World Sci-Tech Level Factbook 世界科技水平概况

学术水平评估与一流大学标准
Evaluation of academic level and first-class university standards

林华Rev George Hua LIN
Linhua038@aliyun.com

中文摘要：
获取机构ESI论文被引次数及篇均被引，获取机构的员工人数及年度开支，根据公式计算获取机构的：加权学术水平指数、加权学术绩效指数、加权学术水平绩效指数。这样能根据客观的学术数据和机构数据来定量评估学术机构的学术水平，减少人为干扰，评估效果大大好过定性评估。一流大学可以有定量的标准。用环球科技指数，来定量评估国家及地区的科技水平。
Abstract:
Access to Essential Science Indicatorsto get the institution's citations and cites per paper, the number of employees and the annual expenditure can be obtained from institution’s websites. And the acquisition mechanism was calculated according to the formula: weighted academic level index, weighted academic performance index and weighted academic level performance index. This can be based on objective academic data and institutional data to quantitatively evaluate academic level, reduce human interference, the evaluation effect is much better than qualitative assessment. First-class universities can have quantitative standards. Use the Global Technology Index to quantitatively assess the level of science and technology in countries and regions.

关键词：评估学术水平绩效指数标准排行榜 ESI
Key Words: Evaluate,Academic, Level, Performance, Index, Standard, Ranking，ESI

美国Thomson Reuters公司提出的Web of Sciences是（SCIE/SSCI）所收录的全球11000多种学术期刊的1000多万条文献记录而建立的计量分析数据库。基本科学指标数据库（Essential Science Indicators，简称ESI）是由世界著名的学术信息出版机构美国科技信息所(ISI)于2001年基于Web of Sciences推出的衡量科学研究绩效、跟踪科学发展趋势的基本分析评价工具。
The web of Sciences, published by the American Thomson Reuters, is a database of econometric analysis based on the 10 millionspapers from more than 11,000 academic journals in the World (SCIE/SSCI). The Essential Science Indicators, abbreviated as ESI is a world-renowned academic database published by Information Sciences Institute (ISI) in 2001 based on the web of sciences to measure the performance of scientific research. It is a basic analysis and evaluation tools to track the trend of scientific development.
ESI每2个月发布基于科学家、科研机构（或大学）、国家（或地区）及学术期刊的论文数量和被引次数等数据，除了被引次数外，还提供利用论文总数和篇均被引两个指标的排序。ESI还提出了22个专业里的上述数据。ESI被广泛使用为评估学术水平的一种客观方法，并被我国高校和科研机构所重视。
Every 2 months, ESI publishes data on the number of papers and citations based on scientists, institutions, countries (or regions) and academic journals, total number of papers and citations per papers. ESI also offer the above data in 22 fields. ESI is widely used as an objective method to evaluate academic level and is valued by Chinese universities and scientific research institutions.
ESI提供的论文数量、被引次数、篇均被引等就和机构的学术水平相关。学术机构的论文被引次数可以形象地理解为该学术机构被学术界认可的广泛度，学术机构的学术水平和总被引次数正相关。但是,大型学术机构是一个非常复杂团体，它包括了很多的因数，很难用一个指标去评估学术机构。
The number of papers provided by ESI, citations, and citations per paper as relevant to the academic level of the institutions. The number of citations of the institution can be vividly understood as the broad degree of academic accreditation, and the academic level of the institution is positively correlated with the number of citations. However, large academic institutions are a very complex group that includes many factors, and it is difficult to evaluate the institution with one indicator.

1．针对现有技术中的缺陷，本文提供加权学术绩效考核方法及系统，能够客观、定量地评估学术机构的学术水平。
Aiming at the defects in the existing technology, this paper provides the weighted academic performance appraisal method and system, which can evaluate the academic level of the institution objectively and quantitatively.
一种加权学术绩效考核方法，包括：
The weighted academic performance assessment method, including:
获取基本科学指标数据库中的以下学术数据：待评估学术机构的论文被引次数和篇均被引次数；
Obtain the following academic data in ESI: citations and citations per papers of the institution;
获取待评估学术机构的以下机构数据：待评估学术机构的员工人数和年度开支；
Obtain the data for theinstitution to be evaluated: number of staff and the annual expenditure;
根据待评估学术机构的学术数据和机构数据计算以下绩效指数：加权学术水平指数、相对加权学术水平指数、加权学术绩效指数和加权学术水平绩效指数；
The following performance indicators are calculated based on academic data and institutional data of the institution to be evaluated: Weighted academic level index, Relative weighted academic level index, Weighted academic performance index and Weighted academic level performance index;
根据得到的绩效指数评估待评估学术机构的学术水平。
Evaluate the academic level of the institution according to the obtained performance index.
所述加权学术水平指数WALIndex通过以下公式计算：
The weighted academic level index, abbreviated as WALIndex is calculated by the following formula:

所述相对加权学术水平指数RWALIndex通过以下公式计算：
The relative weighted academic level index, abbreviated as RWALIndex is calculated by the following formula:

所述加权学术绩效指数WAPIndex通过以下公式计算：
The Weighted academic performance index, abbreviated as WAPIndex is calculated by the following formula:

所述加权学术水平绩效指数WALPIndex通过以下公式计算：
The Weighted academic level performance index, abbreviated as WALPIndex is calculated by the following formula:

由上述技术方案可知，本文提供的加权学术绩效考核方法及系统，Web of Sciences所收录的全球11000多种学术期刊，包括了全世界大部分重要的科技学术期刊。大部分学术机构的大部分学者会将其学术成果发表在各种杂志上，高水平的论文主要就是发表在Web of Sciences所收录的全球11000多种学术期刊。本方案直接从基本科学指标数据库中获取学术数据，能够根据客观的学术数据和机构数据来定量地评估学术机构的学术水平，减少人为的判断和干扰，评估效果远远好过定性评估。
From the above-mentioned technical scheme, the paper provides the weighted academic performance appraisal method and system, the Web of Sciences, which contains more than 11,000 kinds of academic periodicals worldwide, including most important scientific and technical periodicals. Most researchers in most institutions will publish their academic results in a variety of magazines, and a high level of paper is published inperiodicals quoted by the web of sciences, which includes more than 11,000 academic journals worldwide. This program obtains the academic data directly from the ESI, and can evaluate the academic level quantitatively according to the objective academic data and the organization data, reduces the artificial judgment and the disturbance, the appraisal effect is far better than the qualitative appraisal.
ESI提供的论文数量、论文被引次数、篇均被引次数等和学术机构的学术水平相关。这样研究ESI提供的论文数量、论文被引次数、篇均被引次数等可以相对客观地评价学术机构的学术水平。
The number of papers provided by ESI, the citations, citations per paper,are related to the academic level of the institution. In this way, the academic level of the institution can be evaluated objectively by studying the number of papers provided by ESI, the citations and the citations per paper.
员工人数可以是待评估学术机构的总员工数，也可以是教师及科研人员数量，只要在评估时保持一致就可以了，具体要在评估时注明。年度开支可以是机构的年度预算，也可以是年度实际开支，只要在评估时保持一致就可以了，具体要在评估时注明。
The number of employees can be the total number of staff in the institution to be assessed, as well as the number of teachers and researchers, as long as they are consistent in the assessment, as specified in the assessment. Annual expenditure can be an organization's annual budget, or it can be an annual actual expenditure, as long as the evaluation is consistent on the right, specifically in the assessment of the note.
学术机构的论文被引次数可以形象地理解为该学术机构被学术界认可的广泛度，学术机构的学术水平和总被引次数正相关。篇均被引次数则可以被形象地理解为该学术机构论文的水平高度，学术机构的学术水平和篇均被引次数正相关。在同样的论文被引次数和篇均被引次数的情况下，学术机构的人数越少，则学术水平越高，学术机构的学术水平和机构的人数反相关。同样，在同样的论文被引次数、篇均被引次数的情况下，学术机构的所耗费的经费越少，则学术机构的绩效越高，学术机构的绩效和机构的经费总额反相关。
The number of citations of the institution can be vividly understood as the broad degree of academic accreditation, and the academic level of academic institutions is positively correlated with the number of citations. The number of citations per paper can be visualized as the level of the academic papers, the academic level of academic institutions and the number of citations per paper are positively correlated. When the number of citations and citations per paper are same, the fewer people in the institution, the higher the academic level is, the academic level of the institution is negative correlated to the number employee of institutionSimilarly, in the case of same number of citations andcitations per paper, the less funds are spent on the institution, the higher the performance of the institution is, the performance of academic institutions are negatively correlated to the total amount of funding of the institution.

相对加权学术水平指数中，标准学术机构可以选一个重点的学术机构。相对加权学术水平指数得到该待评估的学术机构的加权学术水平与相对于所选重点学术机构的比值。同样也可以列出机构相对加权学术水平指数表。相对加权学术水平指数的分母也可以是待评估的学术机构的历史加权学术水平指数，从而得出机构的历史相对加权学术水平表。
In the relative weighted academic level index RWALIndex, the standard academic institution can choose a famous institution. The relative weighted academic level index obtains the weighted academic level of the academic institution to be evaluated and the ratio to the selected famous institution. It is also possible to list the relative weighted academic level indices of institutions. The denominator of the relative weighted academic level index can also be the historical weighted academic level index of the institution to be evaluated, thus resulting in the institution's historical relative weighted academic level table.
同理可以通过以下公式计算相对加权学术绩效指数和相对加权学术水平绩效指数：
Similarly, the relative weighted academic performance index,abbreviated as RWAPIndex and the relative weighted academic level performance index,abbreviated as RWALPIndex can be calculated by the following formula:

2. 类似的原理，可以评估国家（地区）、非学术类机构的科技水平。
Similar principles can be used to assess the level of science and technology in the country (region) and non-academic institutions.
同样的，国家（地区）、非学术类机构的论文被引次数可以形象地理解为该国家（地区）、非学术类机构被学术界认可的广泛度，国家（地区）、非学术类机构的学术水平和总被引次数正相关。篇均被引次数则可以被形象地理解为该国家（地区）、非学术类机构论文的水平高度，国家（地区）、非学术类机构的学术水平和篇均被引次数正相关。考虑到国家（地区）、非学术类机构主要事务不是从事科研研究，这样就不适宜采用人数、开支作为评估的考量因数。
Similarly, the citations of the country (region) and non-academic institutions can be visualized as being widely recognized by the academics world, and the academic level of the country (region) and non-academic institutions is positively correlated with the total number of citations. The citations per paper can be vividly interpreted as the level of the papers of the country (region), non-academic institutions, the academic level of the country (region) and non-academic institutions, and the number of citations are positively correlated. Considering that the main issues of the country (region) and non-academic institutions are not engaged in scientific research, it is not appropriate to use people numbers and expenditures as a factor of assessment.
为此作者提出环球科技指数（科技指数）GSIndex及相对环球科技指数（科技指数）RGSIndex，作为对国家（地区）、非学术类机构的科技水平评估方法，
To this end, the authors put forward the Global ScientificIndex(SCI-Tech index),abbreviated as GSIndexand relative Global Technology index (SCI-Tech index),abbreviated as RGSIndex as the science and technology level assessment method for the country(regional) and non-academic institutions.
环球科技指数=

相对环球科技指数=

标准对象可以选定一个重点国家（地区）、机构。相对环球科技指数得到该待评估的对象的环球科技指数与标准对象的比值。同样也可以列出国家（地区）、机构相对加权学术水平指数表。相对加权学术水平指数的分母也可以是待评估对象的历史环球科技指数，从而得出机构的历史相对环球科技指数表。
Standard institution can be selected as afamous country (region), institution. The ratio of global science and technology index to standard institution is obtained by relative global scientific index. It is also possible to list the relative weighted academic level indices of countries (regions) and institutions. The denominator of the relative weighted academic level index can also be the historical global scientific index of the institution to be evaluated, thus drawing the institutional history relative to the Global Scientific Index table.
环球科技指数（科技指数）及相对环球科技指数（科技指数）同样也可以用来作为评估学术机构的一个工具，与加权学术绩效考核方法配合使用。
The Global Scientific Index (SCI-Tech index) and the relative Global Scientific Index (SCI-Tech index) can also be used as a tool for evaluating academic institutions, in conjunction with the weighted academic performance review method.