基于绩效的资源分配方法中的委托代理问题研究

applications where the performance based resource allocation techniques can be found are wide-spread. Recently, data envelopment analysis (DEA)as a nonparametric performance evaluation technique, has been extended to solve resource allocation,and gained attention from both the academia and the industry. As is well-known, the researches on the effectiveness and efficiency of market mechanism become the foundation of microeconomics. By analogy, if we expect the DEA based resource allocation technique to be well received by practitioners, it should go through intensive empirical and theoretical examinations. The current study serves as one step in this direction. We draw on the principal-agent paradigm and study the DEA based resource allocation techniques from both an incentive and coordination's perspective. Furthermore, under the setting of information asymmetry, we characterize the features of DEA based resource allocation techniques by efficiency, equity and so on. The tough points of this study are twofold: firstly, it should confront information asymmetry and strategic action; secondly, it has complicated initial conditions and interactive patterns. The application value of this study lies in the incentive mechanism design,innovation of regulation institution, allocation of public resources and pricing of public goods and services. Resource allocation is closely related to the performance evaluation. Performance evaluation requires statistical foundation and resource allocation can not dispense with economic theory. Judging from this connection, the value of this study also lies in developing the statistical and economic foundation of DEA.

基于绩效的资源分配方法有广泛的应用。近年来，数据包络分析（DEA）作为一种非参数绩效评价方法在资源分配中的应用引起学术界和企业界的关注。市场机制的有效性研究形成微观经济理论体系。同样地，以DEA方法为基础的资源分配方法在实践中的推广需要通过经验和理论研究的充分检验。本课题的研究属于有效性研究范畴。课题在非对称信息背景下，以委托代理模型为架构，对以DEA为核心的基于绩效的资源分配理论的有效性从激励与协调双重角度切入研究，以资源分配特征（效率和公平等）为衡量准则展开分析。课题难点在于考虑非对称信息和策略行动的情境；课题复杂性在于模型针对复杂的初始条件和多样的参与者交互方式。课题研究的应用价值表现在激励机制设计和监管方式创新、公共产品定价和公共资源分配等方面。资源分配与绩效评价理论密不可分。绩效评价理论需要统计基础、资源分配离不开经济理论，课题的研究意义也在于发展DEA理论的经济和统计基础。

项目研究基于DEA的资源分配中的委托代理问题；本质上，项目研究行为和数据噪音因素对DEA方法应用于资源分配的影响。项目按照计划进行，已经完成了预定的论文发表目标。围绕着资源分配和评价过程中的行为问题，项目开展研究分为四个部分：1. 竞争环境下存在双性变量的生产系统评价问题及其在供应商的选择的应用；2. 以并联生产系统为背景研究内部资源分配状态、效率与规模收益等特征评价问题；3. 以共享投入为背景的内部资源分配行为问题分析及其建模；4. 以整体和个体行为目标差异所产生的激励问题为对象探讨最佳的资源分配方法，并应用于碳排权的分配决策。项目预计完成论文6到8篇，实际发表的标注基金号的成果9篇，其中SCI/SSCI期刊发表论文5篇，外文专著章节1篇，国内核心中文期刊论文3篇。具体情况如下：1篇论文发表在Journal of Productivity Analysis (SSCI), 两篇发表在Journal of the Operational Research Society (SCI/SSCI), 1篇发表在OMEGA-The International Journal of Management Science(SCI/SSCI)，1篇发表在Journal of Systems Engineering and Electronics(SCI)；1篇专著章节发表在Springer出版的International Series in Operations Research & Management Science系列中的Handbook of Operations Analytics Using Data Envelopment Analysis；中文期刊分别为系统管理学报（1篇）、系统工程（2篇）。项目的研究加深了对基于DEA方法进行资源分配的模型的理解，有助于推进DEA方法的进一步应用。