大学排名指标体系及影响研究
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摘要
迄今为止,大学排名已经成为全球性现象。与此同时,关于大学排名的研究成果也相当丰富,但仍然有许多相关技术和理论问题值得探索和完善,许多关键问题有待深入研究。本研究对世界各国大学排名活动进行了系统的梳理;排名指标是排名质量的核心,本研究共筛选了十六个代表性排名,对它们的指标体系进行了多维度的分析;并以实证研究方法为基础,结合资源依赖理论等,对大学排名的影响进行了探讨。
尽管大学排名已经引起广泛关注,但排名并不完美,仍然存在一些不足之处。如研究者所说,如何选择指标以及选择怎样的指标一直是大学排名面临的科学性难题。在系统梳理大学排名活动的现象和已有研究的基础上,选取当前世界各国较有代表性的大学排名为样本,对大学排名的指标体系进行多方面深入研究。首先,采用统计的方法,从人才培养/科学研究/人力资源/物质资源/声誉指标、投入/产出/声誉指标、主观/客观指标、绝对/相对/声誉指标四个维度分析排名的指标特征。其次,重点探讨全球性排名的指标体系拓展的可能性与途径。根据指标的全球可比性,提出了判断指标全球可比性标准,将指标分为四大类,即全球可比指标、全球基本可比指标、基本不可比指标和完全不可比指标。另外,在统计的基础上,结合科学的范式理论,深入探讨了各类指标的学科适用性,即不同指标应用于不同学科的可能性与合理性。对样本排名中涉及到的指标运用于文科(人文、艺术与社会及行为科学学科)适合与否进行了系统地探索。通过对排名指标体系的研究,力求为大学排名的进一步发展、规范化和科学化提供依据。
大量现象与研究表明,大学排名已对大学及其利益相关者如学生、雇主及政府等产生了广泛的影响。本研究从大学的角度,以大学排名被大学引用情况为研究对象,较为全面地跟踪计量并统计了大学排名被样本大学引用的情况。研究发现,各国大学引用排名的情况存在差异,各类排名被大学引用的情况也差异显著。但总体上,排名被世界一流大学引用的现象非常突出,尤其是英美国家的一流大学。而且,排名越靠前的大学在学校的各种网页中对大学排名的引用率越高。针对这些现象,本研究尝试运用资源依赖理论与社会认同理论进行解释。
大学排名作为(综合)评价的一种方式与手段,具有自身的独特性与不足,排名使用者必须审慎看待与使用排名。不过与此同时,必须看到,柏林原则的诞生以及近来一些排名的最新研究与探索,推动排名不断完善,排名的指标体系正向更能反映高等教育体系的多样化特征以及高校本身的功能与内涵特征的方向靠近。
本研究的突破和创新主要体现在以下几方面:首先,在较为完整地梳理世界各国排名的相关信息的基础上,对排名的指标体系进行了系统分类和多维度分析。为各界了解大学排名指标的整体特征和排名开展者选择指标提供一个宏观整体的概念与框架。其次,从排名的操作和使用的角度,本研究在对现有排名使用的指标进行多维度统计分析的基础上,对样本排名中涉及到的指标根据其全球可比性进行了分类研究。为排名开展者和使用者提供了一套指标的全球可比性标准。在指标梳理和全球可比性研究的基础上,进一步对各类指标对不同学科的适用性进行了探索。不仅从理论和实践上为综合排名的指标选择提供依据,也为学科排名的开展提供有力支持。再者,前人关于排名影响的研究非常多,但从大学引用排名的视角进行大样本的调查研究尚属首次。
University rankings have become a rapidly growing global phenomenon. Much research has been conducted on university ranking and its techniques; however, some critical concerns about ranking techniques and theories remain unresolved and require further study. This empirical study aims at further exploring indicator systems and the impact of university rankings, by using Resource Dependence Theory and Social Identity Theory.
This dissertation is organized with a total of six chapters. After a systematic review of the global phenomenon of university ranking exercises and the existing literature, the first section of the dissertation investigates and analyses the indicator systems, based on a representative sample of 16 university rankings around the world. First, this study adopts a multidimensional statistical analysis to exam features of different indicators of different university rankings and to discuss a possibility and feasibility of a global indicator system. The indicators are grouped into four categories, namely, indicators comparable, fairly comparable, hardly comparable and incomparable at a global level. Second, this section analyses further on the applicability and validity of ranking indicators in evaluation and ranking exercises in different disciplines. The analysis is conducted in the disciplines of arts, humanities and social and behaviour sciences in the 16 sample university rankings. This section, through a systematic study on indicator systems, intends to provide evidence and references for further normative and scientific development of university rankings.
The dissertation applies statistics methods to explore the numbers of citation of rankings by universities. The research finds statistically significant difference on the numbers of citation of university rankings by different universities in different countries and regions. However, in general, rankings are widely cited and used by world-class universities, especially those universities in the US and UK. The research also finds that the higher ranked universities are more likely to cite its ranking results on their official websites. Resource Dependence Theory and Social Identity Theory are adopted in the analysis.
University rankings have attracted extensive attention worldwide and have great influence on higher education development worldwide; however, they are not perfect and some problems and concerns have remained unresolved. Those critical problems and concerns include methodological, indicator and theoretical issues. Berlin Principles on Ranking of Higher Education Institutions and other related development have shown important improvement in university ranking exercises, that is, the indicator systems are increasingly reflecting the diversification of higher education system and the functions and features of higher education institutions.
The significance and originality of this research lie in the following aspects. First, this research conducts a systematic classification and multidimensional analyses on ranking indicators, based on an extensive review on university rankings worldwide. It provides a conceptual framework for discussions on features and selection of university ranking indicators. Second, through exploring the features of university ranking indicators, this research conducts a classification of indicators from the 16 selected university rankings based on its international comparability. It provides comparability standards to ranking indicators. In addition, based on the above two points, this research explores applicability of indicators into different disciplines. It provides theoretical support and rationales for developing university rankings by disciplines. Last but not least, this study might be among the first research which measures the university ranking impact against its citation through large-scale quantitative analysis (about 500 universities and colleges).
尽管大学排名已经引起广泛关注,但排名并不完美,仍然存在一些不足之处。如研究者所说,如何选择指标以及选择怎样的指标一直是大学排名面临的科学性难题。在系统梳理大学排名活动的现象和已有研究的基础上,选取当前世界各国较有代表性的大学排名为样本,对大学排名的指标体系进行多方面深入研究。首先,采用统计的方法,从人才培养/科学研究/人力资源/物质资源/声誉指标、投入/产出/声誉指标、主观/客观指标、绝对/相对/声誉指标四个维度分析排名的指标特征。其次,重点探讨全球性排名的指标体系拓展的可能性与途径。根据指标的全球可比性,提出了判断指标全球可比性标准,将指标分为四大类,即全球可比指标、全球基本可比指标、基本不可比指标和完全不可比指标。另外,在统计的基础上,结合科学的范式理论,深入探讨了各类指标的学科适用性,即不同指标应用于不同学科的可能性与合理性。对样本排名中涉及到的指标运用于文科(人文、艺术与社会及行为科学学科)适合与否进行了系统地探索。通过对排名指标体系的研究,力求为大学排名的进一步发展、规范化和科学化提供依据。
大量现象与研究表明,大学排名已对大学及其利益相关者如学生、雇主及政府等产生了广泛的影响。本研究从大学的角度,以大学排名被大学引用情况为研究对象,较为全面地跟踪计量并统计了大学排名被样本大学引用的情况。研究发现,各国大学引用排名的情况存在差异,各类排名被大学引用的情况也差异显著。但总体上,排名被世界一流大学引用的现象非常突出,尤其是英美国家的一流大学。而且,排名越靠前的大学在学校的各种网页中对大学排名的引用率越高。针对这些现象,本研究尝试运用资源依赖理论与社会认同理论进行解释。
大学排名作为(综合)评价的一种方式与手段,具有自身的独特性与不足,排名使用者必须审慎看待与使用排名。不过与此同时,必须看到,柏林原则的诞生以及近来一些排名的最新研究与探索,推动排名不断完善,排名的指标体系正向更能反映高等教育体系的多样化特征以及高校本身的功能与内涵特征的方向靠近。
本研究的突破和创新主要体现在以下几方面:首先,在较为完整地梳理世界各国排名的相关信息的基础上,对排名的指标体系进行了系统分类和多维度分析。为各界了解大学排名指标的整体特征和排名开展者选择指标提供一个宏观整体的概念与框架。其次,从排名的操作和使用的角度,本研究在对现有排名使用的指标进行多维度统计分析的基础上,对样本排名中涉及到的指标根据其全球可比性进行了分类研究。为排名开展者和使用者提供了一套指标的全球可比性标准。在指标梳理和全球可比性研究的基础上,进一步对各类指标对不同学科的适用性进行了探索。不仅从理论和实践上为综合排名的指标选择提供依据,也为学科排名的开展提供有力支持。再者,前人关于排名影响的研究非常多,但从大学引用排名的视角进行大样本的调查研究尚属首次。
University rankings have become a rapidly growing global phenomenon. Much research has been conducted on university ranking and its techniques; however, some critical concerns about ranking techniques and theories remain unresolved and require further study. This empirical study aims at further exploring indicator systems and the impact of university rankings, by using Resource Dependence Theory and Social Identity Theory.
This dissertation is organized with a total of six chapters. After a systematic review of the global phenomenon of university ranking exercises and the existing literature, the first section of the dissertation investigates and analyses the indicator systems, based on a representative sample of 16 university rankings around the world. First, this study adopts a multidimensional statistical analysis to exam features of different indicators of different university rankings and to discuss a possibility and feasibility of a global indicator system. The indicators are grouped into four categories, namely, indicators comparable, fairly comparable, hardly comparable and incomparable at a global level. Second, this section analyses further on the applicability and validity of ranking indicators in evaluation and ranking exercises in different disciplines. The analysis is conducted in the disciplines of arts, humanities and social and behaviour sciences in the 16 sample university rankings. This section, through a systematic study on indicator systems, intends to provide evidence and references for further normative and scientific development of university rankings.
The dissertation applies statistics methods to explore the numbers of citation of rankings by universities. The research finds statistically significant difference on the numbers of citation of university rankings by different universities in different countries and regions. However, in general, rankings are widely cited and used by world-class universities, especially those universities in the US and UK. The research also finds that the higher ranked universities are more likely to cite its ranking results on their official websites. Resource Dependence Theory and Social Identity Theory are adopted in the analysis.
University rankings have attracted extensive attention worldwide and have great influence on higher education development worldwide; however, they are not perfect and some problems and concerns have remained unresolved. Those critical problems and concerns include methodological, indicator and theoretical issues. Berlin Principles on Ranking of Higher Education Institutions and other related development have shown important improvement in university ranking exercises, that is, the indicator systems are increasingly reflecting the diversification of higher education system and the functions and features of higher education institutions.
The significance and originality of this research lie in the following aspects. First, this research conducts a systematic classification and multidimensional analyses on ranking indicators, based on an extensive review on university rankings worldwide. It provides a conceptual framework for discussions on features and selection of university ranking indicators. Second, through exploring the features of university ranking indicators, this research conducts a classification of indicators from the 16 selected university rankings based on its international comparability. It provides comparability standards to ranking indicators. In addition, based on the above two points, this research explores applicability of indicators into different disciplines. It provides theoretical support and rationales for developing university rankings by disciplines. Last but not least, this study might be among the first research which measures the university ranking impact against its citation through large-scale quantitative analysis (about 500 universities and colleges).
引文
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①资料来源:依据《教育部直属高校工作司.教育部直属高校2000年至2006年基本情况统计资料汇编》整理.
②资料来源:依据《教育部直属高校工作司.教育部直属高校2000年至2006年基本情况统计资料汇编》整理.
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