博士生科研绩效及其影响因素的实证研究
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摘要
从上世纪七十年代以来,越来越多的学者开始关注于国家、高等院校和科研工作者的科研产出研究(Dundar and Lewis,1998)。相关研究的关注点主要在国家、高校等组织以及教员等个体科研工作者层面,对博士生科研产出的研究较少(Chung and Petrick,2011),国内学者对该主题的研究还停留在理论论述、思辨的层面上,缺少以数据为支撑的实证研究,因此对一些现象、作用机理、原因和对策的解释力度不足。我国博士生教育有一定的中国特色,将国外的研究成果套用在国内的教育背景下显得有些水土不服,不能适应中国的教育体制,故本文以中国的博士生为研究对象,搜集相关数据,基于实证研究的思路构建博士生科研绩效影响因素模型,找出提升博士生科研绩效的关键因素,进而弥补这一缺口。
博士生科研绩效是指博士生攻读博士学位时所创造出的科研产出,直接体现为：科研论文、参与研发项目和专利发明,是博士生科研能力的重要反映。笔者认为博士生科研绩效水平能够有效地反映出博士生培养质量的优劣；对影响博士生科研绩效的关键因素进行深入分析,进而发现我国博士教育存在的主要问题,寻找到博士质量提升的关键点和有效途径。本论文在总结现有科研绩效测量方法优劣的基础上,结合我国博士教育的特点,提出根据SCI分区对学术论文质量进行排序分级,并设置相应权重的测量方法。该方法在很大程度上避免了学科差异的影响,使得测量结果可以用于不同学科之间的比较研究。
本论文对博士生科研绩效的影响因素进行了积极的探索,为了扩展和丰富现有教育理论,试图建立社会资本与博士生科研绩效管理之间的联系。考虑到中国人文化中“关系”这一概念,与西方观念中的"social network"类似(Gold et al.,2002)。国内外学者和实践家普遍将“关系”(guanxi)视为是中国社会中,个体在社会生活、工作等方方面面取得成功的必备要素。因此,本论文将这一概念引入到博士生教育的研究中来,在研究2中初步证实了师生关系对博士生科研绩效有着重要促进作用。进而在研究3中进一步拓展了“关系”的范围,基于社会资本理论,重点探究博士生与导师之间的人际关系,以及与周围同学建立的良好关系对博士生自身科研活动的开展和科研成果的产出的影响机理。因此,本论文的研究工作和研究结果,搭建了运用社会资本理论所诠释的“关系”来探究博士生科研绩效的理论桥梁。
国外学者普遍认为：个体在创新过程中需要在与外部建立各种接触,因此其个人的社会资源在创新中将发挥重要作用(Amabile,1983; Amabile et al.,1996; Woodman et al.,1993)。基于社会资本理论,导师因素是影响博士生科研绩效社会网络中的一个节点,而同学可以看作是其它节点,这些相互连接的节点构成了博士生科研绩效的社会网络。博士生的科研活动具有显著的创新特征,是一种富有创造性的工作,本论文有理由认为博士生的社会资本对其科研绩效有重要的促进作用。
本论文拟建立个自身因素、导师因素和社会资本与博士生科研绩效的研究模型,同时引入主观态度和组织氛围作为情境变量,来探究影响我国博士生科研绩效的关键点；采用渐进式研究方法,设计以下三个子研究来逐步开展：
1)研究1利用二手数据对博士生科研绩效的影响因素进行初步探索；
2)研究2是基于研究1取得的成果,采用问卷调研方法来深入探究导师对博士生科研绩效的影响；
3)研究3是基于两个子研究的研究成果,从社会资本的角度,对研究变量进行深度挖掘,分析以同学和导师为重要节点的社会网络对博士生科研绩效的影响；同时进一步检验博士生目标导向和组织氛围等情境变量在社会资本和与博士生科研绩效关系中的调节作用。
研究结果表明：
1)相对于其他博士生,本科毕业于“985”院校的博士生倾向于表现出较高的科研绩效水平；
2)导师是提升博士生科研绩效的关键；
3)博士生主观的科研兴趣在导师因素和博士生科研绩效之间的关系中起着重要的调节作用；
4)博士生拥有的社会资本对其科研绩效水平有着显著影响；
5)博士生目标导向和组织氛围作为情境因素在社会资本与科研绩效之间的关系中起着调节作用。
研究结果表明提升博士生科研绩效并非是一日之功,需要博士生自身、导师和院校等多主体的协同努力,将质量提升贯穿于博士生培养过程中的各个环节。本文取得的研究成果不仅做出了重要的理论贡献,而且为博士生、教育工作者、培养单位和教育主管部门等提出了一些有价值的建议,具有重要的实践价值。
Since1970s, more and more scholars pay attention to the research performance of states, colleges and individual researcher (Dundar and Lewis,1998). Related researches mainly focus on states,college and individual researcher, but only less focus on the doctoral students (Chung and Petrick,2011). And the domestic research are still on theoticaland qualitative level, which lack of the empirical research based on data, as result, the explaination of phenomenon, mechanism, reason and suggestion are inadequate. In China, the doctoral educationhas unique characteristic, so some foreign research achievements cannot fit the Chineseeducation system very well. Therefore, in order to fix up the gap, this thesis would collect relateddata and build a theoretical model to do empirical research, finally find out the key factors on how to improve doctoral student research performance (DRP).
DRP refers to the research outcomes of doctoral students in a certain period, such as academic paper, research project and patent, which could reflect the individual research ability.The author concerns that DRP will directly reflected the quality of doctoral education effectively.Therefore, deeply exploring the influential factors of DRP could help us to identify the major problems on doctoral education, further, the key point and effective approach to improve the quality of doctoral education could be obtained. The research object of this thesis is the doctoral students of china, combined with the evaluation of existing performance measurement and the characteristics of the doctoral students of China, according to the SCIto categorize the academic papers, and set the weights of different categories. This method could avoid the difference of disciplines to a large extent, so this measurement could be used for comparative study between different disciplines.
In order to enlarge existing education theory, this thesis made a great progress in the exploration of influence factors of DRP, at the same time, an relationship between social capital and management of DRP has been build. Take the conception of "guanxi" into consideration in the background of Chinese culture, whichis similar to the concept of social network in west (Gold et al.,2002). Most of scholars thought that "guanxi" is significant to one's success in Chinese society. Therefore, in this thesis, in order to get the influence effect of "guanxi"on DRP,"social capital" would be taken into consideration. In Study2, the initial conclusion has proved that the relationship between doctoral students and their mentor have a significant positive effect on DRP. In Study3, based on social capital theory, the author expands the range of "guanxi", focus on the relations between doctoral students and mentors, and the relations between different doctoral students. Therefore, this thesis could build a bridge for using social theory to study the DRP.
Some foreign scholars generally suggest that one should build some relationship with externals, and his social capital would play an important role in his innovation process(Amabile,1983; Amabile et al.,1996; Woodman et al.,1993). Based on social capital theory, in doctoral social network, mentor factor is s key node, and his research partners and classmates can be recognized as other nodes, so nodes together with eachother can be regarded as the social network of DRP. The research activitiesof doctoral student haveremarkablecharacteristics of innovation, therefore, we hypothesis that the social capital play an important role in DRP, then do an empirical research.
This thesis build a research model of DRP, which include individual factor, mentor factor, social capital, and the situational variable (subjective attitude and organizational environment), to explore the influential factors of DRP. Dates can be collected from database and questionnaire, and three sub-studies will develop one by one.
1)Study lwould initially explore the influence factors of DRP by secondary data.
2)Based on the results of Study1, Study2would deeply research on the relationship between mentor factors and DRP by survey.
3) Based on Study1and Study2, from the perspective of social capital, Study3would make a deep excavation in variables, further, we study on how the social capital (including mentor and classmate) influence DRP and the suggestion about how to improve the doctoral education could be obtained. Also, we analysis the moderating effects of the situational variables between social capital and DRP.
The results show that,
1) Compare with other students, the doctoral students who finish their undergraduate education in "985" universities have a higher research performance in their doctoral program.
2) Mentor factor is the key factor in improving DRP.
3) Relationships between mentor factors and DRP are significantly moderated by doctoral student's research interest.
4) Social capital positively related to DRP.
5) Relationships between social capital and DRP are significantly moderated by situational factors, including goal orientation and organizational environment as situational factors have a regulatory effect on the relationship between social capital and DRP.
The results show that improvement ofDRP could not achieve in one day, individual, mentors and university should make efforts together, and the quality improvement should run through the whole process of doctoral education. This thesis make some theoretical contributions, meanwhile, it also provides guidance for doctoral students, mentors, university and education ministry.
博士生科研绩效是指博士生攻读博士学位时所创造出的科研产出,直接体现为：科研论文、参与研发项目和专利发明,是博士生科研能力的重要反映。笔者认为博士生科研绩效水平能够有效地反映出博士生培养质量的优劣；对影响博士生科研绩效的关键因素进行深入分析,进而发现我国博士教育存在的主要问题,寻找到博士质量提升的关键点和有效途径。本论文在总结现有科研绩效测量方法优劣的基础上,结合我国博士教育的特点,提出根据SCI分区对学术论文质量进行排序分级,并设置相应权重的测量方法。该方法在很大程度上避免了学科差异的影响,使得测量结果可以用于不同学科之间的比较研究。
本论文对博士生科研绩效的影响因素进行了积极的探索,为了扩展和丰富现有教育理论,试图建立社会资本与博士生科研绩效管理之间的联系。考虑到中国人文化中“关系”这一概念,与西方观念中的"social network"类似(Gold et al.,2002)。国内外学者和实践家普遍将“关系”(guanxi)视为是中国社会中,个体在社会生活、工作等方方面面取得成功的必备要素。因此,本论文将这一概念引入到博士生教育的研究中来,在研究2中初步证实了师生关系对博士生科研绩效有着重要促进作用。进而在研究3中进一步拓展了“关系”的范围,基于社会资本理论,重点探究博士生与导师之间的人际关系,以及与周围同学建立的良好关系对博士生自身科研活动的开展和科研成果的产出的影响机理。因此,本论文的研究工作和研究结果,搭建了运用社会资本理论所诠释的“关系”来探究博士生科研绩效的理论桥梁。
国外学者普遍认为：个体在创新过程中需要在与外部建立各种接触,因此其个人的社会资源在创新中将发挥重要作用(Amabile,1983; Amabile et al.,1996; Woodman et al.,1993)。基于社会资本理论,导师因素是影响博士生科研绩效社会网络中的一个节点,而同学可以看作是其它节点,这些相互连接的节点构成了博士生科研绩效的社会网络。博士生的科研活动具有显著的创新特征,是一种富有创造性的工作,本论文有理由认为博士生的社会资本对其科研绩效有重要的促进作用。
本论文拟建立个自身因素、导师因素和社会资本与博士生科研绩效的研究模型,同时引入主观态度和组织氛围作为情境变量,来探究影响我国博士生科研绩效的关键点；采用渐进式研究方法,设计以下三个子研究来逐步开展：
1)研究1利用二手数据对博士生科研绩效的影响因素进行初步探索；
2)研究2是基于研究1取得的成果,采用问卷调研方法来深入探究导师对博士生科研绩效的影响；
3)研究3是基于两个子研究的研究成果,从社会资本的角度,对研究变量进行深度挖掘,分析以同学和导师为重要节点的社会网络对博士生科研绩效的影响；同时进一步检验博士生目标导向和组织氛围等情境变量在社会资本和与博士生科研绩效关系中的调节作用。
研究结果表明：
1)相对于其他博士生,本科毕业于“985”院校的博士生倾向于表现出较高的科研绩效水平；
2)导师是提升博士生科研绩效的关键；
3)博士生主观的科研兴趣在导师因素和博士生科研绩效之间的关系中起着重要的调节作用；
4)博士生拥有的社会资本对其科研绩效水平有着显著影响；
5)博士生目标导向和组织氛围作为情境因素在社会资本与科研绩效之间的关系中起着调节作用。
研究结果表明提升博士生科研绩效并非是一日之功,需要博士生自身、导师和院校等多主体的协同努力,将质量提升贯穿于博士生培养过程中的各个环节。本文取得的研究成果不仅做出了重要的理论贡献,而且为博士生、教育工作者、培养单位和教育主管部门等提出了一些有价值的建议,具有重要的实践价值。
Since1970s, more and more scholars pay attention to the research performance of states, colleges and individual researcher (Dundar and Lewis,1998). Related researches mainly focus on states,college and individual researcher, but only less focus on the doctoral students (Chung and Petrick,2011). And the domestic research are still on theoticaland qualitative level, which lack of the empirical research based on data, as result, the explaination of phenomenon, mechanism, reason and suggestion are inadequate. In China, the doctoral educationhas unique characteristic, so some foreign research achievements cannot fit the Chineseeducation system very well. Therefore, in order to fix up the gap, this thesis would collect relateddata and build a theoretical model to do empirical research, finally find out the key factors on how to improve doctoral student research performance (DRP).
DRP refers to the research outcomes of doctoral students in a certain period, such as academic paper, research project and patent, which could reflect the individual research ability.The author concerns that DRP will directly reflected the quality of doctoral education effectively.Therefore, deeply exploring the influential factors of DRP could help us to identify the major problems on doctoral education, further, the key point and effective approach to improve the quality of doctoral education could be obtained. The research object of this thesis is the doctoral students of china, combined with the evaluation of existing performance measurement and the characteristics of the doctoral students of China, according to the SCIto categorize the academic papers, and set the weights of different categories. This method could avoid the difference of disciplines to a large extent, so this measurement could be used for comparative study between different disciplines.
In order to enlarge existing education theory, this thesis made a great progress in the exploration of influence factors of DRP, at the same time, an relationship between social capital and management of DRP has been build. Take the conception of "guanxi" into consideration in the background of Chinese culture, whichis similar to the concept of social network in west (Gold et al.,2002). Most of scholars thought that "guanxi" is significant to one's success in Chinese society. Therefore, in this thesis, in order to get the influence effect of "guanxi"on DRP,"social capital" would be taken into consideration. In Study2, the initial conclusion has proved that the relationship between doctoral students and their mentor have a significant positive effect on DRP. In Study3, based on social capital theory, the author expands the range of "guanxi", focus on the relations between doctoral students and mentors, and the relations between different doctoral students. Therefore, this thesis could build a bridge for using social theory to study the DRP.
Some foreign scholars generally suggest that one should build some relationship with externals, and his social capital would play an important role in his innovation process(Amabile,1983; Amabile et al.,1996; Woodman et al.,1993). Based on social capital theory, in doctoral social network, mentor factor is s key node, and his research partners and classmates can be recognized as other nodes, so nodes together with eachother can be regarded as the social network of DRP. The research activitiesof doctoral student haveremarkablecharacteristics of innovation, therefore, we hypothesis that the social capital play an important role in DRP, then do an empirical research.
This thesis build a research model of DRP, which include individual factor, mentor factor, social capital, and the situational variable (subjective attitude and organizational environment), to explore the influential factors of DRP. Dates can be collected from database and questionnaire, and three sub-studies will develop one by one.
1)Study lwould initially explore the influence factors of DRP by secondary data.
2)Based on the results of Study1, Study2would deeply research on the relationship between mentor factors and DRP by survey.
3) Based on Study1and Study2, from the perspective of social capital, Study3would make a deep excavation in variables, further, we study on how the social capital (including mentor and classmate) influence DRP and the suggestion about how to improve the doctoral education could be obtained. Also, we analysis the moderating effects of the situational variables between social capital and DRP.
The results show that,
1) Compare with other students, the doctoral students who finish their undergraduate education in "985" universities have a higher research performance in their doctoral program.
2) Mentor factor is the key factor in improving DRP.
3) Relationships between mentor factors and DRP are significantly moderated by doctoral student's research interest.
4) Social capital positively related to DRP.
5) Relationships between social capital and DRP are significantly moderated by situational factors, including goal orientation and organizational environment as situational factors have a regulatory effect on the relationship between social capital and DRP.
The results show that improvement ofDRP could not achieve in one day, individual, mentors and university should make efforts together, and the quality improvement should run through the whole process of doctoral education. This thesis make some theoretical contributions, meanwhile, it also provides guidance for doctoral students, mentors, university and education ministry.
引文
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