【作者】 董洁；

【导师】 贾永堂；

【作者基本信息】 华中科技大学 ， 高等教育领导与管理， 2017， 博士

【摘要】 随着创新型国家建设的不断发展,科学技术已渗透到我国经济发展、社会进步和人类生活的各个方面,成为生产力最活跃的因素和国家发展的强劲推动力。高等学校作为培养高等人才的摇篮,是传播和创新知识的基地,创新型国家建设需要依托高等学校这个重要的知识储备基地、人才培养基地、科技产出基地,作为其持续创新、持续发展的支撑。随着高校对科学研究的持续投入,科研成果蔚然可观,已成为国家科技创新的中坚力量。高校的科学研究,其人力与科研经费等投入在不断增加,刺激科研发展的鼓励政策也不断出台,但各个学院科研产出的数量与水平却差异较大。如何透过高校科研投入与产出的表象去评价科研投入产出的绩效水平,如何有效利用科研资源以在资源整体有限的情况下争取最大的产出,已成为高校普遍关注的问题。与此同时,如何从院校研究的角度,立足于所在高校的科研运行状况和影响因素,对科研绩效进行自我评估,进而能对学校科研管理提出有针对性的建议,也是高校科研管理中值得研究的课题。本文从院校研究的角度,立足于所在高校的科研运行状况和影响因素,采用DEA+Malmquist指数分析+标杆管理的组合方法对学校科研绩效进行静态与动态评价,发现并树立标杆学院,且对学校及其内部二级学院的科研管理提出有针对性的措施与建议。首先,本文对地方本科院校、高校科研的投入产出、科研绩效、数据包络分析的内涵与特性进行了界定。然后,选取J大学的科研绩效数据并以J大学为范本,演示了具体的高校科研绩效静态评价的整体过程。论文结合学校科研实际以及科研绩效指标的涵盖面与表征性,分别面向自然科学研究、人文社科研究设计了相应的绩效评价指标体系,该两类指标体系的设计,既考虑科研评价的共性特征,又兼顾学科的个性差异。在具体分析过程中,论文对J大学各二级学院科研绩效状态进行了解析,给出了相关的结论,并在基准年及其前后年度结果数据比较分析的基础上,结合各单一绩效指标的比对研判与解读,对年度科研绩效的质量给出了基本结论,且面向问题突出的学院进行了原因解析。第三,本文基于Malmquist指数分析方法,进一步进行了高校科研绩效的动态评价。论文对J大学2011-2015年度科学研究全要素生产率及其解析结构的实际状况进行了分析,分前后年度对其全要素生产率状况进行比较分析,从科研组织管理水平、技术进步水平、科研技术状态、科研投入规模报酬等方面进行原因分析,且面向二级学院,对其整体科研状态进行进一步的分析,以挖掘内在的影响因素。最后,论文基于标杆管理和DEA进行了相关的标杆树立与标杆追随研究。论文根据前叙的分析初步选择了标杆学院,并对所做的选择,根据投入数据变动检验、投入指标变动检验、产出指标变动检验的结果,对所选择的学院进行了进一步的验证确立,在此基础上,进行标杆学院追随研究,分析了标杆学院的特点与实际状况,结合学校实际情况提出相应的科研管理改进措施与建议。本文通过研究,获得了一系列有价值的线索与信息。发现J大学各学院的科研绩效状态和演变趋势,对相关结论进行了归因分析,透过表面的状态数据找到了内在的问题症结,达到了分析研究的目的,对具体的高校科研绩效评价与管理提供了一个可执行的范例。更多还原

【Abstract】 With the continuous development of innovative national construction,science and technology has penetrated into China’s economic development,social progress,and all aspects of human life,and become the most active factor of productivity and the strong driving force of national development.As the cradle of cultivating higher talents,institutions of higher learning are the bases for disseminating and innovating knowledge,and provide the solid knowledge base,talent resources and scientific and technological support for the construction of innovative country.For the scientific research in colleges and universities,its scientific research funds and manpower are growing,and its encourage policy to stimulate scientific research has been issued,but the number and level of the college scientific research output are varied.How to evaluate scientific research input and output performance covered up by its appearance ? How to effectively use the scientific research resources under the situation of limited resources to get the largest output?All of these has become a hot topic in colleges and universities.In addition,from the perspective of institutional research,how to assess scientific research performance based on the running status and influence factors of scientific research in colleges and universities,and then to suggest for school scientific research management?It is also worth studying in the scientific research management in universities.In this paper,from the perspective of institutional research,the static performance evaluation and the dynamic performance evaluation all have given using the combination method of DEA,Malmquist index analysis and Benchmarking based on the running status and influence factors of university’s scientific research.Benchmarking colleges are also found and established.Some targeted measures and suggestions are put forward to improve the scientific research management of the university and its secondary colleges.First of all,this paper defines the connotation and characteristics of local college,input-output of university scientific research,scientific research performance and data envelopment analysis.Furtherly,this paper selects scientific research performance data of J university as the model,and demonstrates the overall process of static evaluation of scientific research performance.This paper combins the actual condition of university scientific research and the coverage and certificativity of scientific research performance index,and then gives a natural science-oriented performance evaluation index system and that of humanistic and social science.The common characteristics of scientific research evaluation and the individual differences between the two subjects are both considered in the designing of the two kinds of index system.In the analysis process,this paper analyzes the research performance status of J university’s secondary colleges,gives the relevant conclusions.It furtherly analyzes the result data of the base year and the year before and after,interprets all of the single performance index comparably,gives the basic conclusion about the quality of the annual performance,and then dissects colleges that have some obvious problems.Thirdly,based on the Malmquist index analysis method,this paper gives a dynamic evaluation of university scientific research performance,analyzes the actual condition of total factor productivity of J university’s scientific research and its analytic structure in 2011-2015,analyes the annual total factor productivity condition comparably,finds the reason from the level of scientific research organization management,technological progress level,research and technology status,such as the investment scale reward,and then explores inner factors by analyzing the scientific research condition of secondary colleges.Finally,this paper discusses how to set up and follow a benchmarking based on Benchmarking and DEA.Benchmarking colleges are preliminary chosed according to the above analysis,and than validated according to the test of input data changes,such as that of input index changes and that of output index changes.On this basis,the benchmarking college follow study is given,the characteristics and actual situation of benchmarking colleges is analyzed,and some corresponding scientific research management measures and suggestions for improvement are put forward by combinating with the practical situation of the university.This paper obtains a series of valuable clues and information,finds scientific research performance status and evolution trend about the colleges of J university,carries on the attribution analysis to the related conclusion,finds the inner crux of the problem,achieves the goal of the analysis and research,and provides an example for the evaluation and management of scientific research performance.更多还原