IV 摘要 近年来，随着高校扩招的持续进行，高校教育由精英化教育逐渐转变为大众化教 育，高校办学规模不断扩大，给统一管理带来了诸多问题，高效运行效率持续降低。 相较于高校事业发展对资源的迫切需求，国家对高校逐年递增的财政投入也捉襟见肘， 这就需要高校对有限的资源进行合理分配和高效率地利用，以此提高高校的运行效率 和办学效益。高校二级学院作为一个多项输入和多项输出的独立单元，从资源利用率 着手对其进行效率评价分析，可以在一定程度上反映高校整体的运行效率，因此，需 构建一套兼具科学性和实用性的二级学院绩效评价体系，对其投入产出绩效进行量化 分析。 本文引入S高校作为实例，从各二级学院投入产出的角度出发，选取适当的投入 产出指标，建立适合S高校二级学院的绩效评价体系，运用DEA模型计算各二级学院 的超效率、纯技术效率、规模效率，以此对S高校二级学院绩效进行考评分析。 关键词：数据包络分析；绩效评价；高等学校 论文类型：专题研究 西南科技大学硕士学位论文 V ABSTRACT In recent years, with the continuous expansion of college enrollment, college education has gradually changed from elite education to mass education, and the scale of colleges and universities has been continuously expanded, bringing many problems to the unified management, and the efficient operation efficiency has been continuously reduced. Compared with the urgent demand for resources for the development of university undertakings, the state's increasing financial input to universities is also insufficient, which requires the universities to allocate the limited resources reasonably and use them efficiently, so as to improve the operational efficiency and school-running efficiency of universities. College secondary school as a multiple input and multiple output independent units, start from resource utilization efficiency evaluation analysis, can to a certain extent, reflects the overall operation efficiency, therefore, need to build a set of both scientific and practical evaluation system for secondary school, a quantitative analysis of the input and output performance. This paper introduce S university as example, from the perspective of the secondary school of input and output, select the appropriate input and output indicators, establish suitable for S university performance evaluation system of the secondary schools, secondary school is calculated by applying DEA model of super efficiency, pure technical efficiency and scale efficiency, in order to S university secondary school performance appraisal analysis. KEY WORDS: Data envelopment analysis; Performance evaluation; Institutions of higher learning TYPE OF THESIS: Thematic Research 西南科技大学硕士学位论文 VI 目 录 1 绪论 ...................................................................................................................................... 1 1.1 研究背景与意义 ........................................................................................................... 1 1.1.1 研究背景 ................................................................................................................ 1 1.1.2 实际意义 ................................................................................................................ 1 1.2 国内外研究现状 ........................................................................................................... 2 1.2.1 国外研究现状 ........................................................................................................ 2 1.2.2 国内研究现状 ........................................................................................................ 3 1.2.3 对国内外研究现状的评述 .................................................................................... 4 1.3 研究内容与研究方法 ................................................................................................... 5 1.3.1 研究内容 ................................................................................................................ 5 1.3.2 研究方法 ................................................................................................................ 6 1.4 本文的创新点 ............................................................................................................... 7 2 相关概念及理论基础 .......................................................................................................... 8 2.1 相关概念 ....................................................................................................................... 8 2.1.1 高等学校 ................................................................................................................ 8 2.1.2 二级学院 ................................................................................................................ 8 2.1.3 绩效 ........................................................................................................................ 9 2.1.4 绩效评价 ................................................................................................................ 9 2.2 理论基础 ..................................................................................................................... 10 2.2.1 绩效管理理论 ...................................................................................................... 10 2.2.2 平衡记分卡理论 .................................................................................................. 10 2.2.3 关键绩效指标基本理论 ...................................................................................... 11 2.2.4 投入产出理论 ...................................................................................................... 11 3 高校二级学院绩效评价指标体系的构建 ........................................................................ 12 3.1 指标的设计原则 ......................................................................................................... 12 3.2 绩效评价指标体系构建 ............................................................................................. 13 3.2.1 现有高校二级学院绩效评价指标总结 .............................................................. 13 3.2.2 S高校二级学院绩效评价体系的指标选择 ........................................................ 14 3.2.3 样本选取 .............................................................................................................. 17 3.2.4 S高校二级学院绩效评价体系指标优化 ............................................................ 18 4 基于DEA的S高校二级学院绩效分析 ......................................................................... 20 4.1 DEA模型 ..................................................................................................................... 20 4.1.1 数据包络分析法（DEA，Data Envelopment Analysis） ................................. 20 目 录 VII 4.1.2 DEA模型的发展过程 .......................................................................................... 20 4.1.3 DEA模型介绍 ...................................................................................................... 20 4.1.4 DEA模型有效性判定 .......................................................................................... 22 4.1.5 DEA优缺点分析 .................................................................................................. 23 4.1.6 DEA在高校二级学院绩效评价体系中的适用性 .............................................. 23 4.2 效率分析 ..................................................................................................................... 24 4.2.1 DEA有效的二级学院绩效结果分析 .................................................................. 24 4.2.2 非DEA有效的二级学院绩效结果分析 ............................................................ 26 4.3 松弛变量及优化 ......................................................................................................... 27 5 高校二级学院绩效评价建议 ............................................................................................ 29 5.1 控制二级学院运行规模，提高资源利用率 ............................................................. 29 5.2 教学工作和科研工作两手抓 ..............................