]. In the current rail transit train stop plan, in addition to the single All-Stop scheme, the station-stop plan will also appear in the combination of the express/local trains. The operating organization is shown in Fig. 1.

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Fig. 2 Schematic diagram of three express combination schemes

(2) Stop-Skip scheme In the express/local train program, if the express train and the local train are operated by the split line [7], there will be no need for the express train and the local train to overtake. If the express train and the local train are operated by collinear and non-common rail, then there will be no need for the express train and the local train to overtake. Only when the express train and the local train are operated by collinear common rail, it is possible that the express train needs to exceed the idle train. At present, in the countries where the express train has been opened, the main method adopted is to set the crossing station at the station and need to go over the line. The train of the local train stops waiting for the train, and after the express train is over, the train continues to run. (3) Non-Stop-Skip scheme The express train and the local train are operated by collinear common rail [8, 9]. If you do not want to go through the situation, you need to adjust the departure interval between the express train and the local train and pay attention to the running speed of the express train. When it is possible to exceed the local train, decelerate or stop in advance to ensure that the rear express train will not exceed the preceding local train. (4) Non-all-stop scheme There is no All-Stop solution in the express plan [10], and several express trains complement each other to meet the travel needs of all passengers, ensuring that at least one express train will stop at the same time between the two stations. The operation organization is as shown in Fig. 2.

2.2 Domestic and Foreign Cases (1) New York Many foreign cities have adopted the combination of express and local trains, among which the rail transit in New York, USA [11] adopts the operation mode of collinear

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and noncollinear tracks. That is to say, the express and local trains run on the same route, but on different tracks, so there will be no problem of overtaking. Among them, four tracks and three tracks are operated, respectively. There are two local and express lines in the four tracks, which operate separately and do not interfere with each other. There are two local train lines and one express train line in the three tracks, mainly used for passenger flow with obvious tidal characteristics, in which the express line runs in the opposite direction sooner or later. In addition to the same platform operation, there are a few lines of New York rail transit express line and local train line located in the upper and lower levels, through stairs to achieve transfer. (2) Tokyo The operation mode of rail transit in Tokyo, Japan, is common rail [12]. That is to say, the express train and the local train run on the same track on the same line. In order to achieve overtaking, overtaking platforms are set up at some stations. When the express train passes through the crossing station, the local train waits on the local-moving avoidance line, and then the express train passes before starting. In addition, in order to facilitate the flexible organization of train operations, some lines of the Tokyo Metro also have a section crossing line. The operation mode of the Tokyo Metro express train is more complicated. In addition to the conventional one type of express train and the local train, there are three modes of operation: express, puppies, and local trains. The most complicated Jingcheng line has seven operating modes. (3) Paris The French rail transit adopts a branch operation mode [13]. The subway in downtown Paris was built in 1900. It has been more than 100 years old. The subway at the beginning mainly took on the traffic in the city. Later, as the population of the central city moved outwards, the passenger traffic of the suburban line increased rapidly, so a rapid interval track was established, referred to as RER. However, because the model size, driving speed, and signal system used by the RER are different from the original subway, and the traffic is on the left side, it is the opposite of the original one, so a new line is built separately. Due to the large transportation distance, the RER is set up in the suburban section in order to improve its own running speed and reduce passenger travel time. In addition, the newly built RER is built under the original urban subway, and most passengers have no way to transfer to the same station. (4) Berlin The German rail transit is also a branch operation mode. The German express train is called S-Bahn (Schnell-Bahn, meaning “express track”). It is similar to the RER in Paris. It also uses new lines on the suburban line but operates in the same city as the original subway.

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(5) London The London Airport Line is a collinear operation model that connects Heathrow International Airport and Paddington Station in London to the Heathrow Express and Heathrow Express [14]. It can be known that during the peak season, the station is equipped with a crossing line, and the express train can pass. In addition, in order to improve operational efficiency, the express train and the local train can also operate independently and complement each other.

2.3 Contrastive Analysis of the Effect of the Operation Scheme All-Stop scheme, Stop-Skip scheme, Non-Stop-Skip scheme, and Non-all-stop scheme are suitable for different lines. In this paper, four schemes are compared and analyzed according to the actual situation of Beijing rail transit. From the aspect of passenger travel time, the passengers in the All-Stop scheme need the longest travel time; only part of the passengers in the express/local train scheme can reduce the travel time, and the passengers who can reduce the travel time are limited to a few routes that can be reached by the express train. Moreover, for the Non-Stop-Skip scheme, the travel time that passengers can reduce is limited; the express train scheme can ensure that the travel time of most passengers can be reduced; only the passengers who take shorter distances, such as passengers who only take 1–2 stops, will not reduce the travel time. Therefore, it can be seen that the express train scheme is the most effective way to save passengers’ travel time. From the point of view of the line passing capacity, as long as the All-stop scheme ensures that the minimum safety interval between trains is not exceeded, the operation plan can be mapped to the maximum extent; in the express/local train scheme, the difference between the total travel time of the express train and the local train is large, so in the same time interval, the number of trains that can be mapped will be reduced. The total travel time difference between different types of express trains is much smaller than the total travel time difference of the previous express/local trains. Therefore, although the number of painted trains may be a little less than that of the All-stop scheme, it is much larger than that of the express/local trains. According to the actual situation of Beijing rail transit, the capacity of the line during the off-peak period is far greater than the demand of passenger flow. Therefore, the express train scheme can fully adapt to the current situation of Beijing rail transit. From the aspect of operation cost of enterprises, the number of stops in the stationstop scheme is the largest, and the number of trains needed is the largest because of the long total travel time; the express and local train scheme can reduce the number of stops to a certain extent, thus reducing the energy consumption required for the start and stop of trains and also reducing the number of trains needed. Among them, the turnaround time of express trains will be reduced, but the overtaking of express

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trains and local trains needs to be rectified at overtaking stations, which will cost a lot of money. In the course of no overtaking of express and local trains, it is also necessary to carry out a lot of rectification work on the lines if the lines are divided or not in common tracks. In the express train scheme, the number of stops of trains is the least among these schemes, and because all of them are express trains, the total turnaround time is the least, and the number of trains needed is the least. Moreover, the express train can run on the same track without additional planning. Therefore, in the direction of enterprise operation cost, express train scheme is the most cost-saving. According to the current situation of Beijing rail transit, there are few overtaking stations on the existing rail transit lines, but the cost is huge. Therefore, the express train scheme is a feasible one for Beijing rail transit.

3 Research on Express Train Scheme Based on Passenger Flow Conditions Urban rail transit is mainly responsible for the commuting and travel needs of urban residents. Reasonable operation mode of rail transit can not only effectively facilitate passengers’ travel needs, but also save the operation costs of enterprises. Therefore, it is necessary to summarize the characteristics of time and space distribution of passenger flow in rail transit, understand the different passenger flow characteristics of different lines, and study the advantages of express train schemes compared with the existing schemes according to the specific passenger flow distribution law.

3.1 Time Distribution Characteristics of Passenger Flow In the time distribution of urban rail transit passenger flow, the study mainly compares the passenger flow in and out of one hour as a unit with that in other periods of the day. By comparing the passenger flow of the same station in different time periods with that of the same line in different time periods, the time distribution characteristics of passenger flow of the same station and line are analyzed (Figs. 3 and 4). Inbound and outbound capacity 200000 150000 100000 50000 0

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The Feasibility Research on Express/Local Train … Fig. 4 Distribution chart of unit hour passenger flow at maximum passenger flow station

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The time distribution characteristic of passenger flow reflects the difference of passenger flow intensity in different periods, and hourly coefficient P is the index reflecting this characteristic. It refers to the ratio of passenger flow per unit hour to total passenger flow per day. The maximum value Pmax is defined as peak hour passenger transport coefficient, which can reflect the passenger flow in time. The calculation method of concentration degree is as follows. qi Pmax = Tmax i i=1 q i qmax —Maximum per hour passenger flow T —Total hours of rail transit operation i—Time serial number q i —Hourly passenger flow per unit. In order to reflect the equilibrium degree of passenger flow on rail transit lines, the equilibrium coefficient S is used to reflect the equilibrium degree of the lines. It refers to the ratio of the average value of passenger transport coefficient in peak period to the average value of passenger transport coefficient in peak period. Peak hours are 7:00–10:00 and 16:00–19:00 in a day, while the rest of the operating hours are off-peak hours. When the equilibrium index equals or exceeds 2.0, the distribution of passenger flow period is very uneven; when the equilibrium coefficient is between 1.5 and 1.9, the distribution of passenger flow period is generally uneven; when the equilibrium coefficient is less than 1.5, the distribution of passenger flow period is more balanced. The locations and functions of different urban rail links and passing areas are different in cities, which will lead to different time distribution patterns of passenger flow. By summarizing the time distribution pattern of urban rail transit passenger flow, it can be divided into the following four types.

(1) Single-peak type The line with this passenger flow time distribution pattern is mainly used to connect the city center with the residential area and to bear the needs of residents to go to work and commute, showing obvious tides.

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(2) Double-peak type The middle part of the line with this passenger flow time distribution pattern traverses the central area of the city and mainly undertakes the task of transporting passenger flow from the starting end and the end point to the central area, showing obvious two peaks in the morning and evening. (3) Full-peak type The lines with such passenger flow time distribution patterns are all located in the central area of the city. The functional areas and construction facilities along the line are relatively complete, and the passenger flow at all times is at a relatively high level. (4) Peakless type The line with this passenger flow time distribution is located in the suburb of the city. The functional areas and building facilities along the line are not perfect, and the passenger flow is at a relatively low level.

3.2 Spatial Distribution Characteristics of Passenger Flow In the spatial distribution of urban rail transit passenger flow, the main research direction distribution characteristics and section distribution characteristics are two aspects. Both of these features are related to the strength of the passenger flow in different directions and in different places. (1) Directional distribution characteristics The distribution characteristics of urban rail transit lines are mainly divided into two types according to the uplink and downlink passenger flow, two-way type and one-way type. Here, the analysis is also carried out on the passenger flow rate of passengers per hour. In the two-way distribution feature, the number of passengers on the same line or the same station is similar and the balance is better. Among the one-way distribution features, the number of passengers on the same line or the same station has a large difference in the number of uplinks and downlinks, and the degree of balance is poor. In Fig. 5, the blue line indicates upstream and the red line indicates downstream. The above picture shows the comparison of the number of people in the uplink and downlink of one of the stations. It can be clearly found that the difference between the number of people in the uplink and downlink in the station in this example is relatively large in some time periods. The spatial distribution characteristics of passenger flow reflect the difference of passenger flow intensity in different directions, and the direction equalization coefficient F is an indicator reflecting this characteristic. It refers to the maximum

The Feasibility Research on Express/Local Train … Fig. 5 Number of upstream and downstream passengers at the station

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value of passenger flow in the uplink and the downlink and the average total passenger flow of the uplink and the downlink. The ratio is calculated as follows. up

down ) max(qmax , qmax F = up down )/2 (qmax + qmax up

qmax —Maximum upstream traffic down —Downstream traffic maximum. qmax The direction equalization coefficient F is greater than or equal to 1, and the closer to 1, the better the line direction balance is. When F exceeds 1.5, it indicates that the line direction balance ability is poor. (2) Section distribution characteristics The spatial distribution characteristics of urban rail transit lines in one direction can be reflected by the passenger flow of the line sections. Due to the different areas of connection between the stations, the passenger flow between the different sections will be different (Fig. 6). The degree of unbalanced passenger flow in the line section is represented by the section equalization coefficient β, and the calculation method is as follows. qmax β = M i=1 qi

Fig. 6 8:00–9:00 section traffic statistics

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qmax —Maximum section traffic M—Maximum number of sections i—Section number qi —Passenger flow in each section. The section equalization coefficient β is greater than or equal to 1, and the closer to 1, the better the road section balance degree. When β exceeds 1.5, it indicates that the line section balance ability is poor. By summarizing the distribution patterns of urban rail transit passenger flow space, it is mainly divided into the following five types. (1) Convex type There are fewer passenger flows on both sides of the line, and the passenger flow in the middle section is higher, showing a distribution pattern with low middle and high sides. (2) Depression type There is less passenger flow in the middle section of the line, and the passenger flow on both sides of the line is higher, showing a distribution pattern of high and low in both sides. (3) Equal type The traffic flow of each section of the line is not much different, showing a relatively flat distribution pattern. (4) Gradient type There is less passenger flow at one end of the line, and the larger the passenger flow to the other end of the line, the more the distribution pattern from one end to the other. (5) Irregular type There is no obvious regular distribution of passenger flow in each section of the line, showing a random sudden or sudden distribution pattern.

3.3 Average Station Distribution Characteristics According to the data, the average transportation distance of Beijing rail transit was 16.59 km. According to the current length of Beijing rail transit lines and the number of stations, it can be obtained that the total length of the line is 611.2 km, the total number of stations is 395, and the average station spacing is 1.55 km. Therefore, it can be roughly considered that the average number of stations is: 16.59/1.55 ≈ 11 stations.

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3.4 Distribution Characteristics of Passenger Traffic Between Stations In the urban rail transit line, for the All-stop scheme, because each station needs parking, the amount of inbound and outbound can be considered together as the total passenger flow of the station. However, when considering the speeding and slowing down, it is necessary to consider the amount of the station in and out of the station separately, which is an important reference for selecting whether to stop the station. In addition, in urban rail transit lines, the proportion of traffic between stations is especially important for the choice of docking stations. Due to the different positioning between different sites, the traffic intensity between different sites will be different. The difference in the traffic flow balance between stations is expressed by μ. The calculation method is as follows. zi μ = M

i=1 z i

z i —Station traffic M—Maximum number between stations i—Station number. Figure 7 is a cumulative one-hour passenger flow chart of off-peak Metro Line in Beijing. In Fig. 8, the first red line represents 80% of the cumulative passenger flow, and the second red line represents 90% of the accumulated passenger flow. It can be seen that among the total of 56 stations, the passenger traffic to the 19th cumulative station reaches 80% of the total passenger traffic, and the 27th cumulative station passenger traffic reaches 90% of the total passenger traffic. The following is a cumulative map of the one-hour passenger flow between stations at the peak of the Beijing Metro Line. In Fig. 8, the first red line represents 80% of the cumulative passenger flow, and the second red line represents 90% of the accumulated passenger flow. Cumula ve traffic

1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 33 35 37 39 41 43 45 47 49 51 53 55

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12000 10000 8000 6000 4000 2000 0

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Fig. 8 Distribution of cumulative passenger flow during peak hours

It can be seen that among the total of 59 stations, the passenger traffic to the eleventh cumulative station reaches 80% of the total passenger traffic, and the passenger traffic to the 18th cumulative station reaches 90% of the total passenger traffic. As can be seen from the above two figures, the passenger traffic of rail transit is mainly concentrated in a small number of stations. Therefore, all stations are stopped, which will cause most passengers to waste time at the stop.

3.5 Full Load Rate Distribution The passenger flow intensity of urban rail transit is mainly manifested by the full load rate for passengers’ ride service experience. According to the survey, as long as it does not exceed 60%, the standards of each city consider passengers to be in a relatively comfortable state. The distribution of full load rate is generally divided into two parts according to the time period, the full load rate of the peak time period and the full load rate of the flat peak time period. As shown in Fig. 9. The red line in the figure represents a full load rate of 60%. 100% 80% 60% 40% 20% 0%

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It can be seen from the figure that the full load rate of most sections in the peak time period is above 60%, while the full load rate of all sections is below 40% in the flat peak time period. Therefore, the capacity of rail transit during the off-peak period is completely rich.

3.6 Express Train Scheme Effect Analysis Through the analysis of the above passenger flow conditions, combined with the actual situation of the Beijing rail transit line, it can be found that in the current Beijing rail transit, the passenger flow during the off-peak period is not high, and the indicator reflected in the passenger flow conditions is the section passenger flow and the full load rate. At present, the existing All-stop scheme can only start the vehicle in order to meet the minimum departure interval even if the passenger flow is known to be small, and the number of trains required in one time period will also be due to the long train running time of the All-stop. Moreover, this will lead to wastage of resources. However, after the express train scheme is adopted, the express train can concentrate the passenger flow to ensure the full load rate of the train while reducing the minimum train departure time, and the total travel time can be reduced to reduce the number of trains. In addition, the average number of passengers in Beijing rail transit passengers is 11 stations. With the existing All-stop program, passengers will have many stops on the way that are unnecessary for them, which will result in a comparison of travel time on passengers’ trains. Long, but after using the stop and stop program, you can reduce the parking at some sites, so that passengers can save time and stop waiting time due to parking, reducing their total travel time on the train. At present, among the passenger traffic between Beijing rail transit stations, less than 50% of the stations in Pingfeng period will account for 90% of the total passenger traffic. Therefore, the combination of some different types of express trains is optimized by express train. It can effectively ensure that passengers with large passenger traffic reduce the time of the car, thus satisfying the travel needs of most passengers, thereby ensuring the reduction of the total travel time of all passengers.

4 Conclusion In summary, we can find that, combined with the status quo of Beijing rail transit, the combination scheme of express train can not only adapt to Beijing’s passenger flow conditions, but also conform to its actual situation. It does not need to establish overpass stations because it is unrealistic for Beijing to set up a crossing station. And the combination of express train can also save the total travel time and passenger travel time, and the number of vehicles needed can be reduced. In addition, the combination of express train can concentrate the passenger flow during off-peak

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hours and improve the utilization efficiency of vehicles. Therefore, the combination scheme of express train is the most suitable for Beijing rail transit. Acknowledgements This work is supported by the National Natural Science Foundation of China (Grant Nos. 71971013 & 71871003 & 71501007) and the Fundamental Research Funds for the Central Universities (YWF-19-BJ-J-330). The study is also sponsored by the Technical Research Foundation (JSZL2016601A004).

References 1. Xue H, Yang P, Zhang H, Jing E (2019) Study on social benefit measurement model of urban rail transit. In: IOP conference series: earth and environmental science, vol 234 2. Rui-Hua XU, Qin L, Peng G (2009) Passenger flow distribution model and algorithm for urban rail transit network based on multi-route choice. J China Railway Soc 31(2):110–114 3. Dongquan Z, Lina W (2011) Passenger flow forecast of urban rail transit based on BP neural networks. In: International workshop on intelligent systems & applications. IEEE, New York 4. Sun P, Ding H (2012) Modeling and solution for optimization of urban rail transit operation scheme in off-peak period. Comput Eng Appl 5. Zhang P, Liu X, Chen M (2016) Optimal train scheduling under a flexible skip-stop scheme for urban rail transit based on smartcard data. IEEE international conference on intelligent rail transportation. IEEE, New York 6. Kikuchi S, Vuchic VR (1982) Transit vehicle stopping regimes and spacings. Transp Sci 16(3):311–331 7. Cao Z, Yuan Z, Li D (2014) Estimation method for a skip-stop operation strategy for urban rail transit in china. J Mod Transp 22(3):174–182 8. Feng S, Dian-Hai W, Hong-Yu HU, Dong-Fang MA (2012) Optimizing skip-stop operation of bus transit based on analysis of travel time. J Jilin Univ (Engineering and Technology Edition) 9. Liu Z, Yan Y (2013) Bus stop-skipping scheme with random travel time. Transp Res Part C Emerg Technol 35 10. Zhou PF, Han BM, Zhang Q (2014) High-speed railway passenger node classification method and train stops scheme. Appl Mech Mater 505–506:632–636 11. Loo BPY, Chen C, Chan E (2010) Rail-based transit-oriented development: lessons from New York City and Hong Kong. Landscape Urban Plan 97(3):202–212 12. Zhang BY, Yue H, Wang S (2013) Experience and reference of implementing public transport priority strategy dominated by urban rail transit in Tokyo. Appl Mech Mater 505–506, 813–819 13. Sun Y, Lin H (2010) The inspiration from paris rail transit system. Technol Econ Areas Commun 14. Liao C (2016) The economic effect analysis of PPP model in urban rail transit—illustrated by the London Underground and Beijing Metro Line 4. In: International conference on industrial economics system & industrial security engineering

Analysis of the Ideas of Ideological and Political Education and Scientific Management Hui-Yong Zeng, Shi-Qiang Wang, and Bin-Feng Zong

Abstract The significant aspect of the ideologies pursued by the political parties and the functioning of the army are deeply influenced by the principles of scientific management. The narratives of ideological as well as political education coupled with the fundamentals of scientific management immensely contribute to the construction vis-à-vis development of the military wing of the nation. In the current state, military functioning does not get adequate attention from education and management resulting in improper ideological resonance. In order to make education effectively aligned with the demand of the time and requirement of the officers as well as soldiers, seven important concepts of ideological education and scientific management are summarized here to improve management effectiveness. Keywords Ideological and political education · Scientific management · Ideas The key to ideological and political education is to highlight the prominence of various related literature concerning the present time and how it appeals to the stakeholders. In the present scenario of time, military functioning is independent of ideological and political education. This phenomenon may be attributed to the lack of geosexuality and the inability to analyse key points, etc. Another important concern in this state of affair is the negative attitude of officers and men towards listening, understanding, and remembering [1]. This wastes educational resources and makes officers and soldiers lose confidence in education itself. Therefore, it has become a top priority to make education close to the characteristics of the ongoing trends, to meet the tastes of officers and soldiers, and to earn the confidence of the people [2]. Based on the educational practice, this paper summarizes and puts forward the seven concepts related to the military’s ideological and political education, which has practical significance for improving the level of ideological and political education in the military [3].

H.-Y. Zeng · S.-Q. Wang · B.-F. Zong (B) Air and Missile-Defence College, Air Force Engineering University, Xi’an 710051, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_46

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Idea 1: Learn to listen first, real information can be targeted There are many ways to master the thoughts of officers and men. When the problem is well defined and indentified, then targeted education is more passive, and the education that does not influence logical thinking of officers and men has no practical significance. Education is used to solve problems, and it is important to identify the focus of the problem. At present, due to the rapid development of the situation, the tasks of the troops are frequently changed, and the opinions of the officers and men become diverse. Some of the teachers are still boring in the room to think about problems, finding hidden dangers through the backbone, and slapping their heads to think about countermeasures. This kind of education is away from practice and away from life. It is a flower and grass from the ground and a pavilion in the air. It is difficult to find a place in the heart of the officers and soldiers. It is difficult to resonate with everyone. Only by putting down the body, entering the class, integrating the officers and men to find ideas, and listening, can we get the most timely and valuable information, in order to be tailored for the officers and men, and truly targeted. Idea 2: Do not be greedy, focus on the theme to highlight the key points In education, we often want to express a lot of content. If we cannot control it well, it will lose the focus of the lecture. The greed of the pleadings leads to two kinds of results such as (a) they do not make it clear, making people feel messy and hear the clouds and (b) the officers and men are overloaded and cannot achieve the expected educational effects. Educational psychology has an important point: the average concentration of attention of young people is only 10–30 min. This requires the lecturer to highlight the theme, seize the prime time of the memory of the officers and men, and try to explain one or two questions thoroughly, so that officers and men can gain one or two views after one lesson, remember one or two cases, understanding one or two reasons. Idea 3: Speak the vernacular; the simple language is more real and touching Some educators always like to use the rhetoric and rich proportions to package the language. It seems that without this education, there is no passion and reason. But the fact is not the case. Deliberate carvings often become a stumbling block for officers and soldiers to understand. President Xi used to use the vernacular. He once said that “For the Communists, the common people are our parents,” “Be honest, tell the truth, do things honestly,” “Where is the time?” From the very beginning, the buttons of life will be deducted from the beginning, and the “savvy” and other ordinary and profound words will let the party members and the masses understand and go to everyone’s heart. “We have to listen to the vernacular”. This is the voice of the officers and men. The first line of soldiers should be less talkative, more truthful, and the officers and men will be willing to listen, understand, and remember. For example, some units have slogans such as “do not abandon, do not give up”, “running brothers” when grasping physical fitness, simple words, a few words of casual words, but can give the officers and men the motivation to stick to the end.

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Idea 4: Distribute as much as possible, and face-to-face communication is more appealing Officers and soldiers generally do not like to take lectures according to the textbook. When the lecturers read the manuscripts, even if the courseware is more exciting and logically strict, the officers and men will inevitably be troubled. Many successful lectures have been completed, which makes people feel sincere, infectious, and communication-free. At the same time, the release of the manuscript is more conducive to capture the changes in the sentiment of the officers and soldiers in real time. When you notice that you are not interested in a certain topic, you can adjust it in time. When you are suspicious, you can answer it in a timely manner and always master the rhythm of the class. If you are accompanied by eye contact, changes in tone, and expression of your body, it is easier to attract the attention of officers and soldiers and focus on education. Of course, it is not easy to teach off the lectures. The lecturers need to be familiar with the lesson plans and repeat the lectures. The cases should be handy and free to use them confidently to face the officers and men. Idea 5: More and more nearby, people and things around you are more convincing Facts speak louder than words. Sharp and precise views complement the right examples, allowing classes to stay away from the void, avoid tedium, and prevent dryness. It is correct to quote the classics and use the “old story” to say “new truth”, but the over-citing of classic examples can be counterproductive. The officers and soldiers are most concerned about the people around them and the recent events. If you repeatedly use the old story to tell the truth, the revolutionary models are always so few, the officers and soldiers are inevitably tired. Nature has also lost interest. In fact, the “earth gas” is around, the role model is in front of you, and there are countless examples of valuable life around the officers and men. Be good at discovering and summarizing. In the lectures, I will talk about the stories of my comrades around me. More recent events and cases will make the officers and soldiers form an intuitive and profound impression and make the content of education more convincing. Idea 6: Interaction is very important, one-way infusion is difficult to penetrate people’s hearts Education is a two-way communication activity. The teacher cannot just talk to himself in the classroom, regardless of whether the officers and men really understand and integrate into the heart [2]. The active classroom atmosphere is undoubtedly a powerful “stimulant”, which can make the educators more free and increase the desire of the officers and men to seek knowledge, and the sparks of thoughts from both sides can also stimulate more thinking and cognition of officers and soldiers. Some teachers can talk about boring content vividly and lively. Students are very fond of listening. One of the important reasons is to focus on interacting with students, throwing questions for students, and asking questions to encourage students to think positively. There are many ways to interact, questions, role exchanges, simulations, etc. With these methods, you can become “solo” as “symphony”, open the hearts of

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officers and soldiers, stimulate resonance, and achieve the effect of “spring rain, no sound”. Idea 7: Grasping the times, the use of the internet can promote education The network is one of the characteristics of this era, and it is also an inevitable need to build an informationized army. For this “double-edged sword”, it should not be limited to discussing the pros and cons, sparseness and blockage, but should focus on using resources and nutrition [3]. At present, the informatization construction of our army is progressing rapidly. The network has entered the military camp and entered the class, which has greatly enriched the educational resources. Encourage officers and men to consciously learn online in dealing with the matter of confidentiality, encounter difficulties and problems in daily work, training, and life, and seek help from the network. It is necessary to take the initiative to take the path of online teaching, move the classroom to the Internet, and carry out online thought surveys, online course selection, online teaching, interactive communication, and other activities, send microblogs, follow posts, give the soldiers a compliment, leave a few intimate, and strive to make the Internet a new position for ideological and political education. At the same time, the network should also be used to enrich the officers and men’s spare time, launch officers and soldiers to read, use the software, and create artistic works on the Internet. This will strive to make the network a “booster” for officers and men to grow into talents. Acknowledgements The paper is supported by the National Natural Science Foundation of China (Grant Nos. 61701527, 61601499) and the National Natural Science Foundation of Shaanxi Province (Grant Nos. 2019JQ-583, 2018JQ6023).

References 1. Zengguang X, Zongcang Q, Chen Y (2016) The cultivation of the ideological and political quality of military academy students should be exerted on the word “zhen”. J Air Force Eng Univ (Military Science Edition) 16(1):86–88 2. Hanyue W, Shuangshuang Z (2013) Five fields of scientific ideological and political education in the army. J Nanjing Inst Polit Sci 166(28):117–120 3. Bo Z (2014) Strengthening the fundamental follow-up of the era and charisma of the army’s ideological and political education. J Nanjing Inst Polit Sci 30(5):125–128

Application Research of Flexible Management in the Construction of Military School Teachers Hui-Yong Zeng, Tong Xu, Ji-Liang Cai, and Shi-Qiang Wang

Abstract In order to manage the faculties of the military school, the materialoriented management should replace people-oriented flexible management. Based on the theory of human nature hypothesis and demand hierarchy based on flexible management, this paper summarizes the necessity and feasibility of flexible management of military school teachers based on the research status of flexible management of military school teachers and puts forward specific measures for flexible management of military school teachers. It is recommended to effectively stimulate the enthusiasm, initiative, and creativity of teachers, thereby promoting the continuous and holistic development of teachers. Keywords Flexible management · Military school faculty · People-oriented · Flexible system mechanism Culture is the cornerstone of an institution, and the concept creates greater height for an institution. The country has entered a new era, and the construction of the military academy has embarked upon a new journey. In the face of the new situation of adjustment, reconstruction, and the creation of a first-class new mission, it is necessary to liberate from the out-of-date school-running mode, to pursue scientific research mode and training mode, and to plan and promote various constructions with new ideas according to President Xi. The current rigid management model of the military academy controls and supervises teachers with management methods and means such as authority, orders, policies, regulations, and codes making it easy for managers to fall into the “rational barriers” that they carefully weave. Limited managers ‘deep insight into teachers’ “soul and spirit.” The fundamental point of flexible management is “people-centered emotional management”—managers must strive for teachers’ sense of belonging and identity from all aspects. Form a working atmosphere of mutual respect, mutual understanding and trust between managers and teachers, and create a harmonious college culture [1]. H.-Y. Zeng · T. Xu · J.-L. Cai · S.-Q. Wang (B) Air and Missile-Defence College, Air Force Engineering University, Xi’an 710051, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_47

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1 Research Status of Flexible Management of Military School Teachers At present, most of the domestic and foreign management books on college teachers are concentrated on the construction of college teacher management theory. Some researchers mentioned the humanistic management of college teachers, but they only stopped to regard it as a means of teacher management to understand and did not systematically explore how to permeate flexible ideas into all aspects of teacher management. The flexible management has not been refined and has risen to the theoretical level. Another group of the researchers pay more attention to the specific countermeasures and suggestions for the flexible management of college teachers, and there is not much discussion on how to form a management mechanism. From the published literature, the application report of flexible management in the construction of military school faculty has not been seen observed. Foreign military academies attach great importance to the management of the teaching staff. The US military believes that there is no high-quality college management, just as the military does not have weapons. Therefore, the relevant theories invest a lot of manpower and financial resources to conduct special research. The US military has also promulgated the “institutional training management system” and other laws and regulations, striving for institutions. The US military has also promulgated regulations and systems such as “academy training management system” to strive for the best results. The Russian military believes that the military academy is a “place to temper future officers.” The level of scientific management of its faculty is “related to the safety of the country.” In order to strengthen the scientific management of college teachers, the Russian military has also formulated a series of rules and regulations [2]. Our military academies also attach great importance to the management of the teaching staff and have accumulated rich experience in the long-term development process. In the era of revolutionary wars, our army attached great importance to the management of college teachers, paid attention to inheriting the excellent traditions of military education management in ancient and modern China and foreign countries, and formed a set of unique management systems and management methods. Since the Third Plenary Session of the Eleventh Central Committee of the Communist Party of China, military academies have entered a new period of development. The Central Military Commission has promulgated the “Decision on the Reform of Military Academy Education,” which has promoted the reform of education and management in colleges and universities. Management has created many new experiences. At this stage, with the continuous deepening of the reform of military academies, the Central Military Commission has promulgated a series of regulatory documents, vigorously promoted management innovation, promoted the reform of the education system of colleges and universities, vigorously strengthened the construction of the faculty, and improved the laws and regulations as soon as possible. Management has injected great vitality [3].

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Looking at the research status of the management of the teaching staff inside and outside the military, it can be seen that the foreign military has deep theoretical research on the construction and management of the teaching staff, and it is also effective in practice. Our military’s research on the construction and management of the teaching staff is mostly qualitative research, especially in the context of flexible management. There is a lack of unified understanding, and no relevant reports have been seen. Therefore, using the research results at home and abroad as well as inside and outside the military, using the theory of education and management, systematically studying the application of flexible management in the construction of military school teachers, is a basic starting point of this paper.

2 The Necessity and Feasibility of Flexible Management of Military School Teachers The current college faculty is mainly based on mechanistic system and structure. Emphasis on rational analysis and strict control in the management process is mainly reflected in: 1. Colleges and universities are regarded as a “rational” organization. Managers emphasize the authority, hierarchy, and normative behavior of various organizations, while ignoring the role of teachers’ emotions, personality, desires, and abilities. 2. In terms of management methods, managers are accustomed to using administrative methods to promote work and act in accordance with the “Chief Executive’s Will.” What you say above, what you do below. Management is a top-down management, ignoring bottom-up management and horizontal communication and collaboration. This top-down vertical management and simple implementation of “reengineering decision-making” affect the teacher’s self-consciousness and enthusiasm. 3. In terms of teaching management, managers set strict teaching procedures and rules. Teachers have a fixed pattern of how to prepare and teach. The progress requirements of teaching and the evaluation of teaching are forced to be uniform, and the standardization is required. The characteristics of teacher labor and the personality of teachers are not fully respected. 4. In terms of management, inspection and evaluation are cumbersome and there is too much quantitative management. It not only increases the teachers’ burden, but also restrains their creativity. Make rich and diverse education and teaching activities into rigid, dull, lack of vitality mechanical procedures [3]. In this context, the management of the military school faculty needs to change the rigid management of the object-oriented to the flexible management of people-oriented. The implementation of flexible management generally needs to have the following foundations: Firstly, the development environment in which the organization is

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located in complex and variable, and it is impossible to make more accurate predictions and planning arrangements. Secondly, the activities undertaken are more competitive, and there are more unknown factors in competition. Thirdly, members having a higher level of literacy and certain professional knowledge and professional ethics are more self-disciplined [4]. At present, military academies are in the midst of the tide of military reform, they are faced with various competitive pressures such as double-class, and military school teachers have a high level of culture, rich professional knowledge, strong professional ethics, and self-discipline. Therefore, the application of flexible management in the military school faculty is both an inevitable trend and realistic.

3 The Military School Teacher Team Flexible Management Measures Recommendations The key to creating a first-class military school and establishing a flexible management mechanism is to provide a good policy environment, academic atmosphere, and mechanism guaranteed for the majority of faculty members, especially to balance our current research policies, whether military or basic research, or equipment. Scientific research, in the recognition of work, the identification of results, and related treatments, can be treated equally, so that everyone can do things in the field they are good at, and form a good situation with multiple efforts and flowers.

3.1 Adhere to the Correct Leadership of the Party The report of the 19th National Congress clearly pointed out that we must uphold the party’s leadership and overall work. The military academy is a military academy under the leadership of the party. Upholding the party’s leadership, strengthening party building, and strictly administering the party strictly are the fundamental guarantees for a good military school. Keep the right direction. Political construction is related to the nature, direction, and soul of the institution. President Xi stressed: “We must adhere to the ideological and political construction of the school, and do all the teaching activities, all scientific research activities, and all school activities to carry out the requirements of political construction.” I insist on using the new era of the army to arm the mind. We will build political schools, educate people, and achieve new results in pure thoughts, pure teams, and pure ecology. We will achieve “threefooted platform without noise” to ensure that the military academy always moves in the right direction. We must build a strong party committee. Comrade Mao Zedong once pointed out that the most important issue for a military academy is to choose the principal, the faculty, and the prescribed education policy. Managers must have “a sense of panic,” continuously strengthen the learning of innovative theory, higher

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education, military technology and other knowledge. They should familiar with the rules of running schools and educating people, improve political and business skills, and become a person who knows how to run a school and strive to be a first-class practitioner. In order to cultivate good style, President Xi stressed that “the wind can not stop, the style of work will always be on the road.” Leaders and institutions must reflect on whether they really care for and respect teachers and students. Is it really to solve the problem of solving the grassroots? So, we must constantly strengthen the idea that leadership is service, persevered strengthen the work style, and strictly grasp the situation. The style of work has really brought the new wind up. With the establishment of a flexible management mechanism, party committees must first emancipate their minds and change their style of work.

3.2 Opening the Horizon of Flexible Thinking Today, in the era of globalization, international exchanges and cooperation have become the fifth function of the institutions. To create a world-class military school, open communication is indispensable. We must broaden our horizons, focus on the development trend of the world, base on the overall development of the country’s society, and carefully analyze the strategic background and internal and external environment, good opportunities and severe challenges, realistic foundations and development prospects, development orientation and stage characteristics, and forwardlooking vision and world. The vision is to plan the future construction of the military academy, in order to catch holdup with the determination and self-confidence of transcendence, to take advantage of the long-term use of the people, to take out the specific measures of overtaking in the corner, and to seize the commanding heights of personnel training in military struggle. Therefore, we must change from the rigid management ideas in the past to the flexible management ideas in the concept of ideas. We must be proactive in reform and remodeling. A strong army must train, training requires change, and change is reshaping. To create a first-class military school, we must not follow the old rules, and only bold innovation can advance. In the new round of reforms, the institutional structure, training tasks, and security models of many military academies have undergone great changes. It is necessary to break the shackles of traditional concepts, break the inertial thinking mode, break the barriers of inherent interests, and reconstruct and reshape the training system, work processes, and management mechanisms. We must have the courage of reform and the idea of change, to face the deep-seated contradictions that currently restrict and influence the construction and development of the faculty of the military academy, to persist in breaking through and inheriting innovation, and to inherit and promote the development of colleges and universities. We will continue to improve in practice, and we must study the new situations and new problems that have emerged in the reform in a timely manner and come up with measures to resolutely abolish the progress and development.

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3.3 Establishing a Flexible Governance Model Military academies are a special place, embodying an administrative organization and an academic group. If it is too administrative, colleges and universities are like military camps. Without academic freedom, it is difficult for teachers to let go and pursue the unknown world. At the same time, however, the operation of the modern military academy involves many elements of resources. Without coordination and coordination, it will become loose sand, and there will be no unified will and synergy. Therefore, we must adhere to the flexible governance model of party committee leadership and expert scholarship. The duties of party committees and leaders are to grasp the development direction and key points of the school, weigh all kinds of advantages and disadvantages, weigh the policy mechanism of resource allocation, and unite and lead the whole school staff to work hard for the first-class goal, but do not care about academic content such as subjects, courses, and scientific research. Too much, give the professors to academic democracy. This is also the return to the true nature of running a school.

3.4 Creating a Flexible College Culture The environment is soft and hard. The soft environment is the rules and institutional mechanisms for the operation of military schools. The environmental atmosphere is higher than the military school culture. There are many explanations for the military school culture, but generally agree with the view: the spiritual culture consisting of values, ideal pursuit, thinking mode, moral emotion, etc.; the institutional culture consisting of the military school organization structure and its operational rules; and the military physics environmental culture composed of space and facilities. The first-class military school relies on culture, the second-rate military school relies on the system, and the third-rate military school relies on people. After the reform and reform, many colleges and universities have scattered resources, fragmentation, barriers to interests, industrial barriers, and the advantages of comprehensive systems. It is very important to have a spirit and culture that has not yet formed a unified consensus. The military academy is a big stage. This stage is built for the faculty and students. It is necessary for all officers and men to be able to show their talents and talents on this stage, to show their talents, and to realize the value of life. Therefore, we must strive to promote the development of military schools and promote the growth of officers and men into talents, and strive to create a flexible spiritual culture that conforms to the actual situation of military schools. Environmental construction should rationally plan the layout, expand the educational space, take into account the beautification and materialization, and embody humanistic care; the campus culture should focus on absorbing advanced culture, thick and profound humanities, highlighting the characteristics of the military academy, and condensing the spirit of the college; the awards are good and bad, and the internal motivation of all kinds

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of personnel in the school is mobilized. Let everyone study, work, and live in the military school that is comfortable and enjoyable. They have a sense of acquisition, pride, and honor. They truly unite the strong will and strength of the officers and men to create a first-class military school.

4 Conclusions In order to realize the “people-oriented” flexible management, it is necessary to construct a flexible management mechanism and system in the military school faculty, which is embodied in the “people-oriented” flexible management concept, flexible college organizational structure, flexible evaluation system, personalized flexible incentive mechanism, flexible training mechanism of the system, and flexible campus culture. With the advent of knowledge economy, management has become humanized, knowledgeable, flexible, and networked. Therefore, human resource management must also achieve corresponding innovation. Specific to the management of the military school faculty, it is necessary to establish new concepts with higher requirements, establish a mechanism for talents to stand out, create an environment conducive to talent innovation, and comprehensively improve the quality of human resources [5]. However, at present, the management of the military faculty still emphasizes the rigid management of control and supervision. The management concept is old, the management system is rigid, and the management mechanism is lacking. It is not conducive to the exploration of the most active and creative teachers’ potential in military schools. And flexible management is based on the “people-oriented” emphasis on flexibility and flexibility, democracy and cooperation. It breaks through the rigid management thinking mode and operation mode; realize the humanization and flexibility of management methods; can effectively stimulate teachers’ enthusiasm, initiative and creativity; and explore potentials in depth to promote sustainable and comprehensive development of teachers. Moreover, in recent years, flexible management ideas have been well used in knowledge-based enterprises and local colleges and universities. In view of the great similarities between the characteristics of military school teachers and knowledge-based enterprises and local colleges and universities, attempts to introduce them into military school teachers, flexible management has certain theoretical and practical significance. Acknowledgements The paper is supported by the National Natural Science Foundation of China (Grant No. 61701527, 61601499) and the National Natural Science Foundation of Shaanxi Province (Grant No. 2019JQ-583, 2018JQ6023).

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References 1. Li C (2009) On the enthusiasm of mobilizing college teachers with flexible management. Manage Obs 10:60–64 2. Lu B (2001) Flexible management: a new perspective of teacher incentives. J Guangxi Normal Univ Philos Soc Sci 4:85–88 3. Fang M, Li T (2008) The application of flexible management in teacher management. J Anhui Vocat Tech Coll 1:71–74 4. Zhang W (2006) How to implement flexible management. Nat Libr J 1:23–24 5. Wang H, Cao S, Qi Z (2017) The education of military academies should always be forwardlooking. J Air Force Eng Univ Mil Sci Edn 17(03):94–97

The Three “Hands” of the Grassroots Company’s Chief Executives to Improve Their Workability Dong-Li Tang, Hui-Yong Zeng, and Qin Zhang

Abstract The grassroots company leaders are the leaders of grassroots construction. They are the direct leaders, organizers, and managers of the grassroots tasks. Their ability to work directly affects the overall construction of the grassroots and the morale of officers and men. To this end, this paper discusses “unite strength, conscientiously to do a good job of unity”, “lead by example, model lead to establish prestige,” and “face up to criticism and actively face difficulties and contradictions” the three aspects as a starting point to improve the workability and level of the grassroots company. Keywords Chief of the grassroots company · Ability to work · Grip The grassroots level is the basis for all the work and combat effectiveness of the military. The party’s line policy and superior decision-making must be implemented at the grassroots level. All tasks of the army must be completed at the grassroots level. The effectiveness of all work must be reflected at the grassroots level. To maintain a high degree of stability and centralization of the army, we must stabilize the grassroots. The grassroots are not doing well, and all the work of the troops cannot be discussed [1]. The grassroots chiefs, especially the grassroots company chiefs, are the leaders of grassroots construction. They are the direct leaders, organizers, and managers of the grassroots tasks. They can work in this position and receive the trust and great honor of the organization. Generally speaking, the chiefs of the grassroots company must fight with the officers and men, operate weapons, eliminate faults, organize education, carry out activities, and solve difficulties. Although they are accompanied by exhaustion and boring, they can improve their ability, experience their will, and sublimate their lives. This is also the special responsibility and glory of being a chief of the grassroots company. How can the chief of the grassroots company open the work situation as soon as possible and adapt to the new job position? The author believes that the following three “hands-on” can improve workability. D.-L. Tang · H.-Y. Zeng (B) · Q. Zhang Air and Missile-Defence College, Air Force Engineering University, Xi’an 710051, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_48

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1 Unite Strength, Conscientiously to Do a Good Job of Unity The key to measuring the quality of a grassroots company is to see if there is a team that is united, pragmatic, and innovative. The military chief and the political chief must work together to unite the people in the branch and move toward to set goals in order to be a good family and a good deed. At the grassroots company, special attention should be paid to the relationship between the team and the partner. The two officials must communicate and communicate actively, talk about work, stay home, have a long time, more and more words, more and more hearts, and deeper feelings. In the work, we must unite and cooperate, talk about principles in big things, talk about feelings in small things, be concerned with the development and construction of the troops, dare to be true, adhere to principles, and supervise each other; in life, care for each other, understand each other, and point out shortcomings. Complement each other and play together. The two officials should seek the commonality of bringing the company to the advanced group. They should learn from each other if they have strengths. They should remind each other if there are shortcomings. If they have difficulties, they should help each other, then mutual humility [2]. It is necessary to note that maintaining unity is a kind of consciousness. Being and uniting are the levels, and solidarity is a political achievement. The two chiefs must conscientiously do a good job with the members of the branch. In normal work, I will deal with the situation, strengthen my understanding, listen carefully to the opinions and suggestions of the platoon leader, enhance unity, form the joint force of the branch and grasp the work, and let the mind go to one place and make it to the next place. Members who did not understand the direction of the committee were humbly learning. When the meeting was held, the committee members were allowed to express their opinions. At the same time, we must be good at and dare to carry out criticism and self-criticism. If there is a problem in the work, we must not only blame members, dare to “surge” themselves, and analyze ourselves. The main body of the company management object is the warrior. The management work is inseparable from the participation of the majority of soldiers, especially the old sergeants. The old sergeant is the backbone of the warrior team and plays an important role in the fields of education, management, and training. The leader of progress is the intimate person of the warrior’s work and life, and the warrior who obeys the law. However, some old sergeants have insufficient motivation to work, and their own requirements are not strict. After some changes to a certain rank, they feel that they are at the end of the army, and they only want to go through their work. Some feel that they are old, have many experiences, and are not convinced of young cadres. In this case, you should actively communicate with the soldiers, find out the crux of the problem, and give full play to the strengths of the soldiers; at the same time, communicate with the platoon leader in a timely manner, pay attention to maintain the prestige of the platoon leader in the minds of officers and soldiers; as long as it is not a matter of principle, try to be privately reminded.

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2 Lead by Example, Model Lead to Establish Prestige A group of geese fly high, all headed by the head geese. The chief officer is a soldier on the front line. He and the soldiers get along with each other. The soldiers not only see what the chief officer said, but also pay more attention to the chief officer. If you want to bring a good company, you must not only grind your mouth, but also grind your feet. Only by taking the lead and leading by example you can win their trust and respect. The chief of the grassroots company must have a strong sense of professionalism and a high sense of responsibility to be in place, to seek government, and to do their duty. The chief officer should take the lead in daily affairs, personally manage the work, and actively solve practical problems. The chief officer of the grassroots company, as the leader of the company, should go ahead and take the lead. Dare to “see me, come with me,” to appeal to people with truth and personality charm, to take the lead in the image of the tree, to be strict with self-discipline, to ask everyone to do it first, and to ask everyone not to do it. At the same time, the chiefs of the grassroots company have a major responsibility. Generally speaking, they have more or fewer rights. It is necessary to be soberly aware that these rights are given by the party organizations. This requires the chief officer to do: 1. Strict self-discipline. Take control of the hand, do not take things firmly, do not take; control the legs, should not go to the occasion, not to go, to control the people under their hands, to prevent personnel from oversight, loss of control, out of control. 2. Open, fair, and just. Do not engage in group gangs, do not engage in small circles, treat the subordinates fairly, use the people to let the mediocrity, enable, and promote democracy, solicit more opinions from others, put an end to the words, and must act in accordance with the principles [3]. In dealing with sensitive issues related to the vital interests of officers and men, such as joining the party, retiring veterans, soldiers’ by-elections, and meritorious evaluations, we must always adhere to the people-oriented principle, act in accordance with the rules, persist in seeking truth and being pragmatic, and do not engage in soil policies and good company building. We must adhere to the principle of “working like the hardest relationship as long as the work is done well.”

3 Face up to Criticism and Actively Face Difficulties and Contradictions As the company’s chief officer, all employees and materials and equipment need to be responsible for you. Sometimes you do not have enough research on your own work, or you can understand the deviation of your superiors’ intentions, or your work is not concentrated, and your preparations are not solid. You will be criticized and even disciplined by the leading organs.

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To treat criticism, we must first strengthen a belief. As a soldier, he has to face many special tests in fulfilling his duties. He must take the hardships and dangers at his feet, kill his life and death, kill the enemy on the battlefield, and stay in the heart. For this reason, the soldiers must suffer setbacks. The tenacious will and the courage to meet the challenge. With this kind of conviction, we can face up to the difficulties and contradictions in the process of advancement, take it seriously, and treat it with a positive attitude. Second, we must cultivate a will. To deal with failure or setbacks, we must have a strong will, be good at self-psychological adjustment, and establish a corresponding psychological protection mechanism. We must realize that a person is not smooth in the process of growing up, and that frustrations are inevitable, and they must be broad-minded and strong-willed. The state of mind is calm. Finally, self-treatment is required. The first is the emotional transfer method. When you are upset, you may wish to go to the empty place to shout, listen, or see. The second is empathy. “If I am a bystander, how should I look at this?” Through this reversal of transposition, the mind can be calm and rational. The third is the selfremind method. If you are in trouble, you should secretly remind yourself, “there are so many troubles now, and why bother to seek torture?” The fourth is to talk to people and listen to other people’s opinions. It may help to dispel the depression and troubles of frustration and may produce the effect of “dark flowers and flowers.” In short, the army is a melting pot, and the position of the chief of the grassroots company is the hottest point. As the chief official, we must maintain our love for the fertile ground at the grassroots level and repose of this passionate and challenging position. “The wind and the waves will have time, the clouds will sail directly to the sea,” and there will be three “hands-on powers,” “leading by example” and “face-toface criticism” to improve the ability of the grassroots officials. In the tide of training, “can fight, win and win,” sail and set sail, and strive to sail. Acknowledgements The paper is supported by the National Natural Science Foundation of China (Grant No. 61701527, 61601499) and the National Natural Science Foundation of Shaanxi Province (Grant No. 2019JQ-583, 2018JQ6023).

References 1. Yichang Luo (2013) Several issues that need to be resolved in the reform of the sense of responsibility of the grassroots officials. Theor Res Mil Polit Work 14(4):79–81 2. Chen G, Wu Q (2005) The Sixth Character of the Chief Officials at the Grassroots Level. J Polit Sci Technol 11:36–37 3. Shuai Q (2015) Grassroots officials must work hard to strengthen their own abilities and qualities. Polit Instructor 08:48–49

Design of Photoelectric Detection Circuit Against Background Light Interference Cao Yong, Wang Xiao, Zhou Heng, Zheng Yifan, and Liu Yi

Abstract In order to solve the problem of optical signal detections by photocell in laser simulation resistance, this paper suggests the methods to remove the strong background light and miscellaneous waves interference by improving the circuit, and designs an anti-saturation photoelectric transform circuit, gives the computational formulas of internal noise, designs a narrow band-pass filter circuit, and finishes the detected experiments of laser-coding signal whose frequency is 27.934 kHz under the interference of strong background light. Keywords Detection circuit · Photocell · Anti-saturation · Filter

1 Introduction Laser countermeasure simulation system uses laser-coded signals to simulate the shooting effect of weapons, which has a wide application prospect in military exercises and daily training of troops. The system works mostly in field-training places, and the environment background light is complex, vibration, occlusion, and clutter interference are many. Therefore, there are special requirements for optoelectronic receiver selection, such as stable parameters, large receiving area, no need of external power supply, good temperature characteristics, and so on. In the existing photoelectric detectors, the comprehensive characteristics of photovoltaic cells meet the above requirements. Therefore, photovoltaic cells are usually used as receivers in countermeasure systems [1]. However, the use of photovoltaic cells also brings problems. When detecting lasercoded signals, the circuit is affected by the working environment background light. If no measures are taken to suppress the background light, the photovoltaic cells will output saturation under the strong background light irradiation, and will not respond C. Yong · W. Xiao · Z. Yifan (B) · L. Yi Weapons and Control Department, Army Armored Force Academy, Beijing 100072, China e-mail: [email protected] Z. Heng Security Department, Xinjiang Military Region, Xinjiang 830000, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_49

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to the signal beam to be detected. The working environment of the system is complex, and it is vulnerable to clutter interference from air and other weapons. Moreover, the internal noise of the device is large and the response time is slow.

2 Analysis of Sources and Feature of Electrocircuit Interference Noise The result of the electric signal which is sent out by the photoelectric testing electrocircuit is affected by many noises. The origin of noise interference is mainly the below two classes: one is the inside noise from photodetectors; the other is the bias light and clutter interference noise.

2.1 Characteristic Analysis of Photovoltaic Cells The equivalent circuit of the photocell is shown in Fig. 1. Current–voltage relationship based on photovoltaic effect [2].  eV  J = J0 e kT − 1 − JSC

(1)

In the formula, J 0 is the equivalent reverse-saturated current density of the diode and J SC is the short circuit current density. In Fig. 1, the voltage V C at both ends of the diode C d is Vc = I L (R L + R S )

(2)

By substituting (2) into (1) and simplifying it, the output current J can be obtained as follows  J = JSC

Fig. 1 Photocell equivalent circuit

e A(R L + R S ) J0 −1 kT

−1 (3)

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It can be seen that the output current is proportional to the short circuit current, and in order to obtain a high output voltage response, the load resistance RL should be as large as possible while maintaining the linear response. The Rd value of the photocell is usually very large, for example, the silicon photocell is usually greater than 106 . In the equivalent circuit of the photocell, there is Rd  (RS + RL ), which can be obtained [3]. VS =

IL RL 1 + jw(R S + R L )Cd

(4)

It can be seen from the formula that τ = (RS + RL )C d , so the response time of photovoltaic cell is determined by the product of the junction capacitance and the load resistance of the detector, and the junction capacitance is determined by the area of the photovoltaic cell. Therefore, in order to obtain a shorter response time and a higher cutoff frequency, the load resistance RL should be as small as possible. From the above analysis, it can be seen that the choice of load is contradictory, and it is difficult to take into account the requirements of high signal output voltage response and faster response time. In this paper, an equivalent circuit with variable load is designed to solve this problem.

3 Circuit Design 3.1 Design of Anti-saturation Photoelectric Conversion Circuit An anti-saturation photoelectric conversion circuit using silicon photovoltaic cells is shown in Fig. 2. The saturation voltage U 1 of the photovoltaic cell in the circuit is about 1.2 V. R1 and R2 are partial resistance with the resistance ratio of R1 /R2 = 7/3. When the output voltage of photovoltaic cell is less than 1 V, the circuit works normally. Fig. 2 Anti-saturation photoelectric conversion circuit

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U 1.2V 1V

U1 U0

T

When the ambient light intensity is too high, when the output voltage U 0 is greater than 1 V, the voltage Uce will be greater than 0.7 V, and the voltage on R1 will be 0.7 V. The transistor conducts to form a short circuit, which reduces the voltage on the photovoltaic cell, inhibits the output saturation of the photovoltaic cell, and maintains a balance around 1 V, so that the photovoltaic cell can receive the lasercoded signal in a voltage space. The anti-saturation diagram of the circuit under strong background light is shown in Fig. 3. Resistors R1 , R2 , capacitor C 1 , and transistor Q1 form branches in Fig. 2. The characteristics of capacitor short circuit to AC signal and open circuit to DC signal make them equivalent to load RL with variable resistance. When the saturated signal is passed, the capacitor C 1 cuts off, and the corresponding load resistance becomes larger. When the alternating current signal changes, the capacitor C 1 conducts to the ground and reduces the equivalent load resistance value [4]. Thus, the higher output voltage response is taken into account as well as the faster response time. The equivalent circuit of the photoelectric conversion circuit is shown in Fig. 4. The capacitance Cc in the circuit can effectively filter out the influence of DC signal. Adjusting Rb can form a simple filter circuit. The circuit can not only eliminate the interference of background light but also improve the time and voltage response of photoelectric conversion circuit. Fig. 4 Equivalent circuit of photoelectric conversion circuit

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Fig. 5 Multiple feedback band-pass filters

3.2 Design of Band-Pass Filter A band-pass filter is a filter that can attenuate signals lower than f p1 and higher than f p2 through signals with frequencies between the low-frequency cutoff frequency f p1 and the high-frequency cutoff frequency f p2 . As shown in Fig. 5, the multi-feedback band-pass filter is simple and easy to adjust the center frequency f 0 . MULTISIM circuit simulation software is used to simulate the circuit. The simulation results are shown in Fig. 6. The central frequency of the filter circuit is f 0 = 27.934 kHz Its bandwidth is  f = f p2 − f p1 = 2.749 kHz Narrowband filter can effectively reduce noise interference and filter out clutter interference. Fig. 6 Amplitude-frequency characteristics of filter circuits

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Fig. 7 Output waveform of anti-saturation photoelectric conversion circuit

Fig. 8 Output waveform after filtering and shaping

4 Circuit Debugging and Experimental Verification Under the condition of external background light interference, the photovoltaic cell is irradiated with a laser-coded signal of 27.934 kHz. The waveform of the antisaturation photoelectric conversion circuit is shown in Fig. 7. After photoelectric conversion circuit, the output signal is shaped by band-pass filter, and the waveform shown in Fig. 8 is obtained. Through the analysis of the output results, it can be seen that the circuit has completed the detection of laser-coded signal under strong background light and clutter interference.

5 Conclusion Based on the photoelectric detection problems encountered in laser countermeasure simulation system, this paper studies the measures to improve the signal-to-noise ratio and anti-interference of photoelectric detection circuit, and designs a low-noise

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photoelectric detection circuit with strong background light and clutter interference resistance. The experimental results show that the design scheme is feasible.

References 1. Shen B (2010) Research on laser single soldier countermeasure training simulation system. Institute of Armored Forces Engineering, Beijing, p 12 2. Liu Z (2006) Photoelectric detection technology and application. University of Aeronautics and Astronautics Press, Beijing, p 3 3. Wang H (2008) Principle and application of photoelectric technology. National Defense Industry Press, Beijing, p 8 4. Wang L (2007) Design and experimental study of photoelectric detection circuit. Jilin University, Jilin

The Influences of Expectations and Future Directions Pwint Kay Khine, Jianing Mi, and Shahid Raza

Abstract This study examines all the possible influences of expectations in the predicting process of performance or outcomes. Studies have much done on the impact of expectations on outcomes and the influences on expectations. However, the paradox of expectations is still unsolvable. Researchers shape expectations as predictors of future. It is not clear how one can predict the future actions by the expectations. The aim of this study is in search of the gap in the literature of the complex relations between expectations and satisfactions and to improve the better understanding of expectations. Our contributions are: (1) the more the gap of time difference between the previous experience and current one, the more decline the level of expectation, (2) self-expectation is the outcome of others’ expectation, and (3) the impact of expectations of guardians or significant person on the expectations of a student can be used as a tool to indirectly guide the career choices of a student. The future researches should focus on (1) long-term and short-term phenomena, (2) the association between high expectation and relief pain, (3) education of patients and expectations of improvement in exercise, and lastly, (4) expectations due to political conditions. Keywords Demographic factor · Expectations · Outcomes · Performance · Satisfaction

1 Introduction Expectations are the nature of human beings; whenever people encounter any event or any situation, people inevitably have expectations. And yet expectations are related to outcomes, expectations may not totally coincide with outcomes/results. This is due to the complex influences on expectations and the complex influences of expectations on outcomes. This study will highlight all possible influences on expectations and to examine the influences of expectations on outcomes. Many studies have been done P. K. Khine (B) · J. Mi · S. Raza School of Management, Harbin Institute of Technology, Harbin, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_50

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repeatedly on the impact of expectations. However, the paradox of expectations is unable to solve. The aim of this study is to fill this gap and contribute important findings to the literature of this area.

2 Expectations There is no agreement among researchers regarding the conceptual explanation of expectations [1]. Some literatures view expectations as the predictions based on their similar experiences in the past [1], while others regard as similar to desires and/or perceptions [2]. Expectation is a sort of human instinct and is inseparable since our childhood. For example, after a child has experienced of getting his first toy, the child will expect another toy. For an orphan, who has never received a toy, the expectation to receive a toy will be lower or none. This is because expectation reflects what people have experienced earlier. Researchers shape expectations as predictors of future. It is not clear how one can foresee the future actions by the present expectations. While people encounter the familiar event which had happened to them before, it can assume that they may have the similar expectation. Yet the level of expectations can be lower compared to that of the first time owing to other external factors. Hence, these external influences on expectations are needed to be examined. The personal well-being of people is one of the factors affecting low and high status of their expectations. At this point, well-being means people who are in good shape or people who have better physical functions, because healthy people are more likely to be optimistic than people who are not. Gandhi et al. [3] proved that obese patients have low expectations to recover than normal-weight patients. Besides, age is also a different factor affecting the level of expectation. Researches showed that older age patients have low expectation than younger age patients [4]. From this, we can assume that even when people face the similar incident, the level of expectations may adjust in consequence of the personal factors (i.e., age and physical health). The more the gap of time difference between the previous experience and current one, the more decline the level of expectation. As expectation is related to results, many researchers tend to link expectation with satisfaction and dissatisfaction. In the aspect of (dis)satisfaction, psychological factor is also taken into account. Some researchers [5, 6] have pointed out the psychological effects of expectations on outcomes including commitment, performance, or intention to stay, etc. Economic and social conditions affect the psychological contract expectations. Hauw (2010) showed the influences of economic recession on Millennials and the reactions when organizations had failed to meet their expectations. Influences on young people’s expectations are personal background, and environment factors [7]. Meaningful work is another psychological factor with respect to expectations. Studies showed that meaningful works is preferable than well-paid work [7].

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It is rational that when people’s expectation is failed to meet with the outcome, people tend to be dissatisfied with whatever the outcome is. Numerous researchers proved that the outcome expectations influence the interest of individual [8–10]. The remarkable fact about expectations is regardless of result or outcome is successful and their expectation meets, in reality, people are not easy to satisfy with perceived services. This can only be explained by the psychological aspect of human nature of negativity. Hence, pessimism or optimism of human nature is another important factor among psychological aspects. In some cases, expectations of others affect individual expectation. External factors like perceptions and expectations of the family or significantly others influence self-perception and expectations of oneself, particularly on dependent (student) [11–15]. Thus, self-expectation is otherwise stated as the outcome of others’ expectation. By way of the expectations of students later lead to making career choices [17], the impact of expectations of guardians or significant person on the expectations of a student can be used as a tool to indirectly guide the career choices of a student. Tiedens [16] analyzed about the high-status people and low-status people reactions and behaviors concerning two conditions of outcomes go wrong and go well. Highstatus people showed anger for the first condition and feel pride for the second condition, whereas low-status people feel sadness and guilt for the first condition and show appreciation for the second condition. This showed the expected behaviors of people based on their status (low and high) in the working place. Tiedens [16] concluded that people who hold low position, are more responsible for negative results while people who hold high position, are more responsible for positive results. If people deviate from emotional expectations, this can assume that their positions and their abilities are not compatible. Accordingly, it can lead to the change perceptions of others on them about the appropriateness of level. Some researchers proved that demographic factors affect the high and low expectations of people. Many proved women tend to have lower expectations as compared to men. This may be as a result of their depressed view and beliefs on their capability and their competency or efficacy. Researchers agree that self-efficacy is important to predict both male and female students’ understanding in subject and their academic achievement [17]. However, it is proved that females have significantly lower selfefficacy [18]. Hazari also showed that self-competency of female students can be raised by giving specific training [17]. Expectation researches have been done on public services such as education and health. Models and theories have been flourished based on their empirical findings. Parasuraman et al. developed a conceptual service model. In this model, he referred to perceived service quality as the combination of customers’ expectations of service and service performance [19, 20]. As expectations can change over time, long-term and short-term comparison might be the next focus of researches. Limited researches have done in this regards. After a product is introduced to the market, the rate of satisfaction may not be high depending on the quality of products and high expectations of customers. However, in the long run, the satisfaction of customers will be rather increased due to a positive effect

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on customer satisfaction [21]. This is not the case in the short term, however. The explanation for this is the customers’ gathered information about the products or quality and experiences in the past as well as because firms maintain or increase the quality in accordance with customers’ need. Countless studies showed that high expectations fail satisfaction. In fact, failed expectations could alter the reality of one’s expectation. The attainable expectations are also necessary to succeed satisfaction. Trusty showed the differences between realistic and unrealistic expectations [14]. Simply, unrealistic expectations will lead to dissatisfaction or poorer rating with the outcomes since the source of expectations is far from reality. For example, when patients have severe conditions and chances to live are less even after surgery, and that patient has unrealistic expectations about operation, even the outcomes of surgery succeeded beyond, the patient will not be satisfied with this result due to the fact that his expectation is based on unrealistic ground. In this case, the doctor needs to clearly inform the patient in advance in order to avoid any misunderstandings and misperceptions. Medical researchers also found strong demographic factors on expectations. Rajiv Gandhi, et al. [3] proved that patients who are younger, male and having a lower BMI, are likely to have high expectations. Lesser expectation and greater BMI are the facts that doctors need to consider during their preoperational stage. Another important finding is that the higher the expectation to relief pain, the faster the reported relief pain [3]. Future research should focus on how this association happens. Surprisingly, patients’ education has a significant relationship with expectation of improvement in exercise. Less educated people have expectations on other ways [4]. The conditions of health are related to expectations. The worse the conditions of health before the surgery is the more expectations they may have [4]. Overall, physical health is also relatively affecting to the level of expectations. In education, expectations can impact the achievement and attitudes of a student. High expectations are a vital factor for student performance that can be translated by means of policies and practices of focusing on academic goals. Kathleen Cotton [22] showed that 5–10% of student achievements are resulting from teachers’ expectation and accompanying behaviors. Low expectations might limit students’ achievement and high expectations could raise students’ performance. In fact, there is bigger impact of expectations on younger students than older students. In education as well, the strong impact of demographic factor of old and young on expectations have been observed. Teachers’ expectations mostly come from the information of students and performance of individual. Teacher can encourage the academic improvement of students by properly responding to changes (improvement) of students’ performance. According to Kathleen Cotton [22], teachers can make direct or indirect responses. Nevertheless, teachers should respond only to individual performance instead of materials background. When students are aware of the teachers’ responses are based on their performance, they are likely to feel encouraged and will lead to more progress in their study. The situation will produce negative effect if the teachers respond on material means.

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Some researchers found the importance of marital expectations in married life. The effect is more than the level of couple disagreement or conflicts resolutions skills [23]. Beliefs prior marriage and high marital expectations influence the marriage. McClelland [24] found that marriage has more depressed effects on women than men.

3 Contributions The major contributions of this study are: 1. The more the gap of time difference between the previous experience and current one, the more decline the level of expectation, 2. Self-expectation is the outcome of others’ expectation, and 3. The impact of expectations of guardians or significant person on the expectations of a student can be used as a tool to indirectly guide the career choices of a student.

4 Future Research Anderson and Sullivan [25] showed that the impact of perceived quality is stronger than that of discontinuation of expectations on accumulative customer satisfaction. The future research should emphasize short-term and long-term phenomena of expectations since the long-run effect of either decreased or increased expectations is depended on the short-run effect. Furthermore, future researches should focus on the association of higher expectation and relief pain as there are limited inquires about this. Similarly, education of patients and expectations of improvement in exercises are needed to be analyzed in the future. Finally, despite economic and social conditions have been broadly focused relating to expectation, political conditions are also needed to be observed.

5 Conclusion Researches both in education and health fields concluded that women tend to have lower expectations compared to men. Different levels of expectations between males and females are mainly because of their social status and role differences [26–28]. In many cases, this social aspect is ignored. As the fact of different social status of man and woman is neglected, we would like to suggest the researchers to merge social role theory accordingly when there is a strong demographic factor on expectations.

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Acknowledgements The author would like to express high appreciation to Prof. Mi Jianing, School of Management, Harbin Institute of Technology for providing his valuable supervision during the course of this study.

References 1. Bearden W, Teel J (1983) Selected determinants of customer satisfaction and complaint reports. J Mark Res 20(February):21–28 2. Churchill G, Suprenant C (1982) An investigation into the determinants of consumer satisfaction. J Mark Res 19(November):491–504 3. Gandhi R, Davey J, Mohomed N (2009) Patient expectations predict greater pain relief with joint arthroplasty. J Arthroplasty 24(5):716–721 4. Mancuso C, Sculco TP, Salvati E (2003) Patients with poor preoperative functional status have high expectations of toal hip arthroplasty. J Arthoplasty 18(7):872–878 5. Rigotti T (2009) Enough is enough? Threshold models for the relationship between psychological contract breach and job-related attitudes. Eur J Work Organ Psychol 18(4) 6. Robinson S, Morrison E (2000) The development of psychological contract breach and violation: a longitudinal study. J Organ Behav 21:525–546 7. Hauw S, Vos A (2010) Millennials’ career perspective and psychological contract expectations: does the recession lead to lowered expectations? J Bus Psychol 25:293–302 8. Bandura A (1986) Social foundations of thought and action: a social cognitive theory. Prentice Hall, Englewood Cliffs, NJ 9. Fouad N, Smith P (1996) A test of a social cognitive model for middle school students: Math and science. J Couns Psychol 43(3):338–346 10. Fouad N, Smith P, Zao K (2002) Across academic domains: Extensions of the social–cognitive career model. J Couns Psychol 49(2):164–171 11. Bleeker M, Jacobs J (2004) Achievement in math and science: do mothers’ beliefs matter 12 years later? J Educ Psychol 96(1):97–109 12. Jacobs J, Eccles J (2000) “Parents, task values, and real-life achievement-related choices,” in Intrinsic and extrinsic motivation: the search for optimal motivation and performance. CA, Academic Press, San Diego 13. Smith T (1991) Agreement of adolescent educational expectations with perceived maternal and paternal educational goals. Youth Soc 23:155–174 14. Trusty J (2000) High educational expectations and low achievement: Stability of educational goals across adolescence. J Educ Res 93(6):356–365 15. Turner S, Steward J, Lepan R (2004) Family factors associated with sixth-grade adolescents’ math and science career interests. Career Dev Q 53:41–52 16. Tiedens L, Ellsworth P, Mesquita B (2000) Sentimental stereotypes: emotional expectations for high- and low-status group members. Pers Soc Psychol Bull 26(5):560–575 17. Hazari Z, Sonnert G, Sadler P, Shanahan M-C (2010) Connecting high school physics experiences, outcome expectations, physics identity, and physics career choice: a gender study. J Res Sci Teach 47(8):978–1003 18. Cavallo A, Potter W, Rozman M (2004) Gender differences in learning constructs, shifts in learning constructs, and their relationship to course achievement in a structured inquiry, yearlong college physics course for life science majors. Sch Sci Math 104(6):288–300 19. Parasuraman A, Zeithaml V, Berry L (1994) Reassessment of expectations as a comparison standard in measuring service quality: implications for further research. J Mark 58(1):111–124 20. Babakus E, Mangold W (1992) Adapting the SERVQUAL scale to hospital services: an empirical investigation. Health Serv Res 26(6):767–786

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21. Anderson E, Fornell C, Lehmann D (1994) Customer satisfaction, market share, and profitability: findings from Sweden. J Mark 58:53–66 22. Cotton K (1989) Expectations and students outcomes. Department of Education, U.S. Government 23. Kelly D, Burgoon J (1991) Understanding marital satisfaction and couple type as functions of relational expectations. Hum Commun Res 18(1):40–69 24. McClelland K (1990) Social management of ambition. Sociol Q 31(2):225–251 25. Anderson E, Sullivan M (1993) The antecedents and consequences of customer satisfaction for firms. Mark Sci 12(2) 26. Eagly AH (1987) Sex differences in social behavior: a social-role interpretation. Lawrence Erlbaum, Hillsdale, NJ 27. Eagly A, Steffen V (1984) Gender stereotypes stem from the distribution of women andmen into social roles. J Pers Soc Psychol 43:869–878 28. Ridgeway C, Diekema D (1989) Dominance and collective hierarchy formation inmale and female task groups. Am Sociol Rev 54:79–83

The Relationship Between Patent Characteristics and Patent Litigation in the Patent Pool of High-Tech Enterprises Liubin Lai and Yunsheng Zhang

Abstract Patent-based competition of high-tech enterprise is becoming more and more fierce, and patent litigation between enterprises comes one after another. As the complexity of technology innovation has increased dramatically, it is difficult for a company to have all advanced technologies, so patent pools spring up and develop rapidly. Patent with what characteristics in the patent pool of high-tech enterprises is more likely to cause patent litigation? Are there any differences between litigated patent and non-litigation patent? It is of great significance for both patent management of patent pools and technology innovation of high-tech enterprises. Based on the 2028 US patents of 12 patent pools of MPEGLA, the paper studies the effects of patent scope, patent lifetime, patent citation, and patent pool effect on the odds of patent litigation. There are different characteristics between litigated patent and nonlitigation patent. Technology coverage, number of claims, maintenance time, forward citation, and patent pools have positive effects, while the number of patents in the pool, backward citation of patents, and patent families have negative effects on the odds of patent litigation. Keywords Patent litigation · Patent value · Patent characteristic · Patent pool · High-tech enterprise

1 Introduction High-tech enterprises are facing more and more fierce competition, and patent-based competition is intensifying. The rapid growth of patent applications and authorizations has led to the formation of “patent thicket” and “hold up” of patent rights in various industries. Enterprises may be sued for patent infringement if they are slightly careless, and patent litigation between high-tech enterprises frequently crops up. L. Lai (B) · Y. Zhang School of Business, Central South University, Changsha 410083, China e-mail: [email protected] L. Lai School of Business, Hunan International Economics University, Changsha, Hunan 410205, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_51

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Patent litigation is double-edged. On the one hand, it has the characteristics of high cost, long duration, large compensation, and high commercial risk [21], which may cause a lose-lose situation for the plaintiff and defendant. On the other hand, it is an effective means for enterprises to prevent their rights from being infringed, and it has become a strategic tool for them to increase revenue, promote patent licensing, suppress competitors, boost corporate reputation, and enhance competitive advantage [9, 24]. With the rapid increase of innovation complexity, it is difficult for a single enterprise to monopolize all advanced technologies. A large number of core technologies are scattered among different enterprises. In order to reduce patent litigation, save transaction costs, earn licensing revenues, create an innovation ecosystem, promote learning and simulation, exchange complementary technology, develop and promote technology jointly, high-tech enterprises often form a strategic alliance with competitors—patent pool. Patent pool is a formal or informal alliance formed by multiple patentees. It is a form of cooperation agreement reached by patentees on patent licensing and implementation of intellectual property strategy [13]. Patent pool originated in the United States, which can be traced back to American Sewing Machine Alliance established in 1856. It has experienced a tortuous stage of developing (1856–1899), being interrupted (1900–1911), going into low gear (1912–1989), thriving (1990– present) [3]. At present, there is a rapid development in biomedicine, ICT, and other industries. Patent pool eliminates patent thicket barriers through cross-licensing of patents in the pool, which can reduce patent litigation. However, joining the patent pool cannot completely avoid patent litigation. For example, 81 of the 2340 U.S. patents in the 12 patent pools of MPEGLA involve patent litigation. Sixty-seven cases of a patent of GE (patent number US4813056) were involved in patent litigation despite joining in two patent pools, namely MPEG2 (a video and audio compression standard) and MPEG-4V (an upgraded version of MPEG2). Patents in the pool are usually standard essential patents, basic or core patents in the industry. Why do some patents litigate, while others do not? Are there any differences between patents involved in litigation? What characteristics of patents are more likely to cause litigation? In today’s increasingly fierce commercial competition and intensified technological competition, it is of great significance to explore the influencing factors of patent litigation from the perspective of patent pool of high-tech enterprises. The research on the influence factors of patent litigation mainly focuses on patent application, patent characteristics, and licensing strategy, which provides some important opinions on the relationship between characteristics of patent in the pool and litigation. Zhang et al. [23] analyze the dynamic equilibrium relationship between patent application and patent litigation in China through co-integration and error correction model (ECM) analysis and find that they promote each other through Granger causality test. Liu and Qi [15] collect multinational pharmaceutical corporations’ patents that have suffered invalidation application. The results show the effect of patent characteristics on the legal quality of pharmaceutical patents is different from other industries. Zhang et al. [25] find that the value and disclosure of financial business method patent have positive and significant effects on the

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probability of litigation. Liu et al. [14] analyze the relationship between patent characteristics and patent litigation based on the theory of resource-based view (RBV) and attention-based view (ABV). Other scholars study effects of patent characteristics on patent litigation, such as technology scope [15, 16, 18, 22], pendency time [5, 24], forward citation and backward citation [6], and number of priorities [16], though the conclusions are not consistent. In addition, some other causes of patent litigation are discussed, including refusal of licensing, price discrimination, excessive pricing, tying, grant back, and other patent licensing strategies [1, 2, 7, 11, 19, 20]. In summary, the previous studies showed the impact of the characteristics of general patents on patent litigation, while there is no research on the influencing factors of patent litigation in the patent pool of high-tech enterprises. Based on descriptive statistics, T-test, and regression analysis, the paper empirically investigates the relationship between patent characteristics and patent litigation in the patent pool of high-tech enterprises.

2 Theoretical Review and Hypotheses 2.1 Patent Scope and Patent Litigation Patent scope includes the scope of technology, rights, and geography. Technology scope mainly refers to the breadth of the technical field involved in the patent, generally measured by the number of International Patent Classification (IPC) granted by Patent Office. Liu and Qi [15] argue that the more IPCs there are, the more potential invalidation application in different fields and the higher odds of patent litigation. Mann and Underweiser [16] find that the number of IPCs has positive impact on legal quality. Su et al. [18] also find that technology scope is positively related to the possibility of patent litigation. We expect that wider and shallower patent in the patent pool of high-tech enterprises is more likely to cause litigation. In other words, the more IPCs, the higher the probability of patent litigation. The scope of rights mainly refers to the number of claims. As an exclusive right, patent claims are the key factors to reflect the difficulty of imitation or substitution. Each patent claim represents a unique creative contribution or application, and the number of claims determines the scope of the innovation and the breadth of future opportunities. When a technology is granted a patent, it is more difficult for competitors to develop alternatives, which increases not only the possibility of competitors filing patent lawsuits, but also the patentee’s willingness to seek compensation for infringement. In addition, wide patent claims hinder competitors’ business opportunities, thereby increasing the possibility of competitors filing a patent invalidation application. Recently, Apple’s patent infringement suits against Samsung mainly include 21 patents. The average claim of litigated patents is 30, which is higher than the average of all patents of 16.5. Based on 1678 patent sample of biotechnology companies with venture backgrounds, Lerner and Joshua [12] find that patent claim

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scope increases the possibility of patent litigation by 21%. The wider the scope of claim, the higher the possibility of patent litigation. Geography scope mainly refers to the number of patent families. Patent family is a collection of patents from multiple countries (jurisdictions) applied for by the same patent in the form of priority, that is, the number of patents applied for by the same patent in all countries. The more countries that apply, the higher the application and maintenance cost of the patent is, so the patentee only applies for high-value patent in other countries. We hold that, based on market strategy, high-tech multinationals usually apply for protection of high-quality patents before their products enter the target country. Furthermore, with the application, examination, and promotion of patents in different countries, patent specification and quality are continuously improved. Therefore, the higher the number of patent families, the lower the possibility of patent litigation. H1a: Technology scope relates positively to the odds of patent litigation. H1b: Claim scope relates positively to the odds of patent litigation. H1c: Geography scope relates positively to the odds of patent litigation.

2.2 Patent Lifetime and Patent Litigation Patent lifetime refers to the actual time from the date of application to the date of invalidity, termination, revocation or expiration of a patent, including examination time before patent grant and maintenance time after patent grant. Patent examination time includes the whole examination cycle of submitting application—preliminary examination—public disclosure—substantive examination—grant and issuance of certificate, which is affected by the advanced degree of technology, quality of application document and patent value. At the examination stage, anyone can submit to Patent Office the reasons for denial of patent grant, resulting in repeated modification and longer patent examination time. On the one hand, the patent examination process is the central quality assurance mechanisms at Patent Office. On the other hand, the longer the patent examination process is, the more attention and infringement will be attracted by competitors [14]. The examination time of patents involved in litigation between Apple and Samsung is longer (about 4 years) than the average (about 2.3 years) of the patents of the two companies. After patent grant, the patent right may cease to be valid because of termination of payment of maintenance fee, invalidation of Patent Reexamination Board, abandonment of patent right by a written declaration and expiration of the patent. The first one is the main cause. Patentees usually decide whether to continue to pay maintenance fee based on the value of their patents. They will continue to pay for maintenance fee if the patent is advanced and continues to make profits. Otherwise, they will terminate. According to the statistics of Chinese Intellectual Property Office, invalid patents account for 94.6% of the total patents in China. The maintenance time of invention patents is mostly 3–6 years. 49.2% maintain more than 5 years, 7.6% more

The Relationship Between Patent Characteristics …

431

than 10 years, 0.8% more than 10 years, and only 0.02% maintain until expiration. The longer the patent maintains, the higher the patent value [5, 24], the more likely it is to attract competitors’ attention and infringement. H2a: Patent examination time relates positively to the odds of patent litigation. H2b: Patent maintenance time relates positively to the odds of patent litigation.

2.3 Patent Citation and Patent Litigation Patent citation includes backward citation and forward citation. Backward citation refers to the existing documents, which is the technical details and innovation basis of the patent, including non-patent documents and patent documents. The former are usually practical technology, while the latter are usually scientific knowledge. Both the applicant and the examiner will refer to the relevant literatures to judge the innovation and creativity of the patent. The conclusions about the effect of backward citation on the odds of patent litigation are inconsistent. Zhang et al. [25] find that backward citation of financial business method patents relates positively to the odd of patent litigation. Harhoff and Reitzig [8] find that backward citation of patents has no significant effect on the odds of patent litigation, while Lanjouw and Schankerman [10] find that patent disclosure in the USA relates to a lower possibility of patent litigation. We hold that when high-tech enterprise files for patent rights, backward citation of patents sets a clear line between filing patent and the existing patent, which provides protection for the filing patent. To avoid patent infringement as far as possible, other enterprises in the industry will also consider the boundary when applying for patents. Backward citation of patents relates to a lower possibility of patent litigation, while backward citation of non-patent documents has no significant effect on the odds of patent litigation. Forward citation is widely used to measure the quality and value of patents [6, 8]. On the one hand, the more frequent forward citation, the higher the innovation and quality of the patent, the lower the possibility of patent litigation. On the other hand, the higher the value and attention of the patent, the more likely it is infringed by competitors. H3a: Backward citation of patents relates to a lower possibility of patent litigation. H3b: Backward citation of non-patent documents has no significant effect on the odds of patent litigation. H3c: Forward citation relates positively to the odds of patent litigation.

2.4 Patent Pool Effect and Patent Litigation Not all patents can join the patent pool. Only patents that are technically and economically essential can be allowed to join the pool. The more pools the patent belongs to,

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the more indispensable the patent is in technology standards (i.e., standard essential patent). Patentees can improve their information ability through information disclosure effect of patent pool. The effect mainly benefits from two aspects: one is the voluntary exchange and sharing of patent infringement information between pool members, the other is the acquisition of information through pool members’ intellectual property rights protection [4]. The more pools the patent joins, the more information the patentee gets about the infringement and protection of patent rights, leading to the strengthening of patent right. In addition, patentee can earn patent licensing fees through the patents’ introduction in a pool. For example, HEVC Advance (a patent pool of MPEGLA) has more than 500 patents of H.265 (a video coding standard). If content manufacturers want to use them, they have to pay 0.5% of gross revenue as patent licensing fees, wherever the content is used. Companies like Apple, Amazon, Facebook, and Netflix pay more than $100 million a year for them. The more pools the patent joins, the higher the patent licensing fees the patentee earns, leading to higher possibility of patent infringement by competitors. Of course, the more patents in the pool, the more difficult it is for the patentee to observe the actions of other members. The effect of information disclosure decreases with the growing number of patents in the pool. H4a: The number of pools the patent joins relates positively to the odds of patent litigation. H4b: The number of patents in the pool relates to a lower possibility of patent litigation.

3 Research Methodology 3.1 Sample and Data Collection The paper is based on the world’s largest patent pool—MPEGLA, including 12 patent pools, with about 6000 licensees and more than 13,000 patents from 90 high-tech enterprises. The list of patents was collected in January 2018 from the Web site of MPEGLA (https://www.mpegla.com). Patent characteristic data were collected in September 2018 from Patsnap database (https://www.patsnap.com). As MPEGLA is an American pool, most patents in the pool are filed in the USA. In addition, American patent is representative and its citation information is available, so we only select American patents in the pool. Patents lacking patentee information are deleted. In order to avoid duplication, only one patent with the same name, application date, and grant date is retained, leaving 2028 patents.

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3.2 Measures Variables and their measurements are shown in Table 1. 1. Dependent variable. We use the number of patent litigation to indicate the odds of patent litigation. 2. Independent variables. Independent variables include four aspects. The first is patent scope, measured by the number of IPCs, claims, and families; the second is patent lifetime, measured by patent examination time and maintenance time; the third is patent citation, measured by the number of backward citation of patents, backward citation of non-patent documents, and forward citation; the fourth is patent pool effect, measured by the number of pools the patent joins and patents in the pool. 3. Control variables. We use other characteristic variables that may have effect on the odds of patent litigation, including the number of inventors and patent priority. In the process of patent invention and creation, the more inventors there are, the more people’s scientific knowledge is gathered. Inventors’ Synergy Innovation leads to the lower the possibility of patent litigation. Patent priority refers to the right that a patent applicant may enjoy within a certain period of time when filing a patent application for a technology of the same subject for the first time. The purpose of patent priority is to exclude those who copy this patent in other countries and apply for a patent in advance. Mann and Underweiser [16] argue that for technologies with long R&D cycles, the effect of priority on subsequent patent application is limited, while for technologies with short R&D Table 1 Variable and measurement Variable

Measurement

Dependent variable

Odds of patent litigation

Number of patent lawsuits (LITI)

Independent variables

Patent scope

Number of IPCs (IPC) Number of claims (CLAIM) Number of patent families (FAMI)

Patent lifetime

Patent examination time (EXAMTIME) Patent maintenance time (MAINTENTIME)

Patent citation

Backward citation of patents (BACKPAT) Backward citation of non-patent documents (BACKNONPAT) Forward citation (FORPAT)

Patent pool effect

Number of pools the patent joined (POOL)

Other characteristics

Number of inventors (INVENT)

Number of patents in the pool (PAT) Control variables

Number of patent priorities (PRIOR)

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cycles, patent priority is beneficial to subsequent patent application. In high-tech industry, especially ICT industry, R&D cycle is shortening. The more the patent priorities, the lower the possibility of patent litigation.

4 Analyses and Results The mean and standard deviation of estimated variables are presented in Table 2. We carry out T-test on the mean of independent variables and control variables whether patent involves litigation. The results show that the mean of claims, patent maintenance time, forward citation, and pools the patent join in litigated sample is significantly higher than that in non-litigation sample, showing that these four variables relate positively to the odds of patent litigation. Nevertheless, the mean of patent families, backward citation of patents, backward citation of non-patent documents, patents in the pool, patent priorities, and inventors in litigated sample is significantly lower than that in non-litigation sample, showing that these six variables relate to a lower possibility of patent litigation. Correlation matrix and variance inflation factors (VIF) are presented in Table 3. The results show that correlation coefficients are less than 0.7, indicating there is no significant multicollinearity among variables. In Table 2 Descriptive statistics and T-test Variables

Entire sample

Litigated sample

Non-litigation sample

Mean

SD

Mean

SD

Mean

SD

LITI

0.19

1.81

4.77

7.79

0.00

0.00

T-test value

–

IPC

11.72

8.46

12.03

7.86

11.71

8.48

−0.33

CLAIM

9.34

10.57

21.84

17.68

8.82

9.84

−6.58***

FAMI

72.22

76.11

54.15

85.76

72.97

75.61

2.18**

EXAMTIME

30.42

22.63

29.57

19.95

30.45

22.74

0.39

MAINTENTIME

76.56

62.91

166.86

55.62

72.81

60.35

−13.79***

BACKPAT

34.31

40.50

15.05

13.46

35.11

41.05

11.39***

BACKNONPAT

12.68

18.33

7.89

26.05

12.88

17.92

2.40**

FORPAT

21.12

55.73

78.51

106.91

18.73

51.21

−5.01***

POOL

1.20

0.54

1.67

1.23

1.18

0.48

−3.59***

PAT

3.31

2.00

1.38

1.28

3.39

1.98

13.46***

PRIOR

3.06

2.26

2.30

1.41

3.09

2.28

4.82***

INVENT

2.93

2.14

2.14

1.56

2.97

2.15

3.44***

Obs

2028

Note ***p < 0.001; **p < 0.01

81

1947

–

0.032

−0.037

−0.003

−0.017

0.049

−0.040

0.147

−0.055

0.184

−0.053

−0.049

0.110

0.133

−0.103

−0.068

−0.045

–

6. MAINTENTIME

7. BACKPAT

8. BACKNONPAT

9. FORPAT

10. POOL

11. PAT

12. PRIOR

13. INVENT

VIF

1.228

0.057 0.227

−0.088

−0.026

5. EXAMTIME

1.000

−0.058

4. FAMI

1.371

−0.037

−0.180

−0.266

0.131

0.037

0.374

0.211

−0.265

0.370

0.141

3. CLAIM

1.000

−0.209

−0.007

2. IPC

3

1. LITI

2

1

1.000

Variables

Table 3 Correlation matrix

1.377

−0.228

0.213 1.190

0.043

−0.313

0.043

0.080

−0.115 0.041

0.034

0.117

−0.097

0.117

0.101

0.102

0.083

1.000

−0.145

1.000

5

−0.136

4

1.000

2.054

−0.179

−0.256

−0.474

0.328

0.303

−0.167

−0.142

6

0.662

1.000

1.950

−0.103

0.045

−0.018

−0.089

−0.015

7

1.000

2.071

−0.123

0.018

0.191

0.037

−0.013

8

0.148

1.000

1.447

−0.057

−0.115

−0.165

9

1.180

−0.066

−0.065

−0.106

1.000

10

1.521

0.231

0.012

1.000

11

1.263

0.108

1.000

12

1.207

1.000

13

The Relationship Between Patent Characteristics … 435

436

L. Lai and Y. Zhang

addition, all VIF values are less than 3.0 (the common threshold is 5.0). Therefore, multicollinearity does not appear to be an issue. As dependent variable (number of patent lawsuits) is nonnegative integer and has the characteristics of over-discrete linearity (expected value is 0.19, variance is 3.276), we use negative binomial regression model to test the hypotheses. The results are presented in Table 4. As seen in the table, the results show that the significance level of the model is less than 1%, which indicates that the overall fitting degree of the model is good. Model 1 only introduces control variables and intercept term, showing that the number of patent priorities (β = −0.2833, p < 0.05) and inventors (β = −0.2314, p < 0.01) both have negative and significant effects on the odds of patent litigation. Model 2 tests the effects of patent scope on patent litigation. The number of IPCs has a positive and significant effect on the odds of patent litigation (β = 0.0435, p < 0.1). The number of claims has a positive and significant effect on the odds of patent litigation (β = 0.0875, p < 0.01). The number of patent families has a negative and significant effect on the odds of patent litigation (β = −0.0056, p < 0.01). In addition, judging from the estimation coefficient of IPCs number and claims, we conclude that the effect of claims on the odds of patent litigation is higher than that of technology scope. These findings support H1a, H1b, and H1c. Model 3 tests the effects of patent lifetime on the odds of patent litigation. The effect of patent examination time on the odds of patent litigation is not significant, so H2a is not supported. Patent maintenance time has a positive and significant impact on the odds of patent litigation (β = 0.0281, p < 0.01), and H2b is supported. Model 4 tests the impacts of patent citation on the odds of patent litigation. Backward citation of patents has a negative and significant impact on the odds of patent litigation (β = −0.0314, p < 0.01). The impact of backward of non-patent documents on the odds of patent litigation is positive but not significant (β = 0.0031, p > 0.1). Forward citation has a positive and significant impact on the odds of patent litigation (β = 0.2848, p < 0.01). These findings support H3a, H3b, and H3c. Model 5 tests the impacts of patent pool effect on the odds of patent litigation. The number of pools the patent joins has a positive and significant impact on the odds of patent litigation (β = 0.9429, p < 0.01). The number of patents in the pool has a negative and significant impact on the odds of patent litigation (β = −0.6993, p < 0.01). These findings support H4a and H4b.

5 Conclusion and Implications One of the main functions of patent pool is to avoid or reduce patent litigation. Based on 2028 American patents in 12 patent pools of MPEGLA, this paper studies the effects of patent scope, patent lifetime, patent citation, and patent pool effect on the odds of patent litigation. The results show that: (1) technology scope, number of claims, patent maintenance time, forward citation, and number of pools the patent joins have positive and significant effects on the odds of patent litigation, among

Hypotheses

H1a

H1b

H1c

H2a

H2b

H3a

H3b

H3c

H4a

H4b

NO

NO

Variables

IPC

CLAIM

FAMI

EXAMTIME

MAINTENTIME

BACKPAT

BACKNONPAT

FORPAT

POOL

PAT

PRIOR

INVENT

Table 4 Negative binomial model estimation Expected symbols

0.0366 (0.0952)

−0.1395* (0.0814)

(continued)

0.0833 (0.0677)

−0.2314*** (0.0731)

−

−0.1845*** (0.0696)

−0.4033*** (0.0797)

−0.02937 (0.0815)

−0.2833** (0.1147)

−

0.0320 (0.0755)

−0.6993*** (0.1436)

Model 5

−

0.2848*** (0.0619)

0.0031 (0.0075)

−0.0314*** (0.0072)

Model 4

0.9429*** (0.1901)

−0.1234485 (0.1051)

0.0281*** (0.0022)

0.0013 (0.0083)

Model 3

+

+

Insignificant

−

+

+

−0.0056*** (0.0020)

−

0.0435* (0.0251)

Model 2

0.0875*** (0.0200)

Model 1

+

+

The Relationship Between Patent Characteristics … 437

Expected symbols

NO

NO

NO

Note () is robust standard errors; ***p < 0.01; **p < 0.05, *p < 0.1

NO

NO

Log pseudo likelihood

Prob >

NO

Intercept

chi2

Hypotheses

Variables

Table 4 (continued)

−506.2995

−523.7429 0.0000

−2.4343*** (0.5814)

−0.4575 (0.3537) 0.0004

Model 2

Model 1

0.0000

−466.2517

−5.7108*** (0.6586)

Model 3

0.0000

−500.9733

−1.6502*** (0.4154)

Model 4

0.0000

−484.3870

−0.9814*** (0.3492)

Model 5

438 L. Lai and Y. Zhang

The Relationship Between Patent Characteristics …

439

which the number of pools the patent joins, forward citation, and claims have higher effects. More classified patent means wider technology coverage, which may lead to the insufficient innovativeness and higher odds of patent litigation. The longer the patent is maintained, the more likely it attracts the attention and infringement of competitors. Increased number of claims may make it difficult for competitors to develop alternatives, reduce competitors’ business opportunities and increase the odds of invalid patent application. Patent that is frequently cited and joins more pools is mostly basic patent, core patent, or standard essential patent. Its innovativeness and economic value are high, which attract wide attention from competitors and increase the possibility of infringement. Given other conditions alike, high-tech patent pool should give priority to patents with appropriate pools, claims, forward citation, maintenance time, and technology coverage. (2) The number of patents in the pool, backward citation of patents, and patent families have negative and significant effects on the odds of patent litigation. More patents in the pool reduce the effect of information disclosure, which make it more difficult to strengthen patent right. Backward citation of patents sets the boundaries for each patent and provides protection for the patent. Other enterprises will try their best to avoid patent infringement when filing for a patent. Patent application and examination in different countries improve patent specification and quality and reduce the possibility of patent litigation. To realize the anticipated function, hightech patent pool should integrate all essential patents in the industry and enlarge the pool scale by more patents. High-tech patent pool should give priority to the specification and quality of the patent and choose the patents with more backward citation of patents and more patent families. The paper focuses on high-tech patent pool in the USA, while the results have guiding significance for China’s patent development. China is lack of accumulation of core patents, and patent operation is still in the early stage. On the one hand, enterprises should strengthen R&D of technology and file for high-quality patents, track and study the world’s latest technology of the industry, forecast technology trend and find blank spots through various means like patent map, persist in increasing R&D investment and occupy the highest point of the technique by filing for high-quality patents. In the writing of patent documents, the number of claims and IPCs should not be too high. The patentee should grasp the existing patents in the industry and make backward citation of them to avoid patent infringement. Enterprises should integrate international R&D resources by “inviting in” and “going out” and file for patent abroad according to their own strategy. After patent grant, leading enterprises in the industry can expand the impact of patents by establishing domestic patent pools, joining overseas patent pools and participating in the formulation of international technology standards. On the other hand, enterprises should strengthen patent right and prevent patent from judicial speculation and misuse. Patent administration should amend patent litigation system to create a fair innovation and market environment [17], find a balance between patent protection and judicial misuse and avoid patent troll ripping off while increasing patent protection. Enterprises should raise awareness of intellectual property protection and set up relevant departments. When their patents are infringed, they should obtain legitimate rights and interests through

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patent litigation; when they encounter patent lawsuits, especially malicious lawsuits of patent trolls, they need not easily settle, but should assess the characteristics of the patents and counterclaim against the plaintiff’s low-quality patents. Acknowledgements This research was supported by the Programs of the National Natural Science Foundation of China (Grant Nos. 71373074, 71774177) and Hunan Provincial Department of Science and Technology (Grant No. 2014SK3228).

References 1. Altini N, Engelbrecht L (2016) Vertical restraints, the next frontier: competition law. Without Prejudice 16(5):28–30 2. Cao Y., & Du M.: Study on the generated path of patent litigation in patent pool and its practical implications. Journal of Intelligence, 37(4): 69–73+92(2018) 3. Clarkson G, Newberg J (2018) Blunt machetes in the patent thicket: modern lessons from the history of patent pool litigation in the United States between 1900 and 1970. J Technol Law Policy 22(6):1–114 4. Delcamp H (2015) Are patent pools a way to help patent owners enforce their rights? Int Rev Law Econ 41:68–76 5. Deng Y (2007) Private value of European patents. Eur Econ Rev 51(7):1785–1812 6. Guo Y, Hu Y, Zheng M et al (2013) Patent indicators: a window to pharmaceutical market success. Expert Opin Ther Pat 23(7):765–771 7. Gupta K, Snyder M (2014) Smart phone litigation and standard essential patents. SSRN Electron J 27(6):697–711 8. Harhoff D, Reitzig M (2004) Determinants of opposition against EPO patent grants—the case of biotechnology and pharmaceuticals. Int J Ind Organ 22(4):443–480 9. Hu W, Yoshioka-Kobayashi T, Watanabe T (2017) Impact of patent litigation on the subsequent patenting behavior of the plaintiff small and medium enterprises in Japan. Int Rev Law Econ 51:23–28 10. Lanjouw JO, Schankerman M (2001) Characteristics of patent litigation: a window on competition. Rand J Econ 32(1):129–151 11. Laursen K, Moreira S, Reichstein T et al (2017) Evading the boomerang effect: using the grant-back clause to further generative appropriability from technology licensing deals. Organ Sci 28(3):514–530 12. Lerner J (1994) The importance of patent scope: an empirical analysis. Rand J Econ 25(2):319– 333 13. Li W (2014) Nature of standard-setting alliance: based on comparisons between R&D alliance and patent alliance. Sci Res Manage 35(10):49–56 14. Liu CY, Wu HL, Lee CY (2018) The relationship between patent attributes and patent litigation: considering the moderating effects of managerial characteristics. Asia Pac Manage Rev 23(2):121–129 15. Liu LC, Qi S (2015) A research on evaluating the legal quality of pharmaceutical patents by patent characteristics. Sci Res Manage 36(6):119–127 16. Mann RJ, Underweiser M (2012) A new look at patent quality: relating patent prosecution to validity. J Empirical Legal Stud 9(1):1–32 17. Mao H, Yin ZF, Zhang J (2017) Strategic patent litigation model: research based on nonpracticing entities and repeated litigation. China’s Ind Econ 2:138–155 18. Su HN, Chen ML, Lee PC (2012) Patent litigation precaution method: analyzing characteristics of US litigated and non-litigated patents from 1976 to 2010. Scientometrics 92(1):181–195

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19. Tekic Z, Kukolj D (2013) Threat of litigation and patent value. Res Technol Manage 56(2):18– 25 20. Vakili K (2016) Collaborative promotion of technology standards and the impact on innovation, industry structure, and organizational capabilities: evidence from modern patent pools. Organ Sci 27(6):1504–1524 21. Wen JC, Qiao YZ, Zhu XZ (2008) Study on enterprise strategies of attack and defense of patent infringement litigation. Sci Sci Manage Sci Technol 29(7):54–58 22. Zhang KQ, Wang C, Yuan JZ et al (2016) The relationships between the patent litigation and patent characteristic. J Intell 35(8):83–88 23. Zhang ME, Guo W, Li HP (2016) Empirical study on the interaction between patent applications and lawsuits. Stud Sci Sci 34(5): 684–689+712 24. Zhang ME, Hu SY, Guo W (2013) Identification method for low quality patents and its applications. Sci Res Manage 34(3):122–127 25. Zhang YR, Yuan CS, Yu X (2010) An empirical study on the litigation involving financial business method patent. Sci Res Manage 31(4):119–126

Research on the Construction of Teaching Quality Management Team in Applied Undergraduate Colleges Wang Yan

Abstract The quality control of education and teaching in applied undergraduate colleges mostly reflects the monitoring methods of the quality of education in ordinary undergraduate colleges. At present, there are many researches on the quality control of college education and teaching, but there are few studies on the construction of quality management team for applied undergraduate colleges. Based on the characteristics of applied undergraduate colleges, this paper discusses the quality management team of applied undergraduate colleges, which consists of full-time teaching quality administrators, teaching supervisors, enterprises, industry personnel and student teaching informants, as well as their respective responsibilities and roles. Keywords Education and teaching quality monitoring · Management team building · Applied undergraduate colleges

1 Introduction Teaching work is the central work of colleges and universities. The quality of teaching is an important basis for measuring the level of running a school [1]. Standardizing teaching management, reforming teaching mode, improving teaching methods and means, promoting the continuous improvement of teaching quality and ensuring the realization of educational teaching objectives are the main purposes of monitoring and evaluating teaching quality [2]. How to use teaching reform as the driving force, quality engineering as the starting point, improve the quality of teaching management, and establish a reasonable team of teaching management personnel is an important task for deepening the reform of education and teaching [3]. The contents of higher education quality assurance include input guarantee, process guarantee and output guarantee. For example, the assurance of the quality of teaching and its contents can be shown in Table 1. W. Yan (B) Guangdong University of Science and Technology, Dongguan 523083, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_52

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444 Table 1 Teaching content

W. Yan Input guarantee

Process assurance

Output guarantee

Course

Course development

Graduates

Students

Teaching and learning

Knowledge and skills

Teachers

Education management

Ethics and aesthetics

Facilities and equipment

Student services

Physical and mental development

Policy

Exam

Academic achievement

2 Strengthening the Importance of Building a Quality Management Team for Teaching Work 1. The teaching management team of colleges and universities is the main body of teaching management, the specific implementer of teaching management and the guarantee for improving teaching quality. The improvement of teaching quality is a complete improvement of the teaching system. From the school orientation, the teaching staff, the conditions for running schools, professional construction, to the teaching of the subject, internship and training, etc., these aspects affect the level of teaching quality, and these links are closely related to the teaching quality management staff [4]. The management and education concepts, management level and system setting of teaching quality management personnel directly affect the level of teaching quality [5]. 2. The fundamental task of applied undergraduate colleges is to develop applied talents that meet local economic and social needs. Talent cultivation is mainly done through the teaching process of teachers [6]. However, the quality of teaching is inseparable from the level of teaching management, and teaching management is inseparable from teaching management.

3 The Special Requirements of Teaching Quality Monitoring in Applied Undergraduate Colleges Applied undergraduate programs have their own unique educational attributes, so there are special requirements for teaching quality monitoring. First of all, we must follow the rules of higher education and teaching. Secondly, the biggest characteristic of applied undergraduate education is applied education, which is applied to innovative talents. Therefore, the particularity of application-based undergraduate teaching quality monitoring is reflected in the following aspects.

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Five aspects of affecting the quality of teaching can be found in Table 2. 1. Requirements for training personnel. The applied undergraduate is oriented to student employment and trains a large number of applied talents who are skilled in applying knowledge and solving practical problems in production. Pay attention to the cultivation of students’ use, promotion and transformation of science and technology. Therefore, in the monitoring of teaching quality, as a teaching quality management personnel, we must grasp the talent training objectives of applied undergraduate colleges [7]. In the process of implementing teaching quality monitoring, we should always pay attention to the goal of talent training in applied undergraduate colleges and do not deviate from the direction. 2. Requirements for professional setting and teaching mode. The application-based undergraduate education program is different from the traditional ordinary higher education institutions. Under the established subject knowledge system, it is more based on the industry and employment [8]. It emphasizes the characteristics of the occupational standard under the market demand. Therefore, the procedures for the professional setting of applied undergraduate colleges must be based on the local economic and social needs, based on market demand research, and professionally set up by analyzing the skills and knowledge required for the corresponding positions in the industry. 3. Requirements for the teaching staff. Applied undergraduate colleges need “double-skilled” teachers. What is meant by “double-skilled” teachers is that they have solid professional theoretical basic knowledge and scientific and cultural qualities, but also have skilled professional skills and hands-on ability. On the other hand, attention should be paid to the application of undergraduate colleges when they are building a faculty. They should be diverse and eclectic and absorb practical experts from industry and enterprises. 4. Student assessment requirements. The requirements for student source assessment in applied undergraduate colleges are different from those of traditional colleges and universities. It is necessary to examine the basic knowledge of students’ theory and to assess students’ practical application ability. This is also the inevitable study of the training objectives of applied undergraduate colleges. In Table 2 Factors affecting teaching quality of higher education system

Target layer

Key factors

Sub factors

Teaching quality in higher education

Teaching objectives

Teaching objectives

Teaching thought

Teaching thought

Content of courses

Teaching system Content of courses

Teaching strategies

Teaching model

Teacher quality

Teaching skills

Teaching methods Professional level

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the whole teaching process, the students’ hands-on ability is mainly cultivated, the professional quality of students is increased, and the vocational qualification examination education is infiltrated. 5. Teaching content, teaching methods and teaching organization requirements. The teaching content requirements of applied undergraduate education must be practical and pertinent. Scientifically, build a curriculum system that is highly targeted and cultivates high-level technical talents. Compared with other types and levels of education, the application-based education teaching method is more practical, allowing students to participate more, increase interactivity and be hands-on. Reasonably determine the ratio of theoretical teaching to practical teaching.

4 The Construction of Teaching Quality Monitoring Team in Higher Vocational Colleges 1. Establishing a teaching quality assessment center and setting up a full-time teaching quality administrator. The teaching quality assessment center is a secondary institution of the school and is mainly responsible for the related work of school quality monitoring and evaluation. There are two departments of “Quality Control Division” and “Assessment Section.” According to the school’s own situation, the teacher development center can also be merged into the teaching quality assessment center to form a teaching and auxiliary institution that integrates teaching quality assessment, teaching supervision and teacher training. The teaching quality assessment center is led by the deputy director in charge of teaching. It has a full-time director and four–five full-time staff. The main responsibility is to establish and improve the teaching supervision system, evaluation system, information feedback system and main teaching links. In quality standard, teaching quality evaluation index system, construct a scientific and reasonable teaching quality monitoring system; be responsible for the organization, guidance, management and coordination of the school teaching supervision group; responsible for establishing and improving the online evaluation and evaluation system; be responsible for the collection, collation and feedback of teaching evaluation information; regularly report or report the teaching evaluation information to schools, institutions (departments) and relevant departments. 2. Establishing a sound teaching supervision team. Teaching supervision is an important part of the monitoring of teaching quality. First, applied undergraduate colleges should strengthen the construction of teaching supervision teams, further improve the ability of teaching supervisors to “supervise” and the level of “guidance,” and thoroughly study and study the macro-strategy of school reform, focusing on transformational development, key professional construction and deepening. Second, applied undergraduate colleges should enrich the second-level teaching supervision team of the college and department and set

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up 15–20 full-time supervisory committees at the college level, with one director and one secretary. The main duties are to inspect and evaluate the teaching and teaching management work and to provide advice and suggestions on major issues such as the educational development planning, discipline construction, teaching reform and teaching management; the teaching supervision group can organize the supervision team according to the discipline, according to the work requirements. Continue to do a good job in supervision and lectures, teaching materials inspection, etc., to prepare for the school’s follow-up review and evaluation. In the work, we must increase the teaching supervision of young teachers, so that they strictly abide by the teaching order and continuously improve the quality of teaching. 3. Supplementary teaching monitoring quality team for enterprises and industry personnel. The nature of applied undergraduate education determines its different and traditional undergraduate education. It should continuously enrich the teaching management team. Enterprises and industry executives and high-tech workers participate in school management, professional construction, curriculum design and personnel training. They set up professional steering committees with members from government, enterprises, industry and school-enterprise cooperation. In units, employers, etc., the proportion is not less than 50%. In the “Opinions of the Ministry of Education on Giving Full Play to the Guiding Role of the Vocational Education Industry” (Faculty [2011] No. 6), it is again emphasized that “the establishment of society, industry, enterprises, educational administrations and schools, etc., the quality evaluation system of vocational education based on the size of contribution, the industry norms and professional standards as an important basis for the evaluation of school teaching quality, the opinions of society and employers as an important indicator of the quality evaluation of vocational education.” 4. Establishing teaching information staff to enrich the quality of teaching monitoring. In order to improve the teaching quality management team and give full play to the enthusiasm of students to participate in teaching supervision and teaching management, applied undergraduate colleges should set up a team of teaching informants. Teaching quality management is one of the most important tasks of teaching information workers and an important part of the school teaching quality monitoring system. The main responsibilities are to provide opinions and suggestions on the teaching construction and teaching management of the college.

References 1. Gu J (2018) Analysis on the professional construction of teaching management team in colleges and universities. Guangxi Soc Sci 2 2. Fa X, Liu Z (2017) Strengthening the construction of teaching information staff to promote the improvement of teaching quality. J Jianghan Petrol Univ Staff Workers 4

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3. Ding Z, Li W (2018) Construction of teaching management team in private colleges and universities. Educ Occup 5 4. Han F (2016) Transformation of newly established undergraduate colleges and management of teaching quality–on the problems and countermeasures of teaching supervision. Chongqing High Educ Res 4(1) 5. Pan Y, Che R (2019) A brief discussion on the orientation of applied undergraduate colleges. High Educ Res 30(5) 6. Chen B (2017) Research on the diversification of english teaching in higher vocational education. J Henan Univ Radio Telev 1 7. Ma P (2019) Practical teaching quality monitoring system of business administration specialty in applied undergraduate colleges to construct. Econ Outlook Bohai Rim 3:177 8. Cao J (2019) Research on the evaluation of practical teaching quality in private colleges based on total quality management. Educ Occup 2:104–108

Management and Teaching Practice for In-Depth Interactive Lesson of Digital Signal Processing Shiqiang Wang, Caiyun Gao, Qin Zhang, Xin Wang, Huiyong Zeng, and Juan Bai

Abstract Effectively carrying out classroom teaching management under the objective law of teaching activities can further enhance the teaching effect. The digital signal processing course attracts much attention because of its versatility, comprehensiveness, strong frontier, and practicality, but because of its abstract concept, cumbersome formulas, using mainstream education methods such as blackboard, and PPT, the teaching results are not ideal and the students have limited harvest. Taking information technology as the traction and intelligent interactive whiteboard system as the platform, through the effective classroom management, an in-depth interactive teaching method based on intelligent interactive whiteboard is constructed. Practice shows that in-depth interactive teaching methods can break the traditional one-way teaching and realize the two-way interaction between teachers and students. That is to say, through this teaching method, teachers can vividly expound the key teaching contents, clearly explain the arguments, and perform the image interpretation. Students become passive and active, actively participate, can actively think and feedback, and practice multidimensional model thinking through in-depth interactive teaching, and extract methods from it. In addition, under the effective classroom management constraints, in-depth interactive teaching enhances the fun of teaching and learning, turning the classroom into a real interactive classroom, and its results can promote the development of education and teaching of digital signal processing courses. Keywords Teaching management · Digital signal processing · Teaching feedback system · Interactive teaching · Education · Teaching research

S. Wang · Q. Zhang · X. Wang · H. Zeng (B) · J. Bai Air and Missile-Defence College, Air Force Engineering University, Xi’an 710051, China e-mail: [email protected] C. Gao Department of Basic Sciences, Air Force Engineering University, Xi’an 710051, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_53

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1 Introduction The digital signal processing course is a professional foundation compulsory course for students majoring in radar, communication, and control [1, 2]. This course focuses on the basic concepts, principles, algorithms, and application techniques of digital signal processing. It plays a bridge and link between professional basic courses and professional courses. This course covers many disciplines and fields and has the characteristics of good versatility, comprehensiveness, strong frontier, and strong practicability [1]. It has an important position in the process of training relevant professionals and has great support for achieving the goal of talent training effect. The pre-courses mainly include courses such as “advanced mathematics” and “signal and system.” Different majors have different follow-up professional courses. Based on digital signal processing-related content, they are deeply involved in different professional fields. Several sets of concepts have been found in the process of digital signal processing, such as linear convolution, periodic convolution, and circular convolution, ztransform, Laplace transform, and discrete-time Fourier transform (DTFT). Discretetime Fourier transform (DTFT), discrete Fourier series (DFS) and discrete Fourier transform (DFT) [3, 4]. If only the blackboard, PPT presentation, instructor explanation are used in the teaching implementation ways, students are often difficult to understand and master. The more common solution is the collection of materials under the class, as well as the production of test cases and presentations by PPT. This method can solve the above problems to a certain extent and strengthen students’ understanding of the concept of confusion. Presented in the form of a slide PPT, the original teaching content can be statically displayed and dynamically demonstrated. The teaching content is rich and the concept is difficult to understand. For the students, the learning content can only be viewed and viewed, and it is inconvenient to practice the exercises. Moreover, it is difficult to intuitively understand and deeply understand the parameters, such as calculations and filters, which cause the knowledge to be degraded to a castle in the air. It is not conducive to the further improvement of students’ practical ability and innovative ability [4]. In addition, for teachers, the most common problem with PPT is the structured classroom. Since the PPT is usually designed in advance, it is often the case that the teacher is not using the PPT, but the PPT is using the teacher. It hurts the generation of classrooms in teaching. The dominance of the classroom is framed by the pre-designed courseware of the instructor, and the natural and productive classrooms will be greatly reduced [5]. If there is no effective management of the classroom, the teaching effect will be significantly weaker.

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2 Effectively Manage In-Depth Interactive Teaching Requirements The interactive teaching mode is an interactive teaching method based on the dialog between teachers and students [6]. The purpose of interactive teaching is to build a learning atmosphere of mutual respect, trust, and equality. Through dialog and listening, the two-way communication between teachers and students and students can be realized, and the understanding of new concepts can be deepened in cooperative learning [4]. The interactive teaching process is generally divided into two phases: the teacher–student interaction phase and the student interaction phase [6]. In the teaching process, teacher–student interaction is always emphasized. Teachers carefully design classroom questions, students take the initiative to participate in dialogs, and students ask questions and students talk to students. In interactive teaching, the interactive effect depends on whether the teacher’s chosen teaching content and design questions are suitable for different basic students. The school has a wide range of enrollment and different levels of basic knowledge. In particular, the pre-requisite courses “higher mathematics” and “signal and system” are relatively difficult to understand. In addition, the curriculum has a strong mathematical foundation and complex concepts. Abstract, flexible application, and close contact with knowledge points make some students in the classroom unintelligible, fearful, and tired of learning. In addition, the current mainstream education methods are teachers teaching lectures on the podium, displaying PPT, writing in chalk, students attending classes under the stage, and writing books, and in the process of teaching, there are mainly the following problems: 1. Resource shortage: It is difficult for teachers to obtain various forms of synchronous teaching aid resources. 2. One-way teaching, lack of interaction: Most teachers only transfer knowledge in one direction, “teaching” and “learning” are separated, lack of interaction between teachers and students, students’ initiative and enthusiasm for learning, and the entire teaching process The middle teacher could not get the student’s learning feedback in time. 3. Resource islands: There is a lack of effective communication and communication between schools, between classes, between teachers, between teachers and students. Resources cannot be exchanged and shared, and the process of teaching and learning is relatively closed. 4. The teaching equipment is backward, independent, and single: the functions of the projection and computer are isolated and can only be used as a display, and the display effect is easily affected by the light environment, and the definition is not good; many softwares are not designed for teaching, and the teaching is not considered. In actual environments, the use is not good, and it is difficult to upgrade and expand. Based on this, it is more necessary to implement interactive teaching in the course of digital signal processing course, starting from the simplest problem, step by step,

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deepening, and mobilizing students’ initiative and enthusiasm for active interaction. In interactive teaching, students are required to read before class. One week before class, teachers provide relevant pre-course reading materials, and students bring questions, confusion, personal thoughts, or insights before class to the classroom. In the classroom interaction and discussion, students further ask questions, expand their thinking, and find ways and paths to achieve the desired teaching results. At present, interactive teaching has gradually moved toward informationization, not limited to traditional interaction methods, and the introduction of information technology is the only way for interactive teaching model innovation [7]. Through the implementation of information-based teaching methods, the interactive teaching effect will be enhanced, and the quality of professional education personnel training and the level of running schools will be improved. This requires a complete teaching program to meet the following modern information teaching needs: 1. An integrated solution is needed to provide informatized hardware and software for the end to end of teaching. 2. The number of devices in the solution should be as small as possible, and the integration and reuse of the devices are higher. And, the hardware and software functions of the device can be extended and upgraded to adapt to future changes. 3. The hardware and software in the system are interconnected through the network to meet the needs of teachers and students to teach and learn at any time and in the school and to manage activities. 4. Teachers can easily prepare lessons, teach classes flexibly, and publish lecture content quickly, improve the efficiency of teaching, and reduce the workload of teachers. 5. Teachers can teach in a targeted manner according to the abilities and learning conditions of different students. 6. Teaching and learning are not separated, and the interaction between teachers and students is enhanced, which can stimulate students’ interest in learning and encourage students to learn efficiently and independently. 7. Parents of the school’s teaching process can also participate, understand the child’s learning situation, and jointly supervise and counsel.

3 Effectively Manage In-Depth Interactive Teaching Programs As mentioned above, traditional multimedia teaching requires the instructor to stand on the podium. As a result, many instructors are constantly clicking the mouse or using a flip pen to display the class. There is a lack of interaction between teachers and students, and digital signal processing involves more mathematical knowledge. Conceptual abstraction, which relies solely on this kind of display, does not work well. The author discusses an interactive teaching method based on intelligent interactive whiteboard for this problem (hereinafter referred to as in-depth interactive teaching).

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In-depth interactive teaching breaks the traditional one-way teaching and realizes two-way interaction between teachers and students. It relies on intelligent interactive whiteboard system. Its hardware usually includes interactive smart tablet, mobile teaching terminal, student feedback device, receiving push-pull blackboard, portable physical exhibition stand, multi-functional platform, etc.; software includes a variety of teaching assistants, teaching feedback system, mobile terminal APP software [8] and can be used with peripheral supporting equipment to achieve multimedia in-depth interactive teaching applications. The teaching feedback system is a platform system for teacher–student interaction. Through intelligent tablet and student feedback device, interactive functions such as multiple-choice questions, multiple-choice questions, and answering questions can be realized. Not only can the teaching quality be understood at any time, but also the interest of teaching can be improved. Like pre-class check-in, single-choice, multiple-choice answering, lottery answering, voting answering, and other instant answers, interactive screen, subjective question evaluation, report generation, and other functions can greatly improve the efficiency of teacher–student interaction and is more conducive to master the learning situation and interaction state of students in time for teachers. By constructing a wireless local area network, the interactive smart tablet, the instructor intelligent terminal, and the student intelligent terminal are uniformly interconnected, thereby realizing the functions of mutual image transmission, twoway interaction, instant evaluation, classroom management, and the like. The use of intelligent interactive whiteboard system can break the teaching mode of traditional teachers on the stage and students in the audience, and realize the teaching method of teaching and learning integration. The traditional interactive class, according to the characteristics of the students, can only meet the learning needs of most people, and the in-depth interactive teaching allows the instructors to personalize the teaching according to the characteristics of the students. Similarly, the students can carry out personalized learning according to their own needs, and also they can fully interactive to improve the classroom efficiency. The teaching content inherent in different PPTs is different from the traditional teaching methods of blackboard. The in-depth interactive teaching method can bring the focus of students back to the teachers. Teachers can flexibly adjust the teaching content and teaching according to various information in the classroom. The goals, links, atmosphere, time, and other factors always control the classroom teaching. Through in-depth interactive teaching methods, teachers can put more energy into capturing students’ learning information, and then let students immersed in the ups and downs of the knowledge ocean.

4 In-Depth Interactive Classroom Management In-depth interactive teaching process, interaction with students can increase the efficiency of knowledge absorption, but it is undeniable that in this case, the classroom

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may be noisy, students should do it, the operation is also operated, but in the end, how many theories and methods are there are still unknown. This requires effective management of the classroom, mainly from the following aspects. First of all, discipline management should be payed close attention to. Interactive teaching emphasizes interaction, which means that the degree of communication and interaction is deeper than the usual meaning. Therefore, the management of classroom discipline is especially important. Second, habit cultivation is uninterrupted. In-depth interactive classrooms require students to actively participate in teaching activities, correcting unreasonable thinking and rigid interactions, cultivating and strengthening sense of accomplishment, and correcting bad habits. Finally, the atmosphere is created to be positive. Students are the main body, teachers interact as traction, and actively create a good classroom atmosphere, so that students can let students experience themselves as the main body in the interaction and achieve a good teaching effect in two-way interactive teaching.

5 Conclusion The digital signal processing course involves a wide range of knowledge, abstract concepts, and difficult teaching. Traditional interactive teaching can not meet the needs of modern teaching. The article discusses the in-depth interactive teaching mode based on intelligent interactive whiteboard. Mainly from the two aspects of demand and implementation, the feasibility and superiority of in-depth interactive teaching are studied. In fact, in addition to the above advantages, the intelligent interactive whiteboard system can also realize functions such as distance teaching and mobile booths. It writes comments on the electronic board books, PPT, pictures, videos, etc., and the key teaching contents are vividly elaborated. Argumentation and image interpretation provide a smart and intuitive operating platform for real interactive classrooms. Acknowledgements This paper was supported by the National Natural Science Foundation of China partly under Grant no. 61601499, 61701527, and 61601503.

References 1. Gao X, Ding Y, Kuo Y (2016) Digital signal processing—principles, implementation and application, 3rd edn. Publishing House of Electronics Industry, Beijing 2. Cheng P (2013) Digital signal processing tutorial, 4th edn. Tsinghua University Press, Beijing, p 08 3. Wang H, Cong Y, Wang M (2016) Analysis of difficulties in digital signal processing. Asia-Pac Educ 34:83–84 4. Wang J (2010) Application of interactive teaching in digital signal processing course. China Electron Educ 02:64–67

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5. Wo J (2016) Discussion on the advantages and disadvantages of PPT teaching in crew training in higher vocational colleges. Asia-Pac Educ 08:112–113 6. Deng P, Wei W, Zhao Y et al (2014) Application of Interactive teaching mode in the teaching of digital signal processing. China Electr Power Educ 8:84–85 7. Z C, Xu Z (2017) Research on the “Five in One” information teaching model. Softw Eng 20(11):57–59 8. Xiwo L (2017) Guangzhou Vision Electronic Technology Co., Ltd. [EB/OL], 2017-10-21. http:// www.seewo.com/index.php/Product/index/cat_id/128/nid/284

Research on Technology Innovation of ICT Industry in China Based on Patent Perspective Liubin Lai and Yunsheng Zhang

Abstract ICT industry is a knowledge-intensive industry, the development of which is highly dependent on patented technology and the competition is becoming increasingly fierce. The paper analyzes the patent of Chinese ICT Industry from 1985 to 2019 on the perspective of patent information. Patent analysis is carried out from the aspects of annual trend of patent application, main patentee, technology life cycle, important regional distribution, IPCs and patent legal status, in order to grasp the main and the most welcome area of the technology. The purpose of this paper is to provide the evidence of patent information for promoting the technology innovation of ICT Industry in China and provide a reference for the formulation of policies related to technology innovation in ICT industry. Keywords ICT industry · Technology innovation · Patent information · Patent analysis

1 Introduction The information and communication technology (ICT) is the new concepts and new areas arising from the intersection and integration of information technology (IT) and communication technology (CT) [6]. The Organization for Economic Cooperation and Development (OECD) defines the ICT industry as a collection of manufacturing and service industries that acquire, disseminate and present data information in electronic technology. The former includes communications service, software development service, information technology service, other computer system service, data processing service, information technology support service, computer and peripheral equipment repair service. The latter includes consumer electronics manufacturing, communication equipment manufacturing, computer and peripheral equipment L. Lai (B) School of Business, Hunan International Economics University, Changsha, China e-mail: [email protected] L. Lai · Y. Zhang School of Business, Central South University, Changsha, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_54

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manufacturing, and electronic component manufacturing. The European Union (EU) defines the ICT industry as a cluster or system of technology innovations and their interactions in the industries including broadcasting, the Internet, microelectronics, computer and electronic communications. The Interim Regulations on the Statistical Division of Information-Related Industries issued by Chinese National Bureau of Statistics in 2004 defines it as “a collection of various activities related to electronic information,” which is divided into electronic information equipment manufacturing, electronic information equipment sales and leasing, and electronic information transmission service, computer service and software and other related information service. Today, ICT innovation is very fast. The wave of informationization characterized by digitalization, networking and intelligence is booming, and new business models are emerging. ICT has become one of the fastest growing and most innovative areas. The ICT industry has gradually become a strategic, basic and leading industry. It has the characteristics of high knowledge intensity, fast product renewal, high industrial relevance, strong network effect, significant technology spillover effect, and high economic value added [5]. With the continuous breakthrough of ICT integration innovation and the government’s high attention, China’s ICT industry has achieved remarkable results. In 2018, China’s total digital economy exceeded 31 trillion yuan, accounting for 34.8% of GDP. The ICT industry has become a strategic high-tech industry that develops the economy and improves the overall competitiveness of a country. At present, a new round of scientific and technological revolutions and industrial changes is emerging around the world, and intellectual property rights have become the key to finding a competitive edge in the industry. As an important part of intellectual property rights, patent plays an increasingly important role in modern market competition. The most basic characteristics of patents are “exclusive” and “public,” and “publicity” in exchange for “exclusivity” is the most basic core of the patent system. By monopolizing proprietary technology for a period of time, the company can bring excessive market share and return and enhance the competitive advantage, so patents are seen as strategic assets for companies [14]. In recent years, in order to prevent their own technology from being plagiarized by competitors, the global high-tech enterprises have implemented patent strategy, and the global “patent competition” has never been more popular. Patents are the product of technology innovation and a barometer of technology innovation. More than 90% of the world’s scientific and technological achievements are included in patent information [13]. Properly formulating and implementing a patent strategy not only protects the company’s innovations but also brings huge economic benefits to the company. With the increasing complexity of ICT technology innovation, the accelerated speed of technology development, the shortened product life cycle and the increasingly fierce competition, patents have become the main source for ICT companies to gain core competitive advantages, create social wealth and promote economic growth. In recent years, the number of ICT patents has been increasing every year.

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2 Review With the emergence and application of emerging technologies such as the Internet, big data and artificial intelligence, the global ICT industry technology innovation is entering a new round of acceleration. ICT industry has become the fastest growing and largest industry in the world [5]. Some related issues have become a hot topic for scholars. Based on a sample of 54 countries from 2005 to 2015, Adeleye and Eboagu [1] find that ICT development has a statistically significant positive relationship with economic growth in Africa. Biryukova and Matiukhina [2] provides an analysis of Brazil, Russia, India, China and South Africa (BRICS) countries’ participation in the international ICT services trade. Despite the increase in the volume of export operations in the trade in ICT services, their level of competitiveness is declining. Wu [18] studies the contribution of ICT to productivity growth in the USA. Guo and Du [7] empirically analyze the effect of ICT on the quality improvement of China’s economic growth from 1995 to 2015. The results show that China’s ICT capital deepening effect is obvious. The contribution of ICT capital to the total output of the economy is on the rise; the total factor productivity growth rate of the ICT industry is significantly higher than the overall economic average; the direct driving effect of the ICT industry on the optimization and upgrading of industrial structure is more obvious, but the spillover effect is not significant; compared with the ICT manufacturing, the spillover effect of the software on other industries is not obvious. Tabsh and Davidaviciene [15] analyze the peculiarities of Middle East countries in ICT usage in energy management sector and find that the effect of ICT on managing the energy management sector is positive, valid and valuable. They also study the peculiarities of the factors and the tools that are used to improve efficiency and sustainability of in the energy management sector. Zhang and Wei [23] examine the impact mechanism of ICT applications on enterprise energy consumption. The results show that there is a significant relationship between the degree of application of ICT and energy intensity. Application of ICT will reduce the energy intensity of enterprises by upgrading technology, replacing equipment, and improving the flexibility of manufacturing, leading to technical progress and structure optimization. Yang and Li [20] study the impact of technical progress in IT industry on China’s labor employment and wage gap and find that technical advances in the IT industry will increase the relative demand for highly skilled labor, reduce the relative demand for low-skilled labor and increase the wage gap of the two types of labor. Kılıçaslan et al. [9] explore the impact of ICT capital on employment generation in Turkish manufacturing industry by using labor demand estimation framework and find that ICT has employment-enhancing effects, and tangible ICT capital has stronger employment generation impact than that of intangible ICT capital in medium- and low-tech industries. Hyun et al. [8] examine the relationship among competitive advantage, catch-up, and linkage effects using input–output data (2000–2014) of ICT industry between South Korea and India. The results reveal that [1] industry with competitive advantage has a higher forward linkage effect and [2] a catch-up growing industry has a higher backward linkage effect. ICT manufacturing and service sectors between Korea and India have very

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different characteristics and effects on each national economy. Chen et al. [4] also study the production impact and technology spillover effects of ICT on other sectors using the input–output method and find that ICT manufacturing has a strong role in promoting other sectors; the technology spillovers mainly occur in equipment manufacturing; the spillover and integration effects on traditional department have yet to be improved, and the influence and sensitivity of the ICT service on other departments are weak. The patent analysis method has been applied in the fields of technology foresight analysis [19] and enterprise technology innovation analysis [17]. The analysis of patent data can help us to understand the current situation and development trend of the industry [12, 21], identify research hotspots and key technologies to master innovative and strategic information and provide a reliable reference for comprehensive mastery of technology innovation trends and innovation management. Combined with modular theory and patent cooperation innovation theory, Wang et al. [16] study the construction and governance of patent cooperation network of ICT enterprises from a microscopic perspective. It is found that the mediation of modularization can effectively link up the modularized technology framework of enterprises and cooperative universities, research institutes and enterprise partners, and provide communication links between innovation demand side and service supply side. As no public disclosure about intellectual property strategy has been made by any of the companies, the only way to understand intellectual property strategy is to study patent filings and deduce strategy based on the trends [14]. Nicoletta and Muge [10] assess the potential impact of ICT firm’s innovations on firm performance. The results suggest an inverted u-shaped relationship between the extent of technological diversification and the likelihood to develop green technologies. Technology diversification generally increases the likelihood of green innovations, but too high a dispersion of resources across a large variety of different technologies decreases the intensity of green innovations. The results show also that the development of green technologies is positively associated with firm performance. Based on the firm-level panel data set for the years 1992–2009, Cecere et al. [3] find that firms active in low-opportunity technological areas are less innovative but are more likely to switch from pure ICT innovation to green ICT innovation. Innovation plays a decisive role in the sustainable development of ICT industry. In order to encourage technology innovation, patent system stipulates that the patentee has the exclusive right over his invention for a certain period of time. Its purpose is to encourage the patentee to invent and share the invention and creation [12]. In recent years, China’s ICT industry is developing rapidly and China has become the largest import and export country of ICT products in the world [11]. But the core competence of ICT enterprises in China is weak and the key technologies are controlled by others. The world-class enterprises are rare [16]. ICT industry is facing the crisis of “Product Tiger Technology Cat.” At present, we should seize the favorable development opportunity by breaking through the patent bottleneck and promoting industrial upgrading. Although many scholars have studied ICT patents in China, most of them are from the regional perspective. Some documents are from the national perspective, but the data are relatively old, which can not reflect the long-term patent development

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Table 1 The IPC codes in the ICT industry ICT industry

IPC code

Telecommunications

G01S; G08C; G09C; H01P; H01Q; H01S; H1S5; H03B; H03C; H03D; H03H; H03M; H04B; H04J; H04K; H04L; H04M; H04Q

Consumer electronics

G11B; H03F; H03G; H03J; H04H; H04N; H04R; H04S

Computer, office machinery

B07C; B41J; B41K; G02F; G03G; G05F; G06; G07; G09G; G10L; G11C; H03K; H03L

Other ICT

G01B; G01C; G01D; G01F; G01G; G01H; G01J; G01K; G01L; G01M; G01N; G01P; G01R; G01V; G01W; G02B6; G05B; G08G; G09B; H01B11; H01J; H01L

of ICT industry in China as a whole. From the perspective of patent information, this paper studies the trend and direction of ICT industry development in China, analyzes the shortcomings and explores the development countermeasures of ICT industry based on the actual situation.

3 Technology Status Analysis of China’s ICT Industry Based on Patent Data 3.1 Data Source and Retrieval Method According to the definition of IPC in OECD Patent Statistics Bulletin, the ICT industry is divided into four sub-industries: telecommunication/radio, computer/office machine, consumer electronics and other ICT technologies (Table 1). PatSnap is used to retrieve patent data. The database contains a large amount of patent data from 116 countries in the world since 1790, which is relatively well developed and has a good search function in China. The patents were retrieved by IPC code on September 22, 2019. We study the cumulative number of patent applications mainly from the different perspectives of annual trend of patent applications, major applicants, technology life cycle, regional distribution, IPC and legal status, etc.

3.2 Annual Trend Analysis of the Number of Patent Applications Patents need to be developed, applied, disclosed and granted. Patent application only represents the success of R&D, and it takes a long time to go through substantive examination from application to grant. An invention cannot be recognized as patentable and protected accordingly until it is not duplicate with other research and has practical value. Patent authorization represents the quality of the patent and the

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exclusive property right of patentee. The legitimacy of patentee’s access to intangible assets will enhance its competitive advantage [22]. Therefore, the number of patent applications reflects the trends of patent technology, while the number of patent grants reflects the innovation ability. There are 5.74 million ICT industry patent applications in China, of which 4.34 million are invention patents, accounting for 75.52% of the total patent applications, and 1.46 million are utility model patents, accounting for 24.48%. Among them, 4.53 million are authorized, accounting 78.88%, indicating that the rate of China’s ICT patent authorization (ratio of patent authorization to application) is high. In order to accurately analyze the trend of patent application and authorization of ICT industry in China, this paper divides the research period (1985–2019) into three stages, namely 1985–1994, 1995–2005 and 2006–2019. The introduction of “patent law” in 1985 marks the beginning of China’s protection of the legitimate rights of patentees. In the same year, the reform of China’s science and technology system was also implemented. From 1985 to 1994, China reformed the allocation system, relaxed the control of scientific research and expanded the autonomy of research institutions. At the 1995 National Science and Technology Congress, it was proposed to further deepen the reform of science and technology system and vigorously promote the scientific and technology progress of enterprises. In 1999, the Central Committee of the Communist Party of China and the State Council put forward the decision to strengthen technology innovation, develop high-tech and implement industrialization. In 2000, China revised the patent law for the second time, which significantly promoted the marginal output of enterprise invention and promoted technology innovation in high-tech industry. In 2006, the State Council’s Outline of the National Medium- and Long-term Science and Technology Development Plan (2006–2020) proposed the establishment of a technology innovation system with enterprises as the main body, market-oriented and the combination of industry, education and research, marking a new stage in the reform of China’s science and technology system. The annual trend of ICT patent applications and authorizations is shown in Fig. 1. As patents are usually made public 18 months after the application, a considerable 700000

1000.00

600000

800.00

500000 400000

Number of applications

300000

Number of authorization

200000

Authorized ratio %

100000 1985 1987 1989 1991 1993 1995 1997 1999 2001 2003 2005 2007 2009 2011 2013 2015 2017

0

600.00 400.00 200.00 0.00 year

Fig. 1 Trends of patent application and authorization in ICT industry in China (1985–2019)

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portion of the patents applied for in 2018–2019 is not public, which makes the data of patent applications in these two years incomplete. Therefore, the data of 2018–2019 are only for reference. On the whole, the annual patent authorization is basically consistent with patent application. Before 1994, the annual number of patent applications is less than 10 thousand. Before 2000, the number of authorizations does not change significantly and increases substantially after 2000. The number of applications exceeded 10 thousand in 1994, 100 thousand in 2004, 200 thousand in 2009, 300 thousand in 2011, 400 thousand in 2013, 500 thousand in 2015 and 600 thousand in 2017. In 2017, the number of patent applications for ICT industry in China is 645,371, about 172.79 times that (3735) in 1985 and 4.08 times that (158,061) in 2006, with an average annual growth rate of 17.47% and 13.64%, respectively. In 2005, the number (137,891) is 9.30 times that (14,824) in 1995, with an average annual growth of 24.98%. In 1994, the number (11,738) is 3.14 times that (3735) in 1985, with an average annual growth of 13.57%. From the above, we can see that patent system promotes patentee’s motive to apply for patent; the growth trend of patent technology is obvious. The technology innovation capability of ICT industry in China is gradually enhanced with the increase of patent application and authorization. China’s ICT industry technology has made great breakthroughs.

3.3 Analysis of Major Patent Applicants Leading patent holders play an important role in the process of R&D, leading the direction of technology development, promoting and radiating the industrial development. Figure 2 shows the top 10 patentees in the number of patent applications (1985–2019), including six Chinese enterprises (universities) and four foreign enterprises. The first is Huawei Technologies Co Ltd. It has 82,342 patent applications, accounting for 18.56% of the total 10 patentees in the field. The second and third are State Grid Corporation of China (SGCC) and ZTE, including 66,006 and 53,442 patent applications, respectively. Tsinghua University is the only university in the top 10 patentees. It has 25,226 patent applications in the field, accounting for 5.69% of the top 10 patent applications. Its ICT industry research has reached the forefront 90,000 80,000 70,000 60,000 50,000 40,000 30,000 20,000 10,000 0

82,342 66,006 53,442 52,926 37,952 36,006 33,852

28,902 26,992 25,226

Fig. 2 The main applicants for ICT patents and the number of patents in China

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Fig. 3 Hot technical areas of ICT patent major applicants

of universities. The top 10 patentees have 443,646 patents, accounting for about 7.72% of the total patent applications in ICT industry in China. According to the statistics of the patents of the abovementioned patent applicants according to IPC subcategory, we can see the key areas of concern and technical advantages of each patent applicant (Fig. 3). It can be seen that Huawei, Samsung and ZTE have many fields of ICT industry, which are relatively comprehensive and have the leading edge in the field of H04L.

3.4 Analysis of Technology Life Cycle Technology life cycle analysis plays an important role in assessing the level of development of technology and formulating industrial strategies. In order to better reflect the development of technology, this paper uses technology growth ratio (ϑ) and technology maturity ratio (α) to analyze the technology life cycle of ICT industry. d A

(1)

d d +b

(2)

ϑ= α=

Among them, d is the amount of patent application for invention in the field in a year, A is the amount of patent application for invention in the field in the past five years and b is the amount of patent application for utility model in the field in the same year. These indicators can intuitively reveal the development stage of technology in its life cycle and use patents to comprehensively reflect the development of technology. As can be seen in Fig. 4, the technology growth ratio increased

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100.00 80.00 60.00 40.00 20.00 0.00

Technology growth ratio(%) Technology maturity ratio(%)

Fig. 4 Trends of technology growth ratio and technology maturity ratio in 2005–2019

rapidly from 1990 to 1995 and decreased slightly from 1996 to 1999. From 2000 to 2003, it rebounded again and then slightly declined from 2004 to 2010, with little change from 2011 to 2014, and slightly declined from 2015 to 2019. Overall, the growth ratio of ICT oscillated from 1996 to 2019, indicating that China’s ICT industry technology is in a high-speed development stage and is gradually matured. The technology maturity ratio was on the rise before 1998, and then, on the whole, it was on the decline of oscillation. The results show that China’s ICT is gradually developing from technology development period to maturity period, and R&D and patent application continue to flourish in this field.

3.5 Important Regional Analysis of Technology Innovation In order to find out the leading areas of ICT industry, we analyze the top provinces with the number of ICT patent applications in China. There is a big gap in the development level between provinces in the field, and the number of patent applications in coastal provinces is generally higher than that in the central. The top five provinces of China’s ICT patents are Guangdong, Beijing, Jiangsu, Shanghai and Zhejiang, accounting for 46.38% of the total number of ICT patent applications in China. These provinces pay close attention to the R&D hotspots of ICT industry, leading the development direction of ICT industry technology. There are four provinces with more than 300 thousand patent applications, namely Guangdong, Beijing, Jiangsu and Shanghai. Among them, Guangdong has 887.03 thousand items, accounting for 15.44% of the total number of patent applications. There are 123 listed companies in ICT industry, including Huawei, TCL, ZTE, Tencent, Netease and other famous companies. The number of listed companies exceeds the sum of Beijing and Shanghai, with a total market value of 1 trillion and 320 billion, ranking first in the country. Guangdong is the largest province of ICT industry in China. The scale of electronic information manufacturing, software and information service ranks first in the country for many years. Cloud computing, big data, 4 K TV, AI and other new information technology industries are growing rapidly.

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The number of patent applications in Beijing, Jiangsu and Shanghai is 673.90 thousand, 492.25 thousand and 327.00 thousand, respectively, accounting for 11.73%, 8.58% and 5.70% of the total number of patent applications, respectively. With abundant human resources and good scientific and technological foundation, these three provinces have formed relatively perfect ICT industrial clusters after years of development, which greatly promotes the development of local ICT industry. The number of patent applications in Hunan, Jiangxi, Shanxi, located in central region in China, is less than 80 thousand, which are 75.93 thousand, 36.43 thousand and 22.91 thousand, respectively. The total number of patents in these provinces is only 15.25% of that in Guangdong province, indicating that the technology innovation ability of the ICT industry in these three provinces needs to be improved. Generally speaking, the technology innovation ability of ICT industry in China is positively related to the regional economic development. Therefore, we should increase support for ICT industry R&D in central and western regions and enhance the technology innovation ability of ICT industry patents in the central and western regions.

3.6 Analysis of Hot Technology Areas Through the analysis of IPC, we can have a comprehensive understanding of resource allocation information of ICT patents in China, such as technical characteristics, R&D fields and so on. The number of applications for category G (physics) is 3.99 million, and that for category H (Electricity) is 2.26 million. The number of B (operation, transportation) and C (chemistry, metallurgy) patent applications is 327.10 thousand and 169.60 thousand, respectively, accounting for about 9.07% of the total; A (human life necessities), F (mechanical engineering, lighting, heating) and E (fixed buildings) patent applications are much less than the first four categories, accounting for 129.10 thousand, 900.10 thousand and 411.00 thousand, respectively, accounting for about 4.79% of the total. The number of patent applications for D (textile, paper) category is 7.50 thousand, which is the lowest in all categories. It shows that ICT industry technology is mainly in the field of physics and electricity, and the research in other fields is not enough. As for the sub-categories, the top 10 are G06F, G01N, H04L, H01L, H04N, G01R, G06Q, G06K, H04B and G05B. It can be seen that the number of patents in G06F is obviously more than that in others, followed by G01N, H04L and H01L. G06F is the main technology field of ICT patent application in China, totaling 949.70 thousand, accounting for 16.54% of the ICT industry, 23.83% of category G patents, which shows that G06F has been paid more attention in category G. Next is G01N, with 607.57 thousand patent applications, accounting for 10.58%. There are 1.17 million patents in H04L, H04N and H04B categories, accounting for 20.31%. The number of patent applications for G01R, G06Q, G06K and G05B is 264.64 thousand, 223.30 thousand, 222.40 thousand and 188.87 thousand, respectively, which is relatively small, indicating that the technology innovation ability in these fields is low.

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3.7 Analysis of Patent Legal Status Patent legal status information is of great significance for grasping patent quality and judging technology maturity, which can make up for the lack of patent application information analysis. Patent legal status refers to the status of a patent in terms of ownership, type and scope of rights at a specific time stage, including under substantive review, public, valid and invalid. Substantive review is mainly in the stage of patent application, which determines whether a patent is authorized or not according to the relevant review regulations. The invention shall be made public by the patent administration 18 months after it has passed the preliminary substantive review. During the period of publication, only when there are no other rights defects and objections in the application, can the patent be authorized. A valid patent refers to the patent that is still in valid state after the patent has been authorized. The state of invalidation is that after the patent is authorized, the patent right is invalidated because it exceeds the protection period stipulated by law, the patentee abandons the patent right or fails to pay the patent fee. Table 2 shows the distribution of patent law status of ICT industry in China and the USA. From Table 2, we can see that there are 2.63 million valid patents, accounting for 45.78% (the corresponding proportion in the USA is 50.77%) and 1.08 million patents under substantive review, accounting for 18.81% of all patents (the corresponding proportion in the USA is 3.6%), which shows that China attaches great importance to the investment in R&D in the ICT industry and the protection of IP rights. The total number of invalid patents is 1.90 million, of which 1.09 million are unpaid annual fees, accounting for 57.16% of invalid patents; 47.30 thousand patents expired, accounting for only 2.49% of invalid patents. The proportion of unpaid annual fee patents in invalid patents in the USA is 35.89%, and that of expired patents is 34.28%. According to the statistics of the Chinese Intellectual Property Office, invalid patents account for 94.6% of the total patents in China. The maintenance time of invention patents is mostly 3–6 years. 49.2% maintain more than five years, 7.6% more than 10 years, 0.8% more than 10 years and only 0.02% maintain until expiration. We conclude that many patents in China are not maintained during the period of protection, suggesting that patentees should pay annual fees to avoid unnecessary losses, besides protecting their own patents from infringement by others after patent authorization.

4 Conclusion and Implications Patent information is important information reflecting technology development. Through quantitative and qualitative analysis of ICT industry patents, we can understand the direction, level and characteristics of technology development, and provide important information for strategic decision-making and development planning. The results show that (1) The number of patent applications and authorizations for ICT

225,574

3.60

1,080,489

18.81

USA

Proportion (%)

China

Proportion (%)

Substantive review

Law status

2.31

132,488

1.93

120,689

Public

45.78

2,629,210

50.77

3,177,852

Valid

33.10

1,901,120

43.70

2,735,578

Invalid

Table 2 Comparison of patent law status of ICT industry between China and USA

18.92

1,086,617

15.68

981,671

Unpaid annual fee

0.82

47,260

14.98

937,820

Expire

8.34

478,985

10.79

675,673

Withdraw

0.35

20,106

0.00

49

Abandon

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industry in China has increased rapidly. (2) Compared with enterprises, the R&D field of universities is relatively weak and not comprehensive. (3) ICT begins to enter the stage of technology maturity. R&D and patent applications continue to flourish in this area. (4) The better the regional economic development, the stronger the technology innovation capability of ICT industry in China. (5) The technology of ICT industry in China is mainly in the fields of physics and electricity. (6) The enthusiasm for ICT patent applications in China is high, while the overall quality is low, and the returns are low. Many patents have not been sustained [24]. The results show that the conclusion based on patent data can reflect the status of ICT industry in China, and the patent analysis method is feasible to study the status of technology-intensive industries. Based on the analysis above, the following implications are put forward for technology innovation in ICT industry in China: First, enhance the awareness of patent protection. Lack of core intellectual property (IP) rights reduces the independence of ICT technology development in China to a certain extent and restricts the development of ICT industry in China. Enterprises should enhance patent awareness, set up IP department and establish a long-term development strategy. Second, improve the quality of patent applications. The quality of patents determines the international competitiveness of ICT industry. The quantity of ICT patents in China is large but the quality is insufficient. Government should set up specific patent management institutions, strengthen the assessment of patent quality and improve the innovation ability in ICT field in China. The duty of the patent administration department is to collect patent information, classify and process information, discover innovative products, evaluate projects before R&D, and assess the quality of patent. Follow up and learn the latest technology of the area, find blank spots and commanding heights of future technology through patent map and other means. Increase R&D investment, and actively apply for high-quality patents. Through the “Invite in” and “Go out” mode, enterprises should integrate international R&D resources and actively promote international patent applications in accordance with their respective overall strategies. Thirdly, carry out the strategy of patent pool. After patent authorization, leading enterprises in the industry can appropriately expand the impact of patents and promote patents to become standard-essential patents by establishing domestic patent pools, joining overseas patent pools and participating in the formulation of international technical standards. Acknowledgements This research was supported by the Programs of the National Natural Science Foundation of China (Grant Nos. 71373074, 71774177) and Hunan Provincial Department of Science and Technology (Grant No. 2014SK3228).

References 1. Adeleye N, Eboagu C (2019) Evaluation of ICT development and economic growth in Africa. Netnomics 20(1):31–53

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2. Biryukova OV, Matiukhina AI (2019) ICT services trade in the BRICS countries: special and common features. J Knowl Econ 10(3):1080–1097 3. Cecere G, Rexhauser S, Schulte P (2019) From less promising to green? Technological opportunities and their role in (green) ICT innovation. Econ Innov New Technol 28(1):45–63 4. Chen Z, Guan J, Lou X et al (2016) The mechanism study of the impact of ICT on Chinese national innovation system. Manage Rev 28(7):85–92 5. Gao X, Chen K (2015) The complex network analysis of the structure evolution of collaborative innovation networks: an example of the industry—university—research collaboration of Chinese ICT industry. Sci Res Manage 36(6):28–36 6. Guo M (2017) Information & communication technology (ICT) and the improvement of china’s economic growth quality. Nankai University, Tianjin 7. Guo M, Du C (2019) Mechanism and effect of information and communication technology on enhancing the quality of China’s economic growth. Stat Res 36(3):3–16 8. Hyun LD, Hong GY, Lee SG (2019) The relationship among competitive advantage, catch-up, and linkage effects: a comparative study on ICT industry between South Korea and India. Serv Bus 13(3):603–624 9. Kılıçaslan Y, Töngür Ü (2019) ICT and employment generation: evidence from Turkish manufacturing. Appl Econ Lett 26(13):1053–1057 10. Nicoletta C, Muge O (2019) Green technological diversification of European ICT firms: a patent-based analysis. Econ Innov New Technol. https://doi.org/10.1080/10438599.2019. 1645989 11. OECD (2010) Information technology outlook. OECD, Paris 12. Pan H, Lv W, He Z et al (2017) Research on the technological innovation of Chinese biomedicine industry from patent information perspective. Sci Decis Making 4:1–17 13. Pilkington A, Oyerson R, Tissier O (2002) The electric vehicle:patent data as indicators of technological development. World Patent Inf 1:5–12 14. Shaikh SA, Singhal TK (2018) An analysis of IP management strategies of ICT companies based on patent filings. J Intell Stud Bus 8(2):62–71 15. Tabsh Y, Davidaviciene V (2019) Effects of ICT’s on energy management systems. Entrepreneurship Sustain Issues 6(4):2194–2206 16. Wang H, Chen J, Cheng J (2018) Research on the patent cooperation network of ICT enterprises from the modularity perspective: theoretic building and case study. Sci Sci Manage S&T 39(7):74–87 17. Wang Y (2009) Technology innovation research in particular technology area on the basis of patent analysis: analysis framework. Stud Sci Sci 4: 622, 628, 568 18. Wu X (2002) Analysis of the contribution of information and communication technologies to productivity growth in the United States. Shanghai J Econ 6:68–75 19. Xie X, Zhou H, Chen J (2009) Research on analysis methods of patent intelligence oriented to technology foresight. Inf Sci 1: 132–136, 160 20. Yang H, Li C (2013) The effect of technological progress on employment and wage gap in Chinese information industry. China Ind Econ 1:51–63 21. Yoon J, Park H, Kim K (2013) Identifying technological competition trends for R&D planning using dynamic patent maps: SAO-based content analysis. Scientometrics 1:313–331 22. Yu W (2009) Invention patent, comparative advantage and patent gap: a comparative analysis of domestic and foreign invention patent grants in China. China Soft Sci 6:19–32 23. Zhang S, Wei X (2019) Does Information and communication technology reduce enterprise’s energy consumption—evidence from Chinese manufacturing enterprises survey. China’s Ind Econ 371(2):157–175 24. Zhu S, Yang B (2014) Research on patent information and patent development of banking industry in China. Theor Pract Finance Econ 3:22–27

Economic Growth and Export Advantages in Hunan Province Mengqiao Huang and He Huang

Abstract This research analyzes the relationship between Hunan Province’s economic growth and foreign trade and relevant factors. By analysis of four statistical indicators of Hunan Province from 2008 to 2017 including GDP, export, export processing trade product, and export high-tech products, the incremental correlation between Hunan Province’s export growth and export processing trade products indicates that the processing trade can promote economic growth to certain extent. Keywords Economic growth · GDP · Export advantage

1 Introduction After Adam Smith put forward that “foreign trade is the engine for economic growth” in “An Inquiry into the Nature and Causes of the Wealth of Nations”, in 1937, the British economist Robertson proposed the topic of foreign trade as the engine of economic growth, and in 1930s, Keynes pointed out the foreign trade multiplier also known as the export multiplier. It may be defined as the amount by which the national income of a nation will be raised by a unit increase in domestic investment on export. Under established marginal propensity to consume, as exports increase, there is an increase in the income of all persons associated with export industries. These in turn create demand for goods. It multiplies the national economic growth and national income ultimately. In 1980s, economists represented by E. Hagen have deeply focused on the foreign trade’s acceleration effect on technology advance and explained the role of trade in promoting economic growth. E. Hagen believes that export expansion is a signal of technological innovation that can accelerate the adoption of new technologies and new management methods. As a result of the export expansion, product quality M. Huang (B) Hunan International Economics University, Changsha, Hunan 410205, China e-mail: [email protected] H. Huang Hunan Engineering Polytechnic, Changsha 410115, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_55

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is improved, which increases national income. Feder [7] used the OLS method to empirically analyze the relationship between the average GDP growth and the average rate of change of exports to GDP and concluded that exports are conducive to economic growth. Kavoussi agreed that exports are conducive to accelerate capital accumulation speed and technology level in a region to achieve scale merit, and then promote economic growth [11]. Dollar used the OLS method to analyze the corresponding data of 92 countries during the period 1976–1985 and also considered that exports are conducive to economic growth [5]. Following the above researches, the recent evidence of the factors of economic growth is classified into four main streams: (1) Dependence on foreign trade: [6, 15, 17, 20]. (2) Dependence on export: [1, 10, 14, 16, 19]. (3) Dependence on technology: [2, 8, 9, 13, 18]. (4) Dependence on income: [3, 4, 12]. Today, most scholars believe that in addition to directly promoting economic growth, export growth also has an impact on consumption, investment, government spending, and imports, which indirectly stimulates economic growth. They further point out that a complete examination of the relationship between exports and economic growth must simultaneously consider the direct and indirect role of export growth playing in economic growth.

2 Data This research selects four statistical indicators of Hunan Province from 2008 to 2017 (refer Table 1) including GDP, export, export processing trade product, and export Table 1 Hunan province’s GDP and export statistics Year

GDP (billion)

Export

Export processing trade product

Export high-tech products

2008

11156.64

84.1

8.21

2.8

2009

12930.69

54.92

6.82

2.97

2010

15902.12

79.55

11.64

5.73

2011

19635.19

98.97

17.15

7.92

2012

22154.20

126

38.33

13.83

2013

24501.70

148.2

45

16.6

2014

27048.50

1230.4

321.5

147.5

2015

29047.20

1189.9

391.5

227

2016

31244.70

1205.3

302.6

175.6

2017

34590.60

1565.5

431.7

226.8

Source Bureau of Statistics of Hunan Province Note The export measurement unit in 2008–2013 is Billion US dollars. In 2014, export measurement unit is Billion RMB

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high-tech products to analyze the relationship between Hunan Province’s economic growth and foreign trade and relevant factors. Since the Bureau of Statistics of Hunan Province adjusted the export measurement unit in 2014, this research adjusts the unit for all selected indicators in billion US dollars. The GDP of 2008–2014 and the other three export-related indicators of 2014–2017 are listed based on the exchange rate: USD 1 = 6.7 yuan.

3 Empirical Analysis (1) Dependence on foreign trade In order to measure the contribution of Hunan Province’s export economy to the total economic output, we design indicators of Dependence on foreign trade as follows: Dependence on foreign trade =

adjusted export amount × 100. adjusted GDP

(1)

Dependence on foreign trade in 2008–2017 can be calculated by SPSS (refer Table 3). The basic statistics are given in Table 2. The maximum Dependence on foreign trade of Hunan Province is 5.05%, and the average value is 3.95%, indicating the contribution of export to the total amount is very small, which also shows that Hunan Province is a typical inland province. Why is the contribution of Hunan’s exports to GDP so small? First of all, the promotion of Hunan Province’s export expansion to economic growth mainly depends on the use of idle resources. In recent years, Hunan Province has abandoned the trade strategy of traditional export growth. The export of primary products is basically in line with the market adjustment mechanism, which is competitive and comparatively beneficial. It can make the most of the remaining resources and promote the economic growth to certain extent. Secondly, the ongoing trade strategy implemented in Hunan Province is to continuously increase the proportion of manufactured goods exporting, which is still stuck in extensive and quantitative growth and fails to convert to intensive development by simulating the technology advance, improving quality and added value of the exported product. Therefore, Hunan Province’s manufactured goods, especially the major types of export commodities that are mainly supported by the state, have long been dominated by price competition and won by low prices. Table 2 Dependence on foreign trade descriptive statistics N

Minimum value

Maximum value

Average value

Standard deviation

Dependence on foreign trade

10

2.85

5.05

3.9517

0.65550

Valid N

10

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According to customs statistics, the export of manufactured goods in Hunan Province is mainly concentrated in some low-level products, which take advantage of the labor and resources of Hunan Province. Inevitably, it leads to enterprises rushing to compete in the same industry and compete with each other. Hunan Province does not have a comparative advantage in the export of manufactured goods, so that the further expansion of such exports model is not powerful enough to promote economic growth. That is why Hunan Province’s export growth has no obvious effect on its overall economic growth. (2) The analysis of export advantages In order to analyze the export advantages of Hunan Province, the research selects two statistical indicators that reflect the quality of export products: processing trade products and high-tech products (refer Table 3). Here, we mainly calculate the correlation between the increments of processing trade products and high-tech products on export increments. According to the output of SPSS21: The incremental correlation Pearson index between export increment and processing trade products in export is 0.543, and the significance probability is 0.131 > 0.05, indicating that the two indicators have linear correlation; the incremental correlation Pearson index between export increment and export high-tech products is 0.543, and the significance probability is 0.423 > 0.05, indicating that the two indicators have linear correlation. The incremental correlation between Hunan Province’s export growth and export processing trade products indicates that the processing trade can promote economic growth to certain extent. Different from the national trade model, Hunan Province’s high-tech product trade model is dominated by inter-industry trade, and the high-tech foreign trade is its comparative advantage. The technical field with comparative advantage is new material technology, which has an absolute comparative advantage, followed by biomedicine and equipment. The RNX values in the past three years are positive, and Table 3 Time series of export increment indicators Year

Adjusted export increment

Adjusted export processing trade product increment

Adjusted export high-tech products increment

2008 2009

−29.18

−1.39

0.17

2010

24.63

4.82

2.76

2011

19.42

5.51

2.19

2012

27.03

21.18

5.91

2013

22.20

6.67

2.77

2014

35.44

2.99

5.41

2015

−6.04

10.44

11.87

2016

2.30

−13.27

−7.67

2017

53.76

19.27

7.64

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the net export has a significant growth trend. Electronic information technology is at an obvious comparative disadvantage, which is in declining trend recently. From the nature of export enterprises, Hunan Province’s high-tech products export mainly are state-owned enterprises and collective production enterprises, whose export amount accounts for 59.02% of Hunan Province’s high-tech products export. The exports of joint venture enterprises, private enterprises, and provincial direct foreign trade enterprises, respectively, account 12.91%, 12.82%, and 11.92% of the exports of high-tech products in Hunan Province, which is significantly different from the national average level. Hunan Province’s private high-tech enterprises occupy an important position in the export, with proportion of 12.82%, and the proportion of similar enterprises in the country is only 2.29%.

4 Conclusion In recent years, Hunan Province’s economy has grown rapidly, but there are also many problems that require our reflection. At present, Hunan Province’s export trade is still in the extensive development stage characterized by quantitative growth. Problems including small-scale export under the restriction of the traditional foreign trade system and low-grade unbranded product still exist. Following suggestions are proposed for promoting the economic growth of Hunan Province’s foreign trade. (1) Expand the export scale of high-tech and new-tech products In order to upgrade the industrial structure, accelerate the process of industrialization, and optimize the structure of export commodities, it is necessary to train a group of industrial enterprises or high-tech enterprises with export competitiveness. Enterprises with strong export competitiveness in the field of construction machinery, Internet companies, and information should be the backbone to accelerate export structure optimization. Leading export enterprises should be reliable to drive the development of SMEs and promote the overall improvement of the provincial economy, thereby increasing the contribution rate of export trade to Hunan Province’s economy. (2) Expand imports appropriately, especially the import of advanced technology and advanced equipment Hunan Province should change the concept of simply pursuing foreign exchange earning indicators. It should focus on importing technology with introducing advanced foreign applicable technologies and equipment as an urgent strategic task, while expanding exports. At the same time, it is necessary to combine technology importing and independent innovation, give full play to the advantages of human resources in Hunan Province, and take technological innovation and technological progress as the driving force to realize the striding development of Hunan Province’s economy and foreign trade.

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Acknowledgements This research is supported by “Double-first-class” Applied Characteristic Construction Discipline (Applied Economics) in Hunan Province (Grant No. Xiangjiaotong [2018] 469) and National Natural Science Foundation of China (Grant No. 71573082).

References 1. Abosedra S, Tang CF (2019) Are exports a reliable source of economic growth in MENA countries? New evidence from the rolling Granger causality method. Empirical Economics 56(6):1–11 2. Bhandari A (2019) Gender inequality in mobile technology access: the role of economic and social development. Inf Commun Soc 22(1):1–17 3. Brueckner M, Lederman D (2018) Inequality and economic growth. Gen Inf 89(2):1013–1025 4. Brueckner M, Lederman D (2018) Inequality and economic growth: the role of initial income. J Econ Growth 23(5):1–26 5. Dollar D (1992) Outward-oriented developing economies really do grow more rapidly: evidence from 95LDCs, 1976–1985. Econ Dev Cult Change 40(3):523–544 6. Dinç DT, Gökmen A, Nakip M et al (2017) The impact of foreign trade issues on eco-nomic growth in some developing countries including Iran and Turkey. J Transnational Manage 22(3):171–202 7. Feder G (1983) On export, and economic growth. J Dev Econ 12(1–2):59–73 8. Ferreira JJM, Fernandes C, Ratten V (2019) The effects of technology transfers and institutional factors on economic growth: evidence from Europe and Oceania. J Technol Transf: 1–24 9. Jimenez JRP (2019) Mainstream and evolutionary views of technology, economic growth and catching up. J Evol Econ 29(1):1–30 10. Kaitila V (2019) Export product range and economic growth in the EU countries. World Econ: 711–737 11. Kavoussi RM (1984) Export expansion and economic growth: further empirical evidence. J Dev Econ 14(1):241–250 12. Mcnabb K (2018) Tax structures and economic growth: new evidence from the government revenue dataset. J Int Dev 30(2):173–205 13. Munir K, Ameer A (2018) Effect of economic growth, trade openness, urbanization, and technology on environment of Asian emerging economies. Manage Environ Qual Int J 29(6):1123–1134 14. Mahmoodi M, Mahmoodi E (2016) Foreign direct investment, exports and economic growth: evidence from two panels of developing countries. Ekonomska Istraživanja 29(1):938–949 15. Popkova EG, Sukhodolov YA (2017) Foreign trade as a factor of economic growth. Springer Cham 16. Ramanayake SS, Lee K (2015) Does openness lead to sustained economic growth? Export growth versus other variables as determinants of economic growth. J Asia Pac Econ 20:345–368 17. Rahnama M, Fawaz F, Gittings K (2017) The effects of foreign aid on economic growth in developing countries. J Developing Areas 51(3):153–171 18. Saidi K, Toumi H, Zaidi S (2017) Impact of information communication technology and economic growth on the electricity consumption: empirical evidence from 67 countries. J Knowl Econ 8(3):1–15 19. Vardari ML (2016) Relationship between import-exports and economic growth: the Kosova case study. Soc Sci Electron Publ 34: 262 20. Yong W (2018) University P. Industrial dynamics, international trade and economic growth. China Econ Q 2(1):763–780

Management and Teaching of Discrete Fourier Transform Using Matrix Method Shiqiang Wang, Caiyun Gao, Juan Bai, Qin Zhang, Huiyong Zeng, Binfeng Zong, and Jiliang Cai

Abstract In order to optimize classroom management and improve teaching quality further, this paper has improved the teaching methods of the core content of digital signal processing courses: discrete Fourier transform (DFT) and fast Fourier transform (FFT). The traditional teaching method first throws the concept theorem and then uses the formula to derive the calculation. This method has problems that students cannot accept immediately in class, and it is difficult to understand in class. Aiming at the shortcomings of traditional teaching in management, this paper proposes a fast algorithm based on the mastery of students’ knowledge, through matrix analysis of DFT, and using heuristic teaching method to guide students to think about DFT from matrix theory. The same calculation effect and complexity of the algorithm can achieve better teaching results. This paper explores and practices this teaching method, realizes the penetration of heuristic teaching in management teaching, and effectively improves students’ learning autonomy and comprehensive ability. The results can promote the education and teaching development of digital signal processing courses. Keywords Digital signal processing · Matrix analysis · Education · Teaching research

1 Introduction Part of the knowledge in digital signal processing uses conventional methods to explain that students are not easy to understand and master. If they can learn from the familiar learning content, they can build new theoretical systems and knowledge units instead of directly throwing new ones. The concepts and theorems lead to difficulties in learning and understanding, which can greatly improve students’ understanding. S. Wang · J. Bai · Q. Zhang · H. Zeng (B) · B. Zong · J. Cai Air and Missile-Defence College, Air Force Engineering University, Xi’an 710051, China e-mail: [email protected] C. Gao Department of Basic Sciences, Air Force Engineering University, Xi’an 710051, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_56

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In the digital signal processing course, the discrete Fourier transform (DFT) and its fast Fourier Transform (FFT) are one of the core contents. When teaching the fast Fourier transform (FFT), the DFT formula is directly used to derive [1–4], which makes the students feel obscure and understands the introduction, derivation, and simplification of the butterfly structure in the classroom. The process of DFT is often difficult to achieve. The teaching practice shows that the method of teaching materials is used directly to explain, and the students’ understanding is often plausible, and the teaching effect is not satisfactory. Liu Yuan studied the time-extracted FFT matrix form and obtained the matrix form of DFT, which has certain feasibility. However, this method uses the principle of time-extracted base-2 FFT algorithm as the index to derive the matrix form and still needs students to further study. The DFT formula simplifies the deformation and throws a number of definitions and lemmas, which is not conducive to students’ understanding and mastery [5]. From the perspective of the matrix theory, Yao Libo analyzed the digital signal processing, studied the matrix representation of DFT and digital filter (DF), and concluded that matrix theory is the most basic mathematical theory of the digital signal processing course which has a certain teaching reference value [6]. According to the literature [7] and to the characteristics of the digital signal processing course and the problems existing in the teaching, the teaching method should emphasize the meaning of the teaching content, also visualize the teaching step by step, and pay attention to practical application. Jiang et al. also explored the teaching of DFT [8]. Based on the practical experience in the process of digital signal processing, this paper explores the teaching method of FFT, that is, through the introduction of matrix method, and on the other hand, it teaches the fast algorithm of DFT.

2 Introduction to FFT Teaching Management The necessity of introducing an FFT algorithm is clarified through discussing the concept of DFT. Compared with other transformations in the Fourier family, DFT is the most practical algorithm. For the first time, the algorithm realizes the discretization of the frequency domain. The signal is discrete in both the time domain and the frequency domain, which is very convenient for the effective processing of the computer. However, DFT has not been widely used in the specific engineering practice at first, because of the huge amount of computation. Because when the length N of the sequence is large, the amount of calculation of the DFT directly calculating the N-point is very large. Even with a computer, it is difficult to process the problem in real time, so the DFT algorithm has not been used for a long time. It was not until 1965 that the situation changed radically. In 1965, a fast algorithm for discrete Fourier transform, fast Fourier transform, and also the base-2 FFT algorithm, which reduced the computational complexity of DFT, is proposed.

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In the teaching of digital signal processing, no matter which method is adopted, the status of management cannot be ignored. That means, the combination of heuristic teaching method and traditional infusion teaching method is applied to classroom management teaching, and the teaching content is refined for inducing the teaching. Based on the teacher’s implementation of the traditional teaching method, students are assigned and inspired. Guide students to positive thinking, so that students can more easily grasp the knowledge that books and teachers teach, promote students to transform knowledge into abilities, and achieve the improvement of students’ comprehensive ability.

3 Analysis of DFT Calculation Signal processing whether in the time domain or the frequency domain is the most basic form of operation by multiplication, addition, and shifting. Therefore, an algorithm can measure its computation and operation with the required number of multiplications and additions with effectiveness. Also for the amount of DFT calculations, we only need to analyze the number of multiplications and additions it needs. We have already learned in the previous chapters that for a sequence of N-point finite lengths, its DFT mathematical expression is multiplied and added, as shown in Eq. (1). X (k) = DFT[x(n)] =

N −1 

x(n)W Nnk , k = 0, 1, . . . , N − 1

(1)

n=0

The next step is to use a matrix. Let X denote the N-point DFT frequency domain sequence vector and x denote the time domain sequence vector, and then X = [X (0) X (1) . . . X (N − 2) X (N − 1)]T

(2)

x = [x(0) x(1) . . . x(N − 2) x(N − 1)]T

(3)

At this point, the N-point DFT matrix is defined as ⎡

1 1 1 ⎢1 W1 2 W ⎢ N N ⎢ 2 1 WN W N4 DN = ⎢ ⎢. .. .. ⎢. ⎣. . . 1 W NN −1 W N2(N −1)

··· ··· ··· .. .

1

W NN −1 W N2(N −1) .. .

· · · W N(N −1)(N −1)

⎤ ⎥ ⎥ ⎥ ⎥ ⎥ ⎥ ⎦

(4)

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In the matrix, the subscript of W N(N −1)(N −1) indicates the length of the DFT interval. In the superscript, the first N represents the length of the sequence x(n), and the second N represents the number of points of the DFT. Then, the DFT is expressed in a matrix form, which is X = DN x

(5)

That is ⎡ ⎤ X (1) ⎢ ⎢ X (2) ⎥ ⎢ ⎥ ⎢ ⎢ ⎥ ⎢ ⎢ ⎢ X (3) ⎥ = ⎢ ⎥ ⎢ ⎢ ⎦ ⎢ ⎣ ··· ⎣ X (N − 1) ⎡

W N0×0 W N0×1 W N0×2 . . .

0×(N −1)

WN

W N1×0 W N1×1 W N1×2 . . .

1×(N −1)

WN

W N2×0 W N2×1 W N2×2 . . .

2×(N −1)

WN

··· ··· ··· .. .

(N −1)×0

WN (N −1)×1 WN (N −1)×2 WN . . .

(N −1)×(N −1)

⎤

⎡ ⎥ ⎥ ⎢ ⎥ ⎢ ⎥ ⎢ ⎥·⎢ ⎥ ⎢ ⎥ ⎣ ⎦

· · · WN

⎤ x(1) x(2) ⎥ ⎥ ⎥ x(3) ⎥ ⎥ ⎦ ··· x(N − 1)

(6)

where W N = exp(− j2π/N ), W Nnk = exp(− j2π nk/N ). Guide students to analyze the amount of calculations in the form of DFT matrix. The DFT matrix is an N × N matrix, and x is an N × 1 vector. Since W Nnk is a complex number, a total of N 2 complex multiplications and N(N + 1) complex additions are required for D N x. It can be said that the multiplication and addition times of the N-point DFT both are directly proportional to N 2 . When N is large, the amount of computation grows very fast. For example, when N = 64, 4094 complex multiplications and complex additions are needed, and when N = 2048, 4194304 complex multiplications and complex additions are required. The amount of calculation is large. This is very demanding for real-time signal processing, such as radar signal processing, which will have very strict requirements on the processing speed of the system. Guide students to think about the existence of solutions.

4 DFT Matrix Calculation Method and Teaching Management It can be seen from the expression in the form of DFT matrix that the reason for the huge amount of computation is the complex rotation factor in the DFT matrix. Therefore, it is necessary to analyze the DFT matrix to see if it can be processed and reduce the amount of computation. N

It is not difficult to prove: W N0 = 1, W N2 = −1, W NN = 1, W Nkn = W Nk(N +n) = k+ N

W Nn(N +k) , W N 2 = −W Nk , W Nk = WmmkN . Inspire students to illustrate with 8 points DFT as an example. The matrix of the N-point DFT is expressed as

Management and Teaching of Discrete…

⎡

1 ⎢1 ⎢ ⎢1 ⎢ ⎢ ⎢1 D8 = ⎢ ⎢1 ⎢ ⎢1 ⎢ ⎣1 1

1 W81 W82 W83 W84 W85 W86 W87

1 W82 W84 W86 W88 W810 W812 W814

481

1 W83 W86 W89 W812 W815 W818 W821

1 W84 W88 W812 W816 W820 W824 W828

1 W85 W810 W815 W820 W825 W830 W835

1 W86 W812 W818 W824 W830 W836 W842

⎤ 1 W87 ⎥ ⎥ W814 ⎥ ⎥ ⎥ W821 ⎥ ⎥ W828 ⎥ ⎥ W835 ⎥ ⎥ W842 ⎦ W849

(7)

It can be known from the existing knowledge that the matrix D8 can be multiplied by the permutation matrix D8 , and column is replaced, which is equivalent to 1 in the row corresponding to the permutation matrix. Based on this operation, the substitution matrix is assumed to be P8 , then when D8 is converted to D8 , for the even column, it is the same to convert the second column, the fourth column, the sixth column, to the fifth column, the sixth column, the seventh column. So the element of the second row, the fourth row, the sixth row corresponding to the fifth column, sixth column and seven column in the matrix P8 is 1. That is, it satisfied that P8 (2, 5) = 1, P8 (4, 6) = 1, P8 (6, 7) = 1. In other way, for the odd column, the equivalent of the third column, the fifth column, the seventh column replaced by the second column, the third column, the fourth column in the matrix D8 ; that is, it satisfied that P8 (3, 2) = 1, P8 (5, 3) = 1, P8 (7, 4) = 1; the first column and the eighth column are not needed to be replaced. Therefore, P8 (1, 1) = 1, P8 (8, 8) = 1, and the other elements are 0. So that the permutation matrix can be written as ⎤ ⎡ 10000000 ⎢0 0 0 0 1 0 0 0⎥ ⎥ ⎢ ⎢0 1 0 0 0 0 0 0⎥ ⎥ ⎢ ⎥ ⎢ ⎢0 0 0 0 0 1 0 0⎥ (9) P8 = ⎢ ⎥ ⎢0 0 1 0 0 0 0 0⎥ ⎥ ⎢ ⎢0 0 0 0 0 0 1 0⎥ ⎥ ⎢ ⎣0 0 0 1 0 0 0 0⎦ 00000001 That is to say, the matrix after the replacement is expressed as D8 = D8 P8 . Since X = D8 x, after the permutation of D8 , it is also required to satisfy this equation, the permutation matrix P8 needs to be multiplied by its transpose that means the formula is satisfied: X = D8 P 8 P T8 x

(10)

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Let z = P T8 x, and then the formula is equivalent to rearranging = x = [x(0) x(1) x(2) x(3) x(4) x(5) x(6) x(7)]T and becoming z [x(0) x(2) x(4) x(6) x(1) x(3) x(5) x(7)]T ; at this time, X = D8 P 8 z. Then via simplifying D8 by W NN = 1, W Nk+n N = W Nk , k and n are integers, N = 8, the formula is expressed as ⎡

1 ⎢1 ⎢ ⎢1 ⎢ ⎢ ⎢1  D8 = ⎢ ⎢1 ⎢ ⎢1 ⎢ ⎣1 1

1 W82 W84 W86 1 W82 W84 W86

1 W84 W88 W812 1 W84 W88 W812

1 W86 W812 W818 1 W86 W812 W818

1 W81 W82 W83 W84 W85 W86 W87

1 W83 W86 W89 W84 W87 W810 W813

1 W85 W810 W815 W84 W89 W814 W819

⎤ 1 W87 ⎥ ⎥ W814 ⎥ ⎥ ⎥ W821 ⎥ 4 ⎥ W8 ⎥ ⎥ W811 ⎥ ⎥ W818 ⎦ W825

(11)

If D8 is divided into 2 × 2 block matrices, it is obvious that the blocks (1, 1) and (2, 1) of the matrix are equal, and they are recorded as D4 , and then according to W Nknn = W Nk , the formula can be written as: ⎡

1 ⎢1 D4 = ⎢ ⎣1 1

1 W82 W84 W86

1 W84 W88 W812

⎤ ⎡ 1 1 6 ⎥ ⎢ W8 ⎥ ⎢ 1 = W812 ⎦ ⎣ 1 W818 1

1 W4 W42 W43

1 W42 W44 W46

⎤ 1 W43 ⎥ ⎥ W46 ⎦ W49

(12)

For the blocks (1, 2) and (2, 2), there is also a certain relationship between them. It can be observed that the elements of the block (1, 2) are multiplied W84 to obtain the block (2, 2). Therefore, let ⎡

⎤

1

⎥ ⎥ ⎦

⎢ W 8 T4 = ⎢ ⎣ W82

(13)

W83 Then the left multiplication of T 4 is equivalent to multiplying the kth row with W8k−1 , and the blocks (1, 2) and (2, 2) can be expressed as T 4 D4 and −T 4 D4 , respectively. So that the DFT calculation can be realized by the block multiplication, that is



z1 D4 z 1 + T 4 D4 z 2 D4 T 4 D4 = (14) X = D8 P 8 z = D4 −T 4 D4 z2 D4 z 1 − T 4 D4 z 2 Let s1 = D4 z 1 ,s2 = T 4 D4 z 2 , then

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X=

s1 + s2 s1 − s2

(15)

That is to say, the DFT of 8 points is reduced to two DFT of N = 4 points by matrix transformation. Inspiring students to think that the above process can be extended to the case where N is any even number. For the actual application, N = 2k is usually taken, and k is a positive integer. Therefore, in some scenarios, the data sequence needs to be zero-padded to meet the above conditions. Through the above analysis, students are inspired to calculate the time complexity of DFT and verify its calculation results. In fact, using matrix simplification to calculate DFT is equal to the time complexity of using FFT algorithm. For complex multiplication, the required number of times is N /2 log2 N , and the number of complex additions is N log2 N . The calculation efficiency is N 2 /(N /2 log2 N ), which greatly improves the calculation speed.

5 Conclusion In the teaching of digital signal processing course, according to the knowledge reserve of the students in the early stage, the fast calculation method of discrete Fourier transform (DFT) can be avoided by the well-known matrix analysis method to avoid students falling into the conceptual understanding and complicated formula derivation of oysters. This paper explores this teaching method. The teaching practice shows that understanding and calculating the discrete Fourier transform (DFT) from the perspective of the matrix can improve the effectiveness of digital signal processing course teaching. In fact, the digital filter design, convolution, correlation, multiplication, and other knowledge points in digital signal processing have the mathematical and theoretical bases of matrix analysis. Starting from this aspect, students can improve their understanding and mastery as a course. As part of the construction, the introduction of matrix analysis teaching methods is conducive to the further development of digital signal processing courses. At the same time, the combination of heuristic teaching method and traditional teaching method can accurately and efficiently transfer knowledge to students, and it can further explain the problem in the theoretical teaching of management, thus improving students’ boring. The learning interest of the teaching content effectively enhances the teaching effect. Acknowledgements This paper was supported by the National Natural Science Foundation of China partly under Grant no. 61601499, 61701527, and 61601503.

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References 1. Oppenheim AV, Schaffer RW, Barker JR (2001) Discrete time signal processing (trans: Liu S, Huang J), 2nd edn. Xi’an Jiaotong University Press, Xi’an 2. Hu G (2005) Introduction to digital signal processing. Tsinghua University Press, Beijing 3. Wang S (1997) Digital signal processing (revised edition). Beijing Institute of Technology Press, Beijing 4. Gao X, Ding Y, Kuo Y (2010) Digital signal processing—principles, implementation and applications, 2nd edn. Electronic Industry Press 5. Liu Y, Chang A (2008) Research on the form of FFT matrix extracted by time. J Basic Sci Text Univ 21(4):389–392 6. Yao L, Yu L, Dong K et al (2017) Teaching research on digital signal processing based on matrix theory. J Electr Electron Educ 39(5):97–99 7. Chen Q, Xu K (2012) Using DFT as an example to discuss the teaching method of digital signal processing. China Electr Power Educ 32(6):49–50 8. Jiang E, Yang Y, Dou D (2017) Exploration of fourier transform teaching in digital signal processing course. J Langfang Teach Coll Nat Sci Edn 17(1):52–56

Evaluation of the Quality of Work Life of College Teachers Xiuyuan Tang

Abstract With the deepening of university teaching reform, coupled with the rapid increase of social demand for high-quality talents, college teachers bear more pressures of teaching, scientific research and social services. Therefore, it is particularly important to explore the current situation of the quality of work life of college teachers and further improve their quality of work life. This paper investigates and analyses the quality of work life of college teachers from four dimensions: organizational environment, work tasks, leisure, physical and mental health. The results show that the current quality of work life of university teachers is on the middle side, and the scores from low to high are leisure, organizational environment, work tasks and physical and mental health. Moreover, individual variables such as gender, age, educational background, professional title, teaching age and concurrent administrative position all have significant effects on some dimensions of teachers’ quality of work life. On the basis of the research results, this study puts forward a series of reference suggestions on how to improve the quality of work life of college teachers. Keywords College teachers · Quality of work life · Evaluation

1 Quality of Work Life Quality of work life was first proposed and defined by Bluestone [1]. Some scholars have given their own concepts and definitions in combination with their own understanding and related research [11, 14]. Jia [3] think it is the organization through relevant conditions can meet the needs of staff mental and physical process. Most of the previous studies mainly focused on the relationship between the quality of work life of employees [5, 15], nurses [4, 6], new generation of migrant workers [2, 13] and turnover intention, job performance, etc. Some studies analyzed the status quo of primary school teachers [19, 20], secondary and higher vocational teachers [10, X. Tang (B) School of Business, Hunan International Economics University, Changsha, Hunan 410205, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_57

485

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17], and relatively few focused on college teachers [9]. Therefore, this study is of great significance.

2 Research Design 2.1 Participants Participants are teachers at public universities. We made use of the questionnaire star to conduct online questionnaire survey, and distributed questionnaires from April 20, 2019 to April 28, 2019. A total of 167 electronic questionnaires were recovered, among which 142 were effective and the effective rate was 85.03%. Gender: 64.08% of males. Age: More young and middle-aged teachers. Marriage: 69.01% of married persons. Professional title: most are lecturers and associate professors. Education levels: Master doctoral degree is the most. Teaching age: most are 1–5 years and 6– 10 years. Subject areas: engineering, science and education accounted for 28.17%, 14.08% and 11.27% respectively. Business establishment: 83.8%. No overseas study experience: 69.01%. No concurrent administrative position: 80.25%.

2.2 Measures There is no unified statement on the evaluation dimension of college teachers’ quality of work life [7, 8, 12, 16, 18]. In this study, we use the Quality of Work Life Scale developed by Wang [16]. The scale includes 12 items in four dimensions: organizational environment, work tasks, leisure and physical and mental health. An example item was “The school has a strong academic atmosphere and a good campus cultural atmosphere.” Items were rated using a 5-point Likert scale, with 1 for “very inconsistent” and 5 for “very consistent.” In the present study, the scale has good reliability and validity.

3 Survey Results and Data Analysis 3.1 Descriptive Statistical Analysis According to Table 1, the overall working and living standards of college teachers are above average. From each dimension, the order of the four dimensions from high to low is physical and mental health, work tasks, organizational environment and leisure. The average dimension of the smallest leisure dimension is 3.22, and the overall level is relatively high.

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Table 1 Descriptive statistical analysis of quality of work life scale for college teachers Dimensions

Means

Standard deviations

Variances

Organizational environment

3.54

0.904

0.818

3.39

0.882

0.778

3.48

0.848

0.719

3.13

1.129

1.275

3.17

1.072

1.149

Average score of organizational environment dimension

3.34

0.184

0.034

Work tasks

3.42

0.917

0.841

3.44

0.871

0.759

3.32

0.910

0.828

Average score of work tasks dimension

3.39

0.064

0.004

Leisure

3.24

1.160

1.347

3.20

1.082

1.171

Average score of leisure dimension

3.22

0.028

0.001

Physical and mental health

3.40

0.892

0.795

3.45

1.035

1.072

Average score of physical and mental health dimension

3.43

0.035

0.001

The overall average score of the quality of work life scale

3.35

0.134

0.018

3.2 Demographic Difference Test As Table 2 shows, the mean scores of different individual characteristic in different dimensions reflect certain differences. This paper also included gender, age, teaching experience and professional title into the study and conducted demographic difference test. The mean difference test methods mainly used were one-way analysis of variance and independent sample T test.

3.3 Result Analysis Firstly, through the above statistical analysis, it is found that teachers’ quality of work life is above the average, with the scores from low to high in the order of leisure, organizational environment, work tasks and physical and mental health. This is in line with the overall teaching environment of public universities at present. Secondly, in the individual characteristic variables, the results show that gender, age, educational level, professional title, teaching age, administrative position and other variables have

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Table 2 Mean scores of different individual characteristics in various dimensions The mean dimension Organizational environment

Work tasks

Leisure

Physical and mental health

3.26

3.34

3.02

3.37

Gender

Male Female

3.48

3.50

3.59

3.53

Age

30 and under

3.42

3.49

3.42

3.40

31–40 years old

3.06

3.20

2.90

3.27

41–50 years old

3.56

3.51

3.37

3.52

51 and above

4.00

3.80

3.80

4.25

Married

3.30

3.35

3.13

3.45

Unmarried

3.43

3.49

3.42

3.36

Assistant

3.41

3.41

3.41

3.30

Lecturer

3.20

2.86

2.86

3.25

Associate professor

3.55

3.50

3.50

3.57

Marital status Professional title

Education level

Graduation College

Teaching age

Research field

Professor

3.65

3.47

3.47

3.85

College and below

4.60

4.67

5.00

5.00

Undergraduate

3.46

3.55

3.64

3.48

Master

3.17

3.30

2.99

3.22

Doctor

3.50

3.42

3.29

3.69

211/985

3.40

3.34

3.25

3.47

Co-construction of universities

3.51

3.30

3.73

3.50

Provincial key universities

3.29

3.51

3.16

3.39

Ordinary university

3.23

3.37

3.06

3.35

Less than 1 years

3.32

3.59

3.23

3.15

1–5 years

3.45

3.49

3.47

3.55

6–10 years

2.95

3.11

2.64

3.06

11–20 years

3.44

3.37

3.39

3.61

More than 20 years

3.99

3.76

3.82

4.11

Philosophy

3.53

3.39

3.64

3.64

Economics

3.58

3.70

3.50

3.55

Law

3.60

3.33

3.00

3.00 (continued)

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Table 2 (continued) The mean dimension Organizational environment

Work tasks

Leisure

Physical and mental health

Education

3.39

3.48

3.38

3.56

Literature

3.48

3.67

3.71

3.50

History

3.54

3.60

3.55

3.50

Neo Confucianism

3.44

3.50

3.18

3.45

Engineering

2.91

2.95

2.60

3.20

Agronomy

3.63

3.28

3.42

3.67

Management Science

3.48

3.73

3.50

3.20

Art Studies

3.65

3.85

3.64

3.55

Career preparation

Yes

3.34

3.36

3.18

3.47

No

3.36

3.57

3.41

3.20

After study abroad

Yes

3.40

3.40

3.32

3.53

No

3.31

3.39

3.18

3.38

Administrative post

Yes

3.45

2.79

2.77

3.09

No

3.33

3.45

3.26

3.45

impact on some dimensions of teachers’ quality of work life. Finally, through the open questionnaire, the author finds that there are some shortcomings in communication, treatment, development platform and opportunities, amateur activities and so on, which need to be managed and improved in time.

4 Suggestions for Improving the Quality of College Teachers’ Work Life 4.1 Enrich Teachers’ Leisure Life In order to ensure teachers’ active working status, colleges should cultivate a good sense of reasonable arrangement of spare time after work. Different opinions and suggestions of male and female teachers on leisure can be properly solicited, so that leisure can really benefit teachers. In addition, schools should open more places for teachers to exercise free of charge, or provide corresponding preferential benefits to improve teachers’ sense of belonging to schools.

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4.2 Optimize the Organizational Environment Colleges should make rational use of the existing resources, improve the existing teaching conditions, so that college teachers can carry out teaching more easily and conveniently. Moreover, the principle of fairness should be implemented in the system. Different teachers should be treated equally, especially in political treatment, welfare system and promotion system. In addition, the formulation of school system or reform should embody democracy.

4.3 Clarifying and Standardizing Work Responsibilities On the one hand, colleges should give teachers full autonomy in their work so that they can participate in all kinds of teaching practice exchanges independently, and have the freedom of speech to express opinions and suggestions related to teaching affairs. On the other hand, colleges should rationally allocate teachers’ workload, formulate scientific and reasonable job instructions, so that teachers can better take into account the balance of the family, leisure and work, to achieve higher work and life satisfaction.

4.4 Pay Attention to the Management of Physical and Mental Health of Teachers Firstly, colleges and universities should hold regular exchanges or symposiums on mental health so as to find out some detailed mental health problems of college teachers and formulate corresponding countermeasures. Secondly, colleges and universities can properly add teachers’ mental health management courses in teacher skills training courses. In addition, colleges and universities can properly organize teachers’ competitions in sports to enhance teachers’ awareness of exercise and health care, so as to improve teachers’ health status.

References 1. Bluestone I (1980) How quality-of-work life projects work for the united auto workers. Mon Lab Rev 103(7):39–41 2. Gan WY, Xu XX (2019) Organizational support, quality of work and life and urban integration of the new generation of migrant workers: a case study based on Haidilao. Manage Rev 31(05):291–304 3. Jia HW (2005) Fuzzy comprehensive evaluation model of the quality of work life of college teachers. J South China Agric Univ Soc Sci Edn 03:87–93

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4. Kelbiso L, Belay A, Woldie M (2017) Determinants of quality of work life among nurses working in Hawassa town public health facilities, South Ethiopia: a cross-sectional study. Nurs Res Pract 3(12):1–11 5. Kim T, Karatepe OM, Lee G, Lee S, Hur K, Xijing C (2017) Does hotel employees’ quality of work life mediate the effect of psychological capital on job outcomes? Int J Contemp Hospitality Manage 29(6):1638–1657 6. Lee YW, Dai YT, Chang MY, Chang YC, Yao KG, Liu MC (2017) Quality of work life, nurses’ intention to leave the profession, and nurses leaving the profession: a one-year prospective survey. J Nurs Sch 49(4):438–444 7. Li P, Qu XY, Wang D (2018) Measurement of quality of work life of college teachers. Dev Eval High Educ 34(03):48–56 8. Luo RG (2016) On the selection of evaluation index of teachers’ quality of work life. Dev Eval High Educ 32(01):66–75 9. Maghaminejad F, Adib-Hajbaghery M (2016) Faculty member quality of work life in Kashan University of medical sciences in 2012. Nurse Midwifery Study 5(4):1–4 10. Meng SY (2018) Quality of work life of new teachers in vocational colleges. Innov Entrepreneurship Theor Res Pract 1(22):104–105 11. Nadler DA, Lawler EE (1983) Quality of work life: perspectives and directions. Org Dyn 11(3):20–30 12. Peng XH (2011) The current situation of teachers’ quality of work life and its problems and countermeasures—based on the cross-analysis of questionnaire survey and social background variables. Courses Mater Teach Methods 03:99–104 13. Shi D, Hu X, Tao Y (2018) Study on the quality structure of work and life of the new generation of migrant workers and its influence mechanism on engagement. Roca Manage Rev 03:84–99 14. Taylor WE (1986) Quality of work life: perspectives for business and the public sector. J Healthc Manage 31(3):92 15. Tian Y (2016) How does quality of work life affect employee performance?—Based on a survey of front-line employees in the tourism industry. J Tourism 31(01):92–101 16. Wang M (2015) A study on the relationship between quality of work and life of teachers in provincial universities and organizational citizenship behavior—a case study of CDUT. Chengdu University of Technology 17. Xu YJ, Luo XD, Liu XY (2016) Evaluation of quality of work and life of teachers in contemporary vocational colleges in China. Vocat Tech Educ 37(10):56–62 18. Yan DY, Feng HP (2014) A brief introduction to the dimension research of teachers’ work life quality evaluation. Teacher Educ BBS 12:31–35 19. Yuan L, Huang X (2018) Investigation and study on working and living conditions of primary and secondary school teachers in Shanghai. Shanghai Educ Res 11:30–35 20. Zhang LM, Ye PZ (2018) Influence of work and life quality of rural kindergarten teachers on the sense of imbalance between effort and return: the moderating effect of overload. Preschool Educ Res 08:28–40

Management and Exploration of Digital Signal Processing Course Practical Teaching Shiqiang Wang, Caiyun Gao, Juan Bai, Qin Zhang, Huiyong Zeng, Binfeng Zong, and Jiliang Cai

Abstract Digital signal processing is a required course for professional communication in navigation, navigation, radar engineering, etc. Although the professional basic status of the course is beyond doubt, some problems in the teaching of this course still affect and restrict its professional basic teaching effect. This article starts from the practical teaching of how the instructors can carry out the basic course of digital signal processing for different professions, and through the corresponding teaching research, promotes the young teachers to improve the practical teaching effect, and lays a solid foundation for the students of many majors before taking up the post in the study position. Strive to truly achieve teaching and learning and effectively improve the quality of teaching. Keywords Digital signal processing · Professional differences · Education · Teaching research · Content management

1 Introduction With the rapid development of computer science caused by information science and large-scale integrated circuits, ultra-large-scale integrated circuits, and software development, digital signal processing has rapidly developed into an emerging discipline system since the rapid Fourier transform algorithm was proposed in 1965 [1]. The cultivation of subject talents is different in colleges and universities. For different majors, the practice of digital signal processing courses is different. Since the fall of 2002, the Dokuz Eylül University has implemented digital signal processing project-oriented teaching methods for students in electronics and communication engineering [2]. Different professions have developed different project groups with a time span of four school years. Teaching practice shows that the method S. Wang · J. Bai · Q. Zhang · H. Zeng (B) · B. Zong · J. Cai Air and Missile-Defence College, Air Force Engineering University, Xi’an 710051, China e-mail: [email protected] C. Gao Department of Basic Sciences, Air Force Engineering University, Xi’an 710051, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_58

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has achieved good results in both theory and practice and cultivated the necessary quality of job requirements. However, this method requires the reconstruction of the entire curriculum system of the university-related major, which is not conducive to implementation. In 2012, Li Ning conducted reforms in the curriculum of different majors from the four aspects of curriculum system, teaching mode, experimental teaching, and assessment methods [3]. In the teaching practice of different majors in his college, he combined multimedia teaching with experimental teaching. The teaching model has achieved certain results. However, specific teaching reforms and practical cases for different professions have not been involved, and they have not achieved targeted goals. In 2016, Ji Ping of Henan University summarized the innovative design topic method proposed by his university in the practice teaching reform [4], by letting students group by themselves, through reading materials, programming design, realizing the practice process of teachers’ prescribed topics, training students to comprehensively apply knowledge to practice, and coordinate organizational skills. However, this method still does not have different teaching for students of different majors, and the teaching effect is greatly reduced. In 2018, Xiaoguang Zhang studied the sample teaching method [5]. The teaching practice proved that the initiative of mobilizing students’ learning can enhance the interest of students, but the difference of teaching between different majors is not reflected. The results of the above curriculum reform are not conducive to implementation, or the teaching effect does not highlight the differentiated teaching of different professions, which restricts the effectiveness of the teaching reform of digital signal processing courses to a certain extent. This paper starts with the professional differences and the practical teaching of equipment and discusses the problems existing in the practice teaching reform and the implementation plan.

2 Analysis of Content Management and Practical Teaching In the teaching of digital signal processing courses, the concept abstraction and complicated formulas are combined with the professionalism of the lecture objects [6], while the curriculum standards and the curriculum teaching plan implement the generalization principle, so the main problems in the current teaching are as follows: First, the professional differences in the current curriculum teaching are not obvious, and the degree of closeness to the actual case is not enough. At present, the pertinence and practicality of professional basic knowledge teaching are not prominent. There is no real-life background library with a strong professional background and close contact with the basic knowledge of curriculum-related majors according to different professional characteristics. The basis of practical teaching is not strong. Second, the level of knowledge of the faculty and the trainees is different, but the distinction between the faculty and the trainees is not clear. The background of the post-service course should enable the participants to clarify the importance and effectiveness of the course in dealing with professional problems and enhance the students’ interest in learning. In the face of the same subject, there are higher

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requirements for the instructors, and it is necessary to systematically work on many positions. Master it so that it can be integrated in digital signal processing teaching. Third, the proportion of young faculty members in the teaching team has gradually increased, and the practical teaching ability needs to be further improved. In practice, it is found that in the process of carrying out practical teaching, young teachers still need to improve the systemicity and depth of their professional knowledge, which leads to the lack of real integration. So there is the problem that the theoretical knowledge of professional basic courses is not closely combined with the specific problem background solved by the post courses. The author solves the above problems by establishing a background library close to the equipment, distinguishing practical tasks, promoting research and teaching, and physics of mathematical concepts.

3 Discussion of the Proposed Solution According to the requirements of the new era, it is necessary to highlight the actualized teaching and training, shorten the personnel training target task of the postemployment adaptation period, and formulate the matching plan for the new talent training, focusing on the construction standards of the core course of digital signal processing and the main contents of the new syllabus. Scientifically, construct practical teaching content of different majors, clarify the position and construction connotation, and focus on the background of the equipment as the carrier and on cultivating high-end talents. The main methods include 1. Demand traction method. In different professions and different positions, the applied technology of digital signal processing in the equipment is different. Different aerial equipment and different ground equipments are faced with diversified digital signal processing technology. In practice teaching, through the equipment research, real sample analysis and other methods to build a different professional real-time background library are structured which is caused by post differences, to practice teaching illustration foundation. 2. Difference analysis method. The library of practical backgrounds of different professions has very different requirements for students and teachers. Participants usually only need to complete the practical tasks of the major, the instructors need to systematically study and teach the positions of different professions, and master the contents related to digital signal processing. In practice teaching, the practical tasks of students and teachers are differentiated according to different professions, the operability of practical teaching is strengthened, and the teaching effect is improved. 3. Scene substitution method. There are many mathematical formulas involved in digital signal processing, some of which are difficult to understand. It is easy to understand the students by finding some professional backgrounds corresponding to the formulas or reasonable physical explanations in the actual scenes. In

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the theoretical teaching and practical teaching of the course, through the physicalization of mathematical concepts, the mathematical formulas of the device are explained by easy to understand equipment physical phenomena, and the cognitive level of practical teaching theory is improved. 4. Task-driven method. Scientific research is the source of living water in teaching. Through the appropriate introduction of scientific research application results, the derivation of the formula is diminished, the content of practical teaching research is expanded, and the comprehensive application ability and innovation ability of the learned knowledge are improved.

4 Implementation Scheme The digital signal processing course has a deeper connotation and wider extension [7]. It is impractical to cover all the knowledge points of digital signal processing in a limited class time. Therefore, it is necessary to focus on different majors and theoretical subjects. The practical teaching also needs to optimize the content, and the specific implementation plan is reflected in the following aspects: 1. Exploring the practical teaching mode of close to the real case and focus on ability As a professional college, once the professional basic course teaching leaves the requirement of being close to the actual case, the practical content will undoubtedly become a castle without a foundation, and it will also lose the function of forging students’ actual ability. Through the digital signal processing involved in the past, modern, and future equipment and instruments, carefully construct the project library and integrate it into the practical teaching, so as to improve the students’ ability to analyze and solve problems, and then realize practical teaching and close to the coordination of the actual case. 2. Constructing a practical teaching system of 3P integration Through the different teaching of different professions, the goal of 3P integration (that is, Principle, Practice, Product) can be achieved, effectively solving the problem of when the book is used and hate less, achieving targeted and learned, improving the quality of talent training and the ability of students to hold positions. 3. Expanding the practical teaching content of homogeneous and heterogeneous On the one hand, the core content of the course “one foundation, two pillars” remains unchanged, so the practice content builds a common basic topic, consolidates and understands the basic theory of digital signal processing; on the other hand, because the profession is different, the job position, the used different equipment, and different application scenarios are different, based on the core content of

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the course, it is need to construct real-world projects with different backgrounds, for promoting the integration of various knowledge points, and improving the equipment practice ability and teamwork spirit for future employment. The post lays the foundation. 4. To create a curriculum teaching team with combination of capabilities and integration of technology The instructor also serves as a professional basic theory course and 1–2 door equipment principle course. It is close to the equipment and facing the real case. While grasping the core technology of digital signal processing of professional problems, the teacher’s ability, quality, and technology and application level are improved. With this a teaching team with reasonable knowledge structure, skilled professionals, rich application experience, and strong practical teaching ability is formed.

5 Conclusion In view of the characteristics of the course of digital signal processing, this paper proposes a practical teaching implementation program that highlights professional differences and closely follows the digital signal processing course of equipment. From exploring the practical teaching mode of close to the real case and focusing ability, constructing the practical teaching system of 3P integration, expanding the practical teaching content of homogeneous and heterogeneous and creating competition and technology, the concrete implementation method is descirbed. The implementation method was elaborated in several aspects, such as the integration of the course teaching team. Through teaching reform, on the one hand, the faculty’s ability, quality, and technology and application level are improved; on the other hand, the quality of personnel training and the ability of students to serve are improved. The practice teaching reform has been tried in some professions. The results show that the professional differences in the digital signal processing courses that closely follow the equipment can enhance the professional literacy of teachers, stimulate students’ interest in learning, become passive and active, and diligently think, willing to practice, improve students’ ability to analyze and solve problems. The continuous implementation of practical teaching reform can promote the development of education and teaching of digital signal processing courses. Acknowledgements This paper was supported by the National Natural Science Foundation of China partly under the Grant no. 61601499, 61701527 and 61601503.

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References 1. Gao X, Ding Y, Kuo Y (2016) Digital signal processing-principles, implementation and application, 3rd edn. Publishing House of Electronics Industry, Beijing 2. Kuntalp DG, Demir GK, Akay O (2011) Teaching digital signal processing through modularbased project oriented learning in electrical. Eng Int J Teach Case Stud 3:196–208 3. Li L, Xue Y (2012) Exploration of the teaching reform of digital signal processing courses. Electron World 18:140–142 4. Ji P (2016) Reform and practice of digital signal processing course under applied talents training mode. J Xichang Coll Nat Sci 30(4):117–119 5. Zhang X, Tang W, Wang Y, Wang G (2018) Research and practice of digital signal processing case teaching method. Lab Technol Manage 35(5): 214–217+235 6. Jia P (2018) Teaching practice and exploration based on digital signal processing course. Sci Technol J 13(5):30–32 7. Dai M, Xu C, Xia J et al (2018) Analysis of differentiated teaching mode of undergraduate and postgraduate digital signal processing courses. Res Explor Med Health Equipment Lab 39(5): 87–89+102

Knowledge Management of Digital Signal Processing MOOC Course Construction Shiqiang Wang, Caiyun Gao, Juan Bai, Qin Zhang, Huiyong Zeng, Binfeng Zong, and Jiliang Cai

Abstract The paper analyzes the characteristics of the digital signal processing course, takes the mural construction as the research object, and analyzes the necessity and technical requirements of the digital signal processing. Then this paper analyzes the knowledge management related to the content of the digital signal processing MOOC, including the structure of knowledge points and the key and difficult points of this course. The research of the thesis has reference significance for the construction of digital signal processing. Keywords Digital signal processing · MOOC · Knowledge management · Course construction

1 Introduction Digital signal processing (DSP) is a professional course for electronic information students. It is a course for students to learn professional knowledge after they have completed the course of signal and system [1, 2]. This year, well-known universities at home and abroad have started digital signal processing online courses, and MOOC courses, and achieved some achievements [3]. MOOC is the transliteration name of the acronym MOOCs of massive open online courses. The construction of MOOC is aimed at promoting the transformation of educational and teaching concepts, leading the teaching content and methods reform, promoting the construction of high-quality curriculum resources through modern information technology, fostering students’ independent learning ability, and improving the personnel training quality. The MOOC is focused on a wide range of general education public elective courses, double degree courses, and public foundation S. Wang · J. Bai · Q. Zhang · H. Zeng (B) · B. Zong · J. Cai Air and Missile-Defence College, Air Force Engineering University, Xi’an 710051, China e-mail: [email protected] C. Gao Department of Basic Sciences, Air Force Engineering University, Xi’an 710051, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_59

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courses, including professional basic courses, professional courses, and online education courses. It is based on the curriculum resource system, rich and suitable for network communication. In this way, multi-level and multi-type high-quality curriculum teaching resources, co-construction and sharing system are formed to provide quality curriculum teaching resources for teachers, students, and social learners. The thesis analyzes the requirements and requirements related to the construction of digital signal processing course and analyzes the knowledge management of the course, that is, the structure and difficulty of the course knowledge, which has reference significance for the construction of digital signal processing.

2 Analysis of the Needs and Requirements of MOOC Construction 2.1 Features of DSP Course As a new subject, DSP technology has developed rapidly since the 1960s with the rapid development of information and computer science. It plays a very vital role in the development of science and technology in the information age. Digital signal processing includes filtering, transforming, detecting, spectrum analysis, compression, estimation, and recognition. Due to the outstanding advantages of digital signal processing, it has been widely used in communication, voice, radar, seismic survey, sonar, remote sensing, biomedicine, television, and instrumentation [4–6]. This course will enable students to master the basic theories, methods, and implementation techniques of digital signal processing, so that students have the ability to guide theory and practice. The course involves many mathematical knowledge, conceptual abstraction, and has strong theoretical and inheritance. It is closely related to electronic information technology and the theoretical basis of emerging disciplines. It has strong operational, practical, and cutting edge.

2.2 The Necessity of DSP MOOC Construction The MOOC emphasizes the open online features and enables the sharing of quality resource courses. This allows the students to flexibly arrange online learning time according to individual needs, broaden the learning channels, and make up for some shortcomings in current undergraduate education and in-service education. Board problem [7–9]. 1. MOOC can bring a diversified model of undergraduate education and postsecondary education. Digital signal processing (DSP) involves a lot of mathematical knowledge, and part of the concept are abstract. Therefore if we only

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use the classroom time to explain the knowledge, not only students can not comprehend on the spot, but too much time is spent on relevant knowledge points, which would affect the overall teaching progress of the course. In addition, we should take care of most students’ learning effect. Classroom teaching cannot satisfy some students’ sharp curiosity, the knowledge-seeking desire of students who receive fast knowledge, and it is easy for some students to be weak, and it is difficult for them to keep up with the progress of the class and then give up the relevant knowledge points, which may eventually lead to the whole process. The course lost confidence. The MOOC can solve this problem, and students can learn knowledge points as needed. 2. MOOC is more suitable for the requirements of undergraduate education and in-service education students’ self-learning ability. Associated with the multimodal mode teaching brought by MOOC, online, students can use piecemeal time to learn, students with fast progress take little time to follow up, and students with weak foundation can learn repeatedly, and finally, to achieve the course content learning, go hand in hand. In addition, the implementation of the online assessment focuses on the mastery of the knowledge points learned and also facilitates the review of the examination content at the end of the course.

2.3 Technical Requirements for DSP MOOC Construction The digital signal processing course covers the basic knowledge, basic concepts, basic principles, basic methods, typical cases, comprehensive applications, cuttingedge topics, hot issues, etc. of digital signal processing technology. The content is relatively stable, basic, scientific, systematic and advanced and has a highly targeted feature. According to the characteristics of students and courses, on the one hand, the top-down teaching method is adopted, combining modern teaching with traditional teaching methods, and constructing the knowledge system of the students by paying attention to the different teaching and introducing research teaching methods. Guide the students to learn from the bottom up, so that the students’ learning attitude changes from passive to active, diligent in thinking, willing to practice, learn to use a variety of models to think about problems, analyze problems, solve problems. The overall design of the MOOC course includes the following: 1. Digital signal processing course construction presented in a complete system of course knowledge points; the total length of video does not exceed 2/3 of the total class hours of the course. 2. Organize teaching content and other links based on knowledge points. The video teaching corresponding to each knowledge point is generally 3–15 min, totaling 60 knowledge points. 3. Similar to classroom teaching, the MOOC also arranges the progress of the study on a weekly basis. The entire teaching time of the course is designed to be 13–15 weeks.

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4. The basic process of course construction is: • • • • • •

Deconstructing and disassembling knowledge points of the original course; Select and consolidate core knowledge points; Re-creation, design, structure courses; Filming production; Translation, proofreading; The course is online.

3 Knowledge Management of DSP MOOC 3.1 Knowledge Point Structure of DSP Course The content of the digital signal processing course mainly includes one foundation, two pillars. One is based on the analysis of time and frequency domain of discretetime signals and discrete-time systems. The two pillars are discrete Fourier transform and its fast algorithm, and the theory and design of digital filters. The MOOC course organizes teaching content and other links based on knowledge points, and optimizes the overall teaching design of the course. According to the plan, the digital signal processing knowledge points include the following unit contents. The first unit is the introduction. It is needed to understand the basic concepts, implementation methods, features and basic components of DSP, as well as understand the research content, characteristics, nature, tasks and applications of DSP courses. The content of the second unit is a time-domain discrete signal and system (TDDS&S). It is needed to learn properties and characteristics of time-domain discrete signal and time-domain discrete system, analysis method of that. The content of the third unit is the time-domain (TD) discrete signal and the frequency-domain (FD) analysis of the system. It is needed to learn the Fourier transform, Z-transformation and frequency-domain analysis of TD discrete signals (sequences). The content of the fourth unit is the discrete Fourier transform and its fast algorithm. It is needed to learn definitions, physical meanings and properties of discrete Fourier transform (DFT), frequency-domain sampling theorems, DFT applications, including computational linear convolution, fast convolution, spectral analysis, etc. Also, it is needed to learn fast algorithm for learning discrete Fourier transform–fast Fourier transform (FFT), learning the decimation in time (DIT) and decimation in frequency (DIF) radix-2 FFT algorithm, FFT programming method, etc. The content of the fifth unit is analog signal digital processing. It is needed to learn the principle of digital processing of analog signals, the mutual conversion of analog and digital signals, the (TD) sampling theorem, and the relationship between analog and digital frequencies.

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The contents of the sixth unit include the basic concept of digital filter, infinite impulse response (IIR) digital filter, design of analog filter, including Butterworth filter, Chebyshev filter, methods of digital filter design, including impulse response invariant method, bilinear transformation method design of infinite impulse response word digital filter, digital high-pass, band-pass, band-stop filter design. The contents of the seventh unit include the linear-phase finite impulse response (FIR) digital filter, a window function method for designing a finite impulse response (FIR) digital filter and a frequency sampling method for designing a finite impulse response (FIR) digital filter. The content of the eighth unit is the representation of the network structure (NS) that means signal flow diagram, infinite impulse response (FIR) basic NS and quantization effect in DSP.

3.2 Analysis of Key and Difficult Points The first unit is no key or difficult points. The key points of the second unit include: periodic judgment of sinusoidal sequence; judgment of linear system, time-invariant system; definition, calculation of linear convolution, system causality, stability judgment [10]. The difficult points of second unit include: the definition of linear convolution and the calculation of linear convolution. The key points of the third unit include: the definition and properties of the Fourier transform, the z-transform; the inverse z-transform; the frequency characteristics of the system using the pole-zero distribution of the system; the all-pass filter; the minimum phase system. The difficult points of third unit include: symmetry of sequence Fourier transform; Fourier series and Fourier transform of periodic sequence; complex convolution theorem; Paswell’s theorem; all-pass filter; minimum phase system. The key points of the fourth unit include: the definition of DFT and IDFT; the relationship between DFT and FT, ZT, DFS; the cyclic shift theorem; the circular convolution theorem; the conjugate symmetry of DFT; the linear convolution using DFT; the decimation in time (DIT) and decimation in frequency (DIF) radix-2 FFT algorithm; the FFT algorithm of real sequence. The difficult points of fourth unit include: definition of DFT and IDFT; conjugate symmetry of DFT; calculation of linear convolution using DFT; basic principle of radix-2 FFT algorithm (time-domain extraction, frequency-domain extraction); multi-class butterfly operation; twiddle factor, the law of transformation. The key points of the fifth unit include: the principle of analog signal digital processing, time-domain sampling theorem, and the relationship between analog frequency and digital frequency. The difficult point of fifth unit is the spectrum of the sampled signal. The key points of the sixth unit include: the principle of the impulse response invariant method and the basic principle of the bilinear transformation method. The

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difficult points of sixth unit include: analog filter design; analog high-pass, band-pass, band-stop filter design; bilinear transformation method. The key points of the seventh unit include: the conditions and characteristics of the linear-phase FIR digital filter; the design principle of the window function method; the basic principle of the frequency sampling method; and the comparison of the IIR and FIR digital filters. The difficult points of seventh unit include: the basic principle of the window function method; the basic principle of the frequency sampling method. The key points of the eighth unit include: characteristics and basic structure of the IIR filter (direct type, cascade type, parallel type); characteristics and basic structure of the FIR filter (direct type, cascade type, frequency sampling type). The difficult point of eighth unit is the FIR frequency sampling type structure.

4 Conclusion The digital signal processing MOOC course teaching form adopts knowledge unit, content-rich media, teaching method to realize research class flip and mixed teaching, and actively implements the method of “classroom flip, online learning and offline discussion.” Through the network, teachers, students and students can communicate extensively across time and space, fully mobilize the initiative of students’ learning, improve the effect of implementing quality education and comprehensively improve the level of educational informatization, in line with the requirements of the new era of education. The construction of network based on murals is an inevitable trend of modern universities in the network age, which will help improve the quality of teaching and encourage digital signal processing curriculum teachers to actively participate in the practice of teaching and personnel training. Acknowledgements This paper was supported by the National Natural Science Foundation of China partly under the Grant no. 61601499, 61701527 and 61601503.

References 1. Gao X, Ding Y, Kuo Y (2016) Digital signal processing-principles, implementation and application, 3rd edn. Publishing House of Electronics Industry, Beijing 2. Cheng P (2016) Digital signal processing tutorial, 4th edn. Tsinghua University Press, Beijing 3. Hu J, Chen H, Zhang J, Huang W (2018) Relying on the virtual teaching and research section to improve the teaching quality of the course-taking Beijing Jiaotong University’s Double Training Program as an example. Beijing Educ High Educ 05:56–58 4. Xuming Zhang (2019) Analysis of the application of digital signal processing technology in electronic information engineering. Sci Technol Innov 25:87–88 5. Liu C (2019) Fault identification of optical fiber sensor based on digital signal processing technology. Mod Electron Tech 42(17):43–48

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6. Zhai D, Chen Z, Yan G, Wang Z (2019) S-band radar motherboard design based on digital signal processing and programmable logic gate array. Sci Technol Eng 19(17):210–214 7. Hou Z, An Q, Hou R, Wu X, Liu Y, Wu Y, Jin X (2016) Thinking and exploring the path of mood class construction. Univ Teach 06: 63–65+86 8. Ren F (2018) The necessity, controversy and direction of the construction of “Mu Class” in higher vocational education. J Henan Univ Sci Technol 38(08):52–55 9. Zou Y (2019) Research on the development and construction of high-quality open online courses in physical education colleges under the background of MOOC. Sci Educ Wenhui Mid-Season 05:123–124 10. Wang S (2018) The syllabus of digital signal processing course: 1–9. https://wenku.baidu.com/ view/45709e33a9956bec0975f46527d3240c8447a1aa.html

The Relationship Between Information Infrastructure Construction and Coordinated Economic Development: A Case Study of Guangdong–Hong Kong–Macau Greater Bay Area Qianyun Yang and Can Chen Abstract Using the time series data of Guangdong–Hong Kong–Macau Greater Bay Area from 1998 to 2017 as well as telecommunication infrastructure and information service level as the measurement indicators of information infrastructure construction, the long-term dynamic relationship between information infrastructure construction and coordinated economic development was empirically analyzed under the VAR model. It shows that there is a long-term equilibrium relationship between information infrastructure construction and coordinated economic development. The Granger cause of the coordinated development between information service and economy is the telecommunication network foundation rather than the coordinated economic development. To some extent, the coordinated development of economy contributes to the construction of information infrastructure and the impact of information infrastructure construction on coordinated economic development is neutral. From the trend of the integration of Guangdong–Hong Kong–Macau Greater Bay Area and the gradually narrowing economic gap, information infrastructure will slowly improve the coordinated economic development with the regional high quality in the future. Keywords Information infrastructure construction · Economic coordination · Impulse response analysis · Guangdong–Hong Kong–Macau Greater Bay Area

Q. Yang (B) Hunan International Economics University, Changsha 410000, China e-mail: [email protected] C. Chen Kunming University of Science and Technology, Kunming 650093, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_60

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1 Introduction With the adjustment of China’s economic structure, traditional production factors diminish marginal returns, and information is gradually being developed and applied as a new production factor, especially with the advent of the 5G era, the internet of things, cloud computing, artificial intelligence, digital economy, etc. have received unprecedented attention. The most eye-catching of these is Guangdong–Hong Kong– Macau Great Bay Area (abbreviated as GBA), which attracts a large number of information technology companies with market value amount to 100 billion yuan, such as Huawei, Tencent, ZTE, China Mobile, China Unicom and so on. Meanwhile, the economic development among cities in GBA is obviously different. Only the GDP of Shenzhen, Guangzhou, Hong Kong and Macau accounts for more than half of GDP in GBA, and per capita income is among the best, which brings great challenges to the coordinated economic development of GBA. At present, scholars’ research on the impact of information infrastructure construction on coordinated economic development is mainly concentrated on two aspects. The first is the relationship between information infrastructure construction and economic growth. Early foreign scholars use time series data to explore the relationship between telecommunication infrastructure and regional economic growth. Some scholars believe that there is a one-way causal relationship between the two [1], and some scholars believe that there is a two-way relationship between the two [2]. With the development of information technology, domestic scholars have begun to develop information infrastructure and economic growth. The relationship between the two is considered. Most domestic scholars believe that information infrastructure construction promotes regional economic growth, but it must consider different periods and regional differences. For example, in the early stage of the development of the telecommunications industry, information infrastructure has promoted economic growth, but with the industry mature, its role in promoting the economy is gradually weakening [7]. The second is the coordination relationship between infrastructure construction and economic development. Such research mainly investigates whether infrastructure construction adapts to the level and requirements of local economic development. For example, some scholars use the index system construction method and the coordination function method to examine the relationship between infrastructure construction level and economic development spatial pattern [10]. Some made output model and use data envelopment analysis (DEA) to measure infrastructure investment efficiency [11], and scholars use gray correlation analysis to construct the correlation model and coupling degree model of infrastructure and economic interaction, and the level of overall association and regional differences between the two are discussed [12]. At present, GBA has gradually become a hotspot for scholars, and related research is mainly focused on functional orientation, regional relations, cooperation models and strategic choices, lack of in-depth exploration of information infrastructure, coordinated regional economic development and urban agglomerations.

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2 Theoretical Analysis 2.1 Information Infrastructure Construction Promotes Coordinated Economic Development The promotion of information infrastructure construction to the coordinated development of the economy is reflected in the following two aspects: first, the micro-factor level. The information infrastructure has a network effect, which can promote crossregional flow of production factors such as labor, capital and technology, thereby promoting regional coordination and optimization and upgrading of industrial structure [8–17]; second, the industry level. The construction of information infrastructure is conducive to promoting the transformation and upgrading of traditional industries [18, 19].

2.2 Information Infrastructure Construction Inhibits Coordinated Economic Development Most scholars believe that information infrastructure construction has a stronger multiplier effect on economic growth in economically developed regions, which is mainly reflected in the following three aspects. First, for the developed regions of the tertiary industry, the spillover effect of information infrastructure on the non-communication sector is more obvious, and its promotion of economic growth is stronger than that of underdeveloped regions [20], mainly because the tertiary industry is more dependent. In terms of human capital and knowledge spillovers, information infrastructure construction can promote the flow of information elements more frequently, thus accelerating the flow of funds, talents and other factors [18]. Second, information infrastructure as the carrier of information dissemination has the characteristic of more users, the greater network externalities (such as reducing transaction costs and saving time). Since information is not exclusive in the process of use, so the more users, the greater information density, the more economic growth can be promoted [8]. Finally, cities with high levels of economic development usually develop early in the information industry and have a good information industry foundation, thus developing information technology. The investment is relatively large, and information as a production factor has the characteristics of increasing marginal income [22].

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Smooth flow of elements and resource sharing Promote new models, new technologies, industrial

promote

integration

Information infrastructure construction

Coordinated

Industrial structure difference

economic Population size difference

inhibit

development

R&D investment difference

Factor spillover, industry association accelerate Market demand

Fig. 1 The relationship between information infrastructure construction and economic coordinated development

2.3 Coordinated Economic Development Accelerates Information Infrastructure Construction The high degree of coordinated regional economic development means that the interregional economic linkage and dependence are gradually improved, the division of labor and cooperation in the industrial sector is deepening and the market integration process is accelerating [23]. The factor prices in developed and backward regions are equalized, thus conducive to the cross-regional flow of production factors. Therefore, under the condition of coordinated economic development, capital, labor, technology, information and other production factors in developed regions can voluntarily flow to backward regions according to market rules, and backward regions can rely on factor spillovers in developed regions and industry-related effects to promote the construction of its own information infrastructure. At the same time, the rapid development of information infrastructure in underdeveloped regions can also provide developed regions with a broad market for information infrastructure, thereby promoting the development of information infrastructure (Fig. 1).

3 Model, Variable Description and Data Processing 3.1 Research Methods and Model Settings This paper uses the relevant data of information infrastructure construction and coordinated economic development from 1998 to 2017, selects the telecommunication

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network foundation (TN) and information service level (IS) as independent variables and takes the level of coordinated economic development (U) since 1998 as the cause. The variable is constructed by autoregressive (VAR) model. The specific model is constructed as follows: ln Ut = β1 ln TNt + β2 ln ISt + μt

(1)

In Eq. (1), t represents time, U is the economic coordinated development level, TN and IS represent the telecommunication network foundation and information service level, respectively, which are random disturbance terms, and represent corresponding parameters, respectively.

3.2 Variable Selection and Data Source Information infrastructure construction (TN, IS). This paper draws on the measurement methods of scholars such as Li Kunwang and Shao Wenbo [24]. It is mainly divided into two indicators: First, the telecommunication network foundation (TN), which is expressed by the average value of per capita mobile phone users and per capita internet users (10,000 households). With the improvement of the telecommunications network, the number of mobile phones and internet users will gradually increase, so the indicator can better reflect the telecommunications infrastructure; the second is the information service level (IS), which is expressed by the total number of regional per capita postal and per capita telecommunications services (10,000 yuan). Postal and telecommunications services can reflect the market size and quality of service of informatization. The level of coordinated economic development (U). According to Qi Chenglin, Zhang Hua and so on, coordinated economic development is a process that under the conditions of openness, economic ties between regions are becoming increasingly close, economic interdependence is deepening, economic development is interrelated and positive, and regional economic development continues and economic differences are narrowing [23]. The calculation formula of economic development coordination degree U is given as follows:    Ut = exp −(z t − z t )2 /st

(2)

In Eq. (2), t represents the year, and z represents the level of coordinated development of the regional economy. It is derived from the three indicators of inter-regional economic linkage, regional economic growth state and regional economic difference state, and z represents the expected value of the regional coordinated development level. s is the standard deviation, where the value of U is between 0 and 1. The larger

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the U value is, the higher the degree of regional coordination development. The specific calculation process refers to coordinated development of regional economy: concept analysis, judgment standard and evaluation method. In view of the availability of data, this paper selects the data sample from 1998 to 2017. Among them, the number of per capita telephone users, the number of per capita internet users, the per capita postal and telecommunications business, and the per capita GDP of each city are from China Urban Statistical Yearbook (1999–2018) and Guangdong Statistical Yearbook (1999–2018), the website of the Hong Kong Census and Statistics Department and the Macau Statistics and Census Bureau.

4 Empirical Analysis 4.1 Data Stationarity Test Since the non-stationary of time series data will lead to the result of “pseudoregression,” the ADF unit root test needs to be performed on the variables before the variable cointegration test. As shown in Table 1, it can be found that the ADF values of the three variables are smaller than the critical value under the 5% level. So, the original hypothesis of the unit root is accepted, and the data is a non-stationary sequence, so the first-order difference is made. At this time, the ADF value is greater than the critical value, and the sequence is stable, so each variable is a first-order single-integer sequence that satisfies the premise of the cointegration test. Table 1 ADF unit root test results Variable

Inspection type (C, T, K)

ADF statistics

Critical value

P value

Conclusion

lnTN

(C, T, 4)

−1.510

−3.710

0.784

Unstable

lnIS

(C, T, 4)

−1.343

−3.673

0.844

Unstable

lnU

(C, T, 4)

−5.175

−3.875

0.001

Stable

D(lnTN)

(C, T, 4)

−4.814

−3.791

0.009

Stable

D(lnIS)

(C, T, 4)

−4.858

−3.690

0.005

Stable

D(lnU)

(C, T, 4)

−4.295

−3.710

0.017

Stable

Note The test form (C, T, K) indicates whether there is an intercept term, time trend and lag order, and D(x) represents the first-order difference

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4.2 Cointegration Test Before establishing the VAR model, we must first determine the optimal lag order of the VAR model; after the test, the optimal lag order of VAR is 4. Based on this, this paper establishes the following VAR(4) model: VAR model for the telecommunications network infrastructure and coordinated economic development: TNt = k1 TNt−1 + k2 TNt−2 + k3 TNt−3 + θ1 Ut−1 + θ2 Ut−2 + θ3 Ut−3 + ε1t

(3)

Ut = n 1 TNt−1 + n 2 TNt−2 + n 3 TNt−3 + η1 Ut−1 + η2 Ut−2 + η3 Ut−3 + ε2t

(4)

The VAR model for the coordinated economic development and information service level: ISt = w1 ISt−1 + w2 ISt−2 + w3 ISt−3 + c1 Ut−1 + c2 Ut−2 + c3 Ut−3 + δ1t

(5)

Ut = d1 ISt−1 + d2 ISt−2 + d3 ISt−3 + z 1 Ut−1 + z 2 Ut−2 + z 3 Ut−3 + δ2t

(6)

In Eqs. (3)–(6), t = 1, 2, 3…T, according to the AR root graph results, the reciprocal of each equation root is less than 1, indicating that the VAR(4) model has stability. Since the results of data stationarity indicate that each variable is a single-order sequence, we perform a Johansen cointegration test to determine whether there is a long-term stable relationship between the variables. The Johansen cointegration test results are calculated by Stata14.0 software. The results show that if there is no cointegration relationship, the trace statistic is greater than the critical value at the 0.05 significance level, thus rejecting the null hypothesis; when the null hypothesis is at most one cointegration relationship, the trace statistics is less than the critical value under the significance level amounted to 0.05, i.e., accepting the null hypothesis with cointegration relationship, which indicates that there is a long-term stable relationship between the telecommunication network foundation, the information service level and the coordinated development of the economy during the sample period (Table 2). Table 2 Johansen cointegration test results Hypothesized No. of CE(s)

Eigenvalue

Trace statistic

0.05 critical value

Prob.**

None*

0.583

29.964

29.797

0.0478

At most1

0.382

14.182

15.494

0.0781

At most2

0.263

5.501

3.841

0.0190

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Table 3 Granger causality test results Variable

Null hypothesis

F statistic

P value

lnU

lnTN cannot cause Granger to cause lnU

3.3084

0.0277

lnIS cannot cause Granger to cause lnU

1.7425

0.2054

lnTN

LnU cannot cause Granger to cause lnTN

0.6918

0.4178

lnIS cannot cause Granger to cause lnTN

0.1026

0.7529

lnU cannot cause Granger to cause lnIS

0.2804

0.6039

lnTN cannot cause Granger to cause lnIS

4.2855

0.0351

lnIS

4.3 Granger Causality Test Granger causality test is an important test method for causal relationship among variables. This paper analyzes the causal relationship between telecommunication network foundation, information service level and economic coordinated development based on VAR(4) model (see Table 3). It can be seen from Table 3 that at the 5% level of significance, the causality test of the level of information service to the coordinated development of the economy rejects the null hypothesis, indicating that there is no necessary causal relationship between the level of information service and the coordinated development of the economy. Theoretical analysis is contradictory. In addition, the telecommunications network foundation is the Granger reason for the coordinated development of the economy, and it is significant at the level of 5%, indicating that compared with the level of information services, the telecommunications network foundation can have an impact on the coordinated development of the economy. Similarly, the telecommunications network is the Granger cause of information service level, which is related to the endogeneity of information service level, that is, the development of information technology. The rapid expansion of the postal and telecommunications business and the ever-increasing speed of information transmission have optimized the letter. Service level, on the contrary, economic coordinated development is not the Granger cause of information infrastructure construction, which is inconsistent with the theory, indicating that during the sample period, the economic development gap among the cities in GBA is still large, and the advantages brought by coordination did not get the full play.

4.4 Impulse Response Function Analysis In order to analyze the dynamic relationship between information infrastructure construction and economic coordinated development in GBA, this paper will analyze the impulse response function as shown in Fig. 2. Based on the VAR(4) model, the dynamic influence among telecommunication infrastructure (TN), information

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(b)

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(c)

.20

.12

.03

.15

.08

.02

.10

.04

.01

.05

.00

.00

.00

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(d)

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8 10 12 14 16 18 20

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.00

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-.04

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-.08

-.12

-.03 -.04

-.12

-.16 2

4

6

8

10 12 14 16 18 20

2

4

6

8

10 12 14 16 18 20

Fig. 2 a IS (impulse), TN (response), b TN (impulse), IS (response), c IS (impulse), U (response), d U (impulse), TN (response), e U (impulse), IS (response), f TN (impulse), U (response)

service level (IS) and economic coordinated development (U), where the horizontal axis represents the number of lag periods, the number of periods is selected 20 periods, and the vertical axis represents the degree of response. Figure 2a, d, respectively, reflect the results of the impulse response of the information service level (IS) and the coordinated economic development (U) of the GBA to the telecommunication infrastructure (TN). After the impact of standard error on TN and IS, it caused a positive fluctuations of the TN indicating that the IS can promote the continuous improvement of the telecommunications infrastructure level in GBA, and the level of information services can accelerate the level of telecommunications infrastructure; after the impact of a standard error to the U, it caused a negative influence on the TN; the change indicates that coordinated economic development has hindered the construction of information infrastructure, but as time goes by, the obstruction effect is gradually reduced. Figure 2b, e reflect the impulse response results of telecommunications infrastructure (TN) and economic coordinated development (U) for information service levels (IS); the TN of GBA has a positive effect on the IS, while the U will have a negative impact on the IS. Figure 2c, f show the impulse response results of the information service level (IS) and the telecommunication network foundation (TN) for economic coordinated development (U), respectively; the results show after the error variation of one unit for the IS and the TN, respectively; the U of the GBA has moved closer to zero indicating that the current information infrastructure construction has two effects on the coordinated economic

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development of GBA. The network externalities of information infrastructure and the promotion of industries in backward areas are obvious; developed cities can better play the role of information infrastructure in economic growth due to industrial structure advantages, population advantages and capital investment advantages, thus adversely affecting the coordinated development of the economy.

5 Conclusion and Inspiration 5.1 Conclusion From the perspective of cointegration, there is a long-term stable equilibrium relationship between telecommunications infrastructure, information service level and economic coordinated development. In the short-term equilibrium, infrastructure has a greater restrictive effect on coordinated economic development. From Granger causality test, telecommunication infrastructure is the Granger cause of the coordinated development of information service level and economy, and coordinated economic development is not the Granger cause of information infrastructure construction, indicating that information infrastructure construction can pass the spillover effect. Industrial integration and upgrading, population agglomeration and marginal revenue increase affect the coordinated development of regional economy. This is in line with the theory. However, due to the large economic gap between GBA, the coordinated economic development has little impact on information infrastructure construction. Finally, from the results of the impulse response function, the level of information services and the development of telecommunications infrastructure are mutually reinforcing, and the coordinated development of the economy will inhibit the construction of information infrastructure in the short term and promote the construction of information infrastructure in the long run. Consistent with theoretical analysis, the role of telecommunication network infrastructure and information service level in the coordinated development of the economy is neutral. On the one hand, information infrastructure construction narrows the regional economic gap through network externalities and improving the industrial efficiency of backward regions. In developed cities with developed tertiary industry, population agglomeration and information technology investment, information infrastructure construction has a greater role in driving the economy, thus expanding the regional economic gap, but in the long run, along with GBA. With the acceleration of the integration process, the construction of information infrastructure will slowly improve the coordinated economic development under regional high-quality conditions.

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5.2 Inspiration Based on the above conclusion, there are some points should be paid attention to in the future development of GBA: 1. Improve and strengthen the telecommunications network infrastructure. Research shows that the telecommunications network foundation is an important force to promote the level of information services and the coordinated development of the economy. Therefore, in the future construction of information infrastructure, efforts should be made to improve network coverage and information transmission speed, not only to fully optimize 4G mobile networks, fiberoptic broadband networks, cloud platforms, internet of things platforms, etc., and further strengthen GBA interconnection between the interiors of the district cities. 2. A correct view of the impact of information infrastructure construction on different economic development levels. Due to the difference in industrial structure, population size and R&D investment, the multiplier effect of information infrastructure construction on economic growth in developed regions is stronger. 3. Respond to the integrated development strategy of GBA actively, and promote the coordinated development of regional economy. The coordinated development of regional economy can promote the construction of information infrastructure through factor spillover, industrial linkage and market demand. To this end, Hong Kong, Macau and nine cities in mainland should make full use of their comparative advantages to achieve the division of labor and coordinated development of the regional economy. Acknowledgements This research is supported by “Double-first-class” Applied Characteristic Construction Discipline in Hunan Province, and National Natural Science Foundation of China (Grant No. 71573082).

References 1. Beil RO, Ford GS, Jackson JD (2005) On the relationship between telecommunications investment and economic growth in the United States. Int Econ J 19(1):3–9 2. Wolde-Rufael Y (2007) Another look at the relationship between telecommunications investment and economic activity in the United States. Int Econ J 21(2):199–205 3. Dutta A (2001) Telecommunications and economic activity: an analysis of granger causality. J Manage Inf Syst 17(4):71–95 4. Perkins P, Fedderke J, Luiz J (2005) An analysis of economic infrastructure investment in South Africa. South African J Econ 73(2):211–228 5. Roller LH, Waverman L (2001) Telecommunications infrastructure and economic development: a simultaneous approach. Am Econ Rev 91(4):909–923 6. Datta A, Agarwal S (2004) Telecommunications and economic growth: a panel data approach. Appl Econ 36(15):1649–1654 7. Zheng S, Zhou L, He W (2014) Telecom infrastructure and China’s economic growth. Econ Res 49(5):77–90

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8. Chen L, Li J, Xu C (2011) Information infrastructure and economic growth-based on interprovincial data analysis in China. J Manage Sci 24(1):98–107 9. Pan W, Han B (2018) Empirical research on economic growth of urban agglomeration based on informatization. Res Manage 39(S1):289–297 10. Wu J, Cao Y, Yao S, Liang S (2009) Analysis of coordinated development of infrastructure and regional economic system. Econ Geogr 29(10):1624–1628 11. Li Y, Zhao W, Ge H, Lei L, Zhang R (2017) Coordination of urban infrastructure and economic development in Henan Province. Henan Sci 35(04):628–633 12. Zhao P, Liu D (2018) Correlation analysis of infrastructure and social economic development in small towns in China. Prog Geogr Exhib 37(09):1245–1256 13. Yang L, Yang D, Zhang Y, Qiao X, Tang H, Wang G (2009) A correlation analysis of regional infrastructure and economic coupling in Xinjiang. Prog Geogr 28(03):345–352 14. Jia S, Wang Y (2019) The impact of rapid transportation network construction on the balance of regional economic pattern-taking Guangdong, Hong Kong and Macao as an example. Dev Res 03:21–27 15. Zhang H, Chen F (2018) Analysis of the impact of high-speed railway on regional coordinated development-an empirical analysis based on Xulan passenger dedicated line. J Shanghai Univ Soc Sci Edn 35(05):91–106 16. Zhen Zhang (2019) The influence of industrial structure change in Dawan District of Guangdong, Hong Kong and Macao on coordinated economic development. Sci Technol Prog Policy 36(07):48–55 17. Zhang H, Zhou Q, Wang C (2010) Information technology, network effect and regional economic growth: an empirical analysis based on spatial perspective. China Soft Sci 10:112–123 18. Xu X, Liu L (2014) Impact of information infrastructure construction on shanghai’s economic transformation-based on regional CGE simulation analysis. East China Econ Manage 28(7):11– 14 19. Zhang M, Ma Z (2013) Informatization, industrial structure and regional economic growth-an empirical analysis based on chinese provincial panel data. J Financ Res 8:39–42 20. Peng H, Zeng L (2012) Direct and indirect impacts of communication industry on regional economic growth-based on the analysis of tertiary industry development degree. J Beijing Univ Posts Telecommun Soc Sci Edn 14(01):81–87 21. Wang W, Zhang H (2018) Information infrastructure and regional economic growth: empirical evidence from 252 cities and levels in China. East China Econ Manage 32(07):75–80 22. Han J (2011) Research on industrial upgrading based on factor configuration structure. J Capital Univ Econ Bus 13(01):29–38 23. Ruan C, Zhang H, Mao C (2011) Coordinated development of regional economy: concept analysis, judgment standards and evaluation methods. Econ Syst Reform 04:34–38 24. Li K, Shao W, Wang Y (2015) Informatization density, information infrastructure and enterprise export performance-based on the theory and empirical analysis of enterprise heterogeneity. Manage World 04:52–65

Study on Influencing Factors of Local Government Implicit Debt in PPP Project Based on Factor Analysis Wuwen Cao and Chao Leng

Abstract In the process of promoting PPP financing model for project construction in China, the scope of implicit debt of local government is not clearly defined, and the debt burden is too large because of the system, norms and professional cognition from the government perspective. Therefore, this paper analyzes the reasons for the formation of local government implicit debt in PPP projects, constructs an index system of influencing factors of local government implicit debt, introduces the factor analysis method to classify and analyze the influencing factors of the implicit debt of local government. Keywords PPP project · Local government · Implicit debt · Factor analysis

1 Introduction By the end of February 2019, 12,000 PPP projects had been put into storage nationwide, with a total investment of more than 17 trillion yuan, according to the quarterly report of the information platform project library of the PPP Comprehensive Center of the Ministry of Finance of the People’s Republic of China. Due to the lack of understanding of PPP model by local governments and the imperfection of relevant laws and regulations, the increase of contingent hidden debts of local governments caused by the lack of corresponding control measures for project risks has become the focus of attention during the implementation of the project.

W. Cao (B) · C. Leng XiHua University, No. 999, Jinzhou Road, Jinniu District, Chengdu, Sichuan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_61

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2 An Analysis of the Causes of Local Government’s Implicit Debt 2.1 The Subjective Causes of the Formation of Local Government’s Implicit Debt In order to give full play to the financing ability to social capital, the local government of new public projects adopts the PPP model to reduce the amount of funds and expand the financing space [1]. However, because the PPP financing model involves a wide range of projects, it is likely that some local governments only pay attention to shortterm interests and cannot reasonably grasp the nature of the financing, resulting in the evolution of project financing into local government financing and then produce hidden debt. In addition, the local government’s understanding of the implementation of the PPP model of the project is that as long as the project adopts the PPP model, the debt will be reduced, and the influence of social capital, external environment, risk and long-term fiscal expenditure responsibility will be ignored, thus laying hidden dangers for the hidden debt [2].

2.2 The Objective Reasons for the Formation of Local Government’s Hidden Debt China’s ministries and commissions for the implementation of the project PPP model have issued a series of policies and systems. To a certain extent, it has guiding significance, but it does not form a mandatory normative effect. Because the project implementation of PPP model involves many stakeholders and their interest demands are different, it is difficult to achieve balanced consideration under the imperfect rules and systems, resulting in default of local government and social capital due to lack of credit, and the risk of default will also be transferred to local government to form hidden debt.

3 Construction of Influencing Factors Index of Local Government Implicit Debt in PPP Project Some PPP projects did not fundamentally alleviate the hidden debt of local governments in the process of implementation but in a more significant form to increase the long-term expenditure responsibility of local governments in the future. Through summarizing and sorting out the existing factors in the relevant literature on the implicit debt of local governments in PPP projects at home and abroad, firstly, the

Study on Influencing Factors of Local Government Implicit Debt … Table 1 Indicators of Influencing factors of local government implicit debt of PPP project

521

Basic influencing factors

Factor explanation

Financial sustainability

Local government financial capacity to pay

Professional technician

Number of professionals and technicians invested in the project

Management mode

Direct management or delegated management

Management attitude

Positive or negative attitude

Project duration

Time required for project construction

Value of the project

Social benefits after completion

Supporting infrastructure

Other ancillary facilities provided by the project

Quality of service

Services provided by private parties to the project

Construction and operation costs

Cost of input in the whole process of the project

Level of social security

Safeguards for the project

Laws and regulations

Policy stability

Price level

Degree of economic development

Force majeure

Unpredictable factors

paper selects the influencing factors which appear more than seven times in the relevant literature, then investigates the cognitive factors of experts from local financial departments, project management departments, third-party evaluation institutions and research institutions on the implicit debt of local governments in the existing PPP project implementation cases and finally forms 13 basic influencing factors Table 1 the details.

4 Brief Introduction of Factor Analysis Factor analysis is widely used in sociology, economics, management and other fields. The main goals of factor analysis are as follows: First, factor analysis is used to screen out the influencing factors that do not conform to the actual conditions, and then, the rationality of the original data structure is judged; Secondly, the data are processed, and the regression analysis, discriminant analysis and cluster analysis of some influencing factors are carried out by factor analysis [3].

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The steps of factor analysis are divided into four steps: First, KMO test and Bartlett ball experience; Second, input that data into the SPSS23 software, perform factor analysis on the data and determine the number of common factors. Third, determine that interpretation of the total variance. Finally, in order to reduce the synthesis of the initial factor, the rotation factor is carried out, and a new component factor is obtained again.

5 Empirical Data Analysis 5.1 Data Sources and Questionnaire Analysis With the help of SPSS23 software, this paper makes factor analysis on the data of influencing factors of implicit debt of local government. 1. Data sources: Considering the impact of the differences of the respondents’ professional background and work experience on the results, the scope of the questionnaire includes financial departments, project management departments, third-party evaluation agencies, universities and research institutes engaged in PPP research. This paper enumerates 13 factors that may affect the implicit debt of local governments, in order to understand the factors that affect the implicit debt of local governments and adopts the five-point measurement method (1) no influence at all, (2) no influence, (3) general influence, (4) influence, (5) greater influence. A total of 119 questionnaires were sent out, and 113 were recovered, with the effective rate of 94%. 2. Questionnaire analysis: Through the analysis of the questionnaire data, we get descriptive statistics of the factors that affect the implicit debt of local governments in PPP projects and calculate the mean and standard deviation of each factor as shown in Table 2.

5.2 Empirical Analysis This paper uses 13 factors to reflect the hidden debt of local governments in PPP project, makes factor analysis on it and then classifies 13 factors. 1. Determining the correlation coefficient matrix Input the data into the SPSS23 software and get the KMO and Bartlett sphere test measurement results through software processing, and the results are shown in Table 3. As can be seen from Table 3, that KMO value is 0.819. According to the corresponding standard division given by statistician Kaiser, when the KMO value is in the range of 0.7–0.9, it indicates that this data is suitable for factor analysis. Bartlett

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Table 2 Descriptive statistics of factors influencing local government implicit debt of PPP project Influencing factor

Sample

Average

Standard deviation

Financial sustainability

113

3.0885

0.89200

Professional technician

113

3.4602

0.95464

Management mode

113

3.2124

0.71278

Management attitude

113

2.9823

0.69414

Project duration

113

2.9912

1.20635

Value of the project

113

3.1239

1.18873

Supporting infrastructure

113

3.1681

1.26705

Quality of service

113

3.5664

1.45084

Construction and operation costs

113

2.9027

1.37558

Level of social security

113

3.1062

1.33204

Laws and regulations

113

2.9646

1.52321

Price level

113

3.4779

1.51243

Force Majeure

113

3.4513

1.43297

Table 3 KMO measure and Bartlett Spherical test results

KMO Sampling Appropriateness Quantity

0.819

Bartlett sphericity test

Approximate chi-square

1343.681

Degree of freedom

78

Significance

0.000

sphericity test is used to test whether the correlation matrix is a unit matrix, that is, to test whether the correlation variables are independent of each other [4]. Table 3 shows that the significance probability of Bartlett sphere test is 0.000, which is less than 1%, indicating that the data correlation matrix is not a unit matrix, but a correlation matrix, thus finally demonstrating that the data obtained from this questionnaire can be used for factor analysis [5]. 2. Initial Solution of Factor Analysis Thirteen eigenvalues are obtained by using the principal component analysis method, which is the initial solution of the factor analysis, and the factor load matrix is calculated by using the 13 eigenvalues and the corresponding eigenvectors. The factor output results are shown in Table 4. From Table 4, it can be concluded that the extraction of 13 factors affecting the implicit debt of local governments is more than 0.5, which indicates that each factor does have certain influence on the implicit debt of local governments and needs not to be eliminated. 3. Determine the number of common factors At present, there is no quantitative method to determine the number of common factors accurately, and it is usually determined by means of relevant criteria in practical

524 Table 4 Initial solution of factor analysis

W. Cao and C. Leng Influencing factor

Initial

Extract

Financial sustainability

1

0.867

Professional technician

1

0.794

Management mode

1

0.712

Management attitude

1

0.882

Project duration

1

0.801

Value of the project

1

0.804

Supporting infrastructure

1

0.89

Quality of service

1

0.846

Construction and operation costs

1

0.783

Level of social security

1

0.894

Laws and regulations

1

0.753

Price level

1

0.915

Force majeure

1

0.872

application. In this paper, the crushed stone test criterion is used to determine the maximum number of common factors, that is, the previous point when the curve tends to be flat gradually. Figure 1 shows the gravel chart. The broken line tends to be flat after the fourth factor, so four common factors are selected. 4. Total variance interpretation Further, extract the factors and obtain the rotated factor loads as shown in Table 5. The initial eigenvalues in Table 5 are expressed as the initial solution of the factor

Fig. 1 Gravel chart

0.085

0.048

13

0.252

8

12

0.374

7

0.104

0.471

6

11

0.495

5

0.203

0.759

4

0.153

0.097

3

10

2.379

9

6.705

2

0.371

0.656

0.802

1.178

1.561

1.939

2.877

3.624

3.807

5.840

7.460

18.304

51.579

100.000

99.629

98.972

98.170

96.992

95.431

93.492

90.615

86.99

83.18

77.34

69.88

51.58

0.759

0.97

2.379

6.705

5.84

7.46

18.3

51.58

83.18

77.34

69.88

51.58

Cumulative %

Total

Percentage of variance

Extract sum of squares of loads Cumulative %

Total

Percentage of variance

Initial eigenvalue

1

Composition

Table 5 Interpretation of total variance

2.053

2.176

2.953

3.632

Total

15.79

16.74

22.72

27.94

Percentage of variance

83.18

67.39

50.66

27.94

Cumulative %

Sum of squares of rotational loads

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analysis and are a general description of the original factors. Extracting the sum of squares load is the description of the original factors after extracting a common factor from the initial solution according to the eigenvalue greater than 1. As a whole, that four common factors obtained in Table 5 explain 83.183% of the variance in the data, that is, it expresses 83.183% of the information content, and the absolute load coefficients of each factor are relatively high, indicating that the original variables in each factor are significantly correlated. 5. Rotated component matrix As Table 5 does not clearly show the practical significance of each common factor, the maximum variance rotation method should be used to rotate and iterate the factor load matrix so as to improve the interpretation ability. A matrix of that rotate components is shown in Table 6. After rotation, the first common factor clearly reflects the level of social security, laws and regulations, price level and force majeure, which can explain 27.939% of the total variance. The second common factor basically reflects the financial sustainability, professional technician, management mode and management attitude, which can explain 22.716% of the total variance. The third common factor basically reflects the project duration, value of the project and supporting infrastructure, which can explain 16.737% of the total variance. The fourth common factor basically reflects the quality of service and construction and operation costs, can explain 15.790% of the total variance. 6. Through the above statistical analysis process, the 13 factors that affect the hidden debt of local government in PPP project are classified into four categories, namely Table 6 Rotate component matrices Influencing factor

Composition 1

2

3

4

Financial sustainability

0.206

0.883

0.147

0.148

Professional technician

−0.045

0.872

0.180

−0.015

Management mode

−0.016

0.730

0.423

0.010

Management attitude

0.166

0.759

−0.177

0.498

Project duration

0.382

0.239

0.769

0.090

Value of the project

0.197

0.122

0.669

0.550

Supporting infrastructure

0.364

0.286

0.708

0.417

Quality of service

0.437

0.182

0.295

0.731

Construction and operation costs

0.439

0.074

0.252

0.723

Level of social security

0.844

0.090

0.231

0.347

Laws and regulations

0.827

−0.156

0.040

0.207

Price level

0.861

0.202

0.279

0.234

Force majeure

0.849

0.195

0.298

0.154

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Table 7 Factor load matrix after Orthogonal rotation of foundation influencing factors Factors External Environment

Government management capacity

Project conditions

Social capital side

Basic influencing factors

Factor load 1

2

3

Level of social security

0.844

0.090

Laws and regulations

0.827

−0.156

Price level

0.861

0.202

4 0.231

0.347

0.04

0.207

0.279

0.234

Force majeure

0.849

0.195

0.298

0.154

Financial sustainability

0.206

0.883

0.147

0.148

Professional technician

−0.045

0.872

0.180

−0.015

Management mode

−0.016

0.730

0.423

0.010

Management attitude

0.166

0.759

−0.177

0.498

Project duration

0.382

0.239

0.769

0.090

Value of the project

0.197

0.122

0.669

0.550

Supporting infrastructure

0.364

0.286

0.708

0.417

Quality of service

0.437

0.182

0.295

0.731

Construction and operation costs

0.439

0.074

0.252

0.723

government management capacity, project conditions, social capital side, external environment (Table 7).

6 Conclusions and Recommendations Firstly, the paper analyzes the influencing factors of local government’s implicit debt of PPP project and concludes 13 basic influencing factors. Secondly, the paper classifies and analyzes the factors that affect the implicit debt of local governments in PPP projects with the help of SPSS23 software, classifies the 13 basic factors that affect the implicit debt of local governments in PPP projects into four kinds of factors, then provides guidance for reducing the implicit debt of local governments in the implementation of PPP projects and puts forward the following suggestions: 1. Strengthen local government supervision. Because PPP project has the characteristics of many participants, large investment, long duration and high risk, from the angle of local government, the degree of participation and supervision in the whole process from the beginning of the project to the operation and management of the project. From the contract conditions to the performance of the social capital party to achieve all-round management beforehand, in-process and afterward, strengthen the pre-control measures to prevent the operation risk under the PPP model from being converted into the hidden debt of local governments.

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2. Fully consider the local government’s own financial bearing capacity. The local government attracts the investment of the social capital through the project based on the purpose of attracting investment or promoting the development of the local economy, while emphasizing the results in the decision-making process, they cannot effectively grasp their own financial endurance or the future trend of financial changes. Furthermore, the three fiscal expenditure responsibilities of operation subsidy, equity investment and supporting investment in PPP project are not clear, which lead to the vague definition of expenditure responsibility in PPP project. If the definition is not correct, it will directly lead to the increase of the hidden debt of the local government. Therefore, the financial bearing capacity of the local government should be fully considered in the PPP model.

References 1. Li K (2018) Top ten problems in the operation of PPP projects. Architecture 06:24–26 2. Yong X, Wang Y et al (2017) Analysis of the factors affecting shadow charge based on PPP in pough sets–a case study of non-business projects. Friends Acc (22):44–48 3. Li T (2007) Research on demand development and marketing model of creative products. Tianjin University of Finance and Economics 4. Xie X (2017) A study on the effectiveness of ideological and political Teaching in Colleges and Universities from the Perspective of Gatekeeper Theory. Yunnan University, 2017 5. Zong B (2018) Workplace exclusion and employee advice behavior. Xiangtan University

The Application of Translation Workshop Teaching Model to College English Translation Teaching Yali Qiang and Weiji Chen

Abstract This paper explores the feasibility and advantages of the application of the Translation Workshop teaching model to college English translation teaching. The paper covers the definition of Translation Workshop, brief review on Translation Workshop in the west and China, the relative theory on Translation Workshop teaching and the empirical research. In terms of the analysis of the data collected in the research, the conclusion can be reached that Translation Workshop teaching model is very practical and effective for college English translation teaching, which not only can help to improve students’ translation ability, but also increase their interests in translation. Keywords Translation workshop · Translation teaching · College English

1 Introduction In the new time, the demand of bilingual talents in all aspects of society has raised the demands of college English translation teaching. Since the reform of Cet-4 in December 2013, the original single sentence translation has been changed to paragraph translation, and the proportion of the score has increased from 5 to 15%, which proves that translation skills have added increasing weight to the whole English teaching, not only in the English major’s class. However, in reality, due to the comprehensive influence of various factors, translation teaching has long been ignored by teachers and students, which has seriously restricted the improvement of students’ translation ability. How to effectively teach translation has become an urgent issue for college English teachers.

Y. Qiang (B) · W. Chen Guangdong University of Science & Technology, 523083 Dongguan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_62

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2 Translation Workshop Teaching Model 2.1 Definition “Translation Workshop” emerged in some American universities in the 1960s and gradually was developed into a pragmatic, student-centered and process-oriented teaching model. The concept of Translation Workshop was first proposed by Gentzler in the book Contemporary Translation Theories, namely “a workshop where two or more translators engage in translation activities together” [1]. Mackenizie then proposed that the teaching of Translation Workshops could be conducted through the training of “quality-oriented cooperative translation” [2]. When this mode is transplanted into the translation classroom, it becomes a translation teaching approach. Its essence is to promote students to “learn by doing,” that is, to learn translation through translation practice, which conforms to the rule of “practice–cognition–re-practice” [3].

2.2 Brief Review on Translation Workshop (1) Application of Translation Workshop in the West In the west countries, the Writer Workshop is the predecessor of the Translation Workshop. Translation Workshops are set up in North American universities to promote the development of literary translation. Since then, Translation Workshops have gradually entered university courses in some western countries. For example, the comparative literature major of Oberlin College sets Translation Workshops in which students team up to translate poems by classical or contemporary writers into American English, and the arts college of Columbia University also offers Translation Workshops [4]. Translation Workshops are also widely used outside the campus. For example, the “Scientists’ Knowledge Translation Training Workshop,” jointly organized by Canadian Health Service Research Foundation and the Sick Children Research Institute, is dedicated to improving professional knowledge translation. (2) Application of Translation Workshop in China The research on Translation Workshop started relatively late in China. The concept of “Translation Workshop” was first mentioned by Zhangjian in the article Borrow a Hen to Lay Eggs—Open a Translation Chain Store, published by Computer Fan [5]. Later, Xiaohong elaborated Translation Workshop for the first time in the article The Application of “Translation Workshop” in the translation teaching published in the Journal of Sichuan International Studies University [6]. Up to August 2019, 332 related papers have been published in China, involving multiple study fields, such as business, medicine, computer software, computer application and publishing. A typical example, applying Translation Workshop theory to practice, is topquality translation course construction in Foreign Languages College of East China

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531

Normal University, which changes the traditional translation classroom into interactive and discussion-based Translation Workshop teaching, “The instruction content is based on Chinese–English contrast, and a variety of different types of text to raise students’ translation competence and English level in the discussion and interaction” [7]. For example, in Foreign Languages School of Nanjing University of Aeronautics and Astronautics, the teaching approach of Translation Workshop is adopted in the business and trade translation course for postgraduates to train students’ professional spirit, improve their translation skills and personal responsibility awareness and provide new ideas for MTI course construction [8].

3 Application of Translation Workshop Teaching Model to College English Translation Teaching 3.1 Research Objective and Hypotheses The empirical research in this paper is on the application of Translation Workshop teaching model in college English translation teaching, aiming to cultivate learners’ translation practice ability with different materials. Therefore, this research’s purpose is to verify the effect of the Translation Workshop teaching model in the translation teaching of non-English majors in colleges. For this purpose, the author designs the following two hypotheses: Hypothesis 1: Translation Workshop can improve students’ translation ability more effectively; Hypothesis 2: Translation Workshops can motivate students and increase their interests in translation.

3.2 Subjects The subjects in the research are 99 college students (sophomore) from two college English level A classes at Guangdong University of Science and Technology. In class 1, there are 50 students majoring in electronics commerce, and class 2 consists of 49 students majoring in finance engineering. In this experiment, the author, respectively, adopts two different teaching methods for the two college English classes mentioned above. Class 1 is the experimental class (EC), and class 2 is the control class (CC). Translation Workshop teaching model is used in the EC, while the traditional instruction model is adopted in CC. In the actual teaching process, both the EC and CC are not informed that they were participating in a teaching experiment to obtain the most authentic results of experiment.

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Table 1 Implementation stages of translation workshop teaching model Stage

Steps

Details

Stage I Pre-translation

Preparation

Translation material and translation task design

Stage II While-translation

Implementation

Individual translation, work group exploration

Stage III Post-translation

Evaluation

Group work presentation, grading and evaluation

3.3 Instruments There are two kinds of translation tests in the study, one pre-test and the other posttest. The purpose of pre-testing is to verify whether the translation competence of subjects in the EC and CC is at the same level. Post-testing aims at analyzing whether there exists a difference in the translation ability between the EC and CC after a semester’s teaching experiments. Before and after the experiment, questionnaires are issued to investigate whether the new teaching model will exert a positive influence on the students’ interests and attitudes toward translation teaching. After the experiment is completed, the author will randomly select some students for the interview, with the purpose of further understanding their subjective views and advice on the application of Translation Workshop teaching mode to college English courses. In the study, two different translation teaching approaches are used in the EC and CC. Therefore, a set of procedures are set to carry out the empirical research effectively, which are pre-test, pre-questionnaire, a teaching experiment of l6-week, post-test, post-questionnaire and an interview with 15 students.

3.4 Teaching Procedures What are the implementation steps of the Translation Workshop? Visintin divides the teaching procedure into nine steps. The author intends to interpret the teaching of Translation Workshop into three stages. Implementation stages of Translation Workshop teaching model are shown as follows (Table 1).

3.5 Data Analysis The author collects the data from the study and finishes the statistical analysis (Table 2). In the first part, by comparing the pre-test scores of the EC and CC, it has been found that subjects in the two different classes keep at the same level about translation ability. After the teaching experiment of a semester, the post-test scores are compared in order to further investigate whether there appears profound change about the

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Table 2 Group statistics for post-test of EC and CC Student number

Effective

Mean

Std. deviation

Std. error nean

EC

50

50

86.15

8.368

1.141

CC

49

49

80.76

8.156

3.182

Table 3 Paired samples statistics for tests of EC and CC Student num.

Effective

Mean

Std. deviation

Std. error mean

Pre-test of EC

50

Post-test of EC

50

50

75.02

4.335

1.859

50

86.15

8.368

Pre-test of CC

1.141

49

49

75.85

5.463

1.439

Post-test of CC

49

49

80.76

8.156

3.182

translation competence between the EC and CC. Table 2 shows that the mean score of the EC is significantly different from that of CC, one 86.15 points and the other 80.76 points. The standard deviation of the EC is 1.141 and CC is 3.182. Obviously, the mean score of the EC is much higher than that of CC. Paired samples statistics is adopted to observe whether subjects in the EC and CC have made much progress about translation ability during the period of one-semester teaching experiment. In Table 3, a comparative analysis about scores in pre-test and post-test in both the EC and CC is clearly presented. It is showed that the EC and CC both have made some improvements in average scores. The mean score of the EC has risen from 75.02 to 86.15 sharply with an increase of 11.13 from pre-test to post-test, while the mean score of CC has increased just from 75.85 to 80.76 slightly with a growth of 4.91, which demonstrates that there appears a significant difference between the scores of pre-test and post-test in the EC. To sum up, in terms of the data collected from pre-test and post-test both in the ECs and CC, the conclusion will be reached that Translation Workshop is more contributive to improvement of students’ translation ability than the traditional translation teaching approach.

4 Conclusion Through this study, we can come to the conclusion that Translation Workshop teaching model is very practical and effective for translation teaching in colleges. Compared with the traditional translation teaching, Translation Workshop teaching model not only can help to improve students’ translation ability, but also increase their interests in translation.

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Acknowledgements A Phased achievements of the program, “An Exploration of Compound Translation Workshop Teaching Model for Non-English Majors” in Guangdong Higher Education Teaching Reform Program Number 180 YJGH [2018].”

References 1. Yinyan XZ (2017) Translation workshop tutorial. Wuhan University Press, Wuhan 2. Xie Y (2018) An analysis of translation workshop teaching mode. J Hubei Correspondence Univ 10:175–176 3. Borsos PB (2018) Teaching in nature? Naturally! J Biol Educ 4. Wang YM, Sun XY (2017) A study on the application of the translation workshop in translation teaching. J Gansu Normal Coll 5. Wang Y, Xue JI. (2017) An empirical study of translation workshop in sci-tech translation teaching. J Dongguan Univ Technol 6. Yu S, Hu G (2017) Understanding university students’ peer feedback practices in EFL writing: insights from a case study. Assessing Writ 7. Jiang H (2018) Review of translation workshop study. J Minnan Normal Univ (Philoso Soc Sci 1:92–96 8. Zeng LX (2019) A Study on translation workshop teaching model of CAT

LCD Electronic Advertising Display Design Based on Single-Chip Microcomputer Hanhong Tan and Zhirong Qiu

Abstract The microcontroller is used as the controller to control the design of LCD electronic advertising screen. The system uses LCD12864, single-chip AT89C51 and temperature and humidity sensors to achieve a simple advertising display design. The design realizes text sliding display, real-time temperature and humidity display and time display, optimizes the design of the advertising screen and completes the software and hardware design of the system design. The design has strong real-time performance, stable system, low cost, easy upgrade and improvement and has certain application value. Keywords Single-chip AT89C51 · LCD12864 interface · Display system

1 Introduction Among the many display technologies, flat panel display technology represented by liquid crystal display (LCD) is the fastest growing and is the most widely used technology [1]. This design uses 51 single-chip microcomputers as the controller, 12864LCD as the display and temperature and humidity sensor as auxiliary to realize a display system that can display sliding text visually [2, 3]. It mainly realizes the

H. Tan (B) · Z. Qiu Guangdong University of Science & Technology, 523083 Dongguan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_63

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display of text, the current time value and the current temperature and humidity value, so that we can obtain a more intuitive understanding of the current time, temperature, humidity and get better results [4, 5].

2 System Design The schematic diagram of the circuit hardware design is shown in Fig. 1. We used the Proteus software to simulate this time, which was drawn according to the principle of realization. The principle of the circuit hardware is: After connecting the power supply, the AT89C51 of the single-chip computer starts to work and sends the information to the LCD12864. The LCD will display the welcome of the Guangdong University of Science and Technology and scroll the display function by scrolling from left to right. At this time, the DS1302 clock chip transmits the information to the MCU, the MCU collects the data into the LCD, and then transfers the data to the LCD screen to display the current date and time [6]. The SHT11 temperature and humidity sensor chip detect the humidity temperature parameter to be transmitted to the current position of the MCU. The MCU organizes the data well and transmits it to the LCD in a unified manner, which makes the LCD screen function more perfect. Figure 1 shows the principle of the design and its function diagram. We use Proteus simulation software to find the corresponding MCU, chip, capacitor, resistor, etc., connect them through the connection and connect them with the Keil uVision4 program [7]. C language programming, C language programming, check the error, by compiling the connection, the combination of Keil uVision4 and Proteus can be simulated. For the startup process, we have obtained our main program flow Fig. 2.

Fig. 1 Circuit hardware design schematic

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Fig. 2 Main program flowchart

When the user turns on the power, the MCU is powered, and when the LCD starts working, the LCD starts to initialize the screen and will clear the screen to display the main interface page. At this time, we can observe the LCD scrolling subtitle “Guangdong University of Science and Technology Welcomes You” and displaying the real-time temperature and humidity, and of course the current time and date. If the time and date are wrong, you can control the adjustment of the count data through the three buttons on the board.

3 Hardware Circuit Design According to the design requirements, our system can realize a number of functions, including the main control circuit and the liquid crystal display module, power module, temperature and humidity module, button module, display module, clock module, six modules; the hardware block diagram of the system is shown in Fig. 3 [8].

Fig. 3 System box

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Fig. 4 Button circuit

The controller of the system is a single-chip microcomputer, so choosing a suitable type of single-chip microcomputer is very important for this LCD display system. This article uses a design scheme that uses several circuit modules to add a complete system. Using a single-chip microcomputer can complete the control task, so we choose the AT89C51 single-chip microcomputer that we use today. Use the independent buttons to implement the clock modification function in the design. The independent button circuit is shown in Fig. 4. Independent buttons are easy to operate; programs can be written and can be saved on the CPU. The functions of the three buttons are time modification selection, number increase and number reduction, respectively, for time adjustment. Here, we use the DS1302 clock chip to achieve timing. It can calculate the year, month, day, week, hour, minute and second and also has a variety of effective functions such as compensation for leap years. It operates normally from a voltage of 2.0 to 5.5 V, and its power consumption is very low. When the operating voltage is 2.0 V, the operating current is less than 300 nA. The voltage can be adjusted from 2.5–5.5 V, and the 2.5 V power consumption is less than 300 nA. In this design, the connection is as shown in Fig. 5, in which data transmission is performed with the P1.0, P1.1 and P1.2 ports of the MCU. We design the SHT11 temperature and humidity sensor chip with a supply voltage of 3–5.5 V. It is a mature temperature and humidity sensor. It is not only a calibrated digital signal for output but also has excellent quality, super-fast response and powerful. It has good anti-interference performance and high cost performance. SHT11 is shown in Proteus as shown in Fig. 6. The result obtained by the MCU processing is sent to the LCD for display. Figure 7 shows the connection between the MCU and the 12864 display. Fig. 5 Clock circuit

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Fig. 6 Temperature and humidity acquisition circuit

Fig. 7 12864 LCD display circuit

4 Results Display and Analysis Through the simulation software Proteus draws the hardware simulation diagram, plus the compiling software Keil4 to write the program of 51 single-chip microcomputer series, generate hex file on the compiling software, make simulation on the simulation software, the simulation effect is successful, then use the single-chip development board Burn the hex file to the MCU, and install the MCU on the soldered circuit. When the physical device is connected to the power supply, the MCU starts working and sends the information to the LCD screen. The electronic screen will display the current time and track the real-time temperature and humidity. At the bottom of the screen, the slide captions “Guangdong Institute of Science and Technology welcomes you”. After the board is soldered, as shown in Fig. 8. After the power is turned on, as shown in Fig. 9, the time and date are displayed on the display. Each time the MCU is powered on, the MCU will initialize. The time and date are not real time. You can adjust the current date and time by pressing the button and track the real-time temperature and humidity. At the bottom of the screen, the slide subtitle “Guangdong Institute of Technology Welcomes You” is implemented.

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Fig. 8 Welding finished product

Fig. 9 Power supply effect diagram

5 Conclusion The design is based on the AT89C51 as the control center. The LCD is used as a carrier for function display and implementation, and the peripheral circuit is used as a power transmission and induction. The display function of the electronic advertisement screen design is to realize the scroll display of Chinese characters on the LCD12864, and at the same time, other characters can be displayed on the LCD12864. This paper also introduces the overall design and the design of each circuit and uses the system block diagram to illustrate the composition of each part—Part of the

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function hardware interface functions, work processes and so on. This article uses AT89C51 single-chip microcomputer as the core, LCD12864 as the carrier to output the information we want to reflect, SHT11 temperature and humidity sensor chip as the source of humidity temperature information, DS1302 clock chip as the source of current time information, perfect the function of electronic advertising screen.

References 1. Yao C, Zhang X (2017) Design of large screen advertising display based on MCS51 single chip microcomputer. Wide Field Sci Technol 05:77–80 2. Man H, Liu R (2019) Based on the MCU all-round intelligent floating advertising. Electron Prod 5:28–30 3. Yang Y (2016) Design and research of LCD display terminal based on single chip microcomputer. Econ Manage (Abstract) 07(02) 4. Fish W, Key JD, Mwambene E, Rodrigues BG (2019) Hamming graphs and special LCD codes. J Appl Math Comput 61(1–2):461–479 5. Zhang L (2018) Design of LED pattern illumination clock based on single chip microcomputer. J Chifeng Univ (Nat Sci) 34(10):10–13 6. Liu W, Zeng S, Li C, Yan J, Wang R (2018) Analysis of digital clock and temperature display system based on single chip microcomputer. Shandong Ind Technol 268(14):169 7. Andrade DF, Fortunato FM, Pereira-Filho ER (2019) Calibration strategies for determination of the In content in discarded liquid crystal displays (LCD) from mobile phones using laser-induced breakdown spectroscopy (LIBS). Anal Chim Acta 1061:42–49 8. Góra J, Franus M, Barnat-Hunek D, Franus W (2019) Utilization of recycled liquid crystal display (LCD) panel waste in concrete. Mater (Basel 12(18)

Design and Important Technical Analysis of Electric Vehicle Braking Energy Recovery System Zhiqiang Xu

Abstract At this time, electric vehicles came into being, and it was also a direction for the development of new energy vehicles. It is believed that electric vehicles have many advantages, including high energy efficiency and zero-emission pollution, so it has quickly become a hot spot in the research, design and production of the automotive industry. Although there are many kinds of electric vehicles at present, the development of electric vehicles has great constraints, including short exercise distance, long battery charging time and insufficient storage equipment. At this time, it is very necessary to develop braking energy regeneration technology, which has a very important role in improving the driving range of electric vehicles and the energy utilization rate of automobiles. This paper analyzes and studies the electric vehicle braking system from the following two aspects. In the pollution of automobiles, electric vehicles are a better solution, which can actively promote a conservation-oriented society, thereby realizing the environmental protection and industrial upgrading of automobiles. When the car is braked, the ability is radiated into the air by means of heat, which will greatly reduce the history of the car. This paper studies and analyzes the braking energy recovery control technology of electric vehicles, in order to ensure the mileage of electric vehicles. Keywords Electric vehicle · Braking energy · Recovery control

1 Introduction In the components of an electric vehicle, the brake system is a relatively core part. During the braking process of the car, the electric energy is dissipated into the air by means of thermal energy, causing a partial loss of energy [1]. And this part of the loss accounts for about one-half of the total driving energy. In order to recover this part of the lost energy, this paper can recover the energy through the brake recovery Z. Xu (B) Guangdong University of Science & Technology, 523083 Dongguan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_64

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system (BERS), which can make the mileage extended by 10–30%, which is very significant for electric vehicles [2].

2 Research on the Principle of Electric Vehicle Regenerative Braking BERS is the Chinese name for the braking energy recovery system, which refers to the application in the car or traffic track, which can convert the thermal energy generated during the braking process into a system in which the mechanical energy is stored in the capacitor and can be released during use. The brake energy recovery system consists of the following three parts: generator, battery, and intelligent battery management system. In the brake recovery system, the excess energy can be converted into a computer by the generator and finally stored in the battery, and this part of the energy can be used for the exercise of vehicles. At present, braking energy recovery is a relatively important technology of modern hybrid and electric vehicles, which are also their characteristics. Normally, during a car’s shifting and braking, the vehicle’s ability is converted into heat through a series of changes. For example, in the process of accelerating or starting the vehicle, if the driving force of the car is to be increased, this part of the energy can be an auxiliary power, so that the energy is fully used. Typically, approximately one-fifth of the energy is recovered during emergency braking of the vehicle. However, the hybrid working mode is different, so the energy that can be recovered will also have a certain difference. If the engine’s valve does not stop, about one-third of the energy can be recovered during the deceleration. The recoverable energy reaches two-thirds of the total energy, which works well and saves on economic costs. Through the above, comprehensively speaking, the principle of the brake energy recovery system studied in this paper is: during the braking process, due to the inertia of the car, energy is transferred to the motor through the braking system, and then based on this part of the energy, it is converted into a power generation mode, and then the electric energy is stored in the battery through the electric device. In addition, the braking torque generated by the motor can also be transmitted to the drive wheel, thereby increasing the power of the car and increasing the cruising range [3].

3 Related Research on How to Recover and Control the Braking Energy of Electric Vehicles The following three types of electric vehicle braking energy recovery control technology will be analyzed; the purpose is to select the best control technology, namely front and rear wheel brake distribution control which achieves the optimal state, the

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optimal braking energy recovery control strategy and the parallel braking energy recovery control strategy.

3.1 How to Operate the Ideal Front and Rear Wheel Brakes In the front and rear wheel brake distribution control strategy, if the vehicle speed is lower than 0.1 g, then the braking force can be generated only under the action of the front axle. The power shows a change in the curve. In order to ensure that the electric vehicle obtains a better deceleration during deceleration, the front axle braking force still follows the characteristics of the motor, and the braking energy recovery system generates energy alone or cooperates with other energies [4].

3.2 Optimal Braking Energy Recovery Control Strategy In the optimal braking energy recovery control strategy, it can be guaranteed that in the ideal deceleration, if the front or rear wheels are not completely locked, the braking energy recovery system can be used to recover energy, thereby achieving the recovery capability. Maximum use of recycling capacity [5]. According to different environmental roads, it can be divided into the following two situations: (1) when the deceleration is smaller than the ground attachment system, that is, j/g < µ, in this case, if there is Fbf + Fbr = mj, then the front and rear braking forces can change within a certain range. Among them, the deceleration is j, the gravitational acceleration is g, the car mass is m, and the ground adhesion coefficient is u. (2) (2) If the deceleration requirement j/g ≥ µ, the electric vehicle can obtain the maximum value of the brake deceleration, and the value of µ is limited. In order to comply with the deceleration, and to achieve the distance to control the braking, and the intersection of the deceleration and the µ value [6]. Based on this situation, the braking energy recovery system can meet the requirements of deceleration and make full use of the braking energy recovery system. Otherwise, it should be assisted by the mechanical system to achieve the optimal recovery control strategy. Then, by assisting the intelligent brake controller, each data is collected, so that it must be optimized and improved, thereby increasing the cost [7].

546 Table 1 Comparison of three control strategies

Z. Xu Control project

Control technology 1

Control technology 2

Control technology 3

Structure

Complex

Complex

Simple

Complexity

Complex

Complex

Simple

Braking distance

Small

Medium

Simple

Recovery rate

Lower

High

Low

Cost

High

High

Low

3.3 Parallel Braking Energy Recovery Control Strategy In the strategy of parallel braking energy recovery control strategy, there should be two conditions; one is to have one complete regenerative braking force and the other is a mechanical power distribution structure, in which the driving shaft braking force is composed of mechanical power and regenerative braking force. The composition has the following three conditions: (1) When j/g < 0.1 g, the mechanical system does not work, the brake motor starts to work, (2) when 0.1 g < j/g < 0.7 g, the regenerative braking force works with both mechanical power, (3) When j/g > 0.7 g, it only relies on the friction automatic system to work [8]. In order to analyze the three control techniques in depth, a table is drawn for comparison and analysis, as shown in Table 1. This technology is very mature, and the recycling effect is also very ideal. It can be vigorously promoted and used in the recovery of electric vehicles’ capacity.

4 Conclusion At the beginning of the article, the background and current status of the research and development of the electric vehicle braking energy recovery system are expounded. Then, the comparative analysis is carried out. The control technology of the electric vehicle braking energy recovery system finally determines that the parallel braking energy recovery control technology is the best solution, through which the energy of the electric vehicle can be effectively recovered, and the cost of the technology is relatively low. Its carrying capacity is also very large, which can be improved and upgraded according to requirements. Acknowledgements Dongguan Social Science and Technology Development Project of Dongguan Science and Technology Bureau in 2019: The Research and Realized on vehicle energy storage brake energy feedback system (2019507154530).

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References 1. Design of 6.mawenjing’s Brake Energy Recovery Control System for Electric Vehicles. Changzhou Information Vocational and Technical College. 2019.06 2. doujianming; Tianwenpeng; Research on Energy Recovery of Electric-Liquid Parallel ABS Brake Systems for Lijiabo Electric Vehicles-Measurement and Control Technology, 2018.11 3. Guo J, Dong Y, Sheng W et al (2018) Optimal control strategy for energy recovery of regenerative braking of electric vehicles. J Jiangsu Univ (Nat Sci Ed) 39(2):132–138 4. Hu S, Huang M (2017) Control strategy of braking energy recovery for electric vehicles considering thermal decay. J Wuhan Univ Technol (Transp Sci Eng) 41(1):146–150 5. Wang G (2017) Research on control strategy of drive and brake energy recovery for pure electric vehicles. Chang’an University 6. Wang G (2017) Research on control strategy of drive and brake energy recovery for pure electric vehicles. Diss. Chang’an University 7. Wang G (2014). Research on control strategy of pure electric vehicle drive and brake energy recovery. (Doctoral dissertation, Chang’an University) 8. Ning S, Zhang Q (2019) Development of a brake energy recovery test stand. Auto Eng (1):52–55

Human Thermal Energy Generation Analysis Libo Yang

Abstract At present, there is still a problem of high price and low comfort in this device. On the basis of solving the material problems, it is necessary to upgrade the internal structure, so that it is icing on the cake; so, it needs to be from the horizontal type and vertical type. The improvement of the structure of the film and horizontal-type thermoelectric generator mainly includes the bridge-type planar-type thermoelectric generator and the flat-type flexible temperature difference generator. The retrofit of the vertical-type thermoelectric generator structure mainly includes the cascading thermoelectric generator and the wave-type thermoelectric generator. The transformation and upgrading of block and vertical-type thermoelectric generators are mainly divided into mesh flexible temperature difference generators and glass textile wearable thermoelectric generators. Keywords Human body · Thermal energy · Thermoelectric power generation technology

1 Introduction The heat generated in the process of human activities can be used as an excellent source of energy to help save natural resources [1]. At present, the main concern for human thermal energy generation technology is in the thermoelectric power generation technology, because it can collect thermal energy from the human body, thereby converting thermal energy into electrical energy, but currently it has certain limitations, and its wearing comfort is low. And, the cost of production is also high, which makes it difficult to invest in the market on a large scale. At present, the research on thermoelectric power generation technology is very hot [2]. This paper studies the most common micro-temperature difference generator in human thermal power generation and proposes suggestions for its structural improvement. L. Yang (B) Guangdong University of Science & Technology, 523083 Dongguan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_65

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Fig. 1 Temperature difference battery design principle

2 Miniature Thermoelectric Generator Miniature thermoelectric generators are of great research value because they can be worn on humans by devices that collect heat and convert thermal energy into electrical energy, helping humans to manufacture and collect electrical energy, reducing waste and use of natural resources. The miniature thermoelectric generator has the advantages of safety, pollution-free, long life, high stability, small volume, thermal energy transfer, and no mechanical moving parts [3]. Therefore, it has become the focus of research in saving energy in various countries. This technology can be put into the market, turning all the heat generated by human movement into electrical energy, which will generate huge electric energy, save resources, solve the problem of overexploitation and use of non-renewable resources, and improve human beings, living environment, reducing pollution. The design principle of the thermoelectric battery is shown in Fig. 1.

3 The Research on the Structure Improvement of Miniature Thermoelectric Generator At present, research and improvement work on miniature thermoelectric generators usually pay attention to the materials of miniature thermoelectric generators. It is hoped that by finding materials that raise high thermal power, the internal structure is still a very important research area because the structure of the micro-thermoelectric

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generator is related to whether the material can be used well for its own use. If the internal structure can be improved, the overall effect can be improved, which is a icing on the cake [4]. Its structure is classified into thin film and horizontal type; thin film and vertical type; block and vertical type. The improvement of the structure of the film and horizontal-type thermoelectric generator mainly includes the bridge-type planar-type thermoelectric generator and the flat-type flexible temperature difference generator. The retrofit of the vertical-type thermoelectric generator structure mainly includes the cascading thermoelectric generator and the wave-type thermoelectric generator. The transformation and upgrading of block and verticaltype thermoelectric generators are mainly divided into mesh flexible temperature difference generators and glass textile wearable thermoelectric generators [5].

3.1 Thin Film, Horizontal-Type Thermoelectric Generator The thin film and horizontal-type thermoelectric generators transmit heat through the thermoelectric arm and generate electricity through uneven transmission. At present, the processing technology for thermoelectric arms has been relatively mature, and there are usually technologies such as screen printing, physical deposition, magnetron sputtering, and chemical deposition [6]. The generator of this structure processes the electrical connection layer and the thermoelectric film on a horizontal substrate. This type of generator is characterized by large resistance, large thermal resistance, and small volume. The grooves and holes are usually processed by an etching process to achieve good heat transfer. At present, improvements to this type of generator structure mainly include bridgetype planar thermoelectric generators and planar flexible thermoelectric generators. The bridge-type planar thermoelectric generator can reflect the hot spot silicon, which is realized by adding phosphorus and boron to the electric connection layer and the polysilicon thermoelectric film, and adding a thermoelectric film in the vacuum chamber, thereby increasing the heat flux of the device, and the heat thereof. The absorption can be based on the silicon substrate, and the cold end of the thermoelectric arm can obtain the heat transferred by the vacuum chamber, and the heat collection effect can be increased by the vacuum chamber of the heat dissipation layer, thereby realizing the temperature difference between the hot and cold ends of the thermoelectric arm [7]. The planar flexible temperature difference generator adds N-type and P-type thermoelectric films, so it can improve the bending performance of the device, and the flexibility is higher, but its thermoelectric performance needs to be further improved. When improving the mechanism of the equipment, it is conceivable to combine the two to combine the long-term supplements, that is, to enhance the collection effect of the heat energy and to enhance its own flexibility, thereby improving the comfort of human wear.

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3.2 Vertical-Type Thermoelectric Generator The vertical-type thermoelectric generator can form the thermoelectric film and the substrate in an upright angle, which can be realized by magnetron sputtering, screen printing, and vapor deposition, but the micromachining technology is still not mature enough, which leads to processing. There are certain obstacles in the process. This structured device increases the collection of thermal energy but limits the output power. At present, the upgrading of its structure mainly consists of a cascading thermoelectric generator and a wave-type thermoelectric generator. The cascading thermoelectric generator adds N-type and P-type thermoelectric films and is designed as a series array and connected to the substrate, electrically connecting the adjacent two-layer terminals, thereby designing a hierarchical thermoelectric generator. A higher temperature difference between the hot and cold ends of the arm is achieved by the managed thermoelectric arm. Wave-type thermoelectric generators need to support the substrate, and they are wavy lines and need to be laminated with polyimide. The magnetron sputtering technology is used to connect the electrical layer to the thermoelectric film, thereby improving its flexibility. In order to further improve the temperature difference generator of this structure, the advantages of the two types of equipment can be combined, that is, the heat collection effect is enhanced and the flexibility is improved.

3.3 Block, Vertical-Type Thermoelectric Generator The block and vertical-type thermoelectric generators have cubic or cylindrical thermoelectric arms, and the heat paths are connected in parallel by copper wires or silver wires, and the circuits are connected in series by copper wires or silver wires, thereby achieving temperature difference [8]. The two ends are the same and have the characteristics of low internal resistance and small thermal resistance, but their volume is large, so there are certain difficulties in carrying. At present, the transformation and upgrading of its structure are mainly divided into a mesh flexible temperature difference generator and a glass textile wearable thermoelectric generator. The mesh flexible thermoelectric generator is connected by a silver wire and a polymeric textile layer through hole is added to the bismuth telluride-based thermoelectric paste to produce a device having higher flexibility, glass textile temperature difference generator. Then, the support layer is made of glass, so that the ceramic substrate inside is replaced, which reduces the thermal resistance and the weight of the device, thereby improving the degree of portability and heat collection.

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4 Conclusion Human thermal energy generation needs to be carried by humans through a miniature thermoelectric generator. When humans move, the generated thermal energy can be converted into electrical energy through this device, and the stored electrical energy can be applied to humans. Living, production, and work, thereby reducing waste of natural resources, and because of its safe and environmentally friendly characteristics, it can also help reduce environmental pollution and improve human living environment. Therefore, it is necessary to study from thin film, horizontal type; film, vertical type; block type, vertical type. The improvement of the structure of the film and horizontal-type thermoelectric generator mainly includes the bridge-type planar-type thermoelectric generator and the flat-type flexible temperature difference generator. The retrofit of the vertical-type thermoelectric generator structure mainly includes the cascading thermoelectric generator and the wave-type thermoelectric generator. The transformation and upgrading of block and verticaltype thermoelectric generators are mainly divided into mesh flexible temperature difference generators and glass textile wearable thermoelectric generators. It can realize the further upgrade and modification of the human thermal power generation device by lengthening and complementing, and enhance its portability, and also enhance its flexibility, so that human beings can have a more comfortable feeling when using it, and also need to improve their heat collection ability, perfectly perform its own duties. Acknowledgements Dongguan Social Science and Technology Development Project of Dongguan Science and Technology Bureau in 2019: Research on core technology of human energy collection (2019507154529).

References 1. Wuxiaofeng (2019) Research on staircase human gravity power generation system. Electronic Production. 2 2. Li Z (2017) The United States successfully developed the wearable thermoelectric generator that uses human heat to generate electricity. Shanghai Energy Saving 12 3. Li Z (2017) The United States successfully developed a wearable thermoelectric generator that uses human body heat to generate electricity. Shanghai Energy Conservation 12:696 4. Wang K (2017) Research on a thermoelectric energy harvesting system for human body application. Xiamen University 5. Yang L, Wang Y (2016) Research on human thermal energy generation [J]. Sci Technol Inf 14(25):27–29 6. Chen C (2013) Thermoelectric effect of atmospheric pressure RF discharge plasma on human tissue. Chinese Academy of Mechanics Plasma Science and Technology Committee, Chinese Physical Society Plasma Physics Branch, China Nuclear Science Nuclear Fusion and Plasma Physics Society. Abstract of the 16th National Conference on Plasma Science and Technology and the First National Conference on Plasma Medicine. The Committee of Plasma Science and Technology of the Chinese Society of Mechanics, the Plasma Physics Branch of the Chinese

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Physical Society, and the Nuclear Science of China Institute of Fusion and Plasma Physics: Chinese Society of Mechanics, 1 7. Fu Y (2013) Experimental study on thermoelectric refrigeration human body thermal protection system. Shandong University 8. Li Z (2017) The United States has successfully developed a wearable thermoelectric generator that uses human heat to generate electricity. Shanghai Energy Conserv 12:696

Based on Analysis of Large Data Computer Information Management System Design Haifeng Liao

Abstract In traditional computer information management system, the management process takes a lot of energy. In order to solve this problem, a new computer information management system was studied based on big data technology, and the hardware and software parts of the system were designed. The hardware part focused on the design of the microprocessor, CCS integrated environment, collector and circuit, software setting information collection, information analysis, and information output. In order to test the actual working effect of the design system and compare it with the traditional system, a comparative experiment was set up. According to the experimental results, the computer information management system designed was characterized by low energy consumption, good management effect, and good market development space in the management process. Keywords Large data computer · Big data technology · Management system

1 Introduction In today’s science and technology by leaps and bounds in the development, the computer information technology obtained the unprecedented prosperity, information resources management and data retrieval technology, great changes have taken place in the development of office automation, the use of information technology management system, effectively promote the development of efficient office affairs, effectively reduce the duplication of the transaction at the same time, the office of operation of simple and efficient, information management system to effectively improve the efficiency of the workers, to create more economic value [1]. The so-called computer information management system refers to the entire computer information system that managers use computers as basic tools to collect data, analyze data, store data, and process data, so as to obtain the information they need. H. Liao (B) Guangdong University of Science & Technology, 523083 Dongguan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_66

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As an important part of the branch of computer field—computer management system—its function is mainly to integrate and optimize the resource information of each computer hardware direction [2]. How do computer software system emphasizes generality and flexibility, can improve the level of information technology, to strengthen the business competition in the market and how to effectively develop management system, and specific measures to improve the management level of the analysis of the management information system development strategy, how can make the biggest effect to smaller inputs [3]. In this paper, a new computer information management system is designed, and the hardware and software of the computer information management system are emphasized. At present, with the rapid development of computer technology, the design and development of software should fully reflect the modern management thought and management mode [4].

2 Hardware Design of Computer Information Management System Based on Big Data Analysis The system hardware architecture based on big data analysis is shown in Fig. 1: (1) Microprocessor design The computing power of a computer is complex, so the microprocessor must have sufficient flexibility and memory to ensure that the command system can execute commands quickly. The microprocessor is the core part of the hardware system. In this paper, digital signal processor (DSP) is selected. The DSP chip program of this processor and the data bus present separate structure. By adopting the operation mode of pipeline, the accumulative operation can be completed within one cycle, enabling the hardware system to have a set of efficient and unified digital instruction Fig. 1 Hardware architecture diagram of big data analysis system

CCS

Mutual inductor

processor

computer system

Monitor

collector

Converter

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set [5]. DSP processor has real-time processing capability, processing speed is very fast, when input and output, data does not appear discontinuity. Because of the single structure of DSP processor, it can process instructions as long as it adopts assembler programming, and the processing time and precision are much better than ordinary processors. The internal chip of DSP selects the 16-bit fixed-point chip of TSSREDSFS recommended by Texas instruments. Through the digital signal chip processing, each chip is controlled by the peripheral circuit, so as to achieve various functions [6]. (2) CCS design CCS is a new software development integration environment developed by IT companies. The interface in the Windows development environment converts all data in CCS into code and debugs various tools in the code [7]. Meanwhile, IT company has configured the response code debugger and code simulator, which can support all ASM programming and C language programming and realize visual data analysis. CCS has a strong simulation and debugging function and can support setting breakpoints, profiling points, and detection points at the same time, realizing data analysis and import functions. The CCS data environment has its own input/output library and signal processing library, making software development easier. When programming, the program must set different compilation options so that the target can get the optimal allocation. The selection of -pm and -o3 functions can effectively improve the calculation speed and obtain better calculation results. CCS works in two modes, namely software simulation and hardware development, which can be edited by users in the same software environment. CCS can be independently compiled by both early calculation and late debugging [8]. The CCS power supply system is equipped with an independent development board, and the internal pressure charge of the 1.8 vdc enables the application to run independently and quickly. The CCS motherboard interface is provided with 25 parallel interfaces and 12 serial interfaces. The sampling mode is A/D sampling to perform various functions of input and output on the motherboard. (3) Collector design The collector is mainly responsible for collecting circuit signals and converting the collected nonlinear electrical energy into circuit signals. The acquisition ability of the collector is directly related to the measurement results, and the collected signals must be well linear, otherwise it is difficult to select and process accurately. The transformer in the collector can be divided into two types: solid and hollow. The solid transformer is suitable for the transmission of small current, but it can easily reach saturation when transmitting large current. The hollow transformer is suitable for the measurement of large current. The collector can not only collect the three-phase voltage, but also the threephase current, so as to accurately collect the harmonics of the grid and ensure the relationship between the phase and the phase. When high-precision voltage and

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current are isolated and transformed, the harmonic power voltage shall be controlled within 10 V to ensure that the level of circuit signal transformation can meet the requirements of ADESA789. The collector is equipped with six synchronous input circuits with a data width of 22 bits and data reading mode of 34 bits. The input form of the collector includes single-end input and differential input. Make the signal input or output within the range of 0–5 V. (4) Circuit design The hardware measurement system should be able to measure both large current and small current. The number of turns of secondary windings in the circuit must be greater than the number of turns of primary windings. At the same time, the circuit, instrument, and relay are connected to ensure that an effective electrical circuit can be formed. The connection mode in the power measurement system is a three-phase four-wire connection. After multiple windings, the transformer can simultaneously flow through different currents. The measurement current is Ia, Ib, and Ic. (5) Software design based on big data analysis Based on the designed computer information management system hardware, the software workflow is established. The working process of the computer information management system software based on big data analysis is relatively complex. The first step is wireless information acquisition. Wireless information collection is actually a node gathering all the data collected by the wireless information collector. The multi-level division of labor in wireless information acquisition system can sum up the received data without conflict, so as to carry out reasonable analysis, fusion, and continue simple pretreatment. The computer information acquisition formula of different states is as follows: free, p(T j ) = 1

(1)

normal, p(T j ) = 2

(2)

normal, p(T j ) = 2

(3)

In the above formula, p represents the collection quantity and T j represents the collection precision.

3 Experimental Research To test the design of computer information management system on the working practice, effect, the contrast experiment is designed. (1) Experimental parameters. The experimental parameters are shown in Table 1.

Based on Analysis of Large Data Computer Information Management … Table 1 The experimental parameters

Project

559 Data

System power

1500 kJ

System voltage

220 V

System current

100–500A

System frequency

500–2000 MHz

System port

I/O

Operation and maintenance environment

CCS

Working hours

30–60 min

Application principle

UT

Total number of equipment models

20

(2) Experimental process According to the parameters set above, the traditional system and the system in this paper are selected to manage the computer information and record the energy consumption. The experimental results and analysis are shown in Fig. 2. As can be clearly seen from Fig. 2, with the increase of working time, the energy consumed by the traditional system is much higher than the energy consumed by the system in this paper. When the metering time is 10 min, the energy consumed by the traditional system is 1.2 j. When the measurement time is 20 min, the energy consumed by the traditional system rises to 2.15 j, and the energy consumed by the system in this paper rises to 1.83 j. When the measurement time was 30 min, the energy consumed by the traditional system decreased slightly to 2.0 j, and the energy consumed by the system in this paper began to decrease to 2.15 j. When This paper system

Traditional system

10 9 8 7

energy/J

6 5 4 3 2 1 0

10

20

30

40

time/min

Fig. 2 Experimental results of energy consumption

50

60

70

80

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the metering time is 50 min, the energy consumed by the traditional system rises significantly to 4.5 j. The energy consumed by the system in this paper rises to 3.0 j. When the measurement time is 60 min, the energy consumed by the traditional system increases more significantly by 6.6 j. In this paper, the energy consumed by the system increases slightly by 3.015 j. When the measurement time is 70 min, the energy consumed by the traditional system rises to 8.2 j. When the measurement time is 80 min, the energy consumed by the traditional system is as high as 9.0 j, and the energy consumed by the system in this paper is 4.13 j. (3) Experimental conclusions According to the above experimental results, the following experimental conclusions are obtained: the computational and information management system studied in this paper can collect, transmit, input, store, and output related data resources by computer. Data prediction means that managers use modern advanced scientific means such as statistical analysis, mathematics, and modeling to analyze previously mastered data and predict future situations. At the same time, the control function is to analyze, detect, and compare the information data reflected by each department so as to explore the actual situation of the tasks performed by each department. In addition, the role of computer management system is to allocate the work tasks of each department reasonably and give different plan reports and management tasks according to the situation of each management level, taking full account of the restrictive conditions given by the enterprise. To sum up, the new computer information management system is a new technical system and social system which makes full use of computer technology, network technology, and database technology.

4 Conclusion With the rapid development of computer information technology industry and the wide application of Internet, information industry will become one of the pillar industries in our country in the near future. At the same time, people’s way of life and work has also undergone tremendous changes. Therefore, this requires our programmer must have a high professional skills, to master science and information technology and computer science theory knowledge, and proficient in computer network technology application, at the same time, to know more about the computer operating system and database management-related knowledge, effective use of computer information management system for data processing, analysis, decision-making and control, and other functions, only in this way can be a high level of interdisciplinary talents of computer information management system, to better promote the application of computer technology in information management, so as to adapt to the information industrialization era of computer information management system design.

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References 1. Jin Z, Li F (2017) Based on large data computer information processing technology research. Technology Wind 12(6):103–103 2. Zhang Lin (2019) An analysis of the application of computer technology in information security: a case study of big data analysis. Heihe Journal 07:29–30 3. Liao Z, Zhang H et al (2017) Based on large data railway signal system. Data storage and analysis system design and implementation of information network security. 23(1):29–37 4. Kong Y (2017) Based on the design and application of information management system for computer software development. Digital Technol Appl 12(11) 5. Ling X, Yang Y et al (2017) Application ANN based on large data analysis. Full situation system design and implementation of network space security. 8 (z1):54–59 6. Yan S (2017) Analysis of the application of computer information technology in network security under the background of large data. Netw Sec Technol Appl 13(11):78–79 7. Luo L (2019) Research on computer information processing technology based on big data analysis. Comput Prod Circulation 05:3 8. Wang W, Lin Y (2017) Design of large data analysis system based on Hadoop based postal delivery and the design of the large data analysis system. Realization J China Acad Sci 34(3):395– 400

CAFC-NEV Mandate, Manufacturer Heterogeneity and Technology Innovation Strategy Xu Li

Abstract Based on the principal–agent theory, we study the mechanism of CAFCNEV mandate to promote the technological innovation of new energy vehicle manufacturers. The “strong incentive and weak constraint” mechanism of CAFC-NEV mandate makes up for the innovation delay of manufacturer which may be caused by the policy uncertainty at this stage and improves the innovation expectation of manufacturers. At the same time, the manufacturer’s self-regulation mechanism makes itself not choose to quit or wait, but the willingness of technological innovation is more stronger. The empirical analysis shows that: (1) compared with joint venture, state-owned manufacturers and private manufacturers have stronger innovation intention, but there are some differences in the selection of specific innovation strategies, and the probability of choosing exit strategy is very low. (2) the factors of policy attitude, economic benefit expectation, internal innovation resources have significant influence on innovation willingness and strategy choice. We suggest that the government needs to improve the integral trading system and accelerate the implementation of integral trading further; at the same time, the manufacturer managers need to select appropriate innovation strategies according to their own characteristics and advantages. Keywords CAFC-NEV mandate · Manufacturer heterogeneity · Technological innovation strategy · Principal–agent theory

1 Introduction Appropriate industrial policies can effectively stimulate enterprises’ innovation investment, improve innovation efficiency and expand innovation spillover effect [1]. The Chinese government has launched a number of policies to promote the development of the automobile industry and has achieved certain results by encouraging new X. Li (B) School of Business, Central South University, 410083 Changsha, China e-mail: [email protected] School of Business, Hunan International Economics University, 410205 Changsha, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_67

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energy vehicle manufacturers to carry out innovative activities through credit, tax, government subsidies and environmental regulations. However, some problems such as fraudulent state subsidies, false production, hidden dangers of product quality, bad competition in the industry and so on are also worrying. One of the important reasons is the inevitable existence of “adverse selection” and “moral hazard” in “subsidizing” industrial policies [2]. The aims of CAFC-NEV mandate is to establish a long-term mechanism to promote the development of new energy vehicles through the parallel management system of average fuel consumption and new energy vehicle points. So, it has important theoretical significance and policy value to explore the relationship between the action mechanism of CAFC-NEV mandate and the innovation strategies of different new energy vehicle manufacturers. There are three main reasons for the “failure” of industrial policy in the process of promoting enterprise innovation. First, client failure. The limited rationality and information asymmetry of government officials make their industrial policies and mechanism fail to achieve the expected effect. Functional industrial policy stimulates enterprise innovation through “market competition” and “early support”, but it is very difficult to succeed in innovation [3]. The selective industrial policy was attempting to promote innovation by strictly restricting entry and the high degree of concentration, which will make the supported enterprises lose the motivation of innovation due to the lack of competitive pressure. To make matters worse, it has also inhibited the innovation activities of other enterprises [4]. In addition, the institutional environment inertia of different countries or regions also affects and changes the choice of innovation strategies of enterprises [5]. Second, agent-heterogeneity. The inherent “technology lock-in” effect of different industries is likely to cause the path dependence of enterprise innovation, and the difference type of enterprise will also affect the choice of innovation strategy [6]. The cognitive psychological differences of managers have a significant impact on the choice of innovation strategies, such as innovation attitude, subjective pressure, innovation willingness and so on [7]. Third, the mechanism of industrial policy is incompatible. The mechanisms of different tools are incompatible with incentives and constraints, even the same tool has the both effect of promoting and restraining. Quite apart from that, the incentive and restraint means and methods of industrial policy may not match with different stages of industrial growth [8]. The above results provide a strong argument for optimizing industrial policy and promoting enterprise innovation, but most studies regard enterprises as passive acceptors of industrial policy and ignore the inherent initiative of enterprises in pursuing profit maximization. Moreover, innovation activity itself is a “risk-taking” decision with entrepreneurial spirit and heterogeneity, such as enterprise size and ownership nature also has a moderating effect on the strategic orientation of innovation strategy [9]. In addition, CAFC-NEV mandate can transform the inducement of incentive mechanism to mandatory through integral parallel management and can also effectively improve the innovation expectation and initiative of manufacturers. To sum up, based on the analytical framework of principal–agent theory, we analyze the mechanism of CAFC-NEV mandate in promoting manufacturers’ technological innovation. Through empirical research and model test, we analyze the

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influence mechanism of innovation intention of heterogeneous new energy vehicle manufacturers on the choice of innovation strategy, so as to provide theoretical and practical reference for promoting technological innovation and policy optimization of new energy vehicle manufacturers.

2 Theoretical Background (1) The purpose of CAFC-NEV mandate is to promote manufacturers’ technological innovation. Dani Rodrik believes that industrial policy is essentially a strategic cooperation between the government and the private sector [10]. To carry out the industrial policy, goals need to rely on enterprise development, and enterprise development is inseparable from the support of all levels of governments. This interdependent relationship between government and enterprises has laid the microfoundation of China’s industrial policy “principal–agent” [11]. In the early stage of the development of new energy automobile industry, the government has a strong incentive effect on the rapid accumulation of all kinds of factor resources through direct capital investment, subsidies and related preferential policies. However, problems such as “fraudulent compensation”, “weak supervision” and “strategic” innovation have also been exposed one by one [12]. Moreover, China’s early new energy vehicle industry policy gave direct subsidies to R & D, production and sales, failed to reflect a strong technological bias incentive and buried hidden dangers for low-level repeated construction and overcapacity [13]. According to the industrial changes, CAFCNEV mandate defines the technological development direction, the proportion of production and sales assessment and the positive score accounting method for the new energy vehicle business through the incentive mechanism. According to the industrial change, the “CAFC-NEV” mandate defines the technical development direction, production and sales volume assessment proportion and positive points accounting method for new energy vehicle business through incentive mechanism, and defines the threshold, emission standard and negative points calculation method for traditional fuel vehicle business production and sales scale assessment through constraint mechanism, which transmits the signal of industrial policy transformation from induction to mandatory; further clarifies the positive and negative points offsetting and trading methods of manufacturers manage traditional fuel vehicles and new energy vehicles in parallel, trying to integrate incentive mechanism and constraint mechanism into the same industrial policy. Only through technological innovation can enterprises meet the emission requirements of traditional fuel vehicles and obtain positive points of new energy vehicles. It can be seen that “technological innovation” is the “delegation” target of the “CAFC-NEV” mandate. (2) The “strong incentive” mechanism of CAFC-NEV mandate stimulates the manufacturers’ willingness to innovate and improves the innovation expectation of the enterprise. First of all, a clear industrial policy will reduce the innovation

566

X. Li

risk of enterprises, strengthen the innovation attitude of enterprises, resulting in a strong willingness and behavior of innovation [14]. CAFC-NEV mandates not only set up the industrial development goal and the enterprise regulation goal but also design the technical route of “developing pure electricity mainly, mixing is a supplement.” In order to get positive points through policy assessment or through points transactions to obtain more innovation spillover effects, manufacturers will be more actively involved in all kinds of innovation activities of new energy vehicles. Secondly, the primary goal of enterprise decision-making is to maximize economic interests, and the main driving force of its forwardlooking innovation strategy is potential economic benefits [15]. According to the intention of the “CAFC-NEV” mandate, after the government’s subsidy gradually exits, the profit of the integral trading will show the characteristics of traditional fuel automobile enterprises “subsidizing” new energy automobile enterprises, and the new integral income can back feed the loss of the traditional fuel automobile market. These potential benefits will stabilize manufacturers’ innovation expectations and stimulate the driving force of technological innovation. Third, the highly mandatory industrial policy can stimulate the effect of “innovation compensation” from “short-term loss” to “long-term income [16]. The early R&D investment of new energy vehicle manufacturers can be converted into positive points to make up for the high innovation investment in the past, and the unique innovation technology of enterprises will also obtain a lot of benefits in all aspects of production and operation. This will lead manufacturers to innovation in the long run. In addition, the development of new energy vehicles is an effective environmental protection means to reduce carbon emissions. Due to the present stage of the policy of CAFC-NEV mandate high attention, innovative activities by new energy manufacturers can increase their reputation and meet the needs of the public for an “environmentally friendly” image. (3) The “weak constraint” mechanism of the CAFC-NEV mandate may weaken the innovation motivation of manufacturers and delay the innovation decisionmaking of enterprises. On the one hand, according to the theoretical research and practical experience at home and abroad (such as carbon emissions), industrial policy should achieve the “dual” goal of promoting innovation and environmental regulation. The price of regulated commodities fundamentally determines the incentive power and participation vitality of enterprises [17]. The integral of new energy vehicle is a kind of special commodity which is endowed with property right by the state for the positive externality of manufacturer economy. The supply source is a byproduct of the new energy automobile production and sales behavior, which is exogenous [18]. Demand is also different from ordinary goods from consumers “unmet needs”, but based on CAFC-NEV mandate of assessment objectives constraints and pressure, does not have spontaneity. At the present stage, CAFC-NEV mandate lacks clear information about the basic price and trading mechanism of credits, which weakens the inverted effect of integral assessment and the innovative motivation of manufacturers. On the other hand, due to the asymmetry of information, business behavior and strategic decision-making are often in an uncertain economic policy environment,

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567

enterprises tend to reduce investment and postpone decision-making in order to wait for the uncertainty to disappear. Under the special political system of our country, the uncertainty of economic policy faced by enterprises is obviously on the high side, CAFC-NEV mandate, from gestation, solicitation of opinions, trial implementation to the trial operation at the present stage, has experienced a complicated and long negotiation process and more frequent changes. Policy uncertainty may make manufacturers tend to “delay” innovation decisions to wait for future development opportunities.

3 Method and Data 3.1 Method To study what innovation strategies heterogeneous manufacturers choose, because the dependent variables are not a continuous variable, the traditional linear regression or econometric model analysis has some limitations. Discrete selection model provides an effective analytical framework. The main results are as follows: (1) under the background of CAFC-NEV mandate, the action strategy set of manufacturers is {independent innovation, collaborative innovation, exit}; (2) for a certain action strategy, the stronger the manufacturer’s behavior will, the greater the probability of strategy selection. As a result, the analysis model of manufacturer’s technological innovation strategy is constructed. Log[P(STi ≤ j)] = β0 + β1 FEi + β2 BIi j + ξ Among them, STi indicates three action strategies of new energy vehicle manufacturers, iTunes 1, 2, 3, respectively, for independent innovation, collaborative innovation and exit, respectively; Junior 1, 2, 3, 4, 5, indicating the level of choice, 1 is the lowest, and 5 is the highest. FEi indicates manufacturer heterogeneity, which is a classification variable, and BI indicates manufacturer’s behavior intention, which is an ordered variable. Error is the error term. Furthermore, the corresponding probability calculation formula of the model is as follows:  k  P(y = i x)  = αi + ln θik xik P(y = I x) k=1 I is the total number of selection strategies investigated; αi is the constant term of innovation strategy; θik is the parameter of the variable; xik is the k-th variable of selecting the i-th innovation strategy. vi = ln

pi p5

568

X. Li

make y=

4 

exp(vi )

i=1

Then, it can be concluded that the probability of choosing various behavioral strategies is pi =

exp(vi ) ; i = 1, 2, 3, 4 1+y P5 =

1 1+y

3.2 Variable Specification (1) Manufacturer heterogeneity. ➀ Scale. According to CAFC-NEV mandate, manufacturers who produce or import at least 30,000 passenger cars a year from conventional energy sources need to meet the policy red line of 8% in 2018, 10% in 2019 and 12% in 2020. It means that the greater the production capacity of manufacturers, the more points enterprises need for new energy vehicles, the greater the pressure of assessment and the stronger the desire for technological innovation. Based on this, manufacturers are divided into two categories: scale manufacturers (with annual production and sales of more than 30,000 vehicles) and non-scale manufacturers. ➁ Nature. Under the background of CAFC-NEV mandate, the innovation intention of enterprises with different property rights may be different, and the choice of innovation strategy may be different. Based on this, manufacturers are divided into three categories: state-owned enterprises, private enterprises and joint ventures. ➂ Product life stage. According to the requirements of CAFC-NEV mandate, car enterprises that are included in the scope of points assessment but have not yet sold models of new energy vehicles, which are equivalent to new enterprises in the field of new energy vehicles, are still in the initial stage of product life. Enterprises want to expand the scale or reduce disadvantages, the pressure of technological innovation is great, and the willingness to innovate is stronger. (2) Manufacturer’s willingness to innovate. ➀ The more positive the decision maker’s attitude is, the stronger the willingness to innovate is. Under the background of CAFC-NEV mandate, it can be measured from the dimensions of economic benefit expectation, enterprise reputation establishment, attitude toward CAFC-NEV mandate and so on.➁ The stronger the subjective norm, the stronger the innovation will. In order to pass the examination of CAFC-NEV mandate, the subjective normative pressure on manufacturers can be measured from the

CAFC-NEV Mandate, Manufacturer Heterogeneity and Technology …

569

dimensions of competitive pressure in the same industry, market demand pressure, public opinion pressure, government assessment pressure and so on.➂ The stronger the control of perceptual behavior of decision makers, the stronger the willingness to innovate. Under the background of CAFC-NEV mandate, it can be measured from the dimensions of its own internal resource capacity, the judgment of the direction of technological development, the stability of assessment policy and so on.

3.3 Data Sources Questionnaire design: The basic descriptive statistics of the survey samples are shown in Table 1.

3.4 Model Robustness Check In this study, the parallel line test of the data collected from the questionnaire was P < 0.001, indicating that the model was suitable for ordered multi-classification logistic regression. The result of likelihood ratio test was P < 0.001, indicating that the whole model was statistically significant, and the fitting effect was ideal.

4 Empirical Analysis 4.1 Manufacturer Heterogeneity (Classification Variable) Has a Significant Impact on the Choice of Innovation Behavior Strategy (1) Both state-owned manufacturers and private manufacturers have a high willingness to technological innovation, the former tends to choose collaborative innovation strategy, the latter tends to choose independent innovation strategy. As shown of model I in Table 2, it shows that state-owned enterprises and private enterprises have a stronger willingness to innovate than joint ventures, but there are some differences in the choice of innovation strategies between them, and the state-owned enterprises are more inclined to collaborative innovation. It may be a series of national policies to promote the development of the new energy vehicle industry are not only incentive signals and drivers for manufacturers but also effectively reduce the risks and costs of manufacturer innovation through a variety of policy tools. At the same time, it alleviates the

Product life stage

Scale

Nature

78

54

No sale

66

On sale

Non-scale

79

Joint venture

75

73

Private sector

Scale

63

3.4

4.01

3.77

3.9

3.9

3.92

3.75

1.061

0.981

1.078

1.015

0.889

1.036

1.214

54

79

65

77

80

67

73

Proportion (%)

Standard deviation

Proportion (%)

Average value

Strategy 2

Strategy 1

Innovation strategy

State owned

Sample feature

3.54

4.09

3.74

4.05

4.17

3.82

3.82

Average value

Table 1 Survey of the relationship between manufacturer heterogeneity and innovation strategy

1.023

0.967

1.100

0.95

0.985

0.983

1.034

Standard deviation

30

33

23

36

30

34

33

Proportion (%)

Strategy 3

2.92

3.03

2.81

3.09

3.04

2.95

3.02

Average value

1.085

1.113

1.084

1.106

1.018

1.099

1.257

Standard deviation

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CAFC-NEV Mandate, Manufacturer Heterogeneity and Technology …

571

Table 2 Regression results of factors influencing innovation strategy of manufacturers (1) Model I Independent innovation

Collaborative innovation

Exit

B

Exp(B)

B

B

Intercept

0.730

2.074

0.041

1.042

2.404

11.067

FH1-ch1

−0.143

0.867

−0.719

0.487

0.062

1.064

FH1-ch2

0.328

1.388

−0.595

0.552

−0.001

0.999

FH2

0.013

1.014

−0.167

0.846

0.418

1.520

FH3

−1.173

0.309

−1.009

0.365

0.033

1.034

R-group

0a

1

0a

1

0a

1

Exp(B)

Exp(B)

locking effect of manufacturers’ original technology on the development path, and therefore, state-owned enterprises and private enterprises with various “local advantages” have more willingness to innovate. CAFC-NEV mandate further stabilizes the innovation expectations of state-owned manufacturers and private manufacturers and stimulates their willingness to innovate. (2) The manufacturers of scale models are more inclined to choose collaborative innovation strategies. As shown of model I in Table 2, the results show that the enterprises with larger production capacity are more inclined to choose collaborative innovation strategy, followed by independent innovation strategy, and the willingness to exit is very low. The reason is that at this stage, the manufacturers with large annual production capacity are mainly traditional manufacturers, their own knowledge stock is better, the scale of technology patents is larger, which also means that the sinking cost is very high, and the willingness to innovate will be more positive. In the long run, the innovation strategy of new energy vehicle development has the characteristics of path dependence and technology locking, and the risk of independent innovation is on the high side, so in the short term, the pressure based on integral assessment will be more inclined to adopt collaborative innovation for strategic “reinforcement”. (3) The selling manufacturers have a strong desire for technological innovation and are more inclined to the strategy of independent innovation. As shown of model I in Table 2, it shows that manufacturers who “have new energy models for sale” have a strong willingness to choose independent innovation strategy or collaborative innovation strategy. Investigate the reasons. On the one hand, independent innovation depends on its own knowledge and technology stock. Moreover, the existing knowledge and technology are similar to the knowledge needed for future technological innovation. The manufacturer of “selling new energy models” indicates that they already have certain knowledge and technical foundation or advantages in the technology of new energy vehicles. On the other hand, as a kind of new technology complex industrial products, new energy vehicles themselves are the integration results of the technology and advantages of many enterprises. In the context of CAFC-NEV mandate, manufacturers who

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X. Li

“have new energy vehicles for sale” urgently need to expand production capacity and market size and need to adopt more open innovation strategies in the short term. The integration of upstream and downstream suppliers, integrators, value links and even users is realized structurally, and the integration of innovation chain, adoption chain and business chain is realized functionally, which may tend to realize the innovation goal quickly through collaborative innovation.

4.2 Manufacturer’s Willingness to Innovate Has a Significant Impact on the Choice of Innovation Behavior Strategy (1) The economic benefit expectation significantly stimulates the manufacturer’s willingness to technological innovation, and the policy attitude and corporate reputation have a significant impact on the choice of collaborative innovation strategy. As shown of model II in Table 3, the results show that the more stable the economic expectation of manufacturers’ technological innovation is, the more positive the innovation attitude is, and the more positive the positive attitude toward CAFC-NEV mandate is, the more attention is paid to the corporate reputation and the more inclined to choose the collaborative innovation strategy. The reason may be that manufacturers with the basis and advantages of knowledge and technology stock can understand the original intention of technological innovation driven by CAFC-NEV mandate, are more optimistic about the long-term benefits of independent innovation and have a more positive willingness for technological innovation. Furthermore, the corporate reputation of the partner is an important basis for manufacturers to choose collaborative innovation partners. In the process of collaborative innovation, the attitude consistency of both sides is also conducive to long-term cooperation. (2) The pressure of consumer demand is an important driving factor of manufacturers’ technological innovation, the pressure of public opinion and the pressure of policy assessment are more inclined to independent innovation, and there is no significant difference in the choice of innovation strategies between the competitive pressure of the same industry and the selection of innovation strategy. As shown of model II in Table 3, it shows that the greater the pressure of consumer demand, the more manufacturers tend to carry out technological innovation, the greater the pressure of public opinion, the greater the pressure of policy assessment, the more manufacturers tend to choose independent innovation strategy. The competitive pressure of the same industry has no obvious influence on the choice of innovation strategy. The reason is that the demand for new energy vehicles is the consumption upgrading of traditional fuel vehicles in the aspects of “new energy” and “intelligence”. Consumer demand directly affects the income and cost of new energy manufacturers. Encourage manufacturers to improve product quality through technological innovation. Furthermore, the most fundamental idea of “implementing the innovation-driven development

B

Exp

1.13

0.713

1.31

0.60

0.66

0.70

0.38

0.80

0.12

−3.38

0.27

−5.10

−4.06

−3.48

−9.62

−2.19

0a

AT3

SN1

SN2

SN3

SN4

PBC1

PBC2

PBC3

R-g

1

0.833

−1.82

AT2

0a

0.19

0.22

−1.94

−8.37

0.15

0.11

1

1.20

1.25

0.82

0.92

1.16

1.11

0.54

0.78

−2.42

−6.07

0.79

−2.28

0a

0.63

−0.44

−1.03

−0.53

−0.14

1.08

0.42

0.18

0.21

1

1.89

0.64

0.35

0.58

0.86

2.94

1.52

1.19

1.23

0.515

0a

−2.37

−8.89

−4.93

−5.04

−4.82

0.42

−3.40

0.15

−1.46

0.09

−6.64

0.995

−4.53

AT1

FH3

1

0.78

0.41

0.61

0.60

0.61

1.55

0.71

1.16

0.86

1.09

1.65

1.11

0.42

1.47

1.74

B −8.45

0.38 0.55

Exp 47.65

FH2 0.825

B 3.86 0.51

−1.93

Exp 0.44 0.11

−8.02

FH1-ch2

Exp

0.34

B

−1.07

FH1-ch1

Int

Model II Ind-innovation

Exit

Ind-innovation

Co-innovation

Model II

Table 3 Regression results of factors influencing innovation strategy of manufacturers (2)

−2.46

0a

0.17

0.06

−1.05

−9.57

0.35

0.16

−5.45

−1.73

−3.41

−3.13

1

1.18

1.06

0.90

0.90

1.42

1.17

0.57

0.84

0.71

0.73

0.782

1.47

0.44

−8.04 0.38

0.40

−9.15

Exp 0.28

−1.26

B

Co-innovation

0a

0.58

−0.44

−1.10

−0.58

−0.13

1.08

0.38

0.16

0.21

0.58

−0.03

0.31

0.08

0.07

3.82

B

Exit Exp

1

1.80

0.63

0.33

0.55

0.87

2.96

1.47

1.18

1.24

1.80

0.96

1.37

1.08

1.07

45.82

CAFC-NEV Mandate, Manufacturer Heterogeneity and Technology … 573

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strategy is to enhance the ability of independent innovation” is to gradually integrate the concept of policy assessment and the concept of the general public. Therefore, manufacturers are more inclined to independent innovation under the pressure of public opinion and policy assessment. In addition, the new energy vehicle industry and market are still gradually maturing, there is no obvious difference in the development level of most manufacturers, all kinds of business model innovation are still in active exploration, and the pressure of industry competition is not obvious for the time being. The impact on the innovation behavior of manufacturers is not obvious. (3) The stock of internal innovation resources and the accurate judgment of technological direction are the basic influencing factors of manufacturers’ innovation behavior, and stability of the policy has no obvious difference influence on technology innovation strategy choice. It shows that the more stable the innovation conditions are, the clearer the choice of innovation behavior is. That is to say, manufacturers with advantages of internal innovation resources and accurate judgment of technology direction tend to choose independent innovation strategy more intensely; decision makers without advantages of internal innovation resources and wrong judgment of technology direction are more inclined to choose exit strategy. Decision makers who do not have the advantage of internal innovation resources and misjudgment of technical direction are more inclined to withdraw. The higher the stability of CAFC-NEV mandate, the smaller the fluctuation and impact of the industrial policy environment, and there is no significant difference in the willingness to choose the two technological innovation strategies. The reasons are as follows: first, the gap in the development level of the traditional automobile industry is getting smaller and smaller, the excess profit of the industry is declining sharply, manufacturers need to find new profit growth points based on “avoiding competition effect”, and the willingness to innovate is generally strong. Second, the technological development direction of new energy vehicles is gradually clear, weakening the “expected short-sighted effect” of enterprises on the future technological development, reducing the risk of innovation and stimulating the willingness of manufacturers to innovate. Third, the supporting innovation of supply chain or network value of new energy vehicles is becoming more and more rich, which strengthens the choice of innovation strategy of enterprises.

5 Conclusion and Discussion Based on the principal–agent theory, we study the relationship between manufacturer heterogeneity and innovation strategy choice under the guidance of CAFC-NEV mandate and technological innovation goal. The research shows that: (1) CAFC-NEV mandate strengthens the industrial policy signal of technological innovation. The research shows that manufacturers have a strong desire for technological innovation,

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but there are some differences in the choice of specific innovation strategies. This shows that on the one hand, the “double” combination of the “NEV” mandates, and CAFC-NEV mandate can effectively promote manufacturers’ technological innovation, adjust product structure and develop new energy vehicles from the supply side. On the other hand, it also shows that there are some differences in the influencing factors and mechanism of innovation decision-making among manufacturers with different properties. (2) integral parallel management promotes the compatibility of incentive and restraint mechanism of CAFC-NEV mandate and stimulates and strengthens the innovation intention of manufacturers. The research shows that under the action of CAFC-NEV mandate, there is a significant correlation between the technological innovation intention of decision makers and the selection of specific innovation strategies. CAFC-NEV mandate sets mandatory requirements for manufacturers to share the output of new energy vehicles, and it further shows the country’s determination to develop new energy vehicles. Stabilizing the innovation expectations of policymakers, at the same time, through the “universality” of integral management, it creates a more fair enterprise innovation environment and stimulates the innovation motivation of decision makers. (3) The incomplete and unstable systematic conditions for the full implementation of CAFC-NEV mandate lead to the uncertainty of the restraint mechanism. However, due to the self-regulation mechanism of manufacturers, enterprises do not choose to withdraw or wait but have a strong desire for technological innovation. The main reason is that the “mandatory” incentive mechanism of CAFC-NEV mandate improves the innovation expectation of manufacturers and makes up for the defect that the uncertainty of restraint mechanism may lead to delay in decision-making. Therefore, we suggest: (1) from the macro level, the government needs to further improve the integral trading system, accelerate the implementation of the double integral trading mechanism, realize the feedback effect of positive integral as soon as possible, strengthen the economic expectation and policy attitude of the dominant manufacturers, and promote the innovation and development of the whole industry through the leading and demonstration role. At the same time, taking into account the heterogeneity of manufacturers, the government also needs to formulate and implement key supporting policy tools to guide enterprises of different nature to embark on the road of independent innovation-driven development. (2) from the microlevel, manufacturer decision makers first need to abandon “strategic” innovation to deal with the motivation of integral regulation, strengthen the research and judgment of the development direction of new energy vehicle technology and integrate into the development trend of new energy vehicle as soon as possible. According to their own resource advantages, choosing appropriate innovation strategies can avoid the adverse effects of integral regulation in the near future, and in the long run, it is beneficial to obtain sustainable competitive advantage. (3) CAFC-NEV mandate incentive constraint mechanism compatible design concept can also be a reference of other industrial policy optimization.

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References 1. Porter M, Van Der Linde C (1995) Toward a new conception of the environmentcompetitiveness relationship. J Econ Perspect 94(4):97–118 2. Ahman M (2006) Government policy and the development of electric vehicles in Japan. Energy Policy (34):433–443 3. Wang T, Zhao G, Wang J (2016) Research on strategic emerging industry innovation policy: a case study of NEVI. Sci Res Manag 37(6):1–9 4. Yu M, Fan R, Zhong H (2016) China’s industrial policy and enterprise technology innovation. China Ind Econ (12):5–22 5. Cao P, Wang G (2018) Selective industrial policy, enterprise innovation and innovation survival time-empirical evidence from Chinese industrial enterprise data. Ind Econ Res 6. Ai Y, Tong M, Sun G (2017) Cultural differences, institutional environment and scientific and technological innovation—a comparative analysis from a transnational perspective. Explor Econ Issues (12):50–61 7. Cheng H, Liu S, Luo L (2016) Basic situation and path selection of transformation and upgrading of Chinese enterprises—based on the survey data of 4794 employees of 570 enterprises. Manage World 269(2):57–70 8. Ren Y, Lin H (2016) Research on the interaction theory between the middle and high levels in management innovation decision-making. Economist (1):58–66 9. Cao H, Chen Z (2017) The driving effect of internal and external environment on enterprise green innovation strategy—the moderating effect of senior executives’ environmental awareness. Nankai Manag Rev (6) 10. Du R, Li Y (2018) Enterprise R&D activities and earnings management—micro enterprises adaptive behavior to macro industrial policies. Sci Res Manage V39(3):122–131. Rodrik D (2009) Industrial policy: don’t ask why, ask how. Middle East Develop J 01(01):1–29 11. Yang CH, Tseng YH, Chen CP (2012) Environmental regulations, induced R&D, and productivity: evidence from Taiwan’s manufacturing industries. Resour Energy Econ 34(4):514–532 12. Lall S (2001) Comparing national competitive performance: an economic analysis of world economic forum’s competitiveness index. QEH Working Paper (7):61–102 13. Feng F (2018) Industrial policy, credit allocation and innovation efficiency. Financ Econ Res 7:142–153 14. Esty DC, Winston AS (2006) Green to gold: how smart companies use environmental strategy to innovate, create value, and build competitive advantage. Brilliance Audio 55(1):93–94 15. Xiao T (2016) Characteristics of executive team, service innovation and performance of manufacturing enterprises. Sci Res Manag 37(11):142–149 16. Xu J, Jun G, Lin Y (2017) Institutional pressure, environmental consciousness of senior executives and green innovation practice in enterprises—new institutionalism theory and advanced theoretical perspective. Manage Rev (9):72–83 17. Ganotakis P, Love JH (2011) R&D, product innovation, and exporting: evidence from UK new technology based firms. Oxford Econ Papers 63(2):279–306 18. Ma Y, Hou G, Yin Hua (2016) Research on driving factors of enterprise green innovation—an empirical study of resource-based enterprises. Sci Sci Technol Manag 37(4):98–105

New Energy Vehicles Manufacturers’ EAMFP to Technology-Forcing Regulation: The Case of China’s CAFC-NEV Mandate Xu Li and Yangyang Li

Abstract This paper studies the characteristics of environmental technology progress of new energy vehicle enterprises under the background of CAFC-NEV mandate. Based on the environmentally adjusted multifactor productivity model (EAMFP) of OECD, this paper divides the green total factor productivity into three dimensions: environmental scale efficiency (ESE), environmental pure technology efficiency (EPTE), and environmental comprehensive technology efficiency (ECTE). It is found that under the influence of CAFC-NEV mandate, the input of production factors of new energy vehicle manufacturer continues to grow, the operating revenue and the total amount of subsidies for new energy vehicles also correspondingly grow, and the total amount of unexpected output represented by CO2 also continues to grow, but the growth rate has slowed down significantly. CAFC-NEV mandate has a significant impact on the overall environmental technology efficiency and environmental pure technology efficiency, with the smallest impact on the environmental scale efficiency. The contribution rate of CAFC-NEV mandate to EAMFP growth of new energy vehicle enterprises has increased year by year, but the growth rate has slowed down. Keywords CAFC-NEV mandate · Environmental technology advancement · Directional distance output function · New energy vehicles

1 Introduction “Environmentally adjusted multifactor productivity” (EAMFP) is an important indicator to measure the “green” growth of the economy and the technological progress

X. Li (B) · Y. Li School of Business, Central South University, Changsha 410083, China e-mail: [email protected] Y. Li School of Business, Hunan International Economics University, Changsha 410205, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_68

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of the enterprise environment. This study draws on the OECD “green total factor productivity” accounting method and uses the directional distance function. Investigate the environmental performance of new energy vehicles under the influence of CAFC-NEV mandate. This is the application of the OECD’s “green total factor productivity” measurement model in the field of new energy vehicles. CAFC-NEV mandate is jointly formulated by the Ministry of Industry and Information Technology, the Ministry of Finance, the Ministry of Commerce, the General Administration of Customs, and the General Administration of Quality Supervision, Inspection and Quarantine. The aim is to establish a long-term mechanism for energy conservation and development of new energy vehicle management to promote the healthy development of the automotive industry. Establish a point accounting system and a point management platform, clarify the point accounting method, and implement concurrent management of new energy passenger car points and traditional energy passenger car points. The policy has been brewing since 2014. In 2017, the “Management Method for the Average Fuel Consumption of Passenger Vehicle Enterprises and New Energy Vehicle Points” was officially released. Specific policy characteristics are reflected in: (1) Promote the growth of production and sales of new energy vehicles. “Mandatory ratio of production and sales” of CAFC-NEV mandate has significantly stimulated the market launch of new energy vehicles and has a significant positive effect on achieving the policy goal of expanding the large scale use of new energy vehicles. (2) Encourage new energy vehicles to carry out environmental technology innovation. CAFC-NEV mandate induces new energy vehicle to actively carry out environmental technology innovations in energy conservation and new energy vehicles through two types of “independent accounting, one-way compensation” rules. In the long term, it has positive effect on energy conservation and emission reduction. The existing research shows that it is a recognized direction choice in the theoretical circle to promote the optimization of the automobile industry structure through environmental technology innovation, but in practice, technological progress sometimes not only fails to effectively save energy and reduce emissions, but also has a “rebound effect” [1]. The reason, first of all, technical reasons, that is, there are fundamental differences in the emission reduction logic and mechanism of action between energy utilization technologies and energy production technologies [2]. Second, the policy reason is whether environmental regulation or industrial policy can play a role in environmental technology advancement or even lead [3]. Government policies (such as environmental regulation, research and development subsidies, and carbon credit management) are generally considered to have a positive effect on technological progress and industrial innovation [4]. Domestic and foreign scholars have carried out some research on the implementation effect of the new energy vehicle integral management policy, but there is still controversy about the practical effect of the point management policy to promote the research and development innovation and technological progress of new energy automobile enterprises. Therefore, this

New Energy Vehicles Manufacturers’ EAMFP to Technology-Forcing …

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study uses the input and output data of 14 listed new energy vehicle to study the environmental technology innovation progress of new energy vehicles based on the OECD green total factor productivity model. It strives to provide theoretical support and empirical evidence for the optimization of CAFC-NEV mandate and the improvement of “green total factor productivity” of new energy vehicles. Main findings (1) Under the influence of CAFC-NEV mandate, the input of production factors of new energy vehicles continued to grow, and the operating income and the total subsidies of new energy vehicles received increased accordingly. The total unanticipated output represented by CO2 also continued to grow, but the growth rate has slowed down noticeably. It shows that CAFC-NEV mandate incentive effect and regulation effect are obvious, and it has obvious effects on promoting the optimization of automobile industry structure and the development and utilization of environmental technology of automobile enterprises, but because the automobile enterprises have certain aspects in terms of technical reserve, research and development performance and product structure adjustment. The difference between the input and output levels of new energy vehicles is large. (2) Under the influence of CAFC-NEV mandate, the overall factor productivity of the vehicle and enterprise environment showed a steady growth trend. CAFCNEV mandate regulation has a significant impact on ETE and EPTE and has the weakest impact on ESE. (3) The contribution rate of CAFC-NEV mandate to the growth of green total factor productivity of new energy vehicles has increased year by year, but the growth rate has slowed down. It shows that the policy effect of CAFC-NEV mandate is obvious. The automobile enterprises are subject to the policy innovation incentives and environmental regulations, the product structure is adjusted quickly, and the average energy consumption level is effective. However, internalizing environmental costs through integral assessment is difficult to form long-term incentives for new energy vehicles.

2 Method 2.1 Model Design This study draws on the OECD “green total factor productivity” accounting method and uses the directional distance function to investigate the environmental performance of new energy vehicles under the influence of CAFC-NEV mandate. The input–output model is as follows: H (Y, R, L , K , S, t) ≥ 1

(1)

580

X. Li and Y. Li

where L, K, and S represent labor, production capital, and natural capital, respectively; Y represents the expected output of the economy (operating income); and R represents undesired output (CO2 emissions). The H function increases with increasing K, L, S inputs and undesired output R, and decreases as the expected output Y increases. The change in the conversion formula H over time t provides a way to measure the growth of EAMFP. Taking the logarithm of the formula (1) and differentiating the time t, you can get: d ln H (Y, R, L , K , Z , t) ∂ ln H ∂Y ∂ ln H ∂ R ∂ ln H ∂ L = + + dt ∂Y ∂t ∂ R ∂t ∂ L ∂t ∂ ln H ∂ Z ∂ ln H ∂ ln H ∂ K + + =0 + ∂ K ∂t ∂ Z ∂t ∂t

(2)

Specific input and output variables and indicators are shown in Table 1. From the results of environmental technology advancement, the “unexpected output” of automobile enterprises is mainly in the “use process,” that is, the CO2 emissions of traditional energy vehicles in the exercise process are more suitable to reflect the environmental performance of car enterprises in research and development and innovation. The calculation formula is: CO2 =

n 

FSi ∗ NCV ∗ CEF ∗ COF ∗

i=1

44 ∗2 12

Table 1 Framework for environmental performance measurement of new energy vehicle enterprises Variables and indicators

Variable

Indicator selection

Calculation method

Input

Labor

Employee size

(Current year) number of non-productive employees

Capital

Capital stock

(Current year) annual average balance of net fixed assets

Natural resources

Direct material cost and energy consumption

(Current year) main business cost

Expected output

Economic performance

(Current year) operating income

Policy performance

(Current year) state subsidies for new energy vehicles

Greenhouse gas emissions

Annual CO2 emissions

Output

Undesired output

New Energy Vehicles Manufacturers’ EAMFP to Technology-Forcing …

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Here, CO2 represents the annual CO2 emissions of passenger car sales of a certain automobile company in that year, FSi represents the fuel consumption standard of the automobile company’s category i automobile for 100 kilometers, NCV represents the net heating value of fuel, CEF represents the carbon emission coefficient, and COF represents Carbon-like factor, 44/12 represents the molecular ratio of CO2 to C, and 2 represents the average annual mileage of each passenger car. The average annual mileage of a passenger car is converted to 20,000 km/year.

2.2 Theoretical Analysis (1) Environmental total factor productivity is a scientific indicator for measuring the environmental and technological progress of new energy vehicle and automobile enterprises under the environmental regulation target of CAFC-NEV mandate. The key to achieving a “win-win” between environmental regulation and corporate competitiveness or economic growth depends to a large extent on whether environmental regulation can promote the productivity of enterprises [5]. Investigating environmental technology advances in new energy vehicle companies, if neglecting “unexpected output” in the production process, it is possible to overestimate production efficiency and its improvement [6]. Shephard [7], Pitman [8], Chambers et al. [9, 10], Fare, and other scholars creatively proposed and applied directional distance functions to treat pollution emissions as “unexpected outputs” for measuring the total factor productivity considering environmental factors. It not only incorporates environmental protection objectives into corporate decision-making and evaluation, but also measures the technological progress characteristics of enterprises through environmental total factor productivity, while avoiding the traditional total factor productivity measurement, which requires price information, but it is very difficult to price pollutants and lack a uniform standard [11]. Different from the existing research, the carbon emissions of “production process” are regarded as “unexpected output”. The carbon emissions of automobiles are mainly in the “use process”, that is, the carbon emissions of automobiles represented by traditional fuel vehicles in the exercise process can better represent the “unexpected output” of car companies under the “CAFC-NEV mandate” policy background. Emission levels and changes can also reflect the degree of environmental technology progress of car companies. (2) There is a two-way dynamic relationship between CAFC-NEV mandate and the total factor productivity of the vehicle and enterprise environment. Some studies have tried to use environmental total factor productivity to explain the relationship between policy regulation and technological progress or regional economic growth, but there are still many controversies. The reason for these studies is that the research focuses on the one-way static relationship between

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environmental regulation and productivity, ignoring the reaction of productivity itself to environmental regulation [12]. On the one hand, under the strict regulation of CAFC-NEV mandate energy conservation and emission reduction efficiency assessment standards, car companies with high technology base and high productivity can adapt to the integral assessment quickly by expanding R&D investment and adopting environmental technologies. However, because environmental technology has the characteristics of “quasi-public goods,” some car companies that cannot expand their R&D investment in the short-term can obtain “cost-following” compensation by means of technology spillover effects, thereby improving their own productivity [13]. In the context of the overall technical level and productivity of the automotive industry, the government will adjust the time schedule of the implementation of CAFC-NEV mandate or improve the assessment standards as appropriate, and implement a new round of point’s regulation. On the other hand, when the government adjusts and optimizes CAFC-NEV mandate, it also needs to actively listen to the opinions and suggestions of the car companies. In a certain sense, the car companies can participate in the process of formulating and implementing the point standards [14]. (3) CAFC-NEV mandate integrates environmental regulation and innovation incentives into a unified policy framework, which can effectively promote the environmental technology advancement of car companies. On the one hand, CAFCNEV mandate enhances the innovative motives of car companies to develop new energy vehicle technologies through the “two types of automobile production and sales ratio” and “two points one-way compensation” programs. CAFC-NEV mandate stipulates that the production and sales volume of new energy vehicles of automobile enterprises in 2018–2020 must meet the mandatory proportion of their annual production and sales of 8, 10, and 12%. Although the two types of vehicles are substitutes in the product market, increasing the proportion of production and sales of new energy vehicles will inevitably form a “crowding effect” on traditional fuel vehicles with lower technical factors of vehicle enterprises, reducing corporate profits, but the two types of points have one-way compensation in the point market, and the vehicle enterprises pass NEV. The market mechanism of the point transaction profit-making rules can realize the innovation compensation of new energy vehicles, and make up for and reduce the investment in developing new energy vehicle technology. Therefore, it is possible to induce car companies to improve the abundance of the elements required for new energy vehicle technology and enhance the innovative investment in new energy vehicle technology. On the other hand, CAFC-NEV mandate adjusts and strengthens the technical direction of the two types of vehicles developed by the automobile enterprises through two types of “independent accounting and differential scoring”. The CAFC point calculation target value and the standard value will gradually optimize the average fuel energy consumption standard, which will increase the technical factor price and production cost of the traditional fuel vehicle, and guide the traditional fuel vehicle technology of the vehicle enterprise to the direction of “lightweight,”

New Energy Vehicles Manufacturers’ EAMFP to Technology-Forcing …

583

and induce the car enterprise. At the same time, induce car companies to develop in the direction of new energy vehicles. NEV points have designed a “pure electricity-based, intermixed and supplemented” technical route based on the difference in scoring coefficients and cruising range thresholds, effectively avoiding the short-term and self-interested behaviors of “strategic” innovation of car companies. Through the NEV points “free trade, one-way compensation” rule, an innovative compensation market mechanism for new energy vehicles will be created, and the non-market compensation subsidy subsidized by the government will gradually be reduced. Not only can it make up for and reduce the investment in new energy vehicle research and development, and narrow the gap between the two types of technology innovation investment, but the fairness of the market mechanism will further increase the confidence of car companies in developing new energy vehicle technology.

3 Data 3.1 Estimated Sample Based on the availability of data and the comparability of samples, this study used 14 new Chinese energy passenger car (complete vehicle) listed companies as research samples during 2012–2018. BYD Group (002594), Dongfeng Motor (600006), Foton Motor (600166), Zhongtai Automobile (000980), Haima motor (000572), Lifan shares (601777), Jianghuai Automobile (600418), SAIC Group (600104), FAW Car (000800), Changan Automobile (000625), Great Wall Motor (601633), Geely Automobile (00175), Jiangling Motors (000550), and Guangzhou Automobile Group (601238).

3.2 Employee Size, Capital Stock and Direct Material Costs, and Energy Consumption The sample enterprise input data comes from the company’s annual report, the employee size selection (the current year), the number of non-productive employees, the capital stock selection (the current year), the average annual net fixed assets, the direct material cost, and the energy consumption (the current year). The input of various vehicle and enterprise elements continues to grow, but there is a significant difference in the growth rate of investment between car companies. As shown in Table 2, the average annual net fixed assets of the sample companies in 2012–2018 increased by an average of 5.7%, and the labor input increased by an average of 3.4%. On the one hand, it shows that the growth of automobile consumption market demand has obvious driving effect on enterprise investment; on the

74.66

37.87

27.57

62.97

22.79

307.4

33.6

83.02

82.06

69.02

6.63

22.91

Foton

Guangzhou

Haima

Jianghuai

Lifan

SAIC

FAW Car

Changan

Great Wall

Jiangling

Zhongtai

Geely

2366

32.40

Dongfeng

2696

32.95

5.99

66.08

118.4

126.8

45.97

261.5

28.36

68.18

31.32

54.42

77.25

35.5

2908

43.71

5.47

60.35

159.7

142.4

58.78

296.1

39.66

72.71

33.08

72.49

91.29

32.61

311.9

45.71

4.77

69.48

182.2

144.7

57.1

352

50.7

98.33

32.16

79.37

99.74

32.28

51.38

5.24

93.42

219.4

147

51.57

428.7

55.18

103.6

31.19

94.85

112.4

35.59

3493

2016

58.12

18.47

123.5

262.2

172.6

45.24

526.5

62.95

107.2

28.29

115.9

126.5

27.82

4036

2017

2018 4325

58.58

35.7

187.4

283.6

206

42.62

637.1

67.4

121.7

27.99

130.2

112.8

15.5

16.4

1.1

0.3

1.85

5.35

1.52

0.75

6146

0.94

2.03

8.26

3.47

2.98

1.01

1.32

0.27

1.81

6.47

3.09

0.69

14.5

0.93

2.18

8.93

3.85

3.04

1.03

15.4

2013

1.4

0.29

1.85

7.16

3.43

0.71

15.18

0.84

2.08

9.49

4.58

2.95

1.06

18.7

2014

2012

2015

Labor force (10,000 people)

2014

2012

2013

Annual average balance of fixed assets (100 million yuan)

BYD

Car company

Table 2 Annual input data of sample companies (2012–2018)

1.57

0.32

1.87

7.9

3.75

0.75

16.38

1.05

2.74

9.49

6.72

2.93

1.05

19.6

2015

1.69

0.44

3.51

7.16

4.12

0.78

17.14

1

2.87

9.61

7.57

3.09

6.8

19.38

2016

1.73

1.62

4.16

6.85

3.91

0.76

18.07

1.05

3.05

8.19

8.43

3.08

6.62

20.09

2017

1.65

1.52

5.24

6.35

3.6

0.69

21.75

0.91

2.67

6.28

9.49

2.91

6.87

22.02

2018

584 X. Li and Y. Li

New Energy Vehicles Manufacturers’ EAMFP to Technology-Forcing …

585

other hand, it also shows the capital-intensive industry characteristics of automobile industry. Among them, the fastest and slowest average annual growth rate of fixed assets net average annual growth rate is Guangzhou Automobile Group and FAW Car, the average growth rate is 21.1% and −20.7%; the average growth rate of labor input is the fastest and slowest. The enterprises are Guangzhou Automobile Group and Dongfeng Motor, with an average growth rate of 22.4% and −8.9%. The growth rate of production factors of various automobile enterprises is basically synchronized with the growth rate of operating income. The average growth rate of expected output of automobile companies such as Guangzhou Automobile Group with a large average growth rate is also large.

3.3 Expected Output The operating income of various car companies continued to increase, but the growth rate of each year was significantly different; the total subsidies of new energy vehicles received by various car companies continued to increase, but the growth rate of each year was irregular. As shown in Table 3, the average growth rate of operating income of sample companies in 2012–2018 was 9.9%, of which the average growth rate in 2016 was the fastest, at 14.5%, and the average growth rate in 2017 was relatively slow, at 4.5%. Demand for automotive consumption is strong and the automotive market is growing rapidly. Among them, BYD Auto, Foton Motor, Guangzhou Automobile Group, Jianghuai Group, SAIC Group, Changan Automobile, and other enterprises grew at an average rate faster than the industry average, 28.6%, 11.9%, 40.6%, 11.1%, 11.4%, and 20.8%, respectively. On the one hand, it reflects the adjustment of the company’s own development strategy and the changes in the market competition pattern. On the other hand, it may also be that CAFC-NEV mandate have played a role in the adjustment of the market structure. At the same time, the sample enterprises received a total of 68.783 billion yuan in subsidies for new energy vehicles in 2012–2018, with an average growth rate of 95.6%. Among them, the total amount of state subsidies received by the companies such as SAIC Group, Jianghuai Group, Guangzhou Automobile Group, BYD Auto and Futian Group Large, 282.702, 69.02, 69.65, 56.02, and 505.08 billion yuan, respectively, indicating that the state’s support for the development of the automobile industry and new energy vehicles continues to increase. Based on the amount of subsidies received by various car companies in 2012, the chain growth in 2013–2018 was 80.4%, 20.5%, 17.8%, −46.8%, −43.11%, and −42.52%, respectively. Starting from 2016, government subsidies the growth rate has declined, reflecting the trend of subsidies for the auto industry policy to gradually decline.

409.7

129.6

84.61

291.3

86.79

4784

233.9

294.6

431.6

246.3

8.44

174.8

Foton

Guangzhou

Haima

Jianghuai

Lifan

SAIC

FAW Car

Changan

Great Wall

Jiangling

Zhongtai

Geely

468.5

177

Dongfeng

528.6

208.9

9.02

287.1

567.8

384.8

296.8

5658

100.7

336.4

102.4

188.2

341.5

193.1

255.4

11.11

217.4

626

529

338.6

6300

114.2

342

123.5

223.8

336.9

174.7

582

800.1

245.3

16.26

301.4

760.3

667.7

266.6

6704

124.1

464.2

121.8

294.2

340

168.8

266.3

16.94

537.2

986.2

781.3

227.1

7564

110.5

525.3

142.4

494.2

465.3

160.2

1035

2016

313.5

208

927.6

1012

800.1

279

8706

126

492

100.8

711.4

517.1

183

1059

2017

282.5

147.6

1066

992.3

663

262.4

9022

110.1

501.6

53

723.8

410.5

144.2

1301

2018 105.8

135.9

11.26

873.8

92.34

1864

249.7

37.73

94.57

552

76.35

512.2

343.3

3.01

176.3

11.14

835.1

166.2

196.1

15.58

2792

125.9

883.5

95.77

666

1429

360.6

1226

2013

376.7

10.42

849.1

286.4

2707

268.9

5592

87.27

1127

85.72

903.2

1165

349.1

1134

2014

644.4

18.21

872.7

351.9

2675

256.3

8180

47.64

1581

77.33

1062

931.5

396.1

1328

2015

2012

2015

New energy vehicle subsidies (million)

2014

2012

2013

Operating income (100 million yuan)

BYD

Car company

Table 3 “Expected output” data for each year of the sample company (2012–2018)

613.4

25.99

824.8

237.3

2674

248

10619

64.69

1664

89.90

1645

783.7

532.9

1500

2016

573.4

32.24

853.8

203.2

3206

239.1

1086

63.21

1647

111.6

2688

694

431.6

413.7

2017

549.5

38.27

949.1

1776

3656

209.4

13177

16.01

1614

122

3294

713.5

281.2

448.5

2018

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3.4 Undesired Output The unanticipated output of automakers continued to grow, but the growth rate slowed down noticeably. As shown in Table 4, the average annual growth rate of CO2 emissions of sample companies in 2013–2018 was 5.8, 6.2, 6.1, 6, 5.8, and 5.6%. Since 2015, the average growth rate has begun to slow down, indicating that the proportion of new energy vehicles in the scale of automobile production and sales has begun to increase, and the incentive effect and regulatory effect of CAFC-NEV mandate have emerged. Among them, the marginal changes of undesired output of automobile companies such as FAW Group, FAW Group, and BYD Auto are obvious. The marginal values of undesired output of CO2 emissions are 0.19, 0.07, and 0.008, respectively, indicating that these car companies are in technical reserve and R&D. Performance and product structure adjustment have a certain leading edge.

4 Empirical Results (1) The efficiency of the scale of the car enterprise has grown steadily, and the gap between car companies has gradually shortened. As the data describes, the average ESE peaked at 0.925 in 2015, indicating that the introduction of the “double-point” policy has significantly stimulated the production and sales of new energy vehicles, and the expansion of production capacity of various vehicle companies has led to an increase in environmental scale efficiency. The average environmental scale efficiency in 2012–2018 was 0.91, 0.93, 0.92, 0.925, 0.92, 0.92, and 0.92, respectively, showing an overall growth trend. 2015 is the maximum value, 2012 is the minimum value, and the variance of the environmental comprehensive technical efficiency sample enterprises in 2012– 2018 is 0.23, 0.12, 0.12, 0.13, 0.11, 0.07, and 0.22, respectively, indicating that the scale efficiency of the vehicle enterprises tends to be close, but there is still a certain gap. The reason is that the technological gap between car companies has been shrinking, and the introduction of CAFC-NEV mandate has increased the R&D intensity of new energy car companies. (2) EPTE shows steady growth year by year. As the data describes, 2017 has increased by about 0.1 compared with 2014, reflecting that the factors such as the improvement of the management level of new energy vehicles and technological progress have a significant impact on the environmentally pure technical efficiency. The impact is more obvious. The average environmental scale efficiency in 2012–2018 was 0.76, 0.77, 0.8, 0.78, 0.84, 0.85, and 0.93, respectively, showing an overall growth trend. The maximum value in 2018 is the minimum in 2012, and the variance of the environmental comprehensive technical efficiency sample enterprises in 2012–2018 are 0.56, 0.26, 0.19, 0.16, 0.2, 0.17, and 0.23, respectively, indicating that the gap between the pure technical efficiency of

1037

583.4

260.8

58.88

84.07

23.54

1.09

SAIC

FAW Car

Changan

Great Wall

Jiangling

Zhongtai

Geely

51.02

Lifan

190

Guangzhou

53.19

1.63

Foton

52.19

727.7

Dongfeng

Jianghuai

136.3

BYD

Haima

2012

Car company

4.75

38.79

91.28

152.8

502.1

1163

1277

50.34

167

59.43

348.3

2.90

795.1

203.4

2013

335.7

64.78

8.58

159.4

92.50

99.33

21.57

50.94

103.9

163.8

513

734.5

1451

45.16

−1.33

23.08

36.51

60.13

323.9

2.42

796.3

126.6

2014

220

11.7

83.3

77.9

9.26

49.0

C-rat

354.1

31.32

13.84

7.21

2.17

24.55

68.93

163.3

223.1

655.8

1571 689.32

13.64

38.93

−36.84

−10.29

59.97 110.6

376.9

−7.01 −78.14

5.16

1.18

978.2

−16.55

124.2

−37.74 0.15

2015

C-rat

72.02

13.82

35.32

57.15

36.25

27.85

−6.15

8.25

−13.80

45.41

102.9

236.6

307.1

757.4

749.5

1730

30.77

64.02

−0.27 202.9

479.9

6.39

1045

122

2016

16.37

113.2

22.84

−1.92

C-rat

Table 4 CO2 emissions of “unexpected output” of the sample enterprises in each (10,000 tons/year)

84.97

49.28

44.88

37.62

15.49

8.73

10.13

−20.96

−42.12

20.09

27.33

23.84

6.88

−1.75

C-rat

28.17

100.6

384

305

623.2

774.4

1799

32.20

67.56

48.22

538

13.32

962.6

96.32

2017

78.04 11.74

−2.25 −37.97

292.1

−0.68

461.8

442.5

−17.72 62.32

925.3

1824

17.44

46.52

16.00

643.9

3.32

4.04

4.65

5.53

−33.05

12.10

8.74

940.1

−7.92 108.5

93.87

2018

−21.08

C-rat

C-rat

−58.32

−22.41

20.26

−4.22

−29.00

19.49

1.34

−45.84

−31.14

−66.82

19.69

−34.38

−2.34

−2.54

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Fig. 1 Schematic diagram of total factor productivity of new energy vehicle enterprise

the vehicle and the enterprise is gradually increasing. Shortened, double-point policy regulation has a role to play. (3) The overall ETE showed a turbulent growth. As the data described, 2016 increased by 0.066 compared with 2014. However, 2017 decreased by 0.03 compared with 2016, reflecting the ability of vehicle enterprises to allocate resources and use efficiency. The comprehensive ability of many aspects is not balanced. The average efficiency of environmental comprehensive technology in 2012–2018 was 0.83, 0.71, 0.73, 0.71, 0.77, 0.8, and 0.85, respectively, showing an overall growth trend. The maximum value in 2018 is the minimum in 2013, and the variance of the environmental comprehensive technical efficiency sample enterprises in 2012–2018 is 0.38, 0.25, 0.19, 0.17, 0.21, 0.17, and 0.27, respectively, indicating the resource allocation structure and technical efficiency of the vehicle enterprises. Different in many aspects, the performance is different in terms of technological efficiency. The distribution of green total factor productivity in each dimension is shown in Fig. 1.

5 Conclusion and Discussion (1) With the continuous cooling of the automobile market since 2018, CAFC-NEV mandate in the next stage should focus on the assessment of the investment intensity indicators of new energy vehicle enterprises, promote the research and development, diffusion and absorption of energy-saving emission reduction technologies, and consider taxation. Different forms of financial support, such as preferential treatment, sewage fee reduction, and special fund support, and scientific and technological invention awards, are combined to form a policy synergy. (2) Considering that CAFC-NEV mandate is still being optimized and transferred to the actual implementation stage, CAFC-NEV mandate in the next stage needs to strictly implement the assessment criteria, formulate the integral goals that are compatible with the characteristics of the industrial development and the stage, and promote the car. The efficiency of the overall resource allocation and use of the enterprise has been improved, and the quantitative and qualitative

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change of the green total factor productivity of the two-wheel drive automobile industry has been realized. (3) Under the premise that CAFC-NEV mandate requires “two points, parallel management,” the overall institutional framework remains unchanged, and the method and index weights of the points accounting are dynamically adjusted according to the differences between the vehicles and enterprises, for different types and different levels of development. New energy vehicle enterprises implement classified guidance and promote the rapid development of environmental technology development and utilization of automobile enterprises from “inducing” to “spontaneous.”

References 1. Yuan X, Liu X, Zuo J (2015) The development of new energy vehicles for a sustainable future: a review. Renew Sustain Energy Rev 42(C):298–305 2. Kimble C, Wang H (2013) China’s new energy vehicles: value and innovation. J Business Strategy 34(2):13–20 3. Bank TW (2011) The China new energy vehicles program: challenges and opportunities 4. Xiang Z, Jia W, Yang J et al (2009) Prospects of new energy vehicles for China market. In: Hybrid & eco-friendly vehicle conference 5. Zhang L (2011) Research of fuzzy prediction algorithm in SOC estimation of new energy vehicles. J Electron Measur Instrum 25(4):315–319 6. Xiang Z, Yang J, Bo S et al (2009) Study on the policy of new energy vehicles in China. In: IEEE vehicle power & propulsion conference 7. Shephard RW (1970) Theory of cost and production functions. Princeton, NJ: Princeton University Press 8. Pitman (1981) The Malmquist total factor productivity index. Scand J Econ 92(2):303–313 9. Chambers RG, Chung Y, Fare R (1997) Benefit and distance functions. J Econ Theory 70(2):407–419 10. Chambers RG, Chung Y, Fare R (1998) Profit, directional distance functions, and Nerlovian efficiency. J Optim Theory Appl 98:351–364 11. Wu Y, Zhao D, Fan J et al (2015) The impact of government subsidies or penalties for newenergy vehicles a static and evolutionary game model analysis. J Transp Econ Policy 49(1) 12. Wang Z, Chen W, Yu H (2013) Influencing factors of private purchasing intentions of new energy vehicles in China. J Renew Sustain Energy 5(6):063133 13. Liu Y, Kokko A (2013) Who does what in China’s new energy vehicle industry? Energy Policy 57:21–29 14. Yu P, Zhang J, Yang D et al (2019) The evolution of China’s new energy vehicle industry from the perspective of a technology–market–policy framework. Sustainability 11(6):1711

Dynamic Correlation Analysis of RMB Exchange Rate Intermediate Price and Stock Index Shuzhen Zhu and Jingyu Zhang

Abstract Analysis of the dynamic connection between the exchange rate and the stock market before and after “811” exchange rate reform plays an important role in promoting the coordinated development of the two cities and the stability of the financial market. Using the DCC–GARCH model, intermediate exchange rate, CSI 300 and CSI 500 for the three years before and after the exchange reform to investigate the dynamic correlation between exchange rates and large and small stocks. Research indicates the dynamic correlation between the two is negatively correlated as a whole and has strong sustainability. After the exchange reform, the degree of volatility strengthened, and the degree of correlation was not as significant as expected. In addition, the dynamic correlation between small cap stocks and exchange rates fluctuated more sharply, and the correlation was larger. Keywords “811” exchange reform · Dynamic correlation · DCC–GARCH model

1 Introduction Since the twenty-first century, economic globalization has brought the links between financial markets closer and closer. Global capital flows make a country’s financial markets vulnerable to fluctuations in other financial markets. This effect is not constant but changes over time, resulting in significant dynamic correlation so as the financial sub-markets of various countries. As a developing country, China has been committed to reform and development and the establishment of a sound financial market system and strives to integrate with global finance. The exchange rate not only reflects China’s purchasing power in the international arena but also reflects the comprehensive national strength of a country. Meanwhile, as the main place for the circulation of funds in China, the stock market directly shows the development of Chinese economic fundamentals. Therefore, we need to watch the degree of correlation between the two markets. S. Zhu (B) · J. Zhang GSSBM, Dong Hua University, 200051 Shanghai, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_69

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In August 2015, “New Exchange Reform” further improved the RMB exchange rate quotation mechanism. The increasing marketization of the RMB exchange rate and the gradual liberalization of the capital account have made the exchange rate more and more affected by the economic changes of various countries. Uncertainty in exchange rate fluctuations and uncertainty about its impact on domestic macroeconomics are also gradually increasing. Studying the dynamic correlation between China’s foreign exchange market and stock market can more comprehensively understand the degree of correlation and transmission mechanism between China’s financial markets, thus effectively preventing the occurrence of risks, promoting the coordinated development of the two markets, keeping the stability of the overall financial market, also the health of the economy.

2 Literature Review Because the development of foreign market theoretical models is more advanced, the study on the correlation between the two markets is ahead of the domestic one. Ajayi et al. [1] research on developing countries pointed out that the correlation in two markets is easily restricted by speculative behavior, market concentration and the inability of the exchange rate to float freely. A comparative study of empirical literature by Ramasamy and Yeung [2] found that the relationship between two factors depends not only on the choice of study country, sample data frequency, model optimal lag order but also depends on the sample interval period. Caporale et al. [3] conducted research on developed countries and found that in the context of the 2008 financial crisis, the Granger result of the two markets is not the same in different countries. With the emergence of China’s shareholding reform and exchange rate reform in 2005, the relationship between the two cities has also begun to become the focus of attention of various scholars. Deng and Yang [4] used the co-integration and Granger test to find an unidirectional guiding relationship between the two markets after the reform in 2005. On the basis of this, Chen et al. [5] used the BVGARCH-BEKK to find that the volatility spillover direction between the markets before and after the exchange rate reform in 2005 was significantly different. Wang et al. [6] used co-integration test and vector error correction to find that it has a positive long-term equilibrium relationship and two-way causality between the two before the subprime crisis. Lin et al. [7] used threshold co-integration and TVP-VAR model find that the linkage relationship between the two depends on many factors, and the relationship is time-varying under equilibrium. It depends largely on the overall environment. In general, through research on different markets, from different angles, different research indicators and different empirical methods, the research conclusions obtained by different scholars show diversity and difference. It is necessary to make judgments that keep pace with the times according to the state’s macroeconomic operation and institutional changes in the markets. Therefore, this article uses “811” to change the boundary, combined with the current macroenvironment of China’s

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economic development, empirically analyzes the dynamic correlation between the two markets and discusses the impact of current exchange reform on the linkage between the two markets.

3 Empirical Analysis 3.1 Data Selection and Processing Selecting exchange rate, CSI 300 and CSI 500 as variables. The sample interval is from August 13, 2012, to December 20, 2018. Data from the WIND. In order to mitigate the collinearity and heteroscedasticity of the time series, the natural logarithm of the rate of return for the time series of the three variables: Rt = 100(log Pt − log Pt−1 )

(1)

Rt represents the daily logarithmic rate of return, Pt represents the closing price or exchange rate on day t. Pt−1 represents the previous day’s closing price or exchange rate. The exchange rate, CSI 300 and CSI 500 are named USDRMB, CSI300, CSI500, respectively.

3.2 Descriptive Statistical Analysis Statistical analysis and testing of the sequences were performed using Eviews 10. First, calculate the descriptive statistics of the two. The results are shown in Table 1. The standard deviation of the two stock yields is 1.5158 and 1.7549, respectively, which is significantly greater than the standard deviation of DLNUSDRMB. It explains that the volatility of CSI 300 and CSI 500 is more intense and more unstable than the exchange rate. Besides, it shows that large capitalization stocks have small fluctuations. Also, the J–B statistic indicates that both return rates do not conform to the normal distribution. In addition, when constructing the GARCH model, it should use the ADF test (Table 2). Table 1 Descriptive statistics of exchange rate, CSI 300 and CSI 500 Mean

Maximum

Minimum

Std. Dev.

J–B

USDRMB

0.0054

1.8403

−0.9263

0.1809

13564.73

CSI300

0.0159

6.4989

−9.1542

1.5158

2402.198

CSI500

0.0146

6.3926

−8.9262

1.7549

1617.541

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Table 2 Stationarity test of exchange rate, CSI 300 and CSI 500 ADF

1%

5%

10%

Conclusion

USDRMB

−35.28887

−3.963987

−3.412717

−3.128332

Stable

CSI300

−37.65063

−3.963987

−3.412717

−3.128332

Stable

CSI500

−36.49970

−3.963987

−3.412717

−3.128332

Stable

The ADF statistics of the three are significantly smaller than the critical value, so the three sequences are stable, GARCH modeling can be performed, and subsequent testing steps can be performed.

3.3 ARCH Effect Test Although the stability of the sequence has been tested, the sequence is not necessarily ARCH-like. Therefore, it is necessary to perform ARCH effect test on its. Using ARCH–LM test. Table 3 shows that the P-values of the first order, second order and third order of the residual sequence are all 0 at the 1% significance level, so the null hypothesis is rejected, which indicated the residual sequence of exchange rate and stock return has ARCH effect.

3.4 DCC–GARCH Model Estimation The DCC–GARCH model can reveal the time-varying process and development trend characteristics of correlation coefficients between variables. The establishment of the model is made up of two steps. The first is to establish a GARCH (1, 1) model for the variables and estimate the parameters by R (Table 4). Table 3 ARCH effect test of exchange rate, CSI 300 and CSI 500

USDRMB

CSI300

CSI500

Lag

F statistic

P value

1

335.8838

0.0000

2

167.7283

0.0000

3

113.7854

0.0000

1

73.8534

0.0000

2

75.6006

0.0000

3

69.2583

0.0000

1

88.6525

0.0000

2

114.6749

0.0000

3

101.6424

0.0000

Dynamic Correlation Analysis of RMB Exchange Rate Intermediate …

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Table 4 GARCH(1,1) model of exchange rate, CSI 300 and CSI 500 ω

α

β

USDRMB

0.0022 (1.0009)

0.1674 (3.0542)***

0.7716 (51.6920)***

CSI300

0.0064 (0.1372)

0.0616 (14.6981)***

0.9382 (66.2522)***

CSI500

0.0203 (0.4340)

0.0450 (3.5885)***

0.9474 (60.9587)***

Note *, **, *** represent significant 10%, 5% and 1%, respectively

The table shows the α are relatively small and β is closer to 1, indicating that the logarithmic yields are more susceptible to past information and market changes, thus reflected slower to the new information. Moreover, the α and β of exchange rate and stock return are very significant, and α + β are close to 1, indicating that the logarithmic yields of both markets are characterized by aggregation and persistence, which are easily affected by the macroeconomic cycle. The DCC–GARCH model is established from the GARCH (1, 1) model. The maximum likelihood estimation is carried out, and the DCC coefficient is used to judge the strength of the dynamic correlation between the two (Table 5). The table shows the β coefficient is remarkable at a significance level of 1%, and the α coefficient is remarkable at a level of 10%. The α coefficient of the exchange rate and stock return is small, and the β value is closer to 1, which explained that historical information contributes significantly to changes in correlation coefficients. At the same time, the α and the β are significant, and the sum of the two parameters is close to 1, indicating that it both have significant volatility persistence. The time-varying correlation coefficient between two markets is shown in Fig. 1. Table 5 DCC–GARCH model of exchange rate, CSI 300 and CSI 500 α

β

α+β

Max.likelihood

USDRMB-CSI300

0.0203(1.8834)*

0.9031 (10.4763)***

0.9234

−1827.327

USDRMB-CSI500

0.0276 (1.7291)*

0.8346 (5.9725)***

0.8622

−2102.053

Note *, **, *** represent significant 10%, 5% and 1%, respectively

Fig. 1 Dynamic correlation coefficient of exchange rate, CSI 300 and CSI 500

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The correlation between the two markets has a strong periodic time-varying and the overall negative relationship. The fluctuations in the latter part of the interval are greater than the fluctuations in the front of the interval. The CSI 500 is more volatile than the CSI 300, that is, the large cap stocks are relatively stable. Descriptive statistics on the dynamic correlation coefficients in the sample interval are given below (Table 6). From the average point of view of the correlation coefficient, the mean value of the exchange rate and CSI 300 is −0.0270, and the correlation coefficient of the CSI 500 is −0.0106. Explain overall that the two are negative in the sample interval and the correlation between large cap stocks and exchange rates is greater. From the perspective of the correlation coefficient fluctuation, the standard deviation of the exchange rate and the CSI 300 is 0.0461, and the standard deviation of the CSI 500 is 0.0472. It shows that the fluctuation of the correlation between small cap stocks and exchange rate is more obvious in the case of larger stocks. Overall, the stock market has maintained a certain degree of unity. The following is an inter-partition study of the samples according to the time of the “811” exchange reform, and the descriptive statistics of the correlation coefficients of the two are as follows (Tables 7 and 8). The fluctuations of the exchange rate and the correlation coefficient between CSI 300 and CSI 500 have increased after the exchange reform, indicating that the correlation coefficient fluctuates more sharply after reform, and the correlation coefficient between the exchange rate and the small cap stocks fluctuates has exceeded large cap stocks. Table 6 Stationarity test of exchange rate, CSI 300 and CSI 500 Mean

Maximum

Minimum

Std. Dev.

USDRMB-CSI300

−0.0270

0.2504

−0.2081

0.0461

USDRMB-CSI500

−0.0106

0.2162

−0.2656

0.0472

Table 7 Descriptive statistics before exchange reform Mean

Maximum

Minimum

Std. Dev.

USDRMB-CSI300

−0.0334

0.0588

−0.1796

0.0333

USDRMB-CSI500

−0.0153

0.0934

−0.1419

0.0305

Table 8 Descriptive statistics after exchange reform Mean

Maximum

Minimum

Std. Dev.

USDRMB-CSI300

−0.0213

0.2504

−0.2081

0.0543

USDRMB-CSI500

−0.0064

0.2162

−0.2656

0.0578

Dynamic Correlation Analysis of RMB Exchange Rate Intermediate …

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4 Conclusion The time-varying characteristics of the correlation between the two markets during the “811” reform were studied in detail, and the following three conclusions were drawn: 1. The dynamic correlation between the two markets is time-varying strongly and has certain persistence. This conclusion can be explained with the current market situation. Due to various uncertainties such as political events, economic policies, people’s psychological expectations and the control of the central bank, it often causes uncertainty in the correlation, which leads to violent fluctuations. 2. The exchange rate market and the stock market showed a negative correlation overall, but the correlation between the two was not as significant as expected. The “811” exchange reform has increased the volatility of the correlation. A negative correlation means that the appreciation of the renminbi will drive the rise of the stock market, and vice versa. “811” exchange reform further improved the market maker system. In the past two years, the degree of marketization of RMB exchange rate fluctuations has also improved. Capital flows, political events in the international market and the emergence of policies will also affect the stability of the exchange rate market. Meanwhile, China’s capital account is not fully open, and the state will still intervene in international capital flows from time to time. Investors can only carry out domestic and foreign investment activities through QDII and QFII, and the investment quota also has certain restrictions, which weakens the correlation. 3. The dynamic correlation between small cap stocks and exchange rates fluctuated more sharply, while it was weaker. Since the small cap stocks do not reflect the overall stock market situation, the circulation range is small, its own risk is high, so it has strong volatility. Therefore, the dynamic correlation is also higher. And because small cap stocks are easy to manipulate, it is not as stable as large cap stocks, and the correlation is also smaller. Acknowledgements Thanks to my tutor and the schoolmaster for helping me during the paper. I have gained a lot in the process of writing a thesis. I also want to thank my mom and dad for encouraging me during the writing of the thesis.

References 1. Ajayi RA, Friedman J, Mehdian SM (1998) On the relationship between stock returns and exchange rates: tests of Granger causality. Global Finance J 9(2):241–251 2. Ramasamy B, Yeung MCH (2005) The causality between stock returns and exchange rates: revisited. Aust Econ Papers 2:162–169 3. Caporale GM, Hunter J, Ali FM (2014) On the linkages between stock prices and exchange rates: Evidence from the banking crisis of 2007–2010. Int Rev Financial Analysis, 33:87–103

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4. Deng S, Yang CJ (2007) The relationship between china’s stock market and foreign exchange market after the reform of exchange rate system: an empirical study of RMB’s nominal exchange rate and Shanghai composite index. J Financial Res (12):55–64 5. Chen Y, Chen L, Lin L (2009) Research on RMB exchange rate and stock market volatility spillover effect. Manage Sci 3:104–112 6. Wang W, Tao S (2011) Research on the dynamic correlation between RMB exchange rate and stock price—comparative analysis before and after the subprime mortgage crisis. Tech Econ Manage Res 9:70–75 7. Lin L, Wei M, Kun Y (2015) Structural changes, RMB exchange rate and China’s stock price— theoretical interpretation and empirical research. Int Financial Res 339(5):3–14

Location Choice of Overseas Investments in Transportation Infrastructure by Chinese Enterprises: From the Perspective of the “BRICS+” Mode Jiangong Wu, Teng Wang, Hongyan Jiang, and Zhuoping Ouyang

Abstract The paper discusses the issue of location selection of overseas investment of Chinese enterprises in transportation infrastructure in the “BRICS+” region, and analyzes the influencing factors of such investment. It is found that some location choices of overseas investments in transportation facilities by Chinese enterprises in the region are not properly made. Considering the factors affecting Chinese enterprises’ investment in transportation infrastructure in the “BRICS+” region and the results of the regression model, the authors suggest that China’s enterprises need to give priority to the investment in South Africa, Russia, Brazil and India among the BRICs countries, and after that they may take into account the investment in Mexico, Indonesia, Nigeria and Turkey which is among the “BRICS+” region appropriately and cautiously. Keywords Chinese enterprise · MNCs · FDI · Transportation infrastructure · Location selection · BRICS

1 Introduction Location selection of OFDI is one of the most important issues in the international development of MNCs in emerging countries [1, 2]. In practice, the initial scheme of decision-makers is not always satisfactory to all decision-makers [3]. The location choice of OFDI is a process of gradual exploration. The investment direction of MNCs is the location with relatively close cultural distance [4] and with obvious cost advantage [5]. International experience weakens the negative impact of institutional distance on the success rate of Chinese enterprises’ overseas direct investment [6]. J. Wu (B) · T. Wang School of Business, Hunan International Economics University, Changsha, China e-mail: [email protected] H. Jiang Hunan Telecom Company, Changsha, China Z. Ouyang Shenzhen Polytechnic, Shenzhen, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_70

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The location choice of Chinese MNCs is the result of the interaction between the external and internal legitimacies [7]. The external and internal institutional pressures of MNCs will affect the location choice of FDI, especially in China’s emerging economies [8]. Compared with domestic enterprises, MNCs face a wider range of international market environment and much more risks [9]. Excellent international entrepreneurs make decisions based on reasonable analysis of potential risks and opportunities [10, 9]. Political risk of host countries is usually considered in the choice of FDI location. There is a substitution effect between political risk and economic freedom, which also affects the location choice of MNCs’ foreign investment [7]. As the environment of international business is complex and changeable, it is not enough for MNCs’ decision-makers to rely on the ideas of domestic decision-making [11]. To ensure the safety and effectiveness of location decision-making, international entrepreneurs must have innovative thinking and ability [9]. The cultivation of entrepreneurs’ ability and quality must keep up with the pace of internationalization of enterprises [12]. The Mint countries or Mints which quotes the initials of Mexico, Indonesia, Nigeria and Turkey is regarded as an essential part of the “BRICS+” model. The “BRICS+” mode emphasizes comprehensive cooperation and achieving the win-win goal [13]. Investment in the framework of the “BRICS+” cooperation mode has become a hot spot [14]. The investment of Chinese enterprises in the “BRICS+” regions helps to promote the cooperation and complementary development of the “BRICS+” countries and the emerging economies [15]. Chinese railway enterprises should consolidate the surrounding markets and develop new intercontinental investment markets [16]. Up to now, there is little research on location selection by Chinese MNCs in the investment in transportation infrastructure in the “BRICS+” area. In order to make up for the research, the authors discuss such issue and put forward some suggestions.

2 Location of China’s Overseas Investment in Transportation Infrastructure in the “BRICS+” Region Transportation infrastructure has become an object of location selection of China’s overseas investment. The reason why China chooses the “BRICS+” region as the location of overseas investment in transportation infrastructure is that the region has prominent comparative advantages and huge market demand for transportation infrastructure construction. Through such investment, economic cooperation between China and the “BRICS+” region can be promoted, and the risks of China’s overseas investment can be reduced. From the perspective of continent distribution, China’s investment in Africa’s transportation infrastructure is the largest, and its investment in Latin America is the smallest. From the perspective of the distribution inside and outside the “BRICS+”

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region, China’s investment in the BRICS countries in the “BRICS+” region is smaller than that in the Mints countries outside the BRICS region. In 2016, the transportation infrastructure investment flow to Africa was about US$27.298 billion. Among them, China’s investment in transportation infrastructure in Nigeria and South Africa accounts for 36.57% of China’s investment in the whole “BRICS+” region. Investment in infrastructure in Asia is second to that in Africa. China’s investment flow to the BRICS countries is slightly less than that to the Mint countries, and the investment flow to Brazil and India is less than 5%. It can be seen that there are internal and external imbalances and intercontinental imbalances in China’s investment of transportation infrastructure in the “BRICS+” region. As for specific construction projects of transportation infrastructure, China’s investment in Russian railway construction is the largest in overseas investment in railway, accounting for more than half of China’s investment in Russian transportation infrastructure. China’s investment in road construction in South Africa is the largest in overseas investment in road, accounting for more than 30% of China’s investment in South Africa’s transportation infrastructure. The investment in the industry in Brazil and India is relatively small, which is less than 10% of that in Russia.

3 Factors of Influencing Location Choice of Chinese MNCs’ Overseas Investments in Transportation Infrastructure in the “BRICS+” Region 3.1 Institutional Environment Institutional environment refers to laws, regulations and systems related to politics, economy and culture [17]. Institutional environment of a country is usually measured by economic freedom which includes many kinds of indexes, such as trade policy, government’s intervention in the economy, capital flow and foreign investment. The social system of the host country constitutes a general protection mechanism to all foreign investment if it can provide: (1) stable and secure political environment; (2) sound legal system; (3) government efficiency and quality of government supervision; (4) political and economic systems [18].

3.2 Natural Resources A country with rich energy reserves tends to attract investment from countries with poor resources [19]. Many countries with rich resources are constrained by various factors, among which the backward transportation infrastructure is one of the important constraints [20]. For those countries that are rich in resources but limited by

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transportation, they welcome the investment from a resource-demanding country that can solve the problem of domestic transportation infrastructure. The investment in transportation facilities can help the technologically backward countries to improve the efficiency of resource exploitation to some extent.

3.3 Economic and Trade Relations Trade relations may reflect the economic value and investment potential. If two countries cooperate closely in economy and interact frequently in trade, we can say that the MNCs may invest under favorable circumstances. Generally speaking, the closer the trade ties between the two countries are, the more attractive to FDI from the two countries. Close trade relationship is bound to expand more space for cooperation in investment, i.e., the closer the trade links, the more frequent the investment in transportation infrastructure [21]. Without doubt, economic and trade relations have a great impact on the investment in transportation infrastructure in the “BRICS+” regions.

3.4 Market Dunning believes that market is an incentive for foreign direct investment [22]. The market factors mentioned in this paper mainly include the market of labor and transportation infrastructure construction [23]. Here, the labor market is measured by the per capita GDP, and the market of transportation infrastructure construction is assessed by the perfection of the “BRICS+” regional transportation infrastructure. The labor cost advantage in the “BRICS+” region is obvious,and traffic infrastructure construction market in the “BRICS+” region is huge.

3.5 The Level of Economic Development Ordinarily, GDP and the rate of economic growth often determine the country’s economic strength. In light of the traditional investment theory, the growth rate of GDP is positively correlated with the potential of economic development and the ability to attract investment [24]. The larger the GDP is, the more attractive the country will be. The economic development of host countries is a factor affecting China’s transportation infrastructure investment in these countries [25].

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3.6 Technological Level In general, the higher the technology level of host country is, the more favorable it is for foreign enterprises to enter the area of investment [26]. But as for China’s investment in the “BRICS+” regional transportation infrastructure, the results are different. The low technological level of the “BRICS+” countries implies that they lack the technical capacity of transportation facility construction. Turkey, Mexico, Indonesia, Nigeria and other countries with relatively backward scientific and technological development may especially need strong support of China’s technology and capital in infrastructure construction [27].

4 Empirical Analysis on the Decision-Making of Location Selection of Chinese MNCs’ Investment in Transportation Infrastructure in the “BRICS+” Region 4.1 Building of the Linear Regression Model 4.1.1

Sample Selection

Considering the feasibility of modeling, this paper selected four representative countries, i.e., Russia, Brazil, India and South Africa as the research subjects, and selected the data of these four countries in 2002–2016 as the basis of data processing. The investment flow in the “BRICS+” regional transport infrastructure is taken as the explanatory variable. GDP of the host country, bilateral trade volume, technology level of the host country and energy reserves of host country are the explanatory variables for the location choice of Chinese MNCs’ investment in transportation facilities in the “BRICS+” region [28] (Table 1).

4.1.2

Data Sorting

We take Brazil as an example, and collect the relevant statistics of China’s investment flow in Brazil’s transportation facility industry, Brazil’s GDP, total import and export trade, number of patent invention application authorization and total disposable energy production in 2002–2016. There may be a non-linear relationship between the explained variable y and part of the explained variable x, which makes it impossible to build a linear regression model for regression analysis. Thus, we take the logarithm of the data, which can first eliminate the influence of the data itself, secondly avoid the analysis error caused by heteroscedasticity, and finally transform the nonlinear model into a linear model [29]. The processed data is shown in Table 2.

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Table 1 Explanation of the meaning of variables and data sources Explanatory variables

Meaning and explanation

Expected symbol

Data sources

GDP

GDP of the host country indicates the market scale: The larger the GDP, the larger the market scale

+

The World Bank Database

TRADE

Total amount of bilateral trade shows the closeness of trade ties between the two countries: The larger the trade, the closer the ties

+

The part of Foreign Economic and Trade, Statistical Yearbook

TEC

The technical level of the host country means the technological advantages: The greater the TEC, the more obvious the technological advantages of the host country

+

National Bureau of Statistics, WIPO Website

DES

Energy reserves in the host country signify the resource endowment of the host country

+

United Nations Statistical Office

4.1.3

Modeling

Based on the preliminary analysis of the influencing factors of location choice of overseas investment in transportation infrastructure, it is assumed that there is a multivariate linear relationship between Chinese overseas investment flow in transportation infrastructure and four of the influencing factors, and econometrics theory can be used [30]. Referring to Liu model, the regression model is initially set up by modification [17]. ln OFDIit = β0 + β1 ln GDPit + β2 ln TRADEit + β3 ln TECit + β4 ln DESit + ε (1) Among them, OFDIit represents the direct investment flow of China’s MNCs in transportation infrastructure in country I, GDPit represents the gross domestic product (GDP) of country I in t year, TRADEit represents the total import and export volume of China to country I in t year, TECit represents the number of patents applied for by country I in t year, and DESit represents the energy output of country I in t year. β0 is constant. βi is the coefficient to be estimated for the explanatory variable.

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Table 2 Statistical tables of data for the modeling regarding Brazil The year

X1

X2

X3

X4

Y

2002

18.936

24.940

26.954

8.480

17.547

2003

18.999

24.993

27.050

8.443

17.770

2004

19.022

25.184

27.229

8.447

18.188

2005

19.087

25.225

27.517

8.509

18.215

2006

19.145

25.175

27.733

8.476

18.686

2007

19.193

25.157

27.965

8.304

19.060

2008

19.246

24.860

28.157

7.903

19.196

2009

19.256

24.470

28.145

8.274

19.704

2010

19.323

24.608

28.424

8.315

20.644

2011

19.334

24.115

28.592

8.300

20.793

2012

19.366

23.733

28.532

8.245

21.094

2013

19.369

23.419

28.534

8.270

21.273

2014

19.425

23.237

28.529

8.283

21.765

2015

19.472

22.801

28.217

8.213

21.537

2016

19.497

22.221

28.217

8.121

21.605

Source Collated from World Bank Database, BRICS Joint Statistics Manual, National Bureau of Statistics, BRICS Statistics Division, Customs Administration

This paper uses data of India to establish a regression model of transport facility investment flow (Y ) on energy reserves (X1), total import and export trade (X2), GDP (X3) and number of patent applications (X4). Order Yi = ln OFDIit , X 1 = ln GDP, X 2 = ln TRADE, X 3 = ln TEC, X 4 = ln DES Therefore, a simple model is established. Yi = β0 + β1 X 1 + β2 X 2 + β3 X 3 + β4 X 4 + ε

(2)

4.2 Model Test 4.2.1

Unit Root Test

In theory, there is a long-term causal relationship between energy (X1), total import and export trade (X2), GDP (X3), patent application number (X4) and transportation infrastructure investment flow (Y ). In order to carry on the co-integration analysis and establish the error correction model, the unit root test of X1, X2, X3 and X4 was carried out in turn [31]. The results are shown in Table 3.

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Table 3 Results of unit root test of one-order difference sequence between explanatory variables and explained variables Variable symbols

Variable names

Inspection types

t-statistic

Critical value

Prob.

Y

Investment flows

First order stationary

−3.541015

(5%) − 3.119910

0.0244

X1

Energy reserves

First order stationary

−4.920669

(1%) − 4.057910

0.0024

X2

Total volume of import and export trade

First order non-stationary

−2.033979

(10%) − 2.701103

0.2705

X3

Gross domestic product

First order non-stationary

0.283757

(10%) − 2.728985

0.9648

X4

Number of patent applications

First order stationary

−3.973019

(5%) − 3.119910

0.0116

It can be seen from the above table that after primary differential processing of explanatory variables and explained variables, the absolute value of t statistical value of interpretation variable and explained variable, D (X1, 1), is greater than ADF critical value (1%), so it is ADF critical value of stationary sequence. The absolute value of t statistics of D (X4, 1) and D (Y, 1) is greater than the critical value of ADF examination (5%), so it is also stationary sequence. If the absolute value of t-statistics of D (X2, 1) and D (X3, 1) is less than the critical value of ADF inspection of 10%, it is a non-stationary sequence. It is necessary to carry out quadratic difference unit root test. The test results are shown in Table 4. After quadratic difference processing of explanatory variables, when the critical value of ADF a = 1%, the absolute values of t-statistics of D (X2) and D (X3, 2) are greater than 1%, the critical values of ADF examination. Therefore, it is judged that the two sequences are second-order stationary sequences. Table 4 Results of quadratic difference unit root test of explanatory variables Variable symbols

Variable names

Inspection types

t-statistic

Critical value

Prob.

X2

Total volume of import and export trade

Second-order stationary

−3.971847

(1%) − 2.792154

0.0010

X3

Gross domestic product

Second-order stationary

−4.648382

(1%) − 2.792154

0.0003

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Table 5 Results of residual item unit root test

4.2.2

t-statistic

Prob.

Augmented Dickey-Fuller test statistic

−3.980349

0.0182

Test critical values

1% level

−4.420595

5% level

−3.259808

10% level

−2.771129

Co-integration Test

Since X2 and X3 are second-order simple integers, X1, X4 and Y are first-order simple integers, and there may be a co-integration relationship between variables. The co-integration test can be implemented. The unit root test of residual items is carried out by EViews software, and the test results are shown in Table 5. It can be seen from the table that in the estimated vector regression model, the t statistical value of the residual term is −3.980349, and the critical value at 5% confidence level is −3.259808. It can be confirmed that at 95% confidence level, the absolute value of t statistical value of residual term is greater than the absolute value of critical value at 5% level. So the residual items of the data we studied are stable. There is a co-integration relationship between the explanatory variable and the explained variable.

4.2.3

Parameter Estimation

The parameters of four variables are estimated as shown in Table 6. The estimated regression equation from the table is: Yˆ = −52.77411 + 2.172032X 1 − 0.645310X 2 + 1.323643X 3 + 1.131854X 4 (−1.82)(1.30)(−4.03)(4.06)(2.55)

Table 6 Model output of Brazil Variable

Coefficient

Std. error

t-statistic

C

−52.77411

29.01299

Prob.

−1.818982

0.0989

X1

2.172032

1.665236

1.304339

0.2213

X2

−0.645310

0.160098

−4.030717

0.0024

X3

1.323643

0.326093

4.059098

0.0023

X4

1.131854

0.443898

2.549805

R-squared

0.987879

F-statistic

Adjusted R-squared

0.983030

Prob (F-statistic)

0.0289 203.7459 0.000000

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Statistical Test

Goodness of Fit Test The determinable coefficient of samples obtained from the table is: R-squared = 0.987879. The determinable coefficient of the modified sample is: adjusted R-squared = 0.983030. The calculation results show that the estimated sample regression equation fits the observed values of the samples well.

F Test The original hypothesis of the test is: H0 : β1 = β2 = β3 = β4 = 0. The opposition hypothesis is: H 1 : At least one is not equal to 0 (i = 1, 2, 3, 4). The F statistic is: F-statistics = 203.7459. As to the given significant level (α = 0.05), from the F distribution percentile table (α = 0.05), it is found that the upper quantile of F distribution with molecular degree of freedom “6” and denominator degree of freedom “8” is F0.05 (6, 8) = 3.58. Since F = 203.7459 > 3.58, the original hypothesis is negated. The overall regression equation is significant.

T Test The original hypothesis proposed for test is: H 0 : βi = 0 (i = 1, 2, 3, 4), t-statistic of β1 = 1.304339, t-statistics of β2 = 4.030717, t-statistics of β3 = 4.059098, tstatistics of β4 = 2.549805. As a result, t2 = −4.030717 > t0.05/2(10) = 2.23, t3 = 4.059098 > t0.05/2(10) = 2.23, t4 = 2.549805 > t0.05/2(10) = 2.23, so H 0 is negatived. In other words, it can be considered that Brazil’s total import and export trade to China, gross domestic product (GDP) and technical level have a significant impact on Chinese MNCs’ investment in transportation infrastructure in Brazil. t1 = 1.304339 < t0.05/2(5) = 2.23, indicating that Brazil’s energy production has no significant impact on the investment flow of Chinese companies in transportation infrastructure in Brazil. However, in fact, the main reason for China’s overseas investment in transportation infrastructure lies in the acquisition of foreign resources, while the reason why Brazilian energy reserves in the model have no significant impact on the investment flow is that the 2008 financial crisis led to the emergence of abnormal values, which made the model unable to reflect the reality [32]. In addition, the remaining BRICS countries are modeled with reference to the above model, and the regression results of each country are compared and analyzed as shown in Table 7.

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Table 7 Output results of BRICS model Explanatory variable

Russia

Brazil

India

South Africa

X1

−3.589223**

−4.920669***

−3.126951**

−1.371775

X2

−2.991055*

−3.971847***

−5.725149***

−3.402640*

X3

−4.819453***

−4.648382***

−7.159990***

−2.705947*

X4

−5.325148***

−3.973019**

−4.887745***

−4.660022***

R-squared (F-statistic)

0.916967 11.15876

0.987879 203.7459

0.983539 149.3785

0.922685 29.83523

Note *,** and *** indicate a significant level of 10%, 5%, and 1% respectively

4.3 Regression Result Analysis From the output of Russia’s model, the factors such as Russia’s resources, total import and export trade with China and technical level are all significantly related to China’s investment flow of transport infrastructure to Russia, but Russia’s GDP is not significantly related to the investment flow. In addition, the total amount of import and export trade with China and technical level have the most significant impact on the investment flow. It can be seen that the main factors affecting China’s investment flow of transport infrastructure to Russia are economic and trade relations and technical level, followed by energy. It reflects that Russia has good economic and trade relations with China and is a country with rich resources and low technical level of transport infrastructure. Similarly, the results of other countries’ regressions show that Brazil is a country with rich resources, high level of economic development and good economic and trade relationship with China, India is a country with obvious comprehensive advantages for investment in transport infrastructure, and South Africa is a technologically backward country.

5 Conclusions China’s enterprises need to give priority to investing in the BRICS countries of the “BRICS+” region. First, China’s enterprises may take the lead in investing in South Africa, a country with backward technology and the highest economic freedom among the BRICS countries. Secondly, investment in Russia may be a good choice for the reason that Russia has become China’s largest crude oil trading partner, and China’s investment is conducive to the facilitation of various categories of trade between the two countries. Thirdly, it is suitable for them to make investment in Brazil because Brazil, as a country with broad market, has established a good relations with China, and China’s enterprises’ investment may certainly facilitate China’s import of mineral resources from Brazil. Fourthly, it is necessary for Chinese MNCs to put

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a high value on the investment in India for the fact that India, as a country with huge economic growth potential, vast transportation infrastructure market and cheap labor force, has created a favorable and attractive location of investment [21]. Due to the relatively low technological level, it is difficult for the four Mints countries which include Mexico, Indonesia, Nigeria and Turkey to construct domestic infrastructure independently [26]. The theory of small-scale technology explains that the technology reverses investment very well [33]. China’s enterprises can make appropriate investment in the Mints. They can focus on the investment in Mexico and Indonesia for the reason that Mexico, as the world’s tenth largest oil producer, has the highest degree of economic freedom, and Indonesia, as the gateway to Southeast Asia, is the largest economy in ASEAN. After that, they may consider investing in Nigeria and Turkey prudently in that Nigeria,as the second largest economy in Africa, is the largest and the first oil-producing country in Africa and Turkey which is the transportation hub of the five seas and three continents has great potential of transportation infrastructure market due to the rapid development of logistics and tourism. However the choice of investment in Turkey needs to be made cautiously because of panic caused by Syria War [34]. After all, a company’s outward FDI needs to be based on safety, stability and reliability. Acknowledgements This paper is supported by the Project of the Research and Planning Fund for Humanities and Social Sciences of the Ministry of Education (No. 15yja790066).

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Diamond Principles for Economic Management En Zhu

Abstract Through research, it can be concluded that the goal of economic management should be to maximize the role of people and property in the economic management activities of the organization, so as to reduce the cost of economic management, so as to realize the functions of the organization. This goal can only be achieved in accordance with the diamond principle of economic management. Keywords Economic · Diamond principles · Cost · Function · Profit Marx said that capital is the savings of labor [1]. Although this article does not discuss the concept of labor, it can be used as the beginning of the article. The economic management here is mainly understood from the management and operation of the organization, and the aim is to maximize the efficiency of the organization’s management resources. What principles should we follow in achieving this goal? On this issue, the following two aspects are discussed.

1 Clarification of Economic Management Issues In the experience of commodity economic development, the term economy means profit, the final destination of economics is also unified in the profit here, profit is also the main body of today’s market economy, that is, the most core basis of enterprises. Therefore, the core problem of economic management should be in the

E. Zhu (B) Hunan Institute of Foreign-Related Economics, Marxist College, Fenglin SAN lu, Yuelu District, Changsha City 410205, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_71

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organizational benefits, i.e., profits. According to Marx, “profits are first proportional to wages, and then proportional to raw materials paid in advance”.1

2 On the Core Issue of Economic Management, the Issue of Profits, We Can Clarify the Following Two Aspects First, the opposite of function and cost, this problem is difficult to solve in the core problem of economic management and become the key to inhibit the development of organizational structure, because the function and cost of the organization are the decisive factors in realizing its profit. And these two elements are opposite, it seems that the relationship between fish and bear’s paw, can not be both. We know that the social value of an organization lies in the function of the organization, which can be understood as useful to people, and this usefulness is only one of the prerequisites for the gains of our organizations, that is, the basis for profit. On the other hand is cost, which is what an organization needs to pay to perform its functions. In general, this cost is paid in a proportional relationship with the function of the organization. Popular is to function as “good,” will lead to higher costs. And under a certain function, organization costs directly determine the organization of the harvest. As a result, we found that the relationship between function and cost problems, to what extent decides the organization can actually make a profit. Second, the realization of the function of the organization, that is, how to realize the function of the organization, and the core of this problem lies in the characteristics of the organizational structure of the organization and the matching relationship of the members. We find that the organizational structure and the people that make up it are a continuum. We find that the organizational structure and the people that make up it are a continuum. On the one hand, the organizational structure is the form of the organizational structure and the management personnel of the organizational structure. The function of the organizational structure lies in the system organization and the management personnel of the organizational structure, so as to realize the economic management function of the organizational structure. If the form of organizational structure can make full use of various capability elements of the managers of the organizational structure, the organizational structure can make the most efficient use of the economic management objective function of the organizational structure and maximize the functional efficiency of the organizational structure. On the other hand, the management personnel of the organization, the characteristics of their respective capabilities, whether to match the organizational structure, is one of the most important practical issues, if the match can enlarge the organization’s economic management objective function, and vice versa will reduce the organization’s economic management objective function. Therefore, the combination of 1 In

economics and philosophy manuscripts, 1844, p. 22, translated by Marx, translated by the compilation and translation bureau of works of Marx, Lenin and Stalin, central committee of the People’s Republic of China, 3rd edition, May 2000, 5th printing in Beijing, May 2008.

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organizational structure form and the characteristics of the competence elements of managers of the organization becomes the decisive element of the organization’s ability to achieve its objective function. This is also consistent with what Marx thought: the more people add to the share of goods, the greater the profit of dead capital [2]. The view is always the same. Here is a clarification of the function of achieving its goals. But another key issue is that the organization is able to achieve its objective function in order to make a profit. So the question arises, the organizational structure combined with the management of the ability elements of the organization of the economic management organism, to achieve its function when the cost is determined by what elements? Looking at the realization factors of the economic management function of the organization, there are three elements, namely the cost of organizational structure, the cost of human resources, and the cost of the necessary tools for economic management. Among these cost factors, human resources cost is the largest proportion and the main expenditure of economic management cost. Therefore, it is crucial for organizations to realize economic management profits to reduce the cost of human resources. Management costs and variable costs:

The cost of organizational structure is almost negligible, and the cost of necessary tools cannot be changed, so the only cost that can be adjusted is the cost of human resources. Will such adjustments adversely affect the organization’s ability to achieve its economic management objectives? Certainly, there will be an impact, either to improve the efficiency of the implementation of the target function or to reduce. However, this kind of adjustment can achieve the stability of the objective function of economic management through the change of organizational structure. This is the core of the clarification discussed below.

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3 Diamond Principles for Economic Management Through the previous analysis, we find that to reduce the economic management cost of the organization, the key is to reduce the cost of human resources of economic management, but now the wrong economic management thinking confirmed that in order to achieve the economic management of the organization’s goal function, we should adopt the elite talent model, The individual capabilities of economic managers are the standard. It is concluded that the stronger the individual capability factor is, the more beneficial it is for the organization to realize the objective function of economic management. In fact, this mode of personal elitism in managing human resources violates the principle of achieving the objective function of economic management. This principle is the diamond principle of economic management. Some carbon isomorphforms:

We all know that diamonds are the most natural and hard objects known to the Earth [3], but the elements of the diamond carbon, and is ordinary elements, because this carbon element, the form of the structure is different, the formation of different substances, and these substances have their own different physical characteristics, if only in terms of hardness, because the combination of carbon has changed, In a proper combination, each carbon element forms a more perfect whole, thus producing the hardest presence of diamonds. This diverse form of carbon, in fact, tells us, in one way, that the realization of the economic management objectives of an organization does not require high-cost individual elitism and should follow the principle of organizational structure and the diamond combination of managers. We can achieve the economic management objective function of the organization by establishing an organizational structure, that is, in line with the function of the organization’s economic management objectives and selecting hard-working and responsible managers to combine with the scientific organizational structure. Thus,

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we can get rid of the elite model, reduce the economic management cost and function of the organization of the opposite problem, and achieve the goal of economic management [4].

4 Conclusions From the above discussion, it can be concluded that the goal of economic management should be to maximize the role of people and property in the economic management activities of the organization, so as to reduce the cost of economic management, so as to realize the functions of the organization. This goal can only be achieved in accordance with the diamond principle of economic management.

References 1. Marx, Lenin, Stalin (2000) In economics and philosophy manuscripts, 3rd edn, 5th printing in Beijing, 1844 p, 22 May 2000 2. Marx, Deng Z (2019) Das Kapital. Beijing Joint Publishing Company, p 257, 12th printing, Feb 2019 3. Fu Y (2012) The wealth of nations. First edition: Smith A (trans: Fu Y). World Book Publishing House, June 2012 4. Yu J (1948) Economics. Nineteenth edition: Samuelson S (trans: Yu J). People’s Posts and Telecommunications Press

Research of Trade Characteristics and Problems on Vietnam to China’s Farm Exports Xing Liu and Yuan Yuan Tang

Abstract Vietnam is an export-oriented country and agriculture plays an important role in its economic development. China is Vietnam’s largest trading partner and Vietnam’s largest destination for agricultural exports. This paper analyzes the trade characteristics of Vietnam to China’s farm exports, puts forward the existing problems, and further discusses and gives some improvement measures and suggestions. Keywords Vietnam · China · Agricultural products · Export trade

1 Introduction Under the background of Belt and Road Initiative’s development strategy and strengthening cooperation between China–ASEAN free trade area, the economic and trade cooperation between China and Vietnam is increasing day by day. In 2018, the volume of trade between China and Vietnam has exceeded RMB 723 billion. China has become Vietnam’s first trade partner with a bilateral trade volume of more than $100 billion. The bilateral trade has shown good complementarity, and China’s exports to Vietnam are mainly mechanical equipment and industrial materials, and Vietnam’s exports to China are mainly agricultural and forestry products. Under the current situation of rising international trade protectionism and uncertain economic development, actively promoting the export trade of Vietnam’s dominant industries is helpful to realize the balanced development of Sino-Vietnamese bilateral trade and achieve the purpose of mutual benefit. At the same time, it plays a good exemplary role in the region, which is helpful to promote the healthy development of the economic and trade field of China–ASEAN free trade area.

X. Liu (B) · Y. Y. Tang School of Business, Hunan International Economics University, Changsha 410205, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_72

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2 The Present Situation of Vietnam to China’s Agricultural Product Export Trade 2.1 The Trade Volume of Vietnam’s Agricultural Exports to China XXX According to the data from the Ministry of Agriculture and Rural Development of Vietnam, China has become the largest agricultural product exporter of Vietnam since 2012, and the growth rate of agricultural products from Vietnam to China has increased year by year. As a country with the largest population in the world, China needs to import a large quantity of agricultural products every year to meet its own development needs. According to Ministry of Commerce of the People’s Republic of China, as shown in Fig. 1, the total export volume of Vietnam’s agricultural products from 2013 to 2017 was rising year by year, and the proportion of exports to China was also increasing year by year. Vietnam’s exports to China had risen 27.76% during the four-year period, indicating that Vietnam’s agricultural exports to China were growing rapidly and the development of Sino-Vietnamese agricultural trade was in good shape. Vietnam has abundant agricultural resources, and because it is in the tropics, it has a rich variety of crops; its agricultural population accounts for 70% of the total population and has abundant manual work; the area of cultivated land and forest land in the country reaches 60% of the total area of the country. Vietnam has grown

Fig. 1 Total agricultural export and agricultural export to China of Vietnam from 2013 to 2017 (Unit: US$100 million; %)

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into a major exporter of agricultural products, ranking second in Southeast Asia and ranking 15th in the world.

2.2 Structure of Vietnam’s Agricultural Exports to China Since 2012, China has become Vietnam’s largest exporter of agricultural products. The main kinds of Vietnam’s agricultural exports to China are rubber, coffee, cashew nuts, vegetables and fruits, fragrant rice, pepper, vegetable oil, and so on. As given in Table 1, from 2015 to 2017, rubber and aquatic products accounted for a large share of total agricultural trade between the two countries, the share of vegetables continued to grow steadily, and that of cashew nuts and coffee fluctuated slightly. The main export markets of Vietnamese rubber are China, Malaysia, and India, of which exports and trade to China are the most significant, accounting for about 64% of Vietnam’s total rubber exports. The Chinese market consumes more than 40% of the total amount of Vietnamese rubber a year. Vietnam’s rubber exports to China are growing rapidly. The demand market of rubber in China is mainly primary products, and finishing products account for less. Fruits and vegetables rank second only to fragrant rice and rubber in Vietnam’s agricultural exports. China is Vietnam’s largest exporter of fruits and vegetables. In 2013, China accounted for only 28% of Vietnam’s vegetable and fruit export earnings. By 2016, the proportion had risen to 70.8%, up slightly from 2017 to 2018. In recent years, there is a great demand for cassava in China. China imports most of its primary products for deep processing. According to the Ministry of Commerce of China, 90% of Vietnam’s cassava and its products are exported to the Chinese market in 2018. The Vietnamese cashew is one of its main agricultural exports. In 2018, its export amount is 8.7% of the total export of agricultural and forestry products in Vietnam, ranking the top. Vietnam’s cashew processing, and export volume continues to rank first in the world alone. The total export volume is maintaining a steady growth, with its products exported to 90 countries and regions of the world. The top three export markets are USA, China, and the European Union, respectively. Table 1 Total agricultural export and agricultural export to China of Vietnam from 2013 to 2017 (Unit: percentage; %)

Kind

Year 2015 (%)

2016 (%)

2017 (%)

Rubber

30

40.6

42

Aquatic products

32

33.5

34.5

Vegetables

11

12

12.5

Cashew nuts

7

8

5.8

Coffee

12.8

13

7.2

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Vietnam is the second-largest exporter of coffee in the world, but due to the lack of maturity of coffee production, the purity of the product is not enough and its output is not high. The proportion of Vietnamese coffee exports to China has fallen in recent years as a result of quality and how it is traded. Fragrant rice is also the main agricultural product exported by Vietnam, but most of the exports are still dominated by primary products, and the proportion of refined products is relatively small. According to the data of Vietnam Customs General Administration, the main importing country of Vietnamese rice in 2019 is still China, the total import amount is about 40%, and the total import amount will reach 2.29 million tons.

2.3 Export Advantages of Vietnamese Agricultural Products The export region of agricultural products is concentrated. Vietnam’s high temperature and humidity climate is very suitable for the growth of agricultural, forestry, and water products. The cultivating region of agricultural products in Vietnam is scattered, and the agricultural population accounts for three-fourth of the total population of the country, which provides sufficient conditions for the production of agricultural products. The proportion of agricultural exports accounted for one-third of the country’s foreign trade exports. At present, the export of agricultural products has become the main area of foreign exchange earnings in Vietnam. The export of agricultural products is single. Vietnam mainly exports primary products of agricultural products, while China has a relatively small advantage in agricultural commodities (the comparative advantage index is 0.88). China imports a large number of primary agricultural products from Vietnam to meet its own needs, and on this basis, some agricultural products are processed deeply. The trade environment of agricultural products is good. After Vietnam’s accession to the WTO, in accordance with its commitments, in order to promote the import and export of agricultural products, the Vietnamese government has formulated a series of policies and measures to reduce the import and export tariffs between China and Vietnam, especially in the area of export. For example, the revised Investment Law (2014) promulgated by the Vietnamese National Assembly in 2014 will strive for greater financial protection for Sino-Vietnamese agricultural investment enterprises on the original basis. It includes the encouragement of the export of agricultural products, the emphasis on the expansion of the import and export management rights of enterprises, the introduction of tax relief, the preferential treatment of investment, and the granting of preferential loans to enterprises in the production and operation of export products. The pattern of trade is single. According to the data analysis of the Ministry of Agriculture and Rural Development, most of the Vietnamese agricultural products entering China are through the way of border trade which enjoys a certain advantage in the customs, but because of the lack of trade specifications, the related inspection

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cannot reach the standards, resulting in lower export value of the agricultural products and the lack of trade sustainability.

3 Problems Existing in Vietnam to China’s Agricultural Product Export Trade 3.1 Lack of Planning for Agricultural Exports In recent years, the economic growth of Vietnam is fast, but in terms of economic development planning, there is still a lack of strong long-term planning for the promotion of competitive industries as to the development of the industry. First, the development of agricultural processing is lagging behind. Vietnam’s agricultural products are currently in the raw material and the primary products export, processing and finishing products are less, and the outer package of the products also lacks innovation. Although the processing and finished products of the products have been paid more and more attention in Vietnam from 2015, the processing and manufacturing industry in Vietnam is not developed, cannot get rid of the form of the manual workshop, and cannot form a large-scale processing system, so the processing and manufacturing industry of the agricultural products is still lagging. However, in developed countries, such as USA, finished output is far beyond the production of primary products. Moreover, the export system of agricultural products is not perfect. Many small-scale agricultural exporters lack circulation management capacity to deal with domestic and foreign distribution affairs. Due to the continuous price reduction of purchasers and foreign trade companies in the process of circulation, the interests of producers cannot be safeguarded. When the market is weak, the decrease or stop of purchasers has frustrated the enthusiasm of farmers in production, the decentralized link between export and production prevents producers from understanding the market demand in time, and the production of agricultural products cannot reach the quality and quantity needed by the market timely. These seriously prevent Vietnamese agricultural products and their processed products from entering the international market. Finally, the export of agricultural products is not supported financially by policy. At present, there are no restrictions on the size and strength of preferential credit and bank loans to encourage exports, but most of the scope is narrow, agricultural exports can only be supported by less export credit, resulting in the delay in the development of bulk trade. As a result, small border trade has been unable to tighten.

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3.2 Unreasonable Structure of Agricultural Export Trade XX The export of agricultural products in Vietnam is mainly labor-intensive, and the low cost of the labor force is the main competitiveness of the agricultural product export in Vietnam, which is being balanced by the import anti-dumping, which makes the export of agricultural products in Vietnam being in a passive and vulnerable position. Vietnam to China’s agricultural export trade structure shows that Vietnam relies on exporting raw materials and lags behind in finishing aspect, so its price and competitiveness are low. Developed countries have more than 70% of agricultural processing capacity, according to the Food and Agriculture Organization of the United Nations. In Europe, USA and Japan, more than 90% of vegetables are refined, and the finishing of German apple is 75.2%, and the processing of the agricultural products in the developed countries has been large-scale. The corn processing technology in USA, the rice processing technology in Japan, and the oil refining technology USA have formed a large-scale system. Vietnam’s export of a large number of primary products and the backward production of processed products have led to an unreasonable export structure. As the regional distribution of agricultural products in Vietnam is over-dispersed together with centralized and unified guidance is absent, most of the agricultural products in Vietnam have no trademark, resulting in a low degree of reliance on the products. The main reason is that the agricultural production is dispersed, the production scale is small, the small-sized enterprises are not aware of the trademark value, and the brand awareness is lacking. On the other hand, Vietnam’s lack of market research on China’s exports of agricultural products has led to the idea that it will only sell what it has rather than what it needs to sell the market.

3.3 The Export Quality of Agricultural Products Cannot Be Guaranteed As a traditional agricultural country, restricted by economic and political conditions, although it has the advantages of labor force and natural resources, the degree of specialization and standardization of agricultural production is low, and awareness and related standards on product quality and safety, performance, and environmental protection are lacking. The production and processing technology and fresh-keeping treatment technology of Vietnamese agricultural products are backward. The regional distribution of agricultural products is scattered, the scale of production is small, and most farmers focus on immediate interests. Backward agricultural products processing technology as well as specifications and other aspects of no strict standards are not in line with consumer preferences. In addition, due to the lack of knowledge of pesticides and drug custody, the problem of drug residues in agricultural products is serious, which

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can accelerate the ripening of the products themselves and lead to the perishability of the products, and the preservation time is short.

3.4 The Form of Agricultural Exports Is Dominated by Micro Trade The export of Vietnamese agricultural products is mainly through the form of border trade and the use of micro trade. At present, there are many problems in border trade management, which can easily lead to confusion in market management. By taking the goods to the port, individuals and enterprises pay certain taxes and fees in accordance with the relevant regulations based on the small trade on border, and then, the price is negotiated by the two parties after the buyer has inspected the goods. Most of the Vietnamese exporters have no understanding of the market demand in China, leading to the simultaneous transport of the same kind of agricultural products to the border by the Vietnamese exporters. Due to the shortage of fresh-keeping technology, the goods cannot be stored for a long time, and different exporters compete to reduce prices and obtain export opportunities, which also directly affects the interests of exporters and farmers.

4 Countermeasures to Improve Vietnam to China’s Agricultural Product Export 4.1 Perfecting the Policies Related to the Trade of Agricultural Products Between China and Vietnam With the completion of China–ASEAN free trade area in 2010, tariffs in the free trade area have been reduced, bilateral trade volume has increased year by year, and Sino-Vietnamese cooperation in agricultural products is also getting closer and closer. In January 2018, China’s Ministry of Agriculture proposed a strong implementation of the “Get out, Come in” strategy. China has sent 20 technical experts to Vietnam to exchange variety test, demonstration, promotion, and after-sales service, encouraging Chinese enterprises to carry out agricultural resource development cooperation overseas. In April 2019, the Ministry of Agriculture and Rural Development of China and the Ministry of Agriculture and Rural Development of Vietnam signed the Statement on Cooperation to Promote “Belt and Road Initiative” Cooperation to jointly promote the Establishment of Quality Standards for Pesticide Products to foster the standardization and modernization of pesticides in China and Vietnam.

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4.2 Improving the Structure of Agricultural Export Trade The implementation of diversified strategic pattern is the best way to expand the export of agricultural products. In the existing market, we should increase the types of agricultural products, expand the scope of exports, enhance the competitiveness of products, disperse operating risks, and actively promote the trade of agricultural products between the two countries. Strive for a favorable policy environment. At present, Vietnam provides financial subsidies for small- and medium-sized enterprises to open up the international market, policy subsidies for importing countries, joint venture funds for foreign aid, concessionary loans for foreign aid, and special funds for guarantee risks of foreign contracting projects.

4.3 Improving the Export Quality of Agricultural Products XX The production process of green products is strictly standardized. It is very important not only to environmental protection and the sustainable use of resources, but also to the development trend of international trade today. On the one hand, it is necessary to ensure that the quality is in accordance with the green standard of agricultural product planting, so as to avoid the green barrier brought by the trade of agricultural products. On the other hand, it must be in line with the international production and processing standards of agricultural production and processing technology and avoid disturbing agricultural technology barriers. Starting from production factors, it is necessary to establish a reasonable production system strategy and modernize the technical links of processing and preservation of agricultural products. At present, the biggest limitation of Vietnamese agricultural products to enhance international competitiveness is the weak processing link. In order to improve the quality of agricultural products in this link, the relevant management departments should strictly screen all agricultural product processing plants currently operating, eliminate dilapidated and backward processing machines, at the same time increase the number of factories in raw material production areas, build advanced machinery processing plants, and produce high-quality agricultural products to meet the market requirements. In addition, we should also pay attention to the trademark and packaging of products.

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4.4 Building the Export Brand of Agricultural Products and Creating Large-Scale Trade Brand building is the core issue of Vietnamese agricultural enterprises. At present, the establishment of brand has not been the focus of attention in Vietnam, and many entrepreneurs are still unconscious of the effects of the brand, so the brand effect should have a more comprehensive understanding. To hold various commodity fairs and exhibitions in China and the European Union, we should vigorously promote agricultural trade and seek opportunities to sign longterm and stable agricultural export trade cooperation by introducing Vietnamese agricultural products abroad.

5 Conclusion China is adjacent to Vietnam, with a large population base, diversified market demand, increasing demand, and the world’s largest agricultural product market, which makes the Vietnamese agricultural products have a wide market space when entering China. Vietnam to China’s total trade in agricultural products has risen sharply, and the total volume of trade is increasing year by year. Under the current Chinese consumer’s demand for high-quality agricultural products, Vietnam should actively carry out market research, improve the export trade structure of its agricultural products, improve the quality of the products, put forward more favorable policies, build the export brand of agricultural products with innovative thinking, give full play to the industrial advantages, and build a large-scale effect to promote Vietnam to China’s agricultural product trade. Acknowledgements This paper is supported by the project Applied Characteristic Discipline of the “Double First-rate” of Higher Education in Hunan Province: Applied Economics, Xiangjiaotong 2018-469. It is also supported by the “Hunan Provincial Social Science Found Project”: Research on the Dynamic Early-warning Mechanism of the Export Risks of Hunan farming Industry, 16JD39.

References 1. Irshad A (2014) New perspective of the China-ASEAN free trade area and the story of top ten products. Soc Sci Electron Publ 77(3):64–73 2. Hospital (2017) Opportunities and challenges for Guangxi economic development from ChinaASEAN free trade area. Mod Ind Econ Inform 20(31):16–20 3. Kamal M, Barakbah AR (2017) Temporal sentiment analysis for opinion mining of ASEAN free trade area on social media. In: International conference on knowledge creation and intelligent computing, vol 2, no 8. IEEE, pp 7–12

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4. Wang S, Liang D (2014) Analysis on influencing factors of agricultural products trade between China and central Asia. Agric Prospect 12:65–69 5. Zhang X (2017) Study on cross-border agricultural economic integration between China and Vietnam. Guangxi Soc Sci 02:39–45 6. Guofu Z (2018) Path optimization and prospect of agricultural trade cooperation between china and mekong river basin countries. Foreign Econ Trade Pract 04:17–20 7. Hu Y (2014) Influencing factors and countermeasures of China-ASEAN agricultural products trade development. Contemp Econ 10:68–71 8. Zhang X (2016) A study on regional economic cooperation of cross-border agriculture between China and Vietnam. Discuss Mod Econ 12:87–91 9. Xu F, Liu H (2017) A study on the effect of free trade zone trade creation and trade transfer on the import of agricultural products in China. Agric Econ Probl 09:76–84 10. Liu X (2015) An empirical analysis of intra-industry trade of agricultural products between China and Vietnam and its influencing factors. Foreign Econ Trade 03:9–12 11. Li Y (2015) A study on the effect of agricultural product trade under the framework of ChinaThailand free trade area. Foreign Econ Trade 10:21–24 12. Sun H (2015) A study on the strategy of agricultural complementarity and trade promotion in China. World Agric 11:139–141 13. Weisuchi (2016) An analysis of the competitiveness and complementarity of agricultural product trade between China and Vietnam. Natl Bus (28):16–17 14. Zheng G (2017) The path and prospect of agricultural trade cooperation development between China and ASEAN under the belt and road initiative. Foreign Econ Trade Pract 10:30–33 15. Zhao P, Meiying He (2018) A study on the competitiveness and complementarity of fruit trade between China and Vietnam. South-East Asia 04:84–90

Study on the Symbiosis of Participants in Low-Carbon Governance Xiaoyan Wang

Abstract Low-carbon governance needs the corporation of the government, the NGOs, the enterprises, and the public. In this paper, we annotate the relationships among the participants of the low-carbon governance from the perspective of the game analysis and find out that all the members of low-carbon governance will choose to cooperation and participate in low-carbon governance for their own benefits and the common interests. And then, we build the interaction model of the government-led and the NGOs, the enterprises, and the public participating together. Based on the logistic equation, we calculate equilibrium points of the interaction model and analyze the stability. Finally, we discuss all the members who participate in low-carbon governance and how to interact each other.

1 Introduction With the deterioration of the environment, we have a common willing to build a fine living environment. For the common goal, low-carbon governance and high-quality development have been put on the agenda [1]. Because of the scarcity and irreversibility of ecological environment, low-carbon governance and high-quality development cannot be carried out only by the government, the NGOs, the enterprises, or the public individually [2–4], and it must rely on the corporation and interaction of the multiple participants such as the governments, the NGOs, the enterprises, and the public. Either as an economic form or an economic development model, the goal of developing low-carbon economy and high-quality development is to cope with the challenges of energy, environment, and climate change [5–7]. From the perspective of the game analysis of low-carbon governance, the first step of the game is that the overall effectiveness of the low-carbon governance will be enhanced through the cooperation of the government, the NGOs, the enterprise, and the public, including X. Wang (B) Party School of the Hunan Provincial Committee of C.P.C Hunan Academy of Governance, Changsha 410205, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_73

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social benefits, economic benefits, and ecological benefits [8, 9]. And the second step is how to distribute the benefits of low-carbon governance to all of the members who participate in low-carbon governance fairly. For the government, what it pursuing is to maximize the local economic interests and political interests [10]. So the government will choose to cooperate with other members in low-carbon governance when its governance practices are beneficial to its economic and political interests. For the enterprises, they chase the maximum profit, but the consciousness of environment responsibility of them is faint [11, 12]. They will choose to cooperate when the punishment of sewage or the benefits of control sewage is greater than their governance costs [13]. For the public, what they pursuing is the happiness. Based on the assumptions of “economy man” and “rational man,” almost everyone wants to sit back and enjoy. But when they are equally apportioned the “public-negative product” as output costs, the public will choose to cooperate with the government, the NGOs, and the enterprises. So, all of them will cooperate each other because of the common interests and mutual benefits [14–16]. In this paper, we use logistic equation to descript the dynamic evolution of interaction relationship among the multiple participants of low-carbon governance and analyze the stability of the interaction model.

2 Model Building 2.1 Assumptions Assume that the cooperation of the participants in low-carbon governance requires two basic conditions: The whole benefit of the cooperative governance is greater than the benefit of the individual governance [17, 18]; and for each member, meet the principle of Pareto improvement, that is, the expected benefit of cooperative governance is greater than the benefits of non-cooperation governance. These two conditions suggest that each member in low-carbon governance has the motivation of cooperation [19]. Assume that the output level of each member in low-carbon governance is a function of time t. Here, t not only represents the time changes, but also represents all other factors that may affect the effects of low-carbon governance due to time changes, such as information, system, reputation, and so on. Assume that in a given time and territory, each member uses fixed inputs in lowcarbon governance, that is, the governance benefits (outputs) of each member in low-carbon governance will have a potential limit, denote M. Therefore, the growth rate of governance output of each member in low-carbon governance will decrease with the improvement of the output level and eventually tends to be zero. Assume that the governance of government comes earlier than the participation of the NGOs, the enterprises, and the public. And there is mutually promotion relationship among them.

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2.2 Logistic Equation We use logistic model to descript the dynamic evolution of interaction relationship among the participants of low-carbon governance. Formula follows: dx(t)/dt = px(1 − x/M)

(1)

Here, p means the average growth rate of benefit (output) of low-carbon governance, clearly, when x = M, there is dx(t)/dt = 0. That is, x = M is the maximum output level of each governance member, which is a stable equilibrium point.  According to (1), we can calculate that x(t) = 1/ 1/M + (1/cM)e− pt , in which c is a constant less than 0, and the inflection point is T (− p/c, M/2), Lim x(t) = M. At the left side of the inflection point, the average growth rate of benefit (output) of low-carbon governance is faster, while slower at right side.

2.3 A Government-Led Symbiosis Model We assume that the governance results of government in low-carbon governance is output, denote x1 (t), the governance results (outputs) of the NGOs, the enterprise, and the public denote x2 (t). Without the participation of the NGOs, the enterprise (market), and the public, government can independently carry out low-carbon governance and the output level meet the logistic model, as follows: dx1 (t)/dt = p1 x1 (1 − x1 /M1 )

(2)

Now, we introduce the NGOs, the enterprises, and the public, according to the assumptions, and the output level of governance of government will be promoted when the NGOs, the enterprises, and the public participate in low-carbon governance. For example, the formal or tacit contracts between the enterprises (or the public) and the government will play a direct role in promoting the governance practices of the government. The participation of the NGOs, the enterprises, and the public in low-carbon governance will conduct the government to achieve its political objectives better. In addition, the supporting of financial, technical, and reputation of the NGOs, the enterprises, and the public will promote the government to improve its governance. Here, we can denote the governance benefits (outputs) of the government as follows: dx1 (t)/dt = p1 x1 (1 − x1 /M1 + λ1 x2 /M2 ), λ1 > 0

(3)

λ1 means the contribution of the NGOs, the enterprises, and the public putting on the governance effect (output level) of the government.

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According to the assumption, the governance of government comes earlier than the participation of the NGOs, the enterprises, and the public. The governance output level of the NGOs, the enterprises, and the public will gradually reduce and eventually tends to be zero without the government. The growth rate of the output level of the NGOs, the enterprises, and the public is denoted p2 . Without the governance of government, taking into account that the factor inputs used in low-carbon governance of the NGOs, the enterprises, and the public are fixed, the output level of them can be described as follows: dx2 (t)/dt = p2 x2 (1 − x 2 /M2 )

(4)

Due to the presence of government, governance level of the NGOs, the enterprises, and the public will be improved because of the constraints of the formal contract, institutional arrangements, and other incentives of government. In this way, output level of governance of the NGOs, the enterprises, and the public can eventually be described as follows: dx2 (t)/dt = p2 x2 (1 − x 2 /M2 + λ2 x1 /M1 ), λ2 > 0

(5)

λ2 means the contribution that the government put on the governance effect (output level) of the NGOs, the enterprises, and the public. Based on the analysis above, we can descript the governance structure of government-led and the NGOs, the enterprises, and the public participating together by the formulas (3) and (5) comprehensively. This interaction structure can reach a stable level and can be depict by following differential equations: ⎧ ⎪ f s (x1 , x2 ) ≡ dx1 (t)/dt ⎪ ⎪ ⎨ = p1 x1 (1 − Mx11 + ⎪ f s  (x1 , x2 ) ≡ dx2 (t)/dt ⎪ ⎪ ⎩ = p2 x2 (1 − Mx22 +

λ1 x 2 ) M2

=0

λ2 x 1 ) M1

=0

(6)

Calculating the differential equations above, we can get the following equilibrium points: E 1 (0, 0),

E2 (0, M2 ),

E 3 (M1 , 0), E 4

M1 (1−λ1) M2 (−1+λ2 ) , 1−λ1 λ2 1−λ1 λ2



3 Stability Analysis of Symbiosis The governance structure of government-led and the NGOs, the enterprises and the public participating together is an interaction structure, which can reach a stable

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level. In the following, we analyze the stability of the interaction model according to the above results. E 1 (0, 0) means that the governance benefits (output level) of the government, the NGOs, the enterprises, and the public are all zero. This will eventually lead to no one willing to governance. Obviously, this is an extreme case and the equilibrium point is moot. E 2 (0, M2 ) means that the NGOs, the enterprises, and the public will do their utmost to undertake low-carbon governance while the government will exit governance. Obviously, this result contrary to the premise that “the governance of government sectors comes earlier than the participation of the NGOs, the enterprises and the public.” Therefore, this equilibrium point is doom too. E 3 (M1 , 0) means that the government will do its best to carry out low-carbon governance while the NGOs, the enterprises, and the public will exit. Same as above, it is contrary to the premise that “introduce the NGOs, the enterprises and the public.” Therefore, this equilibrium point is also doom. E 4 (M1 (1 − λ1 )/(1 − λ1 λ2 ), M2 (−1 + λ2 )/(1 − λ1 λ2 )) means that the governance outputs level of the government and the NGOs, the enterprises, and the public are M1 (1−λ1 )/(1−λ1 λ2 ) and M2 (−1+λ2 )/(1−λ1 λ2 ), respectively. If the results of the two equations are not zero, it meets to the conditions of cooperation and interaction between government and the NGOs, the enterprises, and the public. Therefore, there is:

M1 (1 − λ1 )/(1 − λ1 λ2 ) > 0 (7) M2 (−1 + λ2 )/(1 − λ1 λ2 ) > 0 Solving the inequalities, there are λ1 < 1, λ2 > 1, λ1 λ2 < 1 and λ1 > 1, λ2 < 1, λ1 λ2 > 1. Following, we will analyze the stability of the equilibrium point. For general nonlinear equations, we can determine the stability of the equilibrium point through the approximate linear equations method. At the point E 4 (M1 (1 − λ1 )/(1 − λ1 λ2 ), M2 (−1 + λ2 )/(1 − λ1 λ2 )), we let (6) to be the Taylor expansion, there are:

 Put E 4

dx1 (t) = p1 (1 − 2x1 /M1 + λ1 x2 /M2 )(x1 − x1∗ ) dt + p1 x1 λ1 /M2 (x2 − x2∗ )

(8)

dx2 (t) = p2 x2 λ2 /M1 (x1 − x1∗ ) dt + p2 (1 − 2x2 /M2 + λ2 x1 /M 1 (x2 − x2∗ )

(9)

M1 (1−λ1) M2 (−1+λ2 ) , 1−λ1 λ2 1−λ1 λ2

into the coefficient matrix, there is:

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X. Wang

 A=

p1 (−1+λ1 ) p1 λ1 (1−λ1 ) 1−λ1 λ2 1−λ1 λ2 M2 p2 λ2 (−1+λ2 ) p1 (1−λ2 ) M1 (1−λ1 λ2 ) 1−λ1 λ2

(10)

According to the judgment method of the stable point of differential equations, the equilibrium point has practical meaning only if it is located in the first quadrant, so the stability conditions of the equilibrium point E 4 is λ1 < 1, λ2 > 1, λ1 λ2 < 1. λ1 < 1 means that the NGOs, the enterprises, and the public participating in low-carbon governance contribute litter to the governance effects of the government. We can interpret it intuitively from economic sense in reality. For a long time, lowcarbon governance is a government process and arranged by the government. The other governance members especially the enterprises and the public often participate in low-carbon governance passively under the guidance of the government. So, their role of supporting and promotion for the government is limited. λ2 > 1 means that government carrying out low-carbon governance contribute much more to the governance effects of the NGOs, the enterprises, and the public, which also can be interpret intuitively from economic sense in reality. For example, propagandize of the environmental protection knowledge, the provisions of the lowcarbon governance policy, introduction of a range of governance programs, and many kinds of incentives and punishment measures of government will inspire the NGOs, the enterprises, and the public to carry out low-carbon governance actively. λ1 λ2 < 1 means that in the interaction model of governance of governmentled and the NGOs, the enterprises, and the public participating together, it requires the governance output (benefit) level of government is relatively high, and the government plays an important role of inspiration and promotion on the NGOs, the enterprises, and the public in low-carbon governance.

4 Summary In this paper, we use the logistic model which is often used to descript the dynamic evolution and stability of the symbiotic of different populations in biology to descript the dynamic evolution of interaction relationship among the multiple participants of low-carbon governance and analyze the stability of the interaction model. We get the following conclusions: All the members in low-carbon governance will eventually choose to cooperate with each other and participate in low-carbon governance together because of their own benefits and the common interests [20, 21]. A governance structure of government-led and the NGOs, the enterprises, and the public participating together will be formed. We call this governance structure as an interaction model, and it is a stable one. In the interaction structure, government carrying out low-carbon governance contributes much to the governance effects of the NGOs, the enterprises, and the public while the NGOs, the enterprises, and the public contribute little to the government. All these conclusions can be interpreted intuitively from economic sense in reality.

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Acknowledgements This work is phased achievements of the key research projects of the Party School of the Central Committee of C.P.C.: “Promoting the high-quality development of Hunan Province with the construction of ecological civilization (2019DFDXKT084).”

References 1. Chen X, Wang X (2013) Symbiosis model of the participants of watershed management and stability analysis. J Hunan Univ Soc Sci 27(01):52–56 2. Dewulf A, Craps M, Bouwen R et al (2005) Integrated management of natural resources: dealing with ambiguous issues. multiple actors and diverging frames. Water Sci Technol 52(06):115– 124 3. Ding Z, Wang S, Jiang S (2014) Research on a dynamics with bounded rationality for highcarbon and low-carbon energy economic system. Econ Model 33:375–380 4. Ostrom E, Schroeder L, Wynne S (1993) Institutional incentives and sustainable development: infrastructure policies in perspective. Westview Press 5. Kooiman J, van Vliet M (2003) Self-governance as a mode of societal governance. Public Manag 2(03):359–378 6. Jänicke M, Quitzow R (2017) Multi-level reinforcement in European climate and energy governance: mobilizing economic interests at the sub-national levels 27(2):122–136 7. van der Heijden J (2017) Experimental governance for low-carbon buildings and cities: value and limits of local action networks. Cities 53:1–7 8. van der Heijden J (2017) From leaders to majority: a frontrunner paradox in built-environment climate governance experimentation. J Environ Planning Manage 5(1):1–19 9. Jia P, Li K, Shao S (2018) Choice of technological change for China’s low-carbon development: evidence from three urban agglomerations 206(05):1308–1320 10. Rietig K (2019) Leveraging the power of learning to overcome negotiation deadlocks in global climate governance and low carbon transitions. J Environ Plan Policy Manage 21(1):1–14 11. Brown MA, Zhou S, Ahmadi M (2018) Smart grid governance: an international review of evolving policy issues and innovations. Wiley Interdiscip Rev Energy Environ 7(6):290–299 12. Smits M (2017) The new (fragmented) geography of carbon market mechanisms: governance challenges from Thailand and Vietnam. Glob Environ Polit 17(1):69–90 13. Kivimaa P, Hildén M, Huitema D (2017) Experiments in climate governance—a systematic review of research on energy and built environment transitions. J Clean Prod 169(36):1–30 14. Axelrod R, Hamilton WD (1981) The evolution of cooperation. Science 211(03):1390–1396 15. Rhodes RAW (1997) Understanding governance: policy networks, governance, reflexivity and accountability. Open University Press, GB, Philadelphia, US, Maidenhead 16. Rosenau JN (2002) Governance in a new global order. In: McGrew A, Held D (eds) Governing globalization. Power, authority and global governance. Polity Press, Cambridge, pp 70–86 17. Weiss JA (1987) Pathways to cooperation among public agencies. J Policy Anal Manag 7(09):94–117 18. Wenrui HU (2019) Special issue: low-carbon management. Front Eng Manag 6(1):1–4 19. World Bank (2018) Accelerating climate-resilient and low-carbon development. World Bank Publications 20. Wang N, Chang Y-C (2014) The development of policy instruments in supporting low-carbon governance in China. Renew Sustain Energy Rev 35:126–135 21. Zhuang G, Pan J, Zhu S (2011) Meaning of low-carbon economy and a comprehensive evaluation index system. Econ Perspect 1:132–136

The Construction of Risk Evaluation System of Small Loan Company in China Based on AHP Qianyun Yang and Xiangwang Wu

Abstract Small loan company pilot carryout in our country since 2005 has achieved good result. Especially, the small microenterprise and vulnerable groups provided a large number of loans, easing the problem of insufficient funds. At the same time, small loan company is faced with many risks. Among them, the sources of finance are limited, the lack of professional talents and unsound supervision mechanism still exists, in addition, the rise of the Internet has given rise to microfinance platform, and this new form of borrowing also contains a lot of loopholes. How to solve the above problem will be the focus of this article. The article first analyzes the itself exists conventional risk, also has brought about by the market system is not sound new risks, at the same time also probes into the network of microfinance lending to emerging forms of risk and Constructs the risk evaluation system of small loan company. Then using the AHP method to microfinance companies face the risk of empirical study, through research, find out what are the main factors which affected the further development of small loan companies. At last, in view of the above risk concrete solving measures are put forward to further improve the development of small loan company. Keywords Small loan company · Risk prevention · Credit evaluation

1 Introduction 1.1 The Main Risks Faced by China’s Small Loan Companies 1.1.1

Credit Risk

In traditional economics, we believe that rational “economic man” has complete information; that is, the cost for small loan companies to obtain information such as Q. Yang (B) · X. Wu Hunan International Economics University, Changsha 410000, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_74

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customer’s solvency and credit level is low, at the same time, customers also obtain the right to use funds with low capital, and the market transaction efficiency is high [1]. But the reality is not so. Because of the asymmetry of information, customers often have an advantage in the amount of information, and the small loan companies as lenders are often in a disadvantageous position. In this way, customers can easily use this “information defect” to cheat and misappropriate funds, which makes small loan companies face a huge credit risk of unable to recover loans [2].

1.1.2

Market Risk

The market risk of small loan companies is mainly caused by the change of interest rate. According to the law of China, the loan interest rate of small loan companies is between 0.9 and 4 times of the benchmark interest rate published by the People’s Bank of China. With the further deepening of China’s reform, the degree of interest rate marketization is further enhanced, and the interest rate risk faced by small loan companies is more and more obvious [3–5]. Therefore, if there is no strong judgment level of interest rate risk, there is no scientific interest rate formation mechanism, the risk affecting interest rate is more diversified in the future, and the situation of small loan companies will be more difficult and more important. Yes, in the reality of economic downturn, sluggish domestic demand and sluggish consumption, the benchmark lending rate is likely to be lowered again.

1.1.3

Operational Risk

Operational risk refers to the company’s internal control system not perfect or the personnel’s mistakes or accidents in the operation process [6, 7]. If these risks are not properly handled, it will seriously affect the operation of the company. In the governance system of many small loan companies, there is a phenomenon of imbalance of power constraints, especially the integration of implementation and supervision. At the same time, the company’s internal control system is not perfect, such as crossemployment, system loopholes, not paying attention to legal compliance, business system is not perfect, and so on; all of these seriously increase the operational risk [8].

1.1.4

Liquidity Risk

Compared with banks, microfinance companies belong to the financial institutions that only lend but not deposit, so its credit resources supply is relatively single. In the face of capital gap, it is easy to lead to poor capital turnover, which directly affects the normal operation of small loan companies [9].

The Construction of Risk Evaluation System …

1.1.5

639

Regulatory Risk

In China, the development of small loan companies is rapid. However, the relevant regulatory system has not been followed up in time. It is obvious that in the guidance of small loan companies, the guidance says that the local government should designate a regulatory department to supervise the small loan companies, the department should bear the risk responsibility, and then the pilot can be carried out. At the same time, it is difficult for supervision units at all levels to reach an agreement on specific supervision. If the management is too tight, the risk can be restrained, but the small loan company will lose its vitality and life. On the contrary, if the management is too loose, it is afraid that the small loan company will not develop in a healthy direction.

1.2 New Risks Faced by Small Loan Companies in China 1.2.1

Alienated Product Risk

In order to increase the traffic, credit products are often alienated on the network small loan platform. For example, there is a kind of alienated credit product, the second standard. This product often has a high return on investment and a short investment period, which attracts a large number of investors. However, it implies the risk of financial fraud [10, 11]. If the issuer of the second standard product gathers a large amount of capital in a short period of time, but does not cash the investors, the money will run away, which will cause the investors to suffer losses.

1.2.2

Liquidity and Securitization Risk

In the process of bond transfer, due to the existence of term mismatch and amount mismatch, there is a great pressure on the liquidity of professional lenders’ accounts [12]. Before the maturity of the debt, if the bond owner cannot transfer the bond to the next one in time, there is a risk of liquidity shortage. Secondly, another risk related to liquidity is whether it is credit asset securitization in the process of credit asset transfer [12–17].

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2 The Construction of Risk Evaluation Index System of Small Loan Companies in China 2.1 Risk Assessment Indicators 2.1.1

Credit Risk

Credit risk includes nonperforming loan ratio, proportion of mortgage loan, provision adequacy ratio, migration rate of normal concerned loan, concentration degree of single customer loan, proportion of guaranteed loan; mortgage loan refers to the loan obtained from the bank by the borrower with certain collateral as the guarantee [14]; provision adequacy ratio is the proportion of use of dead and bad debts that may occur in small loan companies; the migration rate of concerned loans refers to the classification of asset loans by small loan companies, so as to evaluate the operation and management level of small loan companies; the single loan concentration degree refers to the excessive concentration of loans in a certain region, industry and customer; the proportion of guaranteed loans refers to the liability of the guarantor when the first debtor is unable to repay the loan when the small loan company signs the contract terms with the lender. Nonperforming loan ratio = Balance of nonperforming loans at the end of the period/Total loans Proportion of mortgage loans = Value of estate under mortgage/Loan amount Provision adequacy ratio = (General preparation + Special preparation + Special preparation) (Subordinated loan + Doubtful loans + Loss loan) Loan concentration = Single customer loan balance/Total loans.

2.1.2

Market Risk

Market risk includes loan interest rate, interest rate sensitivity and industry competition intensity. The loan interest rate refers to the remuneration that the lender obtains from the borrower because of the issuance of monetary funds, and it is also the price that the borrower must pay for the use of funds; the interest rate sensitivity refers to the impact of interest rate changes on the assets and liabilities of small loan companies [16]; the industry competition intensity refers to the degree of competition among industry competitors. Interest rate sensitivity = Scale of interest rate sensitive assets/Interest rate sensitive debt size.

The Construction of Risk Evaluation System …

2.1.3

641

Operational Risk

Liquidity risk includes the proportion of liquidity, financing channels and the remaining term of loans [18]; the sources of financing channels are various, which can be either direct financing, such as stock issuance, or indirect financing, such as bank loans. Liquidity ratio = Liquid assets/Current liabilities Remaining term of loan = ( Remaining term of each loan × Amount of each loan)/Amount of each loan.

2.1.4

Liquidity Risk

Operational risk includes the quality of employees, the perfection of internal control system, the frequency of system failure, the rate of operational errors and the rate of case risk. Employee quality refers to the professional quality and knowledge-level structure of employees [15]; the perfection of internal control system refers to the standardization of internal operation procedures; system failure rate, employee operation error rate and case risk rate refer to the risk of loss caused by subjective intention or unintentional in the process of daily management of small loan companies. For the above risks, we will use the expert scoring method to evaluate.

2.1.5

Regulatory Risk

Regulatory risks include the soundness of the legal regulatory system, the adequacy of regulatory forces and regulatory channels. The sound degree of the legal supervision system guarantees the supervision of small loan companies in law, which plays an important role in the development of small loan companies; the fullness degree of supervision force reflects the absence of supervision and the setting of supervision authority [18, 19]; the supervision channel reflects the diversification of supervision subjects, which can be from the national level, society and companies’ internal and personal.

2.2 Model Construction Based on AHP 2.2.1

The Theory of AHP

Analytic hierarchy process (AHP) was proposed by Professor T. L. Saaty, an American Operational Research Scientist, in the early 1970s. AHP is a method that divides a series of complex elements into different levels, then establishes the model by establishing the hierarchical structure chart, using the expert scoring method, and carries out quantitative analysis on the model.

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2.2.2

AHP Model Building Steps

(1) Establish hierarchy chart According to the six risk factors faced by micro-credit companies, we construct the risk hierarchy. AHP model includes target layer, criterion layer and scheme layer [20]. The target level is the highest level; the criterion level is all kinds of means and measures to achieve the goal; the scheme level is some items under the criterion level. In this study, the target layer is the risk evaluation index system of small loan companies; the criteria layer includes credit risk, market risk, operational risk, liquidity risk and regulatory risk [21]; the program layer is the relevant factors affecting the five risks. (2) Construction of contrast matrix We will compare the relevant factors of each level and list the matrix. The greater the weight of a factor, the greater the impact on the risk of small loan companies. This importance is given by experts or professional technicians of small loan companies. Experts or technicians only need to assign a value to the relative importance of each evaluation index (Tables 1, 2, 3, 4, 5 and 6). (3) Calculate index weight (4) Check the consistency of judgment matrix ➀ First of all, calculate the row average value of the standard pairwise comparison matrix, also known as the eigenvector. ➁ Multiply the two comparison matrices by their eigenvectors, and the result is called weighted sum vector. Divide the components of each weighted sum vector by the components of the corresponding eigenvector. ➂ Average the above results, get the maximum eigenvalue λmax of the judgment matrix, calculate the consistency index CR of the judgment matrix, and Table 1 Comparison of risk assessment of small loan companies Risk evaluation

Credit risk

Market risk

Liquidity risk

Operational risk

Regulatory risk

Weight vector

Credit risk

1

3

3

2

3

0.3342

Market risk

1/3

1

1

1/3

2

0.1262

Liquidity risk

1/3

2

1

1/3

2

0.1348

Operational risk

1/2

3

3

1

2

0.2409

Regulatory risk

1/3

1/2

1/2

1/2

1

0.1153

Note λmax = 6.5229, CR = 0.0843 < 0.1, passing the consistency test

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Table 2 Credit risk comparison table Credit risk

➀

➁

➂

➃

➄

➅

Weight vector

Nonperforming loan ratio

1

2

1/2

2

3

4

0.2468

Proportion of mortgage loans

1/2

1

1/3

3

1

3

0.1554

Provision adequacy ratio

2

3

1

2

3

3

0.3171

Migration rate of loans of normal concern

1/2

1/3

1/2

1

3

1

0.1153

Single customer loan concentration

1/3

1

1/3

1/3

1

2

0.0942

Proportion of guaranteed loans

1/4

1/3

1/3

1

1/2

1

0.0712

Note λmax = 6.5037, CR = 0.0812 < 0.1, passing the consistency test ➀ Nonperforming loan ratio, ➁ proportion of mortgage loans, ➂ provision adequacy ratio, ➃ migration rate of loans of normal concern, ➄ single customer loan concentration, ➅ proportion of guaranteed loans

Table 3 Market risk comparison table ➀

Market risk

➁

➂

Weight vector

Loan interest rate

1

1

2

0.3874

Interest rate sensitive interest rate

1

1

3

0.4434

Industry competition intensity

1/2

1/3

1

0.1692

Note λmax = 3.0183, CR = 0.0158 < 0.1, passing the consistency test ➀ Interest rate sensitivity gap, ➁ interest rate sensitive interest rate, ➂ industry competition intensity

Table 4 Comparison of liquidity risk Liquidity risk

Liquidity ratio

Financing channel

➀

Weight vector

Liquidity ratio

1

2

3

0.5278

Financing channel

1/2

1

3

0.3325

Average remaining term of loan

1/3

1/3

1

0.1397

Note λmax = 3.0536,CR = 0.0462 < 0.1, passing the consistency test ➀ Average remaining term of loan

check the consistency by checking the size of CR and 0.1. The formula for calculating CR is that CR = CI/RI; CI = (λmax − n)/(n − 1). The results show that the above Cr is less than 0.1, which has passed the consistency test.

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Table 5 Operational risk comparison table Operational risk

➀

➁

➂

➃

➄

➅

Staff quality

1

2

3

1

2

0.3005

Perfection of internal control system

1/2

1

2

2

3

0.2616

System failure frequency

1/3

1/2

1

1/2

1/3

0.0893

Operation error rate

1

1/2

2

1

2

0.2100

Case risk rate

1/2

1/3

3

1/2

1

0.1386

Note λmax = 5.3227, CR = 0.0720 < 0.1, passing the consistency test ➀ Staff quality, ➁ perfection of internal control system, ➂ frequency of system failure, ➃ operation error rate of employees, ➄ case risk rate, ➅ weight vector

Table 6 Comparison of regulatory risks Regulatory risk

➀

➁

➂

➃

Soundness of legal supervision system

1

2

2

0.5

Adequacy of regulatory power

1/2

1

1

0.25

Supervision channel

1/2

1

1

0.25

Note λmax = 3, CR = 0 < 0.1, passing the consistency test ➀ Soundness of legal supervision system, ➁ adequacy of regulatory power, ➂ supervision channel, ➃ weight vector

2.2.3

Fuzzy Comprehensive Scoring Model

(1) We can establish the following factor sets: A1 (Credit risks) = {a11 , a12 , a13 , a14 , a15 , a16 } = {Nonperforming loan ratio, proportion of mortgage loan, provision adequacy ratio, migration rate of normal concerned loan, loan concentration of single customer, proportion of guaranteed loan} A2 (Market risk) = {a21 , a22 , a23 } = {Loan interest rate, interest rate sensitivity, industry competition intensity} A3 (Liquidity risk) = {a31 , a32 , a33 } = {Liquidity ratio, financing channel, average remaining term of loan} A4 (Operational risk) = {a41 , a42 , a43 , a44 , a45 } = {Quality of employees, perfection of internal control system, frequency of system failure, operation error rate, case risk rate} A5 (Regulatory risk) = {a51 , a52 , a53 } = {The soundness of the legal supervision system, the sufficiency of the supervision power, the supervision channels}. (2) Multiply the risk weight Ai (i = 1, 2, 3, 4, 5, 6) with the corresponding factor set aij (j = 1, 2 … m), and get the comprehensive weight Rj (j = 1, 2 … m) of the AHP risk evaluation index of small loan companies, as shown in Table 7. (3) Set up a set of vector reviews for small loan companies, which are n = {n1 , n2 , n3 , n4 , n5 } = {Excellent, good, medium, pass, fail}, and get the result of fuzzy comprehensive evaluation Z = Rj * (n1 , n2 , n3 , n4 , n5 )T, (j = 1, 2 … m).

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Table 7 Comprehensive weight of AHP risk evaluation index of small loan company Criterion level

Criteria layer weight

Scheme layer

➀

➁

Credit risks

0.3342

Nonperforming loan ratio

0.2468

0.0825

Proportion of mortgage loans

0.1554

0.0519

Provision adequacy ratio

0.3171

0.1060

Migration rate of loans of normal concern

0.1153

0.0385

Single customer loan concentration

0.0942

0.0315

Market risk

Liquidity risk

Operational risk

Regulatory risk

0.1262

0.1348

0.2409

0.1153

Proportion of guaranteed loans

0.0712

0.0712

Loan interest rate

0.3874

0.0489

Interest rate sensitive interest rate

0.4434

0.0560

Industry competition intensity

0.1692

0.0214

Liquidity ratio

0.5278

0.0711

Financing channel

0.3325

0.0448

Average remaining term of loan

0.1397

0.0188

Staff quality

0.3005

0.0724

Perfection of internal control system

0.2616

0.0630

Frequency of system failure

0.0893

0.0215

Operation error rate of employees

0.2100

0.0506

Case risk rate

0.1386

0.0334

Soundness of legal supervision system

0.5

0.0577

Adequacy of regulatory power

0.25

0.0288

Supervision channel

0.25

0.0288

Note ➀ Scheme level weight and ➁ comprehensive weight

(4) From Table 7, we can see that the more important factors affecting the small loan companies are: provision adequacy ratio, accounting for 10.6% of the total weight, nonperforming loan ratio, accounting for 8.25% of the total weight, liquidity ratio, accounting for 7.11% of the total weight, and employee quality, accounting for 7.24% of the total weight, while the less relevant factors are the average remaining term of the loan.

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3 Conclusion and Inspiration This paper draws the following conclusions through the analysis: Firstly, it makes a systematic study on the common risks faced by microfinance companies and makes an empirical analysis. We find that the main factors affecting the risk of microfinance companies come from the company’s internal, such as operational risk and liquidity risk. Therefore, we suggest that microfinance companies should strengthen their anti-risk capacity building and be active, broaden financing channels, strengthen the construction of talent team, improve corporate governance mechanism, strengthen capital adequacy management, etc. However, in the new situation, new risks are constantly emerging, and microlending virtual platform often contains greater risks. Based on AHP, this paper constructs the risk evaluation system of small loan companies to analyze various risks quantitatively and points out several typical risks faced by small loan platforms. In ±view of these risks, the author thinks that we can build a good and transparent small loan trading market from the aspects of enhancing account transparency, industry self-discipline management, strengthening supervision and so on. Acknowledgements This research is based on “Double First-Class” Applied Characteristic Construction Discipline in Hunan Province and National Natural Science Foundation of China (Grant No. 71573082). This paper is based on the innovation and development of the micro-loan company under the background of the Excellent Youth Project of Hunan Education Department (2018no. 18b522).

References 1. Ledgerwood J (1999) Microfinance handbook: an institution and financial perspective. The World Bank, Washington, DC, pp 335–367 2. Robinson MS (2001) The microfinance revolution: sustainable finance for the poor. The World Bank, Washington, DC, pp 221–225 3. Saad ST (2009) Financial and social impacts, Bangladesh (6):42–44 4. Bratton M (1986) Financing smallholder production: a comparison of individual and group credit schemes in Zimbabwe. Int J Manag Res Pract Publ Adm Devel (6):115–132 5. Laffont JJ (2003) Collusion and group lending with adverse section. J Dev Econ (30):329–348 6. Stiglitz JE (1990) Peer monitoring and credit markets. World Bank Econ Rev 4(3):351–66 7. Campion, Valenzuela L (2001) Credit bureaus: a necessity for microfinance. Microenterp Best Pract 12 8. Blumberg BF, Letterie WA (2008) Business starters and credit rationing. Small Bus Econ 9. CGAP (2006) Access for all: building inclusive financial systems, vol 6. CGAP, Washington, DC 10. Bergen AN, Udell GF (1995) Relationship lending and lines of credit in small firm finance. J Bus 68:351–381 11. Bester H (1985) Screening versus rationing in credit markets with imperfect information. Am Econ Rev 75(4):850–855 12. Hossain M (1998) Credit for alleviation of rural poverty: the Grameen Bank in Bangladesh. IFPRI, Washington, DC

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13. Buss TF, Yancer LC (1999) Cost-benefit analysis: a normative perspective. Econ Dev Q 13(1):29–37 14. Boomgard JJ, Angell KJ (1990) An evaluation of USAID assistance to the BRI unit desasystem in Indonesia. Gemini and DAI, Inc, Washington, DC 15. Schreiner M (2009) Can credit scoring help attract profit-minded investors to micro-credit. In: New partnerships for innovation in micro finance, pp 198–222 16. Schmit M, Marrez H (2010) Credit risk analysis in micro-credit: how does gender matt. Saving Dev Q Rev 369–388 17. Adams D, vov Pischke JD (1992) Microenterprise credit programs. World Dev 20 18. Akerlof G (1970) The market for lemons: quality uncertainty and the market mechanism. Quart J Econ 3:488–500 19. Morduch J (1999) The microfinance promise. J Econ Lit (4):60 20. Buckley G (1997) Microfinance in Africa: is it either the problem or the solution. World Dev 25(7) 21. Morduch J, Haley B (2002) Analysis of effects of microfinance on poverty reduction. In: NYU Wangner working paper series, vol 6, pp 23–34

Community Evolution in International Patent Application Top1 Networks You Zhou, Shan Kang, and Guangrong Tan

Abstract Based on the patent application data of 62 countries in the world from 2001 to 2018, the global transnational patent application complete network is constructed in four stages, and the top-ranking network (Top1 network) is extracted from it. On this basis, the community structure and evolution trend of global transnational patent applications are explored. The results show that: (1) The USA, Japan, Germany, the United Kingdom, France, and other European developed countries have always occupied a central position in the global transnational patent application complete network, but China’s control and influence in the network continue to improve. (2) there is an obvious community structure in the top-ranking network of global transnational patent applications, but the number of communities is decreasing, and small- and medium-sized communities on the network are gradually converging into large communities. (3) the global transnational patent application shows a strong concentration and monopoly. Keywords International patent application · Top1 network · Innovation capability

1 Introduction International patent applications are an important indication of innovation ability. They advance the promotion, transfer, and diffusion of technological innovation, also improve production efficiency, and protect global intellectual property, thus bringing benefits in terms of social and economic development. Scholars have analyzed the social effects of international patent application for the likes of information sharing, technology spillover, and innovation stimulation [1]. Meaningful scientific studies Y. Zhou (B) · S. Kang School of Business, Hunan International Economics University, Changsha 410205, China e-mail: [email protected] Y. Zhou · G. Tan School of Economics and Trade, Hunan University, Changsha 410082, China Y. Zhou School of Economics, Hunan University of Finance and Economics, Changsha 410205, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_75

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have been performed by combining intellectual property rights with the innovation ability of the host country [2], the technology spillover of foreign direct investment (FDI) [3], and export product quality [4]. However, most of these studies were based on multiple regression analysis of panel or time series data for relatively few countries. Analysis of the distribution structure of international patent applications helps to reveal its geographical and evolutionary natures, assessing the status and influence of each country’s ability to innovate technologically. A complex network approach is needed to explore and categorize the entire network structure in order to reveal the full extent of the relationships in the international patent application network. This allows the topology and trends of social network variables to be analyzed precisely with regard to relationships. The complex network approach is gaining attention from an increasing number of researchers. It is being applied in disciplines such as linguistic, physical, economical, and sociological ones [5]. By using topological analysis, a complex network approach can depict clearly the correlations between network nodes. It also can analyze the paths of node behavior affected by these correlations and the evolutionary direction of the entire system. Accordingly, researchers have focused on the perspective of network correlation to study patent application and citation behavior extensively. Luan and Wang [6] used social network and factor analyses to study corresponding “patent” papers published in the journal Scientometrics. Their aim was to reflect the academic representatives and frontiers in the field of “patent” study. Li and Chen [7] carried out a phased analysis of the evolution of networks of smartphone patent developers and showed that such networks exhibit small world effects and an increase in team size. Dong and Yang [8] carried out research on the evolution of network technology at different stages based on the data of patents applied for by Chinese collaborations and those cited by American manufacturing companies. However, in terms of international patent application, only a few researchers have tried to recast the trend by employing a network viewpoint. Even if these studies provide an important contribution to the literature about the evolution of the patent network, they ignored the community structure of complex network nodes, which meant that they could not identify local groups of international patent application countries from a global perspective. Further, the interrelation between each community at a node within the whole network was neglected. Community analysis of complex networks can describe internal communities that are linked more closely than inter-group countries in terms of patent application relationships within each country. It can also more directly reflect grouping within the international patent application network.

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2 Materials and Methods 2.1 Complete International Patent Application Network (CIPN) The source of the data employed in this paper was the official Web site of the World Intellectual Property Organization (WIPO), as China joined the World Trade Organization in 2001, this study chooses the database from 2001 to 2018. Inside the origin matrix, 22 countries do not share any relationships with other nodes, so we reduce the database to 62 countries. We aimed to analyze the CIPN characteristics and consequently to reconfigure its raw data into a 62 × 62 weighted matrix whose weights are equal to the number of corresponding patent applications within each country. Given these issues, we define the complete international   patent application nett , in which P t is the work (CIPN) as a weighted directed network P = wit j N ×N

matrix, t is the year, N is the country, and wit j is the number of patents applied for in country j by country i in year t. Accordingly, we also define the unweighted network   , in which of international patent applications as a directed network At = ait j N ×N  t 1, w > 0 ij , where ait j represents the existence of patents applied for by ait j = 0, wit j = 1 country i in country j.

2.2 Top1 Networks The top1 network reflects each country’s topmost cross-border patent application relationships (the strongest link) with other countries. We first defined the edges that rank top1 in international patent applications as Top1d:   Top1D = dwit j N ×N , dwit j = t



  wit j , wit j = max j wit j ,

(1)

0, otherwise

Here, dwit j is the maximum number of patents applied for by country i in country j in year t. Consequently, we define the unweighted network of Top1d as follows:   Top1ADt = dait j N ×N

(2)

Here, elements are either zero or 1. For dait j , if the number of patents applied for by country i in country j is maximum, its value is 1; otherwise, it is zero. The unweighted network is mainly concerned with network density, clustering coefficients, and variables, as well as out- and in-degrees. It reinforces whether or not

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node relationships exist. The weighed network is mainly used to analyze out- and in-strengths, paying more attention to strength differences. In addition, the edge that ranks topmost in international patent citations within Top1o is defined as follows:   Top1O = owit j N ×N , owit j = t



  wit j , wit j = max j wit j ,

(3)

0, otherwise

Here, owijt is the maximum number of patents cited by country i in country j in year t. Likewise, we define the unweighted network of Top1o as   Top1ODt = oait j N ×N

(4)

Here, oait j elements are either zero or 1. If the number of patents cited by country i from country j is max, its value is 1; otherwise, it is zero. Furthermore, we analyze the structure and evolution of the communities. The number of international patent applications is a vital manifestation of a country’s ability to innovate, and the number of international patent citations is a key factor to weigh the pros and cons of the country’s innovation environment. Therefore, we use the Top1o network to examine the difference in each country’s innovation ability and detect the community division.

3 Results and Discussion 3.1 Analysis of Node Centrality in CIPN Node centrality in social networks is a significant indicator of evaluating a node’s position and its structure. We intend to analyze the role that each country plays in CIPN through the analysis of centrality in order to seek the influence and position of a country’s worldwide innovative capacity. In Table 1, from the 15 central countries in CIPN in 2001–2006 and 2013–2018, we notice that the node degree and node out-degree were stable in 2001–2006 and 2013– 2018, while the number of in-degrees increased. Moreover, as for the regional distribution of international patent applications, European countries such as the United Kingdom (UK), Germany, Switzerland, France, and Italy exhibit high centrality of out-degrees. This means that European countries take the lead in self-innovation. Developing countries such as China, Brazil, India, and South Korea exhibit high centrality of in-degrees. As for the distribution of countries, the core roles of international patent applications belong to the USA(US) and Japan, as well as the UK, with the number of edges in CIPN being the top of the ranking list. China plays an increasingly important role in cross-border patent application networks. In 2001– 2006, China built up patent application relations with 54 out of the 62 sampled

58

58

57

57

56

55

55

55

55

54

51

SUI

KOR

FRA

ITA

AUS

BEL

NZL

ESP

CHN

CAN

FIN

CAN

SWE

DEN

BEL

NZL

ESP

ITA

FRA

SUI

GER

GBR

52

52

53

53

54

55

55

55

56

57

57

58

CAN

AUS

GBR

JPN

FRA

RUS

GER

CHI

TUR

BRA

KOR

CHN

32

33

33

34

34

34

36

40

42

47

49

52

ITA

FRA

BRA

MEX

CAN

AUS

RUS

GER

KOR

IND

JPN

CHN

GBR

USA

59

53

GER

56

GBR

USA

AUS

60

JPN

60

USA

60

USA

60

ND

JPN

2013–2018

ND

Ndin

Ndout

2001–2006

Table 1 The in- and out-degrees for major countries in the CIPN

58

59

59

60

60

60

60

60

60

61

61

61

61

61

BEL

FIN

DEN

SUI

ITA

SWE

ESP

RUS

JPN

CHN

GBR

FRA

GER

USA

Ndout

51

51

51

53

54

54

54

55

55

56

56

57

58

59

MAS

HKG

UKR

JPN

GBR

AUS

CAN

MEX

BRA

KOR

CHN

IND

RUS

USA

Ndin

54

54

54

55

55

56

57

58

58

59

60

60

61

61

Community Evolution in International Patent Application … 653

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Y. Zhou et al.

countries but was only ranked 14th in terms of centrality. This number grew to 61 for 2013–2018, ranking China top alongside the USA, UK, Japan, and India. From the number of in- and out-degrees, along with the ranking change, we notice that China’s international status and influence have been on the rise in the CIPN.

3.2 Analysis of Top1 Networks 3.2.1

Communities and Components in Top1o Networks

We can explain the internal information and the status of countries treated as nodes better by considering the weight. From the evolution of communities inside Top1o networks described in Fig. 1, we notice that the structure of communities changes significantly when the edge weight of a complicated network is considered, and the number of communities in international patent application Top1o networks decreased gradually from 2001 to 2018. From Table 2, we see that the number of communities was 3 in 2001–2006, 2007–2012; however, this decreased to 1 in 2013–2018, while there was only one component over the time. By contrast, the number of components is less than the number of communities in Top1o networks, showing that the international patent application networks are characterized by “integration” derived by globalization.

2001–2006

20 07–2012

2013–2 018

Fig. 1 Communities detected in Top1o networks for every six years in 2001–2018

Table 2 Number of communities and components in the international patent application Top1o networks Top1O

2001–2006

2007–2012

2013–2018

No. communities

3

3

1

No. components

1

1

1

Community Evolution in International Patent Application …

655

As a result of the enhancement of the world’s economic and technical communication, most countries apply consciously for patents internationally through the Patent Cooperation Treaty (PCT) or other effective channels.

3.2.2

Evolution of Communities

In the final part, we analyze the way that the 62 nodes interact with each other by describing the characteristics of out-degrees in Top1o networks over time. Table 3 lists the number of nodes of different communities in Top1o networks. It turns out that although the degree of centrality is increasing, the number of communities is decreasing, and smaller communities merge into bigger ones gradually. There were 31 countries in the first community in 2001–2006, accounting for 50% of the sample countries. However, the first community included 61 countries, accounting for 100% of the sample countries in 2013–2018. From a vertical aspect, the integrated trend of the communities’ structure is obvious, and it shows that economic integration has a profound impact on the innovative activities of each country, leading to the extensive and intensive enhancement of economic and technical communication. The countries listed in Table 4 had more than one out-degree in 2001–2018, and this shows that each country was treated by at least one other country as its topmost origin. In addition, from Table 4, we notice that each country with a higher out-degree possesses a very stable status, developed countries are at the core of Top1o networks, while most developing countries are at the edge. Table 3 Evolution of community size in the international patent application Top1o networks

Table 4 Out-degrees for major countries in the international patent application Top1o networks

Community

Top1o 2001–2006

2007–2012

2013–2018

1

40

40

61

2

15

14

–

3

6

7

–

Country

2001–2006

2007–2012

2013–2018

USA

32

34

35

DEU

11

11

7

JPN

6

5

4

FRA

3

2

3

CHE

2

2

1

RUS

1

1

0

AUS

0

0

1

NL

0

0

1

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Y. Zhou et al.

In Table 4, the three most central countries in the Top1o networks with highly developed economies (the USA, Germany, and Japan) are all at the core of those communities. To understand the function of the most central countries, we take the USA as an example, and the USA was the country applying for the most patents to the other 32 countries from the first community of Top1o networks in 2001–2006. In 2013–2018, the number of countries in the first community of Top1o networks increased to 61, and the number of out-degrees of the USA equaled 35 at the same time. This shows that the USA is consistently the topmost origin of most countries all over the world in patent application.

4 Conclusions The results showed that some developed countries (mainly the USA, Japan, Germany, Britain, and France) currently dominate the center of complete international patent application networks. Specially, the USA, Germany, and Japan impact the evolution of Top1o networks decisively, whereas developing countries, represented by China, have less influence in Top1o networks though the status and influence of China in the CIPN are gradually growing. Also, our analysis revealed that the international patent application Top1o networks exhibit communities with a distinct structure, but the number of such communities was decreasing, and there was a “concentrated” phenomenon that smaller communities merge into bigger ones, demonstrating that economic integration had a profound impact on the innovative activities of each country, leading to the structure of Top1o networks became increasingly centralized. This paper can be extended in several ways by finding proper explanations to the following questions: why do some countries change after Top1o selection actions, and why are some countries stable? What causes stability? Moreover, this analysis can be extended to build a model to explain the factors that influence the trend in Top1 networks. Future study should extend the extraction methodology for determining how the central countries choose the destination country of patent application by considering not only the Top1 network but the Top2 and Top3 networks. Furthermore, we can explore the communities of international patent application to determine its economic and social effects. Acknowledgements This work is supported by the “Double first class” applied characteristic discipline of colleges and universities in Hunan Province: Applied Economics (Xiang jiao tong[2018]No. 469), Hunan Social Science Fund Project under Grant No. 18zwb23, National Natural Science Foundation of China under Grant No. 71903050, the 65th batch of general funded projects of China Postdoctoral Science Foundation under Grant No. 2019M652779, Project of Hunan social science achievement evaluation committee under Grant No. XSP19YBC235.

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References 1. Chen Y, Puttitanun T (2005) Intellectual property rights and innovation in developing countries. J Dev Econ 78:474–493 2. Hasan I, Kobeissi N (2012) Innovations, intellectual protection rights and information technology: an empirical investigation in the MENA region. Electron Commer Res 12:455–484 3. Tanaka H, Iwaisako T (2014) Intellectual property rights and foreign direct investment: a welfare analysis. Eur Econ Rev 67:107–124 4. Ivus O (2010) Do stronger intellectual property rights raise high-tech exports to the developing world. J Int Econ 81:38–47 5. Boccaletti S, Latora V, Moreno Y, Chavez M, Hwang D-U (2006) Complex networks: structure and dynamics. Phys Rep 424:175–308 6. Luan C, Wang X, Wang Z et al (2008) Quantitative studies on frontiers of international patent bibliometrics. Stud Sci Sci 26:334–338 7. Li H, Chen S (2013) The evolution of inventor networks of the smart phone patents based on the social network analysis. Sci Technol Manag Res 20:157–165 8. Dong JQ, Yang CH (2015) Information technology and organizational learning in knowledge alliances and networks: evidence from U.S. pharmaceutical industry. Inf Manag 52:111–122

Evaluation of the Quality of Undertaking Major Illness Insurance Based on Principal Component Analysis Junshan Li, Ziyou Chen, Tingting Dia, Yilin Wu, and Yuanan Lu

Abstract Principal component analysis was conducted in this study to empirically understand the quality of insurance companies in different regions of Jiangxi undertaking Jiangxi’s major illness insurance. The results show the quality of insurance for major insurance companies in 2015, which included four main components: profit level, level of benefit, level of guarantee and protection, and level of control. The overall quality among the insurance systems is quite different, showing that the quality in Ji’an city and Xinyu City is better but the poorer in Ganzhou City and Nanchang City. Keywords Major illness insurance · Principal component analysis · Quality evaluation · And empirical analysis

1 Introduction Insurance companies undertake major illness insurance, which is an institutional arrangement for the government to purchase public services. The quality of the contract is directly related to the burden of medical expenses for the majority of urban and rural residents. To this end, how to scientifically and reasonably evaluate the quality of major illness insurance is particularly important. Major illness insurance in many other nations is directly related to certain diseases, such as cancer [1, 2]. The inclusion of domestic major illness insurance is the threshold for self-paying medical expenses to meet the requirements, which has no direct connection to the disease. Therefore, the effect of major illness insurance system has little reference value for the quality management of the major illness insurance in China. There J. Li (B) · Z. Chen · Y. Wu · Y. Lu Jiangxi University of Traditional Chinese Medicine, Nanchang 330004, China e-mail: [email protected] T. Dia The Second Traditional Chinese Medical Hospital, Nanjing 210017, China Y. Lu University of Hawaii, Honolulu, HI 96822, USA © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_76

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are many research literatures on the quality evaluation of major illness insurance, mostly focusing on the evaluation objects [3, 4], index design [5], evaluation content [6], and experience introduction [7]. However, little has been done on the use of scientific evaluation methods [8] for empirical research. Therefore, there is a current need for a comprehensive evaluation system using scientific evaluation methods and informative data. This study analyzed the quality of major illness insurance from Jiangxi insurance companies using the principal component analysis method basing on the first-hand data obtained from field research, the objective of the major illness insurance system, and the recognized quality evaluation index system. The effect of the implementation of the policy of introducing the insurance company of Jiangxi’s major illness insurance was objectively and scientifically evaluated in order to identify problems and find out the reasons.

2 Evaluation Indicators, Data Sources, and Analytical Methods 2.1 Evaluation Indicators and Data Sources According to the policy objectives of the major illness insurance system and the well-recognized quality evaluation index system, this study selected ten indicators for empirical analysis including the number of beneficiaries (person) (X 1 ), benefit rate (X 2 ), fund income (ten thousand Yuan) (X 3 ), fund utilization rate (X 4 ), loss ratio (X 5 ), underwriting profit rate (X 6 ), operating profit margin (X 7 ), premium rate (X 8 ), actual reimbursement ratio (X 9 ), and ultimate reimbursement ratio (X 10 ). The data is mainly derived from field research and the data sample objects included 11 cities under the jurisdiction of Jiangxi Province collected in 2015.

2.2 Empirical Analysis Method This study used SPSS 22.0 statistical software to conduct an empirical analysis of the quality of the insurance company’s major illness insurance in Jiangxi in 2015 using principal component analysis [9].

3 Result First, the SPSS 22.0 statistical software is used to standardize the raw data. Second, the standardized data is subjected to KMO test and Bartlett spherical test to analyze whether each index has correlation and whether the principal component

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661

analysis can be performed. The KMO value in this study is 0.605 (>0.5), and the significance value in the test results is 0.000 < 0.05, which also indicates the suitability to use the test. In summary, the ten indicators selected in this paper are suitable for principal component analysis. Third, the variance contribution analysis table is able to intuitively describe the variance contribution rate and the cumulative contribution rate of each indicator, and the magnitude of the value indicates how much the corresponding principal component can describe the original information. Usually, the feature root is greater than 1, which means it is possible to extract the main component. As shown in Table 3, the first four feature roots are greater than 1, and thus, our analysis was performed to extract four principal components. The cumulative contribution rate of the variance of these four principal components reached 92.869%, which might reflect most of the information of the original variables. Fourth, the four extracted principal components are represented as Y 1 , Y 2 , Y 3 , and Y 4 , respectively. The principal component score coefficient matrix was obtained by using statistical software. The principal component score coefficient matrix represents the load of each principal component on each variable. As shown on Table 1: Score coefficient matrix score of the four principal components. The principal component Y 1 has a large load on X 4 , X 5 , X 6 , and X 7 , which is named as profitability factors. The principal component Y 2 has a large load on X 1 , X 2 , X 3 , which is named as the benefit level factors. The main component Y 3 has a large load on X 9 and X 10 , which is named as the guarantee level factor. The main component Y 4 has a large load on X 8 , which is named as the control level factor. To more clearly reflect the load of each variable on the principal component, the variance of the components was maximally rotated, and the rotation was converged after five iterations. And the scoring function of each principal component is as follows: Y 1 = −0.08X 1 − 0.08X 2 − 0.05X 3 − 0.28X 4 + 0.28X 5 − 0.28X 6 − 0.24X 7 Table 1 Score coefficient matrix score of the four principal components Indicators

Principal Y1

Component Y2

Y3

Y4

X1

−0.081

0.434

−0.042

0.171

X2

−0.078

0.440

−0.236

−0.227

X3

−0.050

0.335

0.083

0.136

X4

0.279

−0.144

0.237

−0.176

X5

0.284

−0.043

−0.023

−0.074

X6

0.284

0.043

0.023

0.074

X7

0.242

0.025

0.022

−0.163

X8

−0.081

0.055

−0.004

0.856

X9

0.098

−0.074

0.487

−0.018

−0.078

−0.082

0.473

0.016

X 10

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− 0.08X 8 + 0.1X 9 − 0.08X 10 Y 2 = 0.43X 1 + 0.44X 2 + 0.34X 3 − 0.14X 4 − 0.04X 5 + 0.04X 6 + 0.03X 7 + 0.06X 8 − 0.07X 9 − 0.08X 10 Y 3 = −0.04X 1 − 0.24X 2 + 0.08X 3 + 0.24X 4 − 0.02X 5 + 0.02X 6 − 0.02X 7 − 0.05X 8 + 0.49X 9 − 0.47X 10 Y 4 = 0.17X 1 − 0.23X 2 + 0.14X 3 − 0.18X 4 − 0.07X 5 + 0.07X 6 − 0.16X 7 + 0.86X 8 − 0.02X 9 − 0.02X 10 Fifth, the quality level of major illness insurance companies in different cities of Jiangxi Province was assessed and ranked according to the performance of the four principal component scores. The comprehensive values and rankings of the four principal components for each city are shown in Table 2: Comprehensive value and ranking of principal components Based the above analysis and the comprehensive values of the main components Y 1 , Y 2 , Y 3 , and Y 4 , the total score of the insurance company’s major illness insurance quality for each city was calculated with the use of the variance contribution rate as the weight and to finally obtain the principal component comprehensive function equation: Y = 0.42525Y 1 + 0.27121Y 2 + 0.13061Y 3 + 0.101611Y 4

(1)

Through calculation, it allows to determine the comprehensive value and ranking of the quality of major illness insurance companies in Jiangxi municipalities, which Table 2 Comprehensive value and ranking of principal components City

Y1

Ranking

Nanchang

−1.498

11

Y2 0.181

Ranking 3

Y3 −0.051

Ranking 6

Y4 −0.021

Ranking

Fuzhou

−0.664

9

−0.609

9

1.158

2

−0.148

6

Jian

1.914

1

−0.063

5

0.619

4

−0.766

9

Xinyu

1.252

2

0.701

2

−1.337

10

−1.212

11

Yichun

0.591

3

−0.416

8

−0.172

7

1.914

1

Yingtan

−0.989

10

−0.356

6

−0.188

8

−1.192

10

Ganzhou

−0.459

7

2.677

1

0.843

3

0.633

4

Shangrao

−0.087

6

−0.728

10

0.295

5

−0.692

8

Pingxiang

5

−0.605

8

−0.415

7

−1.881

11

1.196

2

Jingdezhen

0.162

5

−0.967

11

1.314

1

0.638

3

Jiujiang

0.387

4

−0.005

4

−0.601

9

−0.351

7

Evaluation of the Quality of Undertaking Major Illness … Table 3 Total ranking of major illness insurance in Jiangxi basing on their undertaking quality

City

663 Score

Rank

Jian

1.043

1

Xinyu

0.919

2

Jiujiang

0.312

3

Shangrao

0.239

4

Yichun

−0.077

5

Jingdezhen

−0.239

6

Pingxiang

−0.24

7

Fuzhou

−0.287

8

Yingtan

−0.401

9

Nanchang

−0.569

10

Ganzhou

−0.701

11

are shown in Table 3: Total ranking of major illness insurance in Jiangxi basing on their undertaking quality.

4 Analysis 4.1 Analysis of Each Principal Component Score 4.1.1

Analysis of Principal Component Y 1

The main component Y 1 is used to describe the profit level of insurance companies undertaking large illness insurance. Judging from the comprehensive value of Y 1 principal components, Ji’an has the highest score, Xinyu City ranks second, and Nanchang City has the lowest, indicating that Ji’an City and Xinyu City have achieved higher profit margins when undertaking large-scale illness insurance business as compared to Nanchang whose profitability level is relatively low. The low-profit level of the insurance company undertaking the major illness insurance project directly affects the enthusiasm of the insurance company to undertake the major illness insurance. However, if the profitability level is too high, it will deviate from the principle of “guaranteeing the meager profit.” Therefore, defining “micro-profit” is the primary key.

4.1.2

Analysis of Principal Component Y 2

The main component Y 2 describes the benefit level of insurance companies undertaking large illness insurance and is also one of the important indicators to measure the

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quality of major illness insurance. Among these cities, Ganzhou City has the highest score, Xinyu City ranks second, and other cities have little difference. The major illness insurance service is a quasi-public product with public welfare. Higher benefit to be obtained with lower fund investment is the goal, which not only reflects the public welfare of the major illness insurance system but also is one of the important prerequisites for institutional sustainability.

4.1.3

Analysis of Principal Component Y 3

Y 3 describes the insurance company’s guarantee level for undertaking the major illness insurance system. Jingdezhen City, Fuzhou City, and Zhangzhou City have a high degree of protection for major illness insurance. The scores from Ji’an City and Shangrao City are also positive, however, the degree of protection is much less. The scores of other cities are all negatives, of which Pingxiang City has the lowest score, indicating the worst level of protection.

4.1.4

Evaluation of Principal Component Y 4

The main component Y 4 only contains the premium rate as an indicator, which describes the cost control of the insurance company to undertake the major illness insurance. The lower the score of the principal component analysis, the better the cost control. Xinyu is city with the best management on fee control, followed by Yingtan showing a similar effect. The cost control in Yichun City is very poor, and also Pingxiang City. The premium rate is assessed by the insurance company’s underwriting management costs. The lower the management cost, the higher the internal efficiency of the insurance company. Therefore, priority should be given to insurance companies with high management level and high efficiency to undertake major illness insurance.

4.2 Evaluation of the Principal Component Comprehensive Score When using principal component analysis, each principal component can only describe the evaluation index from one aspect. It could easily find through the above analysis that the evaluation results of each principal component are different. The result will be one-sided if the evaluation for the quality of major illness insurance companies is only from individual main component. Therefore, it is necessary to comprehensively analyze the four principal components, in order to conduct a more objective and accurate evaluation of the insurance company’s quality of major illness insurance in Jiangxi. Figure 6 shows the analyzed results of the comprehensive

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quality-ranking chart of major illness insurance from different cities in Jiangxi. As shown in Fig. 6, the quality of major illness insurance companies in the ten cities is very different. The quality of Jinan and Xinyu is generally good, while Ganzhou and Nanchang are relatively poor.

References 1. Craig A, Donnelly C. Macdonald A (2015) The impact of known breast cancer polygenes on critical illness insurance. Scand Actuar J 32(2):141–171 2. Gatzert N, Maegebier A (2015) Critical illness insurances: challenges and opportunities for insurers. Risk Manag Insur Rev 18(2):255–272 3. Xu W, Tu ZZ (2016) Evaluation of the implementation effect of major illness insurance-taking a city of Jiangsu Province as an example. Health Econ Res 353(9):54–57 4. Wei ZM, He W (2017) Difficulties and countermeasures in the implementation of major disease insurance system for urban and rural residents—taking Xi’an as an example. J Northwest Univ (Philos Soc Sci) 47(4):107–113 5. Liu TT, Zhou LL, Zhan ZC et al (2018) Construction and application of evaluation index system for implementation of major illness insurance. Chin Health Econ 37(9):27–29 6. Yu BR, Liu WS, Jiang XK et al (2018) Research on the status of commercial insurance companies undertaking large-scale disease insurance for urban and rural residents. Health Econ Res 390(3):3–6 7. Wang XJ (2014) Local practice investigation of urban and rural residents’ disease insurance. China Health Care Manag 31(9):668–671 8. Hu L, Chen YL, Li YY (2018) SWOT analysis on the entrusted commercial insurance organizations of urban workers and urban and rural residents in Kunming City. Mod Econ Inf 573(17):489–490 9. Xue W (2008) Statistical analysis and application of SPSS, 2nd edn. China Remin University Press, Beijing

Research on Selection Model of Sponge Pilot Cities Based on Fuzzy Comprehensive Evaluation Method Hong-Li Huang, Liang-Song Li, Yong-Fang Qi, Chong-Ci Tang, and Ke-Cheng Xiao

Abstract First of all, this paper analyzes the evaluation indexes of the application methods for sponge pilot cities in China, determines the primary indexes, secondary indexes and tertiary indexes that affect the evaluation results and measures the weight of these indexes through experience. Secondly, several experts are employed to grade the three-level index observation points, and ten scoring matrices are obtained. Finally, with the help of the relevant principles of fuzzy mathematics, considering the comprehensive consideration of the first-level index weight, the second-level index weight and the third-level index weight, the third-level scoring matrix is analyzed to obtain the second-level scoring matrix and the first-level scoring matrix. The results show that the established mathematical model can quantitatively analyze the evaluation objects and is helpful for the selection of sponge pilot cities. Keywords Sponge pilot city · Selection · Fuzzy mathematics · Fuzzy comprehensive evaluation method · Mathematical model

1 Sponge Pilot City Selection System of China In recent years, China has attached more and more importance to the construction of sponge cities. Since 2015, the selection of sponge pilot cities has been implemented, and financial support has been given to the cities that won the selection. In 2016, the country has selected the second batch of sponge pilot cities. The construction of sponge city has achieved initial results, and all sectors of society have given its very high evaluation and even become the focus of attention of the United Nations. H.-L. Huang Jiangxi University of Engineering, Xinyu 338000, Jiangxi, People’s Republic of China L.-S. Li (B) · Y.-F. Qi · C.-C. Tang · K.-C. Xiao Sponge City Research Institute, Pingxiang University, Pingxiang 337000, Jiangxi, People’s Republic of China e-mail: [email protected] Y.-F. Qi e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_77

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The selection process of sponge pilot cities is introduced. First of all, each province should select a city (including Xinjiang Production and Construction Corps) based on merit and submit the implementation plan and other documents for sponge city construction through the network information platform before the deadline. Secondly, the relevant departments will examine the qualifications of the materials submitted by each city and announce the preliminary results to the public. Finally, the cities that passed the preliminary examination will participate in the defense organized by the relevant departments, which will be reviewed by experts, and the final results will be published to determine the list of selected cities. This process is usually called competitive selection. Qualification examination mainly includes whether the evaluated city has set up a working leading group and whether the submitted sponge city construction plan conforms to the “State Council Office” [1]. Public Hall’s Guiding Opinions on Promoting Sponge City Construction (See) Requirements; whether the project area is contiguous, and including a certain proportion of the old city, whether the project area is greater than 15 km2 and whether the annual rainfall in the project area is higher than 400 mm; whether the project area meets the overall requirements of sponge city construction and has achieved initial results in urban waterlogging control; whether the progress of preliminary work is smoothly [2]. Competitive evaluation is the key link of sponge pilot city evaluation, mainly including the following aspects: work objectives; technical measures; construction operating mode; PPP scheme; supporting measures. The main assessment of work objectives is whether the work objectives are in line with the local reality, whether the planning objectives are clear and whether the area of the built-up area meets the requirements. The main observation points for technical measures review include: whether the technical measures are perfect, whether to play the natural ecological function and whether the construction project is economical and reasonable [3]. The main observation points of the construction and operation mode review include: whether the fund raising channels are clear, whether the fund integration plan is effective and whether the rights and obligations of all parties are clear [4]. The review of PPP scheme mainly examines the proportion of PPP mode investment in total investment and the basis for PPP implementation, such as whether the government and social capital cooperation scheme is reasonable. The main observation points for the evaluation of supporting measures include whether the government financial subsidy scheme is reasonable; whether the rainwater drainage management system and the river and lake water system management system in the pilot areas are effective and whether the flood control water and rainstorm systems are sound and effective [5]. So far, China has conducted two sponge pilot cities selection, and the third batch of sponge pilot cities will be declared in 2019 [6]. The selection of sponge pilot cities embodies the principle of fairness and justice. The selected test cities have made a series of achievements in sponge city construction and accumulated valuable

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experience for the future construction of sponge city in China. But now, the result of qualitative analysis is mainly given by experts, and subjective factors have greater influence on the result. Based on the theory of fuzzy mathematics and the method of fuzzy comprehensive evaluation, this paper quantifies various evaluation indexes and establishes the evaluation model of sponge pilot cities.

2 Sponge Pilot City Selection Model Based on Fuzzy Comprehensive Evaluation Method Fuzzy comprehensive evaluation method is based on the principle of fuzzy mathematics. It quantifies the factors that can affect the evaluation results and makes reasonable evaluation on the evaluation objects by using the relevant knowledge of matrix. Qualitative analysis and quantitative analysis are usually used.

2.1 Mathematical Model Step 1: Determine the primary index weight, secondary index weight and tertiary index weight. Through expert discussion, the first-level index, the second-level index weight and the third-level index weight are determined, assuming that the first-level index weight matrix is V and the secondary index weight matrix is V i (i = 1, 2, 3, 4). Step 2: Determine the three-level index evaluation matrix Hire a number of experts to conduct a comprehensive evaluation of the three indicators and obtain the following evaluation matrix ⎡ ⎢ ⎢ R=⎢ ⎣

⎤ ⎡ r11 R1 ⎥ ⎢ R2 ⎥ ⎢ r21 .. ⎥ = ⎢ .. . ⎦ ⎣ . Rm

rm1

⎤ r12 · · · r1n r22 · · · r2n ⎥ ⎥ .. . . .. ⎥ . . ⎦ . rm2 · · · rmn

Step 3: Determine the first-level evaluation index matrix Assuming that the primary index evaluation matrix is A, the secondary index evaluation matrix is W i (i = 1, 2, 3, 4), and then, the primary evaluation index matrix  can be determined by the following relation. W i = V i Ri , A = V W1T W2T +W3T W4T , WiT is the transpose matrix of W i .

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2.2 Empirical Analysis Taking Pingxiang city as an example, the following evaluation form was obtained through expert review. According to the above modeling steps, the overall evaluation of the participating city is carried out. Step 1: From Table 1, we can get the first-level index weight matrix of the weight matrix, V = [0.3 0.7]. Secondary index weight matrix: V11 = [1] V12 = [1] V13 = [0.4 0.3 0.3] V14 = [0.3 0.4 0.3] V15 = [1] V21 = [0.5 0.5] V22 = [0.3 0.3 0.4] V23 = [0.4 0.3 0.3] V24 = [0.5 0.5] V25 = [0.5 0.5] Step 2: Each indicator is divided into four grades: excellent, good, qualified and unqualified, according to experts. Ten evaluation matrices are obtained by scoring the three-level indicators. R11 = ⎡ 20 24

R13 = ⎣ 20 24 20 24

R15 =

=⎣



00

⎤

⎡ 20



16

⎤

4 4 0 24 24 10 2 2 24 24 24 6 2 0 24 24

R12 =

 22

4 0 0 24 6 2 0 24 24 4 2 2 24 24 24

6 2 24 24 24 24 0 0 24

0 R21 =

2 2 24 24 24

24 10 24 16 24

4 24 24

0 24 0 ⎦ R14 = ⎣ 16 24 16 0 24

 20

⎡ 16 R23

2 2 24 24 2 2 24 24 4 0 24

 20

10

2 24 24



⎡ 12

⎤

⎢ ⎦ R14 = ⎢ ⎣

24 8 24 10 24 10 24

⎡ 20  24 0 16 R22 = ⎣ 24 0 16

10 2 2 24 24 24 24 12 10 2 0 24 24 24

⎦ R24 =

00

8 24 8 24 12 24 8 24

2 24 6 24 1 24 2 24

2 2 24 24 6 2 24 24 4 4 24 24 24

 R25 =

2 24 2 24 1 24 4 24

⎤ ⎥ ⎥ ⎦

⎤ 0 0⎦ 0

10

10 4 24 24 24 12 8 4 24 24 24

0 0



Step 3: Secondary index evaluation matrix can be easily obtained by W ij = V ij Rij (i = 1, 2; j = 1, 2, 3, 4, 5). W11 = V11 R11 = W13 = V13 R13 =

4 24 24

 20

2.6 1.4 24 24 24

W15 = V15 R15 = W22 = V22 R22 =

 20

 20

00 0

2 2 24 24 24

 17.2 24

4 2.8 24 24





0 0



W12 = V12 R12 = W14 = V14 R14 =



2 24 24

 17.2 24

W21 = V21 R21 = W23 = V23 R23 =

 22

 20

00

4.8 1.4 0.6 24 24 24

3 1 24 24 24

 14.2 24



0





6.4 2.8 0.6 24 24 24



20 20

Including a certain proportion of old urban areas 0.4 More than 15 km2 0.3 Annual rainfall of more than 400 mm 0.3

3. Project area 0.2

Competitive audit 0.7

20

Compliance with the guiding opinions 1

2. Sponge city construction scheme 0.2

1. Working objectives 0.2

5. Pre-project preparation 0.2

4. Hydrological environment in pilot area 0.2

Good

Excellent Clear division of labor 1

1. Working leadership group 0.2

Qualification audit 0.3

16

Effectiveness of sewage treatment 0.3

16 24

Targets are in line with local realities 0.5 The planning goal is clear, and the area of the built-up area meets the requirement. 0.5

20

16

Effect of urban waterlogging control 0.4

Be well prepared 1

20

Catchment area meets the requirement of sponge city construction 0.3

22

0

6

2

4

6

4

4

2

2

2

4

B

20

Judgment grade A

First-level indicators

Third-level indicators

Second-level indicators

Evaluation content

Table 1 Evaluation index system for sponge pilot cities

0

2

2

2

2

0

0

2

2

0

0

Qualified

C

0

0

0

2

0

0

0

0

0

0

0

(continued)

Difference

D

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Evaluation content

Table 1 (continued)

5. Supporting measures 0.2

4.PPP program 0.3

3. Construction and operation mode 0.1

2. Technical measures 0.2

10 12

Scoring of rainwater discharge management system and river and lake system management system in pilot area 0.5

12

Scoring of government financial subsidies 0.5

PPP implementation foundation 0.5

16

Clear rights and obligations of all parties 0.3 10

10

Scoring of fund integration scheme 0.3

Rational proportion of investment in PPP mode to total investment 0.5

16

16

Economic and reasonable construction projects 0.4 Is the channel of fund raising clear? 0.4

16

Exerting the function of natural ecology 0.3

8

10

10

10

6

10

4

4

6

2

Judgment grade 20

Perfection of technical measures 0.3

4

4

2

2

2

2

4

4

2

2

0

0

0

2

0

2

0

0

0

0

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W24 = V24 R24 =

 11

10 2 1 24 24 24 24



673

W25 = V25 R25 =

 11

9 4 24 24 24

0



Let ⎤ ⎡ 20 W11 24 ⎢ W ⎥ ⎢ 22 ⎢ 12 ⎥ ⎢ 24 ⎥ ⎢ ⎢ W1 = ⎢ W13 ⎥=⎢ 20 ⎥ ⎢ 24 ⎢ ⎣ W14 ⎦ ⎣ 17.2 24 20 W15 24 ⎡

4 24 2 24 2.6 24 4.8 24 2 24

⎤ ⎤ ⎡ ⎡ 20 W21 0 0 24 ⎢ ⎥ ⎥ ⎢ 17.2 0 0 ⎥ ⎢ W22 ⎥ ⎢ 24 ⎥ ⎥ ⎢ ⎢ 1.4 0 ⎥ W2 = ⎢ W23 ⎥=⎢ 14.2 24 ⎥ ⎥ ⎢ 24 ⎢ 11 1.4 0.6 ⎦ ⎦ ⎣ 24 ⎣ W 24 24 24 11 2 0 W25 24 24

3 24 4 24 6.4 24 10 24 9 24

1 0 24 2.8 0 24 2.8 0.6 24 24 2 1 24 24 4 0 24

⎤ ⎥ ⎥ ⎥ ⎥ ⎥ ⎦

Secondary index evaluation matrix can be easily obtained by Bi = V i W i (i = 1, 2). B1 = V1 W1 =

 19.84 24

3.08 0.96 0.12 24 24 24

B=

B1 B2



 19.84 24 15 24

B2 = V2 W2 = 3.08 0.96 0.12 24 24 24 6.12 2.6 0.28 24 24 24

 15 24

6.12 2.6 0.28 24 24 24





It is easy to get the first-level index evaluation matrix by A = VB A = VB =

 16.452 24

5.208 2.108 0.232 24 24 24



If we further assume that excellence is 90 points, good is 80 points, qualified is 60 points and the difference is 50 points; then, the final score is: 90 ∗

5.208 2.108 0.232 16.452 + 80 ∗ + 60 ∗ + 50 ∗ ≈ 84.81 24 24 24 24

From the above results, it is not difficult to see that the city’s evaluation results are good, in other words, if the sponge city construction starts, the construction effect is good.

3 Summary On the basis of qualitative analysis, this paper uses fuzzy comprehensive evaluation method to quantify various evaluation indexes, establishes a mathematical model for selecting sponge pilot cities and objectively evaluates the candidate cities. The evaluation results are in line with the actual situation of the development of prefecture-level cities. The results show that the established mathematical model can quantitatively analyze the evaluation objects and is helpful for the selection of sponge pilot cities.

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Acknowledgements Thanks to the Scientific Research Foundation of Jiangxi Provincial Education Department (GJJ181101, GJJ191146), the Scientific Research Foundation of Pingxiang (2019C0104) and the Youth Foundation of Pingxiang University (2018D0220).

References 1. Miao Z-T, Han M, Hashemi S (2019) Correction to: the effect of successive low-impact development rainwater systems on peak flow reduction in residential areas of Shizhuang, China. Environ Earth Sci (02 February):78–98 2. Garg M, Valeo C, Gupta R, Prasher S, Sharma NR, Constabel P (2018) Integrating natural and engineered remediation strategies for water quality management within a low-impact development (LID) approach. Environ Sci Poll Res 25:29304–29313 3. dos Santos MFN, Vasconcelos AF, Barbassa AP (2019) Exploring the use of low impact development strategies in a low-income settlement in SãoCarlos, Brazil. New Trends Urban Drain Model (01 September):257–262 4. Wang HW, Zhai YJ, Wei YY, Mao YF (2019) Evaluation of the effects of low-impact development practices under different rainy types: case of Fuxing Island Park, Shanghai, China. Environ Sci Poll Res 26:6706–6716 5. Amodeo DC, Francis RA (2019) Investigating adoption patterns of residential low impact development (LID) using classification trees. Environ Syst Decisions (26 March):1–12 6. Helmi NR, Verbeiren B, ElHattab M, Mijic A, Bauwens W (2018) Developing a new modelling tool to allocate low impact development practices in a cost optimized method. New Trends Urban Drain Model (01 September):108–114

Research on Intellectual Property Protection of Network Information in China Lin Wang, Ying Xiong, and Zhe Yan

Abstract This paper aims to deal with that the growth of network information resources challenges the protection of intellectual property. Based on the deficiency of conception of traditional intellectual property in hearing and punishing the network information infringement cases, this paper gives some suggestions on the protection of network information intellectual property right. This paper deals with the problems of network information intellectual property by literature review and analysis of legal provisions. Then, the paper does further analysis to solve the existing problems and tries to put forward feasible recommendations. This paper explores the intellectual property problems of network information. It elucidates the insufficiency of traditional intellectual property laws in dealing with network information issues and the difficulties in trying and punishing the network information infringement cases. It gives some suggestions for addressing these problems. The suggestion points out that we should raise the public and online media’s awareness of protecting Internet information intellectual property and emphasize on the mechanism innovation and legal system construction of the network intellectual property protection. This paper gives practical measures to raise the public and online media’s awareness of protecting Internet information intellectual property, for example, adding the intellectual property law to the content of the law popularization work. This paper suggests that we should construct innovative mechanism of intellectual property protection of networked information that makes the information diffuse reasonably in a network environment. Keywords Network information resources · Intellectual property · Information society

L. Wang (B) · Y. Xiong · Z. Yan School of Management, Tianjin Normal University, Tianjin, China e-mail: [email protected] Y. Xiong e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_78

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1 Introduction The influence of Internet spreads throughout the information age. The quality and quantity of online information resources have been greatly increased. “The object of intellectual property protection is a kind of information” [1]. It is more difficult to protect the object of intellectual property because of the strengthening of immateriality, the weakening of exclusiveness and regionalism [1–3]. The intellectual property regulation under the traditional background is not enough to deal with the issue of network information resource. How to address the challenge and ensure the effective management of the network information resources is an important topic. This paper discusses the deficiency of conception of traditional intellectual property in hearing and punishing the network information infringement cases and gives some suggestions on the protection of network information intellectual property right based on the above-mentioned problems.

2 Intellectual Property Protection and Infringement of Network Information Resources The network information resources, like the printed information resources, are still belong to the category of information and should be protected even more due to their particularity. From the perspective of intellectual property, network information resources are classified into several categories. One is the original information, that is, original information whose carrier is a storage tool. It includes words, pictures and music. The second is the copyright information which takes the network and computer as the carrier for the dissemination. The third is the computer software information such as application or scientific research software composed of source code. According to the classification of network information resources, there are three types of infringement.

2.1 Creative Information Infringement Typical examples of creative information infringement are Chinese online video sites and social media sites such as blogs and microblogs. The purpose of these sites is to provide a platform for users to exchange ideas. However, these sites have become the main force of infringement. What have been uploaded to these sites are the latest movies and other people’s academic articles or online books. This infringement is insidious and hard to trace, which is a main reason of the network information infringement. It represents the first form of network information infringement: publishing the infringing information on legitimate network platform.

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2.2 Copyright Information Infringement The copyright of network information is an important branch of intellectual property. It includes: 1. Copyright possessed by the author who uses the Internet to spread the original information. 2. Usage and publishing rights possessed by the software developers or publishers who use the Web as their primary media. 3. The neighboring right that a company or individual has to disseminate online work whose neighboring right is owned by them. The P2P data transfer mode, that is, increasingly popular on the Internet has been gradually adopted by the public. From the point of view of the development of computer network, it is a great breakthrough in technology and information exchange mode for Web 2.0. This mode of transmission makes every user, both the requester and provider of network information. The P2P mode has both a narrow sense and a broad sense. Generally speaking, P2P is point-to-point data transmission—such as instant messaging tools (QQ, MSN, etc.) and download tools. In the narrow sense, P2P simply means uploading and downloading data using a point-to-point connection, as most download tools do. We focus on the narrow P2P mode. From the perspective of network information copyright, most of the information exchange using P2P transmission mode is infringing. Because according to the P2P transmission concept, each user can search other users’ online private network information that is allowed to access through the server transfer station. These private online information (including text, pictures, video, music and other files) can be viewed and downloaded by other users. Therefore, if a user provides right of access to a piece of information he owns, others can download and use it; then, others can again give access right to it, and more people can download and use it. In order to increase the content of information and ensure the smooth information flow on the platform, P2P software would set all downloads as default permission. As the number of downloads increases, the number of copyright infringement grows rapidly, so this kind of P2P software has become a main field of copyright infringement. However, this kind of infringement is very difficult to define accurately in the law. It is a kind of point-to-point network dissemination and a phenomenon of information exchange between individual users. Therefore, the network administration department cannot supervise it effectively. In this mode, users generally do not upload and download online information for profit purpose, so the case cannot be characterized as circumstances of aggravation. Although each downloader is an infringer, this plot is slight from the legal constitution, which does not constitute the infringement at all. But, because of the huge number of users and wide range of information dissemination, the losses suffered by the victims of copyright infringement are enormous. Victims cannot find their litigant objects because the numbers are too large and unable to be accurately located. Therefore, in all lawsuits arising from P2P Internet information transmissions, the defendant is undoubtedly the Internet company. But the Internet

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company is only a platform, it cannot bear the responsibility for infringement, and it can only assume ordinary regulatory responsibility. With the progress of ICT, new mode of P2P transmission has emerged. It does not need an Internet company’s servers to relay, and all users communicate point-to-point. That is even worse for the infringed because they could not find any litigant, and the only person involved is the developers of software. This software is often designed by individuals or small studios and cannot be traced. Even if such people are traced, they cannot afford the huge fines and exorbitant compensation. As a result, the court’s decision became a dead letter.

2.3 Computer Software Infringement The problem of computer software infringement is of great concern today, because it is most related to economic interests. Software is composed of source code. According to the relevant provisions of Chinese copyright law, computer software is also protected. However, it only protects the software, and there is no explicit provision in copyright law for protecting new software-based compiling source code, that is obtained through disassembling. However, according to the copyright rules for music and the literature, works with more than 30% similarities constitute infringement. Therefore, the act of disassembling is an infringement of the intellectual property of the original author. Another infringement way is to decipher the registration. Generally, for-profit software provides consumers with identification such as serial numbers, and then identifies the correct serial number through the identification system of the software itself, so that consumers can use the software legally. By cracking the identification system, users need not buy a serial number, or they can buy a cracked serial number from the criminals at a lower price and then use it. A typical example of this type of infringement is that Microsoft sued against the Tomato Garden. One of the most important functions of the Tomato Garden is to provide Internet users with the some software download services of the computer operating system. However, it only protects the software, and there is no explicit provision in copyright law for the new software that is based on compiling source code obtained through disassembling. Another vulnerability of infringement of software is the issue of source code. The source code is like the text of an article. Conventionally, the citation or the duplication of source code is not considered an infringement. But in a fundamental sense, a large number of citations to source codes are an infringement. This is similar to an author writes an article that is very similar to someone else’s work. The use of words will never infringe copyright, but if the article that is a combination of words is similar to the original one, it will be a violation of copyright and so is the software copyright. Source code is like text, and the text is not protected by the copyright. Some source codes compiled by individuals or companies should be protected by the law just because the text is uniquely created by themselves. However, the source code is basically a kind of “language” that people talk to computers. If so, how can there

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be a copyright issue? There is a paradox—whether the author of the original source code has a copyright. This is also a legally blind spot without an accurate answer. In real life, companies strictly protect the core source code of their software, as the Coca-Cola company protects its formula. Software can be protected by patenting, but source code is outside the scope of patent protection. If you want to protect, you have to rely on your own security measures.

3 The Difficult Points of Hearing and Punishment of Network Information Infringement In the general rule of civil law of China, Article 47 of Copyright Law stipulates: there shall be corresponding standards for the determination of infringement of intellectual property rights. The difficulties of punishment and trial lie in judging the responsibility and assessing the economic loss [4, 5]. According to the roles of the responsible parties in the infringement, the punishments should be different in the types and degrees. Copyright infringement is one of the most common cases involving infringement of network information intellectual property. Torts are classified into direct and indirect torts. As for direct infringement, the user’s identity is usually fictitious under the network environment, which increases the difficulty of looking for the responsible subject. In the indirect infringement, this kind of behavior is not a direct control of proprietary rights but having some specific relations with the direct infringement. One type is instigating others to infringe and intentionally assisting the infringement, and the other type is the preparatory act of direct infringement and the act of enlarging the seriousness of infringement. Internet service providers often engage in this kind of infringement. They provide a platform for users to upload and download. If some users illegally use the original information uploaded by other users, it will constitute infringement. Responsible person is hard to be found. If the network service provider takes full responsibility, it seems a bit far-fetched. Nevertheless, who will bear the losses of the copyright holder? Service providers often use the safe harbor principle and the red flag standard to evade responsibility [6]. Although there are many ways of infringement, there is a very different standard for the punishment of infringing the intellectual property. According to the criminal law, the precondition of punishment on infringement of intellectual property or intellectual property adjacent rights must be that the infringer aims for profit. In other words, infringements that are not for profit are not punishable. And the amount of the penalty is calculated on the basis of the profit gained by the infringer and the loss suffered by the victim. However, because of the asymmetry of profit and loss, the final penalty results are relatively unfair. Because the information sources are complex, online information publishers have different expectations of copyright protection. The boundaries between infringement and fair use are indiscernible. Some people just want to use the Internet platform

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to disseminate information, express opinions and attract public attention without making any profits from it, such as many private blogs and podcasts. The general public’s consciousness of network copyright is not strong, so they will not distinguish the legal use from the infringement carefully, which causes the concept of network information infringement vague. According to the legal procedure, it is quite difficult to hear such cases of Internet information infringement. At the case-filing stage, the victims are usually unaware of the infringement and they are not clear whether he or she has been infringed and whether the degree of the violation is serious. And such cases are generally accusatory, which means that the Public Security Bureau and the courts will not investigate and collect evidence if the victim does not file a lawsuit or file a petition. Even if the case is on file, it is demanding to investigate and collect evidence. Because of the convenience of the network information transmission and the modern methods of data storage, infringers can quickly destroy the evidence. So, it is very difficult to secure the evidence. And in the trial stage, it is also extremely complicated on accurate sentencing. In the trial of all kinds of civil and criminal cases, the fines and damages imposed on the defendant are mainly based on the profits of the defendant and the damages of the plaintiff. While in the network information infringement case, as to the civil plaintiff damage, it is difficult to measure the moral damage in terms of money and the real economic damage, whether the economic loss depends on profit the infringer has made or losses the victim has suffered is a question. Although there is a direct or indirect relationship between these two, they are not simply equivalent. If the defendant destroys the evidence through a serious of means, the amounts involved, the fines and the compensations will be reduced. This leads to weakening the function of legal punishment and education. But if the offender causes great losses to the victim with making little profit, the excessive fine is beyond the defendant’s ability, which will make the verdict a dead letter.

4 Countermeasures of Intellectual Property Protection for Network Information The Internet serves as a platform for information sharing. In order to safeguard individual interests, hoarding information seems to conflict with the interests of society and constrains Internet development. Therefore, we should consider the original purpose and advantages of the Internet when protecting the IP of network information. We should establish a mechanism to balance the interests of the society and the individuals, so that information can circulate in a well-protected environment and can be used reasonably [7].

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4.1 Raising the Public and Online Media’s Awareness of Protecting Internet Information Intellectual Property As to Internet information intellectual property, most infringers do not have a correct understanding of their own behavior. And they do not realize that they are violating someone else’s information IP. In the long run, if it involves a certain amount of money, the criminal law will be violated. Cases show that many infringers do not realize that they are breaking the law when they are subpoenaed or arrested by the Public Security Bureau, and it is a pity to publicize the legal knowledge in detention houses and courts. Raising the legal awareness and strengthening the legal concept of our citizens is a necessary premise for the process of legalization in our country. And the acceleration of legalization can root the concept of intellectual property of network information deeply in people’s minds and inspire citizens to protect the network information resources. In detail, we can add the intellectual property law to the content of the law popularization work. Internet users will increase the awareness of intellectual property protection through the legal popularization work. Internet service providers should not be profit-oriented and focus on the immediate interests without regard to infringement. They do not take remedial measures to avoid responsibility until they are held accountable, which distorts the protection of intellectual property and puts the victims in a passive situation. We need to strengthen the professional ethics of the entire network industry [8]. Internet media and operation play a key role in the network information copyright protection. In many cases of online information infringement, online media and operators appear in the court as the second defendant. Because of their original motivation of development, they quietly allow or secretly encourage the occurrence of the network information infringement. As the developer and manager of online platform, they have the obligation to prevent the network information infringement. Its functions include not only companies sifting out the unhealthy and the negative information, but also supervision. Internet media should discover the infringement of Internet information in time and stop it. Furthermore, they should start the evidence preservation procedure timely, so as to facilitate the investigation and evidence collection by the Public Security Bureau.

4.2 Emphasis on the Mechanism Innovation and Legal System Construction of Network Intellectual Property Protection (1) Mechanism Innovation of Intellectual Property Protection in the Network Environment It is very difficult to eliminate the infringement of network information completely only by the law. It is the network information copyright owner’s efforts that can

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make their intellectual products not be stolen. As to the information copyright of software, game software can be a representative of the software industry due to its large circulation, huge source codes and various means of dissemination. The main reason of the prevalence of online games and the decline of single-player games is due to the copyright innovation of this kind of software. Developers spend time and money developing a software, and the most direct and important way to recover the cost is to sell such software CDs through the market. However, network enables people to spend a short time to illegally download a software without paying hundreds of dollars. Therefore, it is very difficult to guarantee the interests of developers. Despite the fact that the rise of the Internet makes software copyright protection more difficult, the network itself has also become an important way to protect the copyright. Take the online games for example, developers totally give up the restriction on downloading such software and give users “ownership” of the software, but the right to use it remains in the hands of developers. If users want to use this kind of software, they must log in and communicate with the host, including the information exchange and the copyright authentication. If the network stops, the authentication of the copyright will stop and the user cannot use the software anymore. This model provides an effective way for most software to protect the copyright. This changes the past mode that users just need one copyright authentication in their computers to use it for a lifetime. This new model of making continuous identification of software online through network, for IP protection in network environment, basically protects the copyright of the software. (2) Legal System Construction At the legislative stage, because the network information infringement cases are quite different from the traditional ones, it is necessary to formulate specific laws and promulgate corresponding regulations. We think that the corresponding laws and regulations should pay attention to the following aspects: First, we should clearly determine the degree of the amount and the nature of cases in order to distinguish the crime from non-crime and civil from criminal cases. Second, we should have an accurate measure to calculate the illegal amount of the defendants and the compensation and fine which need to be paid. Third, as to the limitations of action, we should reduce the duration of network information copyright. According to the current intellectual property law, the duration of copyright is 50 years, patents for invention 20 years and the packaging design 10 years. These rules favor traditional intellectual property, i.e., refer to information objects that have physical forms or are stored in a tangible way. However, because of the openness and communication speed of the network, the speed of circulation and update is much higher, so we argue that the existence period of network information copyright should be relatively reduced. Fourthly, as to the length of the scheduled period, we should extend it appropriately. Scheduled period refers to the existence period of certain substantive civil rights. In other words, the infringed will lose his right to win the case if he does not bring a lawsuit to the court within a period of time after he has been violated or he has known his right has been violated. According to China’s civil law, the scheduled period of intellectual property is two years. However, we believe that this time is not suitable for network

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information infringement cases. Because the network information infringement has a certain degree of concealment and agnosticism, it often takes a long time for a victim to realize that his or her rights have been violated. Because the scheduled period passed, he or she will lose the right to win the case, even if he or she takes the case to court. Therefore, we suggest that as to intellectual property infringement of network information, the scheduled period should be extended. The progress has been achieved in defining multimedia, software, database and electronic publications as the objects of intellectual property protection. We also need to promote the process of “global integration” of intellectual property law to uniformly punish the infringement, to protect copyright and to warn people with infringing ideas in any place. It is equally important to protect the intellectual property of network information from the perspective of prevention [9].

References 1. World Intellectual Property Organization (1992) Talk about intellectual property. World Knowledge Publishing, China (in Chinese) 2. Sun Q, Gong S-L (2007) Research on intellectual property protection under network environment. Inf Sci 8 (in Chinese) 3. Zong N (2017) On the variation and management of the characteristics of intellectual property protection in network environment. J Hubei Univ Econ 358–359 (In Chinese) 4. Huang L-J, Shao J-T (2011) Research on the internet intellectual property in the era of rapid development of internet. Goods Qual 183 (in Chinese) 5. Yuan G-Y (2008) Research on the infringement of network intellectual property. J Shanxi Adm Inst Polit Law 341–343 (in Chinese) 6. YU Z-Q (2016) In the background of big data intellectual property right infringement network dissimilation and its solution are viewed from the angle of copyright indirect infringement. J Natl Sch Adm 99–103 (in Chinese) 7. Li J-J (2009) Research on intellectual property rights in information resources sharing under network environment. Libr Theory Pract 109–112 (in Chinese) 8. HE G-H (2007) Research on problems and countermeasures of network intellectual property protection system. Introd Theory 71–73 (In Chinese) 9. Yang Z-P, Li Z-X (2006) Reflection on several legal issues of intellectual property in the Internet age. Dialectics Nat 568–111 (in Chinese)

Application of Ubiquitous Power Internet of Things in Power Grid Construction Man Zhao, Yingna Li, and Li Yang

Abstract In order to build a pivotal, platform and shared power enterprise, the State Grid Corporation proposes to build a ubiquitous power Internet of Things with comprehensive state perception, efficient information processing and convenient and flexible application on the basis of a strong smart grid. Based on the concept and architecture of ubiquitous power IOT, this paper constructs four layers of ubiquitous power IOT architecture: perception layer, network layer, platform layer and application layer, analyzes the key technologies of ubiquitous power IOT based on the four layers’ architecture and expounds the application of ubiquitous power IOT intelligence and emerging technologies in distribution side and relay protection of power enterprises. Keywords Ubiquitous power Internet of things · 5G mobile communication network · Edge computing · Application area

1 Introduction In 2019, the State Grid Corporation officially put forward the strategic goal of building a full-service ubiquitous power Internet of Things, the essence of which is to use advanced Internet of Things technology, artificial intelligence, big data storage and analysis, and other intelligent and emerging technologies integrate a strong smart grid and realize the realization of people from energy production, transmission, allocation, consumption and other links. We will comprehensively improve the optimal operation level of the power system and promote the transformation of the power system from a single supplier to an integrated energy service provider. M. Zhao · Y. Li (B) Faculty of Information Engineering and Automation, Kunming University of Science and Technology, Kunming, China e-mail: [email protected] M. Zhao · L. Yang Electric Power Research Institute, Yunnan Power Grid of Limited Liability Company, Kunming, China © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_79

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At present, the construction of smart grid for Internet of Things technology has been studied at home and abroad, but the focus of its application is different. In Europe, the application of the Internet of Things in the power industry is more inclined to clean energy and environmental protection; in Japan, the application of the Internet of Things in the power industry mainly lies in the fields of new energy power generation monitoring and forecasting, intelligent meter measurement, micro-grid system monitoring and other fields; in China, the power industry uses RFID technology, positioning technology, image acquisition technology to achieve substation monitoring, inspection positioning, fault identification and other services to achieve flexible, efficient and reliable intelligent applications [1]. This paper begins with the concept and architecture of ubiquitous power IOT, analyzes the key technologies of ubiquitous power IOT based on the architecture and expounds the application of ubiquitous power IOT in distribution side and relay protection, relying on the characteristics and advantages of key technologies. It provides help for the construction of other aspects of power enterprises and provides strong support for the construction of first-class energy Internet enterprises for power enterprises.

2 Overview and Architecture of Ubiquitous Power Internet of Things 2.1 Overview of Ubiquitous Power Internet of Things Ubiquitous power Internet of Things is proposed by State Grid Corporation of China at the two sessions in 2019, aiming at realizing the interconnection of all things in all links of power system, human–computer interaction, intelligent service system with the characteristics of comprehensive state perception, efficient information processing and convenient and flexible application around all links of power system, making full use of modern information technology such as mobile interconnection and artificial intelligence [2]. The understanding of the Internet of Things in the power industry is that the Internet of Things is a network system that realizes the identification, perception, interconnection and control of power grid infrastructure, personnel and their environment [3]. State Grid Corporation defines it as connecting power users and their equipment, power grid enterprises and their equipment, power generation enterprises and their equipment, suppliers and their equipment, and people and things, generating shared data, serving users, power grid, power generation, suppliers and government society and taking power grid as a hub to play a platform and sharing role. For the development of the industry and more market players to create greater opportunities and provide value services.

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2.2 Ubiquitous Power Internet of Things Architecture Ubiquitous power Internet of Things fully applies modern information technology such as big cloud moving things to wisdom to realize the functions of interconnection and human–computer interaction in all links of power system. The architecture is shown in Fig. 1. The sensing layer is at the bottom of the architecture, whose main function is to unify terminal standards, promote cross-professional data acquisition, realize the depth coverage of distribution side and power side acquisition and monitoring and improve the level of terminal intelligence and edge computing; the network layer intervenes and transmits information from the sensing layer through a series of basic network facilities such as the existing Internet, mobile communication network and satellite communication network [4] and promotes the construction of power wireless private network and terminal communication; the platform layer integrates the massive information resources in the network layer into a large interconnected network through computers, solves the problems of data storage, retrieval, use, mining and security, realizes the unified management of ultra-large scale terminals, deepens the construction of unified data center for all services and promotes the construction and application of National Network Cloud platform [5]; the application layer is located at the top of the architecture, receives the information transmitted by the platform layer, processes and makes decisions on it. Fully support the core business of intelligent operations through data analytics processing to provide users with a wealth of specific services [6] and promotes the management of upgrading and power grid business transformation. Fig. 1 Ubiquitous power Internet of things architecture

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3 Technologies of Ubiquitous Power Internet of Things 3.1 Intelligent Sensor and Intelligent Terminal The ubiquitous power Internet of Things is data-centered, which requires intelligent Internet of Things terminals to collect static and dynamic data of power system in an all-round way. In order to obtain the operation state of power equipment and system more accurately, precisely and comprehensively, it is necessary to ensure the validity and sensing mechanism of multi-dimensional characteristic parameter data under complex working conditions of power equipment and to develop new sensing technologies to improve reliability, stability and signal-to-noise ratio, so as to provide large data support for system’s decision-making and collaborative regulation. The development of energy information sensing technology not only develops sensor equipment, but also needs to see intelligent terminals to ensure the unified management and configuration of plug and play business terminals of intelligent terminals. Because of the universality of large scale, the terminal tends to be miniaturized and has single function. Therefore, it is necessary to realize the collaborative work between terminals through intelligent terminal technologies such as Internet of Things agent and convenient amino acid. Specifically includes: using the unified model of sensing data and edge-based data aggregation algorithm to realize the equipment state parameter modeling, sensor data demodulation and fault location, using the Internet of Things agent in the terminal to realize the separation of data and application to realize the flexible loading and unloading of software and using edge computing intelligent analysis to improve the edge measurement data processing ability of ubiquitous power Internet of Things.

3.2 Communication Network Integration

The Fifth-Generation Mobile Communication Technology From the perspective of network technology, 5G communication technology mainly includes SON technology, ultra-dense heterogeneous deployment and SDN technology [7]. SON technology saves a lot of network maintenance and deployment costs and makes 5G mobile communication technology to develop toward intellectualization; ultra-dense heterogeneous deployment effectively increases the deployment density of the Web site, shortens the distance between short nodes and terminals and avoids node interference and network space-time changes; SDN is a new network architecture with separation of data plane and control and software programmability [8]. The introduction of SDN technology in 5G network can quickly realize the separation of control and forwarding, the centralized deployment of control surface and the global scheduling of forwarding resources and provide technical support for

Application of Ubiquitous Power Internet of Things in Power … Table 1 Corresponding relationship between 5G and electricity demand

Characteristic

Electric power demand

High capacity

Interconnection of all things

High speed rate

Massive data transmission

High reliability

Power system stability

Low energy consumption

Guarantee equipment life

Low time delay

Flexible response collaborative work

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the intelligent operation and maintenance of subsequent 5G network through programmable interface. The relationship between its characteristics and power demand is given in Table 1. Edge Computing Technology The ETSI defines edge computing as the provision of IT service environments and computing power at the edge of a mobile network [9], emphasizing proximity to mobile users to reduce latency in network operations and service delivery and improve the user experience. ECC defines it as a platform that combines the core capabilities of network, computing, storage and application at the edge of the network near the source of objects or data and provides edge intelligent services nearby to meet the needs of industry digitalization in agile connection, real-time business, data optimization, application intelligence, security and privacy protection [10]. Edge computing through the core node tasks and functions to the edge of the device with processing capacity make full use of the edge of the computing capacity to achieve a preliminary processing of information. Document [11] gives the architecture diagram of edge computing, as shown in Fig. 2. The edge computing node is located between the cloud platform and data acquisition equipment, providing efficient real-time processing services for data acquisition equipment. Compared with the cloud platform, the edge node is an efficient data acquisition terminal, filtering redundant data for the cloud platform, sharing the computing task of the cloud platform, in order to improve the computing capacity of the cloud platform. Compared with traditional centralized cloud computing services, edge computing has the advantages of real-time data processing, sensitive information protection and low energy consumption [11]. Internet of Things Platform The construction of ubiquitous power Internet of Things is to improve the efficiency of power grid operation, realize the unified management of all business data of power companies, real-time access to internal and external data, improve the development of digitalization, information and intellectualization of distribution network in China and realize the sharing and opening of large power data. Massive IOT management technology, real-time update storage and management of massive data, provides physical basis and data sources for data mining analysis. If the massive data in the ubiquitous power Internet of Things is still stored in the traditional way, it will lead to data redundancy, re-read storage, low resource utilization

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Fig. 2 Edge computing architecture

and other issues. The Internet of Things center needs to have the ability to support the multi-service parallelism of the energy Internet and the standardized interface and interconnection platform to provide public services, to ensure end-to-end connection in the ubiquitous network environment to achieve terminal, management and high concurrency message processing and to fully tap the intrinsic value of data by using big data technology, so as to improve the economy and security of power system operation. Enhance customer experience and participation.

4 Application of Universal Power Internet of Things in Power Grid 4.1 Application of Universal Power Internet of Things in Distribution Side As a bridge between transmission network and users, distribution network will not only upgrade the traditional distribution network business intelligently, but also carry a large number of new user-oriented and integrated energy system services under the background of ubiquitous power Internet of Things. At the present stage, the information means and technical support in the decisionmaking process of distribution network are not complete, and the power equipment has the status quo of repair with the bad, but the growth of intermittent energy and new load requires more and more high reliability and quality of power supply. The application of ubiquitous power Internet of things can make the distribution network side to implement sensing the operation status of power equipment and evaluate the operation risk, which is embodied in online monitoring intellectualization, relying on robust communication system, so that the fault types that can only be judged by electricity or manual on-site can be identified in various ways. Secondly, security assessment, data mining is used to mine and analyze the historical data of distribution network, and real-time risk assessment of distribution network operation status is

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carried out, so as to find the weak links of the system in time, improve the reliability of power supply and realize the panoramic risk management and control of intelligent distribution network.

4.2 Application of Universal Power Internet of Things in Relay Protection Relay protection is an important measure to detect the fault or abnormal situation in power system, then send out an alarm signal [12] or directly isolate and cut off the fault. The ubiquitous power Internet of things is applied to the relay protection construction, and the data intelligent acquisition technology is adopted to realize the standardized automatic acquisition of multi-source information, improve the efficiency of information exchange and realize the standardized acquisition of operation data. By using the wireless private network of the power company, the real-time and efficient transmission of mobile application acquisition data can be realized, the pace of enterprise construction of wireless private network can be accelerated, and the integration of mobile interconnection technology into power grid management can be supported. Relying on the ubiquitous power Internet of Things to build an integrated protection model, standardize data unity and realize model association, data global association and comprehensive sharing. In the process of collecting and handling accidents, the internal equipment status information and external environment information of the power grid shall apply the artificial intelligence correlation analysis algorithm, carry out the accident chain deduction, realize the recovery of the accident process, provide the theoretical basis for the dispatcher to carry out accident investigation and maintenance personnel to find the accident location, and assist the protection personnel to find the protection dead zone, overlapping zone and dead zone to achieve targeted protection logic.

5 Conclusion In this paper, the concept, architecture, key technologies and application in power grid of ubiquitous power IOT are described in detail, and the key technologies of ubiquitous power IOT are introduced in detail. Based on ubiquitous power IOT, the application of ubiquitous power IOT in distribution side and relay protection is further introduced. On the one hand, it can promote the over-upgrading of power distribution system to the direction of Internet of Things, informatization and intelligence. On the other hand, relying on the ubiquitous power Internet of Things, the relay protection side can build a protection integration model, standardize the unity of data and realize model association, data global association and comprehensive sharing. At

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the same time, it provides strong support and reference for other aspects of power grid enterprises to introduce ubiquitous power Internet of Things and realize the first-class energy interconnection enterprises of hub, platform and sharing type.

References 1. Zhang Y, Song S, Chen X et al (2016) Design of ToA indoor positioning system for pumped storage power station based on material-connected sensor network. Technol Innov Appl 18:63– 66 2. Wang X (2019) State grid will build a three-type and two-network world-class energy Internet enterprise. Energy of China 3. Liang J, Deng Y, Guo L et al (2013) Research and application of remote monitoring for power transmission and transformation facilities based on satellite Internet of things. Electr Power Constr 34(09):6–9 4. Liu L (2016) Research and design of the home control system based on Bluetooth 4.0 hoc networks. North China University of Technology 5. Zhang S (2018) Enhancing intrinsic safety in an all-round way to ensure strong ICT support. North China Electr Power Ind 06:34 6. Zhao H (2013) Research on the application of Internet of things technology in the balance of commodity supply and demand. Comput CD Softw Appl 16(11) 7. Li Q (2019) The era of Internet of things under 5G mobile communication technology. Telecom World 26(04):100–101 8. Zhao W (2016). Research on the flexible scheduling method of network resource based on Sdon. Beijing University of Posts and Telecommunications 9. Li Z, Xie R, Sun L, et al (2018) A survey of mobile edge computing. Telecommun Sci 1:87–101 10. Lu H, Chen D, Fan B et al (2018) Standardization progress and case analysis of edge computing. J Comput Res Dev 55(03):487–511 11. Bin Li, Bincheng Jia, Songsong Chen et al (2018) Application prospect of edge computing in the field of power supply and demand. Electr Power 51(11):154–162 12. Chen K, Wu Y (2012) Research on maintenance of secondary circuit of relay protection. Technol Wind 05:39

Design of PLC Ladder Diagram for Four-Position Tool Holder of FANUC CNC Lathe Xiurong Zhu and Haokun Hu

Abstract Through the design of the control system of the four-position electric tool holder, it is known that the modern enterprise cannot complete the automation control without the control of PLC. PLC processes and calculates the I/O of the tool holder to realize the sequential control of the tool holder. It is of great significance to master the control principle of the tool holder, to be familiar with the working process of the tool holder, to encounter the tool holder faults in the working process and to be able to handle simple faults. It has important reference value for the design of PLC control system of NC machine tools. Keywords CNC lathe · Four-position tool holder · PLC · Control system

1 Introduction With the development of CNC technology, CNC lathe will develop to middle and high grades. The middle grade is equipped with universal CNC tool holder, and the high grade is equipped with power tool holder, which includes hydraulic tool holder, servo tool holder and vertical tool holder. The development trend of NC lathe tool holder is that the tool holder of NC lathe begins to develop in the direction of rapid tool change, electro-hydraulic combined drive and servo drive. Safety should be taken into account when changing tool of lathe. Tool cannot collide with workpiece during tool changing. During tool changing, the program controls the coordinate axes to return to the safe position and then executes the tool changing commands. After the tool change is completed, it moves quickly to the origin of the workpiece coordinate system and continues to process. It is of great significance to master the control principle of the tool holder and to be familiar with the working process of X. Zhu (B) Jilin Engineering Normal University, Changchun 130052, Jilin, China e-mail: [email protected] H. Hu Changchun Normal University, Changchun 130000, Jilin, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_80

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the tool holder. In the process of working, it is necessary to be able to handle simple faults. This paper mainly designs the control system of four-position electric tool holder [1].

2 Mechanical Structure of Tool Holder In order to complete a variety of or even all processing procedures in a single clamping process, to shorten the auxiliary time and reduce the errors caused by multiple installations of the workpiece, the NC lathe must be equipped with an automatic tool changer. The automatic tool changing device should meet the basic requirements of short tool changing time, high repetitive positioning accuracy, sufficient tool storage and safety and reliability [2]. The rotary tool holder used on NC lathe is the simplest automatic tool changer. According to the different processing objects, there are four-sided tool holder, hexagonal tool holder, eight (or more) positions of disc-type axial tool holder and other forms. Four, six or more cutters are installed on the rotary tool holder, and the cutters are changed according to the instructions of the NC device [3]. The rotary tool holder must have good strength and stiffness in structure to withstand the cutting resistance during rough machining and reduce the displacement and deformation of the tool holder under the cutting force, so as to improve the machining accuracy. Because the turning accuracy depends to a great extent on the position of the tool tip, it is more necessary to select reliable positioning scheme and reasonable positioning structure to ensure that the rotary tool holder has higher repetitive positioning accuracy after each rotation. Generally speaking, for CNC lathe, the tool holder should be manually adjusted during the processing 0.001–0.005 mm. According to its working principle, the rotary tool holder can be divided into many working modes, such as lifting and rotating of mechanical nuts, rotating of cross-grooved wheels, pawling of convex platform, electromagnetic and hydraulic modes. However, the process of tool change is generally a few steps, such as tool holder lifting, tool holder indexing, tool holder pressing and positioning. Now, take the CNC lathe as shown in Figs. 1, 2, 3. The four-position tool holder is illustrated as an example [4]. The process of tool change of four-position tool holder is simple, which is realized by the following steps: 1. Rise of tool holder When a tool change command is issued by the numerical control device, the motor will rotate forward through the sliding key and pass through the coupling, worm, turbine, shaft and sleeve. There are two protrusions on the outer circle of the sleeve, which can slide in the spiral groove in the inner hole of the sleeve, thus lifting the cutter holder and the upper gear disc connected with the sleeve, separating the gear disc from the lower gear disc and completing the lifting operation of the cutter holder [5].

Design of PLC Ladder Diagram for Four-Position Tool … Fig. 1 Four-position tool holder

Fig. 2 Tool holder signal control program

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Fig. 3 Tool changer signal transmission control program

2. Tool holder position After the tool holder is lifted, the axle sleeve continues to rotate, while driving the tool holder to rotate 90° (if not in place, the tool holder can continue to rotate 180°, 270° and 360°), and signals are sent to the numerical control device by the micro switch [6]. 3. Tool holder tightening After the tool holder is shifted, the motor is reversed by the signal of the micro switch, and the tool holder is positioned by the pin instead of turning with the axle sleeve, so the tool holder moves downward and the upper and lower tooth discs are closed and pressed. The worm continues to rotate and generates axial displacement. The compression spring and the cylindrical surface compression switch of the sleeve stop the motor from rotating, thus completing a rotation [7].

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3 Working Principle of Four-Position Tool Holder The electric control of the electric tool holder is divided into two parts: strong and weak. The strong part is driven by three-phase power supply, and the three-phase AC asynchronous motor is reversed to realize the loosening, rotating and locking of the electric tool holder. The weak part is mainly composed of position sensor and mailbox, and the mailbox is sent by Hall sensor. The three-phase asynchronous motor with 90 W power and 1300 r/min speed is used in the motor of the NC electric tool holder. The control of NC tool holder is mainly accomplished by PLC. PLC input/output. When the input signal of PLC reaches X11, X12, X13 and X14, it corresponds to knife No. 1, knife No. 2, knife No. 3 and knife No. 4, respectively. After receiving the instructions, the PLC responds to them and transmits them to the output module of the PLC. The intermediate controls the forward and reverse of the knife holder and outputs the final instructions [8]. When the PLC application program receives the tool change instruction from the signal interface of the NC system or from the machine–tool control panel, the tool holder motor is controlled to rotate forward, and the actual position of the tool holder is monitored by the digital input of the PLC. If the actual position of the tool holder is in the command position, the PLC application program controls the tool holder motor to reverse lock and start the delay control. After the delay time arrives, the tool holder reversal stops and the tool change process ends.

4 Design of PLC Control System for Four-Position Tool Holder of NC Lathe 4.1 Application of PLC Ladder Diagram Ladder diagram is the most widely used graphic programming language of PLC, which is called the first programming language of PLC. Ladder diagram is very similar to the circuit diagram of electrical control system. It has the advantages of intuition and easy to understand. It is easy to be mastered by factory electrical personnel, especially suitable for switch logic control. Ladder diagrams are often referred to as circuits or programs, and the design of ladder diagrams is called programming [9]. Some programmable elements in the ladder diagram of PLC follow the name of relay, such as input relay, output relay and internal auxiliary relay. They are not real physical relays, but storage units (soft relays). Each soft relay and a storage unit of the image register in the memory of PLC are storage units. If the storage unit is in the “1” state, it means that the coil corresponding to the soft relay in the ladder diagram is “energized”. Its normally open contacts are connected and the normally closed contacts are disconnected. This state is called the “1” or “ON” state of the soft relay.

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If the storage unit is in the “0” state, the coil and contact states of the soft relay are opposite to those mentioned above, and the soft relay is called “0” or “OFF” state. These “soft relays” are often referred to as programming elements in use.

4.2 Tool Changing Process of Tool Holder There are two modes of tool holder changing, one is manual tool changing, the other is automatic tool changing through T command.

4.2.1

Manual Tool Change

Firstly, the mode selection is typed into the manual mode (JOG), and the tool is changed according to the manual button of the tool library on the auxiliary function module. Change tool position one time by short press and change tool continuously by long press.

4.2.2

Automatic Tool Change

The mode selection is typed into manual input mode. When the MDI unit function key PROG is pressed, the target knife number (such as T0202) is input, the function key EOB is pressed, then the function key INSERT is pressed, and finally, the green cyclic start key on the operation panel is pressed to find the desired target knife position.

4.3 The Address of PLC for Four-Position Tool Holder of FANUC CNC Lathe The address of PLC of four-position tool holder of FANUC CNC lathe has different functions, as given in Table 1 [10].

4.4 Design of PLC Ladder Diagram for Four-Position Tool Holder of FANUC CNC Lathe Manual tool change: Firstly, the mode selection is typed into the JOG mode, and then, the tool is changed according to the manual button of the tool library on the auxiliary function module. Press the manual tool change signal X30.7, Y0.6 output, turn on

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Table 1 4 Address table of PLC for tool holder S. No.

Address

Address correspondence

1

R0107.0–R0107.3

Input signal corresponding to tool position of tool holder rotation

2

F7.3

Selection signal of tool function T

3

R instruction

Internal relay

4

Y8.4

Forward rotation of tool holder

5

Y8.5

Tool holder reversal

6

R0630.0

T-code completion signal

7

G4.3

Auxiliary function completion signal

8

TMRB

Timer

9

CODB

Binary conversion instruction

10

MOVE

Transfer instructions

11

COMPB

Binary size comparison

12

JMP

Jump start

13

F1.1

Reset

14

F3.2

JOG

15

X30.7

Manual tool change signal

16

JMPE

Jump end

Y8.4. Knife holder motor is turning to find knife. When the target cutter position is found, for example, X7.4, coil R300.0 is electrically connected to Y8.5, cutter frame motor is inverted, and inversion timer 0000 is started. When the time comes, coil R620.0 is electrically charged. R620.0 is normally closed and disconnected, and Y8.5 is out of power. The motor stops turning, the tool holder drops, the latch is locked, and the manual tool change is finished [10]. Automatic tool change: Firstly, the mode selection is typed into manual input mode. When the MDI unit function key PROG is pressed, the target knife number (such as T0202) is input, the function key EOB is pressed, then the function key INSERT is pressed, and finally, the cyclic start key is pressed. At this time, F7.3 is turned on and the signal of the current tool position is transmitted through the Hall position detection switch. Send instructions and binary conversion instructions are converted into actual tool position numbers and stored in R510.0. When the system sends out the tool change instruction T0202, F7.3 turns on, and the current tool number will be compared with the tool number in the target register R510.0. If the same, R900.0, R530.2 turns on, the program jumps, and the tool change ends. If the tool position is different, the tool holder motor is turning forward to find the tool. After the tool is in place, the R610.0 and Y8.5 coils are electrified, the motor is inverted and timed, the tool holder is lowered and locked, and the whole tool changing process ends (Figs. 4 and 5).

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Fig. 4 Tool holder T-code decoding control program

5 Conclusion Through the design of the control system of four-position electric tool holder, it is known that modern enterprises cannot complete the automation control without the control of PLC, and the production of enterprises can reduce labour and production costs. PLC processes and calculates the I/O of the tool holder to realize the sequential control of the tool holder. Through the design of PLC ladder diagram of four-position tool holder of FANUC CNC lathe and the process of simulation, this paper illustrates that it is of great significance to master the control principle of tool holder, to be familiar with the working process of tool holder and to be able to deal with its simple faults. This paper proves that it is valuable for the design of PLC control system of NC machine tools.

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Fig. 5 Tool holder reverse control PMC program

References 1. Xudong D Research and development of electrical control system for distributed control system. Hubei Electr Power Syst 25(5):21 2. Feng S (2009) A discussion on the development of electrical control of elevator. Sci Technol Inf 21 3. Liu L (2011) The development technology of electrical control technology. J Beijing Electr Power Coll 3:31 4. Guowei Z, Guoxiu W (2003) Graphic LCD module MGLS-19264. Appl Intell Geophone: 2 5. Liao Changchu (2014) PLC programming and application. Mechanical Industry Press, China 6. Pang K, Yuan W (2014) PLC electrical control system design and application. China Electric Power Press, China 7. Jia Z, Li X, Hongyan G (2014) Introduction to the application of PLC. China Electric Power Press, China 8. Mei H (2015) Electrical equipment and control. China Water Conservancy and Hydropower Press, China 9. Wan P, Lin D (2015) Electrical testing technology. Mechanical Industry Press, China 10. Huang Songwei, Zou Jinhui (2015) Electrical control and PLC application technology. Electronic Industry Press, China

Feature Extraction Based on Improved Feature Weighting Algorithm ShuangXin Wu and Ji Kang Jia

Abstract Text feature is an important category attribute of text. Feature extraction directly affects the accuracy of text classification. An improved feature weighting algorithm is proposed in this paper. The chi-square statistical method is applied to calculate feature weight, which improves the accuracy of extracting feature words of categories. The IDF calculation method is improved from the category concentration of keywords. This paper uses the TF-IDF before and after the improvement to extract feature and classify the same text data individually. The results show that the classification effect of the improved method is better than the traditional method. Keywords Feature extraction · Text classification · Feature weight · TF-IDF

1 Introduction The goal of text categorization is to categorize the text dataset automatically. And it generally includes text preprocessing, feature extraction, classifier selection, training, evaluation and feedback of classification results. Currently, the vector space model (VSM) has been widely used in text classification [1]. It converts the text into high-dimensional feature vectors. However, there are many feature items in this feature vector that are irrelevant to the main information of the text. Feature extraction is one of the most common methods of the dimension reduction of feature vectors. The feature evaluation function can be used to quantitatively evaluate and analyze the feature items, so that the feature items with the most representative text category information can be obtained. The chi statistical method is one of the commonly used feature extraction methods [2]. Many scholars have put forward their own improved methods of feature extraction. Guo et al. considered to add the concept of intra-class dispersion in text categorization to eliminate the influence of interference characteristics [3]. Jia et al. considered to use S. Wu (B) · J. K. Jia School of Information Engineering and Automation, Kunming University of Science and Technology, Kunming 650500, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_81

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chi statistical method to extract the features of Tibetan documents and used the cosine method to compute the similarity of Tibetan documents [4]. Ma et al. considered to improve the function of important and representative terms and to reduce the influence of unimportant characteristic terms on retrieval and classification [5]. The TF-IDF used in this paper is an important feature weighting algorithm. TF only considers the information contained in the text from the aspect of word frequency and lacks the consideration of feature words of the context. IDF considers the classification of keywords in the whole text but does not consider the case of keywords in different categories. After analyzing the shortcomings of the traditional TF-IDF feature extraction method, we use chi statistical method to extract keywords. The IDF calculation method is improved on the distribution of keywords in categories. By weighting the features, the text information can be more rationally reflected, and it is also beneficial to improve the classification effect.

2 Model and Method 2.1 Feature Extraction The text is treated as a vector space consisted of a set of vectors in VSM. Text is expressed as a space vector, and keyword is the basic unit of text. Multidimensional vectors correspond to a keyword of the text, and each dimension represents the keyword weighting. Weights represent the importance of feature items in text. Text vector space can be expressed as follows: v(di ) = (w1 (di ), w2 (di ) . . . , wn (di ))

(1)

where wn (di ) represents the weight corresponding to the feature word wn . Chi statistics is used to measure the statistical correlation between feature w and category ci . If the joint probability of the keyword w and the category ci satisfies the chi-square distribution condition, the statistical correlation between w and ci can be calculated as below: χ 2 (w, ci ) =

n(ad − bc)2 (a + c)(b + d)(a + b)(c + d)

(2)

where n = a + b + c + d, a is the frequency of texts which belong to class ci and contain w. b is the frequency of texts which do not belong to class ci but contain w. c is the frequency of texts which belong to class ci but do not contain w. d is the frequency of texts which neither belong to class ci nor contain w. n is the document frequency of the text set.

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The value of χ 2 (w, ci ) is large, it indicates that the feature item w has a greater degree of correlation with the category ci , and the feature item contains rich classification information; the value of χ 2 (w, ci ) is small, it indicates that the feature item w has a less degree of correlation with the category ci , and the feature item contains less classification information. For global feature selection, the chi statistics of the 2 (w), the calculation formula is shown in (3). entire set is χmax 2 m (w) = maxi=1 x 2 (w, ci ) χmax

(3)

where m is the number of categories. A term below a certain threshold is removed from the original feature space, and a term above the threshold is retained as a feature of the document representation. It usually uses the similarity of vectors to express the similarity of two texts. The angle between vectors is often used to express the similarity between vectors. In this paper, cosine method is adopted to calculate the text similarity [6]. The calculation formula is shown in (4). n k=1 wki × wk j cos(di , d j ) =   n  n 2 2 × w w k=1 ki k=1 k j

(4)

TF-IDF is often used to measure the importance of a word of a text. The main idea of TF is that if a feature item appears more frequently in a text, the feature item may better describe the main information of the text. The main idea of IDF is that the feature words were contained in a small number of texts which are more important than those in a large number of texts. The feature words are more conducive to distinguish the categories of the text. The calculation formula of IDF is shown in (5). The calculation formula of TF-IDF is shown in (6). idf(w) = log2

n n(w) + 1

wi (di ) = tf(w) × idf(w) = tf(w) × log2

(5) n n(w) + 1

(6)

where n and n(w) are expressed as the number of texts and texts containing w, respectively.

2.2 Improved TF-IDF After analyzing the shortcomings of the original TF-IDF feature extraction method, this paper makes corresponding improvements to these deficiencies. Then, we use −−−→ idf(w) to represent the IDF values of the keyword w in different categories of text set.

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−−−→ The larger the value of idf(w), the greater concentration of keyword w in different −−−→ class, and the keywords have stronger classification. idf(w) is calculated by improved −−→ IDF calculation method. tf(w) is calculated by improved TF calculation method. The calculation formulas are shown in (7), (8) and (9). m

(idf(w, ci ) − idf(w))2 m m idf(w, ci ) idf(w) = i=1 m −−→ tf(w) = x 2 (w, ci ) × tf(w)

−−−→ idf(w) =

i=1

(7) (8) (9)

The TF-IDF calculation formula is generally normalized to eliminate the influence of text length on feature extraction, and the normalized formula is shown in (10). wi (di ) = 

−−→ −−−→ tf(w) × idf(w) n −−→ −−−→ 2 k=1 (tf(w) × idf(w))

(10)

Firstly, the improved TF-IDF weight values of the feature words are obtained, and then, the feature words are sorted in descending order. Finally, the feature words are selected to meet the requirements according to preset screening conditions.

3 Result and Analysis The text set used in this experiment is from the Sogou Laboratory, with 10 topics. There are 1500 data for training and 1500 data for testing. These topics include Art, Sports, Politics, Economy, Low, Agriculture, Traffic, Computer, Military and Education. Firstly, text preprocessing is performed on the text set. Secondly, the word vector is obtained. Thirdly, the weights of the keywords are calculated using the improved method and original method. Lastly, the Naive Bayesian algorithm is used for text classification [7]. In the field of text categorization, the performance of the text classifier can be measured by precision ratio (P), recall ratio (R), F-measure (F), ma-average and mi-average [8]. The arithmetic average of F-measure is ma-average. Mi-average is the ratio of samples predicted correctly to the total samples. The calculation formulas are shown in (11), (12) and (13). P=

tp tp + fp

(11)

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Table 1 Comparison of classification effect Class

Original TF-IDF P

Improved TF-IDF

R

F

P

R

F

Art

0.8397

0.8733

0.8562

0.8940

0.9000

0.8970

Law

0.8496

0.7533

0.7986

0.8803

0.8333

0.8562

Politics

0.8649

0.8533

0.8591

0.8912

0.8733

0.8822

Economy

0.8500

0.7933

0.8207

0.8966

0.8667

0.8814

Traffic

0.8442

0.8667

0.8553

0.8723

0.8200

0.8454

Education

0.8345

0.8067

0.8203

0.8897

0.8600

0.8746

Agriculture

0.8633

0.8000

0.8304

0.8966

0.8667

0.8814

Computer

0.8435

0.8267

0.8350

0.8966

0.8667

0.8814

Military

0.8182

0.8400

0.8289

0.8824

0.9000

0.8911

Sports

0.7947

0.8000

0.7973

0.8609

0.8667

0.8638

Table 2 Comparisons of ma-average and mi-average of two methods

Class

Ma-average

Mi-average

Original TF-IDF

0.8302

0.8213

Improved TF-IDF

0.8754

0.8593

tp tp + fn

(12)

2× P × R P+R

(13)

R= F=

where tp, fp and fn are the quantity of true-positive, false-positive and false-negative texts, respectively. The original and improved feature weighting methods are used to compute the weight of keywords in the experiment. The results of the experiment are shown in Tables 1, 2 and Fig. 1. The experimental results show that the improved feature weighting method improves the effect of feature extraction and text categorization significantly. The Ma-average increases by 4.52%, and the Mi-average increases by 3.8%.

4 Conclusion After analyzing the shortcomings of traditional feature weighting algorithm, this paper introduces the chi statistics as the feature weight adjustment factor, which improves the calculation method of TF. The IDF calculation method is improved from the distribution of keywords in classes. The results show that the improved

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Fig. 1 F values of the algorithms on each category

feature weighting method has a better feature extraction effect and improves the accuracy of classification.

References 1. Geng J, Lu Y, Chen W, Qin Z (2014) An improved text categorization algorithm based on VSM. In: 2014 IEEE 17th international conference on computational science and engineering. Chengdu, pp 1701–1706 2. Zhai Y, Song W, Liu X, Liu L, Zhao X (2018) A chi-square statistics based feature selection method in text classification. In: 2018 IEEE 9th international conference on software engineering and service science (ICSESS), Beijing, China, pp 160–163 3. Guo A, Yang T (2016) Research and improvement of feature words weight based on TFIDF algorithm. In: 2016 IEEE information technology, networking, electronic and automation control conference. Chongqing, pp 415–419 4. Cao H, Jia H (2013) Tibetan text classification based on the feature of position weight. In: 2013 international conference on asian language processing. Urumqi, pp 220–223 5. Zhanguo M, Jing F, Xiangyi H, Yanqin S, Liang C (2011) Improved terms weighting algorithm of text. In: 2011 international conference on network computing and information security. Guilin, pp 367–370 6. Kuang Q, Xu X (2010) Improvement and application of TF• IDF method based on text classification. In: 2010 international conference on internet technology and applications. Wuhan, pp 1–4 7. Miao F, Zhang P, Jin L, Wu H (2018) Chinese news text classification based on machine learning algorithm. In: 2018 10th international conference on intelligent human-machine systems and cybernetics (IHMSC). Hangzhou, pp 48–51 8. Liu C, Sheng Y, Wei Z, Yang Y (2018) Research of text classification based on improved TF-IDF algorithm. In: 2018 IEEE international conference of intelligent robotic and control engineering (IRCE). Lanzhou, pp 218–222

Research on Mixed Text Feature Selection Algorithm Based on CHI and ECE Xinyang Cui, Xin Xiong, and Hua Long

Abstract As the number of electronic documents continues to increase, automatic text categorization has become a research hot spot in data mining. Feature selection is a crucial part of automatic text categorization. The selection of feature subset has an essential influence on the classification result. However, the traditional single feature selection algorithm often has different feature subsets due to different calculation principles. The calculation of feature values is also one-sided, which leads to the reduction of classification accuracy. Therefore, a mixed algorithm CHIECE is proposed in this paper, combining advantages of the two algorithms to select a more representative feature subset. The performance of the mixed text feature selection algorithm is evaluated in three widely used classifiers and compared with the traditional feature selection algorithms IG, CHI and ECE. From the results, we can see that the accuracy of mixed algorithm CHIECE is higher than that of traditional algorithms. Keywords Text categorization · Feature selection · Expected cross entropy · CHI-square statistics · Normalization

1 Introduction A large number of electronic documents are presented to people on account of the popularity of micro-blog and electronic news. In order to handle such a large amount of information, automatic text categorization has become an important technology for mining effective information. Automatic text categorization has been successfully developed in many fields, such as spam filtering, author identification and sentiment analysis [1]. In the process of automatic text categorization, the representation of documents usually adopts vector space model, in which each term in the text is regarded as a feature. However, one of the most serious problems for automatic text X. Cui · X. Xiong (B) · H. Long School of Information Engineering and Automation, Kunming University of Science and Technology, Kunming 650500, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_82

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categorization caused by this model is that one corpus can have thousands of terms, so the dimension of the feature space is too high. Most of the features contain less information, so these features may lead to the reduction of classification accuracy, and too many features will bring about an increase in computation [2]. Feature extraction and feature selection are two main methods of feature space dimension reduction [3]. Compared with the feature extraction method, the feature selection method is simpler, the amount of calculation is smaller, and the experimental effect is better. At present, common text classification feature selection methods include document frequency (DF) [4], information gain (IG) [5], expected cross entropy (ECE) [6], mutual information (MI) [7] and Chi-square statistics (CHI) [8]. Many scholars have carried out corresponding research on the above algorithms. Yang et al. carried out experimental analysis on the above methods and concluded that the feature subsets obtained by CHI and IG methods have higher classification accuracy in the classifier [9]. At present, most of research is based on the improvement and optimization of one certain feature algorithm. However, many studies have shown that no feature algorithm has an absolute advantage in text categorization [10], so the evaluation of features by a single feature selection algorithm is often one-sided. A text feature selection algorithm which combines ECE and CHI is proposed in this paper. The feature subsets selected by the method in this paper are tested on a variety of classifiers such as support vector machine (SVM), k-nearest neighbor(kNN) and Naïve Bayes(NB). The results show that the feature subsets obtained by the method proposed in this paper are more representative, and the classification results on different classifiers are relatively high in accuracy. Traditional single feature selection algorithms have been improved.

2 Related Work 2.1 Expected Cross Entropy The ECE is mainly used to compare the difference between two probability distributions. For the feature set W = {wi }, i ∈ [1, n], the training set of the category set C = {c j , j = 1, 2, . . . , m}, the specific ECE formula is as follows: ECE(wi ) = p(wi )

m    p(c j |wi ) p c j |wi log p(c j ) j=1

(1)

where p(wi ) is the probability of term wi , p(c j ) is the percentage of all documents belonging to category c j , and p(c j |wi ) is the probability of belonging to category c j when the text contains the term wi .

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2.2 CHI-Square Statistics The CHI statistic is mainly used to measure the independence of two variables, and the degree of independence of the two variables is judged by calculating a score. The larger the score of the feature word, the stronger the dependency between the feature and the category. The specific CHI formula is as follows: CHI(wi , c j ) =

N × (A × D − B × C)2 (A + C) × (B + D) × (A + B) × (C + D)

(2)

where A is the number of texts in the training set that contain the feature word wi and belongs to the category c j ; B is the number of texts in the training set that contain the feature word wi and does not belong to the category c j ; C is the number of texts in the training set that do not contain the feature word wi and belong to the category c j ; D is the number of texts in the training set that do not contain the feature word wi and do not belong to the category c j ; N = A + B + C + D, where N is the total number of texts in the training set.

3 Mixed Feature Selection Algorithm Based on ECE and CHI Because different feature selection algorithms often have different emphasis, that is, for the same feature word, the feature values calculated by different feature selection methods have a large difference, which results in a large difference of feature subsets, resulting in a decrease in classification accuracy. In order to solve the one-sidedness of the traditional single feature algorithm, a mixed algorithm CHIECE is proposed, which combines the CHI and ECE. The flowchart of the algorithm is shown in Fig. 1. When using the CHI and ECE algorithms for feature selection, the calculated results of the two, that is, the values for one feature are significantly different in magnitude. In order to solve the difference in magnitude between the two algorithms, the feature values obtained by the two algorithms are normalized. The normalization formula is as follows: xi_norm =

xi − xmin xmax − xmin

⎧ x = min {CHI(wi )} or min {ECE(wi )} ⎪ ⎪ ⎨ min 1≤i≤n 1≤i≤n xmax = max {CHI(wi )} or max {ECE(wi )} ⎪ 1≤i≤n 1≤i≤n ⎪ ⎩ xi_norm ∈ [0, 1]

(3)

(4)

where xi is the feature value of feature word wi , xi_norm is the feature value after the value xi is normalized.

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Fig. 1 Flowchart of mixed algorithm research

Therefore, the formula for calculating the comprehensive feature value CHIECE(W ) is as follows: CHIECE(wi ) =

CHInorm (wi ) + ECEnorm (wi ) 2

(5)

4 Experimental 4.1 Experimental Data The news sample of Xinhua News Agency collected by Professor Ronglu Li of Fudan University is used to be experimental data. Because the original corpus is too large, 2492 documents from six categories were selected for experimental analysis. The selected data set is divided by a 3:1 ratio, 80% for the training set and 20% for the test set (Table 1).

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Table 1 Number of training set and test set in 2492 documents Category

Space

Computer

Environment

Economy

Politics

Sports

Training

510

180

225

300

270

409

Test

170

60

75

100

90

103

4.2 Evaluation The text classification evaluation criteria mainly use accuracy. Accuracy =

TP + TN × 100% TP + TN + FN + FP

(6)

where TP is the number of texts that the classifier correctly classifies the input text into a certain category; FP is the number of texts that the classifier incorrectly classifies the input text into a certain category; FN is the number of input text wrongly excluded from a category by the classifier; TN is the number of input text that the classifier correctly excludes it from a category.

4.3 Performance Evaluation Before feature selection, the selected corpus is preprocessed, including Chinese word segmentation, removing stop words and punctuation. The text model uses vector space model based on term frequency–inverse document frequency weighting. In this paper, the mixed algorithm CHIECE is compared with the IG, CHI and ECE algorithms. Figures 2, 3 and 4 show the comparison of the accuracy of the four feature selection algorithms IG, ECE, CHI and CHIECE in kNN, SVM and NB classifiers, respectively. The abscissa is the number of features, and the ordinate is accuracy. We can see that as the number of features increases continuously, the accuracy of classification increases. However, the mixed feature selection algorithm that combined with CHI and ECE compared with the traditional three algorithms, and the calculation of feature value is more accurate, so that the feature words are more effectively sorted in order of importance, especially in the case of low-dimensional features. From these figures under three classifiers, we can see that the mixed algorithm CHIECE’s accuracy rate of the mixed algorithm has been improved to different degrees compared with other algorithms. When the number of features reaches 90, the accuracy can reach about 90%. And compared with the traditional algorithm, the mixed algorithm CHIECE can maintain a relatively high accuracy when the number of features is small.

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Fig. 2 Accuracy of four algorithms in kNN

Fig. 3 Accuracy of four algorithms in SVM

5 Conclusion This paper considers that the traditional single feature selection algorithm is often one-sided for the evaluation of feature’s importance. A mixed feature algorithm based on CHI and ECE is proposed. The new feature value calculated by the two algorithms

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Fig. 4 Accuracy of four algorithms in NB

is normalized and added. So, the features are sorted according to the new feature value. Through the test on three common classifiers, the results demonstrate that the mixed algorithm CHIECE can maintain a relatively higher accuracy compared with the traditional feature selection algorithm.

References 1. Medhat W, Hassan A, Korashy H (2014) Sentiment analysis algorithms and applications: a survey. Ain Shams Eng J 5(4):1093–1113 2. Shang C, Li M, Feng S et al (2013) Feature selection via maximizing global information gain for text classification. Knowl-Based Syst 54:298–309 3. Bharti KK, Singh PK (2015) Hybrid dimension reduction by integrating feature selection with feature extraction method for text clustering. Expert Syst Appl 42(6):3105–3114 4. Tang B, Kay S, He H (2016) Toward optimal feature selection in naive Bayes for text categorization. IEEE Trans Knowl Data Eng 28(9):2508–2521 5. Akce A, Norton JJS, Bretl T (2014) An SSVEP-based brain-computer interface for text spelling with adaptive queries that maximize information gain rates. IEEE Trans Neural Syst Rehabil Eng 23(5):857–866 6. Zhang YF, Wan BH, Xiong ZY (2012) Research on feature dimension reduction in text categorization. Appl Res Comput 29(07):2541–2543 7. Fan XL, Liu XX (2010) Study on mutual information-based feature selection in text categorization. Comput Eng Appl 46(34):123–125 8. Liu HF, Su Z, Liu SS (2013) Improved CHI text feature selection based on word frequency information. Comput Eng Appl 49(22):110–114 9. Yang Y (1996) An evaluation of statistical approaches to MEDLINE indexing. Proc Conf Am Med Inf Assoc AMIA Annu Fall Symp 1(1–2):358–362 10. Deng X, Li Y, Weng J et al (2018) Feature selection for text classification: a review. Multimedia Tools Appl

Class of Problems on Inequality Proof Miaohua Liu, Xiuchao Song, and Hao Song

Abstract In this paper, we will give the various methods of proving integral inequalities through the process of analyzing specific problems. At the same time, all the ideas and methods are summarized and generalized. Keywords Integral · Inequality proof · Schwarz inequality

1 Introduction In the study of higher mathematics, we often encounter problems like the proof of an integral inequality. It often appears in the national mathematics competition for college students and postgraduate entrance examinations. Today, we will prove the integral inequality to this kind of problem the solution method to carry on the induction and the summary and gives the corresponding example to explain concretely. The basic proof method of integral inequality is to use the comparison property of integral, see [1, 2], namely: Character 1 Let the function H(X), G(X) is integrable in the , if H (X ) ≤ G(X ), there are   H (X )d ≤ G(X )d 



Character 2 The function H (X ) is non-negative integrable in the , if 1 ⊂ , there are   H (X )d ≤ H (X )d 1



M. Liu (B) · X. Song · H. Song Air Force Engineering University Foundation Department, Xi’an, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_83

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That is to say, by zooming in or out of the integrand or the region of integration, we can prove the inequality. Let us elaborate on concrete examples.

2 Classified Discussion 2.1 Method 1. The Method of Zooming in or Our of the Integrand Example 1 For positive integer m, we are going to prove the inequality m

  y2 ym m 1+y+ + ··· + dy > e 2! m! 2 −y

0

Proof Let   y2 ym f (y) = e−y 1 + y + + ··· + , 2! m! Then, f  (y) = −

y m −y  y m−1 (y − m) −y e , f (y) = − e m! m!

So f  (y) ≤ 0 Where y ∈ [0, m] By reason of f (0) = 1, f (m) > 0 f (y) ≥ f (0) +

y f (m) − f (0) ·y ≥1− m m

Therefore, m 0

m  m y dy = 1− f (y)dy > m 2 0

Class of Problems on Inequality Proof

719

Example 2 The function p(t) is integrable in [a1 , a2 ], we are going to prove the inequality ⎡ ⎣

a2

⎤2 p(t)dt ⎦ ≤ (a2 − a1 )

a1

a2 p 2 (t)dt a1

Proof Let us think about this region of the plane D = {(t, u)|a1 ≤ t ≤ a2 , a1 ≤ u ≤ a2 } p2 (t) + p2 (u) due to p(t) p(u) ≤ 2 ⎤2 ⎡a a 2 2   a2 ⎣ p(t)dt ⎦ = p(t)dt p(u)du a1

¨

=

a1

a1

1 p(t) p(u)dσ ≤ 2

¨ 

D

1 = 2



D

¨

1 p2 (t)dσ +

¨

2

D

=

p2 (t) + p2 (u)dσ

1 p2 (u)dσ =

a2

a2 p2 (t)dt

2

a1 a 2  (a2 − a1 ) p2 (t)dt + p2 (u)du D

(a2 − a1 ) 2

a2

2

a1 a2

a1

1 du + 2

a2

a2 p2 (u)du

dt a1

a1

a1

p2 (t)dt

= (a2 − a1 ) a1

The inequality in Example 2 is actually a special case of the more general Cauchy inequality. Cauchy Inequality: Let us say the F(t), H (t) is integrable in [α, β], we know that ⎡ ⎣

β

⎤2 F(t)H (t)dt ⎦ ≤

α

β

β F (t)dt

H 2 (t)dt

2

α

α

When the integrand is difficult to shrink directly, the integrand can be changed by variable substitution before scaling. Example 3 Prove the inequality 1 0

sin t dt < √ 1 − t2

1 0

cos t dt √ 1 − t2

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Proof Let

1 − t 2 = s, so t = 1 − s 2 1 0

sin t dt = √ 1 − t2

0

sin

1

1 = 0

√ −s 1 − s2 ·√ ds s 1 − s2

√ √ 1 sin 1 − s 2 sin 1 − t 2 ds = dt √ √ 1 − s2 1 − t2 0

When t ∈ [0, 1), sin

1 − t2 ≤

1 − t 2 ≤ 1 − sin2 t = cos t

So √ sin 1 − t 2 cos t ≤√ .t ∈ [0, 1) √ 2 1−t 1 − t2 Thus, 1 0

sin t dt = √ 1 − t2

1 0

√ 1 sin 1 − t 2 cos t dt < dt √ √ 2 1−t 1 − t2 0

And you can actually see from this proof: 1 0

sin t dt < 1 < √ 1 − t2

1 0

cos t dt. √ 1 − t2

2.2 Method 2. The Method of Zooming in or Out of the Integration Region Example 4 Let us say the function H (y) is continuous and non-negative in the real +∞  number field. H (y)dy = 1, if there is a constant κ, make −∞

Class of Problems on Inequality Proof

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+∞ (y − κ)2 H (y)dy convergence. −∞

Prove that for any positive number n ε, we can get ⎤ ⎡ +∞ κ+ε (y − κ)2 H (y)dy ≥ ε2 ⎣1 − H (y)dy ⎦ −∞

κ−ε

Proof By reason of (−∞, κ − ε] ∪ (κ + ε, +∞) ⊂ (−∞, +∞), y ∈ (−∞, +∞), (y − κ)2 H (y) ≥ 0 So +∞ 

+∞  (y − κ)2 H (y)dy + (y − κ)2 H (y)dy −∞ −∞ κ+ε  +∞  κ−ε +∞ κ+ε  2  2   2 ε H (y)dy + ε H (y)dy = ε H (y)dy − H (y)dy ≥ −∞ κ+ε −∞  κ−ε  κ+ε  H (y)dy = ε2 1 −

(y − κ)2 H (y)dy ≥

κ−ε 

κ−ε

As a matter of fact, if you think of the function H (x) as the probability density of some random variable. Let, +∞ y H (y)dy, σ 2 =

κ= −∞

+∞ (y − κ)2 H (y)dy −∞

The result of Example 4 can be expressed as P{|X − κ| ≤ ε} ≥ 1 −

σ2 . ε2

2.3 Method 3. Into a Differential Inequality Example 5 Let us say the function A(u) is a second-order differentiable in [β1 , β2 ], and B  (u) is monotone decreasing, prove that (β2 − β1 )[A(β1 ) + A(β2 )] ≤ 2

β2 β1



β2 + β1 A(u)du ≤ (β2 − β1 )A 2



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Proof Let 

β1 + u a(u) = (u − β1 )A 2 u G(u) =

A(t)dt − β1



u −

A(t)dt β1

u − β1 [A(β1 ) + A(u)] 2

Then,   u − β1  β1 + u − A(u) A 2 2       β1 + u u − β1  β1 + u ∃ξ ∈ ,u a  (u) = A − A (ξ ) ≥ 0. 2 2 2 a  (u) = A



β1 + u 2



+

1 u − β1  A (u) G  (u) = A(u) − [A(β1 ) + A(u)] − 2 2 1 u − β1  = [A(u) − A(β1 )] − A (u) 2 2 ∃η ∈ (β1 , u) =

u − β1  [A (η) − A (u)] ≥ 0 2

Therefore, a(u), G(u) is monotonically increasing in [β1 , β2 ], a(β2 ) ≥ a(β1 ) = 0, G(β2 ) ≥ G(β1 ) = 0 Then, β2 − β1 [A(β1 ) + A(β2 )] ≤ 2



β2 A(u)du ≤ (β2 − β1 )A β1

β2 + β1 2



Of course, Example 5 can also be handled by scaling the integrand. Because of A (u) is monotone decreasing, the curve is convex, where β1 ≤ x ≤ β2 .then A(β1 ) +

     β1 + β2 β1 + β2 A(β2 ) − A(β1 ) β1 + β2 + A u− (u − β1 ) ≤ A(u) ≤ A β2 − β1 2 2 2

β2 − β1 [A(β1 ) + A(β2 )] ≤ 2

β2 β1



β1 + β2 A(u)du ≤ (β2 − β1 )A 2



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The above is a systematic elaboration of the proof method of integral inequality. Students in the problem solving, specific analysis of the specific problem, choose the appropriate method to solve. Acknowledgements Thanks again for professor Liu’s guidance and help. This paper is supported by basic department fund. Fund number is JK2019106.

References 1. Hou Y, Feng Y, Liu W (2009) Advanced mathematics, vol 71. Higher Education Press 2. Department of Mathematics, East China Normal University (2010) Mathematical analysis, vol 216. Higher Education Press

Application of Apriori Algorithm in User Data Mining in Electronic Commerce Xie Chao and He Defu

Abstract Traditional data processing thinking mode and technology cannot meet the needs; big data technology is entering our life with an irresistible trend. Based on the analysis of the characteristics of e-commerce user data in the context of large data, this paper elaborates on the process of e-commerce user data mining in the context of large data. Finally, the Apriori algorithm is applied to mine e-commerce user data. The experimental results show that the use of Apriori algorithm can make an e-commerce platform more accurate marketing and commodity recommendation. Keywords E-commerce · Apriori algorithm · Big data · Data mining

1 Introduction The rapid development of computers and the popularity of the Internet have provided residents with the premise of online shopping. The rapid development of mobile networks, rapid logistics and transportation, and the convenience of electronic payment have further promoted the development of online shopping [1]. The improvement of relevant laws, regulations and e-commerce systems has made more residents trust online shopping. With the continuous expansion of China’s e-commerce market, the scale of e-commerce user data is expanding, and the dimension is also increasing. These data types are very complex. Besides the basic information data of users, they also contain unstructured process data such as the data of e-commerce platform and the information of users using mobile terminals. On the one hand, a large number of transactions have brought huge profits to commercial enterprises, and on the other hand, huge amounts of data have also brought some problems to them. At present, the e-commerce industry agrees that e-commerce has entered the era of big data, but facing the huge amount of data, the efficiency of data capture and utilization X. Chao School of Management, Wuhan Donghu University, Wuhan, China H. Defu (B) College of Computer, Hubei University of Education, Wuhan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_84

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of e-commerce enterprises is very low. The commercial value of data is far from being developed. In the era of data explosion, how to make use of data and bring business value to enterprises, and how to change traditional business thinking will be the difficult problems faced by e-commerce enterprises [2]. Whether commercial value can be maximized depends on the way of data mining and analysis. Therefore, it is necessary to find an effective data mining technology for efficient processing of e-commerce user data.

2 User Data Characteristics of Electronic Commerce Under the Background of Big Data Compared with the data of traditional economy, the amount of e-commerce user data is huge in the Internet economy. The data generated daily has reached the TB level and has a very high demand for timeliness [3]. These data are high-speed and real-time data streams, which contain a huge commercial value. It can be seen that e-commerce user data has the characteristics of large data. How to deal with these user data efficiently and extract valuable information from them, so as to achieve accurate marketing, has become an urgent problem to be solved.

3 Data Mining Process Analysis of E-Commerce Patterns in Big Data Environment 3.1 Data Collection User data of social network, mobile terminal and e-commerce platform belong to e-commerce user data source, in the form of “stream”. To create user data, there will be interaction among the three data sources, and there will be cross-over between data content. Therefore, user data can be classified according to transaction, interaction and observation data, and user consumption and other behavior-related information can be collected by means of tools [4].

3.2 Data Preprocessing Data preparation, transformation and extraction belong to data preprocessing, which directly determines the quality of data results. To a certain extent, the results of data preprocessing will directly affect the effect of data mining. The original data collected will have noise data, redundant data, etc. The preparation of data is mainly to parse, clear and reconstruct data. Finally, the quality of data to be mined will be significantly

Application of Apriori Algorithm in User Data Mining …

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improved. Then, with the help of user comments, log data and other information, it will be converted into fuzzy logic to count. According to filtering, meaningful data will be formed. Eliminating invalid data will help to improve the efficiency of data distribution and ultimately extract useful information. Associated data will process more specific user activity features, mainly for personalized services. For example, the correlation between user’s purchase data and time data can help e-commerce to find the frequency of purchasing a certain commodity in the process of analysis, which helps e-commerce to sell commodities. Data fusion is mainly to connect all kinds of related data together, and eventually these data will form a new business application.

3.3 Data Mining and Application When mining data, the mining model should be selected according to different application requirements, so as to mine data in depth. The main models of data mining include association rule analysis, classification analysis and clustering analysis. In the current data mining process, there are still some user models, which are classified according to users’ gender, age and hobbies. After the relevant data mining, results are obtained, they are explained and applied. General mining applications need to include ranking, personalized recommendation, anomaly detection and large data visualization.

4 A Brief Introduction to Apriori Algorithms A set of items is called a set of items. The percentage of itemsets appearing in the transaction database as a percentage of the total transactions in the database is called itemset support. Rule trust is the proportion of all transactions that contain X and Y. Association rules are rules whose support and trust are higher than or equal to the user’s given threshold, respectively. They are logical implications like X ⇒ Y , where X ⊂ I , Y ⊂ I and X ∩ Y = φ. If S% of transactions in transaction database D contain X ∪ Y , the support degree of association rule X ⇒ Y is S%. If the degree of support of an itemset is greater than or equal to the threshold set by the user, then the itemset is called frequent. There are two steps to discover association rules: Finding all frequent itemsets and generating rules with confidence greater than or equal to the trust threshold from frequent itemsets. Apriori algorithm is a classical algorithm for discovering association rules. Apriori algorithm was proposed by Agrawal. Naming arithmetic is based on the prior knowledge of frequent itemsets. It is widely used to mine useful knowledge in large transaction databases, and knowledge is obtained through some association rules. Apriori algorithm uses the property that “the subset of frequent itemsets must be frequent itemsets” and introduces the concept of latent frequent itemsets. It constructs

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Fig. 1 Raw data

a longer itemset through known frequent itemsets and calls it latent frequent itemsets. In this way, in the application, only the support degree of latent frequent itemsets needs to be calculated, instead of the support degree of all different itemsets, so it reduces to a certain extent. The computational complexity is calculated.

5 Application of Apriori Algorithms in Users Data Mining in Electronic Commerce 5.1 Data Acquisition and Preprocessing The data of this experiment is generated through the research data. A total of 88,163 purchase data of users are collected, and the corresponding items have been corresponding to the number. Hadoop model and Apriori algorithm are used to analyze data association. Because of the clutter, repeatability and incompleteness of data, data pairs are preprocessed before data processing (Fig. 1).

5.2 Introduction of Hadoop Model and Apriori Algorithms Hadoop is an open-source framework developed by Apache Foundation and is a wellknown cloud computing model in data mining. Hadoop is usually used to process large amounts of data, and it can also be used to write and run large-scale distributed data processing. Apriori algorithm is one of the most influential algorithms in the field of association rule mining. At present, many algorithms, such as AprioriTid, DHP, Apriori Hybrid and so on, are based on the improvement or extension of Apriori

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algorithm. Apriori algorithm uses the iterative method of layer-by-layer search to find frequent itemsets in the object database. Apriori algorithm description: Step 1 Generate the set L1 of frequent 1-itemsets By scanning the object database D and calculating the support frequency of each 1-itemset, the set Ll of frequent 1-itemsets is obtained. Step 2 Connection steps In order to generate the set LK of frequent K-itemsets, it is necessary to generate the set Ck of candidate K-itemsets. Ck is a set of items that may become frequent Kitemsets. It is obtained by JOIN operation on two itemsets of frequent (K-1)-itemsets Lk-1 , that is, Lk-1 ∞ Lk-1 . If p, q ∈ L k−1 , p = { p1 , p2 , . . . , pk−2 , pk−1 }, q = {q1 , q2 , . . . , qk−2 , qk−1 } and If 1 ≤ L k−1 , pi = qi , i = k −1, pk−1 = qk−1 , then p ∪q = { p1 , p2 , . . . , pk−2 , qk−1 } is the element in the set Ck of candidate K-itemsets. Step 3 Pruning Since Ck is a superset of Lk , it is necessary to eliminate elements that are not frequent itemsets in Ck . If a set X is a frequent itemset, it is a subset of all frequent itemsets. Therefore, if a candidate’s K-set (k-1) is not a subset of Lk-1 , then K-itemsets are uncommon and can be deleted from Ck . Scanning the database after pruning, calculating the frequency of itemsets in Ck , eliminating the inconsistent frequency itemsets, and finally generating the set LK of frequent K-itemsets. Through the iteration cycle, repeated steps are connected to prune one step until no new frequent itemsets (non-empty) can be generated, and they get frequent itemsets satisfying minimum support.

5.3 Data Processing The experimental platform Windows + jdk + IDEA are used for data processing.

5.4 Data Processing Results In the case of 5% support, the candidate sets satisfying the conditions are obtained (Fig. 2).

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Fig. 2 Data processing result diagram

5.5 Data Analysis 1. From the results, it can be concluded that under the assumption of 60% confidence, when users purchase 32 and 38 products, the probability of users buying 1236 products while buying 32 and 38 products is higher than that of 1840 and 1646 products because the confidence of 1236 products is higher than that of 1840 and 1646 products. 2. From the results, it can be concluded that under the assumption of 60% confidence, when users purchase 32 and 39 products, the probability of users buying 5402 products is higher than that of 1236, 1840, 1646 and 2359 products, because the confidence of users buying 5402 products is higher than that of 1236, 1840, 1646 and 2359 products. 3. From the results, it can be concluded that under the assumption of 60% confidence, when users purchase products No. 32 and No. 41, the probability of users purchasing goods No. 2359 while purchasing goods No. 32 and No. 41 is higher than that of goods No. 1646 and No. 2063.

6 Conclusion In this paper, through the analysis of the user purchase data of a Web site, using Hadoop model and Apriori algorithm, the obtained data are processed, and the correlation between different commodities is analyzed. Make use of the correlation degree of different commodities to carry out more accurate marketing and recommendation on e-commerce platform.

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Acknowledgements This work was supported by the grants from Hubei Provincial Collaborative Innovation Center of Agricultural E-Commerce (Wuhan Donghu University Research [2019] No. 17 Document) and Youth Foundation WuHan Donghu University in 2019 “Research on Traceability System Construction of Quality and Safety of E-commerce Agricultural Products from the Perspective of Blockchain”.

References 1. Zhang P (2018) User data mining and application of mother-to-child e-commerce based on big data. Enterp Reform Manage 21: 80–85,100 2. Jiang Y (2018) Analysis of user data mining process for online and offline e-commerce based on big data technology. J Lanzhou Inst Technol 25(05):81–84 3. Song H, Jiang F (2017) User data mining of online and offline e-commerce based on big data. Electron Technol Softw Eng 16:160–168 4. Han L (2017) Clustering analysis based on consumer behavior data of e-commerce users. Lanzhou University

Arrangement for Hand Move Irrigation System Guo Li, Xinshe Qi, Ruiping Huang, Na Wang, Cuicui Gao, and Xin Wang

Abstract In this paper, an optimization model and the corresponding algorithm are obtained, which require the minimum amount of time and work to irrigate a given field by using this type of irrigation system. We can find the number of sprinklers and the spacing for each of the sprinklers, which can insure the system to provide uniform water coverage. Lastly, we determine a schedule to move the pipes, including where to move them. Keywords Optimization model · Hand move · Irrigation system

1 Introduction Hand move irrigation system is widely used on smaller ranches. Lightweight aluminum pipes with sprinkler heads can be put in place across some fields, and they are moved by hand periodically, in order to insure that the whole field can attain its water demand. This irrigation system in practice is very cheap, easy to maintain, and flexible. But, it may require plentiful time and efforts to progress and build the equipment at each regular interval. On most small ranches, this trait may become the major difficulty for the rancher. For this reason, we are required to find an algorithm that can help the rancher to irrigate a field by using this type of irrigation system. This algorithm requires the minimum amount of time and work. We should first find the number of sprinklers and the spacing for each of the sprinklers, which can insure the system to provide uniform water coverage. Then, we have to work out a schedule to shift the pipes in practice, including where to move them. Our irrigation system is composed of a pipe set, some rotating spray nozzles, and an unchangeable water source. Some related information about the pipe set, rotating spray nozzle, water resource, and field is given as follows: G. Li · X. Qi (B) · R. Huang · N. Wang · C. Gao · X. Wang College of Information and Communication, National University of Defense Technology, Xi’an 710106, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_85

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(1) The pipe set consists of a number of pipes with a 10 cm inner diameter, which can be connected together in a straight line. For each pipe, it has a 10 cm inner diameter. What is more, the resulting pipe is 20 m long, when put together. (2) The rotating spray nozzles have a 0.6 cm inner diameter. (3) For the water source in this paper, its pressure is 420 KPa, and it has a flow rate of 150 L per min. (4) We also assume that there is no part of the field, which can receive more than 0.75 cm per hour of water. In addition, each part of the field can receive at least 2 cm of water every four days.

2 Analysis and Model 2.1 To Determine the Distance Between Sprinklers and the Number of Sprinklers According to the pattern radius of the sprinkler, we can decide the number of sprinklers. However, firstly we have to estimate the operating pressure of each sprinkler when the multiple outlet irrigation systems are used. As we know, when water is flowing in a pipe, its energy will undoubtedly lose because of the glutinosity of water itself and the resistance offered by the pipe. In the irrigation system, this kind of loss is called “head loss,” which contains the route and the part. In [1], these two figures can be estimated by the following formulas: v2 = 3.2 × 10−4 , and the total head loss is h f = f LdQb = 1.7 × 10−8 , h λ = ζ 2g h = h f + h λ , where f is acreage of the nozzle, h is the head loss, hf is the head loss along the route, h λ is the part head loss, ζ is the coefficient of the part head loss, Q is the flux in the moving pipe, L is the length of the moving pipe, and v is the velocity of flow in the moving pipe. If the pipes are aluminum pipes, from [1] we can get these referenced values. The estimated head loss is far less than 10−2 m. That is to say, the relative sprinkler operating pressure can be ignored this lose. Therefore, we believe that the operating pressure of each sprinkler of the moving pipes is the same. The patterns of the arrangement of sprinklers can greatly affect the uniformity of water distribution in permanent sprinkler system. In the case of the sprinkler system with traveling pipe, we can regard it as a special permanent sprinkler system in which sprinklers can be controlled to work. In the operation by using this type of sprinkler system, the sprinklers on a 20 m long pipeline work simultaneously each time. It has been proved when sprinklers are arranged in the form of a square in [2], and their uniformity of the water distribution is the largest. According to our calculating, the largest uniformity of the water distribution is achieved when the distance between sprinklers satisfies s = λR with λ = 1.0325, where R is sprinkler pattern radius. In this condition, the uniformity is C u = 0.9668.

Arrangement for Hand Move Irrigation System

735

That is to say, if the distance between sprinklers is almost the same as the pattern radius, the most even sprinkler irrigation effect can be achieved.

2.2 How to Irrigate the Given Field In ideal conditions, the best way of spray irrigation is to arrange sprinklers in the form of squares by λR × λR. In Fig. 1, there exist four different water contents of soil [3, 4]. We denote them as D1 , D2 , D3 , and D4 . Others areas in the central square are symmetry. By calculating, we get 



ρ1 (x, y) = 1 − 

x 2 + y2 R

 × ρ0 ,

  (x − λR)2 + y 2 ρ2 (x, y) = 2 − × ρ0 , R      x 2 + y2 (x − λR)2 + y 2 x 2 + (y − λR)2 − − ρ3 (x, y) = 3 − × ρ0 , R R R     x 2 + y2 (x − λR)2 + y 2 x 2 + (y − λR)2 ρ4 (x, y) = 4 − − − R R R 

x 2 + y2 − R

Fig. 1 Four different water content of soil

y

(0, R )

( R, R )

D4

D3 D1

O

D2 ( R ,0 )

x

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(x − λR)2 + (y − λR)2 − R

× ρ0

where ρi (x, y) is the intensity in Di , (i = 1, 2, 3, and 4), and R = 17.54, ρ0 = 7.71 (the sprinkler intensity at the sprinkler site). According to [1], we should use Christiansen Coefficient to calculate the uniformity coefficient of water distribution: ρ ρ

Cu = 1 −

as for ρ (the sprinkler intensity on the whole field irrigated by one sprinkler) and ρ, by using the following formulas: 1 I= 8

1 2 (λR−R



√

√ 2 2  R −y ρ(x, y)dx

λR−

2−λ)

dy

y

0 1 2 (λR−R



√

λR

2

2−λ)

+

dy 0

√

λR−

R 2 −y 2

√ λR− R 2 −x 2

λR

2 +

ρ(x, y)dy

dx 1 2 (λR−R

(λ−



√

1 2 (λR−R

2−λ)

√

2 2 )R

√

2−λ)

x

+

ρ(x, y)dy

dx 1 2 (λR−R

√

λR

+

√ λR− R 2 −x 2

2−λ)

√

λR−

2

R 2 −(x−λR)2



ρ(x, y)dy

dx √ λR− R 2 −x 2

√ (λ− 22 )R λR

2 +

x dx

√ (λ− 22 )R

1 I = 8

ρ(x, y)dx

1 2 (λR−R



√

√

λR−

2−λ)

R 2 −(x−λR)2

√ λR− R 2 −x 2

|ρ1 (x, y) − ρ|dy

dx 0

ρ(x, y)dy

x

Arrangement for Hand Move Irrigation System 1 2 (λR−R



√

√

2−λ)

+

737 R 2 −(x−λR)2



|ρ2 (x, y) − ρ|dy

dx λR−R

0 √ λR− R 2 −x 2

λR 2

 +

|ρ2 (x, y) − ρ|dy

dx 1 2 (λR−R

√

0

2−λ)

√ (λ− 22 )R



x

+

|ρ3 (x, y) − ρ|dy

dx 1 2 (λR−R

√

2−λ)

λR

√

λR−

2 +

√ λR− R 2 −x 2 R 2 −(x−λR)2



|ρ3 (x, y) − ρ|dy

dx √ λR− R 2 −x 2

√ (λ− 22 )R λR

2 +

x dx

√ (λ− 22 )R

√

λR−

|ρ4 (x, y) − ρ|dy R 2 −(x−λR)2

Then, we get ρ = λ2IR 2 , and ρ = λ2IR 2 . The accurate Christiansen Coefficient is given in Table 1. We found that when λ = 1.0325, the distribution of water in the square is as uniformly as possible. That is to say, the distance between adjacent sprinklers is λR = 18.11 m, the best square used to cover the given field is 18.11 × 18.11 m2 (we define it as BU, Basic Unit), and C u = 0.9668 in this situation. Irrigating the given triangle field using the water pipe with two sprinklers covered by λR is equivalent to covering the field by the square BUs. We can easily find that the largest reception of water at the receive site is 7.71 mm/h, and the smallest reception of water is 7.70 mm/h. In order to attain the requirement of the irrigated field (7.5 mm limitation), the rancher must turn off the power after 58 min of irrigation. Considering the rancher usually spend a great deal of time to control and move the equipment as the assumption in the problem, so we think the rancher should not move the equipment and begin to work as soon as the irrigation was just completed but to wait until the whole hour passed. And then he will turn on the equipment again and repeat the process of irrigation. As long as each part of the field receives no less than 2 cm amount of water, he will begin to irrigate next unit of the field. In this way, Table 1 For different value of λ, the different value of Christiansen Coefficient C u 

1.0310

1.0315

1.0320

1.0325

1.0330

1.0335

Cu

0.9666

0.9663

0.9661

0.9668

0.9658

0.9657

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he can irrigate the appointed field according to the requirement given in the problem with moving the pipe set just once. Suppose the given field is 80 × 30 m2 , we cannot cover it without overlap. The direction of moving the pipes is showed in the following figure. To reach the most uniformity of whole field, we have to irrigate much large-scale field. So, the scheduler of irrigating the field by 80 × 30 m2 is shown in Table 2, the direction of moving the pipe is described in Fig. 2, and T represents the time moving the pipe. Now we should calculate the total loss of water in a period of irrigation. (1) For some of the sprinklers placed on the edges of the rectangle ABCD, half of the water sprayed from them falls outside the rectangle and wasted (the amount of four vertexes wasted three quarters); the total waste of this part is 4 × 43 + 10 × 21 = 8. That is to say, this value is equivalent to the total amount of water sprayed from eight sprinklers. (2) For the rectangle ABCD, and the areas of 80 × 30, since its uniformity is greater than 96%, thus we can do the assumption: Every part is assumed to be perfectly uniformity. So, the total amount of water sprayed in these parts can be demonstrated as 2.6837, and the total loss is 8 + 2.6837 = 10.6837. So, the rate of loss is 59.35%. The loss is very large, the total working time is minimal, and the amount of water should be applied as uniformity as 96.68%. The only disadvantage is waste of water. Table 2 Scheduler of irrigating the field by 80 × 30 m2 Pipe number

1

i, i ∈ {1, 2, 3, 4, 5, 6, 7, 8, 9} denotes the pipe number

Time (min)

[0, 0:58]

[(i − 1)(T + 2:58), (i − 1)(T + 2:58) + 0:58]

[1, 1:58]

[(i − 1)(T + 2:58) + 1, (i − 1)(T + 2:58) + 1:58]

[2, 2.58]

[(i − 1)(T + 2:58) + 2, (i − 1)(T + 2:58) + 2:58]

Fig. 2 Direction of moving the pipe

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3 Conclusions For a general rectangle field with a × b needed to irrigate by BUs, the schedule for irrigation is according to the values of a and b. (1) If the conditions 2ka λR < a ≤ (2ka + 1)λR and (2kb − 1)λR < b ≤ 2kb λR (where k a , and k b are integer) are true, then we treat a just like 80 in 80 × 30 (4×18.11 < 80 ≤ 5×18.11). That is to say, the pipe placed along the direction parallel edge a, shown in the following graph. (2) If the conditions (2ka − 1)λR < a ≤ 2ka λR and 2kb λR < b ≤ (2kb + 1)λR (where k a , and k b are integer) are true, the pipe is placed along the direction parallel edge b. (3) If the conditions 2ka λR < a ≤ (2ka + 1)λR and  a 2kb λR < b ≤ (2kb + 1)λR b λR ≥ b− λR λR, then the where k a , and k b are integer) are true, and if a − λR pipe is placed along the direction parallel edge a, otherwise the pipe is placed along the direction parallel edge b. (4) If the above all conditions are false, the pipe is placed along the direction parallel edge a or b. But in this condition, there’s a lot of wasted water.

References 1. 2. 3. 4.

Technical Code for Irrigation Project (1985) GBJ85-85, China (in Chinese) Zeng Q, Cao W (2004) Sprinkler irrigation model, mathematics and practice and theory, vol 4 Sprinkler Irrigation Project Technology Criterion, GBJ85-85, China Haessler RW, Sweeney PE (1991) Cutting stock problems and solution procedures. Eur J Oper Res 54:141–150

Implementation and Application of Information Integration Platform in Hospital Na Wang, Jinguo Wang, Ri Li, and Zhijun Lun

Abstract Two typial applications are realized based on the hospital information integration platform: the patient information display system and the hospital operation data management system. The whole information view display system integrates the patient’s past outpatient and inpatient diagnosis and treatment information, establishes the unified medical records of patients in the hospital, and presents them to medical staff through the unified view, which is convenient for the rapid diagnosis of the disease. The hospital operation data management system makes further development and utilization of a large amount of data on the platform, comprehensively monitors the business volume, business income, average cost, drug proportion, and other indicators of the hospital, and provides detailed data for managers at all levels to make decisions in an all-round and multi-angle way. Keywords Doctor visiting · Process · Information technology · Hospital · Business process

1 Introduction With the rapid development of computer technology and network information technology, information technology has been widely used in the medical industry. Due to the lack of overall planning and construction in the initial stage, in order to meet the actual needs of management, clinical, scientific research, teaching, and so on, a variety of heterogeneous business systems were implemented in different periods [1]. The scattered, independent business system through two connected tightly coupled way, caused the interface number is more, redundancy is more, the business data N. Wang Department of Anesthesiology, First Hospital of Jilin University, Changchun, China J. Wang Department of Urology, First Hospital of Jilin University, Changchun, China R. Li · Z. Lun (B) Department of Archive Room, First Hospital of Jilin University, Changchun, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_86

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scattered fragments stored, statistical caliber, the user must read different business system to obtain the required data, not only reduces the working efficiency, but also bring the information resources and waste of money [2]. This paper takes a hospital information construction project as the subject, fully investigates and collects the overall demand of the hospital information integration platform, combines the medical industry norms and hospital information interconnection standards, and studies the realization and meaningful application of the hospital information integration platform based on the enterprise service [3].

2 Problems Need to Be Solved at the Top of the Priority List by Application of Information Technology Based on different needs, hospitals have different priorities to solve with information technology [4]. At present, the priority of information technology is to improve medical security and reduce medical errors. Improving the quality of care, improving patient satisfaction, and integration of information systems were ranked in the priority. Currently, the top five are: improving clinical efficiency; improving patient satisfaction; ensuring medical safety; reducing medical errors and accidents. Improving medical quality supports hospital operating cost accounting. It is compared to the national situation [5]. Most hospitals pay attention to medical safety first, but pay insufficient attention to improving patient satisfaction. As the technical support of digital hospital, the new generation of wireless technology, RFID technology and PDA or handheld devices with its mobile, barcode advantages [6]. It not only realizes real-time collection and processing of diagnosis and treatment information, but also realizes convenient and efficient information management. At the same time, medical business process optimization is realized, which greatly reduces medical errors and improves the efficiency of medical services. The survey found that the use of new technologies in hospitals is not widespread [7]. The adoption rate of PDA or handheld mobile devices and RFID technology is relatively low. And, secondary hospitals do not use RFID technology. Therefore, hospitals should attach importance to the application of new technologies. We will increase funding to promote new technologies. Thus, it improves the service quality and the work efficiency and speeds up the informationization construction step [8].

3 Information Standardization 3.1 Interaction Among Departments With the development of society, people’s living standards are improving day by day and people pay more and more attention to health. At the same time, China is also

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entering the stage of aging [9]. People’s demand for medical treatment is increasing day by day, and they have higher requirements for the level of medical services. The popularity of smart phones and the wide application of mobile Internet make it possible to realize the medical plus Internet system with mobile phones as the terminal service carrier in modern society [10]. After several years of development, China has realized the application of part of the Internet in outpatient medical treatment. Function development is not enough, most of the domestic hospital outpatient service in the smartphone to complete the function of appointment registration [11]. The process of outpatient service is not humanized enough and is used passively by users. In addition, the hospital systems were basically built before the emergence of the mobile Internet, and the current operating environment of the Internet is not safe enough, because of the load capacity and the robustness of the system [12]. The problems existing in the system of outpatient service medical treatment in China, this article based on the characteristics of clinic with the whole process each link, the smart mobile phones and the Internet combination of mobile Internet technology is applied to each link of outpatient service medical treatment, studied the clinic with the whole process of system design [13]. The implementation may encounter problems and difficulties in solution which is put forward, and finally design a set of personalized, involving, prior to the clinic diagnosis, clinical diagnosis after three stages of the whole process of outpatient service medical treatment process system.

3.2 Transmission System The system function uses the modular design, provides the load balance, the hot expansion, the hot renewal ability, and the system to the transmission encryption, strictly checks the incoming and outgoing parameters, and guarantees the data security and the system robustness [14]. According to the design scheme and the technology, according to the demand analysis, technology selection, software design, software implementation, software testing, and research and development process, in this paper, the system of network interface, data storage and search, and the binding key technologies, such as identity and tender care users’ details, describes the overall design of the system and the architecture and function, and the part of the realization of the function modules are introduced in detail and provided the test report and the results of screenshots and application case [15]. In the future, with the development of technology and tools and the in-depth research on the application of Internet medical software, the whole process system of outpatient service will become better and better, which will improve the efficiency of patients and the service level of hospitals.

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3.3 Information Shared The highly shared information is used to optimize the clinical work mode and workflow, and a rich medical knowledge base is established to provide comprehensive informationization solutions for clinical medical activities [16]. Through the construction of hospital information platform, the original distribution in each business system of information exchange integration information platform, to the hospital to realize hospital between various departments, hospitals, the connectivity of information, optimization of hospital business process, reasonable arrangement of each link staffing, as far as possible to reduce the patient’s queuing time, improve the quality of the patient’s doctor [17].

4 Summary Hospitals should strengthen the use of clinical decision support systems. The hospital operation data management system makes further development and utilization of a large amount of data on the platform, comprehensively monitors the business volume, business income, average cost, drug proportion, and other indicators of the hospital, and provides detailed data for managers at all levels to make decisions in an all-round and multi-angle way. Develop functional and performance test methods for information integration platforms and applications, analyze test results, and propose research directions for the next step. Through the realization of the hospital information integration platform, the high coupling between the business systems can be reduced, the flexible configuration of interaction can be achieved according to the changing needs of the business systems, and the practical agility can be improved. The application of hospital information integration platform improves the working efficiency of medical staff, improves the quality of diagnosis, and provides the decision-making basis for hospital development and construction for managers. Acknowledgements This research was financially supported by the First Hospital of Jilin University.

References 1. Cerrito PB (2007) Choice of antibiotic in open heart surgery. Intell Decis Technol 1:78–82 2. Yang W, Hwang S (2005) A process-mining framework for the detection of healthcare fraud and abuse. Expert Syst Appl 1:25–31 3. Phatak HM (2005) Retrospective detection of potential medication errors involving drugs with similar names. J Am Pharm Assoc 5:561–569 4. Gregory PS, Fayyad UM, Smyth P (1996) Advances in knowledge discovery and data mining. Adv Knowl Discov Data Mining 3:461–465

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5. Rahm E, Do HH (2000) Data cleaning: problems and current approaches. IEEE Trans Knowl Data Eng 6:845–852 6. William W, Philippe K, Nicolas D et al (2010) Guidelines on myocardial revascularization. Eur Heart J 8:958–963 7. Vitali G, Dintsios CM, Matthias S, Herzogia HA (2009) Health-economic modeling on the use of drug-eluting stents versus coronary artery bypass graft surgery in coronary heart disease (2):51–57 8. Kantardzic M (2002) Data mining concepts, models, methods and algorithms. Mach Learn 11:1534–1541 9. Murray CJL, Lopez AD, Jamison DT (1994) The global burden of disease in 1990: summary results, sensitivity analysis and future directions. Bull World Health Organ 4:426–433 10. Agrawal R, Srikant R (1994) Fast algorithms for mining association rules. In: Proceedings of the 20th international conference on very large databases, vol 9, pp 867–873 11. Pinto DS, Frederick PD, Chakrabarti AK et al (2011) Benefit of transferring ST-segment— elevation myocardial infarction patients for percutaneous coronary intervention compared with administration of onsite fibrinolytic declines as delays increase. Circulation 23:2561–2565 12. Rahm E, Do HH (2000) Data cleaning: problems and current approaches. IEEE Trans Knowl Data Eng 3:156–163 13. Michalski RS, Mozetic I, Hong JR (1986) The multi-purpose incremental learning system AQ15 and its testing application to three medical domains. In: Proceedings of the fifth national conference on artificial intelligence, vol 5, pp 564–569 14. Shu W, Ding L (2011) ECOGA: efficient data mining approach for fuzzy association rules. J Softw 1:61–65 15. Aghbari ZA (2004) Array-index: a plug & search K nearest neighbors method for highdimensional data. Data Knowl Eng 3:261–268 16. Melab N (2001) Data mining: a key contribution to E-business. Inf Commun Technol Law 3:266–269 17. Hsu JH, Tseng CS, Chen SC (2001) A methodology for evaluation of boundary detection algorithms on breast ultrasound images. J Med Eng Technol 4:322–328

Measurement and Analysis of the Technological Sophistication of Chinese Vegetable Export Zhenjun Cai and Mengjie Lu

Abstract Based on Hausmann’s (2005) calculation idea, this paper uses HS fourdigit code data from 2001 to 2017 to measure and analyze the technological sophistication of export of Chinese vegetables from the overall and subdivided sector perspectives. On the whole, the EXPY index of the export technology of Chinese vegetables shows a slow upward trend. From the perspective of subdivided sectors, there is a large difference in the technological sophistication of export among different sectors. The growth rate of sectors with low technological sophistication is fast, while that of sectors with high technological sophistication is slow. Finally, the countermeasures are explored to improve the technological sophistication of vegetable export and cultivate new competitive advantages of vegetable export. Keywords Vegetable export · Technological sophistication · Sector measurement · Comparative analysis

1 Introduction China has surpassed the Netherlands and Mexico in 2010 and become the largest vegetable exporter in the world. In 2017, China’s value of exports of agricultural products reached $75.53 billion, and the value of exports of vegetables reached $15.52 billion, accounting for 20.5% of the total value of exports of agricultural products. Under the condition that China’s agricultural trade continues to show a large deficit, vegetable trade can keep a surplus all the time; therefore, vegetable is an important trade surplus agricultural product in China. However, in the new situation of non-tariff trade barriers emerging in endlessly and traditional trade barriers rising, China’s vegetable exports are also facing some problems; for example, the growth rate of vegetable exports is gradually decreasing, and the inhibition of trade barriers on exports is enlarging. Only products with high-tech value-added advantages can effectively avoid trade barriers and smoothly realize trade interests. How Z. Cai (B) · M. Lu Business School, Hunan International Economics University, 410205 Changsha, Hunan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_87

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to consolidate and enhance the traditional competitive advantage of export trade of vegetable products, accelerate the formation of a new export competitive advantage with technology as the core, improve the technological sophistication of vegetable exports in China and promote the transformation of China’s vegetables from a big exporter to an export power has become an urgent research topic. In the aspect of theoretical research, domestic and foreign scholars have carried out extensive research on China’s export competitiveness of vegetables based on traditional trade competitive advantage indicators such as international market share and revealed comparative advantage index. Cai et al. measured and analyzed the international competitiveness of China’s vegetable industry and major export vegetable categories by using indicators such as international market share and revealed comparative advantage index. They believed that although China is a big vegetable trade country, it is not a strong vegetable trade country. China’s low labor cost is the main reason why China’s primary processing vegetables have a strong export competitive advantage. Due to the lack of deep processing technology of vegetables in China, there are relatively few vegetable categories with strong competitive advantages in the deep processing of vegetables, so most of the categories of exported vegetables do not have a competitive advantage [1]. Liu et al. measured the international competitiveness of China’s vegetable industry through the index of trade competitiveness and market share, and found that the international competitiveness of China’s vegetable industry was on the decline. Primary products and low-end vegetable products were mostly exported, and fresh and cold vegetables were still the main export category. Vegetable export added value was low, and products with high quality, high added value and high-tech content were few [2]. Yi’s research shows that although China’s international market share of vegetable exports ranks first in the world, the index of revealed comparative advantage is only 0.98, which belongs to the medium comparative advantage and is not considered as a strong vegetable export trade country. Only considering the competitiveness of vegetable products, China still has a large space for progress [3]. Bin and Li made a comprehensive analysis of the comparative advantages of China’s vegetables in terms of overall and sub-categories. They believe that China was in the process of transforming from quantitative growth to quality-benefit growth, the comparative advantages of vegetables compared with developed countries mainly lay in the difference in the processing quality of vegetables, and China lacked extremely outstanding superior vegetable varieties [4]. Based on the traditional trade competitive advantage indexes, some scholars have conducted extensive and valuable research on the measurement of China’s vegetable export competitiveness. However, there is no in-depth study on the new advantage measurement of China’s vegetable export technology level and technological sophistication. Hausmann and Rodrik first proposed the technological sophistication to measure the new advantages of export competition. The exports of high-income countries contain high wages of workers, so they must have high technological productivity so that these products cannot be eliminated in the world market competition. At the same time, the production of high-tech products depends on the investment in capital and technology. The developed countries with relatively high incomes have comparative advantages in capital endowment over the countries

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with low incomes. Therefore, the proportion of products with high-tech content, high quality and high added value in export products is relatively large, which means that the country has high export technological sophistication [5]. In such a pattern of international trade, the export technological sophistication represents the technical content and quality composition of all export commodities of all countries. Based on Hausmann’s research ideas, a large number of scholars have linked the income level with the export sophistication and conducted rich measurement research on the technological sophistication of China’s export products. Therefore, per capita GDP is an important variable to measure a country’s technological sophistication of export. Fan et al. expressed labor productivity with the per capita GDP after logarithmic treatment, weighted by the revealed comparative advantage indexes of each product of each country, and obtained the technological sophistication indexes, indicating that even though China’s overall export technology height had been increased and had reached the middle level of technology, China still lagged behind the world average level, far lower than the export technology level of some developed countries, such as the USA and Japan [6]. Yin and Tian believed that although the export structure of China’s agricultural products had been continuously optimized, its technological sophistication index of export was still at the low-end level in the global trade of agricultural products, and its competitive advantage was not obvious [7]. Geng and Xiao (2018) measured the export technology level of BRICS’ agricultural products from 2000 to 2015. The results showed that the overall technology level of BRICS’ agricultural product export grew fastest in South Africa and slowest in China [8].

2 The Measurement Method of the Technological Sophistication of Chinese Vegetable Export The technological sophistication of export commodities reflects the technical competitive advantage of export commodities of a country or region. The higher the export sophistication, the more competitive advantage there is. This paper uses Hausmann’s idea of calculating the technological sophistication of export for reference and takes the ratio of the share of a country’s export of this commodity in the share of the world’s export of this commodity as a weight to carry out weighted evaluation for the technical-level index. It is divided into the following steps: The first step is to measure the technological sophistication index PRODYkj of export of the vegetable product subdivided sectors. PRODYkj =

Xkj Xj X kw Xw

ln Y j

(2.1)

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In the above formula, k and j refer to products and countries, respectively, PRODYkj refers to the technological sophistication of export of products of sector k in country j, where X k j is the value of exports of four-digit code subdivided sectors of vegetable products in country j, X j is the total value of exports of vegetable products in country j, X kw is the value of exports of four-digit code subdivided sectors of vegetable products in world, X w is the total value of exports of vegetable products in world, and ln Y j is the natural logarithm treatment of actual per capita GDP of country j. Using the real per capita GDP after logarithmic processing to express labor productivity can linearize the exponential characteristics of per capita GDP. Weighting by the index of revealed comparative advantage of each country’s export products can effectively avoid the effect of a large trading country, and the final obtained technological sophistication index is more scientific and accurate. The second step is to calculate the overall technological sophistication index EXPY j of export of vegetable products. The calculation method is to weight the technological sophistication of export of class k vegetable products by using the proportion of class k vegetable products in the total vegetable exports of j country and to sum up the total technological sophistication index EXPY of export of Chinese vegetables. The calculation formula is as follows: EXPY =

 Xk X

× PRODYk

(2.2)

The export data of vegetable products used in the calculation is from the UN COMTRADE database, and the per capita GDP data is from the World Bank Database. In this paper, vegetable products are defined as chapter HS07, with a total of 14 categories (see Appendix 1 for specific vegetable classification names), and the sample period of the study is 2001–2017.

3 Measurement and Analysis of the Technological Sophistication of Chinese Vegetable Export On the whole, the technological sophistication of China’s vegetable export is slowly increasing. The overall export technological sophistication index increased from 16.72 in 2001 to 22.34 in 2017, with an increase of 34%. Specifically, since China’s accession to WTO in 2001, although the overall EXPY index of Chinese vegetables is below the average value, it has shown an increasing trend year by year, rising to 20.76 in 2007, indicating that from the time of China’s accession to the WTO to the economic crisis in 2008, the overall technological sophistication of vegetable export has been continuously and steadily improved. This trend changed in 2008. Since then, the overall EXPY index of Chinese vegetables has been declining for several years, which shows that the technological sophistication of Chinese vegetables is obviously affected by the economic crisis. Until 2011, the overall EXPY index of

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25.00

20% 15%

23.00

10%

21.00

5%

19.00

0% -5%

17.00

EXPY Index Annual growth rate

-10% -15% 2017

2016

2015

2014

2013

2012

2011

2010

2009

2008

2007

2006

2005

2004

2003

2002

2001

15.00

Fig. 1 Technological sophistication index of overall export of Chinese vegetable products in 2001– 2017

Chinese vegetables jumped to 22.59, and after that, although there were occasional fluctuations, the overall level of technological sophistication was relatively stable (Fig. 1). In order to investigate Chinese vegetable export products from a more in-depth level, we go deep into HS four-digit code industry level to measure the technological sophistication index, and compare the differences between them horizontally. According to UN COMTRADE database, vegetable products in chapter HS07 are divided into 14 categories according to four-digit code. The technological sophistication index of export of China’s vegetable subdivided sectors is calculated, as shown in Table 1. The technological sophistication of export of China’s vegetable products varies greatly from industry to industry. In the sample period, the technological sophistication index of export of 14 subdivided sectors can be divided into low technological sophistication (HS0702, HS0705 and HS0707, lower than 1), medium technological sophistication (HS0701, HS0709, HS0708, HS0704, HS0714 and HS0713, greater than 1 but less than 10) and high technological sophistication (HS0703, HS0706, HS0710, HS0711 and HS0712, higher than 10). Most of China’s vegetable subdivided sectors are in the middle and high level of technological sophistication of export, reaching 6 and 5 subdivided sectors, respectively. According to the technological sophistication index characteristics of export products in different categories, although the growth rate of low-tech technological sophistication categories is fast, and the average annual growth rate is over 10%, the absolute growth scale is still very limited due to the low starting point. For example, the technological sophistication index of export of HS0702 has an average annual growth rate of 16.9%, and the growth rate is the fastest among 14 industries. However, its PRODY index has never exceeded 2, and its average value is only 0.56, as shown in Fig. 2. On the other hand, the low technological sophistication of China’s vegetable export generally has the characteristics of low starting point and rapid growth during the sample period, which fully shows that after China’s accession to the WTO,

0.12

14.21

2.73

0.13

5.46

0.19

3.99

3.08

12.58

36.68

31.38

9.03

9.60

0703

0704

0705

0706

0707

0708

0709

0710

0711

0712

0713

0714

0.57

0701

0702

2001

HS code

10.72

12.57

34.46

35.58

9.16

2.85

2.80

0.28

12.71

0.25

2.36

19.35

0.24

1.06

2003

9.96

9.37

38.18

30.62

10.26

2.44

2.47

0.19

12.64

0.42

4.12

21.84

0.28

1.97

2005

6.09

10.11

40.28

28.22

11.73

1.88

2.19

0.34

11.69

0.48

4.47

23.28

0.35

2.08

2007

6.59

10.27

39.67

22.82

10.62

1.91

2.68

0.59

12.19

0.79

7.06

24.15

0.48

2.98

2009

3.83

7.38

42.32

20.59

9.94

1.94

3.60

0.69

12.36

0.84

8.90

23.12

0.42

2.07

2011

6.23

8.54

44.34

24.11

10.62

2.25

2.63

0.78

15.08

1.59

9.64

21.10

0.69

1.78

2013

3.79

5.78

38.87

15.57

9.67

2.78

1.86

1.02

13.58

1.17

10.79

22.83

1.05

3.76

2015

12.46

2.97

39.01

16.04

9.39

3.15

1.54

1.09

13.85

1.77

10.00

22.50

1.46

3.44

2017

7.37

8.44

38.25

26.34

10.48

2.47

2.48

0.57

12.50

0.84

6.74

22.11

0.56

2.20

Mean

Table 1 Technological sophistication index of export (PRODY) of China’s vegetable subdivided sectors in 2001–2017

1.64

−6.70

1.37

−5.04

−1.81

0.14

−5.76

11.62

5.99

17.95

8.46

2.91

16.90

11.83

Average annual growth rate (%)

752 Z. Cai and M. Lu

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753

2.50 2.00 1.50 1.00 0.50

705 707 702

0.00

Fig. 2 Low technological sophistication index of export of Chinese vegetable subdivided sectors

through active participation in international competition, China’s original low technological sophistication vegetable industry has generally improved its level, and its late development advantage can be reflected. Although the PRODY index of high technological sophistication of China’s vegetable export has a high average, its growth rate is very slow (HS0703, HS0706, HS0710, HS0711 and HS0712), as shown in Fig. 3. China’s five subdivided sectors with the highest PRODY index have an average annual growth rate of only 0.68%. The mean value of technological sophistication of export of HS0712 is the highest, which has been kept around 38. In 2013, PRODY index reached 44.34, but the annual growth rate of the sector’s technological sophistication of export is only 1.37%. Some sectors even experienced negative growth (HS0710 and HS0711). The mean value of technological sophistication of export of HS071 is second only to HS0712, but the annual growth rate of the sector is −5.04%. The PRODY index dropped from 36.68 in 2001 to 16.64 in 2017, down 20.64 units, which is the sector with the largest decline. The high technological sophistication sector is the most representative sector of the technological sophistication of China’s vegetable export. The level of technological sophistication of export has been kept at a low speed or even a negative growth for a long time, which shows that the traditional sectors with high technological sophistication of export with competitive advantages in China are generally facing 50.00 40.00

711

30.00

712

20.00

703

10.00

706

0.00

710

Fig. 3 High technological sophistication index of export of Chinese vegetable subdivided sectors

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fierce competition from the international vegetable sectors after China’s accession to the WTO, and the technological sophistication index is rising very slowly. This also fully shows that China’s extensive competitive advantage based on traditional export scale advantage and low labor cost has been difficult to maintain the subsequent trade growth. According to the trend characteristics of PRODY index of subdivided sectors, there are 10 sectors with obvious growth trend. There are four sectors with large growth rate, namely HS0703, HS0704, HS0706 and HS0712, with growth exceeding 7 units. The sectors with the fastest growth rate of technological sophistication index of export are HS0702 and HS0705, which increased by 12.2 times and 13.6 times, respectively, during the research period. HS0701, HS0707 and HS0714 are also growing rapidly, with an average annual growth rate of more than 10%. In recent years, the performance of HS0714 is quite special, and the technological sophistication index of export of this sector increased to 4.29 by a small margin in 2016, reaching 12.46 in 2017, with a year-on-year increase of 190%, indicating that the technological sophistication of export of this sector has been significantly improved in recent two years. The sectors with negative growth of PRODY index are HS0708, HS0710, HS0711 and HS0713. Specifically, HS0708 shows a trend of fluctuation and decline, and the PRODY index of this sector even dropped to 1.5 in 2017. HS0713 shows a trend of “rising first and then decreasing,” with the lowest value of 2.97 in 2017. It shows that the differences of technological sophistication structure of China’s vegetable export are detailed, and the competitive advantage of export technology is declining in some industries. Figure 3 also shows that HS0711, the sector with the highest technological sophistication of export, is also the sector with the most serious decline in technological sophistication of China’s vegetable products. During the sample period, PRODY index dropped by more than 20 units, indicating that the traditional advantageous technology sectors of China’s vegetable export are rapidly losing their technical advantages.

4 Conclusions and Countermeasures Based on the measurement of the technological sophistication of export of Chinese vegetable products and its 14 subdivided sectors, the results show that the overall technological sophistication of export of Chinese vegetable products shows a moderate upward trend. From the perspective of subdivided sectors, first of all, there is a large difference in the technological sophistication of export among sectors. Although the low-tech sophistication category has a rapid growth rate, the absolute technology level is still very low. For example, HS0702, the fastest growing sectors in 14 sectors, has an average annual growth rate of technological sophistication of export of 16.9%. During the research period, it has increased 13.6 times, but the PRODY index has never exceeded 2, and the mean value is also 0.56. Secondly, the PRODY index of high-tech sophistication category generally grows slowly, such as

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HS0711 sector with the highest technological sophistication index of export. During the sample period, the PRODY index dropped by 20.64 units, and the decline of technological competitive advantage was very serious. The sector of high-tech sophistication category should be the most competitive representative industry in China’s vegetable export. The slow growth of its technological sophistication index of export indicates that China’s vegetable export trade is facing the severe challenge of losing its competitive advantage in export technology. The export of Chinese vegetable products needs to solve the problem of rising labor costs and weakening the advantages of traditional labor factors. Under the background of profound changes in the current domestic and foreign trade situation, it is the only way for China to become a strong vegetable exporter to improve the technological sophistication of vegetable export, accelerate the cultivation of new competitive advantages in foreign trade with technological innovation as the core competitiveness, realize the transformation from a big vegetable exporter to an export power and cultivate new competitive advantages in export. First of all, the country needs to increase the support for leading vegetable enterprises, increase the investment in scientific and technological elements, cultivate vegetable deep processing technical talents and enhance the export value. Secondly, the country needs to promote the development of cross-border e-commerce, cultivate the international marketing ability of vegetable enterprises, build an international marketing network and form the brand advantage of vegetable product export. Finally, the country should continue to increase the policy support for the development of the vegetable industry, implement the policy of encouraging tax rebate for the export of high value-added vegetable processing products, further reduce the cost of transportation and storage of vegetable products, improve the efficiency of vegetable production, operation and circulation, promote the optimization, transformation and upgrading of the export structure of vegetables and accelerate the cultivation of new competitive advantages in the export of vegetable products. Acknowledgments This work was supported by Project of Hunan Province Innovation Platform Open Found (Grant No. 18K109), the project of National Natural Science Foundation of China (Grant No. 71573082), the Ministry of Education Humanities and Social Sciences Planning Project (Grant No. 14YJA790056).

References 1. Cai Y, Lv M, Wang K (2007) International competitiveness of vegetable and its dominant varieties in China. J Int Trade 06:62–67 2. Liu F, Chen W, Wang Z (2011) An empirical study on the international market competitiveness of Chinese vegetable industry. Issues Agricu Econ 32(07):91–98+112 3. Yi Q (2019) Research on export trade and international competitiveness of Chinese vegetables. Prices Monthly 03:40–46 4. Bin C, Li Y (2016) Research on foreign trade comparative advantage dynamic of Chinese vegetables based on the NRCA index—analysis based on NRCA nethod. Acta Agricu Shanghai 32(02):122–129

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5. Hausmann R, Rodrik D (2003) Economic development as self discovery. J Dev Econ 72(2) 6. Fan G, Guan Z, Yao Z (2006) Analyzing the foreign trade structure based on technologies of traded goods. Econ Res J 08:70–80 7. Yin Z, Tian T (2013) Changes and international comparison of export competitiveness of agricultural products in China—analysis based on the export technological sophistication. J Agrotechnical Econ 01:77–85 8. Geng Z, Xiao H (2018) Technical level and structure of agricultural products export of BRICS— research based on technological sophistication. Jianghan Academic 37(04):33–39

Determinants of the Profitability of Automobile Manufacturing Enterprises: Evidence from China Chune Liu and Xinli Wen

Abstract This paper aims to study the determinants of the profitability of Chinese automobile manufacturing enterprises. Based on the relevant data of 18 listed companies in China’s automobile manufacturing industry from 2009 to 2017, a panel data model is constructed to make an empirical study on the determinants of the profitability of automobile manufacturing enterprises. The results show that the company’s sales revenue, asset liability ratio, and fixed assets ratio have significant positive effects on the company’s profitability, and however, the expense ratio is negatively correlated with the company’s profitability. Keywords Automobile industry · Listed company · Profitability · Determinants · Empirical analysis

1 Introduction The determinants of the profitability of enterprises have been a core problem that is focused widely in academic field and manufacturing field. In recent years, the further exploration about this problem becomes a highly focusing topic in management field and economics field again because of the influence of financial crisis, the downturn pressure of global economy, and uncertainty of marketing environment. The frontier of relative researches is heading to inner enterprises from marketing environment and industry structure. The research on manufacturing industry in India conducted by Nanda and Panda [6] showed that the scale of the company and mobility ratio had positive effects on profitability of the company. The empirical results of the data from 9359 manufacturing companies in Croatia collected by Pervan et al. [9] showed that the longevity of the company and labor cost had positive effects on the profitability of the company. The results of 28 companies in Jordan found by Alsharari and Alhmoud [1] showed that the scale of the company and the ownership ratio could promote the C. Liu (B) · X. Wen Business School, Hunan International Economics University, 410205 Changsha, Hunan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_88

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profitability of the company that complied with Islamic Sharia law. Huang and Hou [4] revealed that the creative activities of manufacturing enterprises in Taiwan significantly increased the profitability of the company. However, the evidence form 622 companies in Czekh showed that the longevity of the company and the adventure behavior had negative effects on the profitability of the company [2]. Alsharari and Alhmoud [1] also proved that the longevity of the company and the mobility ration had less effect on the profitability of the company. In addition, the above studies also reveal that concentration ratio, the total output of the industry, inflation and market share also affect the profitability of the company. Obviously, there is no consistent view about internal factors and external factors of the profitability of the manufacturing enterprises based on the above literatures. Part of the researchers explored the profitability problems of service enterprises. The research on telecommunication service companies in India conducted by Khan et al. [5] pointed out that the scale of the company and the increasing opportunity had a positive correlation with profitability. The tangible assets, non-debt protection, mobility, and bankruptcy ratio have less effect on the profitability. The evidence from 201 logistics companies in India indicated that the longevity of the company, mobility, market share, and debt equity were key factors that could influence the profitability of companies [7]. The research on tourism industry in Greece proved that financing cost was the key determinant of profitability of tourism enterprises, but capitalization had a negative effect on the profit ratio [8]. The research on hotel companies in mediterranean countries conducted by Dimitric et al. [3] showed that the cash flow and the solvency had greatly positive effect on the profitability of the company. The turnover rate of total capital was very important for countries except for Portuguesa. The labor producing rate was effective for Spain. The scale of the company had significance on the hotel profitability in both Spain and Portuguesa. The longevity of the company was the determinant that could lead to the biggest profit difference. In conclusion, the previous literatures dig widely determinants of the profitability of companies in manufacturing sector, service sector, and agriculture sector. However, the research on automobile manufacturing sector is less, which leaves some space for this paper to explore.

2 Analysis of Profit Characteristics of Enterprises in Automobile Sector In this paper, 18 representative listed companies in the automotive sector are selected as analysis samples, and according to their business types, they are divided into four types: auto parts, auto vehicle manufacturing, auto trade services, and automobile comprehensive category. Through a comprehensive analysis of various financial indicators, it is found that the profitability of listed companies in the automotive industry is manifested in the following three aspects:

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Table 1 Overall profitability of listed companies in the automotive industry from 2009 to 2017 Year

Gross profit margin on sales

Net profit margin on sales

Net profit margin of total assets

Return on equity

Earnings per share

2009

15.65

3.67

5.01

11.30

0.46

2010

16.44

5.22

7.42

17.99

0.82

2011

15.30

4.35

5.49

11.83

0.63

2012

15.88

4.09

4.39

8.83

0.53

2013

17.34

4.48

4.74

9.40

0.64

2014

16.57

4.56

4.24

9.04

0.71

2015

15.47

4.55

4.34

10.04

0.73

2016

14.57

3.34

2.86

6.69

0.57

2017

15.33

3.37

2.61

5.95

0.58

Mean value

15.84

4.18

4.57

10.12

0.63

Source East Money. com, calculated and sorted out. The overall level value of the sector is the mean value of the 18 listed companies in the selected automobile sector Unit %, Yuan

(1) The overall profitability of automotive sector is good and the profitability is strong. From 2009 to 2017, the average gross profit margin of the 18 listed enterprises was 15.84%, the average return on net assets was 10.12%, and the earnings per share was 0.63 yuan, showing a significant advantage over other sectors (Table 1). (2) The development trend of profitability of listed companies in the automobile sectors showed a fluctuant decline. Firstly, the average return on equity of the 18 listed companies peaked at 17.99% in 2010, but then began to decline, hitting 5.95% in 2017 after several ups and downs. The second is the net profit margin of total assets. From 2009 to 2017, the fluctuation range was not large, but it also declined by 3 percentage points on the whole. In 2017, it dropped to 2.61%, also the lowest in history. Thirdly, the gross profit margin of sales fluctuates up and down, reaching a peak of 17.34% in 2013, then falling, falling to 14.57% in 2016, and starting to rise again in 2017. Fourthly, the net profit on sales converges with gross profit on sales. (3) The profitability of different types of automobile listed companies is quite different. From the perspective of the overall profitability of each sub-sectors, the strongest companies are those mainly engaged in auto parts manufacturing. The gross profit margin on sales, net profit margin on sales, net profit margin of total assets, and return on equity are, respectively, 1.03, 1.26, 0.18, and 1.05% higher than the sector average. The weakest ones are automobile manufacturing companies. The gross profit margin on sales, net profit margin on sales, net profit margin of total assets, and return on equity are 2, 2.37, 0.75, and 3.23% lower than the sector average respectively. In Table 2, the profitability differences of various companies have been reflected in detail.

Automobile manufacturing

Automobile tradeservice

0.72

Return on equity

Earnings per share

6.71 15.92 0.82

Net profit margin of total assets

Return on equity

Earnings per share

4.76

Earnings per share

Net profit margin on sales

0.58

Return on equity 14.00

17.36

Net profit margin of total assets

Gross profit margin on sales

1.76 4.60

Net profit margin on sales

12.11

15.01

Net profit margin of total assets

Gross profit margin on sales

4.96 6.68

Net profit margin on sales

Gross profit margin on sales

Auto parts

2010 15.09

Profit index

Classification

0.71

11.62

5.83

4.44

13.19

0.62

10.49

3.46

1.42

12.63

0.39

8.48

4.06

3.64

13.35

2011

0.61

8.15

4.52

3.82

13.50

0.24

6.66

1.99

1.05

13.25

0.25

5.26

2.53

2.79

13.48

2012

0.67

7.84

4.33

3.79

14.57

0.12

4.58

1.08

0.77

13.44

0.35

6.26

3.28

2.70

14.23

2013

Table 2 Differences in profitability of various listed companies in the automobile sector from 2010 to 2017 2014

0.75

7.67

3.72

3.12

13.92

-0.08

-0.60

-0.35

-0.24

10.59

0.55

9.30

4.08

4.70

14.97

2015

0.84

8.34

3.60

3.25

14.80

0.10

4.03

2.37

7.17

17.03

0.61

8.77

3.49

3.84

11.50

2016

0.47

2.67

1.26

1.12

13.63

0.13

3.73

1.98

4.75

17.38

0.55

6.15

2.65

3.78

10.78

2017

0.59

4.36

1.36

0.40

13.08

0.16

5.37

3.34

10.00

16.58

0.59

4.68

2.90

4.17

14.04

Mean

(continued)

0.68

8.32

3.92

3.09

13.84

0.23

6.45

2.31

3.41

14.12

0.50

7.99

3.71

3.82

13.43

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18.88 0.64

Net profit margin of total assets

Return on equity

Earnings per share

Source East Money.com, calculated and sorted out Unit %

5.87 7.94

Net profit margin on sales

Comprehensive class

2010 18.02

Profit index

Gross profit margin on sales

Classification

Table 2 (continued) 2011

0.57

13.24

5.62

4.82

17.04

2012

0.79

14.54

7.08

7.13

18.99

2013

1.19

17.82

8.52

9.94

22.99

2014

1.05

12.52

6.20

7.87

20.29

2015

0.62

14.82

6.73

4.90

15.17

2016

0.80

16.19

6.28

5.09

14.30

2017

0.44

9.55

3.04

2.77

13.25

Mean

0.76

14.69

6.43

6.05

17.51

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3 Research Hypothesis 3.1 Company Scale is Positively Correlated with Profitability Because of the scale effect, when the scale of an enterprise is expanded, the apportioned cost will be reduced and the profit of the enterprise will be increased. China’s automobile listed companies are still in the growth stage, and both capital scale and market scale play a positive role in the company’s profitability. Therefore, this paper assumes that the company scale and profitability are positively related.

3.2 Management Expense, Sales Expense, and Financial Expense Are Negatively Related to Profitability In view of the rapid growth of the period expenses of China’s automobile listed companies, the proportion of the period expenses in the total cost increases year by year, and the growth of the gross profit margin on sales cannot bring the synchronous growth of the net profit margin on sales. Therefore, this paper assumes that the proportion of the company’s period expenses (management expenses, sales expenses, and financial expenses) is negatively related to its profitability.

3.3 Moderate Debt Level is Positively Related to Profitability This paper assumes that moderate debt level is positively correlated with profitability. China’s automobile market is vast. For quite a period of time, automobile products have rigid demand. Facing the vigorous market, automobile listed companies have the space to increase production and promote sales, so the operational risk is low. On the premise of lower operational risk, the company can use financial leverage to a large extent to expand the scale through debt, thus increasing the return to shareholders.

3.4 The Influence Mechanism of Investment Structure on Profitability In the long-term asset investment of enterprises, the investment of fixed assets and intangible assets can expand the production scale of enterprises, improve the production efficiency, and then improve the profitability. Securities investment helps to disperse the investment risk of the company, give full play to the efficiency of the use of funds, improve the liquidity of funds and provide guarantee for the effective

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operation of the company’s supply and marketing business chain. Therefore, it is necessary to arrange the proportion of project investment and securities investment in a reasonable range to maximize the income. This paper assumes that the proportion of fixed assets investment is positively related to profitability.

4 An Empirical Analysis of the Main Factors Affecting the Profitability of Listed Companies in the Automobile Sector 4.1 Variable Selection Return on equity: explained variable. Return on equity = net profit/average net assets. Among all the indexes to measure profitability, the return on equity is the core index, because it can reflect the level of return on shareholders’ equity and measure the efficiency of the company’s use of capital. In the empirical model, the return on equity is expressed by JZC. Total sales revenue: one of the explanatory variables, representing the scale of the company. This index can directly reflect the results of business activities. It is expressed by XSZ in the empirical model. Period expense/total cost: the second explanatory variable, representing the cost structure. The reason for selecting is that the period cost is not directly related to the manufacturing of current products, and the amount of such cost will directly affect the total profit of the enterprise. It is expressed by QCZ in the empirical model. Asset liability ratio: the third explanatory variable, representing the capital structure. This index can directly reflect the whole capital structure of an enterprise. It is expressed by ZFL in the empirical model. Fixed assets/non-current assets: the fourth explanatory variable, representing the investment structure. The reason for selection is that fixed asset investment represents the company’s main business investment, and its investment proportion directly affects the profitability. It is expressed by GCF in the empirical model (Table 3).

4.2 Sample Selection and Data Source The samples selected in this paper are 18 representative automobile listed companies from Shanghai Stock Exchange and Shenzhen Stock Exchange, respectively (Table 4). The original data required for this demonstration are all collected from East Money. Com. The selected time range is 2009–2017. On the basis of sorting out and calculating the original data, the data series needed for each dependent variable and independent variable are obtained.

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Table 3 Variable selection Variable name

Variable symbol

Variable definition

The role of variables

Return on equity

JZC

Net profit/shareholders’ equity

Explained variable

Sales revenue

XSZ

Total sales revenue

Explanatory variable

Proportion of period expenses

QCZ

Period expense/total cost

Explanatory variable

Asset liability ratio

ZFL

Total liabilities/total assets

Explanatory variable

Proportion of fixed assets

GCF

Fixed assets/non-current assets

Explanatory variable

Table 4 Listed companies in automobile sector Company name

Stock code

Company name

Stock code

ZOTYE QUTO

000980

SAIC Motor Corporation Limited

600104

Shenzhen Tellus Holding Co.,Ltd.

000025

FOTON

600166

King Long

600686

Dongfeng Motor Corporation

600006

JMC

000550

China Grand Auto

600297

FAW Haima Automobile

000572

SG Automotive Group

600303

Huayu Automobile

600741

JAC

600418

Changan Automobile

000625

Bohai Automotive Systems Co., Ltd.

600960

FAW Car

000800

Yaxia Automobile Corporation

002607

ANKAI

000868

GWM

601633

In order to eliminate the problem of heteroscedasticity and ensure the stability of data, all data in this empirical study are logarithm.

4.3 Empirical Model Design The statistical value of Hausman test is 10.396611, and P value is 0.0343, which is less than the critical value of 0.05, so the model is set as a fixed effect model. F 1 = 1.6788–F(68.72) and F 2 = 3.1292–(85.72). At a given 5% significance level, it can be seen from the table that F 2 > 1.5, so H 2 is rejected. Because F 1 > 1.5, H 1 is also rejected. Therefore, F 1 and F 2 are larger than their critical values, so variable coefficient model should be chosen. In this paper, variable coefficient fixed effect model is selected.

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According to the above analysis and model selection, this paper sets the following panel data model: lg J ZCit = β0 + β1 lg X S Z it + β2 lg QC Z it + β3 lg Z F L it + β4 lg GC Fit + Uit (1) (i = 1, 2…18; t = 1, 2…9) Where lgJZC represents taking the base-10 logarithm for the explanatory variable, the subscript i represents the province, t represents 2009–2017, β 0 is the constant term, β 1 –β 5 are parameters, lgXSZ, lgQCZ, lgZFL, and lgGCF, respectively, represent taking the base-10 logarithm for total sales revenue, period expense/total cost, asset liability ratio, and fixed assets/non-current assets, and u is the random error term, satisfying the classical assumptions of zero mean value and homogeneous difference. The impact of these indexes on the profitability of listed companies in the automobile sector can be reflected by the coefficient. If the estimated coefficient is significant and greater than zero, the independent variable has a positive impact on the change of the profitability of listed companies in the automobile sector. If the estimated coefficient is significant and less than zero, the independent variable hinders the change of the profitability of listed companies in the automobile sector. If the estimated coefficient is not significant, it indicates that the independent variable has no significant impact on the profitability of listed companies in the automobile sector.

4.4 Analysis of Empirical Results The following results are obtained through Eviews 8.0 fitting analysis. According to Table 5, the sample determinable coefficient is R-squared = 0.854298, and the modified sample determinable coefficient is adjusted R-squared = 0.648465, indicating that the model has a good goodness of fit. P value is 0.0000, Table 5 Test results of variable coefficient fixed effect model Cross-sectional fixed (dummy variables) R-squared

0.854298

Mean dependent var

0.886904

Adjusted R-squared

0.648465

S.D. dependent var

0.433646

S.E. of regression

0.257110

Akaike info criterion

0.410546

4.164666

Schwarz criterion

2.193156

Hannan-Quinn criter.

1.134672

Durbin-Watson stat

2.392683

Sum squared resid Log likelihood

58.59325

F-statistic

4.150443

Prob(F-statistic)

0.000000

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Table 6 Regression results of each parameter estimation Variable

Coefficient

Std. Error

t-Statistic

Prob.

C

−2.124922

0.628467

−3.381121

0.0009

ZFL?

0.684365

0.289103

2.367201

0.0192

XSZ?

0.253734

0.044021

5.763992

0.0000

QCZ?

−0.387115

0.187666

−2.062786

0.0409

GCF?

0.538838

0.219919

2.450167

0.0154

which indicates that the total sales revenue, asset liability ratio, and other explanatory variables have a significant impact on the profitability of listed companies in the automobile sector at the level of 1%. DW value is close to 2, which is 2.392683, indicating that there is no autocorrelation among the explanatory variables of total sales revenue and asset liability ratio. In order to reveal the influence direction and intensity of each factor, the constant coefficient fixed effect model test is proposed. The results are as follows (Table 6): According to the test results, the parameter estimates of each explanatory variable are 0.684365, 0.253734, −0.387115, and 0.538838, respectively, indicating that the total sales revenue, asset liability ratio, and fixed assets/non-current assets of the automobile sector are positively correlated with the return on equity, while the period expense/total cost is negatively correlated with the return on equity. Among them, the asset liability ratio plays the largest role in the return on equity. For each unit of increase in the asset liability ratio, the return on equity will increase by 0.68 unit. For each unit of increase in the proportion of fixed assets, the return on equity will increase by 0.54 unit. For each unit of increase in the total sales revenue, the return on equity will increase by 0.25 unit. However, for each unit of increase in period expense/total cost, the return on equity will decrease by 0.39 unit.

5 Conclusions The analysis of the profitability characteristics of listed companies in automobile sector shows that the profitability of listed companies in automobile sector is in a good overall condition, but the fluctuation trend shows a fluctuation decline. The profitability of different types of listed automobile companies is quite different. Comprehensive automobile companies have the strongest profitability, while the whole automobile manufacturing sector has the weakest profitability. The empirical analysis of the factors influencing the profitability of listed companies in the automobile sector by using panel data model shows that total sales revenue, asset–liability ratio, fixed assets/non-current assets are positively correlated with return on net assets, while period expenses/total costs are negatively correlated with return on net assets.

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References 1. Alsharari NM, Alhmoud TR (2019) The determinants of profitability in Sharia-compliant corporations: evidence from Jordan. J Islamic Acc Bus Res 10(4):546–564 2. Blažková I (2018) Sectoral and firm-level determinants of profitability: a multilevel approach. Int J Entrepreneurial Knowl 6(2):32–44 3. Dimitri´c M, Žikovi´c IT, Blecich AA (2019) Profitability determinants of hotel companies in selected Mediterranean countries Ekonomska Istraživanja 32(1):1977–1993 4. Huang C-H, Hou TC-H (2019) Innovation, research and development, and firm profitability in Taiwan: causality and determinants. (59):385–394 5. Khan T, Shamim M, Goyal J (2018) Panel data analysis of profitability determinants: evidence from indian telecom companies. Theor Econ Lett 8(15):3581–3593 6. Nanda S, Panda AK (2018) The determinants of corporate profitability: an investigation of Indian manufacturing firms. Int J Emerg Markets 13(1):66–86 7. Saripalle M (2018) Determinants of profitability in the Indian logistics industry. Logistics Econ Globalisation 7(1):13–27 8. Magoutas A, Papadoudis G, Sfakianakis G (2018) Determinants of profitability in the Greek tourism sector—assessing the effect of the crisis. Tourism Policy 8(1):65–72 ´ 9. Pervan M, Pervan I, Curak M (2019) Determinants of firm profitability in the Croatian manufacturing industry: evidence from dynamic panel analysis. 32 (1):968–981

Study on the Determinants of Export Sophistication of China’s Manufacturing Subdivided Sectors Taosheng Wang and Xiang Yin

Abstract Using SITC Rev.3 bit code data, this paper calculates the export sophistication of China’s manufacturing subdivided sectors. The results show that the export sophistication index of China’s manufacturing industry is low, most sectors are on the rise, and the export sophistication of each subdivided sector is significantly different. The product sophistication of eight sectors such as mechanical communication equipment is high and the improvement speed is fast. The product sophistication of seven sectors such as ferrous metal smelting is in the middle and the improvement speed is also in the middle. The product sophistication of 13 sectors such as stationery sports is relatively low, and the improvement speed is also slow, among which the product sophistication of the tobacco sector shows a downward trend. On this basis, the panel data model is built to make an empirical analysis of the influencing factors of product sophistication of each subdivided sector in China’s manufacturing industry. The results show that the import scale, capital profit rate, foreign direct investment (FDI), and the intensity of technical equipment are all positively correlated with the export sophistication of manufacturing industry, among which the import scale, capital profit rate, and FDI have a greater promoting effect on the export sophistication, and however, the intensity of technical equipment has a smaller promoting effect. Keywords Manufacturing industry · Subdivided sectors · Export sophistication · Determinants · Empirical analysis

1 Introduction In recent years, China has successfully become a trading country, but it is not yet a trading power. China is still in the process of assembly and processing with low added value and low sophistication in the international division of labor system. How to speed up the improvement of the sophistication of China’s manufacturing T. Wang (B) · X. Yin Business School, Hunan International Economics University, 410205 Changsha, Hunan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_89

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products is still a subject to be studied. The outline of the 13th Five Year Plan of the People’s Republic of China clearly proposes to optimize the structure of foreign trade, improve the level of opening up, and accelerate the cultivation of new advantages with quality, technology, brand and service as the core competitiveness. As one of the core connotations of new advantages, product sophistication reflects the level of a country’s export products from a deep level, and more and more countries attach great importance to it. Many scholars at home and abroad have done a lot of work in the measurement of the sophistication of export products and the analysis of its influencing factors. However, due to the differences in data and measurement methods, the relevant measurement results have not reached consensus. In addition, although there are many studies on the sophistication of products at present, there are few empirical analysis and measurement from the product sophistication of manufacturing industry subdivided sectors, which leaves a certain space for the exploration of this paper. Recent studies have focused on the influencing factors of the sophistication of export products. Relevant research results show that intellectual property [11], financial development [1], exchange rate stability [9], R & D intensity [12], export structure [5], trade liberalization [6], state society synergy [3], labor flow from foreign enterprises to local enterprises [4], etc., are the main driving forces for increasing the sophistication of export products. Odilova [7] used data from 138 countries/regions to prove that National IQs and intelligence had a significant positive effect on the increase of export complexity. Su et al. [8] found that restrictions on trade in services had a significant negative impact on the sophisticaiton of manufacturing exports. Kocenda and Poghosyan [2] used large panel data sets (2001–2015; 101 countries/regions) and various estimation algorithms to analyze the export sophistication. The results showed that GDP per capita and economic scale had a significant positive impact on the export sophistication, but the low institutional quality had a negative impact. Compared with the previous literature, there are two possible innovation points in this paper: The first is the new research angle. This paper focuses on the research of China’s manufacturing industry subdivided sectors, trying to find out the differences in product sophistication of China’s manufacturing subdivided sectors and the characteristics of its changes. The second is to integrate the micro factors such as capital profitability which have been ignored in the previous literature into the framework of empirical model in order to draw new conclusions.

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2 Measurement and Analysis of Export Sophistication of Manufacturing Industry in China 2.1 The Measurement Method of Export Sophistication The sophistication of the export products of a country’s manufacturing industry is related to the investment in scientific and technological research and development of that sector. Under certain conditions, the higher the R&D investment of a certain sector in a country, the higher the technology intensity of the sector, and the higher the technological sophistication of the export products of the sector, and vice versa. Therefore, to calculate the technological sophistication of export of subdivided sectors of manufacturing industry, we can learn from Wen [10] estimation method of export sophistication: ETCcp =

  C K cp p

C Kc

×

R Dcp C Z cp

 (1)

Among them, CK cp is the export amount of country/region c and product p; CK c is the total export amount of country/region c; RDcp is the R & D input of the product p in country c product p; CZ cp is the output value or added value of the product p in country c; c is the country or region; p represents the product; RDcp /CZ cp measures the R&D intensity or technology intensity of the product p in country c; ETC cp represents the export sophistication of the product p in country c. The higher the ETC cp value is, the higher the export sophistication of the product is. That is to say, the greater the proportion of science and technology investment in the output value is, the higher the sophistication of the export product is.

2.2 Export Sophistication Index of China’s Manufacturing Sectors The product sophistication of 28 manufacturing sectors in China is measured by formula (1). The measurement results are shown in Table 1. It can be seen from Table 1 that the sophistication of products in all sectors in China’s manufacturing industry is on the rise as a whole, but there are significant differences between them. The product sophistication of eight sectors, such as communication equipment, instruments and meters, transportation, and so on, is relatively high, with the average product sophistication above 0.002. The product sophistication of seven sectors, such as metal, plastic, and ferrous metal smelting, is in the middle, with the average product sophistication between 0.001 and 0.002. The product sophistication of 13 sectors, such as beverage, chemical fiber, printing, and stationery sports, is relatively low, with the average product sophistication less than 0.001. The

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Table 1 Product sophistication index of 28 subdivided sectors of China’s manufacturing industry Sectors

2000

2003

2006

2009

2012

2015

2017

Agricultural and sideline food processing industry

0.00036

0.00039

0.00059

0.00094

0.00245

0.00434

0.00499

Food manufacturing

0.00130

0.00134

0.00190

0.00367

0.00779

0.00905

0.01017

Beverage manufacturing

0.00003

0.00006

0.00005

0.00007

0.00009

0.00009

0.00011

Tobacco manufacturing

0.00004

0.00003

0.00003

0.00003

0.00003

0.00002

0.00002

Textile industry

0.00043

0.00165

0.00191

0.00304

0.00452

0.00636

0.00779

Textile clothing shoes and hats industry

0.00521

0.00355

0.00272

0.00265

0.00503

0.00693

0.00788

Leather and other products industry

0.00064

0.00067

0.00064

0.00134

0.00307

0.00433

0.00549

Wood processing and products industry

0.00010

0.00021

0.00022

0.00014

0.00037

0.00065

0.00097

Furniture manufacturing

0.00000

0.00013

0.00064

0.00099

0.00190

0.00291

0.00447

Paper making and paper products industry

0.00017

0.00024

0.00033

0.00051

0.00081

0.00130

0.00183

Printing and media reproduction

0.00017

0.00007

0.00005

0.00014

0.00030

0.00033

0.00041

Stationery sports manufacturing

0.00022

0.00094

0.00129

0.00259

0.00140

0.00225

0.00301

Petroleum nuclear fuel processing industry

0.00013

0.00053

0.00045

0.00066

0.00098

0.00108

0.00169

Chemical raw materials manufacturing industry

0.00139

0.00339

0.00393

0.00514

0.00959

0.01144

0.01457

Pharmaceutical manufacturing

0.00099

0.00075

0.00071

0.00140

0.00188

0.00200

0.00223 (continued)

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Table 1 (continued) Sectors

2000

2003

2006

2009

2012

2015

2017

Chemical fiber manufacturing

0.00001

0.00004

0.00008

0.00011

0.00016

0.00015

0.00024

Rubber products industry

0.00015

0.00035

0.00089

0.00132

0.00185

0.00172

0.00205

Plastic manufacturing

0.00038

0.00010

0.00018

0.00106

0.00370

0.00454

0.00564

Non-metallic mineral products industry

0.00073

0.00062

0.00071

0.00103

0.00223

0.00331

0.00335

Ferrous metal smelting and rolling industry

0.00153

0.00176

0.00529

0.00394

0.00641

0.00651

0.00625

Non ferrous metal smelting and rolling industry

0.00041

0.00092

0.00210

0.00130

0.00187

0.00209

0.00026

Metal products industry

0.00065

0.00097

0.00186

0.00233

0.00638

0.00796

0.00933

General equipment manufacturing

0.00176

0.00301

0.00507

0.00736

0.01278

0.01393

0.01589

Special equipment manufacturing industry

0.00089

0.00107

0.00219

0.00430

0.00628

0.00725

0.00849

Transportation equipment manufacturing industry

0.00344

0.00556

0.00881

0.01396

0.02131

0.02038

0.01870

Electrical machinery and equipment manufacturing industry

0.00735

0.01182

0.01476

0.01968

0.02790

0.03706

0.03579

Communication equipment and computer manufacturing

0.01348

0.03022

0.05355

0.06633

0.08098

0.09137

0.07809

Instrument and cultural office machinery manufacturing industry

0.00453

0.01611

0.02126

0.03874

0.06526

0.05864

0.06597

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communication equipment industry has the highest product sophistication, and the tobacco manufacturing industry has the lowest product sophistication.

2.3 Analysis on the Trend of Export Sophistication of Various Manufacturing Sectors in China The product sophistication of eight sectors such as mechanical communication equipment is high and the improvement speed is fast, among which, the sophistication of communication equipment industry products has the most obvious development trend in 28 sectors. The product sophistication of seven sectors such as ferrous metal smelting is in the middle and the improvement speed is also in the middle. The product sophistication of 13 sectors such as stationery sports is relatively low, the improvement speed is also slow, and the trend of product sophistication is not obvious, among which the product sophistication of the tobacco sector shows a downward trend.

3 The Empirical Analysis of the Factors Influencing the Export Sophistication of Chinas Manufacturing Subdivided Sectors 3.1 Variable Selection and Research Hypothesis (1) Import scale (IS): Import will introduce foreign advanced equipment, improve the level of technical equipment and production efficiency, reduce production costs and promote exports. When the scale of import is expanded, foreign products enter the domestic market, and the competition of domestic similar products is intensified, which forces manufacturers to increase the strength of technology research and development and product innovation, so as to improve the sophistication of products. Therefore, this paper assumes that there is a positive correlation between import scale and export sophistication. (2) Capital profit rate (CPR): The higher the capital profit rate of an enterprise, the more financial resources it has to increase investment in technology research and development and new product development, and to carry out technological transformation or purchase more advanced technology and equipment, so as to promote product sophistication. Therefore, this paper assumes that there is a positive correlation between capital profit rate and export sophistication. (3) FDI: The massive inflow of FDI will bring advanced technology and equipment, mature R&D team, excellent R&D achievements, and management experience to the host country, thus promoting the upgrading of technological sophistication of the host country’s export products. Therefore, this paper assumes that FDI can promote the export sophistication.

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(4) Technical equipment density (TED): Under the unit GDP, the more technical equipment is invested, the higher the industrial technical equipment density is, the more conducive to the improvement of export sophistication. Therefore, this paper assumes that there is a positive correlation between technical equipment density and export complexity.

3.2 Data Source and Processing The data of manufacturing product sophistication (ETC) is calculated by formula (1). Import scale (is) is the import volume of the sector. The data are from the United Nations commodity trade statistics database. The capital profit rate (CPR) is the proportion of total sector profit to the sector’s paid-in capital. The data of total profit and paid-in capital are from China Statistical Yearbook. Foreign direct investment (FDI) refers to the actual amount of foreign investment used by the sector, and the data come from China Statistical Yearbook. The technical equipment density (TED) is the proportion of fixed capital investment in GDP, and data come from China Statistical Yearbook.

3.3 Model Construction and Empirical Analysis The statistical value of Hausman test is 22.018395 and P-value is 0.0002, which is far less than the critical value of 0.05, so the model is set as a fixed effect model. F 1 (108.364) = 1.27829 and F 2 (135.364) = 1.255748, so F 2 > 1.255748, H 2 is rejected, F 1 > 1.27829, and H 1 is rejected. Therefore, the model should be in the form of variable coefficient. In this paper, the variable coefficient fixed effect model should be selected. According to the above analysis and model selection, this paper sets the following panel data model to empirically analyze the relationship among the product sophistication of China’s manufacturing industry and the import scale, capital profit rate, FDI, and technology equipment intensity. The specific model is as follows: ETCit = α + β1 ISit + β2 CPRit + β3 FDIit + β4 TEDit + μit

(2)

Among them, ETCit is the dependent variable, i.e., the explained variable, which indicates the sophisticaiton of the export products of manufacturing industry and its subdivided sector i in year t, ISit is the import scale of this sector in year t, CPRit is the capital profit rate of this sector in year t, FDIit is the actual amount of foreign investment utilized by this sector in year t, TEDit is the technical equipment

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intensity of this sector in year t, and µit is the random error term. β 1 , β 2 , β 3 , and β 4 are independent variable coefficients, which can, respectively, reflect the influence of each explanatory variable on product sophistication. Using EVIEWS7.2 software to build and fit the model, the test shows that the sample’s determinable coefficient is 0.984563, and the modified determinable coefficient is 0.978668, which indicates that the model’s goodness of fit is good. The P-value is 0.0000, indicating that the effect of each explanatory variable on the export of manufacturing industry is significant at the level of 1%. DW value is 1.561295, close to 2, indicating that the autocorrelation of each independent variable in the model is relatively low. See Table 2 for the test results of model (2). In order to reveal the influence direction and intensity of each factor, the fixed effect model with constant parameters is proposed to test. Considering that the influence of FDI on the export sophistication of China’s manufacturing industry may have a “lag effect,” the model (3.2) deals with FDI in a lag period and then tests the constant parameter fixed effect model. The specific model is adjusted as follows: ETCit = α + β1 ISit + β2 CPRit + β3 FDIi(t−1) + β4 TEDit + μit

(3)

Among them, FDIi(t −1) is the actual amount of foreign investment used by the sector in the year of t − 1. See Table 2 for the test results of model (3). According to the test results, the effect of each explanatory variable on the product sophistication of manufacturing industry and its sectors is significant at the level of 1% (Table 2). The parameter estimates of each interpretation are 0.612162, 0.550934, 0.346818, and 0.193367, respectively, which indicates that the four factors of import scale (IS), capital profit rate (CPR), foreign direct investment (FDI), and technology and Table 2 Model test results Model statistical indexes

Model (2) test results

Model (3) test results

R-squared

0.984563

0.660495

Adjusted R-squared

0.978668

0.657774

S.E. of regression

0.124140

0.471833

Sum squared resid

5.609494

111.090700

Log likelihood

418.380100

−334.063000

F-statistic

167.016000

242.697100

Prob (F-statistic) Mean dependent var S.D. dependent var Akaike info criterion Schwarz criterion Hannan-Quinn criter Durbin-Watson stat

0.000000

0.000000

−2.836932

−2.766560

0.849947

0.806551

−1.104683

1.345489

0.068255

1.387380

−0.644581

1.361921

1.561295

0.171486

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Table 3 Parameter estimation results of constant parameter fixed effect model Variable

Coefficient

Std. Error

t-Statistic

Prob.

C

−1.625500

0.276800

−5.872475

0.0000

16.16768

IS?

0.612162

0.037863

CPR?

0.550934

0.064921

8.486208

0.0000

0.0000

FDI?

0.346818

0.050345

6.888888

0.0000

TED?

0.193367

0.063873

3.027359

0.0026

equipment density (TED) are positively related to the sophistication of manufacturing products. Among them, the import scale plays the largest role in the sophistication of manufacturing products, followed by the capital profit rate and foreign direct investment, and the technology and equipment density plays a relatively small role in promoting the sophstication of manufacturing products. For each unit of increase in import scale, the sophistication of manufacturing products will increase by 0.612162 units; for each unit of increase in capital profit rate, the sophistication of manufacturing products will increase by 0.550934 units; for each unit of increase in foreign direct investment, the sophisticaiton of manufacturing products will increase by 0.346818 units; for each unit of increase in technology and equipment density, the sophistication of manufacturing products will increase by 0.193367 units. The foreign direct investment with a lag of one period passes the constant parameter test and is significantly positive, indicating that the impact of foreign direct investment on the sophistication of products in China’s manufacturing industry is “lagging behind.”

4 Conclusions The research of this paper finds that the export sophistication index of subdivided sectors of China’s manufacturing industry is relatively low, and the overall trend is on the rise, and the gap between sectors is obvious. The product sophistication of eight sectors such as mechanical communication equipment is high and the improvement speed is fast. The product sophistication of seven sectors such as ferrous metal smelting is in the middle and the improvement speed is also in the middle. The product sophistication of 13 sectors such as stationery sports is relatively low, and the improvement speed is also slow, among which the product sophistication of the tobacco sector shows a downward trend. The panel data model is built to make an empirical analysis on the influencing factors of product sophistication of each subdivided sector in China’s manufacturing industry. The results show that the import scale, capital profit rate, FDI, and the intensity of technical equipment are all positively correlated with the export sophistication of manufacturing industry, among which the import scale plays the most important

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role, followed by capital profit rate and FDI, and the intensity of technical equipment has a smaller promoting effect. Acknowledgements This paper is the phased research results of the National Natural Science Foundation of China Project (approval No.: 71573082) and the Humanities and Social Sciences Planning Project of the Ministry of Education (approval No.: 14YJA790056), and is supported by the above research projects.

References 1. Fang Y, Gu G, Li H (2015) The impact of financial development on the upgrading of China’s export technical sophistication. Int Econ Econ Policy, 12(2):257–280 2. Koˇcenda E, Poghosyan K (2018) Export sophistication: a dynamic panel data approach. Emerg Markets Finan Trade 54(12):2799–2814 3. Li AX (2015) State-society synergy and export sophistication. Econ Politics 27(3):433–458 4. Masso J, Vahter P (2019) Knowledge transfer from multinationals through labour mobility: are there effects on productivity, product sophistication and exporting? Emerg Markets Finance Trade, 55(12)2774–2795 5. Memi¸s E, Özay Ö (2019) Changing structure of exports and product sophistication in the East and Southeast Asian region. Int Trade J 33(6):495–518 6. Nguyen DX (2016) Trade liberalization and export sophistication in Vietnam. J Int Trade Econ Dev 25(8):1071–1089 7. Odilova S (2018) Intelligence and export sophistication: a cross-country test. Mankind Quarterly 58(3):520–531 8. Su X, Anwar S, Zhou Y, Tang X (2019) Services trade restrictiveness and manufacturing export sophistication. North Am J Econ Finance 101058 9. Thorbecke W, Pai HK (2015) The sophistication of East Asian exports. J Asia Pacific Econ 20(4):658–678 10. Wen D (2011) The technological sophistication of China’s manufacturing exports and its international comparison. World Economy Study 6:41–45 + 52 + 90 11. Zhang H, Yang X (2016) Intellectual property rights and export sophistication. J Int Commer Econ Policy, 7(03):1650015 12. 이병완,김태현.: Lee B, Kim T (2019) A study on the advancement strategy of export industry: focused on Ulsan petrochemical industry. Korean J Trade Sci 44(1):237–251

Study on the Effect of Agricultural Total Factor Productivity on the Export of Agricultural Products Zhenjun Cai and Chen Wang

Abstract Based on the DEA-Malmquist index method, this paper calculates the agricultural total factor productivity of Hunan Province from 2005 to 2017 and finds that the agricultural total factor productivity (TFP) index shows a slow fluctuating growth trend, with an average change of 1.061. The empirical analysis results show that the agricultural TFP of Hunan Province has a significant positive impact on the export of agricultural products. For every 1% increase in agricultural total factor productivity, agricultural exports will increase by 1.3%. Keywords Total factor productivity · Export of agricultural products · Causal analysis · Empirical test

1 Introduction Agricultural TFP is an important tool to analyze the efficiency of agricultural economic growth and also an important source for long-term sustainable competitive advantage of agricultural exports. First of all, estimating the agricultural TFP is helpful to identify whether the agricultural economy is an input growth or an efficiency growth. Secondly, to estimate the effect of agricultural TFP on the export of agricultural products can provide a basis for the determination of agricultural policies to promote technical progress. The export advantage of Hunan’s agricultural products is mainly based on the factor advantage of low labor cost. With the continuous increase of social production factor cost, the traditional competitive advantage of Hunan’s agricultural product export is weakening, and the new competitive advantage of agricultural product export based on efficiency improvement and technical progress needs to be cultivated. TFP refers to the increase of output caused by technical progress beyond the input of various factors (such as capital and labor), which is the residual obtained after eliminating the contribution of factor input. It was first proposed by Solow [1], Z. Cai (B) · C. Wang Business School, Hunan International Economics University, 410205 Changsha, Hunan, China e-mail: [email protected] © Springer Nature Singapore Pte Ltd. 2020 T.-S. Wang et al. (eds.), Recent Trends in Decision Science and Management, Advances in Intelligent Systems and Computing 1142, https://doi.org/10.1007/978-981-15-3588-8_90

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so it is also called Solow residual. The Cobb–Douglas production function is widely used in the calculation by using Solow residual. In 1982, Caves et al. constructed Malmquist productivity index (hereafter referred to as Malmquist index) through distance function, but did not find a suitable measurement method. In 1978, Charnes, Cooper and Rhodes proposed using DEA to measure the distance function. At this time, Malmquist index was widely used and developed. Krugman [2] found that although the economic growth of East Asian countries was rapid, the TFP had not been significantly improved. Therefore, he proposed the famous “no miracle in East Asia” argument, and the study of TFP began to be widely used in China. The research of Lu and Lian [3] and Yang [4] on TFP in manufacturing industry shows that the measurement research on TFP tends to mature from the microenterprise level to the macro-industry level. The research on agricultural TFP in China mainly shows national and regional aspects. Jin and Jian [5] used the nonparametric DEA-Malmquist index method to take the physical quantity index as the input–output of agricultural production and excluded the impact of price reasons on the calculation results. They calculated and analyzed China’s agricultural TFP. They concluded that China’s agricultural TFP showed great volatility, but showed an increasing trend in the long run. Liu et al. [6] measured China’s agricultural TFP and analyzed the factors affecting the growth of China’s agricultural TFP. The results showed that technical progress was the main factor of the growth of agricultural TFP, and the decline of technical efficiency would hinder the growth of agricultural TFP in China. Wu [7] calculated the China’s agricultural TFP from 2001 to 2015 and found that the core driving factor of China’s agricultural economic growth was still factor input, but the role of agricultural TFP was gradually improving. Similar studies suggest that the agricultural TFP in China is increasing. Some scholars have also studied the agricultural TFP at the regional level in China: Liu et al. [6] calculated the agricultural TFP of all cities (prefectures) in Hunan Province by using the panel data of prefecture level in Hunan Province and made a dynamic comparative study on the agricultural production efficiency. The results showed that the agricultural TFP in Hunan Province was increasing, but the gap between different cities was obvious. Jiang [8] used DEA-Malmquist method and panel data of 11 counties in Zhejiang Province from 1995 to 2011 to measure the agricultural TFP in Zhejiang Province. Jiang Ran believed that the agricultural TFP in Zhejiang Province increased rapidly at the rate of 5.5% per year in the research period, and the agricultural technical progress was the most decisive variable in improving TFP. The research showed that the agricultural TFP in different regions is increasing, but the reasons are different. From the existing research results, whether it is the measurement of TFP of manufacturing industry or the research on agricultural TFP at the national and regional level, all of them focus on the measurement and analysis of TFP. Few scholars study the effect of TFP on the export of agricultural products from the perspective of TFP. In fact, the traditional development mode of relying on factor input to ensure export growth cannot be sustained for a long time. Whether the advantage of agricultural TFP becomes the source of the new competitive advantage of agricultural product export and the extent of the effect depends on further in-depth discussion.

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2 Measurement Methods and Data Sources 2.1 Selection of Measurement Methods The measurement methods of TFP are mainly divided into two categories: parametric estimation and nonparametric estimation. The parameter estimation involves the estimation of parameter function, assuming that the research object is technically efficient. The latter mainly includes data envelopment analysis method and index method. At present, the nonparametric data envelopment analysis (DEA) model is widely used, which does not need to assume the production function and has some advantages in estimating the production frontier. Based on the above reasons, this paper will use DEA-Malmquist index calculation method. Under the assumption of constant returns to scale, the DEA-Malmquist index method holds that the total factor productivity (TFPch) is composed of two parts: efficiency change (EC) and technical change (TC), i.e., TFPch = EC × TC. The change of technical efficiency is composed of pure technical efficiency change (PC) and scale efficiency change (SC), that is, EC = SC × PC, so TFPch = TC × SC × PC can be obtained. The TFP index is the change ratio based on the previous year. If the TFP index is greater than 1, it indicates that the TFP is higher than that of the previous year; if it is less than 1, it indicates that the TFP is lower than that of the previous year.

2.2 Data Source Description The sample data in this paper are taken from 2006 to 2018 Hunan Statistical Yearbook. In the selection of input indicators, the five indicators of the year-end rural employees, the total planting area of crops, the total power of agricultural machinery, the amount of fertilizer application and the effective irrigation area are selected as input variables, and the total output value of agriculture, forestry, animal husbandry and fishery is selected as output variables. In order to overcome the impact of inflation on real output, the output variables are all converted to constant prices in 2005. The export data of Hunan agricultural products come from the statistical report of the Ministry of Agriculture.

3 Measurement and Analysis of Agricultural TFP The extensive trade competitive advantage based on the traditional low factor cost is difficult to maintain for a long time. The subsequent growth of export trade of agricultural products should be based on the improvement of agricultural TFP. In

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this paper, panel data and Deap2.1 software are used to calculate the agricultural TFP index of Hunan Province. The results are shown in Table 1. From the horizontal level, the agricultural TFP indexes of Hunan were more than 1 in most years from 2005 to 2017, and the mean of TFP indexes was 1.061, indicating that the agricultural TFP of Hunan agriculture was increasing continuously in most years, and the average growth rate was 6.1%. The change trend of agricultural TFP and technological progress index in Hunan Province basically coincides, which shows that the basic reason for the growth trend of TFP lies in technical progress. The mean values of technical progress indexes and technical efficiency indexes are 1.054 and 1.007, respectively. Technical efficiency can reflect the level of management in the process of agricultural production. It can be concluded from the average growth rate of technical efficiency of 0.7% that technical efficiency has a weak positive effect on agricultural TFP. During the sample period, when the technical progress index increased greatly, the technical efficiency change index increased little, indicating that Hunan Province had low efficiency in promoting agricultural technological innovation. From the vertical level, the agricultural TFP indexes in Hunan Province fluctuated greatly from 2005 to 2017, showing an overall growth trend. Hunan’s agricultural TFP indexes increased significantly in 2006–2007 and 2013–2014, with an increase of 24.8% and 56.8%, respectively, and its technical progress indexes were 1.256 and 1.591, respectively, indicating that the increase was mainly due to technical progress. In particular, the agricultural TFP index of agriculture in Hunan Province was only 0.7 and the technical progress index was only 0.68 in 2012–2013, with the most serious recession. The main reason is that 2013 is the year with the least Table 1 Agricultural TFP indexes in Hunan Province from 2005 to 2017 Year

Technical efficiency change index

Technical progress index

Pure technical efficiency change index

Scale efficiency change index

TFP index

2005–2006

1.014

0.941

1.000

1.013

0.954

2006–2007

0.993

1.256

0.983

1.011

1.248

2007–2008

0.984

1.171

1.005

0.978

1.152

2008–2009

0.975

0.966

0.985

0.989

0.942

2009–2010

1.017

1.053

1.009

1.008

1.071

2010–2011

1.031

1.115

1.011

1.019

1.150

2011–2012

0.995

1.066

0.996

0.998

1.061

2012–2013

1.017

0.688

1.004

1.013

0.700

2013–2014

0.985

1.591

0.994

0.991

1.568

2014–2015

1.013

1.105

1.004

1.009

1.120

2015–2016

0.990

1.088

0.995

0.994

1.077

2016–2017

1.071

0.852

1.042

1.027

0.912

Mean

1.007

1.054

1.003

1.004

1.061

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precipitation and the most severe high temperature and drought since 1951 in Hunan Province. In addition, the infrastructure of farmland water conservancy is weak and insufficient, which leads to the reduction of irrigation capacity and serious disaster, indicating that TFP will be affected by natural disasters and decline.

4 The Empirical Analysis of the Impact of Agricultural TFP on the Export of Agricultural Products The production department with high agricultural TFP, relying on technical progress, constantly improves production efficiency, stabilizes product quality and gains competitive advantage in the local market. At the same time, it will further form the tendency of export expansion in order to obtain a larger export market and higher export efficiency. Obviously, the agricultural sector forms export competitive advantage by improving TFP, which is an important guarantee for improving export quality and efficiency, and also an important new source for forming export competitive advantage. Considering that TFP is the growth value based on the previous year, this paper selects TFP accumulated in 2005–2017 as the explanatory variable, and Hunan agricultural exports as the explained variable. In order to avoid the existence of heteroscedasticity between variables, the independent variable and dependent variable are treated by natural logarithm. The regression model is constructed as follows: Y = α + βX + ε

(1)

4.1 Unit Root Test Before regression analysis, in order to test whether there is pseudo-regression in regression analysis, ADF unit root test is used to check whether the two time series are stable. Through EViews 7.2, the results are shown in Table 2. Table 2 ADF unit root test results of horizontal sequence and difference sequence between variables Variable

ADF statistical value

Pro-value

1% level threshold

5% level threshold

10% level threshold

Stationarity

X

−3.396770

0.1035

−5.124875

−3.933364

−3.420030

Unstable

X

−3.88555

0.0013

−2.816740

−1.982344

−1.601144

Stable

Y

−2.405085

0.3580

−5.124875

−3.933364

−3.420030

Unstable

Y

−3.590385

0.0284

−4.297073

−3.212696

−2.747676

Stable

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Table 3 E-G co-integration test results Engle–Granger tau statistic

Value

Prob.*

−2.270891

0.0283

Hunan TFP series X and agricultural product export series Y accept the original hypothesis at the 5% significance level, both of which are non-stationary series. The first-order difference sequences X and Y reject the original hypothesis and are all stationary. The co-integration test and regression analysis can be carried out.

4.2 Co-integration Test In order to explore whether there is a long-term stable relationship between agricultural TFP and agricultural exports in Hunan Province, the co-integration test was carried out on the model variables. Co-integration test can be used as an effective tool to evaluate the connection between several parameters, mainly to judge whether there is a long-term equilibrium relationship between variables. In this paper, E–G co-integration test is used to test the agricultural TFP and the export of agricultural products in Hunan Province. The results obtained by using EViews7.2 software are shown in Table 3. The test results show that at the 5% significance level, the P value of tau statistic is 0.0283 less than 5%, rejecting the original hypothesis. X and Y are not co-integrated; that is, there is a unique long-term co-integration relationship between TFP and export index, so OLS regression can be carried out.

4.3 The Analysis of Empirical Results With the help of EViews7.2 software, the model is regressed (Table 4). The regression equation: Y = 2.305803 + 1.321596X is obtained. The coefficient of determination of the sample of the equation is 0.703411, and the coefficient of determination of the corrected sample is 0.673752, so the fitting effect of the equation is relatively ideal. At the significance level of 5%, t0.025(10) = 2.23, t0 = 4.869975 > 2.23 and t1 = 7.44087 > 2.23 by checking the degree of freedom v = 12 − 2 = 10 according to the t-distribution table, indicating that the level of significance of agricultural TFP to agricultural exports in Hunan Province is 5%, and the explanation of agricultural TFP to agricultural exports in Hunan Province is better. The regression results show that the agricultural TFP of Hunan Province is positively promoting the export growth of agricultural products. For every 1% increase of agricultural TFP, the export of agricultural products will increase by 1.3%, indicating that the advantage of agricultural TFP is an important

Study on the Effect of Agricultural Total Factor Productivity …

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Table 4 Regression results Variable X

Coefficient

Std. Error

t-statistic

Prob.

1.321596

0.271376

4.869975

0.0007

7.440877

C

2.305803

0.309883

R-squared

0.703411

Mean dependent var.

3.777321

Adjusted R-squared

0.673752

S.D. dependent var.

0.416939

S.E. of regression

0.238148

Akaike info criterion

0.11916

Sum squared resid

0.567143

Schwarz criterion

0.199978

Log-likelihood

1.285039

Hannan–Quinn criterion

0.089239

Durbin–Watson stat

1.396262

F-statistic Prob(F-statistic)

23.71666

0.0000

0.000652

source of competitive advantage of agricultural product export, and the effect is significant.

5 Conclusions This paper uses DEA-Malmquist index method to measure the agricultural TFP in Hunan Province and empirically tests the impact of TFP on the export of agricultural products in Hunan Province. The results show that the agricultural TFP in Hunan Province shows an overall growth trend from 2005 to 2017, with an average change value of 1.061, a technical progress index of 1.054 and a technical efficiency index of 1.007. There is a significant positive correlation between the agricultural TFP and the export of agricultural products in Hunan Province. Every 1% increase in TFP will lead to an increase of 1.3% in the export of agricultural products in Hunan Province. The advantage of agricultural TFP is an important new source of competitive advantage in the export of agricultural products. Therefore, the agricultural TFP should be continuously improved to promote the long-term sustainable development of agricultural product export. Acknowledgments This work was supported by Project of Hunan Province Innovation Platform Open Found (Grant No. 18K109), the project of National Natural Science Foundation of China (Grant No. 71573082), the Ministry of Education Humanities and Social Sciences Planning Project (Grant No. 14YJA790056).

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