随着我国高等教育逐步迈向内涵式发展、新公共管理主义思想对教育问责的日益加剧以及普及化高等教育时代来临对提高资源利用效率的迫切要求，高等教育中的效率问题日益凸显。尤其对于投入与产出都需要消耗大量资源的研究型大学而言，效率问题更是值得关注。那么，我国研究型大学的科研效率状况究竟如何？哪些重要因素会对其产生影响？对于这两个问题的深入研究，有助于我们从理论与实践两个层面加深对高校科研效率的理解与认识。基于此，本研究将对我国研究型大学在2008年-2017年10年间的科研效率进行深入分析，并进一步探究影响科研效率大小的因素以及路径。首先，本研究将基于Farrell的生产效率理论、教育生产函数理论、规模经济与范围经济理论以及X效率理论，构建我国研究型大学科研效率的分析框架。然后，综合运用SBM-超效率DEA模型、Global-Mamlquist-DEA模型、多元线性回归模型以及质性访谈等多种方法，对我国研究型大学的科研效率状况、影响因素以及影响机制展开实证分析。最后，根据实证分析的结果，为我国高校科研效率的提升与改善提出政策建议。研究结果表明：（1）中国研究型大学科研效率水平整体欠佳。但在近十年的发展中有显著改善，科研效率的变化与高校科研的发展战略、学科特色、资源投入规模以及相关管理制度密切相关。（2）范围效应和规模效应与高校科研效率之间都呈倒U型曲线关系。这表明：只有适度的规模效应和范围效应才能使科研效率达到最佳，而只有当高校科学研究的规模扩张和学科结构达到良性互动之时，科研效率的提升才会更加明显。（3）针对科研成果进行金钱奖励在研究型大学是一个普遍现象，但目前这种奖励制度并不能促进科研效率的提升，反而还有降低效率的倾向。基于研究发现，为提高研究型大学科研效率，本研究提出四条政策建议。一是加强高校分类体系的顶层设计，引导高校特色发展；二是鼓励高校优化结构，形成 “一大一小”科研组织方式；三是凸显服务贡献，加强对建设高校科学研究的方向引导；四是优化科研评价办法，引导高校树立正确的科研导向。
The “efficiency” issue in higher education is getting more and more attention in last 10 years in China,as the transition from the outward-oriented growth to inward-oriented development among universities and colleges,under the background of intensified educational accountability due to the “New Public Management Movement” and in the context of emergent requests on efficient resource allocation and utilization in the new era of “popularized higher education”.Especially,for those resource-consuming research universities,the problem of research inefficiency is very critical.What is the current situation of research efficiency on China’s universities?What are those determinants influencing the research efficiency?To solve those 2 questions helps us to make a better understanding of research efficiency on universities theoretically and practically.This dissertation is focused on research efficiency on 71 Chinese research universities during the period of 2008-2017. Moreover, the factors and the mechanism influencing research efficiency are to be identified.First of all, 4 theories are combined together to form a unified analytical framework for research efficiency analysis:production efficiency theory,education production function,the theory of economics of scale/scope and X-efficiency theory.After that,the research efficiency,its determinants and influencing mechanism of 71 universities are studied and revealed by SBM-Super DEA model,Global-Malmquist DEA model,multiple regression model and qualitative interviews.Finally,based on conclusions,suggestions are proposed to improve the research efficiency of 71 Chinese research universities.The main results are as follows:(1)The overall research efficiency on 71 Chinese research universities is unsatisfied while a dramatic growth occurred during 2008-2017.The promotion of research efficiency is closely related to the characteristics of research orientation,the developmental strategy and academic regulation institutions.(2)The relationship between scale/scope effect and research efficiency is not linear but an inverted “U”curve.It means that only an appropriate scale and scope of research activities contributes to the optimal research efficiency.A positive interaction between scale effect and scope effect conduces to significant efficiency upgrading.(3) Financial incentives system is widely spread among 71 universities.However,they don’t make any sense to research efficiency growth.Rather,they undermine the research efficiency in some cases.To improve the research efficiency, it is suggested that: (1)Implementing a top-level plan guiding to featured developments for universities(2)Optimizing academic structure and establishing new forms of scientific organizations in “One Big with One little” way in research universities.(3)Emphasizing on the contribution of scientific research to the society and strengthening instruction on academic orientation of universities(4)Re-designing research evaluation and incentives systems to nurture a high-quality academic environment.
