高校科研效率评价的国际比较及中国政策改进——基于37个国家2005—2018年的面板数据分析

The International Comparison of the Evaluation of Scientific Research Efficiency in Universities and the Improvement of Chinese Policies——Based on panel data analysis of 37 countries from 2005 to 2018

高校科研效率是高质量科学研究的重要标志,对于全球主要国家高校科研效率的比较有助于找到差距并进行有针对性的政策改进。本文基于37个国家2005—2018年的数据,引入引用数、自引数和H指数作为影响变量,利用DEA中CCR和Malmquist模型,从动态、静态两方面对其科研效率进行实证研究。结果显示各国科研效率表现有一定差异,呈现缓慢上升趋势,且发达国家上升速度更快;中国在2018年才出现资本投入冗余状况。建议将国家财政科学技术支出增长率控制在8%-11%之间,强调在年轻和资深研究人员之间资金平衡分配,鼓励工业研究人员进入高校学术团队,并对出版物进行分数计量。

The efficiency of scientific research in universities is an important indicator of high-quality scientific research. Its comparison in major countries around the world helps to find gaps and carry out targeted policy improvements. Based on the data of 37 countries from 2005 to 2018, the number of citations, self-indicated numbers and H index were introduced as influencing variables, and the CCR and Malmquist models in DEA were used to conduct empirical research on its scientific research efficiency from both dynamic and static aspects. The results show some differences in the performance of research efficiency among countries. The overall level shows a slow upward trend, with a faster rise in developed countries;compared with 36 other countries, China only experienced capital investment redundancy in 2018. It is recommended that the growth rate of national fiscal science and technology expenditures should be controlled between 8% and 11%, a balanced allocation of funds between young and senior researchers should be emphasized, industrial researchers should be encouraged to enter the academic teams of universities, and fractional measurement of publications should be made.