基于DEA的高等教育投入产出效率评价方法及应用研究
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摘要
高等教育承担着培养高级专门人才、发展科学技术文化、促进现代化建设的重大任务,其发展程度是一个国家综合国力和经济社会发展水平的标志。为此世界各国普遍扩大了招生规模,高等教育得到了空前的高速发展。与此同时,我国高等教育事业也得到了长足的发展,加大了资源投入,教育规模不断扩大,高等教育改革取得了令人瞩目的成绩。但是我们也应该看到,教育资源的稀缺性是一个客观现实,从这个角度出发,单纯的依靠扩大教育资源投入并不是可持续发展的有效途径,而应该充分有效的利用现有的教育资源,提高投入-产出效率,使其产生最大的效益,这更符合我国高等教育发展的要求。
本文综合多学科知识,运用文献分析、计量分析和实证研究等方法,理论联系实际,对我国高等教育投入产出效率问题进行了系统的研究。首先,对教育投入产出效率和数据包络分析(DEA)相关理论进行阐述,分析出DEA在高等教育领域的适用性。接着,对以往文献比较分析后,构建高等教育效率投入产出指标体系。该体系包括投入指标和产出指标两大类,投入指标包括人力资源、财力资源和物力资源；产出指标包括人才培养、科学研究和社会服务。本文指标选择注重全面性、实际应用性。然后,本文采用主成分分析法(PCA)消除指标体系中各指标之间的相关性,在此基础上,建立高等教育效率DEA评价模型。最后,对安徽省13所省属本科院校做实证研究,通过C2R和BC2两种模型,利用PCA处理的截面数据,比较了13所同质本科院校的办学效率,以了解各个院校的效率和差异,找出非DEA有效单位的改进方向,从而一定程度上促进安徽省高等教育健康有效地发展。
本文在应用DEA进行评价过程中,采用PCA对指标降维,这保证了DEA评价的科学公正性；构建DEA评价模型对安徽省高等教育效率进行评价,切实可行,证明本文研究具有一定现实意义。
Advanced Education untakes the important task of advanced specialists training, science, technology and culture developing, and modernization promoting, the extent of its development is the sign of comprehensive national strength and economic and social development. Therefore, countries all over the world expand their enrollments, which make advanced education have an unprecedented rapid development. So does Chinese advanced education. With more and more resources input and scale of advanced education expanding, our education reform has had a remarkable achievement. However, we should also be noted that the scarcity of educational resources is an objective reality. From this perspective, relying on a simple increase of investment in education is not an effective way. Oppositely, we should make full use of the existing resources, try to increase the input and output efficiency, which makes it work best for our education. This can meet the demand of the our advanced education more.
Using comprehensive knewledge, literature analysis, quantitative analysis and evidnce study, this paper gives a systematic study on the input and output efficiency of our advanced education. Firstly, this paper describes the relevant theory of input and output efficiency and data envelopment analysis (DEA), and conludes the DEA applicability in advanced education._ Next, through the comparasive analysis of past literature, it builds the input and output indicator system which includes input indicators and output indicators. Input indicators are involved in human resources, financial resources and material resources. Output indicators include personnel training, scientific research and social service. The selection of these indicators focus on allsideness and practical application. Thirdly, using principal component analysis (PCA), this paper elimilates the connections between indicators. On this basis, it estabilishes the model of advanced education efficiency DEA evaluation. Last but not least, this paper also studies 13 provincial colleges in Anhui, using cross sectional data processed by DEA under C2R and BC2 models, it compares the said 13 colleges's running efficiency in order to learn their difference and find out improvement direction of non-DEA units, which, to some extend, help advanced education development in Anhui.
During the DEA evaluation process, it reduce the dimension of the indicators by PCA, which can ensure the DEA evaluation's fairness. To evaluate Anhui advanced education efficiency by the construction of DEA evaluation model is practical, which proves this paper has practical signaficance. Author:Wang Jing Tao(management science) Supervised by:Professor Cao An Zhao
本文综合多学科知识,运用文献分析、计量分析和实证研究等方法,理论联系实际,对我国高等教育投入产出效率问题进行了系统的研究。首先,对教育投入产出效率和数据包络分析(DEA)相关理论进行阐述,分析出DEA在高等教育领域的适用性。接着,对以往文献比较分析后,构建高等教育效率投入产出指标体系。该体系包括投入指标和产出指标两大类,投入指标包括人力资源、财力资源和物力资源；产出指标包括人才培养、科学研究和社会服务。本文指标选择注重全面性、实际应用性。然后,本文采用主成分分析法(PCA)消除指标体系中各指标之间的相关性,在此基础上,建立高等教育效率DEA评价模型。最后,对安徽省13所省属本科院校做实证研究,通过C2R和BC2两种模型,利用PCA处理的截面数据,比较了13所同质本科院校的办学效率,以了解各个院校的效率和差异,找出非DEA有效单位的改进方向,从而一定程度上促进安徽省高等教育健康有效地发展。
本文在应用DEA进行评价过程中,采用PCA对指标降维,这保证了DEA评价的科学公正性；构建DEA评价模型对安徽省高等教育效率进行评价,切实可行,证明本文研究具有一定现实意义。
Advanced Education untakes the important task of advanced specialists training, science, technology and culture developing, and modernization promoting, the extent of its development is the sign of comprehensive national strength and economic and social development. Therefore, countries all over the world expand their enrollments, which make advanced education have an unprecedented rapid development. So does Chinese advanced education. With more and more resources input and scale of advanced education expanding, our education reform has had a remarkable achievement. However, we should also be noted that the scarcity of educational resources is an objective reality. From this perspective, relying on a simple increase of investment in education is not an effective way. Oppositely, we should make full use of the existing resources, try to increase the input and output efficiency, which makes it work best for our education. This can meet the demand of the our advanced education more.
Using comprehensive knewledge, literature analysis, quantitative analysis and evidnce study, this paper gives a systematic study on the input and output efficiency of our advanced education. Firstly, this paper describes the relevant theory of input and output efficiency and data envelopment analysis (DEA), and conludes the DEA applicability in advanced education._ Next, through the comparasive analysis of past literature, it builds the input and output indicator system which includes input indicators and output indicators. Input indicators are involved in human resources, financial resources and material resources. Output indicators include personnel training, scientific research and social service. The selection of these indicators focus on allsideness and practical application. Thirdly, using principal component analysis (PCA), this paper elimilates the connections between indicators. On this basis, it estabilishes the model of advanced education efficiency DEA evaluation. Last but not least, this paper also studies 13 provincial colleges in Anhui, using cross sectional data processed by DEA under C2R and BC2 models, it compares the said 13 colleges's running efficiency in order to learn their difference and find out improvement direction of non-DEA units, which, to some extend, help advanced education development in Anhui.
During the DEA evaluation process, it reduce the dimension of the indicators by PCA, which can ensure the DEA evaluation's fairness. To evaluate Anhui advanced education efficiency by the construction of DEA evaluation model is practical, which proves this paper has practical signaficance. Author:Wang Jing Tao(management science) Supervised by:Professor Cao An Zhao
引文
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[9]Glass J C, Donal G M, Gary O R. A cost indirect evaluation of productivity change in UK universities[J]. The Journal of Productivity Analysis,1999,10(2):153-175
[10]Ng Y C, Sung K L. Measuring the research performance of Chinese higher education institutions:An application of data envelopment analysis[J].Education Economics, 2000,8(2):139-156
[11]Arcelus F J, Coleman D. An efficiency review of university departments[J]. International Journal of Systems Science,1997,28(7):721-729
[12]Beasley, John E. Comparing university departments[J].Omega International Journal of Management Science,1990,18(2):171-183
[13]Chen Tser-Yieth. A measurement of the resource utilization efficiency of university libraries[J]. International Journal of Production Economics,1997,53(1):71-80
[14]刘亚荣.我国高等学校办学效率评价分析[J].教育与经济,2001,(4):31-36
[15]谢友才,胡汉辉.我国研究生教育的效率分析[J].高等教育研究,2005,(11)：60-62
[16]陈通.西部地区高等教育投入与产出相对有效性的评价研究[J].西北农林科技大学学报,2003,(3)：104-108
[17]邵争艳.中国区域高等教育资源优化配置评价与对策研究[D].哈尔滨：哈尔滨工程大学,2006
[18]王善迈.教育投入与产出研究[M].石家庄：河北教育出版社,1996：188-192
[19]袁连生.教育投资内部效率探讨[J].教育与经济,1991,(2)：22-28
[20]厉以宁.教育经济学[M].北京：北京出版社,1984,44-46
[21]刘俊学.高等教育产出的理性思考[J].中国高教研究,2003,(2)：34-37
[22]赵晓梅,刘少雪.处理高等教育效率与公平问题的系统方法[J].复旦教育论坛,2003,(4)：51-54
[23]杨宏林.教育产出的核算方法[J].统计与决策,2004,(3)：20-21
[24]Charnes.A,Cooper W. W. and Rhode E. Measuring the efficiency of decision making units[J].European Journal of Operational Research,1978,6(2):429-444
[25]魏权龄.评价相对有效性的DEA方法[M].北京：中国人民大学出版社,1988：22-24
[26]Farrell M. J.The measurement of production efficiency[J].J.Roy.Sat.Soc. Series A,1957,120:253-281
[27]Charnes A,Cooper W. W,Seiford L.M.Invariant multiplicative efficiency and piecewise Cobb-Douglas envelopment[J].Operations Research Letters,1993,2(3):38-49
[28]岳明.用DEA方法确定生产函数[J].数学的实践与认识,1990(4)：38-46
[29]肖渡,胡汉辉,朱卓宇.DEA模型的不变性研究[J].系统工程理论方法应用,1995(4)：45-48
[30]李纪选.用DEA方法确定生产函数的一点注记及决策单元DEA有效的条件[J].应用基础与工程科学学报,1996(3)：241-247
[31]马占新,唐焕文.关于DEA有效性在数据变换下的不变性[J].系统工程学报,1999(2)：40-45
[32]Charnes A.Sensitivity and Stability Analysis in DEA[J].Annals of OR,1985 (2): 139-156
[33]Charnes A,Neralic L.Sensitivity Analysis of the Additive Model in DEA[J].European Journal of Operational Research,1990,48(7):332-341
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