Evaluation on University Research Efficiency and Productivity: Concept, Methodology, and Literature Review

  • Yongmei Hu
  • Wenyan Liang
  • Yipeng Tang
Part of the New Frontiers of Educational Research book series (NFER)


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.


  1. Aigner, D. J., Lovell, C. A. K., & Schmidt, P. (1977). Formulation and estimation of stochastic frontier production functions models. Journal of Econometrics, 6(1), 21–37.CrossRefGoogle Scholar
  2. Athanassopoulos, A. D., & Shale, E. (1997). Assessing the comparative efficiency of higher education institutions in the UK by means of data envelopment analysis. Education Economics, 5(2), 117–134.CrossRefGoogle Scholar
  3. Avkiran, N. K. (2001). Investigating technical and scale efficiency of Australian universities through data envelopment analysis. Socio-Economic Planning Sciences, 35, 57–80.CrossRefGoogle Scholar
  4. Battese, G. E., & Coelli, T. J. (1992). Frontier production functions, technical efficiency and panel data: With application to paddy farmers in India. Journal of Productivity Analysis, 3, 153–169.CrossRefGoogle Scholar
  5. Battese, G. E., & Coelli, T. J. (1995). A model of technical inefficiency effects in stochastic frontier production for panel data. Empirical Economics, 20, 325–332.CrossRefGoogle Scholar
  6. Beasley, J. E. (1990). Comparing university departments. OMEGA International Journal of Management Science, 18, 171–183.CrossRefGoogle Scholar
  7. Charnes, A., Cooper, W. W., & Rhodes, E. (1978). Measuring the efficiency of decision making units. European Journal of Operational Research, 2(6), 429–444.CrossRefGoogle Scholar
  8. Coelli, T. J., Rao, D. P., O’Donnell, C. J., & Battese, G. E. (2005). An Introduction to Efficiency and Productivity Analysis Springer. New York.Google Scholar
  9. Daghbashyan, Z. (2011). The economic efficiency of Swedish higher education institutions. Working paper,
  10. De Borger, B., & Kerstens, K. (1996). Cost efficiency of Belgian local governments: A comparative analysis of FDH, DEA and econometric approaches. Regional Science and Urban Economics, 26, 145–170.CrossRefGoogle Scholar
  11. Ding, L., & Zeng, Y. (2015). Evaluation of Chinese higher education by TOPSIS and IEW—The case of 68 universities belonging to the Ministry of Education in China. China Economic Review, 36, 341–358.CrossRefGoogle Scholar
  12. Faere, R., Grosskopf, S., & Zhang, Z. (1994). Productivity growth technical progress, and efficiency changes in industrialized countries. American Economic Review, 84, 66–83.Google Scholar
  13. Farrell, M. J. (1957). The Measurement of Production Efficiency. Journal of Royal Statistical Society, 120(3), 253–281.Google Scholar
  14. Fuentes, H. J., Grifell-Tatje, E., & Perelman, S. (2001). A parametric distance function approach for Malmqusit productivity index estimation. Journal of Productivity Analysis, 15, 79–94.CrossRefGoogle Scholar
  15. Abramo, G., D’Angelo, C., & Pugini, F. (2008). The measurement of Italian universities’ research productivity by a non parametric-bibliometric methodology. Scientometrics, 76(2), 225–244.CrossRefGoogle Scholar
  16. Greene, W. (1990). A gamma distributed stochastic frontier model. Journal of Econometrics, 46, 141–164.CrossRefGoogle Scholar
  17. Han, H., & Li, Q. (2010). Evaluation of the efficiency of humanity and social sciences research in universities based on AHP/DEA. Higher Education Development and Evaluation, 26(2), 49–56. (In Chinese).Google Scholar
  18. Horne, J., & Hu, B. (2008). Estimation of cost efficiency of Australian universities. Mathematics and Computers in Simulation, 78, 266–275.CrossRefGoogle Scholar
  19. Hou, L., & LiFengliang, M. W. (2009). Multi-product total cost functions for higher education: The case of Chinese research universities. Economics of Education Review, 28, 505–511.CrossRefGoogle Scholar
  20. Hu, Q., & He, W. (2011). Evaluation of scientific research efficiency of 985 program universities based on DEA. Science & Technology Progress and Policy, 28(19), 135–139. (In Chinese).Google Scholar
  21. Hu, Y., & Liang, W. (2007). The impact of institutional merge in scientific research productivity in higher education: An Malmquist index analysis. Tsinghua Journal of Education, 28(1), 62–70. (In Chinese).Google Scholar
  22. Izadi, H., Johnes, G., Oskrochi, R., & Crouchley, R. (2002). Stochastic frontier estimation of a CES cost function: The case of higher education in Britain. Economics of education review, 21(1), 63–71.CrossRefGoogle Scholar
  23. Johnes, J. (2008). Efficiency and productivity change in the English higher education sector from 1996/1997 to 2004/2005. The Manchester school, 76(6), 653–674.CrossRefGoogle Scholar
  24. Johnes, J., & Li, Y. (2008). Measuring the research performance of Chinese higher education institutions using data envelopment analysis. China Economic Review, 19(4), 679–696.CrossRefGoogle Scholar
  25. Johnes, G., & Johnes, J. (1993). Measuring the research performance of UK economics departments: An application of data envelopment analysis. Oxford Economics Papers, 45, 332–347.CrossRefGoogle Scholar
  26. Johnson, R. B., & Onwuegbuzie, A. J. (2004). Mixed methods research: A research paradigm whose time has come. Education researcher, 33(7), 14.CrossRefGoogle Scholar
  27. Kempkes, G., & Pohl, C. (2010). The efficiency of German universities–some evidence from nonparametric and parametric methods. Applied Economics, 16(42), 0001.Google Scholar
  28. Li, Q. B., & Ren, Z. X. (2009). Empirical analysis on scientific research efficiency of chinese provincial universities 2002–2006: Based on the DEA model. Journal of Shanxi University of Finance and Economics (Higher Education Edition), 1, 001. (In Chinese).Google Scholar
  29. Lu, Genshu, & Liu, Lei. (2006). Comparative study on scientific research efficiency of universities affiliated with Ministry of Education in different regions. Fudan Education Forum, 4(2), 55–59. (In Chinese).Google Scholar
  30. Luo, H. (2009). Research on efficiency of science and technology system in China universities based on DEA. Dissertation. Soochow University. (In Chinese).Google Scholar
  31. Madden, G., Savage, S., & Kemp, S. (1997). Measuring public sector efficiency: A study of economics departments at Australian Universities. Education Economics, 5(2), 153–168.Google Scholar
  32. Meeusen, W., & van Den Broeck, J. (1977). Efficiency estimation from Cobb-Douglas production functions with composed error. International economic review, 18(2), 435–444.CrossRefGoogle Scholar
  33. National Bureau of Statistics. (2011). China Statistical Yearbook on Science and Technology, Beijing: China Statistics Press.Google Scholar
  34. Orea, L. (2002). Parametric decomposition of a generalized malmqusit productivity index. Journal of Productivity Analysis, 18, 5–22.CrossRefGoogle Scholar
  35. Panzar, J. C., & Willig, R. D. (1981). Economies of scope. American Economic Review, 71, 268–272.Google Scholar
  36. Pitt, M. M., & Lee, L. F. (1981). Measurement and sources of technical inefficiency in the Indonesian weaving industry. Journal of Development Economics, 9, 43–64.CrossRefGoogle Scholar
  37. Stevens, P. A. (2005). A stochastic frontier analysis of English and Welsh universities. Education Economics, 13(4), 355–374.CrossRefGoogle Scholar
  38. Stevenson, R. E. (1980). Likelihood functions for generalized stochastic frontier estimation. Journal of Econometrics, 13(1), 57–66.CrossRefGoogle Scholar
  39. Tian, D., & Miao, Y. (2006). Efficiency analysis on Chinese key universities: 2001–2003. Research in Higher Education of Engineering, 4, 83–86. (In Chinese).Google Scholar
  40. Wei, Q. (2004). Data envelopment analysis. Beijing: Science Press. (In Chinese).Google Scholar
  41. Xu, J. (2009). An Evaluation of relative input-output efficiency of research in higher education institutions in China: A data envelopment analysis. Tsinghua Journal of Education, 30(2), 76–80. (In Chinese).Google Scholar
  42. Zhang, L., Bao, W., & Sun, L. (2016). Resources and research production in higher education: A longitudinal analysis of Chinese universities, 2000–2010. Research in Higher Education, 57(7), 869–891.CrossRefGoogle Scholar

Copyright information

© Springer Nature Singapore Pte Ltd. 2017

Authors and Affiliations

  1. 1.Beijing Normal UniversityBeijingChina
  2. 2.Capital Normal UniversityBeijingChina

Personalised recommendations