Evaluating the Efficiency of Scientific Research in Higher Educational Institutions: Based on the Lagged Non-radial Super-efficiency DEA Model

Abstract

Abstract:

Data envelopment analysis (DEA) is the most significant method in evaluating the efficiency of scientific research in higher educational institutions. However, the existing models based on DEA fail to simultaneously consider three characteristics of scientific re-search system, i.e., the input-output lagging of scientific research, the ranking of evaluation results and the evaluators' preferences. To make up for this lack of the existing researches, we propose a combined evaluation model-lagged non-radial super-efficiency DEA model. This model integrates the Almon polynomial, the non-radial DEA and the super efficiency DEA, using the Almon polynomial to simulate the process of input-output lagging of scientific research and depending on the non-radial super-efficiency DEA to meet the high-efficiency evaluation discrimination and preference requirements. Finally, an application example is conducted based on thirty-six "985 program" universities, using multi-channels to collect data and comparative methods to verify the feasibility and effectiveness of the model. The re-sults show that:lagged non-radial super-efficiency DEA owning a good discrimination could rank all evaluation objects and its evaluating result is more accurate than the standard and non-radial super-efficiency DEA and better indicative of the lag effect of the input and out-put of scientific research. This conclusion contributes significantly to the existing scientific management theory and DEA theory, and can be used to guide the development of universities and make appropriate management policies.

Key words: DEA, efficiency of scientific research, non-radial, super-efficiency, input-output lagging

Ni Yuan. Evaluating the Efficiency of Scientific Research in Higher Educational Institutions: Based on the Lagged Non-radial Super-efficiency DEA Model[J]. , 2016, 28(11): 85-94.

References

[1] 王晓红,陈浩.1999-2006年我国各省市高校科研效率的实证研究——基于科技成果指标变化的对比分析[J]. 科研管理, 2011,32(4):94-101
[2] 王冬梅.基于PCA-BCC的某高校基金科研效率评价[J]. 科研管理, 2011,32(4):102-105
[3] 张运华,郭海娜.基于DEA的高校科研绩效交叉评价研究[J]. 科技管理研究, 2012,32(13):75-77
[4] 陈浩,王晓红,张宝生.基于视窗分析模型的我国高校科研效率评价[J]. 科研管理, 2013,35(7):101-111
[5] 陈立泰,梁超,饶伟.国际科技交流、校企合作与高校科研效率——基于随机前沿超越对数生产函数分析[J]. 软科学, 2012,26(10):10-14
[6] Ahn T., Charnes A., Cooper W. W. Some Statistical and DEA Evaluations of Relative Efficiencies of Public and Private Institu-tions of Higher Learning[J]. Socio-Economic Planning Sciences, 1988,22(6):259-269
[7] Breu T. M., Raab R. L. Efficiency and Perceived Quality of The Nation's "Top 25" National Universities and National Liberal Arts Colleges:An Application of Data Envelopment Analysis to Higher Education[J]. Socio-Economic Planning Sciences, 1994, 28(1):33-45
[8] Johnes J. Operational Research in Education[J]. European Journal of Operational Research, 2015,243(3):683-696
[9] Johnes J. Measuring Teaching Efficiency In Higher Education:An Application of Data Envelopment Analysis to Economics Gradu-ates From UK Universities 1993[J]. European Journal of Operational Research, 2006,174(1):443-456
[10] 侯启娉.基于DEA的研究型高校科研绩效评价应用研究[J]. 研究与发展管理, 2005,17(1):118-124
[11] 戚湧,李千目,王艳.一种基于DEA的高校科研绩效评价方法[J]. 科学学与科学技术管理, 2008,29(12):178-181
[12] 陈洪转,羊震,刘思峰,等.基于滞后DEA的我国高校科研经费使用效率评价[J]. 管理评论, 2011,23(8):72-77
[13] 金怀玉,菅利荣.考虑滞后效应的我国区域科技创新效率及影响因素分析[J]. 系统工程, 2013,31(9):98-106
[14] 林卓玲,辜雪钿.基于滞后效应的高校科技创新效率研究[J]. 长春理工大学学报(社会科学版), 2015,28(1):90-96
[15] Lotfi F. H., Noora A. A., Jahanshahloo G. R., et al. One DEA Ranking Method Based on Applying Aggregate Units[J]. Expert Systems with Applications, 2011,38(10):13468-13471
[16] Lim S., Oh K. W., Zhu J. Use of DEA Cross-Efficiency Evaluation in Portfolio Selection:An Application to Korean Stock Market[J]. European Journal of Operational Research, 2014,236(1):361-368
[17] Lim S., Zhu J. DEA Cross-Efficiency Evaluation Under Variable Returns to Scale[J]. Journal of the Operational Research Socie-ty, 2014,66(3):476-487
[18] Chen C. M. Super Efficiencies or Super Inefficiencies? Insights from A Joint Computation Model for Slacks-based Measures in DEA[J]. European Journal of Operational Research, 2013,226(2):258-267
[19] Lee H. S., Zhu J. Super-Efficiency Infeasibility and Zero Data in DEA[J]. European Journal of Operational Research, 2012,216(2):429-433
[20] 周忠宝,孙亮,刘德彬.存在保证域的模糊非径向偏好DEA模型——基于中科院24个研究所的实证分析[J]. 中国管理科学, 2014,22(2):75-84
[21] Wu J., Chu J., Sun J., et al. DEA Cross-Efficiency Evaluation Based on Pareto Improvement[J]. European Journal of Operation-al Research, 2016,248(2):571-579
[22] Krivonozhko V. E., Førsund F. R., Lychev A. V. Measurement of Returns to Scale Using Non-Radial DEA Models[J]. European Journal of Operational Research, 2014,232(3):664-670
[23] 赵宇哲,周晶淼,匡海波.欧盟ETS下航空运输企业的能源效率评价研究——基于时间窗的非径向DEA模型[J]. 管理评论, 2015,27(5):38-47
[24] Cooper W. W., Park K. S., Pastor J. T. RAM:A Range Adjusted Measure of Inefficiency for Use With Additive Models, and Relations to Other Models and Measures in DEA[J]. Journal of Productivity Analysis, 1999,11(1):5-42
[25] Tone K. A Slacks-Based Measure of Efficiency in Data Envelopment Analysis[J]. European Journal of Operational Research, 2001,130(3):498-509
[26] Zhu J. Data Envelopment Analysis With Preference Structure[J]. Journal of the Operational Research Society, 1996,47(1):136-150
[27] 俞立平,熊德平,武夷山.中国地区科技效率的组合测度研究[J]. 科学学研究, 2011,29(8):1141-1146
[28] 孙立成,周德群,李群.基于非径向超效率DEA聚类模型的FEEEP系统协调发展[J]. 系统工程理论与实践, 2009,29(7):139-146
[29] 郭海娜.教育部直属高校科研效率评价研究[D]. 江苏科技大学博士学位论文, 2012
[30] 程志超,李翠.广义虚拟经济视角下企业网络能力测评体系研究[J]. 广义虚拟经济研究, 2014,5(2):20-26
[31] 倪渊,林健.中层管理者胜任力组合评价模型及实证研究[J]. 系统工程, 2012,30(1):1-7
[32] 陈召魁.高校R&D投入产出滞后性与相对效率评价研究[D]. 天津大学博士学位论文, 2011
[33] 姜彤彤."985工程"高校科研全要素生产率测算及分析[J]. 中国高教研究, 2013,29(4):38-43
[34] 汪锦,孙玉涛,刘凤朝,等.面向校企合作的中国"985"高校科技发展模式研究[J]. 中国软科学, 2013,28(6):53-61
[35] 教育部学位与研究生教育发展中心.2012年学科评估指标体系[EB/OL]. http://www.cdgdc.edu.cn/xwyyjsjyxx/xxsbdxz/277134.shtml, 2013
[36] 姜彤彤. "985"高校科研效率测算及区域差异对比[J]. 高等工程教育研究, 2014,34(4):35-40
[37] 陈琼娣.教育部直属985工程院校科研效率的实证分析[J]. 科技进步与对策, 2010,33(8):145-148
[38] 赵晓阳,刘金兰.基于DEA和Malmquist指数的985高校科研投入产出效率评价研究[J]. 电子科技大学学报(社会科学版), 2013,18(3):94-100
[39] 陈浩,王晓红,张宝生.基于视窗分析模型的我国高校科研效率评价[J]. 科研管理, 2013,35(7):101-111
[40] 乔联宝.基于联合DEA模型的"985"高校科研-教学综合效率评价[J]. 科研管理, 2015,37(1):210-215
[41] 朱建育,赵红军,方曦.基于面板数据模型的上海高校科研绩效评价的实证研究[J]. 研究与发展管理, 2013,25(2):115-119