Scientific Research Evaluation Of Universities In China Based On DEA Window Analysis Model With An Optimal Window Length

Colleges and universities are important forces in scientific research activitiesof China, and especially occupy an important position in basic research activities.The government of China always pays attention to the scientific research andinnovation activities of universities. As a developing country, in the background ofconstructing some top-level universities in the world at home, and especially in theurgent situation of establishing Chinese Science and Technology Innovative System,how to make the best use of our limited scientific research resources in order toenhance our universities’ academic competitiveness in the world, and to constructsome world class universities, it is particularly important and pressing to evaluateour universities’ scientific research efficiencies in a scientific and reasonable way.There are many methods in scientific research evaluation. Considering thecharacteristics of multi-input and multi-output (MIMO) in universities’ scientificresearch activities, and the obvious advantages that Data Envelopment Analysis(DEA) occupies to solve comprehensive evaluation problems with MIMO, somescholars used DEA to evaluate universities’ efficiencies. But one question is ignoredin existed studies such as most of these studies used conventional DEA models, thatsuppose inputs and outputs happen in the same period, for example someuniversities put inputs and gain the outputs in the same year, which does not inaccord with the reality. The inputs and outputs of scientific research in universitiesdistribute in many periods, for example scientific research funds are allocated touniversities in several years, and scientific research outputs are published in manyyears according to the scientific research phases. Moreover, some researches inreality need to study decision making units (DMU) in many periods, based on whichto have a panel data analys is to study the fluctuation and changes in DMUs’efficiencies. Some scholars used DEA window analysis (WA) model to have adynamic research. Many questions existed in the dynamic analysis process byapplying DEA WA model. There are bigger deviations in the results which obtainedbased on different window length that scholars choose subjectively. In considerationof these deviations, how to determine an optimal window length to make minimumthese deviations is a question. Last but not the least, time lags that existed inscientific research inputs and different outputs have an obvious effect on WA results, which are ignored in existing studies. These questions above-mentioned introducethe problems of this dissertation.Because the scientific research evaluation indexes in existing studies arescattered and choose subjective ly that cannot contain scientific research activities inuniversities completely, which have some one-sidedness to some extent. So, basedon introduce DEA research status at home and aboard in chapter1, this dissertationat first set up the scientific research effic iencies evaluation index system ofuniversities in China based on building standards and steps in chapter2, then useWindow Analysis to study the dynamic scientific research efficiencies ofuniversities of China during2003-2007,2003-2008and2003-2009in chapter3.The analys is results are compared between different window lengths. Based on thein-depth studies on the importance of the determination of window length inchapter4, this dissertation at first study the determining process in theory,determine an optima l window length, and then set up a WA model which have theoptimal window length to have a dynamic study on scientific research efficienciesof universities in China. Considering the time lag between scientific research inputsand outputs of universities in chapter5, the influence that time lag have onscientific research efficiencies are studied based on the WA model with an optimalwindow length quantitatively.The results show that technical efficiency (TE) and pure technical efficiency(PE) at universities in different provinces of China are decrease and scale efficiency(SE) is varied irregularly with the increase of window lengths. Scientific researchefficiencies are sensitive to the change of window length in different years. Whilewindow length changes, the changing trend of scientific research efficienciesstudied by scholars in a long time will change radically. There are great variancesbetween the results based on the Window Analysis model with a optimal windowlength and based on conventional DEA models, that further prove it is necessary toset up the Window Analysis model with a optima l window length to have a dynamicstudy and the results are more in accord with the reality of scientific researchactivities. There are great variances between the results considering time lag or notwhich proved that time lag have a great influence on scientific research efficienciesat universities of China. The scholars must pay attention to time lag in scientificresearch evaluation of universities. Based on the results above-mentioned, thisdissertation gives some suggestions on scientific research evaluation of universities in China.