“双一流”建设高校科研效率及其变化——基于超效率和Malmquist指数分解

The research efficiency of “Double First-Class” universities and its changes:Based on super-efficiency DEA and Malmquist index decomposition

科学合理地评估高校科研效率,并据此优化高校科研资源配置,进而提高科研效率,是落实“双一流”建设方案“绩效评价、动态支持”要求的重要路径。选取教育部直属“双一流”建设高校,构建突出科研质量和贡献度的指标体系,使用超效率BCC模型和Malmquist模型方法,分析2010-2015年间高校的科研效率及其变动。研究发现:样本科研效率整体偏低,科研效率虽有提高但速度缓慢,导致科研效率提高的主要因素是科研管理效率提升和规模效率增加,但规模效应趋于衰减。中西部地区高校由于经费投入不稳定,科研效率波动较大,大理类高校科研效率持续降低。未来应主要通过提高科研管理水平和创新科研生产技术来提高科研效率,摆脱对要素投入驱动的过度依赖;同时加强对中西部高校稳定持续的经费投入,改进经费与人力资源的匹配度,优化大理类高校的学科结构。

It is an important path to implement the performance based funding requirement of the“Double First-Class”policy by assessing the efficiency of research of universities,optimizing the allocation of research resources and improving its efficiency.This article selects the“Double First-Class”universities that directly under the Ministry of Education as a sample to assess the research efficiency and its changes of universities during 2010-2015.An indicator system which highlights the quality and contribution of scientific research is utilized,and DEA-BCC model and the Malmquist index are employed.The results show that:the overall research efficiency of these universities was low,slowly improving during the period,which was mainly enhanced by the increase in management efficiency and scale efficiency;however,the scale effect was decreasing.The research efficiency of universities in the central and western regions fluctuated significantly due to the unstable research funding,and the research efficiency of universities specialized in science and engineering(S&E)continued to decrease.In the future,it should depend more on the improvement of research management and technology innovation to increase research efficiency and get rid of the heavy dependence on the factor-driven model.Moreover,it should stabilize the investment and better the match between funds and human resources of the universities in the central and western regions,and optimize the disciplinary structure of the S&E universities.