Evaluation on University Research Efficiency and Productivity: Concept, Methodology, and Literature Review
Higher Education Institutions (HEIs) play a key role in Chinese science and technology innovation system, and hold an increasingly prominent position and significance in national research system.
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Evaluation on University Research Efficiency and Productivity: Concept, Methodology, and Literature Review
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Introduction
Higher Education Institutions (HEIs) play a key role in Chinese science and technology innovation system, and hold an increasingly prominent position and significance in national research system. According to “China Statistical Yearbook on Science and Technology (National Bureau of Statistics, 2011)”, the researchers in HEIs, accounting for 11.3% of this nation’s total R&D staff population, utilized 8.5% of the total R&D budgetary funds, undertook 62.2% of total basic research activities, submitted 21.6% of the total patent applications, obtained 28.8% of total licensed patents, and published 64.6% of total academic articles. Guided by the strategies of “fostering the country with science and education” and “building up innovation country”, Chinese government highly emphasizes research productions in higher education sector, and invests massive funds to facilitate universities to achieve great-leap-forward development. From 2000 to 2009, Chinese universities’ R&D expenditures grew from 7.67 billion RMB to 46.82 billion RMB, accounting for 8.1% of total R&D expenditures across the country. Inside the total expenditures, there was 14.56 billion RMB for basic research, accounting for 53.4% of total basic research budget nationwide.1 At the same time, several national major projects were launched, such as “211 Project” and “985 Project”, to make every effort to build a group of first-class disciplines, programs and world-class universities, in order to substantially raise the comprehensive research strength of Chinese higher education. The “211 Project” has been implemented for fifteen years, which significantly improves the research facilities in universities, and enhances universities’ ability to serve the country’s urgent research needs, and also raises the research level in Chinese universities. With the large increase of research input and output in universities, issues related to quality of university research output and efficiency of university research become 1
Data collected from website of Ministry of Science and Technology, P.R.China (available at http://www.most.gov.cn/kjtj/2011-12-10).
© Springer Nature Singapore Pte Ltd. 2017 Y. Hu et al., Evaluating Research Efficiency of Chinese Universities, New Frontiers of Educational Research, DOI 10.1007/978-981-10-4030-6_2
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the focus of the society’s concerns. Recently, some problems such as mismanagement of research funds, serious waste of research resources, coexistence of low effectiveness and efficiency, are all becoming extremely concerned by all aspects of society (Ding and Zeng 2015; Zhang et al. 2016), which poses greater and stronger request for universities to optimize internal resource allocation and maximize the utilization of research resources. Besides, from the view of practices in evaluating university research, most of the evaluation methods are output-or
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