Creating World-Class Universities in China: Ideas, Policies, and Efforts (Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices) 981166725X, 9789811667251

Table of contents :
Preface
Acknowledgements
Contents
About the Authors
1 The Policy Analysis of Creating World-Class Universities in China
1.1 The Policy Connotation of Creating Double First-Class University
1.1.1 The Implementation Background of Creating Double First-Class University
1.1.2 The Definition of Double First Class
1.2 The Policy Changes of Double First-Class University
1.2.1 Stage 1: The Introduction and Continuous Improvement of the Guiding Overall Plan (2015)
1.2.2 Stage 2: The State Improves Specific Implementation Plans, Speeds Up Construction, and Implements Them in Colleges and Universities (2017)
1.2.3 Stage 3: Evaluate and Summarize the Preliminary Construction Situation and Continue to Make Steady Progress (2019)
1.3 Principles, Policies, and Standards for Creating Double First-Class Universities
1.3.1 Advocate Talent Training as the Starting Point of Double First-Class Construction
1.3.2 Uphold Moral Education and Cultivate the Core Socialist Values
1.3.3 Promote Innovative Personnel Training Mode, Collaborative Education Mechanism and Entrepreneurship Education
1.3.4 Actively Promote the Reform of Curriculum System and Teaching Content
1.3.5 Scientific Research as an Important Support for the Construction of Double First Class
1.3.6 Social Services as the “Third Mission” of Double First-Class Construction
1.3.7 The Policy Implementation Measures on the Selection Criteria of Double First-Class in Social Service
1.3.8 The Policy Implementation Measures for the Cultural Inheritance
1.3.9 The Double First-Class Universities with Four Standards in Faculty Training
1.4 Summary of the Policy for Creating Double First-Class
1.4.1 The Standards for the Construction of First-Class Universities and the Construction of First-Class Disciplines Are Not Clear
1.4.2 The Connection Between the Double First-Class Construction and the “211 Project”, “985 Project” and Other Key Construction Projects Has not Been Properly Solved
1.4.3 The Policy Transmission of Double First-Class Construction Still Adopts the Traditional “Top-Down” Transmission Mode
1.4.4 Excessive Use of Coercive Policy Tools
1.5 Suggestions on Further Improving the Double First-Class Policy
1.5.1 Promote the Openness and Transparency of the Double First-Class Policy and Improve the Evaluation Criteria
1.5.2 Strengthen the Dynamic Adjustment of Double First-Class Construction, Improve the Competition Mechanism, and Break the Identity Solidification
1.5.3 Use Modern Information Technology to Build the Information Channel of Double First-Class Policy Implementation
1.5.4 Rational Use of Policy Tools to Establish a Multi-agent Participation Mechanism for Sustainable Development
References
2 The Data Analysis of Creating World-Class Universities in China
2.1 The Overall Landscape of Shaping Double First-Class University
2.1.1 The Policy Text of Shaping Double First-Class University
2.1.2 The Policy Document Analysis of Shaping Double First-Class University
2.2 The Major Analysis of Double First-Class University
2.2.1 Discipline Construction as the Foundation Project of “Double First-Class” University
2.2.2 The Publication of the First-Class Discipline Construction List and the Promotion of the First-Class Discipline Construction Policy
2.2.3 The Types of the Selected First-Class Universities Are Unevenly Distributed, and the Selected First-Class Disciplines
2.2.4 The First-Class Construction Discipline with “Chinese Characteristics”
2.2.5 The Regional Distribution of the First-Class Universities
2.2.6 The Uneven Regional Distribution of the First-Class Universities
2.2.7 The Gap in Resource Allocation of Higher Education Among Provinces
2.3 Questions of Double First-Class Construction Data
2.3.1 How to Lay Out the Double First-Class Universities Facing Difficulties?
2.3.2 The Layout of Disciplines and Majors Is Facing Difficulties
2.3.3 The Allocation of Resources Between Central and Local Double First-Class Universities and General Universities
2.4 Suggestions of Double First-Class Construction Data
2.4.1 Establish a New Development View of Higher Education Based on System Theory and Ecological Theory
2.4.2 Adjust the Layout of Disciplines and Majors in Accordance with the Discipline Development Law
2.4.3 Build a Comprehensive and Interdisciplinary First-Class Discipline System
2.4.4 Deeply Participate in the “One Belt and One Road” Initiative to Improve the Internationalization Level of Higher Education in Western China
References
3 The Teacher Cultivation of Creating World-Class Universities in China
3.1 Policy Analysis on Teachers’ Cultivation in First-Class Universities
3.1.1 The Policies for the Teaching Staff in China
3.1.2 The Policies for the Faculty of Double First-Class Universities
3.1.3 The Reform of Teacher Evaluation System
3.2 The Problems of Double First-Class University Teachers’ Cultivation
3.2.1 Imperfect Talent Introduction Mechanism
3.2.2 Lack of Teachers and Weak Strength
3.2.3 The Unbalanced Content of Teacher Training
3.2.4 The Unbalanced Distribution of Scientific Research Tasks and Teaching Work
3.2.5 Uneven Geographical Distribution of Teachers
3.3 Suggestions on the Construction of the Faculty of Double First-Class Universities
3.3.1 Improve the Talent Introduction Mechanism and Define the Functional Division of Labor
3.3.2 Optimize the Structure of the Teacher Team and Rationally Control the Ratio of Students to Teachers
3.3.3 Adjust the Content of Teacher Training and Balance Scientific Research and Teaching
3.3.4 Improve the Talent Evaluation System and Pay Attention to the Characteristics of Disciplines
3.3.5 Give Full Play to the Role of Teacher Development Center and Improve Its Quality
References
4 The Student Cultivation of Creating World-Class Universities in China
4.1 The Overall Review of Student Cultivation for Shaping Double First-Class University in China
4.1.1 The Overall Plan Policy Text of Student Cultivation
4.1.2 The Other Relevant Policy Texts of Student Cultivation
4.2 Policy Characteristics of Student Cultivation
4.2.1 It Is the Task to Cultivate New People of the Era to Take on the Great Task of National Rejuvenation
4.2.2 Based on Guiding Students to Grow and Become Talents
4.2.3 Disseminating Advanced Culture and Core Values
4.2.4 Strengthening Undergraduate and Graduate Education
4.2.5 Enhancing Innovation and Entrepreneurship as the Core
4.2.6 Focusing on Cultivating High-Level and High-Level Talents
4.3 Hierarchical Analysis of Students in Double First-Class Universities
4.3.1 Institutional-Based Analysis of Students in Double First-Class Universities
4.3.2 Program-Based Analysis of Students in Double First-Class Universities
4.4 Problems of Student Cultivation in Creating Double First-Class Universities
4.4.1 Lack of Talent Cultivation Information
4.4.2 Convergence of Talent Cultivation Objectives
4.4.3 Regional Imbalance in Talent Cultivation
4.5 Suggestions of Student Cultivation in Creating Double First-Class Universities
4.5.1 Reasonably Adjust the Student Hierarchy Structure and Control the School Scale
4.5.2 Create the Characteristics of Double First-Class Talent Cultivation and Promote the Personalized Development of Talents
4.5.3 Rationally Allocate Higher Education Resources and Promote Balanced Distribution of Talents
References
5 The Scientific Research of Creating World-Class Universities in China
5.1 The Double First-Class University Research Policy
5.1.1 The Outline of Policies
5.1.2 Policy Characteristics and Guidance
5.2 The Double First-Class University Discipline Evaluation
5.2.1 Analysis of Discipline Evaluation Mechanism
5.2.2 The Adjustment Process of the Evaluation Index System
5.2.3 The Content of the Index System Emphasizes Quality
5.2.4 The Standards of the Subject Evaluation
5.2.5 The Categories of the Subject Evaluation
5.3 Characteristics of University Scientific Research
5.3.1 The Distribution Proportion of All Fields Is Stable, with Basic Research and Applied Research as the Main Parts
5.3.2 Basic Research and Applied Research Maintain a Small and Stable Growth
5.3.3 The Gross Base Is Huge and Keeps Steady Growth
5.3.4 There Is a Wide Gap Between the Total Expenditure of Colleges and Universities
5.4 Problems of Scientific Research of Double First-Class Universities
5.4.1 The Level of Basic Research Still Needs to Be Improved
5.4.2 The Imbalance in Regional Development Is Significant
5.4.3 Insufficient Academic Research at the Undergraduate Stage
5.5 Suggestions of Scientific Research of Double First-Class Universities
5.5.1 Increase Input and Support in Personnel, Funds and Other Aspects of Basic Research
5.5.2 Strengthening Public Financial Support for Basic Research in Colleges and Universities
5.5.3 Reasonably Determine the Growth Target of Investment in Basic Research
5.5.4 Strengthen Overall Control and Promote Regional Cooperation in Scientific Research
References
6 The Transformation of Science and Technology of Creating World-Class Universities in China
6.1 Policies for the Transformation of Scientific and Technological Achievements
6.1.1 Macro Policy Environment
6.1.2 Policy of Funding Support
6.1.3 Establishing Transformation Institutions
6.1.4 Intellectual Property Policies and Incentive Policies for Achievement Distribution
6.1.5 Policy Characteristics of the Transformation of Scientific and Technological Achievements
6.2 The Characteristics of the Transformation of Scientific and Technological Achievements
6.2.1 Continuously Optimize the Policy Environment for the Transformation of Scientific and Technological Achievements
6.2.2 Pay Attention to the Continuous Improvement of Professional Institutions and Service Platforms
6.2.3 New Breakthroughs Are Made in the Incentive Mechanism
6.2.4 Shift from Quantity to Quality
6.3 The Data Analysis of Scientific and Technological Achievements
6.3.1 The Analysis of Overall Development Vitality
6.3.2 The Analysis of the Enterprise in the Production of High-Tech and Professional Products
6.3.3 The Analysis of Enterprises Among Regions and Universities
6.4 Problems of the Transformation of Scientific and Technological Achievements
6.4.1 Some Local Colleges and Universities Lack Experience in Implementing Transformation
6.4.2 Insufficient Execution of Policy Subjects
6.4.3 Unreasonable Organization and Management of Government Science and Technology Programs
6.4.4 The Restructuring of School-Run Industry Is Incomplete
6.4.5 The Fund Gap of Science and Technology Enterprises in Universities Is Serious
6.4.6 The Technology Conversion Rate of Science and Technology Enterprises in Universities Is Not High
6.4.7 Small University Science and Technology Enterprises Face Difficulties in Survival
6.5 Suggestions of the Transformation of Scientific and Technological Achievements
6.5.1 Improve the Organization and Management of Government Science and Technology Programs
6.5.2 Accelerate the Restructuring Process of University-Run Industries
6.5.3 Promote Diversification of Investment Subjects of Enterprises and Improve Financing Mechanism
6.5.4 Improve the Conversion Rate of Scientific Research Achievements of Universities and Enterprises in Multiple Ways
6.5.5 Streamline the Number of Science and Technology Enterprises in Colleges and Universities and Improve Their Operating Efficiency
6.5.6 Optimize the Legal Environment of Science and Technology Enterprises in Universities
References
7 The Financial Input of Creating World-Class Universities in China
7.1 Central Financial Support for Colleges and Universities
7.1.1 Implementation Measures in the Overall Program
7.1.2 Support for Central and Provincial Universities
7.1.3 Main Contents of Financial Support
7.1.4 The Remuneration of Teachers
7.2 Financial Investment Analysis of Double First Universities
7.2.1 Horizontal Changes in the Financial Allocation for the Double First-Class Construction from 2016 to 2020
7.2.2 The Difference of Financial Allocation Budget Between the Double First-Class Universities of Different Types
7.2.3 The Relationship Between the Number of the Double First-Class Disciplines and Budgetary Revenue
7.3 Problems on Financial Investment of Double First-Class Universities
7.3.1 The Scale and Efficiency of Financial Input
7.3.2 Geographical Distribution of Financial Input
7.3.3 Differences in Financial Input Between Subordinate Units
7.3.4 School Level Solidification of Financial Investment
7.4 Suggestions on the Financial Investment of the Double First-Class Universities
7.4.1 Steadily Promote the Double First-Class Universities and Give Consideration to Both the Scale of Financial Investment and Benefits
7.4.2 Financial Input Should Be Appropriately Tilted to the West to Establish a Scientific Performance System
7.4.3 The Combination of Strength Concentration and Priority Concerns Slows the Gradient of Resource Allocation
7.4.4 Provide Peer Support to Provincial Universities and Set up Local Special Funds
7.4.5 Improve the Performance Evaluation Mechanism and Break the Identity Barrier
References
8 The Internationalization of Creating World-Class Universities in China
8.1 The Internationalization Policy of Double First-Class Universities at the National Level
8.1.1 Specific Contents of the Policy Text of Internationalization Policy of Double First-Class Universities at the National Level
8.1.2 Policy Analysis of the Internationalization Policy of Double First-Class Universities at the National Level
8.2 Problems in the Applicability of Internationalization Policies of Double First-Class Universities
8.2.1 Many Chinese Universities Fail to Consider Their Own Specific Conditions
8.2.2 There Are Various Forms of Internationalization Development, but Some Deficiencies Still Exist in Some Respects
8.3 Suggestions of Internationalization Development of Double First-Class Universities in China
8.3.1 The Development of Internationalization of First-Class Universities Should Emphasize Global and International Vision Rather Than International Competitiveness
8.3.2 We Should Focus on Internationalization of the Management in Double First-Class Universities
8.3.3 “One Belt and One Road” Should Have a Significant Impact on the Internationalization Development Strategy of Higher Education
References
9 The Rankings of Creating World-Class Universities in China
9.1 The Overview of Universities and Disciplines in China
9.1.1 Uneven Regional Distribution of Universities and Disciplines
9.1.2 Index Analysis of Domestic and Foreign Ranking Lists
9.1.3 Analysis of QS Ranking Indicators and Methods
9.1.4 Comparison of Educational Output Indicators
9.2 Index Characteristics of Rankings
9.2.1 Index System of Rankings
9.2.2 Subject Evaluation Index of Rankings
9.3 Problems of Rankings for Creating Double First-Class Universities
9.3.1 China’s Main Rankings Do not Set Up Relevant Indicators
9.3.2 Lack of Attention to the Internationalization of Colleges and Universities
9.3.3 The Single Evaluation Index of University Internationalization Cannot Correctly Reflect the Level of University Internationalization
9.4 Suggestions of Rankings for Creating Double First-Class Universities
9.4.1 Attach Importance to the Establishment of Internationalization Indicators
9.4.2 Pay Attention to the Quality of Internationalization
9.4.3 Promote Construction by Evaluation, and Suggest the Establishment of Negative Indicators
9.4.4 Combination of Qualitative and Quantitative Indicators
References
10 The Policy Assessment of Creating World-Class Universities in China
10.1 Policy Evaluation Index of Double First-Class Universities
10.1.1 Specific Selection Indicators: Evaluation Index of Double First-Class Construction Published in the Documents of the Ministry of Education
10.1.2 University Ranking Organizations Published on the Double First-Class Assessment Indicators
10.1.3 Opinions of Other Scholars on the Evaluation Criteria of Double First-Class Disciplines
10.2 Analysis of Evaluation Indexes of the Double First-Class Discipline
10.2.1 How to Evaluate the Development Quality After Graduation?
10.2.2 The Meaning of a World-Class University
10.2.3 The Goal of a Double First-Class University
10.3 Policy Evaluation Procedure for Double First-Class Universities
10.3.1 Establishment of Expert Committee
10.3.2 Determine the Evaluation Criteria
10.3.3 List of Universities to Be Built
10.3.4 University to Compile Construction Scheme
10.3.5 Review by the Expert Committee
10.4 Characteristics of Double First-Class Evaluation System
10.4.1 Clear Educational Objectives and Positioning
10.4.2 Take Students as the Foundation and Cultivate First-Class Talents
10.4.3 Build with the Gathering of Academic Masters
10.4.4 Pay Attention to Scientific Research and Produce First-Class Results
10.4.5 Actively Assume Social Responsibilities and Serve the National Strategy
10.4.6 Compatible with Package, High Level of Internationalization
10.4.7 Academic Freedom, Excellent School Spirit and Rich Characteristics
10.5 Problems Existing in the Policy Evaluation of the Double First-Class Universities
10.5.1 Evaluation Theory Lags Behind Practice
10.5.2 Single Assessment Subject
10.5.3 Unclear Positioning
10.5.4 Selection and Management of Construction Objects
10.5.5 Make Multiple Value Judgments
10.5.6 The Goal of Social Justice
10.6 Suggestions in the Policy Evaluation of the Double First-Class Universities
10.6.1 Highlight the Two Characteristics of “Chinese Characteristics” and “First-Class”
10.6.2 Create an Open Evaluation Dimension
10.6.3 Build an Independent Data Monitoring Platform
10.6.4 Promote the Benign Development of “Double First-Class” Universities and Disciplines
10.6.5 The Government Should Grant Full Autonomy to Colleges and Universities
References

Citation preview

Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices

Jian Li Eryong Xue

Creating World-Class Universities in China Ideas, Policies, and Efforts

Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices Series Editors Eryong Xue, Faculty of Education, Beijing Normal University, Beijing, China Simon Marginson, University of Oxford, Oxford, UK Jian Li, Faculty of Education, Beijing Normal University, Beijing, China

This book series explores education policy on Pre-K, K-12, post-secondary education, and vocational education, informing multiple experts from academia to practitioner, and specifically pays focuses on new frontiers and cutting-edge knowledge that transforms future education policy development. It has been initiated by a global group of education policy research centers and institutions, whose faculty and staff includes internationally recognized researchers in comparative education policy studies. The series’ mission is to advance the modernization of the education and social construction. This series provides policymakers and researchers with an in-depth understanding of international education policy from diverse perspectives. Topics include cutting-edge and multidisciplinary studies on identifying, analyzing and uncovering education policy reform and practice among the fields in education policy and pedagogy. It addresses how education policy shapes the development of education systems in different regions and seeks to explain how specific education policies concentrate on accelerating the development of quality education and social progress. More importantly, this book series offers policymakers and educational stakeholders, government, and private sectors a comprehensive lens to investigate the trends, rationales of education policy development internationally.

More information about this series at http://www.springer.com/series/16621

Jian Li · Eryong Xue

Creating World-Class Universities in China Ideas, Policies, and Efforts

Jian Li Faculty of Education Beijing Normal University Beijing, China

Eryong Xue Faculty of Education Beijing Normal University Beijing, China

The Beijing Social Science Foundation “A Study on the Physical Mechanism of High-quality Education Resource Sharing in Beijing-Tianjin-Hebei Region” Major Project (No. 18ZDA03). ISSN 2730-6356 ISSN 2730-6364 (electronic) Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices ISBN 978-981-16-6725-1 ISBN 978-981-16-6726-8 (eBook) https://doi.org/10.1007/978-981-16-6726-8 © The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher, whether the whole or part of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmission or information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilar methodology now known or hereafter developed. The use of general descriptive names, registered names, trademarks, service marks, etc. in this publication does not imply, even in the absence of a specific statement, that such names are exempt from the relevant protective laws and regulations and therefore free for general use. The publisher, the authors and the editors are safe to assume that the advice and information in this book are believed to be true and accurate at the date of publication. Neither the publisher nor the authors or the editors give a warranty, expressed or implied, with respect to the material contained herein or for any errors or omissions that may have been made. The publisher remains neutral with regard to jurisdictional claims in published maps and institutional affiliations. This Springer imprint is published by the registered company Springer Nature Singapore Pte Ltd. The registered company address is: 152 Beach Road, #21-01/04 Gateway East, Singapore 189721, Singapore

Preface

In China, creating world-class universities (“Double First-class”) refers to the construction of world-class universities and first-class disciplines. It is an important strategic decision made by the CPC Central Committee and the State Council, as well as an important strategy for the reform and development of higher education in China. This book explores how can we shape “World-class University” in China from the perspectives of ideas, policies, and efforts, specifically. It also examines the essence and logic of creating world-class universities and disciplines. It is to focus on the construction of several universities and disciplines, but in different historical periods, the purpose of supporting the construction of universities is different. In the 1950s and 1960s, the key university construction strategy was to concentrate limited resources to build a group of higher-level universities to better serve the country’s economic and social construction. At present, with the improvement of China’s education level, the higher education needs to “face modernization, face the world, face the future,” and have a broader vision to better connect with the world and the international community. Chapter 1 concentrates on shaping double first-class university in China from a perspective of the policy analysis. After more than 40 years of reform, since opening and modernization, China’s higher education has made remarkable achievements. In terms of quantity, in 1999, the Ministry of Education issued the Action Plan for The Revitalization of Education in the 21st Century, which put forward the educational reform policy for the expansion of colleges and universities. Since 2002, the gross enrollment rate of higher education in China has reached 15% and entered the stage of higher education popularization. In 2019, the gross enrollment rate of higher education in China reached 51.6% and entered the stage of higher education popularization. Specifically, the policy connotation of “double first-class university” construction, the policy change of “double first-class university” construction, policies, and standards for the construction of “double first class” and summary of the policy for “double first-class” construction have been explored in this chapter. Chapter 2 concentrates on shaping double first-class university in China from a perspective of data analysis. The construction of “double first class” will be based on the “211 Project” and “985 Project” high-level university construction and the v

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original “national key discipline construction” integration, not only to ensure the continuity of the key construction policy, but also to keep pace with The Times for China’s higher education reform and development of higher targets and positioning. The Outline of the National Medium—and Long-term Plan for Education Reform and Development (2010–2020) issued by the government in 2010 clearly states: “On the basis of the construction of key disciplines, we will continue to implement the ‘project 985’ and the construction of innovation platforms for advantageous disciplines, continue to implement the ‘Project 211’ and launch key discipline projects with distinctive features.” The overall landscape of shaping double first-class university, the major analysis of double first-class university, and summary of double firstclass construction data have been offered to explore how to shape double first-class universities in China, contextually. Chapter 3 focuses on exploring the teacher cultivation to shape double first-class universities in China. It is an important part in the process of teacher training to improve the teaching ability of college teachers. The ability of education and teaching is the basic ability that a teacher should have, including the ability of education and teaching. Educational ability means that teachers should guide students to establish correct three views, cultivate students’ sense of social responsibility and mission, and stimulate students’ patriotic and socialist feelings. Teaching ability refers to a teacher’s ability to prepare, implement, and reflect on teaching practice. Policy analysis on the construction of teachers in first-class universities, summary of policies for the construction of the faculty of double first-class universities, and the summary of double first-class university teachers’ cultivation have been offered in this chapter. Chapter 4 involves examining the student cultivation for shaping double first-class university in China. Since 2015, the country has issued nine relevant policies on talent training. From the year of the document’s release, at least one policy document related to talent cultivation has been issued every year since 2015. At the same time, more and more policies have been issued in the past 2–3 years. On average, there are two documents each year focusing on talent training, which also reflects China’s growing determination to build an educational power, so the emphasis on education construction has been deepened. The overall review of student cultivation for shaping double first-class university in China, policy characteristics of student cultivation, and summary of student training have been explored in this chapter. Chapter 5 concentrates on exploring the scientific research for creating double first-class university in China. As the key to knowledge innovation and discipline development, scientific research is of great significance to the construction of firstclass universities and disciplines. The double first-class university research policy, the double top university discipline evaluation, analysis of the subject evaluation results of the double first-class discipline construction universities, characteristics of university Scientific research under the background of double first-class construction, and summary of scientific research of double first-class universities have examined in this chapter.

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Chapter 6 involves exploring the transformation of science and technology to shape the double first-class university in China. It is found that the policy environment created by the government plays an important role in promoting the transformation of scientific and technological achievements, and the complicated approval procedures for policy implementation and low efficiency are the most direct factors affecting the effect of the transformation of scientific and technological achievements at the present stage. The policies for the transformation of scientific and technological achievements of first-class universities, policy characteristics, questions, and suggestions have been offered in this chapter. Chapter 7 focuses on shaping double first-class university in China from the perspective of the financial input. From 2018, when allocating special funds, the central government will consider the construction of local “double first-class” programs and actively support local universities in building first-class disciplines. In terms of the use of funds, each region shall be given greater autonomy, and the funds shall be allocated according to factors, reaching the provincial level at a lower limit. The top university financial investment policy, the remuneration of teachers, financial input data of the two first-class universities, financial Investment analysis of double top universities, the relationship between the number of first-class disciplines and budgetary revenue, and problems and suggestions on financial Investment of double top universities have been explored in this chapter. Chapter 8 concentrates on exploring the internationalization of higher education to build double first-class university. The internationalization of higher education refers to the mutual learning, penetration, and docking of higher education among countries and regions in the world. It not only includes the two-way or multi-directional flow of international students, but also reflects the communication, convergence, and integration of higher education in different countries and regions in terms of school-running philosophy, functional setting, operation mechanism, management mode, teaching content and methods, as well as the sharing of teaching resources. In short, it is the development process and general trend of a country’s higher education toward the international arena. The introduction, the internationalization policy of universities at the national level, policy analysis, limitations exist in the applicability of internationalization policies, and internationalization strategy of world-class universities have been explored in this chapter. Chapter 9 involves exploring the university ranking to shape double first-class university in China. In addition, as a traditional old industrial base, this historical tradition also has a profound impact on its discipline distribution; that is, strong disciplines are concentrated in engineering, such as the typical example of Harbin Institute of Technology. The distribution of universities and disciplines, index analysis of domestic and foreign ranking lists, analysis of QS ranking indicators and methods, comparison of educational output indicators, index characteristics, index system, and subject evaluation index have been examined in this chapter. Chapter 10 focuses on investigating the policy assessment for shaping double first-class university in China. The construction of a first-class university should be a university with advanced school-running idea, strong school-running strength, and high social recognition after long-term key construction. It should have a certain

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number of high-level disciplines leading in China and leading in the world and achieve remarkable results in the reform and innovation and the construction of modern university system. To build first-class disciplines, universities should have high-level disciplines that are in the forefront of domestic or international disciplines, whose discipline level is in the forefront of influential third-party evaluation, or that are urgently needed by the country, have significant industry or regional influence, have outstanding discipline advantages, and are irreplaceable. Policy evaluation index of double first-class construction, analysis of evaluation indexes of the “double first-class” construction discipline, policy evaluation procedure for double first-class construction, evaluation results, characteristics of double first-class construction evaluation system and problems existing in the policy evaluation of the double first-class construction have been explored in this study. Beijing, China

Jian Li Eryong Xue

Acknowledgements

In the realization of this book, our contributors have been supportive and willing to share their opinions and perspective on how to explore the overall Chinese education policy landscape from a concept-added policy chain perspective. We are grateful for the generosity and positive spirit of collegiality. While most of the chapters in this book are original, several are adopted from our previously published material and editors are grateful for the kind permissions granted to facilitate this. Acknowledgement Eryong, Xue, and Jian Li share the co-first authorship and contribute equally in this book.

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Contents

1

The Policy Analysis of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1 The Policy Connotation of Creating Double First-Class University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.1.1 The Implementation Background of Creating Double First-Class University . . . . . . . . . . . . . . . . . . . . . . 1.1.2 The Definition of Double First Class . . . . . . . . . . . . . . . . . 1.2 The Policy Changes of Double First-Class University . . . . . . . . . . 1.2.1 Stage 1: The Introduction and Continuous Improvement of the Guiding Overall Plan (2015) . . . . . . 1.2.2 Stage 2: The State Improves Specific Implementation Plans, Speeds Up Construction, and Implements Them in Colleges and Universities (2017) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.2.3 Stage 3: Evaluate and Summarize the Preliminary Construction Situation and Continue to Make Steady Progress (2019) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3 Principles, Policies, and Standards for Creating Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.1 Advocate Talent Training as the Starting Point of Double First-Class Construction . . . . . . . . . . . . . . . . . . 1.3.2 Uphold Moral Education and Cultivate the Core Socialist Values . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.3 Promote Innovative Personnel Training Mode, Collaborative Education Mechanism and Entrepreneurship Education . . . . . . . . . . . . . . . . . . . . 1.3.4 Actively Promote the Reform of Curriculum System and Teaching Content . . . . . . . . . . . . . . . . . . . . . . 1.3.5 Scientific Research as an Important Support for the Construction of Double First Class . . . . . . . . . . . .

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1.3.6

Social Services as the “Third Mission” of Double First-Class Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.7 The Policy Implementation Measures on the Selection Criteria of Double First-Class in Social Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.8 The Policy Implementation Measures for the Cultural Inheritance . . . . . . . . . . . . . . . . . . . . . . . . . 1.3.9 The Double First-Class Universities with Four Standards in Faculty Training . . . . . . . . . . . . . . . . . . . . . . . 1.4 Summary of the Policy for Creating Double First-Class . . . . . . . . 1.4.1 The Standards for the Construction of First-Class Universities and the Construction of First-Class Disciplines Are Not Clear . . . . . . . . . . . . . . . . . . . . . . . . . . 1.4.2 The Connection Between the Double First-Class Construction and the “211 Project”, “985 Project” and Other Key Construction Projects Has not Been Properly Solved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.4.3 The Policy Transmission of Double First-Class Construction Still Adopts the Traditional “Top-Down” Transmission Mode . . . . . . . . . . . . . . . . . . . 1.4.4 Excessive Use of Coercive Policy Tools . . . . . . . . . . . . . . 1.5 Suggestions on Further Improving the Double First-Class Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.5.1 Promote the Openness and Transparency of the Double First-Class Policy and Improve the Evaluation Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.5.2 Strengthen the Dynamic Adjustment of Double First-Class Construction, Improve the Competition Mechanism, and Break the Identity Solidification . . . . . . 1.5.3 Use Modern Information Technology to Build the Information Channel of Double First-Class Policy Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1.5.4 Rational Use of Policy Tools to Establish a Multi-agent Participation Mechanism for Sustainable Development . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

The Data Analysis of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1 The Overall Landscape of Shaping Double First-Class University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.1 The Policy Text of Shaping Double First-Class University . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.1.2 The Policy Document Analysis of Shaping Double First-Class University . . . . . . . . . . . . . . . . . . . . . .

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The Major Analysis of Double First-Class University . . . . . . . . . . 2.2.1 Discipline Construction as the Foundation Project of “Double First-Class” University . . . . . . . . . . . . . . . . . . 2.2.2 The Publication of the First-Class Discipline Construction List and the Promotion of the First-Class Discipline Construction Policy . . . . . . 2.2.3 The Types of the Selected First-Class Universities Are Unevenly Distributed, and the Selected First-Class Disciplines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.4 The First-Class Construction Discipline with “Chinese Characteristics” . . . . . . . . . . . . . . . . . . . . . . 2.2.5 The Regional Distribution of the First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.2.6 The Uneven Regional Distribution of the First-Class Universities . . . . . . . . . . . . . . . . . . . . . . 2.2.7 The Gap in Resource Allocation of Higher Education Among Provinces . . . . . . . . . . . . . . . . . . . . . . . 2.3 Questions of Double First-Class Construction Data . . . . . . . . . . . . 2.3.1 How to Lay Out the Double First-Class Universities Facing Difficulties? . . . . . . . . . . . . . . . . . . . . 2.3.2 The Layout of Disciplines and Majors Is Facing Difficulties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.3.3 The Allocation of Resources Between Central and Local Double First-Class Universities and General Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4 Suggestions of Double First-Class Construction Data . . . . . . . . . . 2.4.1 Establish a New Development View of Higher Education Based on System Theory and Ecological Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4.2 Adjust the Layout of Disciplines and Majors in Accordance with the Discipline Development Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2.4.3 Build a Comprehensive and Interdisciplinary First-Class Discipline System . . . . . . . . . . . . . . . . . . . . . . . 2.4.4 Deeply Participate in the “One Belt and One Road” Initiative to Improve the Internationalization Level of Higher Education in Western China . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

The Teacher Cultivation of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1 Policy Analysis on Teachers’ Cultivation in First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.1 The Policies for the Teaching Staff in China . . . . . . . . . .

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3.1.2

The Policies for the Faculty of Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.1.3 The Reform of Teacher Evaluation System . . . . . . . . . . . 3.2 The Problems of Double First-Class University Teachers’ Cultivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.2.1 Imperfect Talent Introduction Mechanism . . . . . . . . . . . . 3.2.2 Lack of Teachers and Weak Strength . . . . . . . . . . . . . . . . 3.2.3 The Unbalanced Content of Teacher Training . . . . . . . . . 3.2.4 The Unbalanced Distribution of Scientific Research Tasks and Teaching Work . . . . . . . . . . . . . . . . . . 3.2.5 Uneven Geographical Distribution of Teachers . . . . . . . . 3.3 Suggestions on the Construction of the Faculty of Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.1 Improve the Talent Introduction Mechanism and Define the Functional Division of Labor . . . . . . . . . . 3.3.2 Optimize the Structure of the Teacher Team and Rationally Control the Ratio of Students to Teachers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3.3.3 Adjust the Content of Teacher Training and Balance Scientific Research and Teaching . . . . . . . . 3.3.4 Improve the Talent Evaluation System and Pay Attention to the Characteristics of Disciplines . . . . . . . . . 3.3.5 Give Full Play to the Role of Teacher Development Center and Improve Its Quality . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

The Student Cultivation of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.1 The Overall Review of Student Cultivation for Shaping Double First-Class University in China . . . . . . . . . . . . . . . . . . . . . . 4.1.1 The Overall Plan Policy Text of Student Cultivation . . . 4.1.2 The Other Relevant Policy Texts of Student Cultivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2 Policy Characteristics of Student Cultivation . . . . . . . . . . . . . . . . . 4.2.1 It Is the Task to Cultivate New People of the Era to Take on the Great Task of National Rejuvenation . . . . 4.2.2 Based on Guiding Students to Grow and Become Talents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2.3 Disseminating Advanced Culture and Core Values . . . . . 4.2.4 Strengthening Undergraduate and Graduate Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2.5 Enhancing Innovation and Entrepreneurship as the Core . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.2.6 Focusing on Cultivating High-Level and High-Level Talents . . . . . . . . . . . . . . . . . . . . . . . . . . . .

54 56 62 62 63 64 64 64 65 65

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Hierarchical Analysis of Students in Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.1 Institutional-Based Analysis of Students in Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.3.2 Program-Based Analysis of Students in Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4 Problems of Student Cultivation in Creating Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.4.1 Lack of Talent Cultivation Information . . . . . . . . . . . . . . . 4.4.2 Convergence of Talent Cultivation Objectives . . . . . . . . . 4.4.3 Regional Imbalance in Talent Cultivation . . . . . . . . . . . . . 4.5 Suggestions of Student Cultivation in Creating Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.1 Reasonably Adjust the Student Hierarchy Structure and Control the School Scale . . . . . . . . . . . . . . . 4.5.2 Create the Characteristics of Double First-Class Talent Cultivation and Promote the Personalized Development of Talents . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4.5.3 Rationally Allocate Higher Education Resources and Promote Balanced Distribution of Talents . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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The Scientific Research of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1 The Double First-Class University Research Policy . . . . . . . . . . . . 5.1.1 The Outline of Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.1.2 Policy Characteristics and Guidance . . . . . . . . . . . . . . . . . 5.2 The Double First-Class University Discipline Evaluation . . . . . . . 5.2.1 Analysis of Discipline Evaluation Mechanism . . . . . . . . 5.2.2 The Adjustment Process of the Evaluation Index System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.3 The Content of the Index System Emphasizes Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.2.4 The Standards of the Subject Evaluation . . . . . . . . . . . . . 5.2.5 The Categories of the Subject Evaluation . . . . . . . . . . . . . 5.3 Characteristics of University Scientific Research . . . . . . . . . . . . . . 5.3.1 The Distribution Proportion of All Fields Is Stable, with Basic Research and Applied Research as the Main Parts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.3.2 Basic Research and Applied Research Maintain a Small and Stable Growth . . . . . . . . . . . . . . . . . . . . . . . . . 5.3.3 The Gross Base Is Huge and Keeps Steady Growth . . . . 5.3.4 There Is a Wide Gap Between the Total Expenditure of Colleges and Universities . . . . . . . . . . . . .

83 83 84 85 85 86 87 87 87

88 89 90 91 91 91 92 96 96 97 97 99 100 101

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5.4

Problems of Scientific Research of Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4.1 The Level of Basic Research Still Needs to Be Improved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4.2 The Imbalance in Regional Development Is Significant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.4.3 Insufficient Academic Research at the Undergraduate Stage . . . . . . . . . . . . . . . . . . . . . . . . . 5.5 Suggestions of Scientific Research of Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5.5.1 Increase Input and Support in Personnel, Funds and Other Aspects of Basic Research . . . . . . . . . . . . . . . . 5.5.2 Strengthening Public Financial Support for Basic Research in Colleges and Universities . . . . . . . . . . . . . . . 5.5.3 Reasonably Determine the Growth Target of Investment in Basic Research . . . . . . . . . . . . . . . . . . . . 5.5.4 Strengthen Overall Control and Promote Regional Cooperation in Scientific Research . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

The Transformation of Science and Technology of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1 Policies for the Transformation of Scientific and Technological Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.1.1 Macro Policy Environment . . . . . . . . . . . . . . . . . . . . . . . . . 6.1.2 Policy of Funding Support . . . . . . . . . . . . . . . . . . . . . . . . . 6.1.3 Establishing Transformation Institutions . . . . . . . . . . . . . 6.1.4 Intellectual Property Policies and Incentive Policies for Achievement Distribution . . . . . . . . . . . . . . . 6.1.5 Policy Characteristics of the Transformation of Scientific and Technological Achievements . . . . . . . . 6.2 The Characteristics of the Transformation of Scientific and Technological Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.1 Continuously Optimize the Policy Environment for the Transformation of Scientific and Technological Achievements . . . . . . . . . . . . . . . . . . . . 6.2.2 Pay Attention to the Continuous Improvement of Professional Institutions and Service Platforms . . . . . 6.2.3 New Breakthroughs Are Made in the Incentive Mechanism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.2.4 Shift from Quantity to Quality . . . . . . . . . . . . . . . . . . . . . . 6.3 The Data Analysis of Scientific and Technological Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.3.1 The Analysis of Overall Development Vitality . . . . . . . .

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6.3.2

The Analysis of the Enterprise in the Production of High-Tech and Professional Products . . . . . . . . . . . . . . 6.3.3 The Analysis of Enterprises Among Regions and Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4 Problems of the Transformation of Scientific and Technological Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4.1 Some Local Colleges and Universities Lack Experience in Implementing Transformation . . . . . . . . . . 6.4.2 Insufficient Execution of Policy Subjects . . . . . . . . . . . . . 6.4.3 Unreasonable Organization and Management of Government Science and Technology Programs . . . . . 6.4.4 The Restructuring of School-Run Industry Is Incomplete . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4.5 The Fund Gap of Science and Technology Enterprises in Universities Is Serious . . . . . . . . . . . . . . . . 6.4.6 The Technology Conversion Rate of Science and Technology Enterprises in Universities Is Not High . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.4.7 Small University Science and Technology Enterprises Face Difficulties in Survival . . . . . . . . . . . . . . 6.5 Suggestions of the Transformation of Scientific and Technological Achievements . . . . . . . . . . . . . . . . . . . . . . . . . . . 6.5.1 Improve the Organization and Management of Government Science and Technology Programs . . . . . 6.5.2 Accelerate the Restructuring Process of University-Run Industries . . . . . . . . . . . . . . . . . . . . . . . 6.5.3 Promote Diversification of Investment Subjects of Enterprises and Improve Financing Mechanism . . . . . 6.5.4 Improve the Conversion Rate of Scientific Research Achievements of Universities and Enterprises in Multiple Ways . . . . . . . . . . . . . . . . . . . 6.5.5 Streamline the Number of Science and Technology Enterprises in Colleges and Universities and Improve Their Operating Efficiency . . . . . . . . . . . . . . 6.5.6 Optimize the Legal Environment of Science and Technology Enterprises in Universities . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

The Financial Input of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.1 Central Financial Support for Colleges and Universities . . . . . . . . 7.1.1 Implementation Measures in the Overall Program . . . . . 7.1.2 Support for Central and Provincial Universities . . . . . . . 7.1.3 Main Contents of Financial Support . . . . . . . . . . . . . . . . . 7.1.4 The Remuneration of Teachers . . . . . . . . . . . . . . . . . . . . . .

126 128 130 130 130 131 131 132

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138 139 139 141 141 142 143 145 149

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7.2

Financial Investment Analysis of Double First Universities . . . . . 7.2.1 Horizontal Changes in the Financial Allocation for the Double First-Class Construction from 2016 to 2020 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.2.2 The Difference of Financial Allocation Budget Between the Double First-Class Universities of Different Types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.2.3 The Relationship Between the Number of the Double First-Class Disciplines and Budgetary Revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3 Problems on Financial Investment of Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3.1 The Scale and Efficiency of Financial Input . . . . . . . . . . . 7.3.2 Geographical Distribution of Financial Input . . . . . . . . . . 7.3.3 Differences in Financial Input Between Subordinate Units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.3.4 School Level Solidification of Financial Investment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.4 Suggestions on the Financial Investment of the Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.4.1 Steadily Promote the Double First-Class Universities and Give Consideration to Both the Scale of Financial Investment and Benefits . . . . . . . . 7.4.2 Financial Input Should Be Appropriately Tilted to the West to Establish a Scientific Performance System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.4.3 The Combination of Strength Concentration and Priority Concerns Slows the Gradient of Resource Allocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7.4.4 Provide Peer Support to Provincial Universities and Set up Local Special Funds . . . . . . . . . . . . . . . . . . . . . 7.4.5 Improve the Performance Evaluation Mechanism and Break the Identity Barrier . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

The Internationalization of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.1 The Internationalization Policy of Double First-Class Universities at the National Level . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.1.1 Specific Contents of the Policy Text of Internationalization Policy of Double First-Class Universities at the National Level . . . . . . . . . 8.1.2 Policy Analysis of the Internationalization Policy of Double First-Class Universities at the National Level . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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155 156 156 157 158 158 159

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Problems in the Applicability of Internationalization Policies of Double First-Class Universities . . . . . . . . . . . . . . . . . . . 8.2.1 Many Chinese Universities Fail to Consider Their Own Specific Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.2.2 There Are Various Forms of Internationalization Development, but Some Deficiencies Still Exist in Some Respects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.3 Suggestions of Internationalization Development of Double First-Class Universities in China . . . . . . . . . . . . . . . . . . 8.3.1 The Development of Internationalization of First-Class Universities Should Emphasize Global and International Vision Rather Than International Competitiveness . . . . . . . . . . . . . . . . . . . . . . 8.3.2 We Should Focus on Internationalization of the Management in Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8.3.3 “One Belt and One Road” Should Have a Significant Impact on the Internationalization Development Strategy of Higher Education . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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The Rankings of Creating World-Class Universities in China . . . . . . 9.1 The Overview of Universities and Disciplines in China . . . . . . . . 9.1.1 Uneven Regional Distribution of Universities and Disciplines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.2 Index Analysis of Domestic and Foreign Ranking Lists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.1.3 Analysis of QS Ranking Indicators and Methods . . . . . . 9.1.4 Comparison of Educational Output Indicators . . . . . . . . . 9.2 Index Characteristics of Rankings . . . . . . . . . . . . . . . . . . . . . . . . . . 9.2.1 Index System of Rankings . . . . . . . . . . . . . . . . . . . . . . . . . 9.2.2 Subject Evaluation Index of Rankings . . . . . . . . . . . . . . . 9.3 Problems of Rankings for Creating Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.3.1 China’s Main Rankings Do not Set Up Relevant Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.3.2 Lack of Attention to the Internationalization of Colleges and Universities . . . . . . . . . . . . . . . . . . . . . . . . 9.3.3 The Single Evaluation Index of University Internationalization Cannot Correctly Reflect the Level of University Internationalization . . . . . . . . . . . 9.4 Suggestions of Rankings for Creating Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9.4.1 Attach Importance to the Establishment of Internationalization Indicators . . . . . . . . . . . . . . . . . . . .

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9.4.2 9.4.3

Pay Attention to the Quality of Internationalization . . . . Promote Construction by Evaluation, and Suggest the Establishment of Negative Indicators . . . . . . . . . . . . . 9.4.4 Combination of Qualitative and Quantitative Indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 The Policy Assessment of Creating World-Class Universities in China . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.1 Policy Evaluation Index of Double First-Class Universities . . . . . 10.1.1 Specific Selection Indicators: Evaluation Index of Double First-Class Construction Published in the Documents of the Ministry of Education . . . . . . . . 10.1.2 University Ranking Organizations Published on the Double First-Class Assessment Indicators . . . . . . 10.1.3 Opinions of Other Scholars on the Evaluation Criteria of Double First-Class Disciplines . . . . . . . . . . . . 10.2 Analysis of Evaluation Indexes of the Double First-Class Discipline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.1 How to Evaluate the Development Quality After Graduation? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.2.2 The Meaning of a World-Class University . . . . . . . . . . . . 10.2.3 The Goal of a Double First-Class University . . . . . . . . . . 10.3 Policy Evaluation Procedure for Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.3.1 Establishment of Expert Committee . . . . . . . . . . . . . . . . . 10.3.2 Determine the Evaluation Criteria . . . . . . . . . . . . . . . . . . . 10.3.3 List of Universities to Be Built . . . . . . . . . . . . . . . . . . . . . . 10.3.4 University to Compile Construction Scheme . . . . . . . . . . 10.3.5 Review by the Expert Committee . . . . . . . . . . . . . . . . . . . 10.4 Characteristics of Double First-Class Evaluation System . . . . . . . 10.4.1 Clear Educational Objectives and Positioning . . . . . . . . . 10.4.2 Take Students as the Foundation and Cultivate First-Class Talents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.4.3 Build with the Gathering of Academic Masters . . . . . . . . 10.4.4 Pay Attention to Scientific Research and Produce First-Class Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.4.5 Actively Assume Social Responsibilities and Serve the National Strategy . . . . . . . . . . . . . . . . . . . . . 10.4.6 Compatible with Package, High Level of Internationalization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.4.7 Academic Freedom, Excellent School Spirit and Rich Characteristics . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.5 Problems Existing in the Policy Evaluation of the Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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10.5.1 10.5.2 10.5.3 10.5.4

Evaluation Theory Lags Behind Practice . . . . . . . . . . . . . Single Assessment Subject . . . . . . . . . . . . . . . . . . . . . . . . . Unclear Positioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Selection and Management of Construction Objects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.5.5 Make Multiple Value Judgments . . . . . . . . . . . . . . . . . . . . 10.5.6 The Goal of Social Justice . . . . . . . . . . . . . . . . . . . . . . . . . 10.6 Suggestions in the Policy Evaluation of the Double First-Class Universities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10.6.1 Highlight the Two Characteristics of “Chinese Characteristics” and “First-Class” . . . . . . . . . . . . . . . . . . . 10.6.2 Create an Open Evaluation Dimension . . . . . . . . . . . . . . . 10.6.3 Build an Independent Data Monitoring Platform . . . . . . . 10.6.4 Promote the Benign Development of “Double First-Class” Universities and Disciplines . . . . . . . . . . . . . 10.6.5 The Government Should Grant Full Autonomy to Colleges and Universities . . . . . . . . . . . . . . . . . . . . . . . . References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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About the Authors

Jian Li is the assistant professor in China Institute of Education Policy, Faculty of Education, Beijing Normal University, China. She received her Ph.D. degree in Educational Leadership and Policy Studies (ELPS), School of Education, Indiana University Bloomington. Her research interests focus on education policy studies, world-class universities, globalization, and internationalization of higher education. She has published over 60 articles and books regarding China’s education policy and comparative higher education studies. She currently also serves as think tanker at China Institute of Education and Social Development, Beijing Normal University. Her general area of scholarship is on the assessment of education policy within education institutions comparatively. Within this general area, she has pursued four themes: the education policy studies, globalization of higher education, higher education policy and management, undergraduate students’ global learning performance assessment, faculty academic innovation perspective within higher education and comparative higher education development as a framework for institutional research. She has published over 60 articles, 20 monographs and chapters and delivered over 60 workshops and seminars and offered more than 20 keynote, peer-reviewed, and invited presentations throughout the USA and in Europe, Africa, and Asia.

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Eryong Xue is the professor in China Institute of Education Policy, Faculty of Education, Beijing Normal University, China. Changjiang scholars (young scholars) awarded by the Ministry of Education in China. He is also a research fellow of the center for science and technology and education development strategy in Tsinghua University. He is also a postdoctoral fellow in the public administration of Tsinghua University. He has published more than 100 Chinese and English papers in the field of educational research. He has produced more than 100 CSSCI and SSCI articles. He has won the seventh award for outstanding achievements in scientific research in institutions of higher learning, the fifth national award for outstanding achievements in educational scientific research, and the award for outstanding achievements in political participation and discussion by the central committee for China Association for Promoting Democracy (CAPD) for more than 60 times. More than 60 independent or co-authored consulting reports were adopted by decision-making departments or approved by leaders. He has presided over more than 10 national or provincial projects such as national social science fund, natural science fund, ministry of education humanities and social science fund, Beijing philosophy and social science project, participated in nine national or provincial key projects such as ministry of education philosophy and social science project, and two international cooperation projects. The project of national natural science foundation of China was awarded excellent. He has been honored as the advanced worker of summer social practice for students at Capital College and technical secondary school, the outstanding talent of Beijing division, the young talent of Beijing social science federation, the outstanding talent of Beijing universities and colleges, and the outstanding talent of Beijing. Main social part-time jobs are member of the 14th committee of the communist youth league of Beijing, deputy director of the working committee of college students and young teachers, special expert of China education association, China education development strategy society, national academic-level office, director of Beijing postdoctoral fellowship (the 20th session).

Chapter 1

The Policy Analysis of Creating World-Class Universities in China

This chapter concentrates on shaping double first-class university in China from a perspective of the policy analysis. After more than 40 years of reform, since opening and modernization, China’s higher education has made remarkable achievements. In terms of quantity, in 1999, the Ministry of Education issued the Action Plan for The Revitalization of Education in the twenty-first century, which put forward the educational reform policy for the expansion of colleges and universities. Since 2002, the gross enrollment rate of higher education in China has reached 15 percent and entered the stage of higher education popularization. In 2019, the gross enrollment rate of higher education in China reached 51.6 percent and entered the stage of higher education popularization. Specifically, the policy connotation of “Double firstclass University” construction, the policy change of “Double first-class university” construction, policies, and standards for the construction of “Double first class” and summary of the policy for “Double first class” construction have been explored in this chapter.

1.1 The Policy Connotation of Creating Double First-Class University 1.1.1 The Implementation Background of Creating Double First-Class University In terms of quality, China’s strategy of building key universities began in the 1950s and 1960s. Since 1995, China has carried out a series of construction projects of key universities and key disciplines, such as “211 Project”, “985 Project”, “985

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_1

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Project Advantageous discipline innovation platform” and “characteristic key discipline Project”, and these key construction projects have also made some achievements. In more than a decade, many universities have been ranked among the world’s top universities. However, there is still a gap between China’s universities and disciplines and the world’s first-class universities in terms of “software” such as university scientific research innovation, institutional innovation, and university spiritual and cultural innovation. And the original key construction projects also exist identity solidification, lack of competition, overlapping and other problems. Therefore, in November 2015, the State Council issued the Plan for Promoting the Construction of World-class Universities and First-class Disciplines, integrated existing resources, innovated the implementation methods, and made a “double first-class” construction strategy to adapt to the reform and development of higher education in the new era (Han 2015; Ding 2001; Wang et al. 2010).

1.1.2 The Definition of Double First Class The construction of “double first-class” refers to the construction of world-class universities and first-class disciplines. It is an important strategic decision made by the CPC Central Committee and the State Council, as well as an important strategy for the reform and development of higher education in China. The essence of building world-class universities and disciplines is to focus on the construction of several universities and disciplines, but in different historical periods, the purpose of supporting the construction of universities is different. In the 1950s and 1960s, the key university construction strategy was to concentrate limited resources to build a group of higher-level universities to better serve the country’s economic and social construction. At present, with the improvement of China’s education level, education needs to “face modernization, face the world, face the future”, and have a broader vision to better connect with the world and the international community. “Double first-class” also refers to the first-class in the world. Du Yubo, President of the China Association of Higher Education, former deputy Secretary of the CPC Leading Group and Vice Minister of The Ministry of Education, said in his speech at the 2018 International Forum on Higher Education annual Conference that “first-class” is rich in connotation, has many elements and diversified standards, and all kinds of colleges and universities can strive to be first-class. Therefore, “world-class university” is a relative concept, and different scholars have different views on “world-class university”. Domestic scholar Ding Xueliang believes that world-class universities must first be research universities with the spirit of “universalism”, and their faculty, students, research, and teaching contents need to be international. John Feng, executive vice President of the Association of American Universities, believes that worldclass universities need to have enough disciplines and should be recognized by most countries and universities in the world, but the standards for world-class universities are always related to the starting point of classification, and there can be different

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standards in different occasions. The Outline of The National Plan for Medium— and Long-term Education Reform and Development (2010–2020) indicates that the construction of Chinese universities in the new era pays attention to international competitiveness and improving the modern university system with Chinese characteristics is also an important task in the next stage. Therefore, these factors should also be taken into consideration when China implements the construction of “double first-class”. In 2017 by the state development and reform commission, Ministry of Finance, the Ministry of Education “as a whole develop world class universities and first-class discipline construction measures for its implementation (provisional)” clearly put forward the “world-class university” selection criteria, “build first-class university colleges and universities should be after a long key construction, advanced educational philosophy and high strength of running a school and the social recognition of colleges and universities, must have a certain amount in the front row in the leading domestic, international high level of discipline, in innovation and remarkable achievements in the construction of modern university system”. The standard not only requires the hard power and philosophy of universities, but also reflects the inheritance of key university construction projects in the previous stage, such as “211 Project” and “985 Project” (Han 2015; Ding 2001; Wang et al. 2010). Discipline is the basic unit of a university and clarifying the connotation of “worldclass discipline” plays a vital role in the construction of “world-class university” and the overall construction of “double first-class”. China also attaches great importance to the education assessment of the third party since last century, 18, 2013 the third plenary session put forward the government supervision as a whole, independent school education, social evaluation monitoring, in 2015, the education management system reform of big file “about deepening education tube to do a review of the separation of the Ministry of Education, to promote the transition of government function, several opinions,” opinion “expounds the education management in our country, the government offside phenomenon still exist, and put forward the” support professional institutions and social organizations to carry out the education assessment. As a result, the overall consideration the world first-class university and the firstclass discipline construction measures for its implementation (provisional) “in the world class discipline” requirements for academic level “the leading domestic or international frontier”, “the influential third-party evaluation into the forefront, in or urgent need, has the significant industry or regional influence, discipline advantage prominent, with an alternative”. The construction of “double first class” does not just focus on world first class. In 2014, President Xi Jinping pointed out at a seminar for teachers and students of Peking University, There will not be another Harvard, Oxford, Stanford, MIT, Cambridge, but there will be the first Peking, Tsinghua, Zhejiang, Fudan and other famous Chinese universities. We should absorb the world’s advanced experience in running schools and running universities, and more importantly, we should follow the rules of education and build universities on the Chinese soil. During his visit to Peking University in 2018, he further pointed out that “to make higher education a success in the process of national development and build a world-class university, we must first make great efforts to reflect Chinese characteristics”. China has a unique

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history, culture, and national conditions, which determines that China must take its own way of higher education development, to build socialist colleges and universities with Chinese characteristics. Du Yubo, President of the China Association of Higher Education, also said that China is promoting the construction of first-class universities and disciplines in a coordinated way. The fundamental standpoint and starting point are to take root in China and build a “double first-class” with Chinese characteristics. Therefore, construction of “double top” need to fully implement the party’s education policy, adhere to the socialist direction of running, combined with the specific national conditions, to support the innovation driven development strategy, economic and social development as the guide, with “Chinese characteristics, a world-class” as the core, to implement the “two” one hundred goals and the great rejuvenation of the Chinese nation the Chinese dream to provide strong support (MOE 2015, 2020; Zhou and Wu 2016).

1.2 The Policy Changes of Double First-Class University Since the first overall plan was put forward in 2015, the policy change of “double first class” construction can be divided into three stages.

1.2.1 Stage 1: The Introduction and Continuous Improvement of the Guiding Overall Plan (2015) In March 2015, Premier Li Keqiang proposed to build world-class universities and disciplines in the Government Work Report. In August 2015, the 15th meeting of the Central Leading Group for Deepening Overall Reform approved the Overall Plan for Promoting the Construction of World-class Universities and First-class Disciplines (hereinafter referred to as the Overall Plan), and the “Double first-class” construction was officially put on the policy agenda. In November of the same year, the State Council officially issued the plan. The Overall Plan is a macro-education public policy based on the top-level design and oriented in a clear way. It expounds the background and necessity of the construction of the “double top”, put forward the construction of “double top” based on “211 project”, “985 project” and “advantage discipline innovation platform” and “special project” key disciplines, etc., on the basis of key construction, is the field of higher education in the past of the integration of key construction and improvement, to enhance the level of education development in our country, enhance the national core competitiveness, to lay the foundation for the longterm development has important significance. On the guiding ideology, the scheme with “Chinese characteristics, a world-class” as the core, adhere to the “first-class performance as the goal, based on the subject, as a lever, driven by reform of the” four cardinal principles, and established in 2020, 2030, by the middle of the century, three

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important node of the first-class construction is put forward “three steps” strategy. Specific tasks of the scheme is divided into construction and reform, construction tasks include faculty development, talent cultivation, scientific research, cultural heritage and achievement transformation in five aspects, reform tasks including to strengthen and improve party leadership, perfect the internal governance structure in colleges and universities, a breakthrough in key links, build social participation mechanism, and promote international exchanges and cooperation in five (Han 2015; Ding 2001; Wang et al. 2010; MOE 2020). The construction of “double first class” is a long-term project with a cycle of five years, which requires constant guidance and support. The overall plan has established the way for the government to guide and support this. First, overall planning and hierarchical support. Central colleges and universities are mainly responsible by the central finance, but local finance is also encouraged to support central colleges and universities in funds, policies and resources. Local colleges and universities are mainly responsible by the local finance, and the central finance will also provide some funds to guide and support them. Second, performance enhancement and dynamic support. Provide financial support based on performance orientation, and dynamically adjust the support strength through sound performance evaluation mechanism, with special emphasis on objective and neutral third-party evaluation. Third, multiple inputs and joint efforts should be made to improve the joint construction mechanism combining government, society and schools. In terms of organization and implementation, the National Education System Reform Leading Group, the Ministry of Education, the Development and Reform Commission and the Ministry of Finance are respectively responsible for different tasks. In the process of implementation, it is necessary to constantly improve supporting policies, formulate construction plans, carry out consultation and demonstration, and strengthen tracking and guidance to ensure the smooth progress of the project. In addition to the overall plan, some other documents of the Ministry of Education and the holding of relevant meetings also reflect the importance and continuous improvement of the “double first-class” construction. In February 2016, the Ministry of Education issued the “Key Points of Work of the Ministry of Education for 2016” mentioned that it was necessary to “accelerate the construction of first-class universities and disciplines”, “formulate the implementation measures of ‘double first-class’, study and formulate fund management and performance evaluation methods, and establish an information publicity network platform”. In March 2016, the Ministry of Education held a video conference on the compilation of the 13th Five-Year Plan of directly affiliated universities and the special work of education and teaching reform of universities affiliated to central departments. Lin Huiqing, vice minister of The Ministry of Education, pointed out that first-class undergraduate education is an important foundation and basic feature of first-class universities, so the construction of first-class undergraduate education should be included in the “double first-class” construction plan. (MOE 2015, 2020; Zhou and Wu 2016).

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1.2.2 Stage 2: The State Improves Specific Implementation Plans, Speeds Up Construction, and Implements Them in Colleges and Universities (2017) 2015 is the initial stage of China’s “double first class” construction. Since 2017, the country has issued specific implementation plans for the “double first class” construction to accelerate the speed of the construction. Local governments and universities have also issued relevant policies to implement this. At the national level: specific implementation plans shall be issued to continuously improve and accelerate the construction speed. During this period, the state issued a number of important documents to promote the construction of “double first class”. On January 25, 2017, the Ministry of Education, the Ministry of Finance and the National Development and Reform Commission issued the Interim Measures for Promoting the Construction of World-class Universities and World-class Disciplines (hereinafter referred to as the Measures). As mentioned above, the Overall Plan is a guiding document, stipulating the core requirements, specific principles and other aspects of the construction of “double first class”, while the Implementation Measures are based on the Overall Plan and implemented to the specific level of operation and implementation. On the main spirit, to implement the “overall scheme of the procedures referred to in the” Chinese characteristics, a world-class “core requirements and first-class” as the goal, on the basis of the subject, with performance as a lever, driven by reform “of the four cardinal principles, and on this basis, the perfect complement to” four comprehensive “strategy layout and the innovation, harmonious and green, open, sharing development concept to promote the construction of” double top. In terms of discipline construction, the Implementation Measures reflect the new consideration of discipline construction serving national development and persisting in supporting the best while supporting the needs of others. On the guidance of the discipline construction, the need to adapt to the need of the national major strategic and geared to the needs of economic and social main battlefield, oriented to the frontier science and technology, outstanding quality of the construction of the benefits and social contribution and international influence, highlight the discipline overlapping fusion and collaborative innovation and outstanding and industrial development, social demand, the latest technology to connect, to deepen the integration production and education. On the focus of the discipline construction, to strengthen the construction of the vital interests of national security and disciplines, to encourage emerging disciplines and interdisciplinary, layout of a batch of national support and in urgent need of the transformation and upgrading of industry and regional development of discipline, active construction with Chinese characteristics, Chinese style, Chinese style of philosophy and social science system, strive to solve the important strategy of economic and social problems, promote national innovation ability and core competitiveness. In addition, the document also further determined the number of discipline construction down. The overall plan mentions only “a number of disciplines and

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more disciplines entering the world-class ranks”, while the Measures explicitly state that “we will support the construction of around 100 disciplines” (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016). In the specific organization and implementation, “implementation measures” have also made provisions. First of all, it has been clear about the selection conditions of first-class universities and first-class disciplines and selection process, define the first-class university construction in colleges and universities, first-class discipline construction in colleges and universities, stipulated by the relevant government departments, universities, research institutions and industry group the world first-class university and the first-class discipline construction committee of experts responsible for selection, according to the standards committee of experts to select the construction of colleges and universities, need to prepare the overall construction plan, and organize the relevant experts, passed after the newspaper belongs to the people’s governments at the provincial level or the competent department of audit in colleges and universities after reported to the Ministry of Education, Ministry of Finance, National Development and Reform Commission, Finally, according to the opinions of the expert committee, the first-class university, the first-class discipline construction university and the construction discipline shall be determined and submitted to the State Council for approval. In terms of support methods, dynamic management and organization and implementation, the Implementation Measures specify the respective responsibilities of the central government, local governments, and universities, and form a support and management mode featuring precise support from the central and local governments, enhanced dynamic management, coordinated deployment of various departments, and information disclosure. In February 2017, the Ministry of Education announced 2017 priorities, reiterated the measures for the implementation of the proposed content, will be “good to organize and implement the construction of” double top, set up the construction committee of experts, put forward the construction of colleges and universities, subject selection standards, procedures and scope, the organization construction in colleges and universities construction plan, set up information publicity network platform “as an important task. In September the same year, the Ministry of Education, Ministry of Finance, National Development and Reform Commission announced the world first-class university and the first-class discipline construction in colleges and universities and construction course list”, including Peking University and other colleges and universities in class A first-class university 36 construction university, Northeastern University, 6 class B construction first-class university and Beijing Jiao tong university, 95 first-class discipline construction in colleges and universities and disciplines. In October 2017, the report of the 19th National Congress of the communist Party of China (CPC) put forward the requirements for the construction of “double firstclass” in the new stage, calling for “accelerating the construction of first-class universities and disciplines, and realizing the consigned development of higher education”. In May 2018, Xi jinping, general secretary of the teachers and students in Beijing university symposium released the important speech, which also mentioned the connotative development, do a good job in the world first-class university with

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Chinese characteristics of the three basic work, including adhere to the correct political orientation, building high-quality teachers, the formation of high level talent cultivation system, for building world-class university with Chinese characteristics provides a guidance and action guide. In addition, since the construction of “double top” to start the universities around the positive response, showing a good momentum, in order to speed up the construction laid a good foundation, but at the early stage, also exist in different degrees of recognition, not deep thinking and not clear, such problems as mechanism is unknown, measures, individual colleges and universities in the construction direction, focus on some key problems such as building also grasp, to strengthen the guidance and instruction. So in August 2018, the Ministry of Education, Ministry of Finance, National Development and Reform Commission issued “on the institutions of higher learning to speed up the construction of” double top “guidelines” (hereinafter referred to as the “guidelines”), to the university to carry out the overall plan for the construction of “double top” specific guidance and implementing measures, speed up its construction speed and construction schedule (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016). The Guiding Opinions fully implement the spirit of the 19th CPC National Congress and the important speech delivered by General Secretary Xi Jinping during his visit to Peking University. With world-class characteristics at its core, and with the development of higher education as the main line, the Guiding Opinions firmly grasp the three basic tasks. On basic principles, due to the “guidance” is “double top” issued by the ministry of construction after entering a new phase of documents, and guide the object for colleges and universities, so with the overall plan, the four cardinal principles of the procedures are different, need to adhere to the first-class characteristic, connotation development reform drive, colleges and universities, the main body of the four principles. In guiding colleges and universities to carry out the fundamental task of training socialist builders and successors, the Guiding Opinions put forward four Suggestions: adhering to the direction of running schools with Chinese characteristics, guiding students to grow into talents, forming a high-level talent training system, and training top-notch innovative talents. In terms of comprehensively deepening the reform and promoting the overall construction of universities, the paper puts forward seven Suggestions, namely, strengthening the ability to serve the major strategic needs, optimizing the discipline layout, building a contingent of high-quality teachers, improving the level of scientific research, deepening international cooperation and exchanges, strengthening the construction of university culture, and improving the modern university system with Chinese characteristics. For the construction of “double first-class” how to take the contra-development road, “Guidance” from the definition of the connotation of discipline construction, highlight the advantages and characteristics of the discipline, expand the discipline education function, build a high-level discipline team and echelon, enhance the discipline innovation ability, innovation of the discipline organization model and other aspects of advice. Finally, the Guidance also puts forward some Suggestions, such as improving the management system of the “double first-class” construction in colleges and universities, enhancing the consciousness of reform and innovation in colleges and universities, strengthening local and regional overall planning, strengthening

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guidance, guidance and supervision, and improving the evaluation and construction coordination mechanism, to establish the synergy of the “double first-class” construction (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020). According to the Implementation Measures, colleges and universities listed in the proposed construction list need to scientifically prepare overall construction plans and sub-disciplinary construction plans and submit them to the State Council for final approval after verification and multiple reports. In September 2017, the List of World-class Universities and Universities and Disciplines in The Construction of First-class Disciplines was officially published. Therefore, at this stage, many colleges and universities compiled and publicized the “double first class” construction plan at the university level after the “double first class” list was determined, which also marked that China’s “double first class” construction has entered the stage of full implementation. The country’s overall plan is relatively macro, with a wide range of terms and descriptions, such as “a number of universities and a number of disciplines have entered the world-class ranks” and “more universities and disciplines have entered the world-class ranks”. The implementation plan of “double first class” is to refine the national macro plan according to the actual educational level of the university. For example, the Plan for building Peking University into a First-class University mentions that “facing 2020, we will focus on building 30 domestically leading and internationally first-class advantageous disciplines, including mathematics, statistics, physics, chemistry and other disciplines”. It is mentioned in the General Plan for building A First-class University of Fudan University that “by 2020, the main disciplines of humanities, social sciences, science and medical sciences shall maintain the highest level in China, accelerate the completion of the layout of new engineering disciplines, and integrate and innovate disciplines to form new disciplines”. The number and specific disciplines of key construction shall be implemented (MOE 2015, 2020; Zhou and Wu 2016). The first-class university of Peking University construction in colleges and universities construction plan “mentioned in many research tasks is based on original research progress, for example” to further strengthen humanities and social science research institute, China academy of social science research center, national studies, Confucianism research platform construction, continue to support the Confucianism to hide of and the research project. In terms of talent training, the basic conditions of talent training in Peking University have been significantly improved, so the orientation of the construction plan is to further deepen, strengthen and refine on the original basis. The Overall Plan puts forward that the core of the plan should be “World-class with Chinese characteristics”. Colleges and universities should strengthen the characteristics of running schools and highlight the advantages of disciplines according to their own reality, which is also reflected in the construction plans of colleges and universities. For example, the Plan for building A First-class University in China Agricultural University proposes that the university will build a world-class university system with Chinese characteristics and agricultural characteristics, with “New Agriculture” as the core, and strengthen the discipline system featuring agriculture, life science, agricultural engineering and food science. The southwest university of

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finance and the world first-class discipline construction plan also noted, “the implementation of first-class discipline construction plan, focusing on the construction of applied economics, financial features, give play to the role of the basis of the theory of economics and business administration support role, strive to build the economy and management, besides development build drink the economics discipline system of management, the academic system of Chinese features and discourse system”. According to the requirements of the Guidance, it is necessary to establish an internal monitoring and evaluation system for the construction of “Double first class” colleges and universities and publish the construction progress report on an annual basis, to improve the construction management system of “double first class” colleges and universities. Therefore, in early 2019, the “double first-class” universities compiled the 2018 annual progress report and released it to the society through the university information disclosure column. The 2018 annual progress report on the construction of “Double first class” consists of four parts. The first part of the overall situation, including the annual target completion, funding, and usage and highlight the characteristics of advantages, optimizing the course layout, strengthen the discipline overlapping fusion, and planning and strengthen infrastructure construction, promote disciplines infrastructure to support the subject construction, some universities also mentioned in this part of the party committees and governments at all levels to support the construction of “double top”. The second part is about the development of various work, including the cultivation of top innovative talents, the construction of highquality teachers, scientific research and social services, the inheritance of innovative and excellent culture, and international exchanges and cooperation. The third part is the system construction, including the organization and leadership, assessment, and evaluation mechanism. The fourth part is the existing problems and improvement measures, some universities also mentioned in the document the next step of thinking and main measures. In general, the 2018 progress report of all schools is basically in line with the spirit implemented in the Overall Plan and the construction and reform tasks proposed (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016).

1.2.3 Stage 3: Evaluate and Summarize the Preliminary Construction Situation and Continue to Make Steady Progress (2019) In July 2019, the Ministry of Education issued four briefings, which summarized the achievements of “double first class” construction from four aspects, namely, ideological and political construction, teaching improvement, industry-university-research integration, and exchange and cooperation. In the early stage of the construction, reflects the various universities in five aspects “fully implement the party’s education policy, the implementation of the central deployment, party construction to political construction, strengthen the overall leadership of the party” concept, including

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strengthening the overall leadership of the party, the innovation education educational mode, strengthening ethics strengthen construction, promote the construction of organization, leading the university cultural construction. For example, Tsinghua University held a university-wide Conference on Party building and issued “Opinions on Comprehensively Strengthening and Improving Party Building in Schools in the New Era” to strengthen party leadership. The fundamental task of the construction of “double first-class” is to cultivate people with moral standing and to train builders and successors of socialism, so it is very important to deepen the reform of education and teaching and promote the cultivation of talents. In the construction of “double first-class”, many colleges and universities focus on curriculum construction, teacher team, teaching mode and education evaluation, and actively build a high-level talent training system. The results can also be divided into four aspects: first, pooling teaching forces, guiding teachers to attach importance to teaching, perfecting the teaching-centered system by setting hard indicators, issuing detailed regulations and awarding system, and guiding teachers to love teaching and be devoted to teaching. Second, adhere to the “people-oriented”, the construction of high-level undergraduate education. In January 2018, Chen Baosheng, Minister of Education, stressed at the establishment meeting of the Guidance Committee for Higher Education of the Ministry of Education for 2018–2022 that undergraduate education should be placed at the core of talent training, at the foundation of education and teaching, and at the forefront of education development in the new era. Therefore, many colleges and universities have also taken corresponding measures to strengthen the construction of undergraduate education in terms of major selection, course establishment and class construction. For example, Nanjing Normal University has set up “Li Xudan Experimental Class” and “Tao Xingzhi Experimental Class” to explore the small-class interdisciplinary talent cultivation. Third, accurately meet the needs and improve the quality of graduate education. Colleges and universities actively meet the actual needs of the country, society and industry, improve the industry-university-research cooperation ability, and enhance the quality and competence of personnel training. Fourth, optimize the evaluation mechanism, attach importance to the combination of “process” and “result”, and constantly improve the cultivation scheme, process, mode and mechanism (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016). This effect is reflected in five aspects: First, in promoting the construction of “double first-class”, many colleges and universities give full play to their advantages in scientific research, break the monopoly of technology, and serve the country’s major needs; Second, “Double first-class” universities have played a major role in major national scientific research projects, undertaking 61% of general projects funded by the National Natural Science Foundation of China and 73% of major projects funded by the National Social Science Foundation of China, and further improving their scientific research strength and level. Third, we should deepen school-enterprise cooperation and support the integration of industry and education. For example, Beijing Jiaotong University, in combination with China’s highspeed railway application technology, formulated ISO international standards for rail, which greatly promoted the implementation of China’s high-speed railway “going

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global” strategy. Fourth, give play to the role of think tanks to serve economic and social development, and strive to provide solutions to practical problems by creating new high-end think tanks. Fifth, strengthen discipline construction and build a cross-research platform. We will deepen exchanges and cooperation, enhance international influence, and promote the building of “double first class” in helping build a community with a Shared future for mankind. International exchange and cooperation are an important part of The comprehensive strength of China’s higher education, and China’s “double first-class” construction takes Chinese characteristics and world-class as the core, so it needs to be integrated with the world. In the early stage of the construction of “double first-class”, various colleges and universities take the initiative to participate in the “One Belt and One Road” initiative, expand high-quality overseas education resources through multiple channels, improve the scale and level of overseas students through multiple channels, carry out high-end international cultural exchanges in multiple forms, and cultivate outstanding talents of international organizations in various aspects. These measures effectively promote the cooperation strategy of “One Belt and One Road”, strengthen the cultivation of international talents, and enhance the international influence and competitiveness of colleges and universities. The summary of the achievements of the “double first-class” construction can not only inspire the universities with better performance in the early-stage construction, but also set up a number of excellent models, providing reference for other universities to carry out the “double first-class” construction, which is conducive to the steady implementation of the follow-up construction. On September 17, 2018, in response to the recommendation No. 4470 of the First Session of the 13th National People’s Congress (NPC) to “extend the construction period of world-class universities and world-class disciplines from five years to ten years”, the Ministry of Education said, “According to the work arrangement, we plan to organize the mid-term evaluation in 2019. The mid-term evaluation will focus on the self-diagnostic evaluation of the school, and at the same time examine the achievement of the goal and the progress of its own construction. It will focus on the evaluation measures, check the problems and summarize the experience, without concluding evaluation”. In May 2019, the Department of Degree Management and Graduate Education of the Ministry of Education issued the Notice on The Interim Self-evaluation in the Construction of “Double First Class”, which detailed the requirements for self-evaluation. First of all, in the organization of the interim self-assessment work, each school should formulate the interim self-assessment program, including time arrangement, self-assessment method, self-assessment organization, self-assessment content, etc., in the form of self-diagnosis assessment. In addition, according to the “guidance” in “perfect evaluation and construction coordination mechanism” module, medium-term self-reported also need data and facts, combining the subjective and the objective, quantitative and qualitative, construction effect and conform to the degree of overall scheme, construction scheme, the main goal of a degree, university degrees and disciplines in the third-party evaluation performance. On this basis, experience is summarized, problems are examined, and key tasks and requirements for improvement in the next stage are clarified. In

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addition, the Ministry of Education will also organize members of the “Double firstclass” construction expert committee and discipline experts to select some construction colleges and universities for field guidance. Secondly, each school needs to write a self-evaluation report, which includes the organization and implementation, the self-evaluation process and links, the discovery of problems and improvement measures, etc., and each school also needs to provide supplementary description of the school’s characteristic development, such as the school’s original and landmark achievements, the most distinctive high-level personnel training, etc. According to the requirements of self-evaluation, the interim self-evaluation Report of “Double first-class” construction consists of three parts. The first part is the self-evaluation organization and implementation. In a degree, in 2017, many colleges and universities compiled and released the “double top” construction scheme on the level of colleges and universities, so the medium-term self-reported also need according to the goal of construction scheme, the school and discipline construction the main target of overall construction completion, the construction of the stage goal to complete the degree, analysis diagnosis did not reach the main cause of; This part also need to colleges and universities in the phased construction achievements made in this paper, the symbolic construction, including the work of important innovation and breakthrough, the guiding role of new ideas, new model and new mechanism, the actual social contributions and other successful experience, and in the evaluation of third party public information analysis presented in the overall construction of results. The third part is to summarize the diagnosis and improvement measures, which requires the school to identify the specific problems encountered in the construction process, mechanism obstacles, development bottlenecks and other existing problems, and put forward improvement measures based on the current and long-term perspective (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016). Since August 2019, a number of “double first-class” construction universities have released mid-term evaluation results. In terms of evaluation methods, the interim evaluation of colleges and universities is generally carried out in the form of selfdiagnostic evaluation required by the Ministry of Education, and the interim selfevaluation report is compiled. At the same time, the “double first class” construction interim evaluation meeting is held to report the contents of the interim self-evaluation report, which is evaluated by the expert group and corresponding Suggestions are put forward. Most schools in the form of overall assessment evaluation meeting, there is also a part of the school discipline evaluation meeting, such as Beijing and geography at the university of information science and technology group, respectively, in 2019 on August 9th and mid-term evaluation meeting on August 14, on September 18, Tsinghua university, in addition to the overall assessment of the meeting, also was held on August 20th, public policy and management assessment of the meeting besides. On of expert group members, some universities dispatched by the Ministry of Education of “double top” field guidance committee and the discipline experts, such as China’s higher education to learn to former President QuZhenYuan as leader of the Ministry of Education expert group respectively on August 7 and August 9 to Zhengzhou university and northwest agriculture and forestry university of science and technology research was carried out. Some universities have invited experts to

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form expert groups to guide them. The experts mainly come from academicians of the Chinese Academy of Sciences and The Chinese Academy of Sciences, scholars and experts from other universities, and some universities have invited leaders of graduate employers, representatives of alumni, leaders of third-party evaluation organizations, well-known scholars and local administrative officials. In terms of the evaluation results, the overall situation of the “double first-class” construction of each university has been recognized by the expert group, but the expert group has also put forward specific Suggestions. From these Suggestions, we can see some guidance for the “double first-class” construction in the next stage. First, strengthen the characteristics of colleges and universities. For example, the expert group suggested that Southeast University should further consolidate and expand its advantageous characteristics, Nanjing University of Posts and Telecommunications should highlight its electronic information characteristics, and Zhejiang University should further focus on “Chinese characteristics and world-class”, to form a “double first-class” construction concept and path with Zhejiang University’s characteristics. Second, attach importance to personnel training and personnel construction.

1.3 Principles, Policies, and Standards for Creating Double First-Class Universities 1.3.1 Advocate Talent Training as the Starting Point of Double First-Class Construction In the construction of “double first-class”, the construction of world-class university and the construction of world-class discipline need to be promoted simultaneously, and the construction of first-class discipline is the core of the construction of first-class university, so this paper does not elaborate the standards of world-class university and world-class discipline respectively. The following part will start from the six aspects of the selection conditions in the Implementation Plan and explain why these six aspects should be assessed to become the world-class university or the world-class discipline, and what heights or standards the world-class university or the world-class discipline should achieve in these six aspects respectively. In recent years, there have been two puzzling questions in China’s higher education field: one is qian Xuesen’s question to Premier Wen Jiabao in 2005, “Why our schools always fail to produce outstanding talents”; Another worry, voiced in 2008 by Qian Liqun, a professor at Peking University, is that “the pragmatic, materialistic and nihilistic education I mentioned earlier is producing a group of ‘absolute and refined egoists’”, both of which point to the core problem of higher education, namely talent cultivation. With the rise of modern pragmatism and the increasingly significant role of scientific and technological innovation in promoting economic and social development, many evaluation mechanisms judge the educational level of universities more from their social contribution rate and scientific and technological research.

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Qu Zhenyuan, chairman of the sixth Council of The Chinese Society of Higher Education, also put forward his views on this, Should we use talent training to drive other work, or scientific research to drive other work? The vagueness in the logic of university development will seriously affect the value orientation of “double first class” construction. Many experts and scholars believe that “the nature of university must return to training talents”, some of the education policy of our country in recent years also reflected the guidance, for example, in 2010 published national medium and long-term education reform and development plan outline (2010–2020) in the talent training as a center of efficient work, will improve the quality of higher education personnel training as the important planning objectives (Han 2015; MOE 2015, 2020; Zhou and Wu 2016). The Plan released in 2015 clearly answers this question, puts forward that the construction of “double first class” should be based on cultivating people with moral integrity, and emphasizes the importance of talent training. At the 2016 National Conference on Ideological and Political Work of Colleges and Universities, General Secretary Xi Jinping reiterated and stressed that, The foundation of a college is to cultivate people through virtue. Only a university that trains first-class talents can become a world-class university. To successfully run China’s universities and build a world-class one, we must firmly grasp the core point of comprehensively improving the ability to cultivate talents and use this to drive other work in universities and colleges. Talent training is not only the fundamental task of “double first class” construction, but also its starting point and end point. In 2017, the Implementation Measures made a specific definition of the standards of talent cultivation for the construction of first-class universities and universities and the construction of first-class disciplines.

1.3.2 Uphold Moral Education and Cultivate the Core Socialist Values The fundamental task of talent training is to train socialist builders and successors, so we should always carry out the concept of “educating people first, moral education first”. The construction of first-class universities and the construction of first-class disciplines requires the cultivation of socialist builders and successors who are well developed morally, intellectually, physically and aestheticism with advanced theories and correct thoughts, rather than the cultivation of a group of ‘absolute and exquisite egoists’ with the education of pragmatism, materialism and nihilism. Published in 2018 “guidelines” and to strengthen the “double top” college students’ ideological education gives a detailed description of the content of colleges and universities need to strengthen the ideal faith education and national education, pays special attention to the Marxism theory education, the practice of socialist core values, unremitting propulsion xi new era the ideas of socialism with Chinese characteristics into teaching materials, into the classroom, the students mind, make the party’s innovation theory into the ideological and political work in colleges and universities in an all-round

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way. Secondly, we should carry out the project of improving the quality of ideological and political work in colleges and universities, deepen the comprehensive reform of “three complete education”, and realize the all-round education of all the staff in the whole process. In the construction of ideological and political theory courses in universities, it is necessary to vigorously promote the classroom teaching reform with the goal of “ideological and political course + course ideological and political theory”, so that all kinds of courses, resources and forces and ideological and political theory courses go together to form a synergistic effect (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016).

1.3.3 Promote Innovative Personnel Training Mode, Collaborative Education Mechanism and Entrepreneurship Education Innovation is the soul of national progress, our country is in building an innovative country and the world in the process of great power of science and technology, need high quality innovative talents to create a high level scientific research achievements, the overall scheme is also mentioned that the orientation of the “double top” construction in China is one of support innovation driven development strategy, so to cultivate top creative talents, strengthen the innovation of entrepreneurship education, vigorously promote the personal cultivation, improve the students’ comprehensive quality, international vision, scientific spirit and entrepreneurial awareness, creation ability. We will appropriately increase the proportion of college graduates starting businesses and encourage college graduates to take an active part in mass entrepreneurship and innovation. “Guidance” are also given in the related ideas, strengthen students’ innovative entrepreneurial training including on undergraduate education to speed up the implementation of “six remarkable a top-notch” 2.0 talent training plan, we will accelerate the establishment of a science and education in graduate student education graduate education in the integration, the combination of production mechanism, strive to improve graduate education system, promote graduate student innovation ability, but also to strengthen the graduate student practice ability, make the talents with innovative and practical characteristics. On the curriculum reform, innovation ability and practice ability training into the curriculum system, promote professional education and creative education organic fusion, explore across departments and disciplines, cross major cross training innovative entrepreneurial talent mechanism, relying on the university of science and technology park, collaborative innovation center and engineering research center, etc., to build platform for innovation, to encourage teachers and students together to develop high quality innovative undertaking.

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1.3.4 Actively Promote the Reform of Curriculum System and Teaching Content Teaching is the cornerstone of the university. Without teaching, the university will lose its “root” and “Ben”. Course system and teaching content reform in relation to all aspects of the “double top” talents cultivation in colleges and universities, both strengthen ideological education and cultivating top creative talents and enhance the level of scientific research and reform of course system and teaching contents are needed to coordinate, “guidance” is put forward, “the ideological and political work through the education teaching process” “actively to construct a practice teaching practice in the practice, outstanding application system”, “to promote information technology, intelligent technology and education teaching depth fusion”. Therefore, the construction of “double first-class” colleges and universities needs to constantly promote the curriculum reform, strengthen the integrated design of courses and teaching at different stages of cultivation, adhere to the principle of teaching students according to their aptitude, step by step and teaching benefits each other. The allocation of higher education resources is not only an important task for the central and local governments, but also for colleges and universities. As educational assessment is externally oriented, the resource allocation of colleges and universities is largely influenced by external assessment indicators. Many colleges and universities tend to give more resources to scientific research achievements and social contributions but neglect the cultivation of talents. Therefore, colleges and universities need to rationally allocate resources and put talent training in the core position. Meanwhile, they also need to introduce policies conducive to talent training. For example, the Yuan Training plan of Peking University is an important policy to improve the quality of education and build a world-class university. First-class undergraduate education is the foundation of building a world-class university and a world-class discipline. It can not only show the educational level and characteristics of a university, but also train outstanding talents for the development of the discipline. According to the President of the Chinese Education Association, If you look at the top universities in foreign countries, whether they are schools with outstanding academic and professional characteristics or universities with outstanding comprehensive strength; Whether it is a world-famous private university or an internationally influential public university; No matter it is a researchoriented university or a teaching-oriented university, the cultivation of undergraduate talents and the quality of undergraduate education and teaching are of strategic importance to the development of the university. Even the work of alumni associations and foundations also focuses on the group of undergraduate graduates. China also attaches great importance to the development and construction of undergraduate education. Chen Baosheng, the minister of education, puts forward that the comprehensive revitalization of undergraduate education should be regarded as the core task of the reform and development of higher education in the new era. Therefore, “double first-class” universities need to provide high-quality undergraduate education, take the lead in establishing the goal of building first-class undergraduate education, strengthen the

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status of undergraduate education foundation, and take the construction of first-class undergraduate education as the basic task of “double first-class” construction. Undergraduate education has a basic status, and graduate education is the highest level of national education in China, shouldering the important task of training high-level talents. Therefore, graduate education is also an important reference basis for the evaluation of talents training in colleges and universities by the “Double first-class” construction expert Committee. The postgraduate education in “double first-class” universities needs to be qualitative and quantitative. We should further deepen the comprehensive reform of postgraduate education, accelerate the establishment of a postgraduate training mechanism that integrates science and education with production and study, strengthen the practical ability of postgraduates and train high-level application-oriented talents (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020). The 18th National Congress of the Communist Party of China (CPC) put forward that quality-oriented education should be implemented comprehensively to cultivate students’ social responsibility, innovative spirit, and practical ability. The construction of “Double first-class” insists on cultivating socialist successors with all-round development of morality, intelligence, physique, aesthetics, and labor. Therefore, the cultivation of talents in “double first-class” universities should also adhere to the educational mode of quality-oriented education, to cultivate necessary qualities for college students to enter the society, achieve all-round development and even lifelong learning.

1.3.5 Scientific Research as an Important Support for the Construction of Double First Class In 2016, General Secretary Xi Jinping proposed at the National Science and Technology Conference that Science and technology is a powerful tool for the country. The country depends on it to be strong, enterprises depend on it to win, and the people depend on it to live a better life. For China to be strong and its people to live a better life, it must have strong science and technology. In the post-industrial era, science and technology has increasingly become an important part of the competition in overall national strength, playing an important role in international competition, and playing an important role in promoting the development of productive forces and improving people’s living standards. In 2019, Beijing university President of PKU “world-class university’s mission and capacity-building” world university President mentioned on the BBS, “university is the center of science and technology innovation and source”, if the personnel training is the school for a university, scientific research is the powerful college, a university is the service national innovation drive the inevitable choice of development strategy. In recent years, various policies in China have also reflected the importance attached to scientific research in universities. The Outline of The National Plan for Medium- and Long-term Education Reform and Development (2010–2020) regards the improvement of scientific research level as an important development

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task in the field of higher education. The Implementation Plan for Accelerating the Modernization of Education (2018–2022) also mentions that scientific research and innovative service capability of institutions of higher learning should be enhanced, and scientific research education is one of the important conditions for building firstclass undergraduate education. Therefore, in the construction of “double first-class”, the scientific research level of universities is also an important standard. Scientific research organization and mechanism are sound, and collaborative innovation has achieved remarkable results. Sound scientific research organization and mechanism are the foundation of scientific research and achievement transformation in colleges and universities. A sound scientific research organization enables colleges and universities to carry out collaborative innovation, share resources and give full play to the advantages of colleges and universities, scientific research institutes and enterprises in their respective fields by relying on key research bases and centering on major scientific research projects, to strengthen the transformation of achievements. A sound scientific research mechanism can ensure the stable operation of scientific research in colleges and universities, as well as measures such as financing, performance evaluation, achievement transformation and revenue disposal. Basic research is in the forefront of science, with strong original innovation ability, and forms new knowledge and theories with important influence. Basic research has the function of source, and the construction of modern economic system must depend on the innovation of higher level, that is, the innovation of source derived from basic research. In 2018, the Ministry of Science and Technology, director-general of the department of basic research Ye Yujiang said that although the basis of the research in China have made great leap forward but compared with the goal of construction of science and technology, world powers, basic research is still short, lack of the basic theories of massive, long-term stability of deep talent team, and lack of environment of the whole society to support basic research. Therefore, in the construction of “double first-class”, universities, as an important source of talent training, also need to pay attention to basic research. The Guidance also puts forward that it is necessary to give full play to the main role of basic research in colleges and universities, implement the Everest Plan of basic research in colleges and universities, improve the original innovation ability, and strive to achieve major breakthroughs in forward-looking basic research and leading original achievements. The academic exploration of a university should be closely combined with the demand of serving the country. The “double first-class” university should achieve a breakthrough in constructive social influence through applied research, and actively undertake the national key and major scientific and technological planning tasks. In addition, applied research is rooted in basic research, so it is necessary to promote the cross integration of basic and applied disciplines. Philosophy and social science is an important tool for people to understand and transform the world. Social development not only needs the development of science and technology, but also needs to be based on philosophy and social science. In 2017, the CPC Central Committee issued the Opinions on Accelerating the Construction of Philosophy and Social Sciences with Chinese Characteristics, which also set certain requirements for universities to accelerate the construction

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of the discipline system of Philosophy and Social Sciences with Chinese Characteristics. Colleges and universities actively promote the research of philosophy and social sciences, which can not only give play to the educational advantages of this discipline, but also strengthen the international influence (Han 2015; Ding 2001).

1.3.6 Social Services as the “Third Mission” of Double First-Class Construction Talent training, scientific research and social service are the three major functions of colleges and universities. The construction and development of colleges and universities cannot be “behind closed doors”, so that colleges and universities become “ivory tower” separated from the society. Paying attention to the social needs and promoting the social service ability of colleges and universities is also becoming an international policy orientation. In 2014, the UK Higher Education Foundation launched the Research Excellence Assessment Framework, which gives 20% of the non-academic impact of university research, including its impact on the economy, public policy, society, culture, innovation capacity, public health, employment services and the environment. Therefore, the construction of “double first class” should not only focus on scientific research indicators, but also pay attention to social services and contribute to social and national development.

1.3.7 The Policy Implementation Measures on the Selection Criteria of Double First-Class in Social Service 1.

2.

In-depth integration of industry, education, and research, realizing cooperative education, cooperative education and cooperative development, and outstanding performance in scientific research achievements transformation. Science and technology are the primary productive forces, but only when they are transformed into real productive forces can they promote economic and social development. Therefore, for the “double first-class” universities, academic research alone cannot reflect its social value, but also need to make contributions to the improvement of national economy and people’s livelihood through the transformation of scientific research achievements. Through the in-depth integration of industry, education and research, colleges and universities can cooperate with scientific research institutes and enterprises in running schools, educating people and developing people, and give play to their respective advantages in talent, market and management, so as to optimize the allocation of resources and form a strong comprehensive advantage. Develop new high-end think tanks with Chinese characteristics and global influence and make outstanding contributions to national and regional

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3.

4.

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economic transformation, industrial upgrading and technological transformation, national security, and social and public security. Think tank is an important source of ideological innovation in a country. It is a knowledgeintensive and talent intensive institution, which can provide advice to decisionmakers, put forward various design schemes, offer advice and plan. Think-tank determines the characteristics of colleges and universities in the construction of a think-tank has natural advantages, in today’s world and social complex environment determines the think-tank “in colleges and universities, colleges and universities can rely on the solid foundation for education and research system country, the society to contribute, so the construction of” double top also need to create a group with Chinese characteristics and the influence of new colleges and universities, a think-tank. The application of new knowledge and new theories in understanding the world, inheriting civilization, popularizing science, educating people and serving the society has achieved remarkable results. The construction of “double first-class” colleges and universities should be the base for the construction and dissemination of advanced culture. They should be able to take the initiative to shoulder social responsibilities and serve the society by inheriting national culture, promoting moral standards, meeting social needs and leading social ideological trend. This is also the historical mission undertaken by colleges and universities. Cultural Inheritance and Innovation: The essential connotation and internal vitality of “Double first class” construction. “Culture is the soul of a country and a nation,” General Secretary Xi Jinping said in his report to the 19th CPC National Congress. Culture rejuvenates the country; culture strengthens the nation. Cultural inheritance and innovation are the two wheels of cultural progress, which are of great significance to the development of a nation. Through cultural inheritance, future generations can start a new journey on the achievements of previous cultural practices. Cultural innovation is the source vitality of human society and national culture, and also the internal demand of the development practice of human society. The inheritance and innovation of culture need talents as the carrier, and the talents cultivated by colleges and universities will provide powerful talent resources for the inheritance and innovation of culture. In addition, cultural inheritance and innovation is also beneficial to the development of colleges and universities. It can help college students’ ideas and knowledge to be brought into reality, which is the unity of virtue, knowledge and practice at the level of practice construction, and also the vitality and essential connotation for us to further promote the construction of “double first-class”.

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1.3.8 The Policy Implementation Measures for the Cultural Inheritance 1.

2.

3.

Carry forward the fine traditional Chinese culture and promote the development of advanced socialist culture. In 2014, General Secretary Xi Jinping pointed out at the 18th Group Study session of the Political Bureau of the CPC Central Committee that to realize the great rejuvenation of the Chinese nation, we must attach importance to and carry forward the fine traditional Chinese culture. The Overall Plan mentions that the construction of “double first-class” needs to adhere to the concept of “Chinese characteristics, world-class”, and the creative inheritance of the excellent traditional culture of the Chinese nation is also an important embodiment of this concept. The construction of “double first-class” colleges and universities can promote the creative transformation and innovative development of excellent traditional Chinese culture by carrying out elegant art on campus and building the inheritance base of excellent traditional Chinese culture. Enhance cultural confidence and have strong influence on international cultural communication. In the era of globalization, cultural confidence is an important guarantee for national cultural security. Colleges and universities are important carriers of national cultural communication, and the development level of colleges and universities can influence the country’s discourse power in the international arena to some extent. Therefore, in the construction of “double first-class”, colleges and universities should make more efforts to cultivate talents with cultural confidence, continuously spread excellent culture and enhance national influence and competitiveness at the cultural level. It has excellent teaching style and school style recognized by teachers and students, broad cultural vision and strong cultural innovation ability, and forms a distinctive university spirit and culture leading social progress. University spirit and university culture are the value orientation, faith goal, ideal pursuit, virtuous guidance and code of conduct formed by the historical precipitation and cultural accumulation in the long-term process of running a university, which are reflected in the teaching style and school style, as well as the quality of cultivating talents. On the one hand, university spirit and university culture can strengthen the sense of identity, sense of belonging and sense of honor of teachers and students, so as to improve cohesion; on the other hand, it can also subtly influence students. University spirit and culture in the right direction can effectively play a leading role in social progress. Therefore, the construction of “double first-class” university needs the first-class spirit and university culture.

Teacher construction: the key factor and important guarantee for the construction of “double first-class”. As General Secretary Xi Jinping once pointed out, “The key to training talents lies in teachers. The quality of teachers directly determines the ability and level of running a university.” China has always attached great importance to the construction of teaching staff in colleges and universities. The

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Outline of The National Medium- and Long-Term Program for Education Reform and Development (2010–2020), the 13th Five-Year Plan for the Development of National Education, and 2035 of China’s Education Modernization have all regarded the construction of high-quality teachers as an important strategic task. The quality of teachers directly determines the ability and level of running a university. The construction of high-quality teachers is not only the key factor of running a university, but also the construction task and important guarantee of the construction of “double first-class” (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016).

1.3.9 The Double First-Class Universities with Four Standards in Faculty Training 1.

2.

3.

The political quality of the teachers is strong, the overall level is high, devoted to teaching, good ethics. Teachers’ morality and style should be the first criterion to evaluate teachers’ quality, which directly affects students’ education and growth. Therefore, in order to build a team of high-quality teachers, we must first insist that educators receive education first, promote the long-term construction of teachers’ ethics, institutionalization, so that teachers have ideals and beliefs, moral sentiment, solid knowledge, benevolent heart. This is a necessary condition for the selection of “double first-class” in colleges and universities. Only with high quality of teachers can we truly cultivate people with moral integrity and cultivate socialist builders and successors with all-round development of morality, intelligence, physique, aesthetics and labor. Front-line teachers generally master advanced teaching methods and techniques, have rich teaching experience and good teaching effect. Teaching method is the breakthrough point for colleges and universities to adapt to social development, deepen educational and teaching reform and improve the quality of personnel training. The construction policy of “double first-class” should also take the innovation of teaching methods as the breakthrough point. Teachers should master advanced teaching methods to make teaching methods fit with teaching objectives and objects. The teaching technology is the important teaching tool, the university and the discipline construction want to reach the world first-class level, must master the advanced teaching technology. Colleges and universities can improve teachers’ teaching ability and help them master advanced teaching methods and technologies by establishing teacher development center and perfecting the system of teaching professors for undergraduates. There are a group of first-class experts, discipline leaders and innovation teams active in the international academic frontier. “Double top” construction is to build the world first-class university and the world first-class discipline, to form a high level of talent cultivation system, the need to develop strategies of

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science and technology talents with international level, science and technology leading talents, youth science and technology talents with high level innovation teams, it also determines the teaching staff in colleges and universities, also needs to have a group of active in international academic front leading experts, subject leaders and innovative team. Universities and colleges should improve the system of visiting scholars and support their teachers to participate in international training programs, international exchanges and scientific research cooperation, so as to bring their teaching and scientific research level into line with the international standards and strive for world-class status. The structure of teachers is reasonable, the growth environment of young and middle-aged teachers is good, and the sustainable development remains strong. Professor Zhu Jian, deputy secretary of the Party Committee of Shanghai Jiao Tong University, believes that the construction of young and middle-aged teachers is an important cornerstone for the construction of “double first-class”. The construction of “double first-class” is a long-term work, and the reasonable teacher structure is an important guarantee for the sustainable development of the teaching staff of “double first-class” colleges and universities, and the cultivation and monitoring of an excellent young and middle-aged teachers team also determines the core competitiveness of the future development of colleges and universities. And at present, our country colleges and universities teachers there are excellent young academic leaders of the few structural problems, colleges and universities need to optimize the environment of young and middle-aged teachers’ growth and development of system, to increase support for middleaged and young teachers teaching and research of stability, and to focus on the young and middle-aged academic backbone into the international academic front and national strategic frontier. International Exchanges and Cooperation: An important starting point for building “Double first Class”. International exchange and cooperation between universities is an inevitable requirement of national economic, scientific, technological and cultural development. For the construction of “double first-class”, international exchanges and cooperation will help colleges and universities to absorb and learn from the advanced ideas and models of world-class universities, cultivate talents with international ability, learn cutting-edge knowledge in order to improve academic and scientific research level, and enhance the international influence and discourse power of China’s higher education. Entering the new era, it is more necessary and inevitable for universities to carry out international exchanges and cooperation. In 2018, vice premier of the State Council Sun Chunlan in Beijing, the international symposium on “double top” construction and BBS at the opening ceremony, in the world today is undergoing great changes in a new round of development adjustment, in the face of peace, development and cooperation, win–win trend, university should further advantage, to build human destiny community contribution wisdom and strength.

The Implementation Measures also set forth the international exchange and cooperation standards of the “double first-class” universities as follows.

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Strong ability to attract overseas qualified teachers, research teams and students. Attracting high-quality overseas teachers is an important way to expand the educational opening and introduce high-quality educational resources. Mentioned in the teachers construction, the measures for the implementation of the “double top” construction standard of colleges and universities need to have a group of active in international academic front leading experts, subject leaders and innovative team, the introduction of foreign high-quality teachers and scientific research team was able to become an important part of university teachers, can also through your own experience and knowledge to help other teachers’ growth and development of colleges and universities. At the same time, under the background of “One Belt and One Road” construction, colleges and universities need to improve their ability to absorb high-quality overseas students, further improve the system of international student recruitment, training, management and service, constantly optimize the enrollment structure and improve the quality of students. The exchange, credit mutual recognition and joint training with students from high-level universities in the world have achieved remarkable results. According to the Outline of the National Plan for Medium- and Long-term Education Reform and Development (2010–2020), exchanges of teachers, students, credits, and degrees between Chinese and foreign universities can further improve international exchanges and cooperation between universities. The way of mutual credit recognition and joint training is not only conducive to the cultivation of students’ international ability, but also can reflect the international recognition of China’s higher education. In-depth academic exchanges and research cooperation with world-class universities and academic institutions. To improve the level of academic research is an urgent need for China to build first-class universities and disciplines. Strengthening substantive academic exchanges and cooperation with foreign high-level universities and top scientific research institutions and establishing international cooperative joint laboratories and research centers are important ways to realize the internationalization of scientific research, which is conducive to the integration of Chinese universities’ academic research level with the frontiers of the world. Participate deeply in major international or regional scientific plans and projects, participate in the formulation of international standards and rules, and have strong international influence. Professor Zhong Binglin mentioned in an interview in the living room of the 2016 National NPC and CPPCC on Guangming.com that the construction of “double first class” is China’s strategy to become a powerful country in human resources, and it can also increase the discourse power of China’s higher education in the world, especially in the international academic circle. The guidelines also mention that universities need to adhere to the basic principle of having first-class characteristics, and effectively expanding international influence is one way to achieve this principle. Universities’ active participation in major international or regional scientific plans and projects, as well as in the formulation of international standards and rules is the demand for China’s higher education to further open up, integrate into the international educational environment, and meet

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the great demand of the international community for China to play a greater role (Han 2015; Ding 2001; Wang et al. 2010; Zhou and Wu 2016).

1.4 Summary of the Policy for Creating Double First-Class 1.4.1 The Standards for the Construction of First-Class Universities and the Construction of First-Class Disciplines Are Not Clear In September 2017, the Ministry of Education, The Ministry of Finance and the National Development and Reform Commission published the List of World-class Universities and Universities and Disciplines to be built. After the release of the list, its authority and fairness have been questioned by many people, and the vague identification standards are one of the important reasons for these doubts. In 2012, when the Ministry of Education released the results of the third round of subject evaluation, it disclosed the specific indicators and indicators of subject evaluation, as well as the specific evaluation scores of each school and discipline, so that colleges and universities could clearly understand their own shortcomings and improve the disadvantaged disciplines and continue to develop the advantageous disciplines. However, in the construction of “double first-class”, the list of World First-class Universities and Disciplines and Disciplines only published the list of universities and disciplines selected, without a detailed explanation of the results. In addition, in many official “double first-class” construction policy documents such as “Overall Plan”, “Implementation Measures” and “Guidance Opinions”, only “Implementation Measures” has made relevant explanations on the selection criteria and procedures for the construction of first-class universities and universities with first-class disciplines. Measures for the implementation of “from the talents cultivation, scientific research and social services, cultural inheritance, innovation, the teachers troop construction, (6) the international exchanges and cooperation with construction firstclass university colleges and discipline construction of selection condition has made the description, but the descriptions are more abstract, such as “fruitful teaching”, “effective” did not say to what degree should be specific in what aspects of colleges and universities. On the selection process, “implementation plan” mentioned by the panel reference international related evaluation factors, university departments of opinions and synthesis conditions for offering education, academic level and education quality in colleges and universities, a major contribution, international influence, and so on and so forth have specific standards, plans to build the list again according to the standard, but did not specify to form what are the standards of the international related evaluation factors, finally also does not have the contents of the publicly recognized standard (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016).

1.4 Summary of the Policy for Creating Double First-Class

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1.4.2 The Connection Between the Double First-Class Construction and the “211 Project”, “985 Project” and Other Key Construction Projects Has not Been Properly Solved The “211 Project”, “985 Project” and other key projects have been implemented since the 1990s and have been highly recognized by the public. In November 2014, the Ministry of Education to “the state will abolish the” 985 project “, “211 project”, “responded to the Internet rumors, made it clear that there is no the abolition of the” 211 project, “985 project”, but in the implementation of “211 project”, “985 project”, to further strengthen the top-level design, adhere to the Chinese characteristic, emphasizes the strategic lead, outstanding performance principle, encourage innovation, to avoid repetition and cross, improve the efficiency of the integration. This response indicates that the “211 Project” and “985 Project” show no signs of being abolished. Even if there are overlapping problems in the existing projects, adjustments will be made on the basis of the original projects. But in November 2015, the State Council formally issued the Overall Plan for the “Double First class” construction. Overall plan, construction of “double top” will be in the “211 project”, “985 project” and “advantage discipline innovation platform” and “special project” key disciplines on the original key projects such as resource integration, overcome the identity of the original project is solidifying, such problems as lack of competition, repeat cross, and make innovation on the basis of this. It can be seen from the description of “Double first-class” construction in the overall plan that “double first-class” construction is closely related to “211 Project”, “985 Project”, “advantageous discipline innovation platform”, “characteristic key discipline project” and other key construction carried out in the field of higher education in the past. In 2016, the Official website of the Ministry of Education issued the Notice of the Ministry of Education, Academic Degrees Committee of the State Council and State Language Commission on The Invalidation of a batch of Normative Documents, eight of which are related to the “985” and “211” projects. In 2019, the Ministry of Education, in response to the consultation on the list of 985 and 211, formally proposed that key construction projects such as “211 Project” and “985 Project” have been integrated into “double first-class” construction. In response, the Ministry of Education announced that the list of 985 and 211 universities will not be changed any more. As the key construction projects in the past, they have completed their historical mission and have been coordinated by the “Double first-class” construction. From 2014 to 2019, the Ministry of Education to speak and respond to, it did not properly solve the construction of “double top” and “211 project” of “985 project” key construction projects, such as docking problem, the Ministry of Education of “whether to abolish the double first-class attitude” has been relatively vague, and even have contradictory situation, in 2014, said it would by optimizing the “211 project” 985 project “the original” project to solve the problem of repetition of the cross, and in 2015 launched a new “double top” construction to solve the problem. Eight of the repealed documents in 2016 were related to the “985” and “211 project”

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projects. In response to questions in 2019, the word used was “coordination” rather than “substitution”. In the context of “211 Project” and “985 Project”, which have been carried out for more than ten years and received wide recognition, this vague attitude is not conducive to the docking between the old and new projects and has a negative impact on the recognition of “double first-class” construction.

1.4.3 The Policy Transmission of Double First-Class Construction Still Adopts the Traditional “Top-Down” Transmission Mode The policy content transmission and policy implementation of “double first class” construction adopt the traditional “top-down” transmission mode from the central government to the local government. It is mentioned in the Overall plan that the central government is mainly responsible for the construction of “double first-class” universities, while the construction of local universities is mainly in the charge of local governments, and the central and local governments jointly promote the construction of “double first-class” universities. However, in the process of transmitting policy content from the central government to the local government, the problem of “information distortion” often occurs, and the grass-roots executioners often deviate from the original intention of the policy in the actual transmission or implementation process due to improper understanding of the policy content or due to political and economic competition. In the construction of “double first-class”, this way of information transmission is also easy to cause the situation of “huge investment” and “index-only theory” when the local government promotes the construction of “double first-class”. From the perspective of policy executing agencies, there is no special executing agency for the construction of “double first class”. Although as mentioned in the measures for the implementation of the, set up the world first-class university and the first-class discipline construction committee of experts, but the committee’s main job is to determine the first-class university and the first-class standard of discipline construction in colleges and universities, according to the standards selection plans to build the list and review the construction of “double top” plan and put forward opinions, execution of policy is still depended on the local government. In addition, in the mid-term self-evaluation, although the Ministry of Education sent members of the “Double first-class” expert committee and discipline experts to colleges and universities for investigation, most colleges and universities still review the mid-term self-evaluation by setting up their own expert committee, so the evaluation results were also criticized and considered insignificant.

1.4 Summary of the Policy for Creating Double First-Class

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1.4.4 Excessive Use of Coercive Policy Tools Policy tool is the basic way to achieve the purpose of policy, the rationality of the choice of policy tool is related to the smooth implementation of the policy. From the perspective of policy text, the “double first class” construction has the problems of excessive use of mandatory policy tools and insufficient use of hybrid and voluntary policy tools. Coercive policy tools refer to policy tools that impose or directly act on the target, and the target has little or no discretion in implementing response measures. In the construction of “double top” policy in the text, the overall plan, general requirements, construction, reform tasks, supporting measures, the measures for the implementation of the selected conditions, the selection process, support method, dynamic management and the guidance of general requirement and four Suggestions are reflected through a mandatory government policy tool to direct management during the construction of “double top”. Mandatory policy tool for the construction of “double top” able to define a relatively clear environment of policy implementation and policy standard, but its lack of flexibility, does not favor the policy executors and implement object play to the enthusiasm and creativity, and it often in the process of execution for the allocation of resources by means of “cake”, do not take the resource utilization range of dynamic monitoring and adjustment, easy to cause the resource utilization efficiency is low. In addition, the construction of “double top” to some extent, although the selection and evaluation will refer to the opinions of the third-party evaluation institutions, voluntary in the text, but in the policy tools and hybrid still less, in the process of execution and implementation, rarely a third party, such as community, public welfare organization, market directly help policy implementation, promote the construction of “double top” of the situation, there are few persuade education, counseling, tax incentives and other mixed use of policy tools.

1.5 Suggestions on Further Improving the Double First-Class Policy The construction of “double first-class” is a long-term project. The construction period of “double first-class” disciplines and universities is 5 years, so it can be continuously improved in the following construction process.

1.5.1 Promote the Openness and Transparency of the Double First-Class Policy and Improve the Evaluation Criteria Improving the openness and transparency of policies is conducive to protecting the people’s rights to know, participate, express, and supervise, enhancing the credibility

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of the government, and thus promoting the implementation of policies. However, in the policy formulation and implementation of the “double first class” construction, there is a general lack of openness and transparency. First, in the process of formulating policy texts such as the Overall Plan, The Implementation Measures and the Guiding Opinions, the public opinions were not widely heard through publishing the draft decisions, holding hearings and conducting media communication. Secondly, although the expert group for the task of setting standards for first-class universities and disciplines is composed of professionals from relevant government departments, universities, scientific research institutions, industry organizations, etc., the public participation is still limited, and there is no public identification standard. In this case, the public will question the closed-door nature of the policymaking process, believing that the policymaking process of “double first class” construction is “dominated by the government and not sufficiently participated by the public”. In the process of building “double first class”, we should promote openness of policies, listen to public opinions extensively through hearings, investigation and research, consultation, and media communication, and strengthen public participation in the formulation and implementation of policies. The policy implementation process and results should be made public, public opinions and Suggestions should be listened to, and follow-up strengthening, and improvement should be carried out by actively publicizing the identification criteria of “double first-class”, the evaluation situation of each university, and the construction effect of the first-class university and the first-class discipline construction university.

1.5.2 Strengthen the Dynamic Adjustment of Double First-Class Construction, Improve the Competition Mechanism, and Break the Identity Solidification The plan mentions that different types of high-level universities and disciplines should be encouraged and supported in the construction of “double first-class”, and a competitive mechanism of dynamic adjustment and advance should be implemented in a cycle of five years. But policy text and there is no competition for the dynamic adjustment mechanism in detail, and in the process of policy implementation, the competition mechanism of the role is also questioned by the public, for example, some universities only a discipline to be included in the first-class discipline construction, but it was rated as first-class university construction in colleges and universities, some universities advantage was not selected first-class disciplines, and some did not have strong competitive advantage in the subject of colleges and universities have been selected. From the development history of world-class universities, first-class universities are basically formed in the process of independent running, free competition and highlighting strength and characteristics. Dynamic adjustment, free competition and excellent import and export should become important mechanisms for the construction of “double first-class”. Therefore, the construction of “double first-class” needs

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to further strengthen the competition mechanism and ensure the supervision mechanism in the process of recognition and selection, so that the competent occupies the position while the incompetent loses, so that the colleges and universities with real discipline advantages or characteristics can get better development opportunities (Li and Eryong 2020).

1.5.3 Use Modern Information Technology to Build the Information Channel of Double First-Class Policy Implementation The traditional “top-down” linear information transmission tends to cause “information distortion” in the process of policy implementation. In the construction of “double first class”, modern information technology can be used to build a platform for information transmission and monitoring of policy implementation to carry out real-time monitoring of the implementation process of “double first class” policy. In addition, the platform should also effectively compress the level of information transmission. The construction plan and expert argumentation report mentioned in the Implementation Plan shall be submitted to the Ministry of Education, the Ministry of Finance and the Development and Reform Commission after they are examined and approved by the provincial people’s government or the competent department. It can be seen that “double first class” construction has many levels of information transmission. Although it plays a filtering role, it will also reduce the efficiency of information transmission. The information platform can be built at the central and provincial levels, which are respectively established by the Education Supervision Committee Office of the State Council and the Education Supervision Committee Office of the provincial government. The Education supervision Office of the State Council can be directly responsible for docking central colleges and universities, while the provincial education supervision office is responsible for local colleges and universities. In addition, between the central and local governments, colleges and universities should set up a plate, answering questions can communicate directly to the central authorities to local government and colleges and universities in view of the questions asked by the construction of “double top” to disabuse, help them correct grasp and understand the essence of the “double top” policy and objectives (Han 2015; Ding 2001; Wang et al. 2010; Zhou and Wu 2016).

1.5.4 Rational Use of Policy Tools to Establish a Multi-agent Participation Mechanism for Sustainable Development As mentioned before, construction of “double top” on the policy tool is mandatory policy tools used too frequently, hybrid and voluntary policy tools use the problem of

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insufficient, although promoted the implementation of the “double top” policy, but there is also a low resource utilization efficiency and low flexibility, the policy executors, and executive object play low enthusiasm and creativity of problem. Therefore, policy tools should be used reasonably in the construction of double first class. First of all, in terms of the use of coercive tools, the scope and boundary of coercive policy tools should be reasonably determined to ensure the limitation, effectiveness and fairness of the government’s administrative power in the process of policy implementation, so that coercive tools can play the function of guaranteeing the operation of policies within a reasonable scope, rather than becoming the shackles of policy implementation. Secondly, to solve the problem of insufficient use of voluntary tools, a multi-agent participation mechanism should be established to ensure the sustainable development of “double first class” policy implementation. Although in the overall scheme mentioned in the “to establish and perfect the performance evaluation mechanism, actively adopt third party evaluation” “encourage enterprises to actively participate in the relevant departments and industry first-class university and the first-class discipline construction”, but the construction of “double top” advance still USES is “government-led, colleges and universities to implement” mode, less social forces to participate in a third party. In use of policy instruments, can increase voluntary tool use frequency, let many subjects involved in the construction of “double top” to establish long-term effective mechanism of social support and supervise the development of the school, the introduction of special third-party institution into the evaluation work, enterprises and the universities can also conduct joint training, science and technology cooperation. Finally, hybrid tools such as effective play to the exhortation, to strengthen the construction of the local government to “double top” understanding, strengthen the awareness of own endowment and the existing basis, according to the different characteristics and development of universities needs to provide certain guidance, structural adjustment was carried out on the supply side, classification set development channel and path, strengthen policy main body and the target group for the construction of “double top” identity and understanding (Han 2015; Ding 2001; Wang et al. 2010; MOE 2015, 2020; Zhou and Wu 2016; Li and Eryong 2020; Li and Li 2019).

References Ding X (2001) What is the World-class University? Higher Educ Res 21(03):4–9 Han J (2015) China Education Statistics Yearbook 2014. Department of Development and Planning, Ministry of Education Press, Beijing Li J, Eryong X (2020) Unveiling the ‘logic’ of modern university in China: historical, social and value perspectives. Educ Philos Theory 52(9):986–998 Li J, Li J (2019) Educational policy development in China in the 21st century: a multi-flows approach. Beijing Int Rev Educ 1(1):196–220 Ministry of Education (2015) Several Opinions on further Promoting separation of Education Administration and Evaluation and Promoting Transformation of Government Functions

References

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[EB/OL] (2015-05-06) http://old.moe.gov.cn/publicfiles/business/htmlfiles/moe/s7049/201505/ 186927.html Ministry of Education (2016) Notice on issuing “Key Points of Work of the Ministry of Education in 2016” [EB/OL] (2016–02–04) [2020–07–17] http://www.moe.gov.cn/srcsite/A02/s7049/201 602/t20160205_229509.html Ministry of Education (2020) Interim Measures for Promoting the Construction of World-class Universities and World-class Disciplines [EB/OL] (2020–07–14) http://www.moe.gov.cn/srcsite/ A22/moe_843/201701/t20170125_295701.html Wang X, Liu B, Li J (2010) Definition, evaluation and research of world-class universities—an interview with John Vaugh, executive vice President of the association of American universities. Comp Educ Res 32(01):13–19 Zhou G, Wu J (2016) What is the world-class discipline? China Higher Educ Res 16(01):65–73

Chapter 2

The Data Analysis of Creating World-Class Universities in China

This chapter concentrates on shaping double-first-class university in China from a perspective of data analysis. The construction of “Double first class” will be based on the “211 Project” and “985 Project” high-level university construction and the original “national key discipline construction” integration, not only to ensure the continuity of the key construction policy, but also to keep pace with The Times for China’s higher education reform and development of higher targets and positioning. The Outline of the National Medium- and Long-term Plan for Education Reform and Development (2010–2020) issued by the government in 2010 clearly states: “On the basis of the construction of key disciplines, we will continue to implement the ‘project 985’ and the construction of innovation platforms for advantageous disciplines, continue to implement the ‘Project 211’ and launch key discipline projects with distinctive features.“ The overall landscape of shaping double first-class university, the major analysis of double first-class university, and summary of double firstclass construction data have been offered to explore how to shape double first-class universities in China, contextually.

2.1 The Overall Landscape of Shaping Double First-Class University 2.1.1 The Policy Text of Shaping Double First-Class University In 2013, the Ministry of Education and the Ministry of Finance also issued the newly revised “Management Measures for The Construction of Project 985”, but the direction of the key construction policy has changed since then. In November 2015, the

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_2

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State Council issued the General Plan, and in June 2016, the Ministry of Education announced the abolition of eight documents related to the “985 Project” and “211 Project”. In September 2017, the Expert Committee selected and recognized, the Ministry of Education, The Ministry of Finance and the National Development and Reform Commission studied and submitted to the State Council for approval and published the list of “Double first-class” universities and construction disciplines (Yang et al. 2019; Wang 2020; Li and Dong 2018). On September 21, 2017, the Ministry of Education, Ministry of Finance, National Development and Reform Commission jointly issued “published on the world first-class university and the first-class discipline construction and the construction of disciplines in colleges and universities list notice, formally announced the world first-class university and the first-class discipline construction in colleges and universities and construction course list, the first batch of” double top construction in colleges and universities A total of 137, of which 42 building world-class university colleges and universities (36 A, B class 6), 95 world first-class discipline construction in colleges and universities; There are a total of 465 double first-class construction disciplines (including 44 self-determined disciplines). According to the final list, the unit system of “Project 211” and “Project 985” has been basically continued in the construction of “Double first class”. While based on disciplines, schools are still retained as the basic units of “double first class” construction. Therefore, in the policy design, it is stipulated in advance that “985” colleges and universities are all listed in the first-class university construction list, and “211 project” colleges and universities are all listed in the first-class discipline construction list, and then fine-tune. Twenty-five more universities have been added to the 112 “211 universities”. This implies that an evaluation mechanism to break the identity solidification will be formed in the university system. The number of schools in each region that have been selected as “double first-class” has basically increased based on the original number of “211 universities” in each region. Of these, 8 provinces were involved in an increase, while the remaining 23 provinces showed little change. Among the 25 new schools, eight were added in Beijing: The Central Academy of Drama, The University of The Chinese Academy of Sciences, the China Conservatory of Music, the Central Academy of Fine Arts, the Academy of Foreign Affairs, the People’s Public Security University of China, Capital Normal University and Peking Union Medical College. Beijing has the largest number of new schools. In addition, there are newer Shanghai and Jiangsu, respectively 4. Fourteen of Shanghai’s original 10 “211 universities” have been included in this “double first class”, including Shanghai Ocean University, Shanghai University of Traditional Chinese Medicine, Shanghai Institute of Physical Education and Shanghai Conservatory of Music. There were 11 “211 universities” in Jiangsu, and 15 of them were included in the “double first-class universities”, including Nanjing University of Information Engineering, Nanjing Forestry University, Nanjing University of Traditional Chinese Medicine and Nanjing University of Posts and Telecommunications. There were 5 “211 Universities” in Sichuan, and 8 schools were selected to be “Double first-class” this time. Three new schools were added, namely Chengdu University of Technology, Southwest Petroleum University and Chengdu University

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of Traditional Chinese Medicine. There was one “211 University” in Zhejiang, and this time three schools were selected into “Double first-class”, and two new schools were added, China Academy of Fine Arts and Ningbo University. There were 3 “211 universities” in Tianjin (Hebei University of Technology is a foreign school, which is included in Hebei). This time, 5 schools were selected as “Double first-class”, and 2 new schools were added, Namely Tianjin University of Technology and Tianjin University of Traditional Chinese Medicine. One of the original “211 Universities” in Henan province has been selected into the “Double first class”, and two new universities have been added. There were 4 “211 universities” in Guangdong, but 5 schools have been admitted into “Double first-class”, and Guangzhou University of Traditional Chinese Medicine has been added (Yang et al. 2019; Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019).

2.1.2 The Policy Document Analysis of Shaping Double First-Class University Colleges and universities in ministries and commissions occupy the main part in the construction of “double first-class”, and local colleges and universities get partial resources inclined. Through data analysis, colleges and universities of ministries and commissions (subordinate to ministries and commissions such as the Ministry of Education and the Ministry of Industry and Information Technology) occupy the main position in the construction of “double first-class”. The number of colleges and universities in the ministries and commissions was 90, accounting for 65.7% of the total. 412 subjects were selected, accounting for 88.6% of the subjects. In retrospect, since 1952, after the adjustment of colleges and universities, the state has experimented the policy of key universities, and the construction of key universities has gradually become a basic state policy in China. In 1954, 1959, 1960, 1978, 1984, 1991, 1995 (Project 211), 1998 (Project 985) and 2017, the state designated “key universities”, most of which are institutions of ministries and commissions. Today’s ministries and commissions colleges and universities in the strength of colleges and universities, talent introduction, resource construction, financial support and other aspects have unique advantages. The construction of “Double first-class” has been inclined to local colleges and universities, and the proportion of local colleges and universities being selected into “double first-class” colleges and universities has been increased by nearly 10% compared with the original “211 Project”. Compared with the “211 Project”, 25 new universities have been added, including six from departments and 19 from local universities. The proportion of local universities in the “211 Project” is 24.3%, and that in the “double first-class” project is 34.3%, an increase of 10%. The coordinated development of colleges and universities in ministries and commissions and local colleges and universities is the only way to build a first-class higher education system and a powerful country in higher education and is the inherent meaning of the construction of “double first-class”. Local colleges

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and universities should develop dislocated with those affiliated to ministries and commissions, focus on the subject construction and school-running characteristics, develop their own characteristics in their own fields, and strive for the first place. Colleges and universities affiliated to ministries and commissions should also have a sense of competition and cooperation and should no longer be “the emperor’s daughter does not worry about getting married”. They should cooperate with local colleges and universities in scientific research and training backbone teachers and have a broad vision and a mind of the world.

2.2 The Major Analysis of Double First-Class University 2.2.1 Discipline Construction as the Foundation Project of “Double First-Class” University Some scholars compared the policy logic of the “985 Project” and the “double firstclass” construction and found that the original general construction goal of the first phase of “985 Project” was to “build several world-class universities and a group of internationally renowned high-level research universities and promote the formation of a group of world-class disciplines”. In 2015, the Central Government decided to launch the “Double first-class” construction, with the policy goal of “comprehensively promoting the construction of world-class universities and first-class disciplines”. There is a qualitative difference between the two tasks and objectives: the former is completed, and the construction focus is the school, while the latter is ongoing, and the construction focus is the discipline. While in the “double top” plan stating the aim of the new file, first-class school is juxtaposed with the first-class discipline, but in adjustment file description can feel greatly, strengthen to promote the proportion of first class discipline construction, in sharp contrast with the original lay particular stress on the construction of first-class university, it has to do with the college for more than ten years practice of growth rules, disciplines and university relations and world class university’s understanding about the subjects contribute (Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017). It should be noted that although “double first-class” construction highlights the importance of discipline construction in policy design, universities still lack rational cognition of what discipline construction should be built in policy implementation. As a late developing country of higher education, the organization and system construction of universities in Our country lags behind relatively, and the importance of organization and system to the construction of universities and disciplines is not fully understood. Although the Guiding Opinions on Accelerating the Construction of “Double First-class” in Institutions of higher learning also emphasize the “innovation of discipline organization mode”, it is hoped that colleges and universities “focus

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on the construction of disciplines and strengthen the coordination and cross integration of disciplines”. Integrate various resources and increase support for original, systematic and leading research. Major disciplines should lead the way in development and play a role of condensing radiation. Disciplines should be closely linked and make collaborative innovations, so as to avoid the simple practice of ‘balancing, spreading out, and playing a role of’. However, in the practice of discipline construction in colleges and universities, the phenomenon of “attaching more importance to resource investment than institution construction” is still serious, and project system is still absolutely dominant. Universities and scholars are keen on applying for talent titles, taking projects, sending papers and winning awards, and pay insufficient attention to the innovation of disciplinary organization model. Many of the humanities and social science discipline construction, is still in the “manual workshop” stage. Due to the lack of effective discipline organizations as research platforms, many scholars still engage in teaching and research in the way of “self-employed”.

2.2.2 The Publication of the First-Class Discipline Construction List and the Promotion of the First-Class Discipline Construction Policy There are three main principles in determining the priority of developing subject areas internationally. The first is the principle of academic excellence, that is, existing disciplines have excellent quality, if additional resources can quickly achieve a leading position at home and abroad, such disciplines can be listed as priority areas for key investment. The second is the principle of social demand, that is, although the existing discipline does not have outstanding quality, it has a large space for future development and can meet the major strategic needs of the country or region and bring direct benefits to mankind. Such a discipline can also be included in the priority development field for key investment. This is called finding new growth points or building potential strengths. The third is the interdisciplinary principle, that is, if injecting resources can promote interdisciplinary research, promote interdisciplinary integration, and enhance the comprehensive strength of universities, such fields can also be included in the priority development scope. In the published “the first-class university construction in colleges and universities construction plan” and “the first-class discipline construction in colleges and universities construction plan,” universities of disciplinary layout and construction planning in the “flexibility”, as the first-class construction course list released by Ministry of Education as the foundation, from the practice of school, in the school first-class construction as the center of the whole school disciplines to the layout and development planning. For example, the construction of first-class disciplines in Peking University is based on first-level disciplines, subject groups and subject areas, and discipline construction projects are organized according to the mode of “30 + 6 + 2”. The

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construction of first-class discipline in Tsinghua University has established a discipline construction system consisting of three levels, namely, subject area, subject group and subject, and formulated a classified and hierarchical discipline development approach. The construction of first-class disciplines in Zhejiang University is mainly based on the “peak discipline Construction Support Plan”, “first-class backbone basic discipline construction support plan” and “Advantageous characteristic discipline development Plan”. The construction of first-class disciplines in Nanjing University is based on three levels: the first level is based on 15 first-class disciplines, and 23 disciplines are constructed; The second level, based on the first level of disciplines, the construction of nine characteristic development of the subject group; At the third level, relying on nine subject groups, five world-class and domestically leading academic peaks will be built. The construction of first-class disciplines in USTC centers on “11 + 6 + 1”. Specific include: mathematics, physics, chemistry, astronomy, geophysics, biomedical science, science and technology, materials science and engineering, computer science and technology, nuclear science and technology, safety science and engineering, 11 disciplines such as quantum information and network security, medical physics and biomedical engineering, the brain and brain intelligence technology, mechanics and material design, information, computing and communication engineering, management science and big data such as interdisciplinary subject and the environment and ecology a group 6, etc.; Aiming at emerging fields and interdisciplinary fields, the University of Science and Technology of China (USTC) will build new medicine (Life Science and Medicine) and new engineering (Quantum Information Science, artificial intelligence and Big data intersection) to cultivate new growth points of disciplines. Based on the disciplines recommended by the Ministry of Education, the construction of first-class disciplines in Nankai University is divided into three levels: “taking the lead in impacting the world-class disciplines”, “consolidating and developing the discipline plateau”, and “emerging cross-disciplines and newly added disciplines”, thus forming a “7 + 8 + X” development pattern (Yang et al. 2019; Wang 2020).

2.2.3 The Types of the Selected First-Class Universities Are Unevenly Distributed, and the Selected First-Class Disciplines Different types of colleges and universities reflect their school-running characteristics and direction. It can be seen from the following table that all the colleges and universities selected for the “Double first-class” construction are involved in other types except military ones. There are as many as 47 comprehensive universities, followed by 41 science and engineering universities. Agriculture, forestry, normal school and medicine rank 3–5, with 9 universities, 9 universities and 8 universities respectively, which is a big gap from the top two. Art, finance and military are ranked in the 6th to 8th place, with 7 schools and 5 schools selected respectively. There are

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2 universities in politics and law, physical education and language. Only one university in the ethnic category was selected. In conclusion, in addition to comprehensive universities, other types of selected college is different in quantity, this also to the development level of different types of colleges and universities in China an intuitive display, engineering, medicine, agriculture and forestry, and normal performance of colleges and universities is relatively strong, and nationality, sports, university of political science and law, language is inferior. As a social organization, colleges and universities have close ties with the society. The number of different types of colleges and universities that can be selected is also closely related to the needs of social and economic development, national finance, policy and other aspects of support and their own growth. After statistical analysis, the 465 selected first-class disciplines are distributed in 108 disciplines. Among them, materials science and engineering were the most selected (30), ranking the first; Chemistry, biology, computer science and Technology, mathematics, ecology and mechanical engineering were selected more than 10 times. In addition, 9 subjects were selected from 3 disciplines. Eight of the four subject areas were selected. The number of candidates in 5 subject areas is 7; Six of the 10 subject areas were selected; Five of the three subject areas were selected. 4 of the 7 subject areas were selected; The number of candidates in 18 subject areas is 3; Two of the 43 subject areas were selected; The number of candidates in 8 subject areas is 1. According to the relevant person in charge, the selection of first-class disciplines is fully based on the publicly released, publicly available, universally recognized third-party authoritative evaluation results at home and abroad (Song and Qiu 2019; Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017). It can be seen from this that all the subjects that can be selected have good strength, and the more subjects that are selected, the more they can reflect their overall strength at home and abroad, and there is a tendency of a hundred schools of thought contend. But the discipline field that is chosen less, show in domestic and foreign in lack certain competition ability. Taking 29 disciplines with more than 5 disciplines as examples (see the table below), it can be found that most disciplines are natural sciences, while only a few disciplines are humanities and social sciences, which indicates that China is superior to humanities and social sciences in the development trend of natural sciences. The short-term benefits and influence of natural science are much higher than that of humanities and social sciences, so governments, universities and individuals pay more attention to the development of natural science. This also exactly reflects a common problem in China’s higher education, which is the emphasis on science and the neglect of literature in today’s prevailing utilitarianism and materialism. As some scholars said, “Although Peking University and Fudan University rank among the top disciplines in the construction of ‘Chinese language and literature’ this time, the humanities, including the Chinese department, have always been relatively weak from the perspective of the internal resource allocation pattern of universities.“ Culture is the ideological system on which The Times depends, and the basic function of a university is to teach important cultural disciplines. As early as 100 years ago, When Cai Yuanpei reorganized Peking University, he proposed to “communicate the arts and science”, lay equal stress on aesthetic

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education and science, and finally made Peking University a world-famous university. Ortega also proposed that the culture department should be established as the core of universities and even higher education. Taking history as a mirror, the construction of “double first-class” should also pay attention to the construction of liberal arts and the construction of connotation. Higher education should not only be regarded as “a tool to solve life problems” but should also pay attention to the construction of liberal arts and connotation. As one scholar has argued, “A strong humanities is not necessarily a first-class university, but without a strong humanity, it is certainly not a world-class university” (Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017).

2.2.4 The First-Class Construction Discipline with “Chinese Characteristics” The localization of higher education is not only the logical premise but also the inevitable destination for the development of a country’s universities. Only by combining the national conditions and historical and cultural traditions and taking a characteristic development road, can we have the basis and advantages for the communication with the world’s advanced civilization. If the construction of worldclass universities is compared to running in a racetrack, the construction of universities must follow international competitive principles. Only by following your own track can you reach the finish line and build a world-class university. Among the “double first-class” construction plans in various provinces and cities, it is a highlight to promote the construction of characteristic disciplines based on the economic and social development and industrial demand according to local conditions. For example, based on the resources, geographical and ethnic advantages of the Qinghai-Tibet Plateau, Qinghai Province has selected the ecology of the source of the Three Rivers, Tibetan information and security, plateau medicine and other key projects. Hainan province highlights Hainan’s geographical and ecological advantages, focusing on the development of tropical university agriculture, international tourism, tropical oceans, tropical medicine, island ecology and other characteristic disciplines. If colleges and universities can excavate and inherit regional culture by virtue of innate geographical advantages and build characteristic disciplines accordingly, they will surely stand out in the construction of “double first-class”. For each university, the disciplines selected in the first round of “double first-class” construction universities are mostly the advantageous and characteristic disciplines of their own universities. Construction of “double top” to promote the development of university superiority characteristic discipline and helps to build colleges and universities independently determine the scope of the diameter and subject construction, scientific establishment as a whole and discipline construction plan, and lead the first-class discipline construction and the academic ecological system, driving the

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development of the school as a whole, legal way for university superiority characteristic discipline provides highly agree with laws. Moreover, the emphasis on the construction of differentiated disciplines is conducive to the structural optimization and layout of multi-dimensional and cross-disciplines, and provides policy support for the integration of methods, theories and models among the same or similar levels of disciplines. At the same time, these advantages discipline and not follow the western university westernization and the same, but the construction into accord with Chinese national condition, society, culture, school feeling of superiority characteristic discipline system, create many entering the world first-class disciplines, with characteristic advantage, again by the advantage to build a strong, enhance the core competitiveness of China’s first-class university discipline system.

2.2.5 The Regional Distribution of the First-Class Universities Uneven distribution among provinces and cities. In terms of the number of universities selected by each province, Beijing, Jiangsu, Shanghai, Sichuan and Shaanxi are ranked in the top five for the number of “double first-class” universities, with 31, 15, 14, 8 and 8 respectively. Then followed by Hubei 7, each 5 Tianjin, Guangdong, Hunan, Liaoning, Heilongjiang 4 each, Shandong, Zhejiang, Anhui, each 3, Jilin, Fujian, Chongqing, Henan, Xinjiang each 2, Gansu, Yunnan, Hebei, Shanxi, Jiangxi, Guangxi, Inner Mongolia, Hainan, Guizhou, Tibet, Qinghai, Ningxia 1 each. Beijing, Shanghai and Shaanxi are the top three provinces and cities in terms of the number of universities selected as “first-class universities”, with 8, 4 and 3 universities respectively. In terms of the number ratio, Beijing, Jiangsu, Shanghai, Sichuan and Shaanxi provinces have 55.47% of the “double first-class” universities, more than half of them. The 12 provinces of Gansu, Yunnan, Hebei, Shanxi, Jiangxi, Guangxi, Inner Mongolia, Hainan, Guizhou, Xizang, Qinghai and Ningxia have only 8.76%. Guangxi, Guizhou, Hainan, Hebei, Jiangxi, Inner Mongolia, Ningxia, Qinghai, Shanxi and Xizang have only one first-class discipline construction site and no first-class university in each province, municipality or autonomous region. The five regions with A large number of “double first-class” colleges and universities also have A large gap in strength. The strongest city is Beijing, which has 8 first-class universities in Class A and 162 first-class disciplines. Its comprehensive strength is obviously one notch higher than that of Shanghai, which ranks the second, and it occupies an absolute advantage with its powerful scale and development level of colleges and universities. The number of selected universities, disciplines and schools in the eastern region of China is the highest, with obvious advantages, and occupies a dominant position in the construction of “double first-class”. The specific data are as follows: 84 universities in the east, 25 universities in the central region and 28 universities in the west region were selected into the “Double first-class”, accounting for 61.31%,

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18.25% and 20.44%, respectively. The number of subjects in eastern, central and western universities was 331, 83 and 51, accounting for 71.2%, 17.8% and 11.0%, respectively. The eastern region is close to the central region, but much higher than the western region. According to the data, east China and North China lead the list, with 41 and 39 universities and disciplines respectively. Only 7 universities and 20 disciplines were selected from South China, which were the least. From the perspective of the history of higher education after the founding of new China, the number of universities in North China and East China has always been the first group. In 1978, “Project 211” and “Double first class”, there were 20, 30 and 40 schools in the two regions, accounting for more than 20% in each region. In central China, northeast China, northwest China and southwest China, the differences are not large. The “double first class” selection is between 11 and 13 schools, accounting for about 10%. South China is the most vulnerable region in the “double first class” selection, with less than 10 schools being selected, accounting for about 5%, and the number of schools being selected is the lowest in each region.

2.2.6 The Uneven Regional Distribution of the First-Class Universities Policy causes regional imbalances. Since the 1990s, our country implemented the “211 project”, “985 project” “edge discipline innovation platforms” and other key development planning, focus on advantage of human and financial support for the development of colleges and universities and disciplines, which makes a number of congenital foundation good colleges and universities and the wider development space and better policies, financial support, but also increasingly acquired disorder lead to deficiency of colleges and universities. From the “211 project” and “985 project” universities provincial distribution, included in the national “double top” provincial distribution of the basic construction of top university and provincial distribution of the university of the original “985 project”, it’s from the policy implementation results confirm the policy factor is the high level in our country university is one of the main reasons for provincial distribution is not balanced. The level of regional economic development and the emphasis on higher education result in regional imbalance. The regional competitiveness of university education is closely related to the level of regional economic development. In addition to the normal state allocation for education, the development level of higher education is positively correlated with the investment of local governments in higher education, while the investment of local governments in universities depends largely on the level of local economic development and the emphasis of local governments on higher education. The higher the level of local economic development, the more attention to the development of higher education, the more investment in education. The higher the level of education development, the higher the level of education development in turn

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promotes the level of economic development. The fact that Beijing, Shanghai and Jiangsu are among the top three in the inter-provincial ranking is closely related to their relatively high level of economic development and the importance they attach to higher education. Without exception, the provinces, municipalities directly under the Central Government or autonomous regions with the lowest number of “double first-class” universities are all provinces, municipalities directly under the Central government or autonomous regions with low level of economic development. Regional imbalance is caused by location factors and historical reasons. Geographical location factors affect the level of economic development, as well as the development level and openness of universities. The eastern region gathers many high-level universities and attracts a large number of excellent talents due to its obvious geographical advantages. Hubei, Shaanxi, Hunan and Sichuan province economic strength is relatively weak, but because of the location advantages and historical reasons, focused more on universities and disciplines, such as Wuhan university, Huazhong university of science and technology, Xi’an Jiaotong university, national university of defense technology, Sichuan university, etc., have a plenty of the university has a long history of institution of higher learning, have a plenty of national key construction characteristics of colleges and universities, and home has the natural relation, not only provide personnel and technical support for the local economic development, also because of its location of demonstration effect, and so did the other university’s development, have a university gathered effect, so these areas in a provincial rank in the list.

2.2.7 The Gap in Resource Allocation of Higher Education Among Provinces The data analysis shows that Beijing, Shanghai and Jiangsu province are among the top universities and disciplines, with 34, 14 and 15 universities respectively, and 162, 57 and 43 disciplines respectively. Only one university from 10 provinces including Hebei, Guangxi, Guizhou and Hainan was selected. However, compared with previous years, 10 new provinces and cities were added to the double top ranking, with an increase of 32%. The new provinces and cities included seven in the west, including Xinjiang, Xizang, Qinghai and Shanxi, two in the central and one in the east, and 90% of the new provinces and cities were in the central and western regions. The layout of “double first-class” in the central and western provinces will help bring into play the role of scientific and technological innovation and cultural beacon of first-class universities and disciplines and lead regional economic and social development. Due to the new pattern of higher education and regional economic and social development, the regional distribution and adjustment of higher education resources become more and more important, and gradually become a major policy subject that affects the fair development of economy and society and long-term efficiency.

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2.3 Questions of Double First-Class Construction Data 2.3.1 How to Lay Out the Double First-Class Universities Facing Difficulties? The goal of building “double first class” is to become one of the first class or the forefront of the world. The global academic capacity is currently limited to no more than 200 world-class universities. “Double first class” requires sustained investment to maintain and improve the teaching and research environment, which is costly. The policy is faced with the problem of preferential choice in supporting the construction of “double first class”. Therefore, the government can only support a few universities and disciplines to enter the “double first class”. Because of the limited number of “double first-class”, the layout problem is particularly important. The regional layout of “double first class” not only involves local economic and social development, but also involves the regional allocation of high-quality enrollment quota, which affects most of the population and multiple groups in the region. Compared with the distribution of population and space, the distribution of higher education resources in China is seriously unbalanced, especially the distribution of key universities, which is the result of the combined effect of fiscal policies, subordinate policies of universities, local financial resources, and selection policies of key construction. If strength and ranking are strictly regarded as the basis for the selection of “double top” universities, the regional imbalance of higher education will worsen. Under the strong momentum of the current “double first-class” construction, the universities and disciplines included in the central or local “double first-class” construction scope can not only obtain more abundant financial support, but also obtain significant gain in the reputation of the school or discipline, and thus enjoy a variety of spillover hidden policy dividends. This objectively intensifies the “depression dilemma” of the development of higher education in less developed provinces nationwide and the Matthew effect of inter-school competition in the provincial higher education system because the basic effect of institutional level inertia in higher education is such a snowball effect. Moreover, the “double first-class” construction, which is too “focusing on the key points”, can easily interfere with the ongoing transformation of some local colleges and universities to application-oriented undergraduate reform and even impact the construction of the local modern vocational education system. For most provinces, restricted by the input of provincial financial education funds, the “double first-class” key construction policy for a small number of universities and disciplines easily leads to the “squeeze” effect on the input of financial funds for other types and levels of higher education institutions. What is also not to be neglected is that, just like the “portal discrimination” on graduates from “non-211” and “non-985” universities caused by “Project 211” and “Project 985” in earlier years, the “double-first-class” construction is likely to induce the “portal prejudice” on graduates from local colleges and universities, especially vocational colleges. If this kind of “portal bias” ferments again, the application-oriented transformation of local colleges and the reform and development of local vocational colleges

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will face the all-round impact which cannot be underestimated. More alarming is that if elite higher education and mass higher education even widening the gap between the long-term existence, the social function of the higher education promotes the lower-middle class upward mobility will be weakened, triggering a new “reading useless” curing, social class, as well as the strong and weak polarization and so on a series of more serious social problem. If the regional balance of higher education is considered and historical compensation and regional development are included in the selection basis, then how to achieve world first-class based on “supporting the weak” is also a difficult problem.

2.3.2 The Layout of Disciplines and Majors Is Facing Difficulties The first-class discipline is the important foundation of the first-class university, which needs the support of the first-class discipline. The quantity and quality of the first-class disciplines are also one of the important reference indexes for the ranking and evaluation of the running quality of universities at home and abroad. Therefore, the “double first-class” programs of all provinces and cities place the construction of first-class disciplines in a prominent position and invest a lot of money to build firstclass disciplines. Stimulated by the policy of “double first-class” in all provinces and cities, many colleges and universities began to optimize the layout of disciplines and majors to compete for more educational resources and improve the rate of return on investment. This is understandable, but the pros and cons of greatly eliminating weak disciplines are thought-provoking. In pedagogy, for example, in 2016, Nankai university, sun yat-sen university, Shandong university, Lanzhou university, communication university of China, Tongji university, China university of science and technology, southeast university, etc. are adjust education or cut, or to cancel the agent adjust education subject to other institute or department, or cancel the organizational system, at the same time also cancel the education subject teaching and talent training mission, only keep the scientific research task. There are also many colleges and universities that combine various disciplines related to first-class construction disciplines into a discipline group or discipline field, rather than sincerely integrating disciplines, more for the sake of “keeping together” and “sharing interests”. These “disparate” disciplines, provisionally “cobbled together” for utilitarian purposes, may do well in response to government quantitative assessments, but they do little to promote academic progress or solve the scientific conundrum. Under the condition of limited educational funds and resources, universities can exercise their autonomy to eliminate and adjust the disadvantaged disciplines. But is it a normal work for universities to eliminate and adjust the educational disciplines, or should it be necessary for the construction of “double first-class”? What are the basis and criteria for eliminating a discipline? Is it useless to measure the development of a discipline only to see the construction of “double first-class”? What are the criteria for “useful”? Do

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you respect the differences in the development of subjects? Who has the right to decide whether disciplines should be abolished? Under the background of “double first class” construction, it is worth pondering how to adjust the layout of disciplines and majors.

2.3.3 The Allocation of Resources Between Central and Local Double First-Class Universities and General Universities There is a huge gap in the allocation of resources between central and local “double first-class” universities and general universities, which is extremely unfair. The funds of the central “double first-class” universities shall be integrated into the budget allocation system of the central universities for overall consideration by the central finance to carry out the construction of world-class universities and first-class disciplines and provided with guidance and support through relevant special funds. Relevant local governments provide funds, policies and resources support to central universities in various ways. The central government has invested in capital construction to support the development of infrastructure related to world-class universities and disciplines. The construction of world-class universities and disciplines carried out by local colleges and universities shall be carried out by local governments in light of their actual conditions. The funds required shall be arranged by local governments as a whole, and the central government shall provide guidance and support through relevant funds to support the development of local colleges and universities. However, those universities that have not participated in the construction of national “double first-class” universities or local “double first-class” universities can only rely on the support of local policy funds such as the average student funds. Because of the strong support from the central government and local governments, the construction funds of the “double first-class” universities in the central government are extremely sufficient. These universities, which only account for 28.1% of the national universities, monopolize the resources of most of the national universities. Place “double top” construction in colleges and universities because only for local government financial support, in addition to Shanghai, Beijing, Guangzhou and other conditions good “double top” colleges and universities and the central “double top” colleges into funding gap is smaller, the rest have no newly-established local colleges and universities the funds for the construction of “double top”, or even too difficult to maintain the normal teaching and research activities.

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2.4 Suggestions of Double First-Class Construction Data 2.4.1 Establish a New Development View of Higher Education Based on System Theory and Ecological Theory Ideas are the forerunners of behaviors and the cognitive basis leading to corresponding actions. The concept of development of higher education refers to people’s general and systematic views on how and how higher education should be developed. Under the given conditions of resource constraint, the construction of key universities with “something to do, something not to do” has often become the conventional top-level design and core policy option for the reform and development of higher education in later countries, which is also the case in China. The implementation of this kind of policy, of course, has some objective constraints of resources, but there is also no lack of subjective understanding of the bias. We lack of higher education, system theory, the diversity of organism, deep understanding the cognitive biases that in practice is often seen as a key university, especially the key research universities and the “key construction” policy design extremely popular, and often neglect to the cause of higher education system and the overall plan, structure optimization and coordinated development, the higher education system within different regions, categories and levels of the higher education sector, there is a huge gap between universities, discipline. The steep vertical stratification within the higher education system will weaken the potential social and educational equity (especially for those families at the bottom of the social pyramid) and will also kill the social value of higher education popularization. On the other hand, the economic and social structure of a country is diverse, requiring both high degree and junior college graduates; It needs both theoretical talents and applied talents. The need for both research-based and skilled talents is determined by the industrial and social structure and must be addressed and responded to by the higher education system. National key universities, ordinary local colleges and higher vocational colleges all form a vertical hierarchical chain from high to low, whether in terms of financial input, educational conditions, faculty development or batch enrollment. The vertical hierarchy structure in higher education system is exactly the reflection of people’s recognition level of different higher education types and institutions on the practical level. The “double first class” construction strategy itself does not directly involve discrimination in institutions and disciplines, but the existence of higher education hierarchy concept and culture may have a subtle influence on its policy practice, leading to artificial classification and discriminatory culture in fact. Therefore, we must conform to the trend of The Times, follow the law of higher education, practically set up a “modern” development view of higher education, deeply understand and consciously follow the law of the development of higher education diversification, systematization, and ecology. It should be recognized that the number of first-class universities in any country is limited. From the viewpoint of system theory and

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ecology theory, “other universities are equally important as first-class universities”, and even higher vocational education needs to strengthen the construction of “double first-class”. In the construction of classification, hierarchical, on the basis of institutions of higher education, subject system, should also be implemented through or communication between different categories and levels, especially through the higher vocational education by the college to undergraduate and professional degrees (master’s, doctorate) between the channels, as well as the ordinary local colleges and universities graduates competitive entrance high levels of colleges and universities and first-class colleges and universities graduate education channel, in order to give full play to the function of higher education to promote social mobility.

2.4.2 Adjust the Layout of Disciplines and Majors in Accordance with the Discipline Development Law Discipline and specialty are the foundation and key to build a first-class university. Scientific adjustment of discipline and specialty layout plays a vital role in giving full play to the functions of talent training, scientific research and social service in colleges and universities. Adjust discipline structure scientifically and reasonably according to discipline development law: first, determine key points based on eliminating value prejudice. On the one hand, due to the differences of symbol system, knowledge system, research paradigm, thinking mode and behavior mode, there are differences among disciplines and the level of development is different. However, each discipline is equal and cannot be divided into superior and inferior levels. On the other hand, we should concentrate our limited human, material, financial, energy, platform, and other resources to invest in the disciplines and majors that already have first-class status, to consolidate our traditional advantages. Second, the scale of disciplines should be appropriately controlled. After scientific, authoritative, and public demonstration, the merged disciplines and specialties must be merged, the reduced disciplines and specialties must be reduced, and the abolished disciplines and specialties must be abolished, to prevent the establishment of multi-disciplinary and bloated disciplines and specialties. Third, we should focus on creating advantageous and characteristic disciplines. We should focus on supporting advantageous disciplines that meet the strategic needs of national and regional priorities and even those that can directly benefit mankind. Although they are not first-rate, they have broad prospects for future development and have Chinese characteristics. Fourth, respect the discipline development law, give the disadvantaged disciplines and new disciplines enough inclusive attitude and development space, protect their basic right of survival, at the same time, break discipline barriers, promote the cross integration of disciplines, create new growth points of disciplines, to give full play to the integration advantages of disciplines.

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2.4.3 Build a Comprehensive and Interdisciplinary First-Class Discipline System The construction of “double first-class” in colleges and universities should not be limited to the state-recognized first-class disciplines. It is necessary to strengthen strength gathering and form an optimized discipline promotion system in accordance with the ideas of “classified overall planning, first-class traction, trunk strengthening, cross-driving and ecological optimization”. Disciplinary endogenous dynamic of promotion plan, through the subject diagnosis “comb” first-class standard, strengthen discipline evaluation, real-time dynamic management “crossing” optimize the institutional environment, urged “first-class HanYu culture, improve the image of the subject”, increase the endogenous driving force of the development of the discipline, build open tolerance, unity cooperation, the pursuit of excellence of discipline culture.

2.4.4 Deeply Participate in the “One Belt and One Road” Initiative to Improve the Internationalization Level of Higher Education in Western China “The internationalization of higher education has gone beyond the level of education policy to become a national development strategy.” At present, under the background of the deepening of the “One Belt and One Road” initiative, the internationalization of China’s higher education should serve the “One Belt and One Road” initiative and deeply participate in the construction of “One Belt and One Road”. More importantly, the “One Belt and One Road” initiative has transformed the western region from a “third-tier” region to a “first-tier” region and “from an open ‘peripheral’ region to an open frontier”. This is a rare historical opportunity for the revitalization of western higher education. Therefore, the higher education in western China should vigorously promote the internationalization of higher education in accordance with the requirements of “promoting the co-construction of One Belt and One Road” education action of the ministry of education. This is not only the inevitable requirement for western higher education to provide talent support for co-construction of “One Belt and One Road”, but also the realistic choice to realize the revitalization of western higher education. Therefore, we should focus on two aspects: first, strengthen personnel exchanges. In 2017, the number of overseas students from One Belt and One Road countries reached 317,200, accounting for 64.85% of the total. Under such circumstances, western universities should seize the opportunity and adhere to the combination of “inviting in” and “going out”. They should not only expand the scale of overseas students in China (western China), but also strengthen the exchange and cooperation between students dispatched (joint training) and teachers. Second, cooperate with the implementation of the “silk road” cooperative education plan, actively build a cooperation platform, and carry out the cooperative education that

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serves the local industry and the construction of “One Belt and One Road” (Yang et al. 2019; Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Chen and Zhang 2020; Ping and Chen 2017).

References Chen J, Zhang X (2020) The implicit meaning of “double first-class”: construction of first-class higher education system. Jiangsu Higher Educ 20(5):13–21 Gong H, Chen L (2019) The development of Advantageous characteristic Disciplines under the construction of “double first-class.” Modern Educ Manage 19(7):60–65 Li Y, Dong W (2018) Education balance: cold thinking on the construction of “double first-class” universities and disciplines directory. Heilongjiang Higher Educ Res 18(6):6–12 Ping H, Chen Y (2017) “Double first class” construction: policy promotion and higher vocational exploration—characteristics, difficulties, and solutions of “double first class” construction— reflections triggered by relevant policies of “double first class” construction in 19 provinces and cities. Vocat Tech Educ 17(30):10–18 Song B, Qiu J (2019) Analysis of inter-provincial distribution and development path of national “double first-class” construction. Modern Educ Manage 29(3):32–37 Wang J (2020) Coping with discipline construction in universities under the background of “Double first-class” construction. Higher Sci Educ 20(1):19–27 Yang J, Xie Y, Wang J (2019) “Double first-class” data perspective in universities and disciplines. Modern Educ Manage 19(2):32–36

Chapter 3

The Teacher Cultivation of Creating World-Class Universities in China

This chapter focuses on exploring the teacher cultivation to shape double first-class universities in China. It is an important part in the process of teacher training to improve the teaching ability of college teachers. The ability of education and teaching is the basic ability that a teacher should have, including the ability of education and teaching. Educational ability means that teachers should guide students to establish correct three views, cultivate students’ sense of social responsibility and mission, and stimulate students’ patriotic and socialist feelings. Teaching ability refers to a teacher’s ability to prepare, implement and reflect on teaching practice. Policy analysis on the construction of teachers in first-class universities, summary of policies for the construction of the faculty of double first-class universities, and the summary of double first-class university teachers’ cultivation have been offered in this chapter.

3.1 Policy Analysis on Teachers’ Cultivation in First-Class Universities 3.1.1 The Policies for the Teaching Staff in China The double first-class construction is an important strategy to realize the goal of becoming a powerful educational nation in China. “Push forward world first-class university and the first-class discipline construction overall plan (the same below “overall plan”) expressly pointed out the further implement talent strong school strategy, strengthen the high-level talents to support the leading role, to speed up the training and the introduction of a number of active in international academic front, meet the demand of national major strategic leading scientists, subject leaders and innovation team, gathered the world talents”, in 2017, the Ministry of Education, Ministry of Finance, National Development and Reform Commission jointly © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_3

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issued the “push forward world first-class university and the first-class discipline construction measures for its implementation (provisional)” notice, The “selection conditions” part of the implementation measures points out that “in terms of the construction of the teaching staff, the political quality of the teaching staff is strong, the overall level is high, the teachers are devoted to teaching and educating people, and the teachers have excellent ethics; Front-line teachers generally master advanced teaching methods and techniques, have rich teaching experience and good teaching effect; There are a number of first-class experts, discipline leaders and innovation teams active in the international frontier; The structure of teachers is reasonable, the growth environment of young and middle-aged teachers is good, and the sustainable development is strong enough.” This condition provides systematic and scientific guidance for the construction of first-class faculty. Based on the requirements of the “overall plan” and the selection conditions of the “implementation measures”, the State Council, the Ministry of Education, the Leading Party Group of the Ministry of Education, and other departments have issued several documents concerning the construction of teaching staff in colleges and universities. A series of policy documents from the introduction, cultivation, evaluation, management, and other aspects of the double first-class university teacher team construction put forward new requirements (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020).

3.1.2 The Policies for the Faculty of Double First-Class Universities 1.

Strengthen the introduction and cultivation of teachers to promote the development of teachers’ abilities. The introduction of teachers is the first step in the construction of teachers. It is effective at the starting point to build first-class teachers in colleges and universities through the introduction of highlevel talents, but the cultivation after the introduction of talents is also important. Having a group of self-trained talents is the basis for the construction of firstclass teachers in colleges and universities. The construction of “double firstclass” is inseparable from the first-class talent team, and the construction of first-class talent team needs a certain education environment. Therefore, the combination of talent introduction and cultivation is the key to the construction of first-class teachers.

At the 19th National Congress of the Communist Party of China (CPC), the strategy of building a moderately prosperous society in all respects was clearly defined as one of the seven decisive strategies for completing the building of a moderately prosperous society in all respects. Promulgated in 2015 the State Council “about printing as a whole to promote the world first-class university and the first-class discipline construction overall plan notice for teachers introduction and cultivation in” speed up the training and the introduction of a number of active in international

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academic front, meet the demand of national major strategic leading scientists, discipline leaders and innovation team, gathered the talents’ requirement; In the Guiding Opinions on Accelerating the Development of High-level Talents in Directly affiliated Universities issued by the Leading Group of the Ministry of Education in 2017 (No. 40 [2017] of the Ministry of Education), it is clearly proposed to “strengthen the support for high-level talents cultivation” and “improve the investment mechanism for talent development and increase the investment in talent development”. “Universities are encouraged to actively participate in the innovation talent Promotion program, the Youth Top-notch Talent Program and the Science Fund for Outstanding Youth”. To introduce and cultivate high-level talents at home and abroad, the state, local governments and universities have carried out numerous talent programs. From the national level, “one thousand plan”, the Ministry of Education “cheung kong scholars programme”, “one thousand plan” of the Chinese Academy of Sciences, such as “ten thousand project” the plan further forward, focusing on outstanding talents, talents, and high level innovation teams, created good conditions for the growth of talent development, at the same time, through the perfect project for young scholars of “cheung kong scholars programme” in colleges and universities, encouraging them to participate in “outstanding youth science fund project”, “youth talent plan”, “innovative talents promotion project” vigorously develop the youth science and technology innovation talents. In addition, we will intensify efforts to implement the program of overseas talent recruitment and the program of academic innovation in institutions of higher learning to attract overseas high-level talents and outstanding young talents to Engage in teaching, research, and management in China, and build a first-class teaching staff with an international perspective. At the local level, various provinces and cities have successively launched a series of talent programs, such as “Oriental Scholars” in Shanghai, “Qianjiang Scholars” in Zhejiang, and “Taishan Scholars” in Shandong, etc., to actively cultivate high-level talents in combination with the characteristics of local development. From the school level, the first-class university in the national level, such as “one thousand plan”, “cheung kong scholars program” of the talent training plan at the same time, combining with the actual situation of the school has introduced a variety of talents program, implemented “liberal scholars program” of Beijing university, Beijing university of aeronautics and astronautics implementation plan “kunyenga by day”, Beijing normal university, implement the “Beijing normal university young teachers development support plan”, sets up the “chief professor of southeast university” distinguished professor “professor” youth chief “youth distinguished professor” talent young scholars of “good” and other campus planning, Xinjian university implements the “Tianshan cedar plan” and so on. The establishment and implementation of various talent programs have created a good environment for talent recruitment and education, which reflects the central government, local governments and universities attach great importance to the work of talent recruitment and education. Meanwhile, several first-class talent teams have gathered and accumulated the experience of talent and personnel work. In addition, in the process of building a first-class faculty, colleges and universities have invested a large amount of funds to actively carry out exchange and cooperation projects with foreign colleges and universities, introduce overseas high-level experts and scholars,

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and strive to build an international first-class faculty (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020). In 2017 the Ministry of Education, Ministry of Finance, National Development and Reform Commission jointly issued by the department of three “push forward the world first-class university and the first-class discipline construction measures for its implementation (provisional), clearly put forward” first-line teachers generally master the advanced teaching methods and technology, rich experience in teaching, good teaching effect “of the specific requirements, a line of college teachers’ teaching methods and techniques, teaching experience and teaching effect put forward clear requirements in the construction of” double top “work, every college attaches great importance to promote teachers’ education teaching ability. In schools “first-class schools 2018 annual progress report” basic are mentioned in the “to strengthen the teaching”, “improve teachers’ teaching responsibilities”, “improve education quality of teaching and education teaching” relevant keywords, and universities to establish a series of promotion of the teacher’s education teaching ability measures (see Table 3) in the appendix, such as Beijing university promote teacher’s teaching in teacher assessment of weight, increased from 30 to 50%, Shanghai Jiaotong university, “youth backbone teacher training course”, Central university for nationalities set up teacher’s teaching development center, to carry out the teaching design, teaching skills, teaching methods and means, scientific research and so on the many kinds of training activities, the content of the sharp increase of Wuhan university”, “award for outstanding contribution to the teaching principal, young teachers teaching competition, the level of teaching achievement prizes at the reward, promote teachers based on the teaching standard, return to continue education, actively expand cooperation with foreign teachers in Chongqing university joint teaching high-level university or research institutions, national university of defense technology continues to post training duration, the new office faculty pre-service training, teaching jousting contests activities, constantly raise the level of teachers classroom teaching. A series of measures taken by the first-class universities have played an important role in improving the education and teaching ability of the front-line teachers and achieved certain results (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020).

3.1.3 The Reform of Teacher Evaluation System Teacher evaluation is the key to mobilize the enthusiasm and initiative of teachers and is an important link and way of teacher construction. In 2013, the Opinions of the Ministry of Education on Deepening the Reform of Science and Technology Evaluation in Institutions of Higher Learning (No. 3 [2013] of the Ministry of Education) was formulated, making it clear that quality and contribution orientation should be adhered to, classification evaluation criteria should be established, and a fair, just, and transparent open evaluation mechanism and a long-term evaluation mechanism focusing on evaluation effectiveness should be formed. In August 2016, the Ministry

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of Education issued the Guiding Opinions on Deepening the Reform of The Assessment and Evaluation System of University Teachers, which pointed out the overall requirements of the assessment and evaluation of teachers, and divided the assessment and evaluation into five aspects, namely, teacher ethics, teaching performance, scientific research achievements, social services, and professional development. In 2017, the Guiding Opinions of the Leading Party Members’ Group of the Ministry of Education on Accelerating the Development of High-level Talents in Universities directly under the Ministry of Education (No. 40 [2017] of The Ministry of Education) were formulated, making it clear that the talent classification and evaluation system that reflects Chinese characteristics and conforms to international common standards should be gradually improved according to disciplines, types and stages of talent development. We should improve the peer review system, pay attention to the role of “small peer” and international peer evaluation, pay attention to the introduction of market evaluation and social evaluation, give play to the role of multiple evaluation subjects. In 2018, jointly with the Ministry of Human Resources and Social Security, Ministry of Science and Technology and other departments formulate the “about classification guidance to push forward the reform of talent evaluation mechanism, do hair [2018] no. 6) in (on the deepening the reform of project evaluation, talent evaluation, organization assessment opinions” (do hair [2018] no. 37) file, such as encourage colleges and universities based on the school characteristics, subject characteristics and talents qualities, promote universities establish and improve the standard of talent evaluation and classification of science and technology evaluation system (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020). On the basis of national policies, the double first-class universities have issued some documents related to teachers’ morality and style, title review and other relevant documents to assess teachers. The construction of teachers’ morality and style has always been an important content in the construction of teachers. Many first-class universities take the assessment and evaluation of teachers’ morality and style as an important standard for the introduction of teachers, the evaluation of professional titles, the selection of talents and the evaluation of prizes. A series of measures have been taken by the two first-class universities from the system and practice. In the system, such as Peking University issued the measures for the implementation of the ethics education of Beijing university, the Beijing university ethics “one ticket veto” detailed rules for the implementation (try out) “file, such as zhejiang university in teachers’ introduction, professional titles, post appointment, talent selection and awards recommendation system to implement the” one ticket is overruled make “, Wuhan university, increase in talent evaluation, professional title promotion and period of inspection work khalid ents index weights and strictly implement “red seven” and virtue ethics behavior behavior “one ticket is overruled make”, Sun yatsen university, introduced the Zhongshan university about the implementation of the long-term mechanism to establish and perfect the teacher’s ethics construction method “, “sun yat-sen university classroom teaching management method”, the code of sun yat-sen university teachers “and other rules and regulations, to provide institutional guarantee for the formation of good ethics strengthen, introduced the Zhongshan university teachers’ classroom teaching” ten “is not allowed, the code of

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sun yat-sen university teachers, to strengthen the construction of teachers’ professional norms, xinjiang university introduced” the implementation of the mechanism of Xinjiang university ethics strengthen construction method (try out) “the interim provisions on xinjiang university ethics strengthen standard management system, such as Minzu University of China has formulated the Code of Conduct for Teachers of Minzu University of China and the Implementation Measures of Minzu University of China for “One Vote against Teacher Ethics”. In practical level, such as tsinghua university to carry out “for a new age four teachers and four wally” learning activities, an “university spirit and culture” such as workshop, nanjing university teachers’ professional ethics and discipline committee, “khalid ents” theme education activities, northwest agriculture and forestry university of science and technology for advanced deeds report, “favourite teacher” selection, special network training series of activities, such as Beijing normal university to set up the “four haves” good teacher lifelong achievement award, “four haves” good teachers such as gold medal award, China ocean university party committee of teachers’ work, The teachers who have noble ethics and outstanding performance will be honoured. Various colleges and universities have been ethics strengthen construction as the implementation of the basic task of the center of gravity, “khalid ents” double top colleges and universities to ethics examination as the breakthrough point, in the process of promotion, the period of examination, insist on good to have both, good for first evaluation standard, practice the virtue “veto”, the ethics of strengthen as basic assessment conditions of introducing talents, continue to promote the teacher’s ethics education normality, front, in all kinds of the teacher group to carry out the ethics strengthen project training, ethics model deeds and other kinds of promotion activities (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020). The report reflects that colleges and universities take social service as the link, promote scientific research achievements to serve the society, and constantly strengthen the sense of contribution of teachers. They have made some achievements in both concept positioning and specific measures. For example, Peking University proposed to base itself on Beijing, serve the capital, give play to the construction of think tanks to serve the national development, and participate in the construction of Beijing Big Data Research Institute and other research institutions in Zhongguancun. Zhejiang University proposes to focus on national strategy and development needs, increase support for research teams, and undertake training programs for national strategic needs. Xi ‘an Jiaotong University proposed to improve its ability to serve the country’s major decision-making, build a first-class think tank, and take the initiative to undertake major national science and technology projects. Wuhan University provides all-round services for national and regional economic and social development. Actively carry out social cooperation and counterpart support. Actively participate in national major scientific research and engineering projects, as well as national high score special projects, navigation special projects and other major national defence research projects; Actively cooperate to promote the development of East Lake National Independent Innovation Demonstration Zone and establish Hubei Development Research Center; We will provide assistance to Xinjiang University and Xizang University, as well as Enshi City and the Three Gorges Reservoir area. Central South University takes the initiative to meet the

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major needs of the country and the industry; Deeply involved in regional innovation in Hunan and other places; To actively carry out social cooperation and counterpart assistance to undertake major national science and technology special projects and major science and technology projects; It provides theoretical and technical support for national resource strategic security, resource industry transformation and upgrading and ecological civilization construction. To promote the leapfrog development of medical medicine and health industry; We will continue to build a national collaborative innovation center for rail transit safety. To serve Hunan’s innovationdriven strategy, new industrialization and green development; Take the initiative to strengthen strategic cooperation with relevant ministries and commissions of the State, provincial and municipal governments around the university and developed regions, as well as school-enterprise and school-school, and establish a long-term mechanism of social cooperation and counterpart support; We will actively complete medical assistance to Xinjiang, Tibet and foreign countries. Northeastern University implements major projects, talents, and base cultivation programs; To consolidate and strengthen the capacity of social services; We will continue to promote integrated military-civilian development. Based on the two major science and technology groups, it strives to build a featured science and technology innovation platform with major key generic technologies and engineering tasks as the driving force and promotes the construction of major scientific and technological infrastructure for the whole-process green intelligent manufacturing collaborative innovation center for the iron and steel industry and the super-large deep engineering disaster physical simulation test device. Preparation of state Key Laboratory of Advanced Material Special Metallurgy Technology; The school constantly promotes the construction of the work system for the transformation of scientific and technological achievements, and has established the “whole-process management, whole-chain coverage, and whole-factor support” science and technology transformation system and the “321” scientific and technological achievements transformation mode. Through the construction of the national defence scientific research management system, qualification system and policy guarantee system, a relatively perfect national defence scientific research service support system has been built, and innovative models such as double chief and deputy chief engineers have been established. The university has carried out a great discussion on the relationship between the construction of firstclass university and the cultivation of first-class undergraduate talents, straightening out the logical relationship between the development orientation of the university and the cultivation target of talents and the training target of majors, and consolidating the position of talents cultivation center. By grasping the great historical opportunity of building a first-class university and meeting the strategic needs of the state and Xinjiang, the university has been constantly adjusting its orientation, highlighting “strengthening engineering, optimizing science and adjusting liberal arts”, and striving to achieve new development and leap in the new era (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020). We should pay attention to the professional development of existing teachers, focus on strengthening the training and ability improvement of young teachers, and gradually increase the proportion of teachers with high academic qualifications. We

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will improve the system for evaluating and hiring teachers and promoting teachers’ professional titles, and appropriately increase the proportion of teaching achievements and teaching quality in the promotion of teachers’ professional titles. We will intensify the training of teachers and teaching administrators, improve their political quality and professional competence, improve the evaluation and supervision system for teachers’ ethics, and effectively improve the quality of education, teaching and personnel training. We should give full play to the role of part-time teachers, establish a scientific recruitment mechanism, and actively utilize and share outstanding talents in the society. Two first-class universities will improve the evaluation mechanism as an important measure to motivate teachers (see Appendix Table 6 for details). Such as Tsinghua university professional use different evaluation mechanism, series of teaching evaluation standard, according to the contribution of teachers’ consciousness of sun yat-sen university for classification of Sun yat-sen university teachers “management approach (trial)”, “Sun yat-sen university teachers, senior position employment measures (trial)”, the positioned, classification management and classification of different categories of teacher development. During teacher appointment, we should pay attention to the diversification of academic achievements and evaluate the quality of teachers’ academic achievements more comprehensively. To implement the evaluation mechanism of talent training quality in the whole process, Lanzhou University formulated the Implementation Opinions of Lanzhou University on deepening the Reform of Teacher assessment and Evaluation System. Assessment of teachers with “virtue first, teaching, the scientific research as the base, the development for this”, in view of the teachers of different disciplines, grades, job category, and the research types, execute classification stratification and differentiation appraisal, the annual assessment, period of examination and team assessment, the combination of moral character, ability, achievements and contributions as the main basis of evaluation, the post assessment and incentive system is established. In the process of teachers’ construction, the two first-class universities adhere to the principle of “teachers’ ethics first, teaching first, scientific research first and development first”, and put teachers’ ethics assessment at the top of teachers’ assessment throughout the whole process of daily teaching, scientific research, and social service. All teachers are required to undertake the work of education and teaching. Professors and associate professors are required to teach courses for undergraduates every year. Academic papers, research projects, teaching and research awards and other “special conditions” should be set in the appointment period task. The completion of one of them means the completion of the appointment period task, and the quality-first evaluation guidance should be established. In the assessment of teachers’ professional titles, the evaluation criteria should be based on both ability and moral integrity, and morality should be put first. Adhere to the classification evaluation, according to the development characteristics of teachers of different disciplines to develop different job promotion conditions, subject classification into eight categories; The evaluation mechanism of “representative achievements”, “special conditions system”, “Representative reply system” and “recommendation system of director of teacher appointment Committee” have been comprehensively promoted, and a teacher promotion

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evaluation mechanism with discipline development, education and teaching, scientific research and other factors has been established (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020). In the construction of “double first-class”, it is necessary to establish a scientific and reasonable incentive mechanism to arouse teachers’ enthusiasm and initiative. At the same time, teachers should have a sense of democracy, guide them to enhance their sense of social mission and responsibility, promote the reform of the professional title system of teachers, and directly devolve the right of evaluation to institutions of higher learning, which should independently organize the evaluation, evaluation, and appointment of professional titles according to their posts. And form a new type of talent education mode, colleges and universities better mobility between benign competition environment, in addition, to promote a double salary system reform of colleges and universities teachers, first-class building is to increase knowledge value orientation of the income distribution mechanism, expand the income distribution of institutions of higher learning autonomy, merit pay total amount of the approved institutions of higher learning independently determine the income allocation system. Office in 2017, the Ministry of Education issued “about adhere to the correct guidance to promote the rational and orderly flow of high-level personnel in colleges and universities of the notice, in 2017, the communist party of China education ministry promulgated” about accelerating the development of high-level personnel in colleges and universities directly under the guidance of the policy file explicitly proposed to correct the talent flow direction, to renew the service Yu Lide ents basic task and stabilizing the situation of the development of higher education reform, scientific and reasonable overall talent in compensation, to increase support for universities in the Midwest and northeast, and a series of specific requirements. At the school level, each of the two first-class universities has made a brand-new step-in terms of incentive mechanism, democratic management, talent flow and career development, and the construction of teaching staff has made a great breakthrough in a short period of time. For example, Northeastern University, build more perfect compensation distribution system, the implementation of “releasing”, boost the high level of young and middle-aged backbone teachers grow up to be able to lead the innovation of science and technology development direction, add long employment post allowance, set up “based on performance contribution, quantity and quality, to quality, security and incentive combination of” the performance of the distribution mechanism. Hunan University has improved the recruitment and education mechanism of talents, implemented the “Outstanding Young Talents Training Program” and focused on cultivating top talents, and built a clear, smooth and orderly talent recruitment system. Support for teachers’ professional development, develop the “five only” special operation organization, revised position appraisal measures for its implementation, cancel the relevant qualifications, qualifications, foreign language level constraints, a representative results and actual contribution as the main content of evaluation methods, outstanding performance and virtue education teaching evaluation, professor into undergraduate class as the basic system, further clear the teacher career development channel. We will support the vigorous growth of young

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talents, implement the Implementation Measures on Strengthening the Construction of Young Talents Programs, establish mechanisms for the recruitment of young talents and the enrolment of doctoral students, and raise the standards and benefits of settling down and settling down, so as to provide sustained support for the development of young talents. We will improve teachers’ educational and teaching capabilities, introduce the Standards for Teachers’ Teaching work, and establish a modular and diversified induction training system.

3.2 The Problems of Double First-Class University Teachers’ Cultivation 3.2.1 Imperfect Talent Introduction Mechanism First of all, the first duty of introducing talents in colleges and university departments are more familiar than school need talent and is suitable for the cultivation of the way, however, under the background of policies for the construction of “double top”, due to the government and colleges and universities blindly understanding of “double top” evaluation index, the talent introduction gradually became “a bidding war” between the school and many of the institutions to introduce talents responsibility on school level. There is a lack of systematic normative documents at the departmental level, and the supervision and evaluation mechanism for talents is not sound enough. According to Shen Hong and Wang Jianhui, “Departments of recruitment of new staff should have the first choice of responsibility, while departments of vocational development should assume the responsibility of support, and guarantee departments of evaluation for life”. Introduce talents to promote the competitiveness of the colleges and universities subject, requires a combination of discipline development planning, formulate corresponding talent planning, and some domestic double first-class universities in the aspect of introducing talents lack of overall planning, devotion to the number of people, it’s easy to have a faculty on deviation problems such as unreasonable structure, discipline construction, easy to cause the waste of resources. Secondly, in the process of talent introduction, some colleges and universities often omit some links due to the environment of “fighting for people”. In general, the process of talent introduction mainly includes open recruitment, individual application, examination and approval departments review, application of departments, school, the faculty review is mainly based on the candidate’s application materials, combined with the scene of the interview, and so on and so forth review, and omit some links or review link too hasty can lead to the introduction of talents after the induction exposed problems such as ethics anomie. Liu Jirong, a scholar, mentioned in his book “Experience and Enlightenment of Teacher Recruitment in American Colleges and Universities” that the process of teacher recruitment in American colleges and universities often takes half a year, one year or even longer. When the most suitable

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candidates cannot be found, recruitment activities will be reorganized to ensure the quality of talents (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020). Finally, the evaluation of talent introduction has certain one-sidedness. The personnel departments and departments of colleges and universities pay more attention to the candidates’ paper publication, scientific research project hosting and award status, but fail to examine the development potential of talents comprehensively and ignore the assessment of the candidates’ psychological quality and teamwork ability. Most of the introduction of treatment and scientific research in colleges and universities, education degree, title, etc., so the introduction of talents more attention when applying for present dominant scientific research achievements, and talents working after examination, by the end of period of assessment, etc., also faced the title appraisal, led to the introduction of high-level personnel after school of scientific research, teaching, scientific research into quality light weight number, do not take the teaching and team construction, to improve the academic level of talent introduction, more conducive to the development of the discipline of the school (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020).

3.2.2 Lack of Teachers and Weak Strength The first is the shortage of full-time teachers. From the development experience of world-class universities, a reasonable ratio of students and teachers is a necessary condition to ensure the quality of talent cultivation. Of the 42 top universities in China, excluding THE National University of Defence Technology, there are a total of 1657,869 students of all kinds in the remaining 41 universities, with a student– teacher ratio of 14.02. Twenty-two of the 41 top universities have a student–teacher ratio higher than the average level. Too high student–teacher ratio will increase teachers’ teaching burden, and in today’s university environment with “less teaching and more scientific research”, too high student–teacher ratio will lead to the decline of teaching quality and affect the quality of talent training in colleges and universities. Secondly, the number of teachers with senior professional titles is insufficient. The higher the proportion of teachers with senior titles in colleges and universities, the higher the academic level and scientific research ability of the faculty will be. Excluding the National University of Defence Technology, which has no data, the other 41 first-class universities have a total of 118,253 teachers, 37,675 senior teachers, accounting for 31.86%, and 38,520 deputy senior teachers, accounting for 32.57%. Finally, the whole faculty is weak. Some teachers’ teaching ideas lag behind and are not easy to accept and try innovative teaching techniques and methods, which may easily affect the overall teaching level. Meanwhile, some teachers cannot balance academic research and teaching work well, which may easily lead to the disconnection between scientific research and teaching.

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3.2.3 The Unbalanced Content of Teacher Training There is imbalance in the training of non-key young teachers and key young teachers. In recent years, the government has been constantly strengthening the training of high-level young talents, thus neglecting the training of grassroots young teachers, which has indirectly led to the problem of unbalanced teaching ability of teachers. Every university mainly trains young backbone teachers, and the government tries its best to train young backbone teachers. A complete training system can show that the government attaches great importance to young backbone teachers, while non-backbone young teachers have low salaries and no corresponding institutional guarantee. Attach importance to non-backbone young teachers. The technology of the non-backbone young teachers leads to the negative emotions of the non-backbone young teachers, and the teachers’ ability has not been improved. The ability to train teachers should not be unbalanced but should be comprehensively cultivated so that both non-key young teachers and key young teachers have the support of teaching and research policies and corresponding institutional guarantees. In the construction of teachers, the establishment of scientific and reasonable incentive mechanism and talent introduction and education mechanism has a positive impact on the cultivation of teachers, which can attract excellent teachers, improve their teaching ability and arouse their enthusiasm and initiative (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020).

3.2.4 The Unbalanced Distribution of Scientific Research Tasks and Teaching Work In the assessment system of teachers, there exists the problem that the scientific research achievements are higher than the teaching achievements. No matter for promotion title or performance reward, schools pay more attention to the scientific research achievements. Because scientific research results can more directly enhance the reputation of teachers and schools, leading to the problem of valuing scientific research over teaching. The evaluation of scientific research in colleges and universities is based on the quantity and quality of teachers’ scientific research results, while the evaluation of teaching work is mostly based on whether teachers have completed the workload, which makes it difficult to define the quality of teaching. As a result, many teachers spend more time on scientific research than on quantity.

3.2.5 Uneven Geographical Distribution of Teachers According to the above data and charts, it can be intuitively seen that the resources of teachers from first-class universities are concentrated in the eastern and central

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regions, especially the economically developed regions such as the North, while the economically underdeveloped western regions are confronted with problems such as insufficient teachers and lack of talent reserve. When teachers have a low sense of contribution, they are more inclined to work in economically developed areas. Firstly, the salary conditions in the developed regions are higher than those in the western regions. Secondly, the working environment and living environment are very comfortable and convenient. I think it is a good choice for me and my family, and I think it is a good choice for my career development in the future. According to the above, the western region does not attach great importance to the future career development of teachers, and there are some problems in the training of teachers, which also leads to the reason why some teachers do not choose to teach in the western region. These reasons lead to the intensified brain drain in the western region. Many excellent teachers in the western region choose to work in the eastern and central regions, and excellent teachers flow into the eastern and central regions. At the same time, under the background of “double first-class” construction, many colleges and universities have malicious competition in talent introduction, and “poaching war” has emerged among them. Under such circumstances, the western region is backward, and its own conditions cannot attract outstanding talents, let alone retain outstanding teachers of the university. The uneven distribution of teachers throughout the country restricts the construction of double first-class teachers and restricts the balanced development of first-class undergraduate education (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020).

3.3 Suggestions on the Construction of the Faculty of Double First-Class Universities 3.3.1 Improve the Talent Introduction Mechanism and Define the Functional Division of Labor First, the double top universities should establish and perfect the rules and regulations of talent introduction and formulate systematic and standardized rules and regulations of talent introduction of departments and departments. Specific departments in the organizational structure of talent introduction and functions of each part division of labor, clear responsibility, strengthen the responsibility system, at the same time, objective and fair, representative faculty review agency, strengthen the audit checks to introduce talents, in addition, to discuss the introduction of specific talent requirements and standards, combined with the introduction of talent planning and indicators, as far as possible, the introduction of high-level personnel. The key to establish the quality assurance system of talent introduction is the talent introduction work with rules to follow and clear responsibilities. Secondly, the double first-class universities should make scientific and reasonable plans for the introduction of talents, formulate corresponding talent introduction

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plans according to the discipline development plans, focus on the introduction of advantageous disciplines and emerging interdisciplinary urgently needed talents, and optimize the allocation of teacher resources. The construction of teaching staff structure should be paid attention to when the plan of talent introduction is made. The young backbone and postdoctoral fellows are the indispensable force for the construction of teaching staff. Therefore, attention should be paid to the introduction of high-level leading talents as well as the young backbone and postdoctoral fellows with development potential. Again, double top colleges and universities should broaden the recruitment channels, facing the global open recruitment, through the school, department home page, WeChat public, peer introduction, academic conferences advertising and various recruitment channels combination of propaganda vacancy information fully, actively introduce with international vision, diversified background of high-level talents, strive to build international first-class teaching staff. At the same time, the application information submission, organization of external audit, online review and other work with the help of the talent introduction information system can greatly improve work efficiency. Therefore, it is necessary to combine the specific situation of schools and departments to improve the various functions of the talent introduction information system. Finally, it is necessary to improve the scientific nature of the policy text and formulate specific introduction agreements and corresponding post tasks for different positions of the introduced talents. The salary and service preferential policies enjoyed by the introduced talents should be made clear, and the obligations of the introduced talents should be made clear.

3.3.2 Optimize the Structure of the Teacher Team and Rationally Control the Ratio of Students to Teachers University talents cultivation, scientific research and social service is the important place, and teachers are main team, build first-class faculty will become an important task of building “double top” colleges and universities, as a “research universities”, should be a clear positioning in the “research”, analyses the advantage of the school and the characteristic, make rational strategic plan, optimize the course layout, optimize the structure of teachers team construction, actively introduce world-class universities and research institutions of high-level talents, improve the number of top talent, strengthen the teachers troop strength, improve the education quality of teaching. At the same time, we should pay attention to the flow of talents, strictly limit the number of this school graduates to teach the proportion and raise the threshold of employment. In addition, Gao Xiaoying actively draws lessons from the experience of foreign first-class university faculty team construction, divides the work according to the academic division, implements the post classification management; Increase the standard of talent treatment, increase the intensity of talent introduction, at the

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same time pay attention to develop the ability of young teachers; Attaching importance to discipline construction and creating a good scientific research platform for teachers; We should pay attention to improving the teaching and research abilities of front-line teachers. “Talent training is the core of university functions”, 2015, promulgated by the State Council “about printing as a whole to promote the world first-class university and the first-class discipline construction overall plan notice explicitly mentioned in the” core “outstanding talent training, so the double top colleges and universities to ensure the quality of undergraduate education and graduate education, train more high-quality talents„ strictly control the student/teacher ratio in order to keep the student/teacher ratio is particularly important, but by simply to increase the number of teachers or obviously reduce the number of students student/teacher ratio is unreasonable. Chen Ze and Hu Bicheng think that the balance point of student–teacher ratio should be found under the premise of guaranteeing the teaching quality by comprehensively considering the running cost, running benefit, teachers’ workload and teaching quality of colleges and universities. Thus, it can be seen that “teaching quality” is the premise, blindly pursuing quantity is unreasonable (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020).

3.3.3 Adjust the Content of Teacher Training and Balance Scientific Research and Teaching (1)

(2)

We will strengthen the ranks of non-backbone young teachers. According to the problems mentioned above, teachers at all levels should be considered in teacher construction. In the process of talent cultivation, all teachers should be valued rather than some of them, which will lead to the imbalance of teacher training content and is not conducive to the cultivation of excellent teachers in colleges and universities. We should strengthen the construction of nonbackbone young teachers and improve the overall planning of young teachers. Schools should attach importance to the non-backbone of young teachers, and strengthen education and training for young teachers, pre-job training for new teachers, and professional development training for young and middleaged teachers. Need to improve teachers’ salary at the same time, the state can relatively unified compensation standard, teachers basic life safeguard FeiGuGan young teachers, let it no life pressure, can provide their children with learning facilities, can provide family economic difficult FeiGuGan young teachers teachers apartment, alleviate the economic pressure of FeiGuGan young teachers, to make it fully devoted to teaching, so that we can mobilize the enthusiasm and initiative of FeiGuGan young teachers work. Balanced allocation of teaching and research tasks. The two first-class universities should combine with the departments to actively guide the teachers to take moral education as the foundation, highlight the core position of talent

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training, and evaluate the ability of teachers from all aspects. Teachers should not only pay attention to scientific research results, but also pay attention to teaching ability and pass on their knowledge to students. Therefore, teachers should increase the proportion of teaching and do their own work well. Firstclass universities need first-class teaching quality. Therefore, teaching should not be neglected because of scientific research tasks.

3.3.4 Improve the Talent Evaluation System and Pay Attention to the Characteristics of Disciplines The two first-class universities should pay attention to the establishment of the classification management and classification assessment mechanism related to post types, responsibilities and employment period tasks, abolish the restrictive conditions such as academic qualifications, qualifications and foreign language level, highlight the role of peer experts, implement the evaluation method based on representative achievements and actual contributions, and smooth the promotion channel of teachers’ professional titles. According to different research types and fields, the construction of evaluation systems with clear guidance and positioning should be promoted. Engineering is oriented to serve national strategic needs and solve major engineering and technical problems. Science is oriented by breaking through major scientific problems and focusing on innovation at source. The liberal arts are oriented by inheriting the college context and the confidence of service culture. Social sciences will be oriented to managing affairs and serving the governance of the country.

3.3.5 Give Full Play to the Role of Teacher Development Center and Improve Its Quality Many colleges and universities have set up teacher development centers in the process of building a double first-class university. For example, the Teacher Teaching Development Center of Minzu University of China has been set up, which has carried out teaching and training activities covering teaching design, teaching skills, teaching methods and means, scientific research and other contents. The “Teacher development Center” is an emerging product of Chinese universities learning the advanced experience of western universities and is currently in its early stage of development. The double first-class development center of university teachers should pay attention to broaden the development scope, increase the depth of the development, improve the quality of development, teacher group, and deeply understand the teachers’ development needs, through academic salons, seminars and other forms of promoting teachers learn from each other, at the same time, through the development and teaching design, teaching technology and relevant training activities to promote teachers’ teaching level, improve teachers’ teaching quality. Through the

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above ways to promote teacher’s personal development, professional development, organizational development and teaching development, give full play to the important role of teacher development center in promoting teacher’s overall development (Liu 2018; Wu 2008; Ji 2016; Shen and Wang 2017; Pei 2020).

References Ji L (2016) Analysis on the problems and countermeasures of the talent introduction of provincial universities teachers based on the double first-class perspective. J Kaifeng Instit Educ 36(05):110– 119 Liu L (2018) Current situation, problems and countermeasures of faculty construction in colleges and universities under the background of “Double first-class”—Text Analysis based on the “Double first-class” construction scheme in 21 provinces (cities and districts). Beijing Educ 18(04):23–25 Pei S (2020) Establishing a quality assurance system for attracting talents and promoting the construction of first-class teaching staff. Univ Educ 20(04):35–37 Shen H, Wang J (2017) Departmental responsibility for faculty construction of first-class universities: based on field research of four world-class universities. Educ Res 17(11):130–139 Wu W (2008) Liu Lulu. Current situation and countermeasures of teaching staff construction in research universities under the background of “double first-class” construction—based on the analysis of basic status data of teaching staff in 16 “985” universities. China Higher Educ Rev 29(01):209–226

Chapter 4

The Student Cultivation of Creating World-Class Universities in China

This chapter involves examining the student cultivation for shaping double first-class university in China. Since 2015, the country has issued nine relevant policies on talent training. From the year of the document’s release, at least one policy document related to talent cultivation has been issued every year since 2015. At the same time, more and more policies have been issued in the past two to three years. On average, there are two documents each year focusing on talent training, which also reflects China’s growing determination to build an educational power, so the emphasis on education construction has been deepened. The overall review of student cultivation for shaping double first-class university in China, policy characteristics of student cultivation and summary of student training have been explored in this chapter.

4.1 The Overall Review of Student Cultivation for Shaping Double First-Class University in China 4.1.1 The Overall Plan Policy Text of Student Cultivation In terms of the main body of documents, except the state Council, which issued the earliest Overall Plan for Promoting the Construction of World-class Universities and First-class Disciplines, the other documents were issued by functional departments such as the Ministry of Education, the Ministry of Finance, and the National Development and Reform Commission. Among them, the Ministry of Education, as the department in charge of education, issues the most frequent documents. The overall Plan for Promoting the Construction of World-class Universities and First-class Disciplines and the Overall Plan for Promoting the Construction of Worldclass Universities and First-class Disciplines are two comprehensive documents with the construction of “double first-class” as the core, with comprehensive contents and © The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_4

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clear views. The first comprehensive Plan for Promoting the Construction of Worldclass Universities and First-class Disciplines was a programmatic document for China’s “double first-class” construction. The document is divided into five aspects: general requirements, construction tasks, reform tasks, support measures and organization and implementation. Among them, the construction task part contains the content of talent cultivation, clearly puts forward to “cultivate top innovative talents”, points out the direction of China’s future talent cultivation, and points out that the cultivation of innovative talents is the most important part of talent cultivation. At the same time, it briefly expounds the concept, target, key points and measures of talent training, and provides theoretical guidance for the promulgation and implementation of a series of subsequent policies. The Guidance on Speeding up the Construction of “Double first-class” in Institutions of Higher learning is another policy document focusing on the whole construction of “double first-class” after the overall Plan for Promoting the Construction of World-class Universities and First-class disciplines. The document is mainly divided into six parts, namely, the overall requirements, the implementation of tasks, the deepening of reform, the connotation construction and the strengthening of coordination, among which there are 24 points, including cultural construction, discipline construction and internationalization construction. In the task implementation part, the document puts forward such talent training plans as “guiding students to grow into talents”, “forming a high-level talent training system”, “cultivating top innovative talents” and so on. It can be said that this is a guiding document for the construction of “double first-class” in China, which provides a practical and effective method for the reform of university personnel training in China. Of the Ministry of Education to accelerate the construction of high level’s opinions on undergraduate education comprehensively improve the ability of personnel training and the Ministry of Education to further the reform of undergraduate education and teaching comprehensive opinions to improve the quality of personnel training two papers puts forward new requirements to the cultivation of undergraduate talent, reflects the state of undergraduate course education attaches great importance to the degree of increasing.

4.1.2 The Other Relevant Policy Texts of Student Cultivation The Opinions of the Ministry of Education on Accelerating the Construction of High-level Undergraduate Education and Comprehensively Improving talent Cultivation Ability is a policy document aimed at improving the quality of undergraduate education and optimizing talent cultivation. The paper first explains the importance and necessity of constructing high-level undergraduate education, and at the same time summarizes the guiding ideology and objective principles of the document. In addition, the file also proposed “the whole process of ideological and political education through a high level of undergraduate course education”, “over stimulate

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students interest in learning and potential to deepen teaching reform”, “comprehensive improve teachers’ teaching ability”, “promote the building of first-class professional” and “promote the modern information technology and education teaching depth fusion”, “building an all-round the whole process of deep integration of collaborative education mechanism”, “to strengthen the construction of university culture of quality”, “keep the high level of job of undergraduate course education construction to organize the implementation of” of specific measures, to comprehensively improve the ability of undergraduate talent training provide a theoretical basis. The Opinions of the Ministry of Education on Deepening the Reform of Undergraduate Education and Teaching and Comprehensively Improving the Quality of Talent Cultivation is a document which further puts forward specific methods on the basis of the Opinions of the Ministry of Education on Accelerating the Construction of high-level Undergraduate Education and comprehensively improving the Ability of Talent cultivation. File proposed “strict education teaching management”, “deepening the reform of education teaching system”, “lead teachers and education”, “strengthening the organizational guarantee” four overall opinion, including 22 small points at the same time, the content in course quality, teaching material compilation, double bachelor’s degree in talents cultivation, cross-school training, teacher training, teacher evaluation, safeguard mechanism, etc.(Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013). In addition, The Notice of the Ministry of Education on the Construction of a Training Base for top-notch Students of Basic Disciplines in 2019–2021 is a policy document aimed at accelerating the cultivation of top-notch talents of basic disciplines. File to Xi jinping, new era of socialism with Chinese characteristics as guidance, to “has been formed with Chinese characteristics, the level of the basic subjects of talent cultivation system, promoting a batch of scientific peak bravely, outstanding talent to promote the development of science and culture on the map” as the goal, put forward the basic principle of “five adhere to the”, and the construction task, planning and organization management conducted a series of deployment, proposed the selection bases for 260 basic subjects top students, including 190 or so, about 60 base of liberal arts and science base of around 10 medical base, To promote the cultivation of top students in basic subjects. In addition, other personnel training policies focus more on specific aspects. Opinions of the Ministry of Education and other seven departments on Strengthening the Training of Integrated Circuit Talents is a talent training policy for the integrated circuit industry. In order to promote the sustainable development ability of China’s integrated circuit industry, nine opinions were put forward for the file, respectively, in order to promote personnel training scale, strengthening the construction of relevant professional disciplines and departments, innovative talent training mechanism, the construction of public practice platform of talents cultivation, co-operative education service platform construction, improve staff professional ability, optimize the talent introduction and use, increase policy support of talent training, strengthen the management of personnel work. Several Opinions of the Ministry of Education on Further Improving the “5 + 3” Integrated Medical Personnel Training “is a policy for medical personnel training. In

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order to improve the quality of integrated medical personnel training, the document focuses on the “5 + 3” integrated personnel training and puts forward four Suggestions, namely, clarifying the objectives of integrated personnel training, deepening the reform of integrated personnel training, improving the policy cohesion of integrated personnel training and increasing the support for integrated personnel training. The Opinions of the General Office of the Ministry of Education and other seven departments on Supporting the Development of Social Service Industry and Improving the Training Quality of Talents in Need is a policy document issued with the purpose of developing social service industry and improving the training intensity of talents in relevant industries to make up for the shortage of relevant talents. The document is divided into three parts: general requirements, task measures and implementation guarantee. It explains in detail the guiding ideology, work objectives, training scale, innovation and entrepreneurship, department coordination, policy support and other aspects, so as to ensure the quality of talent training in the service industry. Several Opinions on The Construction of “Double First-class” Universities to Promote discipline integration and Accelerate graduate Training in the field of artificial intelligence is a policy document aimed at talent training in the field of artificial intelligence. As a strategic technology leading a new round of scientific and technological revolution, industrial transformation and social transformation, artificial intelligence is exerting a significant and far-reaching impact on economic development, social progress, international political and economic landscape, and other aspects. Therefore, the subject of artificial intelligence has attracted much attention from the policy. The document puts forward five requirements of “strengthening high-level talent training”, “building high-level development platform”, “innovating high-level talent training mechanism and mode” and “increasing support and organization strength”, so as to build China’s artificial intelligence talent training system (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013).

4.2 Policy Characteristics of Student Cultivation 4.2.1 It Is the Task to Cultivate New People of the Era to Take on the Great Task of National Rejuvenation As the frontier group of new technologies and new ideas in society and the senior professional talents cultivated by the country, college students are the main force of pioneering construction and creation, the pillar talents to promote social progress, and the hope of the future development of the country. In today’s increasingly complex international situation and changing international environment, China’s ability to stand firm on the world stage increasingly depends on the quality of the new generation. As General Secretary Xi Jinping pointed out in his report to the 19th National Congress of the Communist Party of China (CPC), propaganda and ideological work

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is the work of a human being, and it should be an important responsibility to train new people for The Times to shoulder the great responsibility of national rejuvenation. Talent is the strategic resource to achieve national rejuvenation and long-term development. Training new people of The Times has become the key and guarantee to realize the great rejuvenation of the Chinese nation. If the younger generation has ideals, competence and responsibility, then the country has a future, and the nation has hope. Therefore, what kind of talents college students should be trained to better rejuvenate the nation and build the country is an inevitable problem in the talent training program (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013). In this regard, General Secretary Xi Jinping stated in his report to the 19th CPC National Congress that “we should focus on training new people to take on the great responsibility of national rejuvenation.” He once again expounded the fundamental question of “who to train and how to train people” in the new era, which provided basic guidelines for the innovation of propaganda and ideological work in the new era. And this basic idea and thought also penetrates deeply in our country university personnel training policy. On the institutions of higher learning to speed up the construction of “double top” guidance”, to “to carry out the fundamental task, training builders and successors for socialism”, “practice” four service, based on Chinese practice, solve the problem of China, contribute to the national development and people’s welfare”, “strive to cultivate a large number of beauties, intelligence and physique full scale development of the socialist builders and successors”. This deeply reflects China’s great determination to train many socialist builders and successors to achieve national rejuvenation. Not only that, the State Council on printing as a whole to promote the world first-class university and the first-class discipline construction overall plan of the notice as mentioned in the fundamental, to support the innovation driven development strategy, economic and social development as the guidance, to speed up built a batch of world first-class universities and first-class discipline, improve the comprehensive strength and international competitiveness of higher education in our country, for the realization of the “two one hundred goals and the great rejuvenation of the Chinese nation’s dream to provide strong support in China”, “training builders and successors for the socialist cause with Chinese characteristics, to better serve for socialist modernization construction, to serve the people”, “We will focus on training all kinds of innovative, applied and compound talents with a sense of historical mission and social responsibility, and full of innovative spirit and practical ability”. These policies clearly point to the task of “cultivating new people of The Times who are responsible for the great rejuvenation of the nation”, and this important theory also puts forward clear requirements and fundamental principles for the kind of people we should cultivate and how to cultivate them and lays an ideological foundation for the policy of talent cultivation in Chinese universities. Under such an important argument, a series of personnel training policies issued by the government take this as the basis point and radiate to the specific level of personnel training.

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4.2.2 Based on Guiding Students to Grow and Become Talents The cultivation of talents should not only focus on the cultivation of “people”, but also on the cultivation of “talent”. A balanced development of both “people” and “talent” can achieve the expected training goals. From this point of view, the policy direction is obvious, trying to start from moral education, and at the same time, moral and professional training, to guide the growth and success of students, “focus on training a large number of moral, intellectual, physical and aesthetic all-round development of socialist builders and successors.” In general, the policy of personnel training in colleges and universities in China is to promote the “growth” of talents, that is, to cultivate students’ correct ideas and moral cultivation, and at the same time, to pay attention to the “success” of talents, that is, to implement the education of professional quality and knowledge and skills. This is clearly reflected in the various documents. It is mentioned in the Guiding Opinions on Speeding up the Construction of “Double First-class” in colleges and universities that “education is the priority, and moral education is the first priority”, and “the effect of cultivating people with moral integrity is taken as the fundamental standard to test all the work of the school… We should run ideological and political work through the whole process of education and teaching and through the whole system of personnel training. The Ministry of Education to further the reform of undergraduate education and teaching comprehensive opinions to improve the quality of talent training as mentioned in the “insisting that khalid ents for testing all of the underlying standards work in colleges and universities”, at the same time, “cast in jinping the ideas of socialism with Chinese characteristics new era spirit education, to speed up the construction of ideological and political work system, form a pattern of ‘three whole educational work’. Thus, the policy of personnel training in Chinese universities really puts educating people first”. Of course, in addition to this, the policy also attaches importance to the “success” of students. On the institutions of higher learning to speed up the construction of “double top” guidance “to” vigorously develop advanced dire lack of talent, integrating education resources, interdisciplinary talent training plan formulation, explore to establish political quality, industry need, ability outstanding new high-level talents training system, at the same time actively deepening the reform of education teaching, the training mechanism, teaching system, teaching material construction and application of Internet technology, and so on proposed new requirements, efforts to ensure quality of talent training, promote the students “success”. In addition, the government has also issued several policies to strongly support talent training in science and technology, manufacturing, service and other industries, and strive to improve the professional quality and business ability of talents. It can be said that China’s talent training policy tries to make both “growth” and “success”, that is, it should first guide students to grow into “people”, and give consideration to “adult” education and “success” education, so as to achieve the goal of “focusing on training a large number of socialist builders and successors with all-round development of

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morality, intelligence, physique and beauty” (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013).

4.2.3 Disseminating Advanced Culture and Core Values Culture, as a kind of ideology that can be inherited and widely recognized by human beings for communication, plays an extremely important role in personnel training, education and teaching. Core values carry the spiritual pursuit of a nation and a country and embody a value standard for judging the rights and wrongs of a society. The construction of advanced culture is conducive to the creation of a good campus atmosphere and environment, conducive to the dissemination and promotion of socialist core values among students, so as to facilitate the ideological guidance in talent training and better promote talent training. As early as 2013, General Secretary Xi Jinping proposed at the National Conference on Propaganda and Ideological Work that we should actively cultivate and practice core socialist values, comprehensively improve the moral quality of citizens, and foster a good fashion of recognizing honour and disgrace, upholding integrity, making contributions and promoting harmony. For this reason, China’s personnel training policy attaches great importance to the construction of campus culture and the dissemination of core values and tries to promote the cultivation of talents through this way. At present, there have been several policy documents concerning the dissemination of advanced culture and core values. “State council on printing as a whole to promote the world first-class university and the first-class discipline construction overall plan of the notice of it, to” “innovation excellent cultural heritage”, “to promote social progress, leading the civilization, the distinctive world-class university spirit and university culture”, “insist on values lead to knowledge education, integrate the socialist core values education teaching process, guide teachers’ teaching research, meditation and guide the broad masses of young students study and strive for virtues, discernment, probity, basic follow make the socialist core values, form the fine school spirit,” teaching and learning,. At the same time, on the institutions of higher learning to speed up the construction of “double top” guidance “as mentioned in the, wants” “to strengthen the construction of university culture”, “to strengthen the construction of academic morality and teaching style and disciplines, to conduct high art into campus, university art show, Chinese excellent traditional culture inheritance base construction, build all-round education culture”, “the spread of science rationality and human feelings, take lead the future era culture and society, promote the progress of human society development mission”. “About to speed up the construction of a high level of undergraduate course education improve personnel training ability of opinions”, “the whole process of ideological and political education through a high level of undergraduate course education”, “the socialist core values education into the education teaching process each link, the full implementation of the quality standard, the classroom teaching, practice and cultural education,

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help students recognize the historical law, accurately grasp the basic national conditions, to master scientific world outlook and methodology”. Thus it can be seen that the state attaches great importance to the construction of university culture and the education of socialist core values, and has been hoping to promote the construction of fine school spirit and style of study in universities and promote the progress of students’ ideology, morality and values by taking this as the medium and way of talent training (Fu and Mao 2012; Yu and Meng 2013; Zhong 2013).

4.2.4 Strengthening Undergraduate and Graduate Education Undergraduate and graduate students are the main objects of university talent training and strengthening undergraduate and graduate education is the main method to promote talent training. This strengthening can be reflected in three aspects: first, starting from the two levels of undergraduate education and graduate education, to strengthen the training intensity respectively, parallel development; Second, the superposition of “first-class undergraduate education” and “high-level graduate education” emphasizes the two-pronged layout and planning; The third is to construct the talent training system of “integrated research”, plan the talent training process of the research as a whole, and design the education and teaching plan that connects, transitions and even connects the research as a whole, so as to promote the overall design and coordinated promotion of undergraduate and graduate education. In recent years, in the policy of talent training, it is obvious that undergraduate and graduate education are getting attention from the above three aspects. In 2018 and 2019, the Ministry of Education successively issued the Opinions of the Ministry of Education on Accelerating the Construction of High-level Undergraduate Education and Comprehensively Improving the Ability of Talent Cultivation, and the Opinions of the Ministry of Education on Deepening the Reform of Undergraduate Education and Teaching and Comprehensively Improving the Quality of Talent Cultivation, putting the reform of undergraduate education on the agenda. Both of the two policy documents aim at “speeding up the construction of high-level undergraduate education and comprehensively improving the talent cultivation ability”, which puts forward new requirements for the talent cultivation of China’s higher education. The Ministry of Education to further the reform of undergraduate education and teaching comprehensive opinions to improve the quality of personnel training in the clear, to “take the lead in establishing built first-class undergraduate education target, strengthening undergraduate education foundation position, the construction of firstclass undergraduate education as the foundation of the construction of” double top “tasks, to speed up the implementation of” six remarkable a top-notch “2.0 talent training plan, build a batch of first-class undergraduate”. Not only that, but the policy also has a strong focus on graduate education. For emerging discipline of artificial intelligence technology, specially issued “about” double top “construction in colleges and universities to promote graduate education discipline integration to speed up the field of artificial intelligence of several opinions,

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put forward to expand the scale of graduate education, increase funding for graduate student training, in order to produce more graduate professional talents, promote the development of disciplines and industry. In “about institutions of higher learning to speed up the construction of” double top “guidance”, the file is put forward, to “deepening the reform of postgraduate education comprehensive, further clarify the developing request of the different degree levels, reform training modes, we will accelerate the establishment of a graduate education in science and education integration, the combination of production mechanism, strive to improve graduate education system, promote graduate student innovation ability”. At the same time, it also explains the recruitment, management and financial support for graduate students, encourages the linking of postgraduate training with national key scientific research projects, and improves the financial input for graduate students (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013). Most importantly, the “integrated research and development” talent training system is gradually recognized in the policy. The Ministry of Education on further completes the integration of “5 + 3” several opinions of medical personnel training work made it clear that “five years undergraduate pass directly into the school and the organic link of resident standardization training three years clinical medicine (including traditional Chinese medicine, oral medicine) master’s degree graduate student education stage, the implementation of the integration of talent cultivation”, the affirmation of the personnel training mode of integration. The guiding Opinions on speeding up the Construction of “Double first-class” in colleges and universities also encourage outstanding fresh graduates to directly study for doctoral degrees. It can be said that the talent training mode of “the integration of this research” will become a trend in the future.

4.2.5 Enhancing Innovation and Entrepreneurship as the Core Innovation and entrepreneurship is a hot topic in China in recent years. The state has issued relevant policies to encourage innovation and entrepreneurship for many times. Was promulgated in 2018, the State Council is on promoting the development of high-quality innovative undertaking to build the opinions of the “double gen” “upgrade, put forward to the further optimization of innovative entrepreneurial environment, greatly reduced the cost of innovative undertaking, improving the capacity of entrepreneurship to create more employment opportunities, strengthen the leading role of science and technology innovation, improving the capacity of supporting platform service, promote to form online combining with synergy, medium enterprise integration innovation, production, business pattern”. Under such a realistic background, innovation and entrepreneurship education has also become the hot spot of China’s higher education reform. How to promote the development of innovation and

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entrepreneurship education and improve students’ innovation and entrepreneurship ability is the core of talent training in colleges and universities. In recent years, China’s university personnel training policies have attached great importance to innovation and entrepreneurship education, focusing on the improvement of students’ innovation and entrepreneurship ability, in order to train students with strong innovation and entrepreneurship ability. The overall plan for promoting the Construction of world-class Universities and First-class disciplines clearly puts forward the idea of “cultivating top innovative talents” in the personnel training part of the construction task, which shows its importance. On the institutions of higher learning to speed up the construction of “double top” guidance “also mentioned” training top creative talents, and “strengthening creative education, and promote the professional education and creative education organic fusion, explore across departments and disciplines, cross major cross training innovative entrepreneurial talent mechanism, relying on the university of science and technology park, collaborative innovation center and engineering research center, etc., to build platform for innovation, to encourage teachers and students together to develop high quality innovative entrepreneurship”. In addition, the colleges and universities to promote discipline construction of “double top” fusion of graduate education to speed up the field of artificial intelligence several opinions to the Ministry of Education and other seven departments on strengthening integrated circuit’s opinions on the talent training in also proposed to “cultivate high level creative talents”, “to develop the innovative ability of the integrated circuit industry in urgent need, engineering type, skilled talent”, confirm the urgently needs to improve technology professional talents of creative ability. Not only that, the Opinions of the Ministry of Education on Deepening the Reform of Undergraduate Education and Teaching to Comprehensively Improve the Quality of Talent Cultivation also mention to “deepen the reform of innovation and entrepreneurship education”. It can be said that attaching importance to innovation and entrepreneurship education and striving to improve students’ innovation and entrepreneurship ability have become the characteristics and trend of talent cultivation in universities. And with the increasing importance of innovation and entrepreneurship ability in the society, this trend will continue for a long time to come (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013).

4.2.6 Focusing on Cultivating High-Level and High-Level Talents In recent years, the government has issued a number of relevant policy documents to encourage the cultivation of high-level and high-level talents, and especially to formulate policies to promote the development of talents in specific disciplines or specialties. In 2016, 2017, 2019 and 2020, the government has issued relevant policies to promote the talent cultivation of the integrated circuit industry, medical industry,

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service industry and artificial intelligence industry, so as to cultivate high-level and high-level talents in these industries, thus laying a solid foundation for the future development of these industries. In 2016, the Ministry of Education and other seven departments on strengthening integrated circuit’s opinions on talent training offered to “expand the scale of the integrated circuit related discipline professional talents cultivation”, “promote IC staff professional ability”, “to cultivate training high-level integrated circuit field in a variety of forms, in urgent need of shortage and the backbone of professional and technical personnel”. In 2017, the Ministry of Education on further completes the integration of “5 + 3” several opinions of medical personnel training work offered to “deepen the reform of the integrated talent cultivation”, “strengthen integration talent cultivation”, “cultivate good professional ethics, cultural accomplishment and professional quality, master solid medical basic theory, basic knowledge and basic skills, has the strong ability of clinical thinking and clinical practice… High level and high quality clinician”; In 2018, the Opinions of the General Office of the Ministry of Education and other seven departments on Supporting the Development of Social Service Industry through Education and Improving the Training Quality of Talents In Short supply proposed to “accelerate the cultivation of interdisciplinary innovative talents to meet the needs of new business forms and models” and “actively cultivate high-level management and R&D talents”. In 2020, the colleges and universities to promote discipline construction of “double top” fusion of graduate education to speed up the field of artificial intelligence several opinions are explicitly pointed out that to strengthen high-level talent team, “and more stable in the excellent talents, especially young talent support, foster has the development potential of artificial intelligence in talents”. Thus, it can be seen that the state encourages and supports the cultivation of high-level and high-level talents. At the same time, for different industries, the policy has made different definitions of “high-level” and “high-level”, and put forward different requirements, and carried out detailed planning and deployment based on this. Among the 41 double top universities, 24 are located in the eastern region. The central region has 8 first-class universities; There are 9 first-class universities in the western region. Firstly, the basic data are analysed briefly. Among the 24 first-class universities in the eastern region, there are 4 universities with more than 50,000 students, 5 universities with 40,000–50,000 students, 8 universities with 30,000– to 40,000 students, and 7 universities with less than 30,000 students. Shandong University is the largest, while Minzu University of China is the smallest. The number of first-class universities with 20,000 to 40,000 students is the largest. Among the eight first-class universities in the central region, there are five with a student size of more than 50,000, one with a student size of 40,000–51,000, one with a student size of 30,000–41,000, and one with a student size of less than 30,000. Jilin University is the largest, while The University of Science and Technology of China is the smallest, with the largest number of first-class universities with over 50,000 students. Among the nine first-class universities in the western region, there are one with a student size of more than 50,000, two with a student size of 40,000–52,000, five with a student size of 30,000–40,000, and one with a student size of less than 30,000. Sichuan

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University is the largest, while Yunnan University is the smallest. The number of first-class universities with 30,000 to 40,000 students is the largest. Further analysis of the basic data shows that the average number of students in the 24 first-class universities in the eastern region is 37,896, with a median of 37,109. The average number of students in the eight top universities in the central region was 52,393, with a median of 57,365. The average number of students at the nine top universities in the western region is 38,267, with a median of 34,088. The difference between the average and median number of students in the eastern region is relatively small, on the one hand, because the number of first-class universities in the eastern region makes the sample size larger, on the other hand, the student size of the eastern universities is relatively average. The median in central China is much higher than the average, which can be attributed to the significantly smaller size of students at USTC; The average in the western region is much higher than the median, mainly because Sichuan University is far ahead in student size. Through a simple comparison, it can be found that the overall scale of first-class universities in the central region is the largest, while the overall scale of first-class universities in the western region is similar to that in the eastern region. In terms of the total number of students, there are 909,516 in the 24 first-class universities in the eastern region, 419,143 in the eight first-class universities in the central region and 344,406 in the nine first-class universities in the western region, while the total number of students in the first-class universities is 1653,065. According to the geographical data, the proportion of the eastern and western regions is 11.3:16.5:72.2. The percentage of the population in the eastern and western regions is 38.58:33.07:28.35, that is, the eastern region accounts for 54% of the students in first-class universities with 11.3% of the land area and 38.58% of the population. With 16.5% of the land area and 33.07% of the population, the central region has only 25% of the students of first-class universities. With a land area of 72.2% and a population of 28.35%, the western region has only 20% of the students of firstclass universities. Regardless of the quality of universities, teachers and students, the distribution of top universities and the proportion of students in top universities show that there is still a long way to go before the distribution of higher education resources can achieve regional equity (Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013). To build a world-class university and a world-class discipline requires extensive international recognition. Therefore, the policy, proportion and number of foreign students in a first-class university are becoming more and more important indicators to measure the construction of a university. In the search of university teaching quality report, portal information, etc., a total of 27 data of the number of all international students were collected. As can be seen from the data chart, among the top universities, the proportion of overseas students is mostly within the range of 2–10%, with only Zhejiang University accounting for more than 10%, while Chongqing University, Northwest A&F University and Xinjiang University accounting for less than 2%, all of which are located in the central and western regions. On the 27 first-class universities students’ proportion, can see the proportion of higher college of zhejiang university, tongji university, fudan university, nanjing university, tsinghua university,

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Shanghai jiaotong university, etc., are all from top universities in China, the city of hangzhou, Shanghai, nanjing, Beijing and are the key area of opening to the outside world, more attractive for foreign students. With the exception of Xiamen University, most of the overseas students with a proportion of less than 3% are from inland regions, which are not open to the outside world and are less attractive to overseas students. Similarly, with the exception of Xiamen University, these schools also rank lower among the top two universities. In this quantitative analysis of the top universities, the foreign student policy is not studied in depth, but analysed roughly from the region and school quality, and the conclusion is that the number and proportion of foreign students in the top universities are positively correlated with the degree of opening to the outside world and the ranking of the schools in the region.

4.3 Hierarchical Analysis of Students in Double First-Class Universities 4.3.1 Institutional-Based Analysis of Students in Double First-Class Universities Among the double top universities with all data, Zhengzhou University has the largest number of undergraduates, with a total of 51,153. Zhejiang University had the largest number of postgraduate students, with 21,513. Tsinghua University has the largest number of Ph.D. students, with 15,751. The top universities with the most undergraduates are Zhengzhou University, Jilin University, Shandong University, Central South University, Sun Yat-sen University, Northeast University, Huazhong University of Science and Technology, Wuhan University, Zhejiang University and Sichuan University. Tsinghua University, Zhejiang University, Sichuan University, Wuhan University and Jilin University are the top universities with the largest total number of graduate students. Tsinghua University, Zhejiang University, Peking University, Shanghai Jiao Tong University and Fudan University are the top universities with the largest total number of doctoral candidates available. China Agricultural University, Minzu University of China, Renmin University of China, Beijing Normal University and University of Science and Technology of China are the universities with the least number of undergraduates. The total number of graduate students and the number of doctoral students are not discussed because of the lack of data. From absolute number, number of undergraduates more simply reflect the scale rather than the quality and level of students in colleges and universities, instead of several characteristics of undergraduate fewer class university such as the Chinese people’s university, university of science and technology of China, Beijing normal university and other outstanding reputation, in terms of scientific research strength and the number of graduate students and doctoral students from a certain extent, reflects the quantity and quality of cu talents in universities and colleges, such as tsinghua university, zhejiang university and in the total number of graduate students, PhD candidate list

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two, fudan university, Peking University, Shanghai jiaotong university and so on are also on the total number of graduate students or Ph.D. student number ranking lists. However, postgraduate or doctoral absolute number under the influence of school size, such as sichuan university, wuhan university, jilin university, only on the total number of graduate students rank forefront, decided its rank or position in the fine talent evaluation is lack of reliability, thus leading the overall analysis of the level of university students only roughly show the number in the total number of undergraduate and graduate students and doctoral students of colleges and universities on the general ranking, but not on this analysis (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013). We know from the overall analysis of the student level of top universities that it is difficult to draw a scientific and convincing conclusion simply by analysing and comparing the absolute number of undergraduate, graduate and doctoral students. In this paper, by studying the total number ratio of undergraduate and graduate students in the top universities, we will discuss the universities which are more prominent or weak in research, strong or deficient in scientific research talents and training talents.

4.3.2 Program-Based Analysis of Students in Double First-Class Universities Among the top two universities with all the data, there are 28 universities with a relatively clear number of graduate students (including master’s and doctoral students but excluding international students). This part of analysis only covers these 38 top universities. Graduate students (including master’s graduate students and doctoral students) at and above the undergraduate (not including students), a total of 15, Peking University, Renmin university of China, tsinghua university, Beijing university of aeronautics and astronautics, Beijing normal university, Fudan university, Harbin industrial university, Shanghai Jiao tong university, nanjing university, east China normal university, Zhejiang university, southeast university, xiamen university, China university of science and technology, xi’an Jiao tong university, the lowest proportion of the undergraduate students of university of science and technology of China, and the data according to the school’s official website, undergraduate students of Beijing university of aeronautics and astronautics the proportion of 1:1. All the 15 universities in the region are famous Research universities in China, and the remaining 27 universities have more undergraduate students than graduate students. At the same time, Tianjin University, Tongji University and Wuhan University are close to each other in terms of the number of undergraduates and graduate students, and the proportion of graduate students and undergraduate students exceeds 9:10. Therefore, these three universities are considered as research universities with high proportion of graduate students. Number of graduate students: There are 5 universities with less than 0.5 undergraduate students and more than twice as many graduate students, namely, Minzu University of China, Northwest A&F University, Shandong

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University, Xinjiang University and Zhengzhou University. It is worth mentioning that the current definition of China’s research universities is relatively broad. The 42 universities listed in the top two universities are all research universities, and the ratio of undergraduate and graduate students in the 41 top universities is roughly 1:1. Of course, the proportion of full-time undergraduates in Zhengzhou University, Jilin University, Xinjiang University and other typical First-class B universities is more than 75%, and the proportion of doctoral students is very low. Whether they can be classified as research universities remains to be discussed. According to the classification of university types, among the 19 research-oriented universities with a high proportion of graduate students, science and technology comprehensive universities account for 7 seats or 37%, liberal arts comprehensive universities for 5 seats or 26%, and characteristic universities for 7 seats or 37%. Although the gap is not very large, this data is consistent with the traditional impression that excellent science and engineering, agriculture, forestry and other characteristic universities prefer scientific research while liberal arts and science universities prefer application. In combination with the two first-class universities, featured universities are relatively small in scale, with a higher proportion of postgraduate students, especially doctoral students. In terms of the number and level of students, featured universities are more inclined to scientific research or academic research (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013). 41 double first-class universities, graduate students (including master’s graduate students and doctoral students) of the total number of students in top universities of China university of science and technology, Tsinghua university, Fudan university, Peking University, Shanghai Jiao tong university, the tsinghua university in the total number of students, master’s graduate students and doctoral students in the total row to the first. It can be said that from the perspective of student hierarchy analysis, these universities respectively represent the highest level of characteristic universities, comprehensive universities of science and technology, and comprehensive universities of liberal arts and science, which are research-oriented universities. Of course, China’s universities of science and technology are relatively at a disadvantage in terms of size.

4.4 Problems of Student Cultivation in Creating Double First-Class Universities 4.4.1 Lack of Talent Cultivation Information Among the 42 top universities, it is understandable that the University of Defence Technology does not provide detailed information on the number of students, except that it does deal with secrets of military and military personnel. The five primary data we are looking for this time are: total number of undergraduates, total number of master students, total number of doctoral students, total number of international students and total number of students. Among them, 4 universities lack data of master

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students, 10 universities lack data of doctoral students, and 15 universities lack data of international students. This is based on taking into account the complexity of data and the difficulty of data sorting, we did not select the full time undergraduate, postgraduate, doctoral students, academic students, non-academic students, part-time master students, preparatory students and other data provided by some universities in detail. Taking Peking University as an example, all the above data are given, and even the number of students in its own department and the Department of Medicine is distinguished. The data query is simple, fast, accurate and rich. Many of the top universities have no data on their official websites, such as the number of students on campus, or the data are too simple and vague. In the process of building world-class universities and disciplines, it is necessary to make information transparent and accurate, which is still lacking in many universities at present. Here, referring to Peking University, Tsinghua University, and other ways of disclosing the number of students on campus, we have made a table of the number of students on campus, suggesting that some colleges and universities with insufficient information disclosure can adopt it.

4.4.2 Convergence of Talent Cultivation Objectives The goal of personnel training is the compass and concentrated embodiment in the process of university personnel training and the specific requirements and specifications of university personnel training. Therefore, the cultivation of talents in universities should be taken as a starting point to design a way to achieve this goal. At the same time, we should take this as the end point to evaluate the quality of university talent training by comparing with the training goal. However, it cannot be ignored that the assimilation of talent training objectives has gradually become a shortcoming of university talent training. “Cookie-cutter, one-sidedness” is likely to become a bad result of college talent training. In recent decades, China’s universities have been pursuing the “comprehensive” development, which is reflected in the fact that colleges and universities all pursue a complete range of disciplines and specialties. This “comprehensive” development also indirectly leads to the comprehensive and comprehensive development of college and university personnel training, and further tends to be similar or even identical. At the same time, some disciplines and specialties are limited by its own uniqueness, and other disciplines often is in a state of relative independence and fragmentation, and colleges and universities are not aimed at these special professional assessment, which in turn lead to many disciplines and specialties cannot effectively cross and fusion, also affects the talents training goal can only be based on the existing academic and professional Settings, one cannot be personalized design, eventually leading to the lack of assimilation of talent training, talent training characteristics. In this context, the talents cultivation orientation has a strong thunder gay, the talent cultivating target many top universities are focusing on “comprehensive development”, “international”, “competitive” “creative talents”, “leader”, such as keywords, so that the shortage of student’s personality, ability

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and quality difference is very small, even school propaganda of talents is the same, as a template. The assimilation of talent cultivation objectives is the most important reason for the lack of talent cultivation characteristics. It is difficult to effectively meet the development objectives of students if the talent cultivation objectives cannot be designed according to students’ development demands and their own characteristics.

4.4.3 Regional Imbalance in Talent Cultivation Through the analysis of the number of students and the location of the two firstclass universities in China, it can be found clearly that the distribution of first-class universities in the east, the middle and the west is extremely uneven, which also leads to the extreme imbalance of talent training in the region. The eastern region, which benefits from economic advantages and historical heritage, has more than 50 percent of China’s top universities and students. By contrast, the number of top universities in the central and western regions is significantly smaller, and the total number of students in top universities is therefore much smaller than that in the eastern region. The distribution of educational resources in colleges and universities is closely related to regional economic development. It is understandable that educational resources in the eastern region are superior to those in the central and western regions. However, the distribution of higher education resources in Our country is too malformed and unbalanced in terms of regional distribution. This directly leads to the talent cultivation scale of eastern universities is much larger than that of the central and western regions, or even more than the sum of the central and western regions, which makes the talent distribution in China extremely uneven, which is a very serious problem. In the long run, there may be a “Matthew effect” in university educational resources and talent training, which further expands the gap between the scale of talent training in eastern and central and western region (Shi 2019; Sui 2019; Nie, 2018; Fu and Mao, 2012; Yu and Meng, 2013; Zhong, 2013).

4.5 Suggestions of Student Cultivation in Creating Double First-Class Universities 4.5.1 Reasonably Adjust the Student Hierarchy Structure and Control the School Scale 41 Among the top universities with all the data, the size of students ranges from more than 16,000 to more than 70,000, and the proportion of undergraduates, master students and doctoral students is also different. In terms of student level, first-class universities are the representatives of China’s research universities. The number of

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undergraduates in some universities is very large, while the proportion of graduate students, especially doctoral students, is very low. This is not in line with the general rules of research universities and presents a top-heavy trend, which is also unfavourable for the cultivation of research talents. At the same time, we cannot ignore the voices of some school forums, post bars and other students, such as backward campus facilities construction, traffic congestion caused by too many students, difficulty in eating, self-study, and other problems. For this kind of university, we should properly control the overall size of the number of students in the school, not blindly to the greatest advantage. In addition, efforts should be made to improve the university’s scientific research level, expand the training and recruitment of research-oriented talents, increase the proportion of master students and doctoral students, and try to raise the total number of graduate students and undergraduate students to a level close to or more than 1:1. In addition, some colleges and universities are on a small scale on the whole, and the number of undergraduates is limited. From the perspective of student hierarchy analysis, they pay more attention to the cultivation and application of scientific research talents and pay less attention to the cultivation and education of undergraduates. For these colleges and universities, on the one hand, can be in the facility security, under the premise of enough teachers, appropriately expand the scale of student recruitment, let more good students the opportunity to study and can learn, enjoy learning in colleges and universities, scientific research condition in China, on the other hand, in pay attention to the training and applied research, on the basis of talent such as master’s and doctoral students, emphasis should be adequately improve undergraduate education, undergraduate education is the beginning of the higher education, and talent training ground, cannot excessive contempt.

4.5.2 Create the Characteristics of Double First-Class Talent Cultivation and Promote the Personalized Development of Talents The result of the assimilation of talent training objectives is that the students are stereotyped, featureless and tend to stick to the rules, which is contrary to the requirements of our overall talent training. This will make it difficult for students to realize their self-worth, and it will also make it difficult for the talents to meet the needs of the society. The essence of convergence and similarity is the lack of distinctiveness and distinctiveness in talent cultivation in colleges and universities. Characteristic, difference is the main goal of “double first class” construction. It is an important part of the overall goal of “double first class” to improve the innovation level of talent training in colleges and universities. In view of the problem of the convergence of goals in the current talent cultivation in colleges and universities, colleges and universities should change the similar and similar talent cultivation goals in the past and establish a talent cultivation system with its own characteristics and able to

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give play to its own advantages based on the characteristics of schools or disciplines. For example, you can use the first-class disciplines in colleges and universities, condensed discipline characteristic, set up to meet the needs of social development and meet the students interest in the development of professional, so as to set up the unique talents training target, training high discipline field of vision, higher professional skills, strong social sense of responsibility, strong ability to innovate in a new era of first-class academic science and technology talents; Can be firstclass discipline as a bridge, for example, to achieve first-class disciplines cross and integration with other disciplines, the existing system, all-round optimization and adjustment of subjects, and encourage the growth of emerging professional, increase existing professional discipline characteristic and era characteristics, comprehensive into existing professional talent training in the direction of individuation, differentiation, characterization and top development, cultivate can meet the demand of social development, innovative talents with unique subject expertise.

4.5.3 Rationally Allocate Higher Education Resources and Promote Balanced Distribution of Talents Higher education is the highland of talent training and the source of scientific and technological innovation. The level and scale of a region’s higher education, to a large extent, will affect the coordination and sustainable development of the region’s economy and society. At the same time, higher education, as an important part in the field of education, will also significantly affect the issue of educational equity. To be specific, the regional equilibrium of the distribution of institutions of higher learning plays a fundamental and guiding role in the process of realizing the fairness of higher education (Fu and Mao 2012; Yu and Meng 2013; Zhong 2013). China’s higher education resource distribution is extremely uneven, which makes the east and the Midwest form a barrier that is difficult to break, the gap has been difficult to narrow. Under such a realistic background, the realization of higher education equity and the promotion of the balanced distribution of colleges and universities among regions should not be accomplished in one move but should be a gradual process. We should adjust the layout of key colleges and universities, especially “double firstclass” colleges and universities. At present, China’s higher education has gradually developed to a certain scale, but there are still some defects in quality and structure. Therefore, the future development direction of China’s higher education should focus on the pursuit of quality, while considering the development of quantity. With the deepening of the popularization of higher education in China, people’s demand has gradually increased from the pursuit of higher education admission opportunities to the pursuit of quality higher education. To meet the people’s educational needs, we should adjust the layout of ministry colleges and universities and select several provincial colleges and universities to upgrade them to central ministry colleges and universities in provinces with a small number of populations. Although it is difficult

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to change the quality of education in a school or a region in a short time, these measures will certainly promote the development of schools. In 2008, the state set up five “211” key universities in the western region, which is an important step in adjusting the layout of key universities in China. Secondly, we should control the number of newly added institutions of higher learning in provincial capitals and actively promote the construction of prefecture-level urban institutions of higher learning. Economic development has a great impact on institutions of higher learning, and conversely, the establishment of institutions of higher learning also plays a great role in promoting economic development. To balance the development level of each region, the disparity between provincial and prefectural cities should be effectively controlled, and the new universities should be located in prefectural cities in priority (Shi 2019; Sui 2019; Nie 2018; Fu and Mao 2012; Yu and Meng 2013; Zhong 2013; Li and Xue 2021).

References Fu H, Mao L (2012) Orientation, vacancy and advancement of talent training in universities under the double first-class construction. Heilongjiang Higher Educ Res 36(10):11–14 Li J, Xue E (2021) Returnee faculty responses to internationalizing academic ecology for creating world-class universities in china’ Elite Universities. High Educ 81(5):1063–1078 Nie J (2018) Analysis on several key issues of university talent training model. J National School Educ Administ 18(03):23–28+36 Shi J (2019), Chen Le. The construction of the talent training mode of integrated research and Double first-class universities. Higher Educ China, 19(01):23–26 Sui Y (2019) The emphasis and choice of direction of first-class undergraduate education reform— from the perspective of talent cultivation. Modern Educ Manage 19(06):1–10 Yu H, Meng X (2013) Empirical analysis of regional distribution of colleges and universities in China and countermeasures. J National School Educ Administ 23(11):32–38 Zhong B (2013) The Cultivation of university talents should study new problems and meet new challenges. Chinese Univ Teaching 13(07):4–6

Chapter 5

The Scientific Research of Creating World-Class Universities in China

This chapter concentrates on exploring the scientific research for creating double first-class university in China. As the key to knowledge innovation and discipline development, scientific research is of great significance to the construction of firstclass universities and disciplines. The double first-class university research policy, the double top university discipline evaluation, analysis of the subject evaluation results of the double first-class discipline construction universities, characteristics of university Scientific research under the background of double first-class construction, and summary of scientific research of double first-class universities have examined in this chapter.

5.1 The Double First-Class University Research Policy 5.1.1 The Outline of Policies To carry out the construction of “double top” in 2015, the state has issued seven research relevant policy documents, dispatch agencies including the central committee of the communist party of China, the State Council (2), (2) of the State Council, the Ministry of Education, Ministry of Finance, National Development and Reform Commission and other three departments (1), (2), the Ministry of Education made a comprehensive guide to the development of scientific research. Among them, “about printing as a whole to promote the world first-class university and the first-class discipline construction overall plan of the notice of the institutions of higher learning” much starker choices-and graver consequences-in “science and technology development planning, the national education career development” much

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_5

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starker choices-and graver consequences-in “planning”, “about the institutions of higher learning to speed up the” double top “guidance” for the construction of the modernization of Chinese education, 2035, “accelerate the modernization of education implementation plan (2018–2022)” is the master file, contains the content of the scientific research. The Everest Plan for Basic Research in colleges and universities provides comprehensive guidance for further basic research in colleges and universities from the aspects of goals, principles, and tasks.

5.1.2 Policy Characteristics and Guidance 1.

Strengthen the importance of scientific research in construction and promote discipline construction and breakthrough innovation with scientific research progress. At present, human beings have stepped into the postindustrial society with science and technology as the core, the innovation of knowledge and technology has become the focus of development strategies of various countries, the improvement of educational level and academic level of subjects in institutions of higher learning has become an important capital for the competition of various countries, and the innovation ability of universities represents the innovation ability of the country to a certain extent. Under such a background, scientific research, as an important way of inheriting, screening, and creating knowledge, plays a core role in the construction of first-class universities and disciplines, and is of great significance to the innovation and development of the country. On the one hand, the strength of scientific research ability and academic level show the overall level of the faculty of university and discipline construction, which has become an important evaluation standard for the cultivation of top-notch innovative talents. To a large extent, it also indicates the ability of universities to serve the society and has a decisive influence on the construction of first-class universities. On the other hand, first-class scientific research contributes to the improvement of discipline system, transformation of traditional disciplines and cultivation of new interdisciplinary disciplines, which is an important carrier and support of discipline construction. An overview of the relevant educational policies issued at the national level in the past five years, both the overall educational strategy and the concrete construction plan, constantly emphasize the role of high-level scientific research in development. “Much starker choices-and graver consequences-in of the national education career development planning”, “China education modernization 2035” and “accelerate the modernization of education implementation plan (2018–2022)” are put forward, further increase in colleges and universities scientific research resources, through the overall research state-level scientific research base construction, organization and support the university take an active part in the national science and technology plan (special, funds, etc.) and the national science and technology innovation base construction, undertake national major scientific research project which way improve service ability,

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scientific research and innovation of institutions of higher learning to promote comprehensive participation in national innovation system construction of institutions of higher learning; In addition, “about printing as a whole to promote the world first-class university and the first-class discipline construction overall plan notice with the institutions of higher learning” much starker choices-and graver consequences-in “science and technology development planning” were put forward, university of science and technology research work should be closely integrated with the subject construction and talents training, strengthen the discipline at the top of layout design and strategic planning, focus on building a number of leading domestic, international first-class advantage disciplines and fields. Highlight the forward-looking and critical position of basic research in scientific research and seize the commanding height of original innovation strategy. Basic research is the foundation of science and the source of innovation, an important part of the national core competitiveness, and a fundamental way to enhance the original innovation ability. In the history of civilization since modern times, every breakthrough in basic research has played a huge role in promoting scientific and technological progress. For example, the three industrial revolutions in human history all came from the knowledge theory provided by revolutionary breakthroughs in basic research. Therefore, the strength of basic research ability determines the level of a country’s scientific and technological level and international scientific and technological competitiveness, and ultimately determines the strength of a country’s comprehensive competitiveness. Since the twenty-first century, the world science and technology development presents the unprecedented systematic breakthrough development situation, a new round of technological revolution and industrial revolution is coming, the information technology, energy technology, life science and technology, material science and technology, space technology, and many other areas of science and technology burst of innovation, science and technology breakthrough mass emergence and convergence integration development characteristic, the new pattern of global innovation to accelerate the formation of []; At the same time, China’s economic growth has gradually shifted from a quantitative growth to a quality-driven growth led by science and technology, which puts forward higher requirements and more urgent demands for China’s independent innovation ability and high-quality scientific and technological achievements, both of which are based on the theoretical knowledge of basic science. With the implementation of the strategy of rejuvenating the country through science and education, strengthening the country through talents and driving innovation, despite the historic achievements made in basic research in China’s institutions of higher learning, their innovation ability has been continuously enhanced, and their international influence has been significantly enhanced. However, compared with the requirements of building a world power in education and science and technology in the new era, there are few original achievements and leading talents in basic research in institutions of higher learning, the construction of conditions and capacities still needs to be improved, and the development

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environment needs to be further optimized. Relevant policy documents, thus, there is significant to strengthen the basic research direction, “about printing as a whole to promote the world first-class university and the first-class discipline construction overall plan notice” 2035 education modernization in China are put forward to improve the level of basic research, highlight key generic technology, leading technology, modern engineering technology, cutting-edge disruptive technology innovation, to improve the original innovation ability, be international academic frontiers and walker and even the leader; “Accelerate the modernization of education implementation plan (2018–2022)” is put forward to strengthen the construction of basic subjects such as mathematics, physics, promote the development of education science basic research, and strengthen support for the long-term stability of the basic research of institutions of higher learning, for researchers to choose strong basic, cycle is long, big risk, guarantees research direction of output uncertainty; In addition, the 13th Five-Year Plan for The Development of National Education and the Guiding Opinions on Accelerating the Construction of “Double First-class” in Institutions of Higher Learning both propose to optimize the basic research environment in colleges and universities, give full play to the advantages of disciplines and talents, concentrate on the main direction, and drive the overall innovation with basic breakthroughs. The 13th Five-Year Plan for Science and Technology Development and The Everest Plan for Basic Research in colleges and Universities have made comprehensive arrangements for promoting basic research in colleges and universities from the perspectives of guiding ideology, five basic principles, three development goals, four core tasks and five policy measures (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019). Emphasize the importance of problem-oriented scientific research to serve the national reality and strategic needs. Since the days of land-grant universities, independent colleges and technical colleges in the United States, universities have begun to step out of the ivory tower of knowledge to serve the real needs of the society. With the increasing complexity of economic and social issues, the relationship between universities and government and society is getting closer and closer. The cooperation model between government, university, university and enterprise has been promoted worldwide []. Throughout the world, there is a similarity in the construction and development of first-class universities and disciplines in various countries, that is, universities are closely connected with the society, and universities fully provide services for the society and realize the transformation of knowledge and technology. “Double top” construction in our country is the national major strategic deployment in the field of education, the goal is through first-class university and the first-class discipline construction, to better serve the Chinese people and China’s development, the university took on more and more social responsibility and mission, to provide society with knowledge, technology, human resources, consulting and other services. By analyzing the policy documents related to the overall national education strategy and the construction of “double first class” in recent years, it can be found that there is obvious practical problem orientation. It is emphasized that scientific research

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should be guided by the major national needs and make important contributions to the economic and social development and the implementation of the national strategy. China’s 2035 on education modernization calls for focusing on major scientific and strategic technological issues and strengthening basic applied research (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019). Strengthen the construction of philosophy and social sciences in universities with Chinese characteristics. On May 17, 2016, Xi Jinping, general secretary of the work in philosophy and social science symposium’s important speech, for the first time explicitly put forward the “speed up the construction of philosophy and social science with Chinese characteristics” of great judgment and strategic task, emphasis on features, style, the style of the philosophy and social sciences is the product of development to a certain stage, is a sign of mature, is the symbol of power, too, are indicators of confidence. We should focus on building philosophy and social sciences with Chinese characteristics and fully embody Chinese characteristics, Chinese style and Chinese style in guiding ideology, discipline system, academic system and discourse system in accordance with the idea of basing ourselves on China and drawing lessons from other countries, exploring history, grasping the present, caring for mankind and facing the future. In terms of the external environment, the world is undergoing profound changes unseen in a century. Political multi-polarization, economic globalization, it application and cultural diversity are developing in depth. The global governance system is undergoing gradual changes, and the contradiction between the capitalist road and the socialist road is becoming more prominent. In terms of the internal environment, socialism with Chinese characteristics has entered a new stage of development, ushering in a great leap forward from creation and development to perfection, and embarking on a new journey to build China into a great modern socialist country in all respects. The complex internal and external environment has put forward a series of new important theoretical and practical problems, which urgently need convincing scientific answers from philosophy and social sciences. Since modern times, however, taken together, the long term “introduces”, result in philosophy and social science in our country is under the influence of foreign philosophy and social sciences, existing subject system is not sound, not system, incomplete, in leading disciplines development direction, the innovation connotation of subject development and to enhance our country’s comprehensive national strength does not match. “Much starker choices-and graver consequences-in” as a result, the national education career planning education modernization in China 2035”, “accelerate the modernization of education implementation plan (2018–2022)” are offered to countries such as the overall strategic file we will continue to implement the philosophy and social sciences prosperous of institutions of higher learning plan, make a batch of China’s land, has deep academic attainments of Marxist theorist and philosophy and social science, to strengthen the construction of new think-tank with Chinese characteristics, as a national major policy decisions made policy

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recommendations; But there is a lack of focus in the “double first” policy (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019).

5.2 The Double First-Class University Discipline Evaluation 5.2.1 Analysis of Discipline Evaluation Mechanism Since 2002, the Academic Degree and Graduate Education Development Center of the Ministry of Education has carried out the overall level assessment of the firstlevel disciplines with postgraduate training and degree awarding qualifications and conducted cluster ranking based on the assessment results. So far, four rounds of assessment have been completed, and the fifth round is about to start. In the process of continuous improvement and development, the “service” function of subject evaluation is constantly strengthened. The fourth round of evaluation, points out that disciplines evaluation aims to service the general situation, the service, serve the community colleges and universities, is the graduate student education “improve quality, optimize structure and encourage characteristic, connotation development” the overall situation of the service, help colleges and universities to understand the advantages and disadvantages and development imbalance is not sufficient, in the process of promoting discipline connotation construction, and meet the demand of social knowledge of the quality of education. As discipline evaluation scale and expanding coverage, to the fourth round of assessment has been covering 94% of the country has a doctorate awarded subject, involving 95 first-level discipline, based on this, degree center established in our country at present the most accurate and comprehensive subject database, and the multi-types, deep data mining, the establishment of a complete consulting service system, for all levels of government, the contestant units to provide diversified subject analysis research report, statistics discipline core index, reveal the subject development law, provide service to promote the discipline connotation construction. The fourth round of subject evaluation also provides the “subject excellence rate” (that is, the proportion of Category A subjects in the number of authorized disciplines of the university’s doctoral degree and master degree) for the first time for participating universities, so as to help schools find problems in subject layout and warn them of blind expansion in the form of “spreading the pie”, so that the functions of serving universities can be more effectively implemented. In addition, it is important to note that in the double policy under the background of the construction of the first class, the fourth round of discipline evaluation results presentation of change, through 9 files released form discipline evaluation results, to the definition of “first-class discipline” and presented provides a new and efficient pattern, and well balance the accuracy and the results of the evaluation score of appropriate ambiguity.

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5.2.2 The Adjustment Process of the Evaluation Index System Compared with previous rounds of evaluation, the fourth round of evaluation has carried out more systematic research and demonstration for further adjustment and improvement of the evaluation index system. Through an authorized subject specific research, in-depth front-line research, carry out monographic consultancy and absorbing “representatives” and the public opinion, degree in the center of previous rounds is not reasonable that exist in the evaluation index system and the imperfect parts of the field of higher education in recent years, under the background of double first-class construction of the new changes and new requirements to achieve the comprehensive, perfect improvements were made on the basis of the evaluation index system, reflects the high level of scientific and normative. The indicator system formed on this basis is more in line with the actual development status and needs of Chinese disciplines. Improvement and perfection involve both the general direction of evaluation and many small details. For example, in the fourth round of evaluation, humanities and social science bases are no longer listed as one of the quantitative indicators of scientific research bases.

5.2.3 The Content of the Index System Emphasizes Quality Subject assessment is a level assessment, which is different from the qualification assessment carried out by the government. It focuses on effectiveness and quality, treats the development of the subject from a comprehensive and systematic perspective, emphasizes quality and reduces scale, and gradually breaks away from the singularity and one-sidedness of the traditional assessment. With the improvement of the evaluation, the general practice of ranking evaluation has been comprehensively reformed. A number of representative indexes have been adopted to replace the total indexes, and the upper limit has been set for the scale indexes, so as to overcome the tendency of simply pursuing the scale and find the balance point of “specific quality” between “specific quantity” and “per capita”. For example, “the number of full-time teachers” overcomes the quantitative tendency in the specific evaluation by setting an upper limit (no additional points will be awarded if the upper limit is reached); Completely change the much-maligned “SCI” single index evaluation of the practice of academic papers, the further development of quantitative and qualitative, quantity and quality, the domestic and foreign “the combination of” multidimensional academic evaluation methods, such as the thesis “lead times” and “ESI highly cited papers number” with a high level of recently published journal articles at the same time into the evaluation index, etc. In addition, the third and fourth rounds of evaluation have also begun to implement and improve the “binding evaluation rules”. Disciplines that meet the evaluation criteria for the same discipline must apply for or not participate in the evaluation at the same time, so as to comprehensively and systematically present the overall development status of the overall environment of

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a discipline, and further improve the accuracy and effectiveness of the evaluation. As the evaluation index system and evaluation process of continuous improvement, subject evaluation presents the subjective evaluation and qualitative evaluation of the relative increased, quantitative evaluation and relatively weakened somewhat the development situation of a single standard evaluation, assessment criteria and procedures more in-depth all aspects of the discipline construction practice, rather than focus on rigid quantitative indicators. For example, the teacher index changed from simply measuring the total number of personnel and the number of various talents to the comprehensive quality evaluation combined with many aspects. Evaluation process of subjective evaluation in form, channels, realize the scale expansion and obvious improvement, from the original mainly confined to reputation survey into the questionnaire survey, expert review and reputation survey combined with complete system, enlarge the scale of the subjective evaluation object, and enrich the object structure of subjective evaluation, including students, unit of choose and employ persons, peer experts, industry experts into the company, etc. In the fourth round of evaluation, overseas peer experts were invited for the first time to conduct an international reputation survey on six pilot disciplines, including mathematics, physics, chemistry, mechanical engineering, computer science and Technology, and materials science and Engineering. In the end, more than 13,000 peer experts, 230,000 students and 150,000 employers’ contacts participated in the subjective evaluation. The development trend of subject evaluation is conducive to the fundamental practice of subject evaluation in the connotative development of higher education, and effectively guides colleges and universities not to blindly pursue the improvement of formal indicators, but to develop the advantages of all aspects of advantageous disciplines. The index system of discipline evaluation gradually develops into an organic and unified development of talent cultivation, scientific research, and social service, which changes the phenomenon that the traditional quantitative index of scientific research occupies the absolute largest proportion. The fourth round of discipline evaluation made clear that talent cultivation is the core task of subject construction, and for the talents training to establish and perfect the quality of “culture”, “students” quality “to” the quality of full three-dimensional evaluation system, greatly enriched the original only reward situation and students’ quantitative indicators of the single evaluation index. At the same time, a large-scale employer survey was carried out on a pilot basis for the first time to extend the power of discourse over the quality of talent training in colleges and universities beyond the education system. Scientific research bases are also transferred from the first-level index of scientific research to the first-level index of “faculty and resources”, which means that all kinds of bases are not only the supporting platforms of scientific research, but also the supporting platforms of all aspects of discipline construction in colleges and universities, as well as the “accumulated quality” of discipline talent cultivation, scientific research, and social service construction. These changes have broadened the connotation and extension of scientific research, effective response to the social from all walks of life to double top policy question of scientific research, personnel training, personnel training, scientific research and social service organically combined, to promote

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discipline construction in colleges and universities of discipline evaluation practice further attention to personnel training (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019). Subject evaluation gradually absorbs more social forces and overseas voices and emphasizes the importance of social service function of university subjects. The contribution of social service was added to the first-level index of academic reputation, and a complete system combining the overall situation and representative cases was established for the assessment of social service contribution, which could overcome the drawbacks of a scale. Gradually introduce the social forces such as industry enterprise experts in the discipline reputation evaluation, and introduce the international reputation appraised by overseas experts in some science and engineering disciplines. The inclusion of awards related to social forces in the scientific research award index enriches the index connotation; In the subjective evaluation process, we have absorbed the voices of students, employers, peer experts and overseas experts, and cooperated with third-party data providers in the process of public data collection. In the fourth round of evaluation, the subject database established by the Academic Degree Center published the major achievements of China’s subject construction for the first time, so as to show the vigorous development of China’s subject construction since the 18th National Congress of the CPC and become the display window and incentive force to promote the construction of world-class subjects in China’s higher education field.

5.2.4 The Standards of the Subject Evaluation Since the second and third round of subject evaluation adopts the 100-point scoring and ranking system, while the fourth round of subject evaluation adopts the nonranking system, it is difficult to compare the assessment results. Therefore, it is mainly combined with the latest fourth round of evaluation in 2016 to analyze the subject assessment results of double-first-class discipline construction universities. Engineering consists of 37 first-level disciplines, far ahead of humanities and social sciences (17), science (14) and medicine (11), and agriculture, management, and art (less than 10). In each first-level discipline, the number of distribution points is the highest, reaching 7.3 for each discipline, followed by 4.9 for engineering, 3 to 4 for humanities and social sciences, medicine, and management, and the least for agriculture and art. The average number of distribution points for each first-level discipline is less than 3. In terms of the total number of placements of the two firstclass disciplines, engineering has taken the lead with 180 times, followed by science, agriculture, management, and art. In short, engineering discipline is the absolute main force of the double first-class construction discipline, while agronomy and art take a relatively low proportion on the whole. Compared with the “large and complete” comprehensive university construction, Double first emphasizes the “small but fine” discipline construction. Stationing

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several top ten subjects can be found all belong to categories in science and engineering, mainly can be divided into two types, one is with the current our country vigorously promote new material and new energy, life science, artificial intelligence and other strategic emerging industries, as well as “made in China 2025” and other national strategy corresponds to the discipline, such as materials science and engineering, computer science and technology, mechanical engineering, etc.; Second, basic science subjects, such as mathematics, biology, chemistry, etc., which are in line with the state Council, The Ministry of Education and other relevant documents stressed in the double first-class “layout of a group of subjects urgently needed by the country to support industrial transformation and upgrading and regional development”; We should strengthen the development of basic disciplines such as mathematics and physics, highlight key generic technologies, cutting-edge leading technologies, modern engineering technologies, and disruptive technological innovations, and strive to enhance our capacity for original innovation. The universities that have been selected into the dual first-class discipline construction have achieved better overall performance in the national fourth round of discipline evaluation in 2016. Of the 426 university subjects that participated in the fourth round of subject assessment, 43.66% received the highest A+ grade, and nearly half of the subjects are nationally leading in this field. Only 18.77% achieved a Grade B+ or below, of which only 0.7% achieved a grade C+ or below. The double first-class construction disciplines are mostly disciplines with good construction foundation and certain achievements, while a few are “dark horses” who stand out for some reasons in the selection of double first-class construction (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019).

5.2.5 The Categories of the Subject Evaluation In the four categories of humanities and social sciences, agriculture, management, and art, more than half of the Subjects are A+, which has an absolute advantage. Among them, the proportion of A+ subjects of agriculture and art is more than 70%. However, the A+ subjects of science and medicine account for no more than 30%, which does not have an absolute advantage. Specific view, A+ subjects such as art and agriculture accounted for high categories each level disciplines on the total number of colleges and universities is less, more easy to focus in the academic evaluation of the best schools, and the independence of the disciplines are relatively high, need strong discipline background of research conditions, the list of colleges and universities mostly has obvious advantages in the field of colleges and universities, such as agronomy class has A large number of agricultural university, the arts have A lot of music college, academy of fine arts, etc.; However, there are many universities of Science and engineering on the list, which are easy to be involved in the evaluation of various disciplines. In addition, there are many universities in western regions and remote areas with good development prospects but average construction level, which have relatively low scores in the discipline evaluation.

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From the perspective of 985 engineering colleges accounted, in humanities and social sciences, science, technology and management of double first-class construction accounted for more than half 985 project universities, absolute number of advantages, this may be due to disciplines are more complete, at the beginning of the twenty-first century is a high level of subject construction is a comprehensive university often did better in these disciplines, so in which 985 engineering colleges and universities account for larger proportion. From the point of view of the universities that are included in the double first-class discipline construction but not in project 985 and 211, among the disciplines of art science, the proportion of such universities in the double first-class discipline construction is the highest, reaching 50%, and they are all single-subject schools of music, fine arts and drama. The number of non985 and 211 universities reached 23.81%, among which there are many traditional Chinese medicine universities of great significance for reflecting Chinese characteristics and inheriting traditional culture. Humanities and social sciences, science and Engineering all have 3–5% of the first-class construction disciplines in non-985 and 211 universities, and all the disciplines in agriculture and management (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019).

5.3 Characteristics of University Scientific Research From the perspective of total input, the total amount of full-time equivalent R&D personnel invested by colleges and universities is very large, which has been growing steadily every year from 2014 to 2018, basically maintaining the annual level of more than 300,000 people and breaking through 400,000 people in 2018. It is reported that in 2016, the R&D personnel of Chinese universities ranked first in the world in terms of full-time equivalent. As China’s higher education gradually changes from scale expansion to concussive development, the investment of scientific research manpower in colleges and universities keeps increasing on the original huge basis and promotes the continuous development of scientific research in colleges and universities by taking advantage of China’s large population base and large absolute number of scientific research talents.

5.3.1 The Distribution Proportion of All Fields Is Stable, with Basic Research and Applied Research as the Main Parts From the perspective of the proportion of investment in various fields, the proportion of full-time equivalent personnel invested by institutions of higher learning in the three research fields is stable and fluctuates slightly from 2014 to 2018. The proportion of full-time equivalent in basic research and applied research is close to

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each other. The proportion of full-time equivalent in basic research remains within the range of 46–48%, while that in applied research remains within the range of 47–49%. However, the total equivalent time of the personnel invested in the test development is relatively small, which remains within the range of 4–6%. In other words, China’s institutions of higher learning invest most scientific research talents in basic research and applied research and consider the complementary and common progress of the two research fields. However, experimental development is not the main field of scientific research in colleges and universities. It may be because experimental development researchers work more in R&D institutions and units other than universities and are more closely connected with practical applications (Chen and Li 2008; Song 2017; Wang and Li 2019).

5.3.2 Basic Research and Applied Research Maintain a Small and Stable Growth From all areas of growth, institutions of higher learning in basic research and applied research in the personnel of full-time equivalent growth relatively similar, each year to maintain steady growth, the growth rate is kept within 0.5–9%, and the test development field in the growth rate of the personnel of full-time equivalent is unstable, the early keep zero growth, from 2015 to 2016, after a small growth from 2016 to 2017 show obvious negative growth, then in 2017–2018 showed a sharp increase. It can be seen that universities can ensure the relatively stable and steady development of basic research and applied researchers when the overall scientific research team shows a steady and small development. However, due to certain policies and events, personnel input in experimental development may be flexibly adjusted to meet the research needs of that year.

5.3.3 The Gross Base Is Huge and Keeps Steady Growth From the perspective of total input, the total amount of full-time equivalent R&D personnel invested by colleges and universities is very large, which has been growing steadily every year from 2014 to 2018, basically maintaining the annual level of more than 300,000 people and breaking through 400,000 people in 2018. It is reported that in 2016, the R&D personnel of Chinese universities ranked first in the world in terms of full-time equivalent. It can be seen that as China’s higher education gradually changes from scale expansion to concussive development, the investment of scientific research manpower in colleges and universities keeps increasing on the original huge basis and promotes the continuous development of scientific research in colleges and universities by taking advantage of China’s large population base and large absolute number of scientific research talents. From the perspective of

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the proportion of investment in various fields, the proportion of full-time equivalent personnel invested by institutions of higher learning in the three research fields is stable and fluctuates slightly from 2014 to 2018. The proportion of full-time equivalent in basic research and applied research is close to each other. The proportion of full-time equivalent in basic research remains within the range of 46–48%, while that in applied research remains within the range of 47–49%. However, the total equivalent time of the personnel invested in the test development is relatively small, which remains within the range of 4–6%. In other words, China’s institutions of higher learning invest most scientific research talents in basic research and applied research and give consideration to the complementary and common progress of the two research fields. However, experimental development is not the main field of scientific research in colleges and universities. It may be because experimental development researchers work more in R&D institutions and units other than universities and are more closely connected with practical applications (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019). Basic research and applied research maintain a small and stable growth, while experimental development fluctuates greatly. From all areas of growth, institutions of higher learning in basic research and applied research in the personnel of fulltime equivalent growth relatively similar, each year to maintain steady growth, the growth rate is kept within 0.5–9%, and the test development field in the growth rate of the personnel of full-time equivalent is unstable, the early keep zero growth, from 2015 to 2016, after a small growth from 2016 to 2017 show obvious negative growth, then in 2017–2018 showed a sharp increase. It can be seen that universities can ensure the relatively stable and steady development of basic research and applied researchers when the overall scientific research team shows a steady and small development. However, due to certain policies and events, personnel input in experimental development may be flexibly adjusted to meet the research needs of that year.

5.3.4 There Is a Wide Gap Between the Total Expenditure of Colleges and Universities From the perspective of the total expenditure on scientific research of universities of different specifications, the three types of universities all show a trend of growth. The total expenditure of 211 universities and universities jointly built by provinces and ministries is the highest, reaching 45–55 billion yuan, which is more than the sum of the total expenditure on scientific research of other undergraduate universities and colleges. Other universities and colleges followed, with 18–22 billion yuan; Colleges and universities are only 300–600 million yuan, about 1% of 211 universities and colleges jointly built by the province and the ministry. It can be seen that the expenditure on scientific research of the universities jointly built by 211 and the province and the ministry have an overwhelming advantage compared with other undergraduate universities and colleges, while the double first-class universities are

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all the universities jointly built by 211 and the province and the ministry. This data reflects the nature and characteristics of the research universities of the double firstclass universities and the absolute advantages of their scientific research activities. The expenditure of undergraduate universities has increased steadily. From the perspective of the growth of the total scientific research expenditure of universities of different specifications, 211 and other universities jointly built by provinces and ministries and other universities maintained steady growth from 2014 to 2017, and the growth rate was within the range of 2–14%. The growth of colleges and universities is relatively unstable. After the negative growth in 2013–2014, the growth of colleges and universities shows a trend of small growth—large growth—small growth from 2014 to 2017, reaching a maximum growth rate of 44.04%. The large fluctuation of the growth rate may be related to the small base of expenditure. Scientific research occupies a very important position in the functions of undergraduate universities, rather than the functional focus of junior colleges. Therefore, the expenditure of scientific research funds in undergraduate universities is stable and constantly growing, while the expenditure of scientific research funds in junior colleges is unstable and volatile. According to the proportion of the total expenditure of universities of different specifications in the same research field, the proportion of 211 and the proportion of the universities jointly built by province and ministry in the three fields of basic research, applied research and experimental development respectively exceeds 65%, among which the proportion in the basic research field is the highest, reaching 73%. The proportion of other universities in the three fields is in the range of 26–32%. The proportion of colleges and universities is obviously the least, both less than 2%, and even less than 1% in basic research and experimental development. Other universities and colleges account for more of the applied research expenditure than the other two fields. This data feature also reflects the important status of basic research in 211 and provincial and ministerial colleges’ scientific research activities. According to the growth of expenditure in the three research fields of 211 and the universities jointly built by the province and the ministry, only in the basic research field, 211 and the universities jointly built by the province and the ministry have maintained steady growth, the growth rate is in the range of 6–14%. In the field of applied research, a steady growth rate of 5–9% was maintained from 2013 to 2016, but a negative growth rate of 6.93% occurred from 2016 to 2017. The growth of expenditure in the field of experimental development is relatively unstable, with a significant negative growth of 12–21% from 2014 to 2016, followed by a significant growth of nearly 30% from 2016 to 2017. Basic research is the only research field of 211 universities and colleges jointly built by the province and the ministry to maintain a steady increase in expenditure, and its status in the double first-class construction is constantly improving and strengthening. By analyzing the absolute value of the total expenditure of various types of colleges and universities, the total expenditure of R&D in China’s colleges and universities rose steadily from 2014 to 2017, showing a general trend of decline in engineering colleges, comprehensive universities, agricultural and forestry colleges, medical colleges, normal colleges and other colleges and universities. The total amount of R&D expenditure of engineering schools accounts for about 51.49%

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of the total amount of national universities’ R&D expenditure, more than half of the total amount. Comprehensive universities followed close behind, accounting for 32.08%. Then there was a precipitous drop. The following agricultural and forestry colleges, medical colleges, normal colleges, and other colleges accounted for only 7.06%, 4.71%, 4.05% and 0.61% of their funds respectively. The total amount of R&D expenditure of the highest engineering colleges reached nearly 8 times that of the lowest normal colleges and universities. On the one hand, there are many engineering colleges and comprehensive universities. The number of them listed as “double first-class” universities is 41 and 47 respectively, while only 9, 8, 9 and 1 are agricultural and forestry colleges, medical colleges, normal colleges and other colleges and universities. On the other hand, due to the characteristics of discipline development, the expenditure of engineering institutes is much higher than that of science, agriculture, medicine, humanities, and social sciences, etc. Therefore, the total expenditure of engineering institutes ranks the first place. It can be seen from the analysis of the rate of change of the total expenditure of all kinds of colleges and universities that the rate of change of R&D expenditure of all kinds of colleges and universities has great fluctuation. Among them, the rate of change of agricultural and forestry colleges and medical colleges showed a trend of decreasing first and then increasing, and the rate of change was higher than that of comprehensive universities, engineering colleges, normal colleges and other colleges. The reason may lie in that the construction of “double first class” takes root in Chinese characteristics and supports and guides universities to run schools with characteristics. Therefore, disciplines and culture with Chinese characteristics are paid more attention to, and the idea of localization of higher education is embodied. Traditional disciplines in agricultural and forestry colleges and traditional Chinese medicine in medical colleges and universities have profound historical and cultural heritage and disciplinary characteristics, which to some extent drives the state’s investment in R&D funds in agricultural, forestry and medical colleges and universities. However, the rate of change in the expenditure of comprehensive universities, engineering colleges, normal colleges and other colleges all showed a downward trend, with the growth rate between 3 and 5% in 2017. In general, the above five kinds of colleges and universities of three kinds of research spending growth has the following characteristics: (1) universities, engineering colleges and universities and medical institutions of test development growth levels lower than the basic research and applied research, the development of agriculture and forestry colleges pilot overall highest growth levels, application research of the colleges of agriculture and forestry colleges and growth levels than the growth of basic research and experimental development level is lower; (2) The experimental development and growth levels of the five categories of colleges and universities appeared relatively low in 2015–2016, and many colleges and universities showed negative growth in the experimental development expenditure during this period; (3) The experimental development and growth levels of the five categories of colleges and universities all showed a relative recovery in 2017, and some even reached the

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highest growth rate; (4) The basic research expenditure of the five types of institutions showed a small and steady increase (Wang and Li 2019; Cai and Liu 2020; Shi 2019).

5.4 Problems of Scientific Research of Double First-Class Universities 5.4.1 The Level of Basic Research Still Needs to Be Improved Strong basic scientific research is the cornerstone of building a scientific and technological power in the world, the foundation of science and the source of innovation, an important part of a country’s core competitiveness, and a fundamental way to enhance its original innovation capability. At present, a new round of scientific and technological revolution and industrial transformation is gaining momentum, some basic scientific issues are brewing major breakthroughs, major developed countries in the world are strengthening their strategic deployment in basic research, and the global competition in science and technology is constantly moving toward basic research. Premier Li Keqiang once pointed out that the depth and breadth of basic research determine the country’s original innovation power and vitality. Only by consolidating this “foundation” can we observe the “tower” of the country’s core competitiveness and promote China’s industrial development to the medium and high-end level, we must have the support of basic research. We need to increase support for basic research, overcome a number of key technological challenges, and promote applied research and industrial upgrading with more high-level and original achievements and the institutions of higher learning since modern times has been the subject of the basic research, the science and education as the implementation of the strategy of developing, human resource development, and innovation drive, basic research has made historic achievements of institutions of higher learning, continue to improve innovation ability, international influence significantly enhanced, but the construction of the world with new era education, compared to the requirements of the power and the power of science and technology major original achievements and talents for the fundamental research of the institutions of higher learning, ability construction still needs to improve conditions, development environment needs further optimization. From the perspective of policy orientation, China has made a deployment to pay attention to basic research in colleges and universities. Double class in universities under the background of policy implementation, in 2018, the State Council issued the several opinions on strengthening basic science research, and points out that the basic research to improve the layout, improve the level of the internationalization of fundamental research, through the training strategy of science and technology talents with international level, science and technology talents, strengthening the youth and reserve talent cultivation, stability, high level of science and technology experiment technology talent and construct high level innovation teams to strengthen

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basic research personnel, and layout of the construction of a batch of high level research base, To optimize the development mechanism and environment of basic research with top-level design, overall planning and coordination, diversified investment mechanism and evaluation mechanism. On the basis of that, in the same year the Ministry of Education issued the Everest of institutions of higher learning basic research plan, to the construction of basic research in institutions of higher learning has made the concrete strategy, to form a world-class innovative team, the construction of the world’s leading scientific research platform, foster seizes the commanding heights of science and technology major projects, continuous output original lead sex results, as the core task for the first-class universities and disciplines of the scientific research level and achieve worldwide innovation provides an important strategic guidance. From the perspective of the current situation of basic research in Chinese universities in recent years, there are still some problems that highlight practical orientation and R&D investment, emphasize the transformation of achievements, and ignore basic research, and there are still some misunderstandings such as “useless and uneconomical basic research”. The emphasis on basic research has not been obviously presented. From the perspective of human input, for example, by the above analysis, from 2014 to 2018, investment in basic research in colleges and universities and the overall scientific research personnel of full-time equivalent remain relatively synchronous edged up steadily, and the use of scientific human resource in the whole research of human resource accounting for than to maintain the basic stability, not leaning to the trend of the development of basic research. For another example, from the perspective of expenditure, the proportion of basic research expenditure in the overall scientific research expenditure from 2014 to 2018 is always lower than that of applied research, but the growth rate shows a steady and rising trend, the overall growth rate is slightly higher than that of applied research, and the absolute expenditure gap and the proportion of expenditure between basic and applied research are significantly reduced. To be specific, from 2014 to 2017, 211 and provincial co-funded universities with a more research-oriented nature accounted for a higher proportion of basic research expenditure than other universities, and the growth rate of basic research expenditure was higher than that of applied research and experimental development. The proportion of basic research expenditure in medical colleges, normal colleges, comprehensive universities, agricultural and forestry colleges, and engineering colleges decreases step by step; Universities in the east, where research universities are more concentrated, spend a higher proportion of their basic research spending and grow faster than in other regions (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019). The research manpower investment and fund investment in basic research in universities and colleges have not been inclined to basic research overall, but there has been a trend that the proportion of basic research has increased and received more attention in 211 universities and colleges with strong research nature, some colleges and universities with specific disciplines and fields, and regions with high level of higher education. Under the background of double first-class construction in colleges and universities, Chinese higher education to the construction of national major strategic demand oriented, the main economic

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and social, the frontier science and technology the world first-class university and the world first-class discipline, it is necessary to enhance the level of scientific research from the source, to improve the current lack of basic research level of colleges and universities, is still not enough attention.

5.4.2 The Imbalance in Regional Development Is Significant Under the policy guidance of “double first-class” construction to further enhance the importance of scientific research in the development of colleges and universities, emphasizing the promotion of discipline construction and breakthrough innovation by scientific research progress, colleges and universities in all regions are striving to seize the development opportunities and constantly improve their scientific research competitiveness. However, restricted by economic development level, natural geography, history and other factors, the influence of the regional higher education resources allocation in China, there exist certain differences also have different level of higher education development, reflect college scientific research activities and through the direct power, scientific research and development of colleges and universities in different regions of the obvious uneven phenomenon, including manpower, money, organization, project, international exchange, awards, etc. Taking research and development funds as an example, the input of funds is not only an important prerequisite for scientific research and development, but also an important indicator of the balance of educational resources. According to the Collection of Statistics on Science and Technology in Institutions of Higher Learning released by the Department of Science and Technology of the Ministry of Education from 2013 to 2017, it can be found that the R&D expenditure of Chinese universities from 2014 to 2017 shows a trend of gradual decline in the eastern, western, central, and northeastern regions. The total amount of expenditure on R&D of colleges and universities in the eastern region accounts for about 57.82% of the total amount of expenditure on R&D of colleges and universities in China, which is much higher than that of the western, central, and northeast regions (15.11, 14.66 and 12.41%). The total amount of expenditure on R&D in the eastern region, which is the highest, reaches nearly five times that of the northeast region and nearly four times that of the western and central regions. In addition, the growth rate of calculating funds over the years shows that the growth rate of R&D funds in each region presents a trend of gradual decline in the east, west, northeast, and central regions. The changes in the eastern region and the western region are relatively stable and have maintained a relatively strong growth since 2015. The northeast and central regions both experienced negative growth in 2017. Combined with the analysis of the absolute value of funds and the growth rate of funds, it can be found that, on the one hand, the eastern region occupies the absolute advantage in the development of scientific research, while the western region, central region and northeast region are relatively weak in development, presenting an obvious unbalanced state of “one is stronger than the other”. On the other hand, with

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the gradual implementation of the strategy of “western development”, higher education in the western region has achieved rapid development, while the central region and northeast region have been neglected to a certain extent, showing a tendency of “collapse”.

5.4.3 Insufficient Academic Research at the Undergraduate Stage Many scientific research resources in discipline evaluation and double first-class construction are more concentrated in postgraduate education, but less reflected in undergraduate education, and the academic research of undergraduate education is insufficient. Bao-sheng Chen on the one hand, the education of the CPC leading group and minister in the new era of national institutions of higher learning of undergraduate course education work conference pointed out that “higher education plans, the undergraduate course for this, the undergraduate course, formation”, the school resources should be in the first place in the undergraduate course configuration, development strategy and educational philosophy in the first place in the undergraduate course practice, the core value system in the first place in the undergraduate course established [], so scientific research as one of the three major functions of institutions of higher learning in the double top construction under the background of change direction and philosophy must also fully reflected in the undergraduate education. “Double top” colleges and universities, on the other hand, has entered the undergraduate student “entrance” universalization era, construction of “double top” class A college graduates over half directly enters A higher school, “the study even read” pattern has gradually become the mainstream of double first-class construction of colleges and universities, promote undergraduate education and academic research more graduate education in keeping become important work in this mode of scientific research in colleges and universities. However, in the present double first-class colleges and discipline construction, scientific research will still be the main part of the assessment and construction personnel, funds and other investment is concentrated in postgraduate education, discipline evaluation of various indicators about the research on undergraduate education, our higher education in the undergraduate academic research and related investment is still inadequate.

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5.5 Suggestions of Scientific Research of Double First-Class Universities 5.5.1 Increase Input and Support in Personnel, Funds and Other Aspects of Basic Research The research results are often published in scientific journals or communicated in academic conferences in the form of papers, which have extensive spillover effects, and most of them are difficult to see significant transformation effects in a short time. Therefore, in the context of market economy, the erosion of business culture and secular culture on university culture inevitably affects the cognition of basic research, and misunderstandings such as “useless”, “not cost-effective” and “low investment is reasonable” still exist. To further promote the parties around the basic research on knowledge exchange collision, as far as possible form the understanding of basic research, defining the division, the consensus of scientific research on the significance of human society, and to understand more in the long run, clear world first-class university and the subject should be mission of human science and technology progress, to realize the essence of the research university and the true value of learning “useless”.

5.5.2 Strengthening Public Financial Support for Basic Research in Colleges and Universities The new R&D funding from the central government should be inclined to basic research. Basic research has the characteristics of strategic, public welfare and pioneering, and the non-exclusivity and spillover of basic scientific knowledge. Financial support for basic research is the government’s duty and the main source of funding for basic research. [] At the same time, we will cooperate with local governments, non-governmental funds and other diversified channels to provide diversified support for the development of basic research from various aspects such as talents, projects and base construction. For example, state universities in the United States receive a large amount of funding from state governments for basic research, and the government of China’s economically developed provinces, such as Guangdong, has also significantly strengthened its support for basic research. The basic research requires long-term responsibility and resources, which cannot be supported by industry and can only be qualified by universities. We should further reflect and clarify the functional orientation of institutions of higher learning, further strengthen and promote institutions of higher learning to train leading talents in basic research in various fields and adopt relevant mechanisms to encourage high-level talents to participate in basic research activities. Relevant departments should also provide

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support for the construction of basic research talents in institutions of higher learning by adjusting and optimizing various talent plans and project support.

5.5.3 Reasonably Determine the Growth Target of Investment in Basic Research Long-standing in our country is too conservative for the forecast of absolute investment in basic research, and the relative basic research input value (that is, the basic research funds investment intensity) forecasts are too optimistic problem, authorities should begin from the national development strategy demand, reference international development experience, establishing reasonable basic research in our country investment intensity target, realize the rational structure of R&D intensity exploration and consideration. At the same time, further standardize basic research funds, better play to the science and technology statistical work of basic research input statistics and feedbacks, clear the category of each field type and statistics, establish and improve the basic research for the statistical work of science and technology system, based on various aspects in the research field of the input for colleges and universities provide perfect statistical information, to ensure that the relevant statistical data is accurate, reliable and conducive to the development of basic research evaluation and feedback (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019).

5.5.4 Strengthen Overall Control and Promote Regional Cooperation in Scientific Research Practice shows that policy advantage is the key factor for colleges and universities in weak areas to get rid of backwardness and overcome disadvantages. At present, China’s higher education resources show an obvious imbalance in allocation. Compared with the eastern region, the central, western and northeastern regions are at a relative disadvantage in terms of talents, funds, laboratory construction and other aspects of scientific research development, which affects the continuous and stable improvement of their scientific research strength. Therefore, on the one hand, the state should improve the “double first-class” scientific research construction plan of these regional universities from a strategic perspective, and lay a solid foundation for the development of their scientific research through a series of policy tools., on the other hand, countries have policies to refine and update, on the original Midwestern university foundation ability construction engineering, 2011, collaborative innovation center, west of counterpart support, institutions of higher learning plans such as policies, on the basis of considering regional development present situation and the heterogeneity, combining the top-level design and planning at the grass-roots level,

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and to promote the implementation of regional scientific research policy, promote regional balanced development. Regional cooperation is conducive to the optimal allocation of regional academic resources, so that the dominant disciplines in the region can play a demonstration and driving role and drive the coordinated development of other regions. And in recent years, with the deepening of the western counterpart support institutions of policy implementation, support colleges by the recipient to provide books, scientific instruments, teaching facilities, such as material resources, excellent experts and scholars to the recipient dynamic and cutting-edge research results, to convey the latest scientific research in colleges and universities to establish east–west university discipline sharing platform, joint application research project support of scientific research in colleges and universities in western areas, improve the scientific research of the colleges and universities in western regions of competitive. It is necessary to further promote this system among regions, establish regional university-level cooperation mechanism, realize resource sharing, and inject strong driving force into the promotion of regional scientific research competitiveness and the balanced development of overall scientific research strength. To solve the problem of insufficient academic research in the undergraduate stage, it is necessary to promote the development of both first-class universities and disciplines towards the model of “integrated research”, and to build a research-oriented university with the overall design and coordinated promotion of undergraduate and graduate education. This requires the two first-class universities to highlight the high-level research universities’ overall planning of the talent cultivation process of the research institute, to design the overall education and teaching plan that connects, transitions, and even links the research institute, and to explore the long-term, composite, and personalized high-end innovative talent cultivation mode that integrates teaching and research. Specifically, it is necessary to promote the reform of undergraduate education and teaching in general education, the integration of general education and professional education, broad-caliber professional education and international training, consider and design the curriculum and teaching system of undergraduate and graduate education, and strengthen the training of basic and comprehensive abilities of undergraduate students. In terms of process and method, efforts should be made to promote the lowering of scientific research elements and the development of research-based education, to make participation in scientific research a necessary experience for the undergraduate education of double first-class universities, and to deeply integrate the exploratory attitude, scientific research methods, innovative thinking and other elements into the teaching paradigm of undergraduate education. Meanwhile, the reform of graduate education should be promoted and deepened accordingly. In view of the diversity of graduate students, the curriculum combination modules of “small class”, “stage” and “function” should be effectively utilized to provide a variety of optional and combinable curriculum teaching programs for students of different foundations and types. This research-oriented model can provide an important reference for the construction of undergraduate education and scientific research in the two first-class universities and is of great significance to the development of undergraduate education and graduate education. On the one hand, high quality

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undergraduate education is of high standard (Chen and Li 2008; Song 2017; Wang and Li 2019; Cai and Liu 2020; Shi 2019; Li and Eryong 2020).

References Cai W, Liu S (2020) Research competitiveness analysis of “Double first-class” universities in Western China based on InCites and ESI database. Chongqing Higher Educ Res 8(01):114–128 Chen P, Li W (2008) Challenges and policy supply of western higher education under the background of “Double first-class” construction. Educ Res 39(11):91–98 Li J, Eryong X (2020) Unveiling the ‘logic’ of modern university in China: historical, social and value perspectives. Educ Philos Theory 52(9):986–998 Shi J (2019) Construction of “Integrative Research” and “Double First-class” university talent Training model. China Higher Educ 19(1):23–26 Song Z (2017) Thoughts on narrowing the gap of high-quality higher education resources in central and western China. Educ Res 38(11):56–60 Wang J, Li W (2019) Econometric analysis of scientific research influence of universities in various regions of China from the perspective of “Double first Class”—based on ESI database. Library 19(4):72–78

Chapter 6

The Transformation of Science and Technology of Creating World-Class Universities in China

This chapter involves exploring the transformation of science and technology to shape the double first-class university in China. It is found that the policy environment created by the government plays an important role in promoting the transformation of scientific and technological achievements, and the complicated approval procedures for policy implementation and low efficiency are the most direct factors affecting the effect of the transformation of scientific and technological achievements at the present stage. The policies for the transformation of scientific and technological achievements of first-class universities, policy characteristics, questions, and suggestions have been offered in this chapter.

6.1 Policies for the Transformation of Scientific and Technological Achievements 6.1.1 Macro Policy Environment At the school level, the evaluation mechanism, incentive mechanism and scientific and technological guarantee mechanism are the main factors affecting the transformation of scientific and technological achievements in Chinese universities. At the enterprise level, technological innovation policy has a significant positive impact on the performance of technological innovation of enterprises. In January 2016, The General Office of the State Council issued “the guidance on optimizing academic environment” ([2015] 94), the emphasis on “optimization of macro policy environment, reduce the direct intervention in the innovation of scientific research and academic activities”, pointed to “a value oriented distribution policy in order to

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_6

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increase knowledge, improve the scientific research personnel achievements transformation income share proportion, in order to use disposal of remuneration management reform of scientific and technological achievements as the breakthrough point, fully stimulate innovative entrepreneurial universities, research institutes of science and technology workers.” In March 2016, the State Council issued “about issued by the implementation of the law of the People’s Republic of China to promote scientific and technological achievements conversion of certain rules relating to the circular Guo fa ([2016] no. 16), to” get through the channel of technology and the economic, to encourage research and development institutions, institutions of higher learning, enterprises and so on innovation main body and the transformation of scientific and technological personnel transfer of scientific and technological achievements, to quality and economic efficiency upgrade provides the policy further guaranteed.

6.1.2 Policy of Funding Support Funds input refers to the amount of funds input in the operation of the transformation of scientific and technological achievements. According to international experience, a complete scientific and technological achievement must go through three relatively independent links, namely laboratory test, pilot test and industrialization. The proportion of investment structure in each stage is generally 1:10:100, while the proportion in the corresponding stage of scientific and technological achievement transformation in China is 1:0.7:100. The investment is “large at both ends and small in the middle”. The investment in basic research and industrialization is relatively large, while the investment in pilot research stage is seriously insufficient, which restricts the transformation performance. August 2018, the State Council general office issued “about further adjusting and optimizing structure to improve the efficient use of education funds of opinion” ([2018] no. 82), points out that “improve the system of university budget allocations, promoting the construction of first-class universities and first-class disciplines as a whole, strengthen first-class undergraduate education, promote the development of higher education connotation, training a large number of high level to satisfy the needs of the national economic and social development, remarkable talent.” We will reform the enterprise system of universities and colleges, promote the in-depth integration of production, education and research, promote the transformation of scientific and technological achievements, and better serve the innovation-driven development strategy. We will coordinate policies for overseas study and financial aid for overseas study in China, support efforts to jointly build the One Belt and One Road education initiative and optimize the distribution of education opening up (Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017).

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6.1.3 Establishing Transformation Institutions The service ability of science and technology intermediary institutions has a significant influence on the supply system and service system of the transformation of scientific and technological achievements in colleges and universities. At present, due to the imperfect market mechanism in the field of transformation of scientific and technological achievements and the poor cultivation service ability of intermediary institutions, the price of scientific and technological achievements cannot be determined through complete market competition. As suppliers of the technology market, colleges and universities lack market awareness and ignore the practical value of achievements, making it difficult to transform scientific and technological achievements effectively. At the enterprise level, the degree of technology marketization has a significant positive impact on the technical efficiency of enterprise innovation, and the media and methods for the transformation of scientific and technological achievements have a significant effect. Released in May 2016, the State Council general office on the printed and distributed to promote transformation of scientific and technological achievements transfer action notice do hair [2016] no. 28 (countries), notify the pointed to “support the colleges and universities and research institutes to carry out the transformation of scientific and technological achievements transfer, comb organization in colleges and universities and research institutes of scientific and technological achievements resources, release directory of scientific and technological achievements, the establishment of enterprise technical service site network” to “guide the conditional universities and research institutes to establish specialized institutions of transformation of scientific and technological achievements transfer” pilot in some universities and research institutes to explore the effective mechanism and mode of transformation of scientific and technological achievements transfer, A system for the disclosure and management of job-related scientific and technological achievements shall be established, a market-oriented system for the employment of technical managers shall be implemented, and a number of national technology transfer institutions with flexible operation mechanism, professional talents gathering, outstanding service ability and international influence shall be built (Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Yang et al. 2019). On May 22, 2018, issued by the Ministry of Education of colleges and universities of science and technology achievements transformation and technology transfer base as interim measures, aims to “build a batch of system and mechanism innovation, market orientation of colleges and universities of science and technology achievements transformation and technology transfer platform, combining with the actual exploration to carry out the system mechanism, the formation of a batch of can copy, can promote the experience of practice, promote the transfer of scientific and technological achievements transformation ability obvious ascension, each has its own characteristics of transfer of scientific and technological achievements transformation system gradually establish and perfect”, It also provides guidance standards for the Accreditation of Scientific and Technological Achievement Transformation and

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Technology Transfer Bases of Institutions of Higher Learning, application for accreditation of Scientific and technological Achievement Transformation and Technology Transfer Bases of Institutions of Higher learning, and evaluation Index System of Scientific and technological Achievement Transformation and Technology Transfer Bases of Institutions of Higher learning (Wang 2020; Li and Dong 2018). In September 2018, promulgated by the State Council “about the development of business innovation high quality create the opinions of the” double gen “upgrade” (guo fa [2018] no. 32), the “opinions” in the “application will markedly enhance its capability of transformation of scientific and technological achievements” as a “double gen” upgrade version of one of the six major objectives, and pointed out that to promote the university scientific research innovation entrepreneurship depth fusion, improve the science and technology resources open sharing mechanism, encourage scientific research personnel for enterprises to carry out the technical development, technical advice, technical services, technical training, etc., to promote scientific and technological innovation and entrepreneurship depth fusion. Universities, research institutes and enterprises are encouraged to jointly establish service platforms for the transformation of basic research achievements, such as proof-of-concept and incubation. (The Ministry of Science and Technology and the Ministry of Education are responsible according to the division of responsibilities) “Accelerate the transformation and transfer of scientific and technological achievements in universities and promote the integration and docking of science and technology, industry and investment. We will strengthen the development of the national technology transfer system and encourage universities and research institutes to build specialized technology transfer institutions.” In May 2020, the Ministry of Science and Technology, Ministry of Education issued the on further promoting the development of the construction of institutions of higher learning professional technology transfer implementation opinion “notice, in order to” cultivate one around 100 demonstration, specialized national technology transfer center “as the main target, will” not to increase the school compiled under the premise of colleges and universities can set up the office of technology transfer, technology transfer center and other internal institutions, or joint place, enterprises engaged in technology development, technology transfer, with the establishment of pilot slaking independent institutions, As an important task, it is a professional institution providing a whole chain and comprehensive service for the transfer and transformation activities of scientific and technological achievements in universities.

6.1.4 Intellectual Property Policies and Incentive Policies for Achievement Distribution In May 2016, The General Office of the State Council issued “on the implementation of the construction of the public entrepreneurship among the innovative demonstration base of opinions”, the first batch of 28 area class double gen demonstration

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base, enterprises and universities, Tsinghua university, Shanghai Jiao tong university, only four universities in Nanjing university and Sichuan university, hope college class base “by perfecting the entrepreneurial talent cultivation and flow mechanism, accelerate the transformation of scientific and technological achievements, to build college students entrepreneurial support system and establish and improve the double support service system, deepening the reform of education, science and technology system, improve the system of intellectual property rights and technology innovation incentives, fully tap the human resources and technology, Transform talent and technological advantages into industrial and economic advantages.” In October 2016, Xinjiang Yugur autonomous region government to carry out “on deepening the reform of the system of talent development mechanism opinions (found [2016] 9),” on deepening the reform of systems and mechanisms to speed up the implementation of innovation driven development strategy of several opinions (found [2015] no. 8), the implementation of the law of the People’s Republic of China to promote scientific and technological achievements conversion several provisions (guo fa [2016] no. 16), “several opinions on accelerating the development of talent (new hair [2012] no. 2) and on the implementation of innovation driven development strategy to speed up the construction of an innovative Xinxiang opinion” (new 7 [2013] of the state) such as spirit, released on the scientific research institution and scientific research personnel innovation vigor several policies promoting the transformation of scientific and technological achievements, made clear that improve the transformation of scientific and technological achievements of scientific research personnel income distribution proportion, the transformation of scientific and technological achievements to dispose of income to the state Treasury, all belong to the unit, unit budget, unified management, “income net income in the transformation of scientific and technological achievements of science and technology achievement person that finish (team) proportion of less than 70% of the proceeds from the net income”, the policy has also proposed “increase the transformation of scientific and technological achievements of scientific research personnel strength of equity incentive” and “support transformation of scientific research personnel of part-time or without pay leave” scientific and technological achievements, etc. In May 2017, the Education Department of Shaanxi Province issued the “Opinions on The Implementation of The Value-Adding Knowledge-Oriented Distribution Policy to Promote the Transfer and Transformation of Scientific and Technological Achievements in Provincial Universities”, Put forward “to strengthen the transfer of scientific and technological achievements into autonomy, improve the transfer of scientific and technological achievements transformation of the income distribution policy, improve the leadership system of income distribution, transverse scientific research cooperation as the transformation of scientific and technological achievements transfer manifests the increase knowledge, improve the value of the personnel system reform, establish and improve the transfer of scientific and technological achievements transformation work mechanism, set up the transfer of scientific and technological achievements into the annual report system, improve the financial capital funding budget management, improve the management of scientific

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research in colleges and universities accounting, the implementation of the preferential tax policies, improve the scientific research equipment procurement management, improve the scientific research environment security mechanism”. In February 2020, the Ministry of Education, the state intellectual property office, Ministry of Science and Technology publishing “about improving the quality of colleges and universities patent promotes the transformation using several opinions, put forward” in 2022, covers the patent navigation and layout, the patent application and maintenance, patent transformation using the content such as the university intellectual property rights of the whole process management system more perfect, and the university of science and technology innovation system, the transformation of scientific and technological achievements transfer system organic integration “and” by 2025, the university patent quality improved significantly, the patent will markedly enhance its capability of operation, some universities patent authorization and been reached the world first-class university level goal (Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017).

6.1.5 Policy Characteristics of the Transformation of Scientific and Technological Achievements Since 2015, our country science and technology achievements transformation policy at the stage of perfecting policy, science and technology achievements transformation has been integrated into the national innovation driven development strategy, national guide mechanism reform and decentralization, stimulate vitality of colleges and universities and scientific research personnel become the key, and in the transformation of science and technology policy has strong prospective, state by nonmandatory policies to guide and promote the market main body by the development of traditional trade and OEM, trends, technology and innovation drive. The policy for transforming scientific and technological achievements in the past five years has the following characteristics:

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6.2 The Characteristics of the Transformation of Scientific and Technological Achievements 6.2.1 Continuously Optimize the Policy Environment for the Transformation of Scientific and Technological Achievements From a large number of relevant technology or can be seen in the transformation of scientific and technological achievements of the policy, optimize enterprise in our country, the relationship between the three main public college and university and government, the government to reduce the cumbersome procedures in the transformation of scientific and technological achievements system, reduce the disturbance to the transformation of scientific and technological achievements at the same time, also provide services for university-enterprise cooperation, build a service-oriented government, be innovative entrepreneurial greater autonomy in university, provide good macro policy environment for the transformation of scientific and technological achievements.

6.2.2 Pay Attention to the Continuous Improvement of Professional Institutions and Service Platforms Service oriented government construction of scientific and technological achievements transformation in our country, offer a lot of convenience and advantages, our government provide the transformation of science and technology service for enhancing university-enterprise cooperation and build more higher quality of science and technology transformation platform, perfecting the technology market system, let the related information timely release of scientific and technological achievements, and guarantee the authenticity and reliability of the information, and attaches great importance to improve the quality of the technology market work team as a whole, the establishment of strict technical market access mechanism, you can set the related qualification certification exam, for a qualification certificate will be issued, in order to improve the staff related to technology market promoting transformation of scientific and technological achievements of technical ability and management level (Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017). Science and technology, research and development are not simply upstream and downstream relations, but processes of mutual influence. Accelerating the transformation of scientific and technological achievements is not only the college behavior, but also the state behavior and social behavior. Colleges and universities is the main part of the national innovation system, for the transformation of scientific and technological achievements in colleges and universities and the problems existing in the

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industrialization, in order to further promote and promote the transformation and industrialization of scientific and technological achievements, solve the bottleneck problem of development, transformation of science and technology policies in China are actively promote “industrialization of science and technology service system in Chinese colleges and universities work”, make full use of all kinds of social resources, high and new technology achievements transformation and industrialization of the general rules, in accordance with the economic law and international conventions, go “officer, production, study and research” the road of combining to the road of market-oriented operation, promote and promote transformation of scientific and technological achievements in colleges and universities and industry.

6.2.3 New Breakthroughs Are Made in the Incentive Mechanism To stimulate scientific and technological achievements transformation, since 2015, the country has many achievements of intellectual property rights (IPR) protection policy and allocate incentive also early implementation, pay attention to stimulate the pursuit of long-term interests of the enterprise, the enterprise management decision to establish enterprise incentive mechanism of transformation of scientific and technological achievements, will manage the executive linked to enterprise’s long-term interests, the interests of intellectual property such as patent strategic management of new system of scientific and technological achievements management; Local governments also actively corresponding policies, including strengthen the transfer of scientific and technological achievements into autonomy, improve the transfer of scientific and technological achievements transformation of the income distribution policy, improve the leadership system of income distribution, improving scientific research in colleges and universities accounting management, implement preferential tax policies, etc., so as to inspire scientific research institution and scientific personnel innovation vitality, promote the transformation of scientific and technological achievements.

6.2.4 Shift from Quantity to Quality From the policy of transformation of scientific and technological achievements in recent years, the policy of transformation of scientific and technological achievements has paid more attention to the quality of all aspects in the field of transformation of scientific and technological achievements since the introduction of the policy of building double first-class universities. Such as the Ministry of Education in 2020, the state intellectual property office, Ministry of Science and Technology published

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about improving the quality of colleges and universities patent promotes the transformation using the several opinions, especially emphasized the patent quality in colleges and universities directly, colleges and universities focus on patent operational capability, patent authorization and been, etc., into a “world class” (Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017).

6.3 The Data Analysis of Scientific and Technological Achievements Achievements transformation is the service of economic and social development, the important fulcrum of service innovation driven strategy, but in 2016 the Chinese higher education quality report mentioned in the problem of widespread achievements conversion rate is not high in colleges and universities, the Ministry of Education in colleges and universities intellectual property in China report, statistics show that China’s colleges and universities patent conversion rate less than 5% generally, scientific and technological achievements conversion rate is only 10% or so (“Chinese high-tech zone” editorial office, 2016). Most universities of science and technology keep the number of patent applications above 1000 each year, and Tsinghua University, Zhejiang University, Southeast University and South China University of Technology all have more than 2000 patent applications within the three years. The second is the comprehensive university, the number of patent applications is basically 500– 1000, the normal university, agriculture and forestry university patent applications are less. From 2015 to 2017, the number of patent applications of most “doubletop” universities increased year by year, and the number increased significantly from 2016 to 2017. Nankai University, Nanjing University, Zhejiang University, Xiamen University, Xi‘an Jiaotong University, Northeastern University, Hunan University and Lanzhou University all saw declines in 2016, with Nanjing University registering the most significant decline, with 115 fewer patent applications in 2016 than in 2015. Only Xiamen University, Shandong University and Northeastern University saw a drop-in patent application in 2016–17. From 2015 to 2019, the average annual growth rate of the number of patent applications received was 11.9%, and from 2015 to 2019, the average annual growth rate of the number of patent applications authorized was 10.8%. The average annual growth rate of the number of invention patent applications accepted was 6.2%, and the average annual growth rate of the number of invention patent applications authorized was 6.0%. In 2018, the number of patent applications granted increased by 33.3%. Relative to the integrated, agriculture and forestry, normal classes and other colleges and universities, the application of scientific and technological achievements of science technology, noting that the generally high amount of funds allocated in Tongji university, 2105 funds allocated into the application of scientific and technological achievements and even reached 700 million yuan, but three years, in addition

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to Huazhong university of science and technology, central south university, dozen face, university of science and technology, the remaining funds allocated into the application of scientific and technological achievements in universities of science technology has greatly reduced, and in addition to the Wuhan university and Jilin university, the integrated application of scientific and technological achievements of the university of the funds allocated into basic showed increasing trend. Overall, among the 31 double-top universities with available data, from 2015 to 2016, there were 12 universities with reduced allocation for the application of scientific and technological achievements, and from 2016 to 2017, there were 15 universities with reduced allocation for the application of scientific and technological achievements. Among the 31 double-top universities with available data from 2015 to 2017, half of the science and technology universities’ expenditure on the application of scientific and technological achievements decreases year by year, while the comprehensive universities’ expenditure on the application of scientific and technological achievements outside the three universities of Nanjing University, Wuhan University and Jilin University basically shows an increasing trend. In general, from 2015 to 2016, there were 12 universities with reduced expenditure on the application of scientific and technological achievements, and from 2016 to 2017, there were 15 universities. From 2015 to 2017, most of the double top colleges and universities scientific and technological achievements of the application of funds allocated into spending all over, including Tsinghua university, Fudan university, Shanghai Jiaotong university and other colleges and universities is the three years are spending more than by the state, in 2015, Dalian university of technology, Zhejiang university, northwest agriculture and forestry university of science and technology funds allocated into spending less than three universities, 2016 and 2017, respectively, only 8 and 7 universities scientific research funds allocated into the application of spending less than. Colleges and universities have a high demand for funds for the application of scientific and technological achievements, and their funds need to be further increased.

6.3.1 The Analysis of Overall Development Vitality Most of the scientific and technological enterprises in China’s two first-class universities are unlisted enterprises, whose main body is small and micro enterprises, accounting for about two-thirds of the total. It can be seen from the public information of business activities that many scientific and technological enterprises maintain relatively strong vitality and often have new technologies or products. Some relatively large enterprises. In contrast, although the dynamics of small and micro enterprises are not as frequent as those of large enterprises and their survival is more difficult, they still show a positive development trend overall. Some enterprises were founded earlier and have survived to date beyond the average life span of Chinese enterprises, thus gaining considerable strength and influence in their fields. Some enterprises are registered only in the past two years. Although they are small and

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micro enterprises, there are many of them, which can continuously inject new vitality into the market of science and technology enterprises in China. In addition, some enterprises have entered into a certain round of financing stage, and we can think that most of them have formed optimistic expectations for the future development, thus generating the need for further expansion. This reflects the current development of science and technology enterprises in universities from one side. Only when the current development situation is generally good, people will think that China’s scientific and technological enterprises have a relatively suitable soil for survival and considerable development prospects, will be optimistic about and invest in it. On the other hand, science and technology enterprises are supported by science and technology. The vigorous development of these enterprises also indicates the flourishing of China’s science and technology level and comprehensive national strength. From the statistical results, it can be concluded that the development of unlisted science and technology enterprises in universities is unbalanced in different regions and among universities. By comparing the number of science and technology enterprises in each university’s location, Beijing, Shanghai, Wuhan and other provinces and cities rank among the top in China. The possible reasons for this phenomenon are as follows: first, the two first-class universities in these regions are relatively concentrated and the scientific research strength is relatively strong. Therefore, the number of science and technology enterprises relying on universities will naturally increase. Second, the economic level, policy conditions and market environment of these regions are conducive to the survival of science and technology enterprises. Third, there are many science and technology enterprises under the name of a certain university in a certain place, which leads to the increase of the total number of local people. From the comparison between universities, we can find that the number of science and technology enterprises in Tsinghua University and Peking University alone accounts for almost one third of the total number, and many of them are medium-sized and large enterprises. In contrast, there are several top-tier universities, many of which have no technology companies. It is not hard to see that the universities with the highest overall ranking also invest more technology enterprises than those with the lowest ranking. At the same time, except the two universities in Northern Qing Dynasty, the universities with the number of science and technology enterprises in the top several, such as Harbin Institute of Technology, Huazhong University of Science and Technology, are almost all partial to science and technology universities. Their research and development direction is more in line with the needs of the current society, while the liberal arts colleges are relatively weak. These differences reflect the multi-directional imbalance in the development of science and technology enterprises in China’s two first-class universities, which should be paid attention to.

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6.3.2 The Analysis of the Enterprise in the Production of High-Tech and Professional Products Information technology, new energy, new materials, and biotechnology are the main industries of the third revolution, while artificial intelligence, virtual reality and quantum communication are the representative fields of the fourth revolution. According to the information presented by the statistical results, the science and technology enterprises of the two first-class universities mainly involve in the fields of information technology, biomedicine, digital communication, electronic power, new energy, new materials, and other high and new technologies, among which the number of enterprises related to information technology is the largest. Therefore, we can feel that the impact of the third scientific and technological revolution is still not to be underestimated. It is also the main factor affecting the industrial distribution of science and technology enterprises in Universities in China and the cornerstone of the next wave of scientific and technological reform. While the fourth industrial Revolution is in the ascendant, some of China’s university science and technology enterprises have started to explore and apply related technologies, but a small number of them still occupy a place, reflecting the high consistency between the orientation of school-run enterprises and the requirements of social and economic development. Some enterprises rely on university research institutes to specialize in the R&D and production of a certain technology; Although the scope is single, but fruitful, become the field of pathfinder and outstanding. In addition, among these high-tech enterprises, most of them mainly produce professional products, a few of them have technical consulting and service businesses, and some of them mainly develop and maintain representative platforms in this field. But they basically have a certain degree of science and technology research and development function and innovation ability. After the restructuring, reorganization, and standardized management of national university-run enterprises in 2005, school-run enterprises have undergone a transformation from state-owned enterprises with full investment by the university to social enterprises with shareholding and equity participation by the university, and thus diversified investment channels have been realized. Nowadays, except for some universities that still invest directly in a few science and technology enterprises, most universities manage their industries entirely through their wholly owned asset management companies. For reasons such as enterprise management and development needs, more and more social capital is involved in the construction of science and technology enterprises in the form of individuals or groups, while colleges and universities gradually tend to help enterprises with various forms of technical support. With the continuous deepening of related reforms, the relationship between universities and enterprises is becoming increasingly diversified. Science and technology enterprises, or directly located in the science and technology park of universities, have great geographical advantages. Or jointly carry out research and development and production with university research institutions to keep their own innovation speed and quality all the time; Or start a new company in partnership with a researcher, each

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of whom invests in both technology and money. In June this year, 10 patented technologies of a research team of Peking University bought a stake in a new company jointly established with Everbright Group at the price of 43.636,800 yuan according to the relevant provisions of “Management Measures of Peking University Technology as a Shareholder”. The transformation of capital investment into technology investment by colleges and universities not only provides more direct and cuttingedge technical support for science and technology enterprises, but also reduces the problems in property management that might otherwise occur. It can be found from the information that has never been published by listed enterprises that many scientific and technological enterprises of double first-class universities have independent intellectual property rights, including trademark patent, qualification certificate, software copyright and so on. The specific connotation can be as few as a dozen or as many as hundreds of items. In the era of knowledge economy, technology and knowledge gradually become the core of enterprise development, especially for science and technology enterprises. If the enterprise wants to develop continuously and healthily and gain huge profit, it must have the core competitiveness. As knowledge-intensive enterprises, science and technology enterprises have the competitive advantage of supporting production with cutting-edge technology and knowledge. In addition, the core technology of an enterprise can also be used as a value point to attract social capital, which solves the financing problem and promotes the enterprise’s value increase and expansion. Technological innovation is one of the fundamental elements for the safety of science and technology enterprises. If they can carry out technological innovation continuously and operate properly, they will not be left behind the wheel of The Times. The quantity and quality of patents, especially invention patents, represent the technological innovation level of an enterprise to some extent. The more the number of patents, the development ability of the enterprise will not be poor. Compared with the general science and technology enterprises, university science and technology enterprises are more likely to obtain technical support, have higher technical gold content, and have more advantages in patent application. This undoubtedly creates an opportunity for enterprises to enhance their irreplaceable and core competitiveness and reflects the great activity of scientific and technological innovation in China. At present, only 23 of the hundreds of double top university science and technology enterprises have been listed. Compared with many unlisted enterprises, they have a longer period of development and a larger scale, which are basically due to the maturity and development period of technology enterprises. It can be seen from the changes of the main financial indicators that there are still big differences in the development trend of these listed companies. Although more than half of the enterprises are developing well, the data of net assets and net profits basically show an upward trend or maintain a relatively stable state, such as Unplunder Group and Filtec. However, the situation of many enterprises is still not optimistic. Some indicators representing the operation status show a downward trend year by year, and the company’s assets shrink, such as Nessoft Group and Weaning Pharmaceutical. Others, such as Zhonghe Technology, have volatile earnings, rising and falling. From the perspective of enterprise scale, only 4 of the 23 enterprises have total assets of

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10 billion, and about half of them have total assets of less than 3 billion, showing an obvious gap. In general, the listed science and technology enterprises of China’s two first-class universities do not show a very good development situation. From the perspective of profitability, the return on equity of these technology enterprises in recent years is basically less than 10%, and sometimes there are negative returns, which is a relatively general level. But this is because technology companies themselves have high input costs and long profit cycles. On the bright side, the return on equity of most enterprises is still increasing year by year. In addition to the increasing attention paid by the state to science and technology enterprises, we can still make a more positive forecast for their future.

6.3.3 The Analysis of Enterprises Among Regions and Universities Half of the 23 listed companies are in the east, the rest in the more developed central region and none in the west. By observing the coordinates of listed technology-based enterprises in the central region, it can be found that they are basically concentrated in the Yangtze River basin, which is the south of the central region, and there is no enterprise distribution in the northern provinces and cities except Beijing. After comparing the number of listed companies in the whole south and north, it can be concluded that the south is more than the north. This has something to do with the distribution of colleges and universities, but it is also because the overall environment in the south can better promote the roots and growth of high-tech enterprises in colleges and universities. At the same time, the result of summarizing the universities of these 23 listed companies is that Tsinghua University, Peking University, Fudan University, Jiao he University, Zhejiang University, Nanda University and China University of Science and Technology have 2 listed companies under their names, while the remaining 9 listed companies belong to one university respectively. Among the 42 top universities, only about one third of them have listed technology enterprises, while the remaining two thirds do not control listed enterprises. Colleges and universities have a mutually beneficial relationship with the science and technology enterprises under their name. Colleges and universities could provide technology, capital, site and other support for the science and technology enterprises, while the enterprises in turn can provide the backflow of funds, employment convenience, product landing and so on. Enterprises that have been successfully listed will bring more benefits to colleges and universities. The same is true for the region. The unbalanced development of enterprises reflects the deeper imbalance; And that imbalance is likely to persist for a long time. These 23 listed university science and technology enterprises involve more than a dozen fields, although a wide variety of industries are basically high-tech industries. Among them, information technology and biomedicine are the most frequent main fields of enterprises, which account for nearly half of the total number of enterprises

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engaged in these two industries. Others, such as communications, automation, and artificial intelligence, are also frontier industries. This scope and does not appear on the market the domain which the enterprise includes is roughly coincident. What is different is that these listed companies are almost in the forefront of their respective fields in China and even in the world, and some technologies are even unique. In addition, we can also find that the main technology types involved in these enterprises correspond to the advantageous disciplines of the university behind them. For example, there are two listed biomedical companies under the name of Peking University, whose biological, medical, and pharmaceutical majors belong to the dual first-class construction disciplines. The submitted information and communication engineering, computer science and technology are listed in the double first-class disciplines. The main direction of its holding is also the information industry. Even without this correlation, the level of technology that universities can offer is extraordinary. In domestic science and technology enterprises the main component is still under the condition of small and medium-sized enterprises, which have the background and the support, a strong research and development production capacity of large listed companies, although to a certain extent, squeezed the other small living space science and technology enterprises, but also become a leader and weather vane of existence, also to the development of relevant industries in China and the progress of science and technology provides a great help. Compared with most unlisted university science and technology enterprises, listed enterprises have stronger technological innovation ability, which is still embodied in the quantity and quality of patents. This is because listed companies will have more manpower, material resources and financial resources to carry out technological innovation. They have the backing to consume a large amount of initial investment in this behavior, so their research scope is deeper and broader. Second, listed enterprises are more capable of transforming and implementing the achievements of technological innovation, which improves the possibility of technological innovation to create real income and thus reduces the waste of technological innovation resources. Many listed companies have their own competing products, which is the practical result of their technological innovation and their unique competitive advantage. In the long run, a brand will be formed. When the ability of technological innovation is strong, its patent results will be more, the benefits will be obvious. Studies have shown that for listed science and technology enterprises, the number of patent applications, mainly invention patents, is significantly positively correlated with their profitability, operation ability and development ability. However, with the increase of patents, the costs and risks of patent conversion and maintenance are also increasing. This is also one of the obstacles to the development of technology enterprises. Of course, in general, as a manifestation of strong technological innovation, high patent level has more advantages than disadvantages. After all, the creation of a patent is not only a possible promotion and improvement for the development of enterprises and people’s lives, but also a symbol of China’s scientific and technological cause to take a small step forward. Iv. Summary of the Transformation of scientific and technological Achievements of the two first-class universities.

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6.4 Problems of the Transformation of Scientific and Technological Achievements 6.4.1 Some Local Colleges and Universities Lack Experience in Implementing Transformation Among them, the results of the completion of scientific and technological achievements of the market information insight, the complexity of grasp is not clear, the division of internal management authority is not clear trouble, leading to technology research and development results lag, the transformation process is long, the value of innovation weakened. Decision-makers are faced with the complex situation of lack of operational guidance and lack of ability to predict the risks of achievement transformation, and tend to be flexible in policy, limited in response or selective in execution, which weakens the efficiency of transformation. The unclear responsibilities of the executive layer and the great difficulty in resource allocation make the chain of achievement transformation broken and affect the transformation effect. In terms of execution context, the hat of “local colleges and universities” has certain restrictions on policy implementation. Because of the limited resources of local colleges and universities, the policy has to be implemented selectively. Secondly, enterprises engaged in the transformation of scientific and technological achievements have a “rigid bias” towards local colleges and universities, believing that the level of innovation of local colleges and universities is generally insufficient.

6.4.2 Insufficient Execution of Policy Subjects University teachers’ promotion way, achievements transformation for teachers is not a “compulsory course” the transformation of scientific and technological achievements appraisal and recognition system has not yet fully established, tends to income as measure index, combined with the existing university appointment system of the leadership of advocacy is rotational and circulation, achievements of long-term cyclical impact with the leading term executive power; The other is the different interpretation of the objectives of the actors, which eliminates the executive power. There are not many researchers and projects with the ability to transform, and the corresponding people who can participate in the distribution of benefits are also very limited. The difference between “idea” and “understanding” becomes an implicit obstacle.

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6.4.3 Unreasonable Organization and Management of Government Science and Technology Programs The government’s organization and management of science and technology projects is unreasonable, which leads to the disconnection between achievement production and application. One is the lack of differentiated management of scientific research projects. In order to encourage scientific exploration, some basic research which do not have the prospect of industrialization are evaluated by the value of industrialization application. As for the scientific research projects oriented towards industrial application, patents and papers are used as the main evaluation indexes, which leads to the fact that the scientific research projects are not conducive to the transformation of scientific and technological achievements. The second is the lack of industrialization arrangement in the organization of scientific research projects. In the process of project approval and development, many scientific research projects do not fully consider the industrialization demand, and enterprises and other end users are less involved, leading to the disconnect between research and development direction and industrial development demand. Third, prospective research and development is difficult to translate into advanced productivity. China is not slower than foreign countries in the tracking of many important technologies and the development of cutting-edge technologies, but the level of industrial technology often lags others in large-scale application. The root cause is the lack of support for domestic independent innovation products. Fourthly, insufficient attention is paid to pilot test and engineering links in the organization of scientific research projects. Pilot test and engineering link are the key stages in the transformation of scientific and technological achievements. At present, most scientific research institutes and universities in China lack pilot equipment and funds, and often lack the arrangement of pilot and engineering links in the organization of scientific research projects, which makes it difficult for many technologies to enter the production link.

6.4.4 The Restructuring of School-Run Industry Is Incomplete In accordance with the restructuring and reorganization of university-run enterprises and their standardized management in 2005, colleges and universities should set up operating assets management committees that exercise the rights of investors in accordance with the law as the management organs of state-owned operating assets of the university. At the same time, it invests to establish an asset management limited liability company, which is specialized in the investment management, asset operation and capital operation of the school’s operational assets, to maintain and increase the value of assets. The university shall undertake limited liability within the limits of the assets invested in the asset management company. However, up to now, there are still a small number of first-class universities that directly establish

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and manage enterprises as legal persons of public institutions. As a result, colleges and universities directly bear the risk of enterprise management, and it is difficult to straighten out the relationship with enterprises, resulting in the overlap of the identities of owners, operators and supervisors of enterprises, and the confusion in the distinction from other assets of schools, resulting in the separation of schools and enterprises, unclear property rights, improper management and other problems. Most of the managers of enterprises come from schools, so they may not necessarily understand the knowledge of enterprise management, and the management mode they adopt may be biased to the administrative management mode in the school. This is not in line with the needs of the business. The difference between universities and enterprises in choosing economic benefit or social benefit as the first choice will also lead to the difficulty of enterprise development. In addition, the single property right structure of enterprises wholly owned by universities is easy to bring great risks to universities and enterprises. Once the enterprise has a loss due to poor management, it can only be borne by the school; The money the firm needs to export to schools also hampers its expansion.

6.4.5 The Fund Gap of Science and Technology Enterprises in Universities Is Serious In the early days of the establishment of China’s university science and technology enterprises, most of the capital comes from the educational funds invested by the state in universities, especially small and micro enterprises, whose initial scale and future development for a long period of time are closely related to universities. Because the purpose of running a university is not to make profits, the source of funds is mainly based on financial allocations and subsidies from all walks of life, and there is often a shortage of funds, so the amount of funds for investment and operation of enterprises can be imagined. In addition to universities with capital, such as Peking University, Tsinghua University and Zhejiang University, the number of scientific and technological enterprises established by many first-class universities is not large, and their scale is small, and their funds are often insufficient. When enterprises grow to a certain extent and need more investment, it is difficult for them to obtain financing from other sources besides the limited support provided by universities and the funds accumulated by themselves. Due to the problems of high risk, information asymmetry, uncertain development prospect and limited financing scale faced by enterprises in the start-up and growth period, it is difficult for technology enterprises to obtain financial support from financial institutions. Without venture capital investment, the scale of production cannot be expanded, it is difficult to promote scientific and technological achievements to the market to achieve industrialization. In addition, according to relevant laws and regulations, the funds invested by the state into colleges and universities must be earmarked for special purposes; However, there is no special fund authorized by the state to invest in science and

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technology enterprises. Therefore, in order to avoid capital outflow, many colleges and universities also want to invest in science and technology enterprises to obtain the benefit of insufficient educational funds, so they often withdraw the funds allocated for registration under the name of science and technology enterprises after completing all registration procedures, making them empty shell enterprises that are difficult to operate.

6.4.6 The Technology Conversion Rate of Science and Technology Enterprises in Universities Is Not High Compared with other science and technology enterprises, although university science and technology enterprises are more likely to produce more patented technological achievements, they are not efficient in transforming technologies into landing products. Many scientific and technological enterprises are established by relying on the opportunity of industrialization of scientific and technological achievements in colleges and universities. However, researchers in the university often have the idea of emphasizing basic research rather than industrial transformation and pay more attention to the quantity and level of scientific research while ignoring the application of their achievements in actual industries. However, when an enterprise is established and enters the stage of transforming scientific research achievements, due to the lack of effective regulation and incentive mechanism, colleges and universities often pay insufficient attention to and invest in the follow-up industrialization work, resulting in the lack of motivation to promote the implementation of the results, and the final results are unsatisfactory or even go nowhere. With the continuous improvement of the scientific and technological level around the world, the difficulty of scientific and technological research and development is gradually increasing, and the proportion of scientific and technological products with practical application value that can be directly put into production is also decreasing. In some cases, although the amount of new technology developed by universities or companies themselves is considerable and there is no shortage of valuable research, the actual product does not necessarily meet the needs of the people, is difficult to be recognized by the market, does not produce benefits for the development of enterprises, and the universities do not get much return from it. In addition, the transformation of scientific research is a high investment, high risk, long cycle, large companies still have a certain amount of capital to the work, but for smaller companies, research and development of this step alone could consume their own a lot of cost, the next step is anemic, besides the risks they are often difficult to bear. In the long run, even the ability to innovate is likely to be lost in the end.

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6.4.7 Small University Science and Technology Enterprises Face Difficulties in Survival Compared with the general state-owned, private enterprises, university science and technology enterprises in the level of science and technology, reputation and other aspects have more advantages. However, state-owned enterprises can get preferential policies, such as hardship subsidies and market protection. In some industries, state-owned enterprises also hold a monopoly position. In contrast, many individual university science and technology enterprises are not favored by the policy, nor can they compete with the state-owned enterprises that monopolize in the same field in terms of system, scale and efficiency. Compared with some private enterprises, university science and technology enterprises are at a disadvantage in terms of mechanism and system. Some of the new small and medium-sized tech companies have very little room to live, with an average lifespan of less than three years. In addition, there are also congenital defects in university science and technology enterprises, such as insufficient capital investment, small scale of enterprises, weak development potential, etc., so their competitiveness and profitability are relatively weak. Moreover, most of the technology enterprises are independent, even if there is a certain technological advantage at the beginning of the establishment will be quickly dissipated. Faced with such internal and external challenges, it is easy for an enterprise to sustain itself and even go bankrupt. Survival is an issue, let alone the formation of a brand. Many enterprises really have the domestic famous brand is not much, can be recognized by the international is even less, only Tsinghua Unigroup, IFLYtek and a few strong university science and technology enterprises have done. If you can’t build your own brand, you can’t enjoy the benefits of brand effect, which makes the development of small-scale technology enterprises more difficult.

6.5 Suggestions of the Transformation of Scientific and Technological Achievements 6.5.1 Improve the Organization and Management of Government Science and Technology Programs To improve the organization and management of government science and technology programs, we can start from the following aspects. First, implement differentiated management of scientific research projects. The different subjects of basic technology research and industrialization technology research are considered respectively, and corresponding requirements are put forward for the transformation of achievements. Universities and research institutes are allowed to explore freely in basic and frontier research on the layout of the country and are not assessed by the indicators of industrial application. For research projects aiming at industrial application, they

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should be oriented to meet the needs of industrial development. In the process of project approval, the combination of expert review and industrial development needs is realized, and the project’s role in promoting economic and social development is emphasized. Second, industrialization projects should be arranged in the process of scientific research and development, emphasizing that all parties of production, study and research should give play to their advantages and focus on meeting industrial needs. The organization mode emphasizes the participation of end users, realizes the timely transformation of innovation subjects, and guides the direction and demand of R&D. It will enable all parties to give full play to their expertise and form a new research and development system with complementary resource advantages. Third, for the scientific research projects undertaken by institutions of higher learning and scientific research institutes, the contribution to industrial scientific and technological progress is regarded as one of the main evaluation indexes to replace the index of the conversion rate of scientific and technological achievements. The contribution indexes to industrial scientific and technological progress can be both quantitative and qualitative, which can comprehensively measure the progress of scientific research projects and have a strong target orientation. The assessment indexes should include not only the contribution of technical level, but also the organization and arrangement of industrial application. This is conducive to giving full play to the advantages of each innovation subject and realizing the effective division of labor and cooperation between different innovation subjects from research and development to application.

6.5.2 Accelerate the Restructuring Process of University-Run Industries After more than ten years of practice, the advantages of establishing operational asset management institutions and asset management companies have been gradually reflected. This kind of practice on one hand can solve the problem of enterprise property rights owner absence, on the other hand is between the university and the enterprise economic activity to build a “firewall”, avoid the risk of colleges and universities directly to enterprise operation, make the civil liability of university and enterprise as two independent equal civil subjects, only to capital as the link form the property right relations. Therefore, colleges and universities that still invest directly in science and technology enterprises should hand over these assets to asset management companies for unified holding and operation. After the capital is injected into the enterprise, the university can no longer directly control this part of the property or intervene in the operation of the enterprise by administrative means. It can only enjoy certain property rights to this part of the property according to law and bear limited economic liability to the enterprise with this part. It shall not be withdrawn from the enterprise except for legal transfer. And assets management company shall strengthen supervision over holding and joint-stock enterprise, its management and board of directors, board of supervisors and management has

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the relations, perfecting the implementation of enterprise internal decision-making and supervision system, understand management, good operation, a high level of enterprise management team, to accord with the characteristics of school-run enterprise salary system and incentive mechanism, and gradually form a clear property rights, well-defined right and responsibility, separation between colleges, management science, corporate governance structure. In contrast, school-run enterprises are only responsible for maintaining and increasing the value of school assets. Only in this way, the school-run enterprises can truly become the market competition subjects with sufficient independent management rights, and the colleges and universities can also get the return on investment.

6.5.3 Promote Diversification of Investment Subjects of Enterprises and Improve Financing Mechanism The scientific and technological enterprises of the two first-class universities should diversify their investment subjects and form joint-stock enterprises. Colleges and universities can convert the invested capital sites, equipment and instruments and other tangible assets as well as intangible assets such as technical achievements and ideas and creativity into shares of investment enterprises. At the same time, on the one hand, colleges and universities can absorb and make use of social idle funds, set up risk funds, and strive for scientific and technological loans from Banks, etc., to establish the operation mechanism of investment and financing to resist risks; On the other hand, according to the actual situation to promote the school staff and schoolrun enterprise staff shares, stock ownership, through the establishment of staff share association, encourage business operators, inventors of major scientific and technological achievements to become shareholders. In addition, the science and technology industry of colleges and universities can also learn from foreign experience, combine the characteristics of the industry, take enterprise development performance, credit quality, technical level, loan repayment ability as the main criteria, improve the bank loan management mode and risk assessment technology. The fluctuation range of loan interest rate is determined according to industrial policy, risk level, cost level and credit degree, etc., so as to alleviate the problem of loan risk and income asymmetry for science and technology enterprises in colleges and universities and use interest rate leverage to guide capital flow to them. In view of the small scale and difficult financing guarantee characteristics of science and technology enterprises, we can try to use orders and equity as collateral or use the universities behind as guaranteed institutions to expand the credit to them. Investment loans or risk loans may be provided. For example, the bank has the right to buy out a number of shares in priority when the enterprise increases capital and expands shares or convert the previous credit financing into certain shares. In addition, colleges and universities should realize high-efficiency and intensive development and learn to attract large investment by small schools. Improve the entry and exit mechanism for the creation

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of technology-based enterprises, transfer part or all of the equity when appropriate, and invest the proceeds into promising science and technology projects, enterprises and educational undertakings.

6.5.4 Improve the Conversion Rate of Scientific Research Achievements of Universities and Enterprises in Multiple Ways Only when the scientific and technological achievements of colleges and universities are transformed into specific industrial products can they truly realize their great scientific and social value. The low conversion rate of scientific research achievements exists in both universities and enterprises. To solve this problem, we must first understand that universities and enterprises, as different innovation subjects, have different functions. For universities and research institutes mainly responsible for science and technology research and development, achievement transformation is only one of its derivative functions. Enterprises are the main force in this respect. Special tasks should be entrusted to special people, and only by giving full play to their strengths can they maximize their benefits. In recognition of this point, we should further strengthen the specialization tendency of the two, but at the same time promote the combination of industry, education, and research, and communicate with various achievement transformation agencies from which the central and local governments support. To improve the conversion rate of scientific research achievements, it is necessary to make full use of the advantages of talents, equipment and scientific research experience in universities and enterprises. This is an innate characteristic of science and technology enterprises in colleges and universities, which can enhance the competitiveness of enterprises in scientific and technological innovation and new product research and development and must give full play to its maximum value. Secondly, when developing scientific and technological products, market research should be carried out first to analyze and predict the market prospect of the product, and whether to put it into production should be selected based on full understanding. More promising scientific and technological achievements should be given priority to incubation, pilot test and industrialization. For less promising technologies, decisions must be made based on actual conditions. As far as the current situation is concerned, engaging in the research and development, production and technical services of high and new technologies and their products is more likely to make enterprises gain profits and prolong their life. For small-scale technology enterprises, in addition to choosing business direction and forming their own advantageous products, they should be able to attract investment to support deeper and broader R&D and production. If we succeed in these two aspects, we can build a virtuous circle to promote the development of enterprises. In addition, the government should also promote the

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creation of an environment conducive to technological innovation and transformation and establish systems and mechanisms conducive to technological innovation. Of course, while improving the conversion rate of scientific and technological achievements, we should not reduce the importance of scientific research itself. Only through continuous technological innovation can we maintain the vitality of scientific and technological development and continuously produce social and economic benefits.

6.5.5 Streamline the Number of Science and Technology Enterprises in Colleges and Universities and Improve Their Operating Efficiency Colleges and universities should reasonably establish investment enterprises within their capacity to avoid the rapid decline of enterprises and disordered competition within the industry. For the projects and products with considerable industrialization prospects within the industry, increase capital investment and foreign cooperation efforts to form economies of scale as soon as possible; Enterprises with low market share, long-term loss or poor correlation with the main industry of the school should be adjusted, sold, restructured or liquidated according to different conditions, so as to concentrate human and financial resources to develop advantageous industries and form industrial clusters under strong science and technology. To form a leading industry by means of merger, merger and formation of group companies. University of science and technology innovation and research and development advantages in infrastructure, personnel quality and other enterprises, the production and business operation and management experience of a strong combination, not only realize the complementary integration advantage resources, leading to a huge increase in new enterprises or enterprise groups, the strength, also is in essence adjusted the organization structure of university science and technology enterprises, the patency of the science and technology industry upgrading. At the same time science and technology enterprises in colleges and universities to improve and innovative business model, in addition to keep its product advantage, but also focus on enterprise cooperation network cost, internal value chain, core competence, products and services, customer relationship and the way of income level, strengthen own characteristic multi-azimuth and competitiveness, build high quality high profile high market share of the enterprise brand, make the enterprise can also be an advantage in the global competition.

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6.5.6 Optimize the Legal Environment of Science and Technology Enterprises in Universities Science and technology enterprises in colleges and universities have made great contributions to China’s economic, social, scientific, and technological progress, but there is still a lack of legal system protection for these enterprises in China, and the legal environment needs to be optimized urgently. On the one hand, China’s relevant legal system needs to be constantly innovated and improved to include the relevant content of science and technology enterprises in universities as soon as possible, so that enterprises can have laws to follow in the process of development. At the same time, government departments should fully realize the development potential and prospect of science and technology enterprises in colleges and universities, formulate sound and reasonable policies and measures to promote the development of science and technology enterprises in colleges and universities, and provide various policy support and guidance for the establishment and growth of enterprises. On the other hand, colleges and universities themselves should also strengthen the understanding of legal principles, with the advice and help of professionals, analyze the convenience and benefits that science and technology enterprises can get from the legal environment optimization, and formulate a scientific and effective development system according to the actual situation, so as to contribute to the healthy and sustainable development of enterprises (Wang 2020; Li and Dong 2018; Gong and Chen 2019; Song and Qiu 2019; Yang et al. 2019; Chen and Zhang 2020; Ping and Chen 2017).

References Chen J, Zhang X (2020) The implicit meaning of “Double first-class”: construction of first-class higher education system. Jiangsu Higher Educ 20(5):13–21 Gong H, Chen L (2019) The development of advantageous characteristic disciplines under the construction of “Double first-class.” Mod Educ Manag 19(7):60–65 Li Y, Dong W (2018) Education balance: cold thinking on the construction of “Double first-class” universities and disciplines directory. Heilongjiang Higher Educ Res 18(6):6–12 Ping H, Chen Y (2017) “Double first Class” construction: policy promotion and higher vocational exploration—characteristics, difficulties and solutions of “Double first Class” construction— reflections triggered by relevant policies of “Double first Class” construction in 19 provinces and cities. Vocat Techn Educ 17(30):10–18 Song B, Qiu J (2019) Analysis of inter-provincial distribution and development path of national “Double first-class” construction. Mod Educ Manag 29(3):32–37 Wang J (2020) Coping with discipline construction in universities under the background of “Double first-class” construction. Higher Sci Educ 20(1):19–27 Yang J, Xie Y, Wang J (2019) “Double first-class” data Perspective in universities and disciplines. Mod Educ Manag 19(2):32–36

Chapter 7

The Financial Input of Creating World-Class Universities in China

This chapter focuses on shaping double-first-class university in China from the perspective of the financial input. From 2018, when allocating special funds, the central government will consider the construction of local “double first-class” programs and actively support local universities in building first-class disciplines. In terms of the use of funds, each region shall be given greater autonomy, and the funds shall be allocated according to factors, reaching the provincial level at a lower limit. The top university financial investment policy, the remuneration of teachers, financial input data of the two first-class universities, financial Investment analysis of double top universities, the relationship between the number of first-class disciplines and budgetary revenue, and problems and suggestions on financial Investment of double top universities have been explored in this chapter.

7.1 Central Financial Support for Colleges and Universities “Double first” construction began in 2015, the central departments released about the construction of “double top” finance, management, policy of the five, including promulgated by the State Council in October 2015, the State Council on printing as a whole to promote the world first-class university and the first-class discipline construction overall plan notice, puts forward the overall planning for the construction of “double top”; In November 2015, the Notice of the Ministry of Finance and Education on Reforming and Improving the Budget Allocation System of Central Colleges and Universities clarified the main content and work requirements of the financial input of central colleges and universities in the period of building worldclass universities (disciplines). In January 2017, the Ministry of Education, The Ministry of Finance and the National Development and Reform Commission issued

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_7

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the Interim Measures for Promoting the Construction of World-class Universities and First-class Disciplines, which pointed out the ways of financial support for the construction of “Double first-class”. In July 2017, the Ministry of Finance formulated the Measures for the Management of The Special Funds for The Central Universities to Build World-class Universities (Disciplines) and Guide the Development of Special Funds with Distinctive Features, to standardize the use and management of the special funds for the construction of “Double first-class”. In August 2018, the Ministry of Education, The Ministry of Finance and the National Development and Reform Commission issued the Guidance on Accelerating the Construction of “Double First-class” Institutions of Higher learning, which also pointed out the need to strengthen guidance, guidance, guidance and supervision, and strengthen policy support and financial input guidance (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

7.1.1 Implementation Measures in the Overall Program Overall planning and hierarchical support. Every five years, a new round of construction will begin in 2016. The central finance will incorporate the construction of world-class universities and disciplines into the budget allocation system of central universities and provide guidance and support through relevant special funds. Relevant local governments are encouraged to provide financial, policy and resource support to central universities through various means. The construction of worldclass universities and disciplines carried out by local colleges and universities shall be carried out by local governments considering their actual conditions. The funds required shall be arranged by local governments, and the central government shall provide guidance and support through relevant funds to support the development of local colleges and universities. The central government has invested in capital construction to support the development of infrastructure related to world-class universities and disciplines. Enhanced performance and dynamic support. We will innovate ways to provide financial support, give greater prominence to a performance-based approach, and form an incentive and restraint mechanism. In allocating funds, we will give more consideration to the quality of schools, especially the level of disciplines and characteristics of schools, and give priority to schools with high standards and distinctive characteristics, so as to support the best and strengthen the strong in fair competition. Improve the management mode, further enhance the financial autonomy of colleges and universities and the ability of overall arrangement of funds, fully stimulate the colleges and universities to strive for first-class, run a unique power and vitality. We will establish a sound performance evaluation mechanism, actively adopt third-party evaluation, and make performance more scientific and public trust. Based on relatively stable support, according to the relevant evaluation results, fund use and management, the dynamic adjustment of support to enhance the effectiveness

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of the construction. Appropriately increasing support for effective implementation, good progress and notable results; If the implementation is ineffective, the progress is slow and the actual effect is lacking, the support shall be appropriately reduced. Diversified input and combined support to improve the joint construction mechanism combining government, society and schools, so as to form a pattern of diversified input and combined support. We will encourage relevant departments and industrial enterprises to take an active part in building first-class universities and disciplines. We will strengthen cooperation with relevant colleges and universities in training needed talents and solving major bottlenecks and support the development of first-class universities and disciplines through co-construction, joint training and scientific and technological cooperation. In accordance with the principle of steady and orderly progress, the tuition standard of colleges and universities should be reasonably adjusted, and the cost-sharing mechanism should be further improved. Colleges and universities should constantly expand funding channels, actively attract social donations, expand social cooperation, improve the long-term mechanism of social support, pool resources through multiple channels, and enhance their capacity for self-development (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

7.1.2 Support for Central and Provincial Universities According to the overall plan for the construction of “double first-class”, the central finance has included the construction of “double first-class” in the budget allocation system of central colleges and universities for overall consideration and provided guidance and support through special funds. For example, in September 2017, the first list of “Double first-class” universities and disciplines was announced. For the central universities included in the scope of construction, the central finance has set up a special fund for the construction of world-class universities (disciplines) and special development guidance funds to support the construction of “double firstclass” universities. Relevant colleges and universities can arrange funds as a whole and increase input in discipline construction. In addition, in 2017, the National Development and Reform Commission allocated 2.4 billion yuan from the central budget for the Education Modernization Drive project to support 40 central universities to build “double first-class” infrastructure projects, with the focus on the construction of disciplines that are highly related to and closely aligned with the development of industries in key economic and social fields. Similarly, according to the overall plan of “Double first-class” construction, the Central government encourages relevant local governments to provide financial, policy and resource support to central universities through various means. The construction of “double first-class” in local colleges and universities is carried out by local governments in light of their actual conditions. The funds needed are arranged by local governments, and the central government provides guidance and support by supporting the reform and development funds of local colleges and universities. All provinces may coordinate their

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funds for the reform and development of local colleges and universities and support relevant colleges and universities in strengthening discipline construction. In allocating funds, we will give more consideration to the quality of schools, especially the level of disciplines and the characteristics of schools and give priority to schools with high standards and distinct characteristics. We will support the best and the strongest in fair competition and give priority to the western region. In the future, the central government will continue to increase input through the current funding channels to support the construction of “double first-class” universities (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). Each region may, in combination with the needs of local economic and social development and the construction of high-level universities, make overall plans to support the construction of first-class disciplines in high-level local universities, and improve the level of talent training and scientific research. At the same time, the central finance has actively guided local governments to reform and improve the budget allocation system for local colleges and universities and guided them to vigorously support the construction of “double first-class” local colleges and universities by referring to the principle of supporting the construction of “double first-class” central colleges and universities. Local governments and competent departments concerned should increase financial, policy and resource support for the “double first class” development through various means. The construction of colleges and universities should also actively strive for resources from all sides of the society to form a long-term mechanism of diversified support. In the first round of the “Double first-class” list of universities and disciplines, 53 universities and 134 disciplines in the central and western regions were included in the construction scope. At the same time, in accordance with the overall plan and implementation measures for the “Double first class” construction, all localities have launched the construction of local high-level universities and their distinctive and advantageous disciplines, and the “double first Class” construction of institutions of higher learning and their local high-level universities promote each other and develop together. The Guiding Opinions on Accelerating the Construction of “Double Firstclass” Institutions of Higher Learning support policy support and resource input from local governments, and encourage universities in the central and western regions to take the initiative to serve the national strategic needs and regional economic and social development based on the characteristics and advantages of regional disciplines, so as to improve the quality of education and the level of discipline construction. According to the Overall Plan for Double First-class Construction issued by the State Council, the first round of construction will be completed by 2020, and the construction effect will be evaluated, and the scope of construction will be dynamically adjusted at the end of the construction period. Through existing channels, next, the central government will continue to improve the support mechanism, further strengthen support for local colleges of transfer payment funds’ performance evaluation and supervision of the construction of “double top” guidance, jointly with the Ministry of Education departments and improve the construction of “double top” performance evaluation standard system, the research explore the “double” firstclass universities classification evaluation classification support policies, promoting

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the construction of “double top” support local plan as a whole, drive and guide the local university to improve school-running level and quality, improve the service ability of leading the economic and social development (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). In general, the central finance has resolutely carried out the major strategic decisions of the CPC Central Committee and the State Council on building world-class universities and disciplines, and constantly improved and increased investment mechanisms. According to the overall plan for the construction of “double first class” and the university management system, the central finance will provide graded support to the universities and colleges that are included in the construction scope. At the level of central colleges and universities, the central finance should be integrated into the budget allocation system of central colleges and universities for overall consideration, and the guidance and support should be provided through the “Special funds for central colleges and universities to build world-class universities (disciplines) and guide the development with characteristics”. At the level of local colleges and universities, local governments should promote the development of local colleges and universities in accordance with their actual conditions, and the required funds should be arranged by local finance as a whole. The central finance provides guidance and support through “supporting the reform and development funds of local colleges and universities”.

7.1.3 Main Contents of Financial Support We will strengthen top-level design, consider the current and long-term situation, take into overall consideration all functions of central colleges and universities, improve the basic expenditure system, better support the daily operation of central colleges and universities, and promote structural optimization. Reconstruct the project expenditure system, distinguish different situations, adopt adjustment, merge, retention, and other ways, strengthen the integration, and further optimize the project setup; We will improve the way funds are allocated and managed, give prominence to fairness and equity, strengthen policy and performance-based guidance, and enhance the ability of central institutions of higher learning to make overall arrangements for the use of funds in accordance with regulations. We will promote the concentric development of central institutions of higher learning and strive to raise the quality and level of running schools. In the future, according to the relevant decisions and plans of the CPC Central Committee and the State Council, and in combination with the new situation of the reform and development of central universities, the project setting, distribution, and management methods shall be adjusted and improved in due time (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). On the basis of the current per student quota system, the relative stability mechanism of the per student quota allocation in central universities is gradually established: the total per student quota allocation in each central university in a period of 2–3 years is kept basically stable; After the end of the previous period, the central universities

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shall re-check the total amount of fixed allocation for undergraduate students in the next period based on factors such as the enrollment scale and the cost of running the school, and timely adjust the quota allocation standard for undergraduate students in accordance with the financial situation of the central government, so as to guide the central universities to adjust the enrollment scale and the structure of disciplines and specialties reasonably. We will gradually improve the quota allocation system for each graduate student. We will continue to give appropriate preference to central universities in the western region and those with small scale characteristics. At the same time, the central university student grant funds will be transferred from project expenditures to basic expenditures. The new project expenditure system includes the following six items: Special funds for central universities to improve basic conditions for running schools. It is formed by the integration of the current special funds for improving the basic operating conditions of central colleges and universities, the special funds for improving the basic operating conditions of affiliated primary and secondary schools, and the long-term mechanism subsidy funds for the development of central colleges and universities to support the central colleges and secondary schools to improve the basic operating conditions. It is used for renovation and repair of school buildings, purchase of instruments and equipment, auxiliary facilities and supporting projects of construction projects, etc. Mainly according to the school conditions and other factors, the implementation of project management. Special Fund for education and Teaching Reform in Central Universities. It is formed by the integration of the current undergraduate teaching project and the special fund for the cultivation of top students in basic disciplines, supporting the central universities to deepen the reform of education and teaching, and improving the teaching level and the quality of talent cultivation. We will further expand the content of support, and provide overall support to undergraduate and graduate students, teachers and students, in-class and after-class educational and teaching activities for the reform of educational and teaching modes, innovation and entrepreneurship education, and other aspects. It is mainly distributed according to relevant factors such as education and teaching reform, and the central colleges and universities shall make overall plans for its use according to regulations. Basic scientific research operating expenses of central universities. Continue the project and provide stable support for basic scientific research activities in central universities. For the central universities to carry out independent scientific research on topic selection, according to the current way of distribution and management. Special funds for central universities to build worldclass universities (disciplines) and guide their distinctive development. In the “985 project”, “211 project”, characteristic advantage discipline innovation platform, key subject projects, “innovation ability of institutions of higher learning promotion plan” and the promotion of connotative development funds etc. Based on integration and become, guide the central college accelerate the world first-class university and the first-class discipline construction and specialty development, improving teaching quality and innovation ability. It is used for discipline construction, talent team construction, collaborative innovation center construction, international exchange, and cooperation, etc. The project management is mainly distributed according to the discipline level, school-running characteristics, collaborative innovation results

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and other factors. Special funds for matching donations from central universities. Continue the project, guide, and encourage the central universities to broaden the sources of funds channels, improve the diversified financing mechanism. The central universities shall match the social donation income received by them according to the policy, and the central universities shall use the income according to the regulations. The central university management reform and other performance allocation. Continue the project, guide the central universities to deepen the reform, strengthen the management. It is mainly distributed according to management reform and other related factors, and the central colleges and universities shall make overall planning and use according to regulations (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). To reform and improve the budget allocation system of central colleges and universities is a major reform in the way of financial support, a powerful measure to make good use of the incremental funds by reforming the existing funds, and an important system design to guide the transformation of the development model of central colleges and universities, which involves the transformation of government functions and the vital interests of central colleges and universities. Relevant central government departments should unify their thinking, be more aware of the overall situation and responsibility, give full play to their functions and functions, strengthen operational guidance and macro management, and improve supporting policies and measures. All central universities and colleges should accurately grasp the spirit of reform, earnestly implement the work, strengthen overall planning, optimize the allocation of resources, and ensure that reform measures take root and achieve real results. We will promote institutional reform in a coordinated way and make it more systematic and coordinated. We will accelerate the establishment of a classification system for colleges and universities, promote classification management and evaluation, guide colleges and universities to position themselves in a reasonable way, overcome the tendency of homogenization, and develop distinctive features and strive to be first-class in different fields and at different levels. We will carry out the fundamental task of fostering people with moral integrity, innovate the personnel training mechanism in colleges and universities, actively explore ways to reform education and teaching, integrate innovation and entrepreneurship education into personnel training, improve the quality of personnel training in an all-round way, and provide a steady stream of intellectual support for building an innovative country. We will further separate government and school administration and separate management from management and evaluation, and further implement and expand the autonomy of colleges and universities in running schools. We will improve the modern university system with Chinese characteristics, improve the internal governance structure of colleges and universities, strengthen scientific and democratic decision-making, and earnestly raise the level of internal management (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). We should combine diversified financing with deregulation to improve the efficiency of capital use. According to the principle of “steady and orderly progress”, the tuition standard of colleges and universities is dynamically adjusted in accordance

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with the prescribed procedures to further improve the cost-sharing mechanism. We will actively solicit public donations and support from relevant departments, industrial enterprises and local governments for the reform and development of central colleges and universities and improve the mechanism of diversified investment. We will conscientiously implement the budget Law and the Relevant requirements of the State Council for deepening the reform of the budget management system, and comprehensively strengthen and improve budget management. Strengthen the construction of financial accounting system in colleges and universities, improve the internal audit and internal control system of fund use. We should be diligent and thrifty in running schools and promote the sharing of resources. We will strictly supervise the use of funds to ensure that they are used in a standard, safe and effective manner. The Treasury for the central universities building world-class university (discipline) and characteristic development special funds management method “(money science [2017] no. 126), guiding the central university accelerate the world firstclass university and the first-class discipline construction and specialty development, improving teaching quality and innovation ability, standardize the central universities building world-class university (discipline) and the characteristics of development to guide the use and management of special funds, improve the service efficiency of funds. The expenditure scope of “special guidance” includes personnel funds, equipment purchase costs, maintenance costs and operating costs related to the construction and characteristic development of world-class universities and disciplines. The distribution use and management of “guiding special projects” follow the following principles: quality-oriented, emphasizing disciplines; Factor distribution, fairness and justice; Combination of decentralization and regulation and scientific management; Pay attention to performance, dynamic adjustment. The Ministry of Finance, together with the Ministry of Education, shall be responsible for approving the three-year expenditure plan and annual budget of the “Special guidance”, and shall supervise and guide the use and management of funds. “Guiding special projects” adopts the factor method for allocation. Allocation factors mainly include basic factors, quality factors and other factors, with quality factors, especially discipline level factors, as the main factors. Basic factors refer to the basic conditions of central universities in talent training, faculty, scientific research, etc. Quality factor refers to the achievements of central universities in discipline construction, scientific research and social service. Other factors refer to the characteristics of central universities, comprehensive reform, the use and management of funds, performance evaluation results, etc. In accordance with the relevant decisions and arrangements of the CPC Central Committee and the State Council on promoting the construction of world-class universities and first-class disciplines, the actual situation of central universities and relevant management reform requirements, the Ministry of Finance, together with the Ministry of Education, will timely improve the relevant distribution factors. “Guiding special projects” carries out project management. Central colleges and universities set up programs in five categories, namely, top-notch training of innovative talents, faculty building, improvement of independent innovation and social

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service capabilities, cultural inheritance and innovation, and international cooperation and exchange. Central university according to plan as a whole to promote the world first-class university and the first-class discipline construction of the relevant requirements as well as its own characteristics, combined with our world class universities and first-class discipline construction scheme and related reform and development planning, overall consideration “special guide” the central government for capital and other channels, such as establishing special “boot” project, and in accordance with the provisions of the management review and practice the rolling budget. Competent departments and the Ministry of Finance shall organize supervision, inspection and performance evaluation on the use and management of special funds, and the performance evaluation may take the form of third-party evaluation when necessary. The Ministry of Finance and competent authorities will take performance evaluation, such as budget implementation and management, as an important factor for fund allocation, and take corresponding measures to reduce or suspend the arrangement of special funds for central universities whose project budget implementation is slow or deviates greatly from the performance target (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

7.1.4 The Remuneration of Teachers Colleges and universities implement performance-based pay together with other public institutions. In 2011, The General Office of the State Council on the reform of public institutions supporting documents issued by the classification notice ([2011] no. 37), human resources social security, financial departments at all levels considering relevant factors, for approval of the government at the corresponding level and the departments directly under the institution’s performance salary amount, the author explores the different types of institutions with different measures for the management of the total performance salary. Local governments have reasonably determined the overall level of local performance-based pay, considering factors such as economic development, financial status, price and consumption levels, the average annual wage level of urban employees and the level of subsidies and subsidies for civil servants after they have standardized their work. Performance-based pay is managed at different levels, and local governments formulate specific implementation opinions within the framework of national policies in light of their actual conditions. 5 departments in 2017, the Ministry of Education, such as about deepening the higher education sector and to delegate the pipes combined with the several opinions of the reform of service optimization (teaching of politics and law [2017] no. 7) requirements, the human resources department of social security and finance for performance of the approved total payroll, give full consideration to the characteristics, focus on increasing demand for high-level talents major national strategic focus, service, and strive to cultivate top-notch innovative talents in colleges and universities

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incline. Colleges and universities independently determine the structure and distribution mode of the school’s performance-based salary according to the total number of archivists, the level of local economic development and the level of running the school. The distribution of performance-based pay should be tilted towards key posts, high-level talents, business backhands and staff with outstanding achievements. In the previous “985” and “211” projects, the construction strategy paid attention to the support of external funds, including the financial support of central and provincial governments. This is the tradition that “double first class” should continue to carry forward, which is also essential to ensure the expected achievements of “double first class” construction. As the main body of funds input, the government controls the allocation standards and rules of public institutions of higher learning and regulates the management mode and system of the use of public institutions of higher learning. Because the flow of funds is easy to control, this makes it an ideal policy tool for the government, according to Prof Zhou. The government can influence the behavior of universities by changing the conditions of funding, thus encouraging or discouraging certain activities of universities. When stimulus is properly applied, change is properly applied. Under the background of the construction of “double first-class”, the scale of special appropriation from the central finance expanded rapidly, and the government moderately relaxed the autonomy of colleges and universities in determining the way of funds of the school, took the simplification of funds management procedures as an important measure, and delegated more power to academic subjects (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). The “double first class” policy places more emphasis on performance and competition. First, we should change the current allocation mode of supporting the best and taking care of the poor and adopt the competitive mode instead of the qualitative mode for the fund allocation mechanism of key support. Allocate funds on the basis of performance, and conduct dynamic assessment and management after the allocation, linking the assessment results to subsequent financial input; We will give overall consideration to the inclusion of extrabudgetary special funds from the central finance into the budget allocation system for central universities. Second of all, the research should be based on the distribution of the academic standards of free competition, based on the quality of projects and research of researchers and a peer review process for competition, rather than on the reputation of the school and in view of the “985” “211” universities in particular identity block grants, giving equal competition opportunities in local colleges, and improve the efficiency of the use of scientific research funds. At the same time, Professor Hu Min believes that the government is faced with the problem of how to allocate the fixed amount of relatively scarce financial resources to various aspects effectively in the investment of higher education, that is, the efficiency of fiscal expenditure must be stressed. In the construction of “double top” under the condition of limited funding, still adhere to the differentiation of non-balanced development strategy, namely the centralized superior resources and preferential construction, efforts to build “single champion”, implement the key breakthrough, for short term, is clearly in the pursuit of “X—efficiency of fiscal expenditure, with the government established the financial resources of the pursuit of” first-class university “and” first-class disciplines the fastest best

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results, but also brings the problem of low efficiency of financial resource allocation. It leads to the lack of competition among colleges and universities and the collapse of the middle part of regional higher education. To further study the trend of government financial investment in the construction of “double first-class” and summarize the characteristics of financial investment in multi-dimension, more detailed financial investment data and university information are needed. To this end, the author obtained the affiliation and school category of the first-class university construction and the first-class discipline construction university through the “official information release platform” of the Social Examination Office of the Examination Center of the Ministry of Education and the official partner of the Education Development Center of the Ministry of Education “China Education Online” website (https://www.eol.cn/). Due to the Ministry of Education, Ministry of Finance, National Bureau of Statistics are not central special guide construction issued the “double top” specific distribution, i.e. not public universities and colleges in the central finance allocates funds to specific amount used in the construction of “double top”, this article from universities information public network, financial web site for the department budget in 2016–2020 in the “general public budget income” or “funding income” as the main analysis basis. “General public budget revenue” or “fiscal allocation revenue” refers to the financial funds allocated by the central finance to the Ministry of Education and its subordinate units through departmental budgets in the current year. According to the data collection, 112 of the 137 “double first-class” colleges and universities have been found to have their budget of financial allocation from 2016 to 2020 or some years among them, accounting for 81.8%. Among them, 34 are firstclass universities, accounting for 81.0% of the total. There are 78 universities building first-class disciplines, accounting for 82.1%, which are valuable as reference data for further analysis. Of Beijing university of aeronautics and astronautics, national university of defense technology, Beijing union medical college, university, Chinese Academy of Sciences, second military medical university, the fourth military medical university affiliated to the ministry, the people’s liberation army general logistics department and other special departments of colleges and universities undisclosed budget data, the other part of colleges and universities such as Chengdu university, Henan university of traditional Chinese medicine colleges and universities, due to choose the school public or for other reasons can’t collect specific data (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

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7.2 Financial Investment Analysis of Double First Universities 7.2.1 Horizontal Changes in the Financial Allocation for the Double First-Class Construction from 2016 to 2020 To discuss the horizontal change of financial allocation for the double first-class construction from 2016 to 2020, the author forms the above broken line chart based on the annual data of each school, and the vacancy is caused by the lack of data. In terms of the overall trend, according to the budget data of universities and colleges, the financial allocation for Shuang-first-class construction keeps increasing from 2016 to 2020, reaches the peak in 2019, and then decreases in 2020. The average annual growth rate from 2017 is respectively 119.00%, 110.20%, 113.38% and 96.72%. The current decline is directly related to the epidemic, but this is only a short-term phenomenon. I believe that the budget input for the two-first-class construction will continue to increase in the future. From the perspective of individual trends, the highest growth rate of fiscal revenue of a single university was 207.01% recorded by Qinghai University in 2019, that is, the fiscal revenue of Qinghai University in 2019 increased by 207.01% compared with the previous year. From the nearly five years the average growth rate of the top five universities of Qinghai university (comprehensive) respectively, Fuzhou university (science), Hainan university (comprehensive), Hunan normal university (normal) and Inner Mongolia university (comprehensive), the average growth rate of 136.41%, 131.23%, 130.73%, 130.38% and 128.46%, are first-class discipline construction in colleges and universities, first-class discipline construction number 1. Sun Yassin University (Comprehensive university), University of Science and Technology of China (Science and Technology), Huazhong University of Science and Technology (Science and Technology), Peking University (Comprehensive University) and Tsinghua University (comprehensive University) ranked in the top five universities with average growth rates, with 123.91%, 121.79%, 119.25%, 119.00% and 115.08%, respectively (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). The highest budget revenues from individual schools, two universities in Peking University and Tsinghua university in 2019 with 5.8331782 billion yuan and 5.4115549 billion yuan respectively for the past five years the first and second high fiscal budget allocations, the amount is associated with a higher growth rate are also associated with the number of first class discipline in absolute advantage, respectively corresponding to the number 41 and 34 first-class discipline construction, this is the first, second, more than the number of first class discipline construction. Zhejiang University, Wuhan University and Sichuan University are close behind the two universities with relatively high budget revenue. The specific budget revenue of Zhejiang University, Wuhan University and Sichuan University was also recorded in 2019, which were RMB 40,893,606,300 yuan, RMB 35,906,300 yuan and RMB

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352,707,600 yuan respectively, corresponding to the number of double first-class discipline construction in 15, 10 and 6, respectively. After these three universities of Huazhong university of science and technology in 2020 is 3.3682381 billion yuan (based on the general trend, the amount of 2019 should be higher than in 2020, but because has not access to the specific amount, thus reference data in 2020), and Fudan university and Shanghai Jiaotong university in 2019, respectively, 3.275614 billion yuan and 3.340143 billion yuan, respectively corresponding to the 8, 15, and 15 on the number of pairs of first-class discipline construction. Shanghai University, Wuhan University of Technology and Southwest University also have outstanding performance in the construction of first-class disciplines, with 2,469,744 million yuan in 2020, 2,227,831 million yuan in 2020 and 2,347,870 million yuan in 2019, respectively. The number of double first-class discipline construction is 1. From the school type, most of the above colleges and universities belong to comprehensive colleges and universities. To compare the difference of financial allocation budget between the two top universities in different regions, the author takes the provincial administrative region as the unit to process the average of the financial budget of each university and makes the regional hot spot map through data visualization software. From the heat map, it can be seen clearly and intuitively that the universities that have received more financial allocations during the construction of first-class universities and disciplines, that is, the brighter colors of the regions are generally higher in the east than in the west and concentrated in the first-tier and second-tier key cities such as Beijing, Shanghai, Wuhan and Guangzhou. According to the data analysis, the top four universities from 2016 to 2020 are Peking University, Tsinghua University, Zhejiang University and Wuhan University. The top four universities are Shanghai University, Southwest University, Wuhan University of Technology, and Beijing University of Technology. Except for Southwest University, which is located in Chongqing municipality directly under the Central Government, all the other universities are in the first-tier cities. Among the comprehensive colleges and universities, northwest University, Liaoning University, Yanbian University, Xinjiang University and other colleges and universities located in the relatively underdeveloped northwest and northeast regions receive the lowest financial allocation. Among them, the Beijing municipal colleges and universities to obtain funding an average of 1.52193 billion yuan, an average of 1.40581 billion yuan in Shanghai (including Shanghai music college, Shanghai sports institute and other special type university funding income of less than 400 million yuan, the average effect), and the average of the xinjiang uygur autonomous region is only 617.76 million yuan, if single colleges and universities, the gap is bigger (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). Analysis of double first-class construction, the causes of differences in funding budget is from aspects of regional economic development perspective, on the one hand, the preference of state funding supply advantages, strong comprehensive strength, first-class disciplines number of colleges and universities, the colleges and universities is concentrated in the eastern developed areas and cities, expand regional differences. On the other hand, due to the differences in social and economic development levels between different regions, it is difficult to raise educational costs in

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backward regions, which results in a gap between the actual demand and effective supply of educational resources, such as funds, in colleges and universities.

7.2.2 The Difference of Financial Allocation Budget Between the Double First-Class Universities of Different Types In double type to determine aspects of first-class universities, the author adopts the comprehensive, forestry, science and technology and the arts, normal, and economics, political science and law, medicine, national class, sports and the classified methods of language classes, etc., and on the basis of the comprehensive of double amount of funding budget first-class universities, the number of first-class discipline construction such as the compound is formed, by analysis. In terms of the number of doublefirst-class universities included in each type, among the remaining 112 universities with no data deleted, the number of comprehensive and science and engineering universities occupies the absolute dominant position, with 43 and 29 respectively. Of comprehensive school mostly first-class university construction in colleges and universities, and first-class discipline construction number has 11 in more than 10, nearly half of the comprehensive school funding budget amount is higher than other schools, such as Beijing university, Tsinghua university, Zhejiang university, Wuhan university, Sichuan university, etc. In terms of the number of funding budget far ahead, but the same type of funding budget gap is larger, there are some schools such as Liaoning university budget income is low, half of the comprehensive school budget income over 1.5 billion yuan. And class in the school of science and technology also has nearly a third of the colleges to build first-class university, China university of science and technology, Huazhong university of science and technology, Tonja university and Beijing university of technology have 11, 8, 7, and 7 respectively the first-class discipline construction quantity, also have a higher budget, nearly half of the class of the school budget income over 1.5 billion yuan. In addition to comprehensive and science and engineering, the number of double first-class construction schools in art, medicine, normal school, agriculture, forestry and finance is roughly equal, ranging from 5 to 8. Among them, the budget revenue of normal university, agriculture and forestry is relatively high. The fiscal revenue of Beijing Normal University, East China Normal University, Central China Normal University and Capital Normal University in normal university and northwest A&F University in agriculture and forestry is more than 150 million yuan. This two kinds of schools also performed well, the number of first-class construction of disciplines in the normal class in Beijing normal university, northeast normal university, east China normal university and huazhong normal university respectively corresponding to 11, 6, 3 and 2 number of first-class construction disciplines, agriculture, forestry and the China agricultural university, huazhong agricultural university, Beijing forestry university, northeast forestry university and nanjing agricultural university respectively corresponding to 9, 5, 2, 2, and 2 on the number of first-class construction

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disciplines. On the other hand, although there are a large number of art and medicine schools, the budget revenue of individual schools is relatively small, most of which are lower than those of finance and economics schools. Moreover, none of these three schools has a budget revenue of 150 million yuan. Among the schools with budget revenue data, the number of schools in politics and law, language and sports is 1 to 2. The budget revenue of a single school is small, all less than 100,000 yuan, and the number of first-class disciplines is 1.

7.2.3 The Relationship Between the Number of the Double First-Class Disciplines and Budgetary Revenue Finally, the author USES the number of first-class disciplines as a clue to tease out the relationship between the number of first-class disciplines and financial budget income. From the overall trend, the number of first-class discipline construction in colleges and universities changes roughly in the same trend as the amount of financial budget revenue, that is, the more first-class discipline construction, the higher financial budget revenue. Among them, the first-class discipline construction quantity of comprehensive budget income, especially in university, such as Peking University and Tsinghua university respectively corresponding to the number 41 and 34 firstclass discipline construction as well as the 5.8331782 billion yuan and 5.4115549 billion yuan in nearly five years a single college first, second, high budget income, and the income is still growing at high speed. This kind of superiority concentration phenomenon is particularly obvious in the schools integrating the construction of first-class universities, comprehensive or science and engineering universities and the number of first-class disciplines. In order to further compare the gap of concentration of advantages, the data collected from 112 colleges and universities are ranked according to the number of first-class discipline construction. The top three schools in the number of first-class discipline construction are all comprehensive schools. Meanwhile, as the average number of first-class disciplines is 3.67, among the 27 schools with 4 or more first-class disciplines, 16 are comprehensive schools, 7 are science and technology schools, 2 are normal schools, and 2 are agriculture and forestry schools. The remaining 85 universities have between one and three firstclass disciplines, and most universities have only one first-class discipline. There is also a big gap in the number of top-notch subjects distributed among different types of schools. General trend and relatively, the lower part of the number of first class discipline of colleges and universities also have higher budget income, such as capital normal university, Shanghai university, Wuhan polytechnic university and southwest university were only one first-class discipline, but the budget income reached 2 billion yuan, its type also between comprehensive, institute of class and normal class, and the above summary of various types of colleges and universities budget investment trends. In addition, there is also a big gap between the universities with

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the same number of first-class disciplines. Just as there are two first-class disciplines, the budget revenue gap between Shandong University and Shanghai University of Traditional Chinese Medicine is about 250 million yuan. To some extent, the above situation is affected by the selection of key disciplines and the institutional system of “985 Project” and “211 Project” (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

7.3 Problems on Financial Investment of Double First-Class Universities 7.3.1 The Scale and Efficiency of Financial Input The problem of financial scale is the key problem that the state strategically coordinates the development of colleges and universities from the macroscopic Angle. Based on the data in the third part, it can be seen from the general trend that the financial budget input of colleges and universities after the construction of the double top universities has been increasing from 2016 to 2020, and the budget of many comprehensive colleges and universities has increased rapidly. For example, the financial budget revenue of Peking University and Tsinghua University has even doubled, showing an obvious growth rate. However, in contrast, the financial investment scale of some first-class discipline construction colleges and universities changes little, and the fiscal revenue and dividend brought by the double first-class policy is small. The benefit of financial input is the performance of financial utilization efficiency. The paper summarizes the characteristics of universities with high level of discipline investment and school investment and shows the practicability and utilitarian orientation of university fund investment. Under the trend of the continuous expansion of the total scale of financial investment, some scholars believe that faced with the huge concentration of government funds, colleges and universities have changed from the “panic” of insufficient funds in the past to the “panic” of insufficient funds in the present. Financial input has boosted the introduction of high-level talents, but there is a general tendency of “emphasizing the introduction, neglecting the training” and other problems. From the perspective of benefits, under the guidance of short-term and measurable evaluation indicators, colleges and universities are still unable to systematically coordinate all forces within the university, and there is a huge gap in the ratio of resources within the university. However, the practice of putting more emphasis on project application, paper publication and achievement transformation than teaching has not been solved, and the development of colleges and universities is subject to external evaluation and utilitarian orientation (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

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7.3.2 Geographical Distribution of Financial Input Higher education in the west is related to national stability, social and economic development, ethnic unity, multi-cultural integration and other major strategies and core interests. The practice shows that the prosperity of western higher education cannot be separated from the strong support of the state, and the policy advantage is the key factor for western higher education to get rid of the backward situation and overcome the unfavorable conditions. Therefore, in promoting the construction of “double first class”, the country should improve the “double first class” financial investment planning for western universities from the strategic height, and appropriately tilt the funds allocation to the less developed areas. This is not only a reflection and deepening of the current efficiency-first higher education policy, but also a realistic choice to solve the problem of the imbalance of educational funds between eastern and western highlevel universities, which restricts the construction of “double first-class” universities in western China. At present, there is a big gap between the “double first-class” construction funds of colleges and universities in the west and other economically underdeveloped areas and those in the east and first-tier cities, which puts the former in an unfavorable situation in terms of construction of advantageous disciplines and improvement of teaching and scientific research level. However, the construction of first-class universities with a large amount of funds is often used to support the weak disciplines, emerging disciplines, and increase the number of majors on campus, etc., and the marginal effect of funds remains to be considered. From the perspective of policy continuity, the development of the double firstclass construction policy is the result of integrating the former first-class university construction tendency of “project 985” and the first-class discipline construction tendency of “Project 211”, which gives consideration to fairness. Therefore, in the spirit of the policy, it reflects the characteristics of concentrating advantageous resources on first-class universities and disciplines. Previously, the imbalance of China’s higher education system was prominent. In contrast to the preferential support given to a small number of universities, the middle and lower levels of the higher education system are underfunded, and the quality of student cultivation is poor. In addition, there is still a big gap in the proportion of resources between the two first-class universities, which is not only related to the number and types of disciplines, but also related to the comprehensive teaching, scientific research and social service ability of the universities. In the current resource allocation, from the perspective of discipline types, comprehensive colleges and universities generally have a large number of disciplines and a rich variety. Some colleges and universities even have the characteristics of a large number of first-class disciplines, which gives such colleges and universities a natural advantage in the process of obtaining financial investment. From the school type, resource advantage, focus on comprehensive and polytechnic universities comprehensive university in the capital ratio of absolute advantage prominent, admits, normal and agriculture and forestry science technology of some universities revenue budget is good, but for nearly half into the double of the

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construction of first-class universities, despite having first-class discipline, subject to regional types, and other factors, brought by the double top dividend did not open the door to her.

7.3.3 Differences in Financial Input Between Subordinate Units The government is still the main body of higher education, in terms of funds as the construction of “double top” provincial colleges and universities and affiliated colleges and universities, there is a big gap due to financial investment imbalance, discipline construction into huge gap, China in funding, postgraduate education in provincial colleges and universities, scientific research projects, etc. are in obvious disadvantage. In addition, the central finance has set up special projects such as “repair and purchase funds”, and the debts of the affiliated universities of the central government will also be repaid by the central finance, while the provincial universities, lacking relevant fund support, can only squeeze out funds from the local government allocation and limited business income, which are also restricted by the economic development of the region where they are located (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018). Financial input of provincial colleges and universities can make the difference distribution of scientific research funds, talent introduction, students are at a disadvantage, such as subordinate colleges and universities because of its generous treatment, strong academic atmosphere, etc. It is easier to introduce high-level personnel, and local colleges and universities due to problems such as the hardware conditions are difficult to recruit the right talent, even temporarily recruit, also easy because cannot provide adequate treatment and loss, let alone a high-level talent. In addition, the development opportunities that local colleges and universities can provide to teachers are also limited. For example, many colleges and universities affiliated to ministries and commissions have overseas training or exchange programs for teachers, while local colleges and universities have few or no similar opportunities due to problems such as funds.

7.3.4 School Level Solidification of Financial Investment Benefiting from the previous “985 Project” and “211 Project”, the construction of first-class universities has basically continued the previous pattern of universities while taking into account the regional distribution, while the construction of firstclass disciplines also has fixed interest groups, and the hierarchy and identity barriers between universities and colleges have been constantly consolidated. In this basically stable state of the school level, the competition between colleges and universities

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becomes the competition and competition among the schools of the same level. Excellent teachers in the same level of schools constantly wander along with their salaries. From the perspective of talent funds, this undoubtedly gives rise to the high salary “monopoly” group in the academic circle. At the same time, the decrease of mobility between different levels of colleges and universities is not conducive to stimulating the vitality of colleges and universities, nor is it conducive to the popularization of higher education and the guarantee of educational equity.

7.4 Suggestions on the Financial Investment of the Double First-Class Universities 7.4.1 Steadily Promote the Double First-Class Universities and Give Consideration to Both the Scale of Financial Investment and Benefits In the process of promoting the construction of double first class, the state should allocate resources steadily and steadily according to the actual situation of university development. Shall publish relevant administrative policies and regulations at the same time, to guide and lead the specification in colleges and universities internal financial allocation, to coordinate each department resources, development advantages of discipline, to two or more things weak discipline, also attaches great importance to the transformation of scientific research and achievements, also attaches great importance to the teaching and personnel training, emphasizing both shortterm projects with quick results also attaches importance to the study of the theory of the need to dig for a long time, constantly expand the scale of fiscal investment both benefit.

7.4.2 Financial Input Should Be Appropriately Tilted to the West to Establish a Scientific Performance System The government should actively create a favorable policy environment for the development of higher education in western China, especially for the development of “double first-class” key universities. The central government should give more support to the development of educational resources in the west. The central government’s support for the development of educational resources in western China is mainly from two aspects of funds and policies, which are inclined to some extent. We will continue to use World Bank loans and donations from international organizations to support the western region and improve school conditions.

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The government needs to scientifically regulate and control the policy planning of financial input, accurately calculate the allocated educational funds, sort and evaluate the output ratio of each school’s funds, and break the hierarchical allocation model. To establish a set of perfect performance evaluation system, encourage before enter the 985, 211 engineering, especially the new construction of “double top”, is located in the economic competition in colleges and universities in less developed areas, considering the service efficiency of funds and academic level speed, will be linked to the appropriation, stimulating mode reform and development in colleges and universities, increase output, let more “double top” colleges and universities have the opportunity to participate in the distribution of financial allocation “cake”.

7.4.3 The Combination of Strength Concentration and Priority Concerns Slows the Gradient of Resource Allocation Gradient is necessary to slow the allocation of resources, in the national guarantee for first-class universities and first-class disciplines concerned at the same time, considering the ability of social resources to learn properly into the economy of underdeveloped regions in colleges and universities and colleges and universities by the single source of funds to be extra subsidies, increase its fiscal budget investment, consider fair question, drive the relative disadvantage position in high level in colleges and universities and the development of colleges and universities. In terms of resource allocation, we should comprehensively consider the number and types of first-class disciplines as well as the actual needs of teaching and scientific research, enrich the consideration indicators of resource allocation, and promote high-level universities to give play to their respective advantages and walk out of their own school-running characteristics based on efficiency priority. At the same time, the management procedure of funds should be simplified, more power should be delegated to academic subjects, and the use efficiency of funds should be improved.

7.4.4 Provide Peer Support to Provincial Universities and Set up Local Special Funds Provincial universities should also strive for the support of the ministry of Education, The Ministry of Finance, the Ministry of Science and Technology and other directly affiliated institutions and strive for the reform of the higher education funds allocation system. Combined with the local economy and strength, higher education and scientific research with local characteristics, using the local government competitive employment policy, high-level personnel of higher education will produce a large number of into the corresponding local government authorities and economic entities,

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ultimately serve the local economic construction, and the central role of higher education in regional economic development is more outstanding, form a virtuous circle. In addition to supporting the discipline construction of provincial colleges and universities with reference to the discipline suggestion standard of the ministry, provincial finance will increase its input, especially vigorously supporting the characteristic disciplines, advantageous disciplines, emerging disciplines and disciplines closely related to the local economic and social development of provincial colleges and universities. In addition, the provincial education department, financial department may establish provincial colleges and universities for joint research, infrastructure, students develop special funds of the business, such as provincial colleges and universities education financial input to the tilt and key support, in case of special funds to subordinate the repeated investment, further strengthen the unbalanced development of provincial colleges and universities and affiliated universities, the result is bad “Matthew effect”. At the same time, for these provincial key colleges and universities, they may consider absorbing some social capital, but they are still dominated by the state. They should not only increase the proportion of the financial allocation in the educational investment, but also strengthen the government’s overall planning for running schools and encourage social forces to invest in higher education in western China. Efforts should be made to form a multi-channel and diversified investment mechanism for higher education that combines government input with social input (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

7.4.5 Improve the Performance Evaluation Mechanism and Break the Identity Barrier In order to promote the further development of double top, should be the continuation of the push forward the world first-class university and the first-class discipline construction measures for its implementation (provisional) “to every five years to a construction period to carry on the review and assessment measures, eliminated competition with disciplines and exit circulation mechanism booster, the first-class discipline construction and development in colleges and universities to alleviate firstclass disciplines curing conditions of certification and competitions. At the same time, in addition to self-reporting by universities and external evaluation by relevant government departments, performance evaluation can also introduce more stakeholder groups, such as teaching quality and student satisfaction, and evaluation by industry personnel, etc., for comprehensive consideration. In addition, while guiding colleges and universities to respond positively to evaluation, the competition within colleges and universities caused by ranking should be minimized, and classified ranking should be used instead of school-by-school ranking. Should be clear at the same time, the development of colleges and universities should not close to the index and enhance the level of some factors, such as one-sided pursuit of such as post evaluation factors such as quantity, the ratio between teachers and students,

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and should earnestly do a good job in teaching, scientific research and talent team construction work, etc. The actual content developed several real-world first-class universities, better service to the state and society (Zhou 2020; Li et al. 2018; Hu 2017a, b; Chen and Li 2018).

References Chen P, Li W (2018) Challenges and policy supply of western higher education under the background of “double first-class” construction. Educ Res 18, 39(011):91–98 Hu M (2017a) Local practice dilemma and improvement of “double first-class” construction financial control. J South China Normal Univ (soc Sci Edn) 17(04):74–79 Hu M (2017b) Local practice dilemma and improvement of “double first-class” construction financial control. J South China Normal Univ Soc Sci Edn 17(4):11–18 Li B, Peng X, Ding Y (2018) Synergetic development between ministries and local universities under the background of “double first-class”—from the perspective of policy research. Contemp Educ Sci 20(001):27–32 Zhou G (2020) Fund allocation model and university strategic choice: an economic explanation of the convergence of Chinese universities. Res Higher Educ China 23(1):34–35

Chapter 8

The Internationalization of Creating World-Class Universities in China

This chapter concentrates on exploring the internationalization of higher education to build double first-class university. The internationalization of higher education refers to the mutual learning, penetration and docking of higher education among countries and regions in the world. It not only includes the two-way or multi-directional flow of international students, but also reflects the communication, convergence, and integration of higher education in different countries and regions in terms of school-running philosophy, functional setting, operation mechanism, management mode, teaching content and methods, as well as the sharing of teaching resources. In short, it is the development process and general trend of a country’s higher education towards the international arena. The introduction, the internationalization policy of universities at the national level, policy analysis, limitations exist in the applicability of internationalization policies, and internationalization strategy of world-class universities have been explored in this chapter.

8.1 The Internationalization Policy of Double First-Class Universities at the National Level In the era of globalization, the integration of political, economic, cultural, and other factors forms a driving mechanism, promotes the internationalization of higher education, and promotes the optimal allocation of educational resources in various countries. Chinese universities to implement internationalization is by the historical experience of China’s higher education development and university management mode innovation is determined by demand in the new period, Chinese universities need international development road, as a leader in the Chinese universities “double top” internationalization of the university of work should be other Chinese universities, the implementation of international standard.

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_8

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8.1.1 Specific Contents of the Policy Text of Internationalization Policy of Double First-Class Universities at the National Level Notice of the Overall Plan for Promoting the Construction of World-class Universities and First-class Disciplines (2015): The Circular on the overall plan of promoting the construction of first-class universities and disciplines issued by the State Council points out five reform tasks for the construction of double-first-class universities, namely strengthening and improving the party’s leadership over universities; Improve the internal governance structure; Achieve breakthroughs in key links; Constructing social participation mechanism; Promoting international exchanges and cooperation. It is important to note that the file is to promote international exchanges and cooperation tasks done some explanation, and some global high-end university and some excellent educational organization, communication and cooperation, the high-quality education resources to other countries, and combined with the actual condition of education development in our country to carry on the reasonable use, effectively talent exchange, and scientific communication. We will further strengthen international exchanges, cooperation and innovation, and actively participate in some scientific research. To create a better international education and scientific research atmosphere will attract more excellent overseas students and teachers. At the same time, it takes the initiative to participate in the process of making international education rules and evaluating international education teaching, to further promote the development of China’s higher education and enhance its influence in the world. Promoting international exchanges and cooperation. We will strengthen substantive cooperation with world-class universities and academic institutions, effectively integrate high-quality foreign educational resources into the whole process of teaching and research and carry out joint training of high-level talents and joint scientific research. Strengthen international collaborative innovation, and actively participate in or take the lead in organizing major international and regional scientific programs and projects. To create a good international teaching and research environment, enhance the attractiveness of outstanding foreign teachers and highlevel students. To actively participate in the formulation of international education rules, evaluation and certification of international education and teaching, effectively improve the international competitiveness and discourse power of China’s higher education and establish a good brand and image of Chinese universities. Notice on Guiding Opinions on Accelerating the Construction of “Double Firstclass” in Institutions of Higher Learning (2018) Deepening international cooperation and exchanges. We will vigorously promote high-level substantive international cooperation and exchanges, and become a participant, facilitator and leader in the reform of higher education in the world. Strengthen substantive academic exchanges and research cooperation with foreign high-level universities and top research institutions and establish joint laboratories and research

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centers for international cooperation. We will promote mutual learning between Chinese and foreign models of quality education, innovate the system and mechanism of jointly running schools, and increase the exchange of visiting scholars and students between schools. Guided by the Belt and Road Initiative, we will intensify the training of bilingual or multilingual international professionals. Further improve the international student recruitment, training, management, service system, constantly optimize the source structure, improve the quality of students. Actively participate in the co-construction of “One Belt and One Road” educational action and Sino-foreign cultural and people-to-people exchange programs, and further play the main role in the construction of Confucius institutes. The excellent students, young teachers, academic leaders to exchange high-level university, institution of visiting foreign countries, actively promote outstanding graduate students traveled abroad, its outstanding graduates to support as the international practice, we recommend college talents in international organizations, academic institutions, international journal for a part-time job (Ying et al. 2014; Song 2013; Liu and Kang 2012; Zhu and Zhang 2017; Qu 2015; Li and Liu 2006). Opinions on Doing a Good Job in Opening Up Education in the New Era (2016). “Opinion”, stressed that to fully implement the party’s eighteen big eighteen class 3, 4, and fifth plenary session of the spirit, with Deng Xiaoping theory and “three represents” important thought, the concept of scientific development as guidance, further implement the general secretary xi series of important speech spirit, adhere to the “four” comprehensive strategic layout, fully implement the party’s education policy, for the purpose of service of the party and the nation’s overall work, overall domestic and international two overall situation, the development of both security events and adhere to the open still wider to the outside world, and stronger Chinese education, to promote cultural exchanges, constantly improving the quality of education in our country, the national soft power and international influence, This will provide strong support for the realization of the “Two Centenary Goals” and the Chinese dream of national rejuvenation. The Guidelines call for adhering to the working principles of “focusing on the center and serving the overall interests, giving priority to and accommodating others, enhancing the level of development, enhancing the connotation of development, and ensuring security through equal cooperation.” Work goal is: to 2020, our country go abroad to study basic sound service system, significantly improve the students quality, foreign educational efficiency improved significantly, bilateral multilateral education effectively expand the breadth and depth of cooperation, participation in international rule-making capacity improved education field, education level of standardization and legalization of opening to the outside world has improved significantly, and better meet the demand of the people diversification, high quality education, better services for economic and social development of the country. “Opinions” to do a good job in the new era of education to the outside world has been a key deployment… “Opinions” put forward, to vigorously enhance the level of education opening to the outside world governance… The Opinions call for strengthening the organization and leadership of the work of opening education to the outside world.

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Notice of the General Office of the Ministry of Education on The Investigation of The Internationalization of Higher Education in China (2016): It is an important measure to do a good job in the opening up of education in the new era and to improve the internationalization of higher education. Through the annual survey, the evaluation index system and development information database of higher education internationalization in China are established. Through the analysis of the survey data, the annual report on the development of higher education internationalization will be formed, which will provide useful reference for the further opening up of education in the new era. The respondents included institutions of higher learning directly under the Ministry of Education, institutions of higher learning affiliated to other ministries and commissions, and local institutions of higher learning (including full-time universities, independently established colleges and colleges, and higher vocational schools). Opinions of the Ministry of Education and other Eight Departments on Accelerating and Expanding the Opening up of Education in the New Era (2020): “Education opening to the outside world is the distinctive feature and important driving force of education modernization. We should unswervingly open up education to the outside world, and take the initiative to strengthen mutual learning, inclusiveness and interaction with other countries, so as to make education open up to the outside world in a more comprehensive, wide-ranging, multi-tiered and proactive manner.“ Said the head of the international division of the Ministry of Education. In order to “study abroad” without going abroad, China has introduced a number of high-quality overseas educational resources through Chinese-foreign cooperation in running schools over the past period. At present, there are nearly 2,300 Chinese-foreign cooperatively run schools and projects at all levels approved and put on record by the Ministry of Education, of which nearly 1,200 are at or above the undergraduate level. In the field of higher education, we will support colleges and universities to strengthen cooperation with world-class universities and academic institutions, improve the evaluation index of opening to the outside world of colleges and universities, and grant “double first-class” construction colleges and universities with certain foreign affairs approval power. In the field of vocational education, policy breakthroughs will be made in drawing lessons from the “dual system” and other modes of running schools and introducing high-quality vocational education resources from abroad. Qualified domestic vocational colleges and enterprises will be encouraged to join hands in international production capacity cooperation and start to build “One Belt and One Road” international skills competition and other brand competitions. In the field of basic education, international understanding education will be strengthened in primary and secondary schools, to help students build a sense of a community with a Shared future for mankind, and to cultivate young people in the new era who are well developed morally, intellectually, physically, aesthetically, and intellectually. “Enhancing International Influence through Deepening Exchanges and Cooperation in Building a Community with a Shared Future for Mankind”—Fourth in a series of achievements in Building First-class Universities and Disciplines (2019): In 2018, the “double top” construction in colleges and universities with Chinese

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characteristics, a world-class as the core, insist on facing the national major strategic needs and the frontier science and technology, active service to build “area” education action, strengthening international collaborative innovation, attracting overseas high-quality teachers, create a good teaching environment, continuously improve the quality of construction, social contribution and international influence (Ying et al. 2014; Song 2013; Liu and Kang 2012; Zhu and Zhang 2017; Qu 2015; Li and Liu 2006).

8.1.2 Policy Analysis of the Internationalization Policy of Double First-Class Universities at the National Level The internationalization of higher education has attracted more and more attention and is becoming a very challenging issue. From the perspective of the historical changes of China’s higher education development, the policy support system plays an extremely important role and is closely related to the internationalization of China’s higher education. The theory and practice of higher education internationalization not only affect policy formulation, but also cannot be independent of policy guidance. In particular, the promulgation of educational policy texts at the national level has a guiding role that cannot be ignored for the specific regulations, theoretical exploration, and practical operation of higher education internationalization. To promote the internationalization of Chinese higher education to develop better and faster, it is necessary to strengthen the understanding and effective implementation of relevant policies under the background of national macro policies. In the process of internationalization of higher education, the national level is very powerful. The central government, through the national Conference on education and various policies and regulations, arranges and guides the development direction of internationalization of higher education in China. Education itself is a process of construction and accumulation. Therefore, the internationalization strategy is a long and arduous process, which needs the guidance and support of the country through policy tools, and the basic conditions and historical background also make the policy formulation and implementation must strengthen its effectiveness. At the same time, cannot be ignored is that with the advancement of higher education internationalization theory and practice, in the process of internationalization of higher education in China go abroad to study how to build up a talent introduction mechanism, how to improve the quality of education for international students, the level and the level, how to explore the common laws of Chinese-foreign cooperation in running schools, such as how to strengthen the academic cooperation and exchanges with the world, all need to make corresponding policy design and system arrangement. Through the analysis of the above policy texts, we can clearly feel that the relevant policies and regulations on the internationalization of higher education not only pay attention to the macro coordination, but also consider the micro-operation. This is reflected not only in the rising trend of the number of words in the text, but also in the relevant provisions are

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more specific, profound, and operable. Since the Outline of The National Medium— and Long-term Plan for Education Reform and Development (2010–2020) clearly states that “Education should be more open, international exchanges and cooperation should be strengthened, and the level of education internationalization in China should be improved”, every document on higher education internationalization in recent years has been infused with new understanding from the practice of higher education internationalization. In terms of policy expression, later policy texts paid more attention to the combination of macro coordination and micro mode. For example, in the macro aspect, “Opinions of the Ministry of Education and other eight Departments on Accelerating and Expanding the Opening up of Education in the New Era” proposed that “the opening up of education to the outside world is the distinctive feature and important driving force of education modernization. We should unswervingly open up education to the outside world, and take the initiative to strengthen mutual learning, inclusiveness and interaction with other countries, to make education open up to the outside world in a more comprehensive, wide-ranging, multi-tiered and proactive manner.” At the micro aspect, makes every effort to include the most comprehensive, the latest practice patterns, such as push forward the world first-class university and the firstclass discipline construction overall plan to promote international exchanges and cooperation in the notice of task made some explanation, including and some world top university and some excellent educational organization, exchanges and cooperation, the high quality education resources to other countries, and combined with the actual condition of education development in our country to carry on the reasonable use, effectively talent exchange, and scientific communication. We will further strengthen international exchanges, cooperation, and innovation, and actively participate in some scientific research. To create a better international education and scientific research atmosphere will attract more excellent overseas students and teachers. At the same time, it takes the initiative to participate in the process of making international education rules and evaluating international education teaching, to further promote the development of China’s higher education and enhance the influence of higher education in the world. It not only ensures the development direction of higher education internationalization, but also continuously improves the connotation of higher education internationalization and further improves the operability and effectiveness of policies in guiding practice (Ying et al. 2014; Song 2013; Liu and Kang 2012; Zhu and Zhang 2017; Qu 2015; Li and Liu 2006).

8.2 Problems in the Applicability of Internationalization Policies of Double First-Class Universities There are some limitations in the applicability of China’s macro-level higher education internationalization policy. Although the internationalization of China’s higher

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education has achieved some results, overall, its level of internationalization is still not high.

8.2.1 Many Chinese Universities Fail to Consider Their Own Specific Conditions And internationalization of higher education policy in China although considered studying abroad, study abroad in China, the Chinese and foreign cooperation and international cooperation and exchanges, etc., but its policy cannot refine considering China regional geographical differences and characteristics of each region can’t completely according to the national macro policy of higher education internationalization to develop specific work. These problems have affected the internationalization of higher education in China to some extent. For example, it is mentioned in the Notice of the Overall Plan for Promoting the Construction of World-class Universities and First-class disciplines that a good international teaching and research environment should be created to enhance the attraction of excellent foreign teachers and high-level foreign students. Take an active part in international education rulemaking, international education teaching assessment and certification… Although similar textual expressions point out some common paths and goals of internationalization of colleges and universities, there is still a relative lack of operational definitions. For example, what kind of teaching and research environment is a good international teaching and research environment? What kind of behavior can be defined as participation in international educational rulemaking? In 2016, general offices of the CPC central committee and the state council issued several opinions on doing a good job in opening up education in the new era, and the ministry of education issued the One Belt and One Road education initiative, proposing joint actions by countries along the belt and road. “One Belt and One Road” strategy is an important strategic conception to further improve the level of China’s opening to the outside world, and also provides a great strategic opportunity to further promote the internationalization of China’s higher education, deepen the comprehensive reform in the field of higher education, and improve the quality of education. State-to-state relations are based on amity between the people, and amity between the people promotes success. International education, cultural and academic exchanges are an important means of China’s public diplomacy, and an important strategic measure to spread China’s voice, gather China’s spirit, publicize China’s path and pool China’s strength to the world. To carry out international educational and academic exchanges and promote mutual understanding, mutual trust and joint cooperation among citizens of countries along the Belt and Road has become an important mechanism for tackling global issues such as resources, environment and ecology facing mankind in the future. As mentioned in the opinions of the ministry of education and other eight departments on accelerating and expanding the opening up of education in the new era, “we started to build brand competitions such as

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the” One Belt and One Road “international skills competition”. The guidance on speeding up the construction of “double first-class” in colleges and universities has a more detailed description: “with the” One Belt and One Road “initiative as the lead, to increase the bilingual or multilingual international professional training efforts. Further improve the international student recruitment, training, management, service system, constantly optimize the source structure, improve the quality of students. Take an active part in co-building the One Belt and One Road education campaign and the Sino-foreign cultural exchange program…” These policy texts and expressions all indicate that One Belt and One Road strategy, to a certain extent, clarifies the goal and indicates the path for the internationalization development of colleges and universities (Ying et al. 2014; Song 2013; Liu and Kang 2012; Zhu and Zhang 2017; Qu 2015; Li and Liu 2006). From the establishment of Peking University in 1898, the orientation of learning from the West and establishing the modern higher education system to the establishment of a world-class university, the internationalization of Chinese higher education has never stopped for more than 100 years. Much starker choices-and graver consequences-in planning in China as well as the national medium and long-term education reform and development plan outline (2010–2020), under the guidance of Tianjin university, Tsinghua university, Shanghai Jiaotong university, many colleges and universities will be internationalized strategy into the schools “much starker choices-and graver consequences-in” development strategy plan, become part of the university overall development goals. During much starker choices-and graver consequences-in since then, most of today’s internationalization of world firstclass universities will be included in the school much starker choices-and graver consequences-in planning, not only that, some schools still have the special opening strategy, such as Hunan university of the Hunan university education in the new period open planning and northwest agriculture and forestry university of science and technology of the northwest agriculture and forestry university of science and technology education in the new period open to the public plan. After analyzing the text of nationalization strategy of world-class universities, the author summarizes the following characteristics: The goal of internationalization development is relatively clear. Whether viewed from the content of the university’s 13th Five-Year Plan or from the independent text of internationalization strategy, the content of the university’s policy text analyzed in this study all involves the development goal of internationalization. First of all, more than half of all college directly put forward the international development goals, although these development goals and focus on the expression of different, but all revolve around the construction international, world class or a high level of world-famous university, such as Beijing university of the university internationalization demonstration school plan management interim measures “puts forward the main task of the” push “goal is to create a world-class university. And Lanzhou university’s construction and development planning “, “much starker choices-and graver consequences-in” shows its internationalization development overall goals for the school continued ascent international influence, in particular, is divided into

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“international talent cultivating outstanding features, international teachers gradually formed, expanding international research collaboration, upholding innovation ability strengthens gradually”, such as specific objectives (Ying et al. 2014; Song 2013; Liu and Kang 2012; Zhu and Zhang 2017; Qu 2015; Li and Liu 2006). And some universities have set an international goal of talent training. In the development plan of the school, the orientation of internationalization development goal is clearer. In the development planning of universities, there are separate chapters to discuss internationalization development goals, indicators, development approaches and other contents. In addition, in the talent training, scientific research and academic, discipline development, team construction and other aspects of the planning are also integrated into the consciousness of internationalization. In carrying out the work in these aspects, the university takes the internationalization goal, standard and action as the main direction, to enhance the overall internationalization level and international competitiveness of the university. The reason why the international development goal positioning of China’s worldclass universities is relatively clear is not only from the national policy level, but also from the consideration of their own development. First of all, from the perspective of national policy, the goal of the construction of world-class universities includes the construction of a number of internationally renowned high-level universities. This goal determines that the development goal of the universities entering the ranks of “world-class universities” is not limited to the reputation and status at home. Internationalization is not only one of the important indicators of world-class universities, but also an important means to achieve this goal. Secondly, from the perspective of schools, with the development of economic globalization and internationalization of higher education, competition and cooperation among universities have gone beyond the boundary of countries. To develop and strengthen themselves in international competition and cooperation, universities must take the road of internationalization.

8.2.2 There Are Various Forms of Internationalization Development, but Some Deficiencies Still Exist in Some Respects Both from the university much starker choices-and graver consequences-in planning content, and from various universities independent international strategy text, the internationalization of world first-class universities in our country form in concept and practice of two dimensions have revealed a diversity of characteristics, dimensions in the concept, development strategy, ability training, cultural exchange, the concept of consciousness and so on several aspects; In the practical dimension, it involves personnel training, scientific research, disciplines, teams, systems and mechanisms, cooperation and exchange, and other aspects. For example, Fudan University’s “13th Five-Year” Development Plan explains several development paths, such as constructing the general pattern of foreign affairs, improving the level of

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international teaching and research cooperation, serving humanistic diplomacy, and enhancing international influence. However, by examining the specific content of the concept and practice of internationalization of world-class universities in China, it is not difficult to find that there are also some problems and deficiencies in the process of promoting internationalization of world-class universities in China:

8.3 Suggestions of Internationalization Development of Double First-Class Universities in China 8.3.1 The Development of Internationalization of First-Class Universities Should Emphasize Global and International Vision Rather Than International Competitiveness For example, the data show that in the national development plans of world-class universities, at least 8 universities mention the cultivation of talents with global or international vision, and only 1 university explicitly proposes the improvement of students’ international competitiveness in the personnel training objectives. In the “13th Five-Year Plan” policy text of world-class universities, more mention is also to improve the international reputation and influence of the university, and the proportion of universities to improve the international competitiveness of the university is the lowest. This may mean that the internationalization of China’s worldclass universities is still in the initial stage of going out and expanding its influence (Zhu and Zhang 2017; Qu 2015; Li and Liu 2006).

8.3.2 We Should Focus on Internationalization of the Management in Double First-Class Universities In the “13th Five-Year” development plan of world-class universities, the internationalization of the faculty is mentioned in most cases, and some exceptions also put forward requirements for the internationalization of teaching. But less than half mentioned the internationalization of their management teams. This shows that world-class universities pay more attention to the internationalization of their faculty to improve their teaching, research and discipline development, but pay less attention to the internationalization of their management team. However, the internationalization of the management team also plays a very important role in the construction of world-class universities and improving the level of university management is one of the contents that should be emphasized and strengthened in China’s world-class universities at present. It is also of great significance to realize the modernization

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of university governance system and governance capacity. Moreover, the Chineseforeign cooperation in running world-class universities needs to be strengthened. Cooperation and exchange is an important part of the international development of universities. From the perspective of the 13th Five-Year Development plan of universities, they all mentioned to promote the construction of world-class universities through various forms of cooperation and exchange. At present, except for a few universities which have not set up or implemented Chinese-foreign cooperatively run schools or projects, the rest have, to varying degrees, carried out activities of Chinese-foreign cooperatively run schools. However, only 17 of the 42 universities have discussed or discussed the specific content of Sino-foreign cooperative education. This shows that some world-class universities still attach more importance to Chinese-foreign cooperation in running schools. Chinese-foreign cooperation in running schools is an important part of the internationalization of higher education in China. To establish a world-class university and promote international development, we should attach importance to the important role of Chinese-foreign cooperation in running a school in international development (Ying et al. 2014; Song 2013; Liu and Kang 2012).

8.3.3 “One Belt and One Road” Should Have a Significant Impact on the Internationalization Development Strategy of Higher Education In the process of “One Belt and One Road” co-construction, China occupies a pivotal position in the world in terms of population scale, economic scale, and cultural construction. In the process of promoting the construction of “community with a Shared future for mankind”, China has reflected the transformation of its role from “participating in” globalization to “leading” globalization. The change of the new pattern also puts forward a new mission for China’s higher education, especially the internationalization of local universities. Such as the southeast university in the southeast university outstanding university partnership pointed out in the guiding ideology of “strengthening and including the main university of countries along the” area, “the characteristics of university and subject of exchanges and cooperation, service for national strategy, expand the space for subject development, to promote our school to participate in major international affairs, to expand the international influence of our school.” At present, China has become the world’s largest exporter of overseas students and the largest destination of overseas students in Asia. The level of China’s commitment to open education has been relatively high among major countries in the world, higher in some respects than that of some developed countries, and even higher than that of a group of important reference countries that have not yet committed to open their own education. Colleges and universities shoulder the talents cultivation, scientific research, social service, cultural inheritance, innovation, the important mission

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of international exchanges and cooperation, under the new situation, colleges and universities, and contains various professional and discipline, should carry out and strengthen related to “area” initiative teaching, research, and intelligence services, it will be in the process of reform and development of colleges and universities in their own must seize and make important choices. The internationalization of students has become a hot spot for the improvement of university internationalization level. “One of the most important indicators to measure the level of an international university is the proportion of foreign students in the university, especially the proportion of foreign postgraduate students.” At present, the education of foreign students in developed countries has developed to the stage of focusing on postgraduate students, supplemented by undergraduate students and advanced students. This is also an important reason for this paper to take the proportion of international students with academic qualifications as a reference. Strengthening the management of foreign students’ education is of positive significance to the construction of worldclass universities. The first is to expand the international influence of colleges and universities. After graduation, most overseas students will “think about the source of drinking water” and become the international volunteer propagandists of colleges and universities. Second, it is conducive to improving the level of school management. The education of foreign students requires the management system of colleges and universities to be standardized, procedural zed, modernized and legalized, so as to promote the improvement of school management level. Third, it is conducive to improving the level of teachers. The level of teachers has a direct impact on the quality of international students’ education and the international reputation of the university, as well as the source of international students. The cultivation of high-level international students can promote teachers to update their knowledge, broaden their horizon and activate their thinking, thus improving their level. Fourth, it is conducive to promoting discipline construction and development. The increase in the number and level of international students will raise higher requirements for major selection, talent training and teaching quality, which will play a positive role in promoting the discipline construction and development of colleges and universities (Ying et al. 2014; Song 2013; Liu and Kang 2012; Zhu and Zhang 2017; Qu 2015; Li and Liu 2006).

References Li F, Liu Y (2006) On the Characteristics of internationalization of Higher education. Educ Res 27(3):77–82 Liu Q, Kang Y (2012) Characteristics and Suggestions of internationalization development of China’s research universities under the background of “double first-class.” Univ Educ Manage 12(05):23–30 Qu Z (2015) “One belt and one road” construction and the new mission of national education. Guangming Daily 13(11):11–13 Song W (2013) Problems and countermeasures of international students’ education management in universities. Higher Educ Res 34(06):38–42

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Ying Z, Mei Y, Zhu Y (2014) Data survey and statistical analysis on the internationalization development of key universities in China. Higher Educ Res 35(08):46–54 Zhu W, Zhang H (2017) A review of China’s higher education internationalization policy changes. High Educ Manage 11(02):116–125

Chapter 9

The Rankings of Creating World-Class Universities in China

This chapter involves exploring the university ranking to shape double first-class university in China. In addition, as a traditional old industrial base, this historical tradition also has a profound impact on its discipline distribution, that is, strong disciplines are concentrated in engineering, such as the typical example of Harbin Institute of Technology. The distribution of universities and disciplines, index analysis of domestic and foreign ranking lists, analysis of QS ranking indicators and methods, comparison of educational output indicators, index characteristics, index System, and subject evaluation index have been examined in this chapter.

9.1 The Overview of Universities and Disciplines in China In general, the discipline distribution of universities in China has a great relationship with regional politics and economy, and the disciplines in the regions with more developed politics and economy are often stronger. Among them, Beijing, as the political center, has nearly half of the A-plus disciplines in China, and the Yangtze River Delta region is also the cluster area of excellent universities second only to Beijing. The distribution of universities and disciplines has its historical origin. Jiangsu and Zhejiang have a strong academic atmosphere since ancient times, and have unique advantages in education, so there are many strong universities and disciplines. Due to the need of developing industry in the last century, the universities in northeast China are strong in engineering and weak in social sciences.

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_9

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9.1.1 Uneven Regional Distribution of Universities and Disciplines A small number of regions, such as Beijing and Shanghai, have gathered most of the outstanding universities and disciplines. On the one hand, the aggregation of universities is conducive to the complementation of different types of universities and the exchange between similar universities, the construction of university towns and academic exchange circles, and the promotion of discipline and education development. But on the other hand will cause uneven education, talent resources, education resources flow transition to an area, intensify education imbalances, bring great pressure to the local population flow, also lead to other brain drain is the less-developed area, development is limited, so it is possible that countries should consider appropriately adjust disciplines and the distribution of colleges and universities, promote academic centers in colleges and universities to stimulate economic development in less developed areas (Wang and Wang 2017; Wu et al. 2017; Song 2017; Chang and Qiu 2016).

9.1.2 Index Analysis of Domestic and Foreign Ranking Lists In terms of the indicator system, Academic world university ranking selection has won the Nobel Prize and the fields medal number of alumni (hereinafter referred to as “alumni award”), has won the Nobel Prize, and number of teachers or the fields medal (hereinafter referred to as “teacher award”), various disciplines the highest cited number of scholars (hereinafter referred to as “highly cited scholar”), in the “natural” (Nature) and the papers published on “Science (Science) or number (hereinafter referred to as “N&S paper”), by Science citation index (SCIE) and social Science citation index (SSCI), included the number of papers (hereinafter referred to as “international paper”), the average index score of five division (hereinafter referred to as Six other indicators rank the academic performance of the world’s universities. In the rankings, the universities with the highest scores in each category— alumni, faculty, highly cited scholars, N&S papers, international papers, faculty performance—scored 100, and the others scored in proportion to the highest score. If the data distribution of any of the indicators is significantly abnormal, conventional statistical methods are used to process the data. Universities’ scores on each of the six measures are weighted to give 100 points to the university with the highest total, and the rest in proportion to the highest score. The ARWU ranking index focuses on the objective achievements and awards, while ignoring the social evaluation and influence. Overall, ARWU’s indicators focus more on objective results and outputs, without establishing indicators of subjective nature. In its index system, the Nobel Prize and Fields Prize, and the publication and citation of papers in advanced academic fields are all used as evaluation indexes, and there is a lack of evaluation

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on social evaluation (Wang and Wang 2017; Wu et al. 2017; Song 2017; Chang and Qiu 2016). ARWU ranking index emphasizes science and technology over humanities and social sciences. From its index system, we can find that the Nobel Prize and Fields Medal have a great influence on the total score, but it is worth noting that almost all Nobel Prize and Fields Medal are science and technology awards, only Nobel Prize in Economics and Literature are humanities and social sciences. Although ARWU noted that “for pure liberal arts universities, N&S indicators are not considered, and their weights are proportionately divided into other indicators”, it did not propose a more appropriate scientific alternative in this regard. In this context, schools of humanities and social sciences will be at a natural disadvantage when participating in the competition. Therefore, the ARWU ranking index is not applicable to the evaluation of comprehensive universities and humanities and social science universities. The ARWU ranking index values research results over the educational process. From its index system, we can find that the index content is the ultimate index of academic research output, such as the number of citations, the number of papers published, the number of awards won, Hi Ci and so on, completely ignoring educational indicators such as the quality of education, the ratio of teachers to students, the employment rate, and the number of doctoral degrees awarded. Although there is also a lack of objectivity in educational indicators, universities, as institutions of higher education, should highlight the process role of education and teaching in the evaluation, rather than focusing only on its results and outputs. The ARWU system only conducts an interval ranking for universities ranked below the top 100, without precise positions or specific scores. According to common sense, the gap between the 101st and 150th places is obvious. For example, in the ARWU2016 ranking, Shanghai Jiao Tong University and Zhejiang University were both ranked between 101 and 150. However, due to the alphabetical order of their names, Shanghai Jiao Tong University ranked far above Zhejiang University, which is unreasonable. And the current national universities are committed to creating “double first-class”, may spend several years of efforts to advance in the ranking of one or two. Ar-wu’s range rankings blind colleges to the results of their efforts and the room for progress. THES, QS and ARWU all offer THES, QS and ARWU systems with precise rankings and scores compared with other university ranking systems. Therefore, the ARWU system should not ignore the lower ranking universities just because of the heavy workload and other reasons and should treat them equally. In addition, in the ARWU system, the setting of index weight is too simplified to show the hierarchy of the index system. Among the 6 indicators, 4 of them have a weight of 20% and the remaining 2 have a weight of 10%, which cannot reflect the importance gradient such as core index, important index and secondary index, and relatively lack of conscientiousness and rationality (Wang and Wang 2017; Wu et al. 2017; Song 2017; Chang and Qiu 2016).

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9.1.3 Analysis of QS Ranking Indicators and Methods QS World University Rankings focus on research quality, teaching quality, graduate quality and internationalization. The ranking principles and index system of QS World University Rankings have not changed significantly over the years, which has a certain stability and avoids the ranking fluctuation due to the change of indexes. QS attaches great importance to the reputation of universities, including “academic reputation” and “employer reputation”. The company insists on attaching the highest importance to “reputation” and constantly improves the evaluation method of reputation. Reputation is an important feature that differentiates QS University rankings from other world university rankings. After the reform and improvement of QS company year by year, there are seven sources of respondents participating in the reputation survey. In paper and paper cited rank statistics, most researchers think that the index is the best index to reflect the university scientific research, and give the highest values, and QS companies is not the target, because the company think bias exist in existing literature metrology subject, the method for the humanities and social sciences college and the university of small-scale industry type was unfair, so subjective evaluation QS pay more attention to industry rather than the objective evaluation of the literature statistics. Therefore, the recruitment of enterprise employers can refer to the QS World University Rankings. It is worth noting that the statistics of international students in terms of teaching quality does not include exchange student programs, and countries have natural advantages in facilitating mutual exchange and admission. Chinese universities tend to focus more on exchange programs than fulltime foreign students, so this is not an advantage. QS places too much emphasis on soft “reputation” index while neglecting hard “academic” index. As many media organizations have expressed doubts about the source of soft reputation questionnaire, the authority of QS ranking has been affected to some extent (Wang and Wang 2017; Wu et al. 2017; Song 2017; Chang and Qiu 2016).

9.1.4 Comparison of Educational Output Indicators The educational output index mainly refers to the teaching and research output of colleges and universities, as well as the benefit index which comprehensively reflects the school-running achievements. The basic functions of colleges and universities are to cultivate talents for the society, promote the development of science and technology, and serve the society with the resources already possessed. Therefore, the completion of the basic functions of colleges and universities can be directly observed through the output index of colleges and universities. This paper analyzes and compares THE three world university rankings of THE, QS and ARWU respectively from three aspects of talent cultivation, scientific research and benefit indicators. The indicators of talent cultivation include “the number of doctoral degrees awarded per teacher”, “the number of doctoral degrees awarded/bachelor’s degrees

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awarded”, etc. Indicators of scientific research include “number of published papers”, “number of academic papers”, “Number of conference papers”, etc. The index of benefit includes “social reputation”, “academic reputation”, “research income” and so on (Wang and Wang 2017; Wu et al. 2017; Song 2017; Chang and Qiu 2016).

9.2 Index Characteristics of Rankings Starting from the responsibility and obligation of universities and taking the contribution of universities to society as the only index to measure, the index of “Chinese University Evaluation” has a clear obligation and responsibility orientation. The two level indexes: the theoretical basis for talents cultivation, scientific research originating in the first chapter of the higher education law of the People’s Republic of China article 5, article 16 of the second chapter, the third chapter article 25, the fourth chapter 31, article 38, article 41 law, higher education bachelor degree and above in China responsibility and obligation of social division of functions are: to cultivate senior specialized talents and scientific research work. In terms of first-level indicators, The Evaluation of Chinese Universities lays more emphasis on talent cultivation, and its weight is calculated based on the proportion of national universities’ investment in talent and research manpower. We should pay more attention to undergraduate education and graduate education. It is worth mentioning that in undergraduate training, emphasis is placed on teaching level, such as the average academic level of teaching team and teachers; On the other hand, there are also undergraduate graduation rate, employment rate, award status and other indicators. It highlights the characteristics of the index system of “Chinese University Evaluation” that considers the undergraduate training process and output. As for the index division of second-level index scientific research, The Evaluation of Chinese Universities is divided into social sciences and natural sciences based on the subject areas. Its 3 level index is basically consistent. The weight of natural science is almost three times that of social science, and its weight is also based on the proportion of national universities’ investment in natural science and social science, which reflects the importance attached to natural science research. Therefore, in fact, science and engineering universities will have certain advantages in ranking due to their relative strength in natural science disciplines. From the perspective of the three-level indicators, the “Evaluation of Chinese Universities” obviously attaches great importance to the scale of education. For example, undergraduate, doctoral and master graduates are included in the three-level indicators. Therefore, large comprehensive universities such as Zhejiang University and Wuhan University have certain advantages in the ranking. On the whole, its basic index system has not changed much, and there are a lot of additions on the three-level index, which in a sense more perfect and enrich the evaluation system. It is worth noting that the research achievements of graduate students in 2017 are all included in the graduate student training score and not included in the research score. As scientific research is a first-level index, the weight is higher than the second-level index of postgraduate

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training, so the contribution of postgraduate research achievements in university ranking is actually reduced (Wang and Wang 2017; Wu et al. 2017; Song 2017; Chang and Qiu 2016).

9.2.1 Index System of Rankings There are four first-level indicators and 10s-level indicators in the soft Subject ranking list, and there are no third-level indicators. Its indicator system is relatively simple, while data collection is relatively difficult to carry out. Many data are inconvenient to be directly obtained from third-party channels, such as the statistical yearbook of the Ministry of Education, which needs to be obtained through questionnaires or directly from schools. The ranking index of soft subjects starts from the three functions of the operation mode of universities, which correspond to the three functions of universities respectively: cultivating specialized talents, developing scientific knowledge and serving the society. It is worth mentioning that our country is put forward in the new period colleges and universities shoulder the talents cultivation, scientific research and social services, cultural inheritance, innovation and international exchanges and cooperation between the five functions, the cultural heritage of innovation and international communication is with the characteristic functions of colleges and universities in our country, this is also reflected in the soft division index, namely the internationalization index. Among the soft subjects, talent cultivation and scientific research have the highest weight, among which the talent cultivation index is slightly higher, which means that soft subjects pay more attention to the role played by universities in talent cultivation. In secondary indexes, weights are highest quality, reached 30%, which was admitted freshmen of the university entrance exam, soft thinks this will not only affect people the quality of output, is the important of social reputation of the school, namely the recognition of past graduates in society objectively to the outside world for school personnel training level is an important signal. The indicators of scientific research are not all of science, and all of them are based on the influence of literature, which is actually beneficial to the comprehensive and large-scale science. On the other hand, the indexes all take the number and influence of papers in the top row, which play a certain role in screening research universities. The evaluation index of internationalization is relatively single, and the proportion of international students is taken as the basis of internationalization. There is no in-depth and complex evaluation of exchange programs and quality of international students, and the quantity is emphasized. In terms of talent cultivation, “China University Evaluation” pays more attention to process and output, especially in teaching level, it sets up several indicators for teachers, and at the same time includes many awards. However, soft courses are relatively simple to consider in terms of teaching level, and they obviously pay more attention to intangible evaluation indexes such as social reputation, among which the quality of students reflects the recognition of society to a large extent. Soft courses

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attach great importance to the social influence of universities. Although both attaches great importance to the scientific research level in the role of evaluation in colleges and universities, but divided, “the Chinese university evaluation” scientific research evaluation can be divided into the natural science and social science, science and gives a higher weight, at this point of view, “the Chinese university evaluation” obviously more conducive to science and engineering university on the list, and soft secco benefit more comprehensive research universities (Wang and Wang, 2017; Wu et al., 2017; Song, 2017; Chang and Qiu, 2016). In social services and international exchanges, although soft give weight low, but also can see it and university evaluation in China, the difference between the above mentioned, soft section gives students heavier weights because of considering the social reputation of this level, then social services are soft secco for direct embodiment of the university social attribute value, international communication is also soft section for the new era of university functions require a reflection of our country. In fact, compared with foreign ranking index system, can clearly see that soft index system is closer to list abroad, “the Chinese university evaluation” emphasize the higher education of the university itself and the extensions of the function, think it in view of the “internal”, is the main task of the university as an antithesis of individual teaching research activities. Soft courses are more open and attach more importance to social and international integration. Universities are not closed and independent individuals, but open and closely connected with the society.

9.2.2 Subject Evaluation Index of Rankings One of the important reasons why various academic corrupt behaviors continue to be prohibited and become more and more intense is that the unit to which the counterfeiter belongs protects the “image” and interests of the unit, or minimizes or minimizes the incident, or adopts delaying tactics to do nothing, or even finds various reasons to justify the counterfeiter. In this regard, the author suggests adding negative indicators and comprehensively evaluate the ranking results, so as to strengthen the supervision of negative events such as academic fraud in colleges and universities, so as to further realize the role of evaluation in promoting the construction of university rankings. Specific operations can be as follows: The comprehensive level of a worldclass university is not only determined by outstanding indicators, but also influenced by short—pulling indicators. If more points are deducted for negative indicators, colleges and universities will correct their wrong behaviors according to the ranking results, make full use of their strengths and avoid their weaknesses, and improve their comprehensive level. In short, colleges and universities are prone to academic fraud. The addition of negative indicators can effectively play the role of the regulatory body of colleges and universities, so that there is no place for counterfeiters to hide from, so that would-be counterfeiters can pull back from the brink, so that honesty and credibility become the mainstream values (Wang and Wang, 2017; Wu et al., 2017; Song, 2017; Chang and Qiu, 2016).

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9.3 Problems of Rankings for Creating Double First-Class Universities In the new era, Chinese universities shoulder the important functions of talent training, scientific research, social service, cultural inheritance and innovation and international exchange and cooperation. This is based on the three functions of traditional colleges and universities, under the urgent need of economic globalization and internationalization, the impact of the tide of the new period and the urgent need of Chinese colleges and universities to integrate with the international standards. In his speech to celebrate the 70th anniversary of the founding of the People’s Republic of China, General Secretary Xi Jinping said, “On our journey forward, we must stay committed to the path of peaceful development, pursue a win–win strategy of opening up, and continue to work with people of all countries to build a community with a shared future for mankind”. Taking higher education as the practical carrier of science and education integration, culture communication and image construction, promoting cultural integration, science and technology cooperation and knowledge dissemination through international exchanges and cooperation between universities is an important way to speed up the double-first-class construction and promote the reform and development of higher education.

9.3.1 China’s Main Rankings Do not Set Up Relevant Indicators Although the soft subjects have set up an internationalization index, the evaluation index is relatively single, that is, the number of overseas students with academic qualifications, which cannot objectively reflect the degree and quality of internationalization of universities. The Ministry of Education also lacks clear requirements and strict examination system for the nationalization indexes of colleges and universities, which leads to the one-sided pursuit of the number of international students while ignoring the quality of international students. The double-first-class construction in the new era should consider making clear provisions and requirements for the internationalization of colleges and universities.

9.3.2 Lack of Attention to the Internationalization of Colleges and Universities From the perspective of index setting, the internationalization level of colleges and universities can only be seen from some indicators, such as the number of papers adopted by foreign literature, and there is a lack of intuitive and objective standards. However, from the perspective of the five functions of colleges and universities in the

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new era of China and the assessment and requirements of the Ministry of Education on colleges and universities, the internationalization of colleges and universities has increasingly become an important index to evaluate the level and quality of higher education of a university, which cannot be ignored.

9.3.3 The Single Evaluation Index of University Internationalization Cannot Correctly Reflect the Level of University Internationalization Although direct statistical number of international students is a more convenient way of evaluation value view, but this can only reflect the school’s ability to absorb international students, there may be many, this ability such as preferential treatment in policy, but it can’t cover the international student’s ability, with strong international school exchanges and cooperation projects, international teachers’ level and so on, so there is a certain one-sidedness.

9.4 Suggestions of Rankings for Creating Double First-Class Universities Referring to foreign rankings, THE and QS rankings can provide us with a lot of references. As early as 10 years ago, THE put forward internationalization as THE evaluation index of universities. A distinct characteristics of the two charts, is put forward another indicator, except students international teacher, this is actually takes into consideration the human resources of education into perspective, to cultivate students with international vision, not just from the point of view of students, also from the education investment to see a school talent training level. At the same time, the calculation of proportion rather than quantity is also to avoid the large size of comprehensive universities by their own data inflated. THE has a new indicator for internationalization quality. In a third international indicator, THE calculates THE proportion of universities that have at least one international co-author and reward a higher number of research journal publications. Normalize this indicator to take into account the subject mix of universities and use the same five-year window as the “citation: Research impact” category. This is a good survey of international teachers and students’ research level, is an evaluation of the quality of internationalization. This point deserves a double first-rate review. Specifically:

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9.4.1 Attach Importance to the Establishment of Internationalization Indicators We set up a separate index to investigate the internationalization level of colleges and universities, which is also an investigation of the functions of colleges and universities, and further define and expand their own positioning in the new era.

9.4.2 Pay Attention to the Quality of Internationalization Index set up not only emphasizes THE number of foreign students, more to pay attention to input and output of THE teaching, namely to set up THE talent training of manpower, financial investment and international production output indicators, THE investigation for international teachers’ and students’ academic output is worth our using for reference, in THE process of double class evaluation, should also pay attention to THE teachers and students during THE period of study in academic contribution, The simple quantity is against the original intention of evaluation. The real reflection of the internationalization level of universities is to improve the teaching quality and academic level of universities and attract international students.

9.4.3 Promote Construction by Evaluation, and Suggest the Establishment of Negative Indicators In recent years, the phenomenon of fraud in Chinese universities is quite serious. Academic scandals have been exposed frequently, and academic corruption has spread to most academic fields. According to Yang Yusheng, a professor at China University of Political Science and Law, scholars at almost all universities in China are suspected of academic fraud or corruption. Professor Tang Anguo of East China Normal University, an expert in higher education research, pointed out that the academic environment is impetuous, and some people are unbalanced in front of the temptation of fame and fortune, and some regulatory systems are seriously missing, which opens doors for them. In addition, it is often difficult to effectively vet research projects and researchers as schools compete for rankings. One of the important reasons why various kinds of academic corruption continue to be prohibited and become more and more intense is that the unit of the counterfeiter, to protect the “image” and interests of the unit, may minimize or ignore the major issue, or take delaying tactics and let it go, and some even find various reasons to justify the counterfeiter. In this regard, the author suggests setting up negative indicators and comprehensively evaluate the ranking results, so as to strengthen the supervision of universities on academic fraud and other negative events, so as to further realize the

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role of university ranking in promoting construction by evaluation. Specific operations can be as follows: Negative indicators should be added to the total score of indicators in the form of penalty points. For example, teachers’ turnover rate should be used to comprehensively reflect the indicators of teacher construction in universities, and scientific research indicators in universities should be comprehensively reflected through academic misconduct. The comprehensive level of a world-class university is not only determined by the outstanding index, but also influenced by the short index. If the negative indicators are deducted more points, colleges and universities will correct their wrong behaviors according to the ranking results, promote their strengths and circumvent their weaknesses, and improve their overall level. In short, academic fraud occurs frequently in colleges and universities. The addition of negative indicators can effectively bring into play the role of the supervision body of colleges and universities, so that the counterfeiters have no place to hide, and those who want to make counterfeiters stop before the brink, so that honesty and trust become the mainstream values.

9.4.4 Combination of Qualitative and Quantitative Indicators University ranking index qualitative and quantitative combination has become a trend. The data acquisition of quantitative indicators is relatively simple and often easy to obtain, so the weight setting, and data collection of qualitative indicators have become the top priority. The index of university ranking, the quantitative index should be given priority to, the qualitative index should not be too heavy. When designing the questionnaire, we should focus on its reliability and validity to make it more scientific and reliable. In addition, the process of qualitative survey should be standardized as much as possible to improve the coverage of regions and disciplines, while certain survey techniques should be used to avoid the bias and absolute subjectivity of interviewees.

References Chang W, Qiu H (2016) The construction of world-class universities and first-class disciplines: core domain and path breakthrough. Edu Explor 2016(12):24–29 Song J (2017) Scientometrics and university ranking indicators and problem analysis. Shanghai Edu Assess Res 2017(01):23–28 Wang J, Wang Y (2017) Status Quo World Univ Ranking Eval Shanghai Edu Assess Res 2017(03):11–19 Wu Y, Zhang D, Shan H (2017) Consistency research of university rankings—taking QS, THE, US news and ARWU four rankings as examples. Shanghai Edu Assess Res 2017(03):12–18

Chapter 10

The Policy Assessment of Creating World-Class Universities in China

This chapter focuses on investigating the policy assessment for shaping double firstclass university in China. The construction of a first-class university should be a university with advanced school-running idea, strong school-running strength, and high social recognition after long-term key construction. It should have a certain number of high-level disciplines leading in China and leading in the world and achieve remarkable results in the reform and innovation and the construction of modern university system. To build first-class disciplines, universities should have high-level disciplines that are in the forefront of domestic or international disciplines, whose discipline level is in the forefront of influential third-party evaluation, or that are urgently needed by the country, have significant industry or regional influence, have outstanding discipline advantages and are irreplaceable. Policy evaluation index of double first-class construction, analysis of evaluation indexes of the “Double first-class” construction discipline, policy evaluation procedure for double first-class construction, evaluation results, characteristics of double first-class construction evaluation system and problems existing in the policy evaluation of the double first-class construction have been explored in this study.

10.1 Policy Evaluation Index of Double First-Class Universities Li keqiang, the prime minister in 2016 national conference on science and technology innovation and honest member of both houses of congress: “the government departments concerned to do have too many unnecessary interventions, card too dead”, and “the world’s leading research institutions, universities, scientific and technological achievements, never is to rely on the work of the government department

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2021 J. Li and E. Xue, Creating World-Class Universities in China, Exploring Education Policy in a Globalized World: Concepts, Contexts, and Practices, https://doi.org/10.1007/978-981-16-6726-8_10

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personnel management”. The selection principles of “double first-class construction” units can be summarized as follows: first, the objectives are clear, and the key points are prominent. The selection of the construction units of “world-class universities” and “world-class disciplines” must be conducive to the major breakthroughs in national science and technology and theoretical innovations in the humanities and social sciences and must be conducive to the development of disciplines aimed at leading the future development and progress of human society and filling the gaps and weak areas in China. Secondly, quantity control and resource concentration. The “double first-class construction” is an expensive enterprise which needs to consume huge resources, and it must concentrate human, financial and physical resources to overcome difficulties. The number of “world-class universities” and “world-class disciplines” construction units must be controlled rather than increased. Third, efficiency first, strength win. “Double” first-class construction unit’s rational selection must be based on talents and scientific research, academic team elements within the international or domestic “academic coordinate system” has the absolute comparative advantage based on the “double” first-class construction unit must be high on the list of discipline’s elite intellectual elite, must be level with the strength of quality and efficiency as the only selection criteria. Fourth, open opportunities and competitive selection. “Double first-class construction” units are the product of open opportunity, fair competition, and superior selection, rather than the result of the government’s “imperial decree”. To ensure the fairness of competition, it is necessary to ensure the openness and internationalization of competition.

10.1.1 Specific Selection Indicators: Evaluation Index of Double First-Class Construction Published in the Documents of the Ministry of Education In 2017 released by the National Development and Reform Commission. Push forward the world first-class university and the first-class discipline construction measures for its implementation (provisional) clearly put forward to evaluate the world first-class universities should be from the talent training, scientific research, social services, cultural inheritance, innovation, the teacher’s troop construction, to evaluate the international exchanges and cooperation in six aspects. In 2019, the Administrative Measures for Teaching Materials in Ordinary Institutions of Higher Learning by the Ministry of Education included the construction of teaching materials in the evaluation standard of “Double first-class”. In 2020, the Guidelines for Ideological and Political Construction of Courses in Institutions of Higher Learning by the Ministry of Education also mentioned the party construction and ideological and political work in universities as one of the important indicators for the construction of “double first-class”. But the standard of construction of “double top” subject, in the measures for the implementation of “is actually a kind of macroscopic ambiguity: first-class discipline construction, colleges and universities should have

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ranks among the forefront of the domestic or international forefront the high level of discipline, discipline level into the forefront in the influential third-party evaluation, or national needs, with major industry or regional influence, subject prominent superiority, has no alternative. “National education career” much starker choicesand graver consequences-in planning “about the world first-class university and the first-class discipline construction is pointed out that: support the construction of 100 subjects, key support a number of close to or reached the world advanced level, strengthen the construction of the” vital interests of national security and discipline, focus on layout of a batch of national support and in urgent need of the transformation and upgrading of industry and regional development of disciplines, develop a batch of emerging disciplines, cross subject, covering the philosophy and social science, natural science, engineering and other key areas, efforts to support the country’s longterm development for the construction of the system formation, vigorously promote the national independent innovation ability and the core competitiveness. On this basis, the Measures for the Implementation adds the expression of “actively building a system of philosophy and social sciences with Chinese characteristics, Chinese style and Chinese style, and focusing on solving major strategic problems in the economic society”. This shows that the state mainly supports the construction of these four disciplines, which has also become the criteria for selecting “double first-class” construction disciplines. Of course, these standards are also macroscopic representations, without specific definition and explanation. In addition, because the system of expert committee is adopted in the selection, the expert committee will also suggest some universities to independently determine a group of construction disciplines according to national needs, layout, regional development and policy continuity. What needs to be explained is that the selection and recognition produced “double first-class”, “construction” and “discipline”. The focus is on “construction”, which is the starting point to move towards the world-class discipline, rather than recognizing that these disciplines are world-class disciplines. Whether they can become worldclass disciplines depends on the final construction effect, academic achievements and social contributions (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.1.2 University Ranking Organizations Published on the Double First-Class Assessment Indicators Released so far greater influence on the global and continuous evaluation report of university ranking organization has more than 20, China has five, comprehensive integrated history is long, influence, to provide better, high-profile university evaluate index system of the organization, their “core standards” has three categories: talent training quality scale, alumni (students), science and technology research and development (paper quality, quantity), the international influence (academic reputation, media effect). For dynamic evaluation, scientific monitoring, pushing the world first-class university and the world first-class discipline construction with Chinese

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characteristics, it is necessary to around the domestic leading, world-class goal, with Chinese characteristics and Chinese elements, stand in the position of the third-party evaluation, university education level assessment at home and abroad for reference, the beneficial experience and the mature practice, especially research deep Chinese alumni network university research team’s results, using the theory of “hole” and the principle of “pyramid” of selection of reference indexes, and eventually build and vision of the world, international vision and with Chinese characteristics, Chinese style of world-class university, the world first-class discipline evaluation criteria (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.1.3 Opinions of Other Scholars on the Evaluation Criteria of Double First-Class Disciplines There are also other scholars who adhere to the principle of innovation, quality, and contribution as the guidance, and around the principle of multi-dimensional display of academic performance, select measurement indicators and design indicator system. In the selection of indicators, the quantitative indicators should be matched with the purpose of evaluation. In the selection of objective data, it pays attention to the localization characteristics of objective indicators and emphasizes the credibility and reliability of objective data. In the collection of academic publication data, many kinds of academic achievements including papers, works, reference books and research reports are brought into the statistical field of vision. The first level index of human resources consists of three second level indexes: team size, activity level and academic reputation. The team size index reflects the total academic population of each institution in different disciplines. The activity index focuses on the academic population of various academic achievements; the academic reputation focuses on the status of each institution in various academic organizations, important academic journals, important academic awards, and other aspects. The first-level indicators of research ability consist of six second-level indicators: high-end papers, academic papers, academic works, research reports, reference books, databases, sponsored continuous publications, etc. The index of high-end papers refers to the total number and per capita number of papers published in important journals of the discipline. The paper index is composed of the total number of papers and the number of papers per capita in CSSCI database. The index of academic works is the number of academic works published in the statistical period. The research report indicator is the number of published research reports in the statistical period. Reference books (including datasets) refer to public publications of this type; In the case of a continuous publication, the term refers to the case of a periodical sponsored by an institution. The first-level index of influence level is composed of seven second-level indexes: number of cited papers in the current year, citation rate in the current year, all cited papers, stratified citation, number of cited authors, number of HCP (high influence) papers, and number of cited works. The number of cited papers in that year was determined

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by the number of cited papers in that year; the citation rate in the current year is determined by the citation rate of the paper in the current year. The index of cited papers was determined by the number of cited papers. The index of hierarchical citation is determined by the hierarchical citation of the journal. The number of cited authors was determined by the number of the top 100 cited scholars in the relevant discipline. The number of HCP papers is determined by the number of highly cited papers in each discipline. The number of cited works is determined by the number of cited works published (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.2 Analysis of Evaluation Indexes of the Double First-Class Discipline Standard of construction of “double top” subject, in the measures for the implementation of the education file is actually a kind of macroscopic ambiguity: first-class discipline construction, colleges and universities should have ranks among the forefront of the domestic or international frontier the high level of discipline, discipline level into the forefront in the influential third-party evaluation, or national needs, with major industry or regional influence, subject prominent superiority, has no alternative. In research Alumni association, a university ranking organization, the primary assessment indicators are mainly divided into talent cultivation, academic research, and international reputation, which account for 55%, 40% and 5% respectively. Wang Wenjun and other scholars divided subject evaluation into three dimensions: human resources, research ability and influence level. The first problem with their argument is that they almost always ignore the assessment of the impact of disciplines on social services; the second is that the talent cultivation index ignores the overall employment quality of students and the evaluation of post-graduation development quality. In the design of indicators, key indicators that are leading, highlight the level and performance of the school, as well as leading indicators shall be considered. The purpose of index design is to find problems, face up to problems, determine the point of force, stimulate internal momentum, and clarify the frame of reference, so as to provide a basis for policy making, performance evaluation, and defining work priorities. Determine the index design principles according to the index design objectives: First, it fully embodies the goal and requirement of double first-class construction, which is the inevitable requirement of China’s higher education development. Second, reflect the characteristics of our school and the outstanding problems of the department construction; Thirdly, in order to facilitate the information system, display and comparative analysis, the main indicators are quantitative. Fourth, it embodies sustainable development and openness.

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10.2.1 How to Evaluate the Development Quality After Graduation? Look at graduation development quality, including “overall employment quality” and “outstanding graduates”. “Outstanding graduates” is the best business card, academic background and reputation of colleges and universities embodies the excellence of graduates and strength of the contribution and influence the breadth and scope should be from the traditional academic, political and business development to the world of charity, arts, sports, culture, media, public services, such as college students venture stars, college student village official, college students best doctors, the most beautiful countryside teachers, such as four good teacher “distinguished alumni”. Second, look at the evaluation of employers, including the evaluation of employers and the society for graduates. The sample survey and follow-up survey of graduates should be strengthened while the reliability and validity of the questionnaire for employers’ satisfaction should be improved. Based on the scientific understanding of employment quality construction of graduate employment quality index, through the establishment of employment, entrepreneurship rate, graduation rates, matching degrees, compensation, career expectation, career development prospects, turnover rate of 10 indexes such as employment quality evaluation index system, each course in colleges and universities graduates employment situation systematically evaluated (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.2.2 The Meaning of a World-Class University When Liu Niancai, Cheng Ying and others summed up the connotation of worldclass universities, they proposed that world-class universities have outstanding scientific research achievements, high academic reputation, a pool of academic masters and high-quality teachers. Abundant scientific research funds, strong research force, graduate students account for 30–60% of the students, the number of postdoctoral generally is several hundred; The school features distinct, school philosophy is clear; Scientific management standard, outstanding President at the helm; Students quality first-class, excellent students at home and abroad source, graduates to human innovation and progress play a leading role; The discipline level is very high, the category is quite complete; High degree of internationalization, high proportion of international students; Excellent educational facilities such as library; Encourage innovation and attach importance to the diversified construction of the innovation team.

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10.2.3 The Goal of a Double First-Class University The specific goals of the “double first-class” construction in each university include the following aspects: building first-class teaching staff, training top innovative talents, improving scientific research level, inheriting innovative and excellent culture, and making efforts to promote the transformation of achievements. Accordingly, five major reform tasks should be accomplished: strengthening and improving the party’s leadership over colleges and universities, perfecting the internal governance structure, achieving breakthroughs in key links, building a social participation mechanism, and promoting international exchanges and cooperation. The first criterion of evaluation is the teachers’ morality and style, and the construction of high-quality teachers, which is the key to talent cultivation and the basic work of university construction. What we should pay equal attention to is the formation of high-level personnel training system, including discipline system, teaching system, teaching material system, management system and ideological and political work system (Zhu and Dong 2017; Wu 2017; Wang et al. 2019). Accordingly, we can see that the Ministry of Education issued the measures for the implementation of the ignored the university governance evaluation criteria, in the fourth plenary session of the party’s 19th through examining the “the central committee of the communist party of China about adhere to and improve the system of socialism with Chinese characteristics to promote national management system and management ability of modern certain major issue decision”, put forward to promote the national modernization construction management system and management ability. Higher education governance and national governance have isomorphism, higher education as the main position of talent training is playing an important role in the country’s modernization. It is a new idea and mission of universities to actively promote the modernization of higher education governance system and governance capacity, which is of far-reaching significance to realize the strategic goal of developing a modern socialist country. Therefore, the university governance system and ability should be brought into the evaluation standard of “double firstclass” university construction. It can be evaluated from the aspects of university external governance system, internal governance system and employment mechanism, so as to evaluate whether to establish scientific decision-making mechanism, efficient implementation mechanism and perfect supervision mechanism (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.3 Policy Evaluation Procedure for Double First-Class Universities The subject of policy is divided into the subject of policy making and the subject of implementation. First, the policy-making body. A policy in the form of a text is often seen as an expression of a political purpose, a process of action that policy makers

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state they intend to follow. Through statistical analysis, it is found that “double first-class” local policy makers are divided into three categories: the first category is the provincial people’s government; The second category is general offices of provincial people’s governments; The third category is the provincial Department of Education (municipal Education Committee), provincial Department of Finance and other units. Among them, provincial people’s governments are the most common ones, accounting for 62%. Second, the main body of policy implementation. The so-called subject of public policy implementation refers to the organization or individual responsible for implementing the national public policy according to law. Accordingly, the local “double first-class” policy implementation subjects include educational administrative departments, funds and resources support departments, colleges and universities, and individuals who perform a specific task, etc.

10.3.1 Establishment of Expert Committee The establishment of world-class universities and expert committee on the construction of first-class disciplines, composed of relevant government departments, universities, research institutions and industry organizations.

10.3.2 Determine the Evaluation Criteria the committee of experts according to the requirements of the overall plan and the present measures, the China characteristic discipline evaluation as the main basis, reference international related evaluation factors, comprehensive educational condition, academic level and education quality in colleges and universities, a major contribution, international influence, and so on and so forth, as well as the opinions of the competent department of colleges and universities argument to determine the firstclass university and the first-class discipline construction standard of colleges and universities.

10.3.3 List of Universities to Be Built The list of universities to be built will be selected according to the accreditation standards expert committee and Suggestions will be put forward. The Ministry of Education, The Ministry of Finance and the Development and Reform Commission examined and determined the list of proposals.

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10.3.4 University to Compile Construction Scheme It included in the list of proposed construction of colleges and universities according to their own actual, driven by the reform, combined with the comprehensive school reform advice and expert committee, determine the construction ideas, reasonable construction path choice, independently determine the scope of the diameter and subject construction, scientific construction of overall plan, subject construction. Administrative review: the construction plan and expert review report approved by the higher education institutions shall be submitted to the Ministry of Education, the Ministry of Finance and the Development and Reform Commission after being examined and approved by the provincial people’s government or the competent department (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.3.5 Review by the Expert Committee The Ministry of Education, the Ministry of Finance and the Development and Reform Commission shall, on the basis of the opinions of the Expert Committee, study and determine the first-class universities, the construction universities of first-class disciplines and the construction disciplines and submit them to the State Council for approval. Some experts pointed out that the “double first-class” construction continued to adopt the method of not requiring colleges to declare in advance and not making trouble with colleges and universities in the selection process. Innovation, and it used to be paid more attention to give full play to its advisory committee of experts (formed by the three ministries and commissions of the state han qide, vice chairman of CPPCC national committee for the director of “push forward the world first-class university and the first-class discipline construction committee of experts”, in the committee, principal part of colleges and universities, with related departments, has a national education advisory committee, there is also a professor at the university of representative); The selection process is strict and serious; The conclusions of the Expert committee are all discussed and voted by secret ballot, and proxy voting is not allowed. The generation of the proposed list is firstly discussed by the experts and the selection scheme and identification criteria are adopted, and then the overall generation of the proposed list is completed (Zhu and Dong 2017; Wu 2017; Wang et al. 2019). Notice on The Announcement of the List of Worldclass Universities and Universities and Disciplines to be constructed, and the list of world-class universities and disciplines to be constructed (“Double first-class” for short) to be constructed and disciplines to be constructed. According to the list, there are 42 first-class universities and colleges, divided into Category A and Category B. There are 36 schools in category A, including Peking University, Tsinghua University, Beijing University of Aeronautics and Astronautics, Xi ‘an Jiaotong University,

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National University of Defense Technology, etc. There are 6 Universities in Category B, namely Northeast University, Hunan University, Northwest A&F University, Yunnan University, Zhengzhou University and Xinjiang University. There are a total of 95 universities building first-class disciplines, including Beijing Jiaotong University, Tianjin University of Technology, Hebei University of Technology, Inner Mongolia University, Northeast Normal University and other universities. Officials from the Ministry of Education, the Ministry of Finance and the National Development and Reform Commission said that the “double first-class” universities were selected through competitive selection, expert selection, government comparison and dynamic selection. The selection process is divided into four steps. In the end, according to the recognition criteria, the list of 137 universities proposed to build first-class disciplines was selected, and then the proposed disciplines were generated accordingly. On the basis of the list of universities’ Suggestions for the construction of first-class disciplines, the paper puts forward 42 Suggestions for the construction of first-class universities through comprehensive evaluation and demonstration. The person in charge said that the construction of first-class universities should focus on the overall construction and key construction of universities on the basis of first-class disciplines, and comprehensively improve the level of personnel training and innovation ability. The construction of first-class disciplines in universities focuses on the construction of superior disciplines and promotes the development of characteristics. To be sure, this selection that is generated by the “construction” and “construction” of colleges and universities discipline, focus on “building”, is the starting point of towards a world class, rather than that the schools and the world first-class university and the first-class disciplines, can become the world first-class university and the first-class subject also look at the final results (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.4 Characteristics of Double First-Class Evaluation System The assessment standards cover a wide range and keep pace with The Times. In the university evaluation mechanism in the UK, the Research Excellence Framework (REF) attaches importance to the influence of scientific Research results in higher education in the economy and society, and the Research quality, scientific Research output, social benefits and social impact generated by scientific Research results are all the focuses of THE REF evaluation. 2019 British university Knowledge transformation assessment Framework (Knowledge Exchange Framework, KEF) contains seven areas: business and cooperate with the public and third party revenue, skills, enterprise and entrepreneurship, regional development and reconstruction, intellectual property rights and commercial, public and community into, to higher education institutions to provide useful information about the Knowledge Exchange activities and data sources, to understand, to determine the benchmark, and improve

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their performance, and to the enterprise to provide information to help their internal decision-making, etc. Compared with REF and KEF, the evaluation criteria of China’s double first-class construction cover economy, culture, social service, education and other aspects, and the evaluation contents are more perfect and diversified. In addition, the evaluation criteria for the double first-class construction have been constantly improved and kept pace with The Times. The Measures for The Management of Teaching Materials in General Institutions of Higher Learning issued by the Ministry of Education in 2019 put forward that teaching materials construction should be included as an important content in the discipline construction, teaching quality and personnel training of colleges and universities, and should be included as an important index for the construction and assessment of the double first-class construction. In 2020, the Guidelines for ideological and Political Construction of College Curriculum emphasized that party construction and ideological and political work in colleges and universities should be regarded as the important contents of the evaluation of the construction effect of “double first-class” (Zhu and Dong 2017; Wu 2017; Wang et al. 2019). The evaluation process is fair and fair, with high scientific and public credibility. Three ministries and commissions, including the Ministry of Education, answered the reporters’ questions, and the selection process “comprehensively considered the authority and influence of the third-party evaluation and the recognition degree of universities, and demonstrated and determined the results of the third-party evaluation”. Double top evaluation process, the active adoption of third party assessment, made between the government and colleges and universities have a definite “buffer layer”, make up for the defect of administrative evaluation, evaluation results more objective and public credibility, to provide high quality service for government decision-making, to provide a high level of service, reform and development in colleges and universities provide efficient service for society to understand the information of higher.

10.4.1 Clear Educational Objectives and Positioning For example, in its 12th Five-Year Plan, Zhejiang University clearly stated that it would “train high-quality innovative talents and future leaders with lofty ideals, noble morality, extensive knowledge, sound personality, strong physique and international vision, and accelerate the construction of a world-class university with Chinese characteristics”. Its medicine “to build a at home and abroad have important influence on the research of medical education and research institutions, become a high-level medical talents cultivation, high levels of biomedical research and drug development and medical technology innovation important base, become the high-quality medical service center, efforts to world-class medical colleges and universities”. In particular, the School of Medicine of Jiaotong University has explicitly proposed that by 2020, “the overall level of education will enter the ranks of world-class medical colleges”.

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The school’s development strategy is also closely around these goals, fully reflect the determination and confidence (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.4.2 Take Students as the Foundation and Cultivate First-Class Talents We find that in the construction of “double first-class” universities, moral education is regarded as the fundamental task of the university, and the educational system of curriculum, scientific research, practice, culture, network, psychology, management, service, financing and organization is integrated, and ideological and political work runs through the whole process of education and teaching and the whole system of talent training is integrated. Highlight the characteristics and advantages, improve the discipline system that fits the school positioning and supports the development of each other, and give full play to the function of discipline education; Outstanding quality, establishes the perfect knowledge structure, methods of advanced teaching system, to promote information technology, intelligent technology and education teaching depth fusion, build “Internet + ” under the condition of new pattern of talents cultivation, promote the informatization practice teaching, make full use of modern information technology to achieve high quality open sharing of teaching resources, improve the teachers and students information literacy; Efforts should be made to cultivate high-level and acute talents, integrate educational resources in various ways, develop interdisciplinary talent training programs, and explore the establishment of a new mechanism for cultivating high-level interdisciplinary talents with strong political skills, urgent needs in the industry, and outstanding capabilities.

10.4.3 Build with the Gathering of Academic Masters Chinese universities and colleges have invested a large amount of funds in the introduction of high-level talents. They have introduced first-class talents through salary promotion and other means. Meanwhile, they have carried out exchanges and cooperation with foreign universities, introduced overseas high-level experts and scholars, and built an international teaching team. In addition, colleges and universities also strengthen teacher training through talent programs (such as the thousand Talents Plan, The Yangtze River Scholars Plan, the Hundred Talents Plan, etc.), talent titles, and the construction of teachers’ ethics (code of conduct). Colleges and universities at all levels in China have made a new step in terms of high-level talent introduction and team building concepts, talent evaluation and incentive mechanism, and measures to encourage innovation, making a major breakthrough in talent team building.

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10.4.4 Pay Attention to Scientific Research and Produce First-Class Results Scientific research is not only an important function of a university, but also the most important and significant index to measure the level of a university. Such as Zhejiang university school of medicine, the 12th five-year period, to “produce be influential landmark scientific research item 2–3, undertake a number of major national scientific research (20–40) plan”, “3–5 new national key disciplines”, “national key laboratory of new or engineering center one or two”, “in the field of 3–5 advantage at or above the domestic leading level”. The School of Medicine of Shanghai Jiao Tong University, on the other hand, proposed that “during the 12th Five-Year Plan period, the total amount of longitudinal research funds should exceed 2.5 billion yuan” and “the total amount of national natural science funds should exceed 1500 items (with an annual average of no less than 300 items)”. At the same time, the school constantly sum up the experiences of the 11th five-year scientific research training and discipline development, put forward the organic integration of basic research and clinical research, and keep up with the demand of society carry out academic research, emphasizes the scientific research topic selection meet the demand of society or potential business, because it is not only easier to get funding, research grants and research results will have larger social benefits and economic benefits (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.4.5 Actively Assume Social Responsibilities and Serve the National Strategy “Double first-class” universities should adhere to the socialist direction of running schools and the Party’s educational policy and should arm the minds of teachers and students with Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era. In the moral education, adhere to strengthen ideological and political education and value guidance, guide students to serve the country and the people and realize the ideal of life combined; In serving the national strategy, we will explore mechanisms for more closely integrating talent training and scientific and technological innovation with economic and social development.

10.4.6 Compatible with Package, High Level of Internationalization “Double first-class” universities actively introduce high-end foreign teachers, promote the construction of high-end international teaching staff, set up overseas branch schools, provide Chinese universities with overseas influence, carry out

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transnational scientific research cooperation, and accelerate Chinese universities to catch up with the world’s scientific and technological forefront.

10.4.7 Academic Freedom, Excellent School Spirit and Rich Characteristics Mr. Mei Yiqi, lifelong President of Tsinghua University, once said, In the past, the so-called old and new, and today, the so-called left and right sides should be freely discussed in the university. This is the same situation. The reason why Peking University was Peking University in the past and Tsinghua University will be Tsinghua University in the future should also be noted here (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.5 Problems Existing in the Policy Evaluation of the Double First-Class Universities 10.5.1 Evaluation Theory Lags Behind Practice The academic evaluation work in China’s colleges and universities started late, the theoretical research of evaluation obviously lags behind the practice, the third-party evaluation lacks solid support, the evaluation theory and method system is not perfect, and the scientific design of evaluation scheme, evaluation standard, evaluation procedure and evaluation index is limited. From the perspective of the development of third-party assessment, the academic research on third-party assessment has been done in the past 20 years. The time is relatively short, and the theoretical accumulation is relatively weak, so it is difficult to guide the practice of subject assessment well. Assessment can only “cross the river by feeling the stones”, with certain blindness. In recent years, the academic circles about the research development of the thirdparty evaluation, but mainly introduce western discipline evaluation theory, evaluation methods and evaluation technology, external components, less local elements, there is no form with Chinese characteristics and academic evaluation system, which accords with the situation of China in the service of the third-party evaluation practice of building “double top” is facing a “copycat” awkward: foreign subject evaluation pattern “and” in China. Although foreign evaluation theories and technologies are relatively mature, if they do not undergo a long-term Sinicization process, it will inevitably lead to the problem of “orange growing in Huaibei becomes immature”, which will weaken the credibility of the discipline evaluation, which has been deeply taught in the discipline evaluation. For example, the fourth round of the discipline assessment of class A list of the journal, since there is no scientific theory as support, no reasonable standards of practice for reference, there exists A typical heavy foreign

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periodicals in the light of Chinese periodicals, human relationship bias light academic level, just released, came under heavy academic criticism, to make an emergency stop, known as China’s largest college discipline evaluation “farce”.

10.5.2 Single Assessment Subject Promoting the diversification of evaluation subjects is one of the main trends of the current university development evaluation. Whether the government, universities or the third-party evaluation institutions are the leading ones, there are contradictions that cannot be overcome by a single subject. Some scholars believe that China’s peer evaluation mechanism has some problems, such as insufficient peer evaluation, single evaluation standards, consistent evaluation methods, low degree of evaluation socialization, and too strong administrative intervention.

10.5.3 Unclear Positioning The definition of a “world-class university/discipline” is unclear. It is measured by visible indicators such as research projects and revenues, star scholars, publications and awards. Such indicators can improve rankings and prestige, which in turn can attract more wealth to institutions, creating a Matthew effect. Issues such as serving disadvantaged groups, meeting diverse student needs, improving teaching quality, and playing a critical role in society are ignored because indicators are less visible or not directly related to rankings. Thus, the pressure to emphasize the impact of research output leads universities to focus their attention and expectations on matters divorced from social responsibility, which threatens the public interest mission of universities. The evaluation of the effectiveness of the system cannot be judged by some objective indicators, so subjective evaluation must be adopted. Teaching is an important aspect of academic work. In contrast, teaching effectiveness is more difficult to evaluate than research level because of the lack of objective criteria for evaluating teaching effectiveness, especially the difficulty in measuring students’ deep cognitive level and emotional state in a conventional way. In addition, the level of teaching, not only depends on the teachers teaching, but also has a lot to do with students’ initiative and energy to study (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.5.4 Selection and Management of Construction Objects Competition selection and performance management are prominent, and educational connotation management evaluation faces challenges. The selection of construction

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objects is an important part of the policy implementation plan. In the selection of construction objects, the commonness of all provinces is reflected in adhering to the basic principle of “fair competition”, and all colleges and universities that meet the standards can participate in the selection, breaking through the identity barrier of previous key construction. However, the specific selection methods reflect the personalities of different regions. In summary, the selection of construction objects mainly consists of two ways: “to be determined by external authority ranking” and “to be determined by selection procedure”. In addition, a few provinces directly identify the schools with absolute advantages within the region as the construction objects, and most of these colleges and universities have inherence relations with key universities such as 985 and 211, for example, Gansu province supports Lanzhou University to build a world-class university, Jilin Province and Jilin University have signed a cooperation agreement to build a world-class university, etc. Compared with the latter, the former two ways reflect the policy value of “competitiveness”. Through open, comparable and transparent indicators and procedures, they are conducive to breaking down the identity barriers of universities and stimulating the vitality of universities in running schools. They are also conducive to pooling resources and improving the level of running schools in accordance with the requirements of high-quality development and characteristic development. In the management of the construction object of “double first-class”, each province also has the commonness and individuality. The commonness is mainly reflected in the management of construction objects in accordance with performance evaluation, dynamic adjustment and the mode of “in and out” in the overall national Plan. Personality is mainly reflected in the dynamic adjustment mode, assessment cycle and other differences. Behind the performance management is “efficiency first” policy value, on the basis of pay attention to the development efficiency, set up the mechanism of investment and performance and have into the dynamic mechanism, and effect on construction progress has been slow, lack of advance, poor college and discipline accountability mechanism is used, the endogenous development of the power, this is helpful to inspire school academic colleges and subjects to power and influence. However, in the implementation of performance evaluation, there are challenges in how to fully reflect the connotation of education, make proper use of performance leverage and avoid the tendency of excessively pursuing individual performance indicators (Zhu and Dong 2017; Wu 2017; Wang et al. 2019). Based on the monitoring and evaluation theory of higher education, construct the innovative and diversified evaluation concept of “double first-class”. The development of evaluation theory in the last hundred years, especially the proposal of the concept of monitoring evaluation, provides a theoretical basis for the construction of the evaluation concept of “double first-class” under the background of the new era. Construction of “double top” stressed “strengthen the process management, the implementation of dynamic monitoring, timely tracking guidance”, perfect the “multiple comprehensive assessment”, “combination of quantitative and qualitative, subjective and objective”, carry out the “construction process and results of monitoring and evaluation”, which clearly appeared in the construction of “double top” the specific requirements of national policy, the seepage monitoring and evaluation

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theory to the construction of “double top” evaluation of deep influence and positive contribution. On the basis of inheriting and developing the previous evaluation theories, we construct the innovative concept of “double first-class” construction evaluation: Take “the service strategy, innovation drive, scientific and objective, a world-class” as the guiding ideology, to “financing Chinese and foreign, simple and feasible to evaluate the strategy”, with “Internet + ” for the concept, driven by big data as the core, supported by dynamic monitoring platform, fully using the modern information technology, in real-time, normal monitoring at the same time, the implementation of the annual evaluation of every construction year, the construction of middle mid-term results evaluation, construction period at the end of the implementation of the final construction evaluation, comprehensive, scientific and objective evaluation results on the construction of first-class universities and first-class disciplines in China. The realization of this innovative idea will contribute to the dynamic monitoring of the core elements of the “double first-class” construction, objectively present the “double first-class” construction status, enable colleges and universities to understand the “double first-class” construction situation in real time, and accelerate their own construction. To enable the government to grasp the progress of the “double first-class” construction and carry out macro-control in a timely manner; Make the society know in time “double first-class” construction dynamic, strengthen social quality supervision (Zhu and Dong 2017; Wu 2017; Wang et al. 2019). Deepen theoretical research to enhance the practical effect of third-party assessment. Theoretical research is the fundamental guarantee for the third-party evaluation of long-term development. The ideal third-party organization exists as a professional and research-based evaluation institution. It is not only a purely transactional entity to carry out discipline evaluation activities, but also an entity to carry out discipline evaluation theory, method and technology research, and plays a role as a research front for discipline evaluation. Developed countries generally attaches great importance to the theory and method of the third-party evaluation system, has the advanced and practical evaluation method and technology, such as the U.S. news and world report, the United Kingdom and Germany QS CHE discipline ranking will be internal evaluation and external evaluation, the combination of expert assessment and public participation as a third party assessment of important mechanism, in the aspect of promoting the growth of the world first-class universities and first-class discipline plays a guidance function, has been widely accepted higher education stakeholders. Based on the experience of the developed country the third party assessment, we should combine China’s higher education practice, from a third party assessment theory, explore the evaluation practice of the course suited to its national conditions including explore suitable for China’s practice of colleges and universities evaluation ideas, evaluation content, evaluation criteria, evaluation method, etc., to form has its own characteristics and evaluation pattern to meet the needs of the client. At the same time, based on the sinicization of foreign assessment theories, methods and technologies, it is necessary to explore a discipline assessment system with Chinese characteristics and suitable for China’s national conditions, do a good job in theoretical reserve, method reserve and technology reserve, and constantly improve the

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pertinency and effectiveness of third-party assessment. In addition, under the background of the era of digitalization, informatization and intelligent, but also is good at using the Internet and big data technology, effectively develop the third party assessment survey of network and information channel, accurately grasp the essence of the complex phenomenon of education and the inherent law, scientific assessment and loss to the success of the discipline construction in colleges and universities, provides the high quality for the construction of “double” first-class service. In a word, the third party of subject evaluation should apply the theoretical research results to the practice of subject evaluation based on the theoretical research, guide the practical operation with the theoretical research, and in turn feedback the theory with the practice, and then guide the practice, forming a spiraling upward process (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.5.5 Make Multiple Value Judgments The construction of “double first-class” has the dual value function of promoting social development and human development, which requires the evaluation of “double first-class” to carry out multiple value judgment. Construction of “double top” stressed “adapt to the need of the national major strategic and geared to the needs of economic and social main battlefield, the forefront of world science and technology development”, “outstanding quality of the construction of the benefits and social contribution and international influence, highlight the discipline overlapping fusion and collaborative innovation and outstanding and industrial development, social demand, the latest technology to connect”. Therefore, the evaluation of “double first-class” construction should pay attention to the important role of each construction university in promoting the development of higher education, serving the national major strategy, contributing to economic and social development, leading the world’s scientific and technological progress, participating in international governance and so on. The construction of “double first-class” respects the principal position of human beings, takes the moral education as the foundation, the construction of first-class teachers and the cultivation of top innovative talents as the main construction tasks. Especially in the cultivation of human beings, the construction of “double first-class” emphasizes the cultivation of well-rounded human beings for the society, while attaching importance to the needs of individual development and supporting the free development of human beings. Therefore, the evaluation of the construction of “double first-class” should pay attention to the development of “people”, comprehensively examine the remarkable effects of the construction of colleges and universities in personnel training and explore the successful experience in teacher growth and evaluation. From diverse value judgment, the “double top” evaluation of the core elements of the selection should grasp the “strategic orientation, first-class lead, focused, system building and objective presentation” of the five basic principles, overall investigation each construction in initiative, innovation, entrepreneurship education in colleges and universities, the talent training quality,

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high level scientific research ability of construction effect, reflect the construction of colleges and universities in personnel training, scientific research, social services, cultural inheritance, innovation and international exchanges and cooperation in the comprehensive strength (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.5.6 The Goal of Social Justice The goal of social justice should not be ignored in the construction of “double firstclass”. First of all, in the “double first-class” construction of the institutional selection, construction objectives and supervision of the assessment into the recruitment of vulnerable groups from the proportion of indicators. Student diversity is not only an important pursuit of the higher education system, but also an organizational characteristic of world-class universities. “For the most part, universities are determined by those qualities that cannot be objectively measured but are noble … Intangible characteristics such as the diversity of the student body are at the heart of the university’s own identity and educational mission. “This task should not be left entirely above the lower levels of universities. World-class universities should show the value of caring for the disadvantaged. From the perspective of education equity, it is not advisable to expand the difference of enrollment qualification between “double firstclass” institutions and “non-double first-class” institutions. At present, the policy has paid attention to and taken measures to solve the problem of the diversity of college enrollment groups. The central government implemented the policy of “admitting students from rural areas to key universities”, which aims to smooth the vertical flow channels of students from rural and poor areas. However, the policy has not yet paid attention to the subject level and diversity of enrollment groups, which is of great significance not only to smooth the vertical flow channel of vulnerable groups, but also to the social justice value of the subject. Secondly, the social responsibility of disciplines and colleges should be clarified. Each type of university and different disciplines have their own unique social responsibilities, which cannot be effectively measured by research results alone. These social responsibilities are embodied in teaching, scientific research, social services, cultural inheritance and other aspects. To a certain extent, there is no difference between the rich and the poor. Therefore, in the construction of “double first-class”, the difference of social responsibility of different institutions should be clarified, and the emphasis should be placed on measuring the mission statement and goal realization degree of social responsibility of different institutions. In terms of discipline, we should not blindly attach importance to the hard subjects that can be compared internationally. Soft subjects such as humanities and social sciences are more important for social and cultural inheritance and can better reflect the world-class local value (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

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10.6 Suggestions in the Policy Evaluation of the Double First-Class Universities 10.6.1 Highlight the Two Characteristics of “Chinese Characteristics” and “First-Class” On the one hand, the construction of “double first-class” must adhere to the worldclass international standards, and its achievements must be recognized by the international academic community and the international community. The discipline construction in the field of philosophy and social sciences should also form the international discourse power and enhance the international influence. Based on this, most of the “double first-class” universities should choose the international famous universities with school-running characteristics or similar disciplines and related disciplines as the standard schools and disciplines in the formulation of the construction plan and should also echo in the evaluation of the effectiveness. On the other hand, to build a “double first-class”, we must take root in China, build China’s world-class universities and disciplines, and uphold Chinese characteristics. It is also an important contribution to the world to solve the major theoretical and practical problems in China’s natural and social fields based on China’s local practices. To build “double first-class” colleges and universities, we should take the initiative to align national and regional major development strategies, guide economic and social development practices, and highlight school-running characteristics and disciplinary advantages. In a word, the evaluation criteria and index system of the construction effect of “double first-class” should not only reflect the international standards, but also reflect the construction effect of “double first-class” colleges and universities in serving the national and regional major strategic needs, and organically combine the internationalization index and localization index (Zhu and Dong 2017; Wu 2017; Wang et al. 2019).

10.6.2 Create an Open Evaluation Dimension The evaluation of “double first-class” construction should abandon the previous practice of taking papers and awards as the main evaluation criteria, and construct innovative, diversified and comprehensive evaluation dimensions to reflect the construction effect. From “five one” the overall layout and the strategy of “four comprehensive” layout, the design of our country to the world first-class university and the first-class discipline construction, mid, and long-term more than 30 years in the near term goal programming as well as the tasks and the five reform tasks in the construction of five major construction content, based on the investigation to the construction goal and the content, we established a degree, contribution, leading, support and satisfaction evaluation of five dimensions. To evaluate the “double first-class” construction from

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these five dimensions can not only respond to the needs of the country and society, but also comprehensively and objectively evaluate the achievements of the “double first-class” construction. Among the five dimensions of construction, “degree of achievement” highlights the goal orientation of “double first-class” construction.

10.6.3 Build an Independent Data Monitoring Platform The construction of independent data monitoring platform is the key to collect the proprietary data of the “double first-class” construction, which provides basic guarantee for the dynamic monitoring of the “double first-class” construction. The “Double first-class” construction data monitoring platform will integrate multiple functions, such as big data mining, real-time output of monitoring status, horizontal and vertical comparison of construction results, etc., to provide multi-dimensional dynamic observation of construction results for various construction universities and governments at all levels. The platform data mainly comes from relevant data of national departments, third-party evaluation data, part of the data reported by colleges and universities, and all kinds of public data. In terms of data mining methods, the development of big data and various information technologies of “Internet + ” has transformed the massive “double first-class” construction data collation into all kinds of information needed by observers. In terms of the presentation of dynamic monitoring results, the monitoring platform collates all kinds of data and information output into various interactive dynamic charts to display the construction effect of each construction university in a friendly, convenient, dynamic, and allround way, and to assist each construction university to timely find construction problems and improve the construction efficiency. In terms of the horizontal and vertical comparison of the construction achievements, by comparing the construction achievements of other construction colleges and universities horizontally and comparing the construction achievements of each year, we can help the construction colleges and universities to find the shortcomings of the construction, and also provide reference for governments at all levels to make decisions on the next round of “double first-class” construction.

10.6.4 Promote the Benign Development of “Double First-Class” Universities and Disciplines Therefore, the construction of first-class universities and disciplines must pay attention to both the external explicit evaluation mechanism and the internal implicit evaluation mechanism. On the external dominant evaluation mechanism, especially the local government management and performance evaluation of construction object, we need to respect the university and the subject development rule, the short-term

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effect of shift in policy implementation, establishing both in scientific research such as the breakthrough on the key dominant index, more in order to establish the evaluation of the talent training center guide, strive to overcome Clark said “scientific research drift” and “teaching drift” phenomenon. At the same time, in the construction of local “double first-class”, the same importance should be attached to vertical stratification and horizontal stratification. Only by forming vertical stratification on top of horizontal stratification can it be conducive to benign competition and realize effective allocation of resources. In terms of the implicit internal evaluation mechanism, it pays attention to the cultivation of the inner quality and cultural spirit of universities and disciplines to create a good atmosphere of freedom, openness, tolerance and pursuit of excellence. The external explicit evaluation mechanism and the internal implicit evaluation mechanism work together to maintain the “moderate balance” and create the higher education system ecology with orderly competition and coordinated development.

10.6.5 The Government Should Grant Full Autonomy to Colleges and Universities Pointless bureaucracy will not create world-class universities/disciplines. Institutional autonomy helps motivate universities to innovate according to their own goals and to respond promptly and effectively to the rapidly changing needs of society. In addition to providing financial support, the university should also be given the power of independent budget management. More money can only be more effective when combined with budgetary autonomy. Policy tools such as rankings, evaluations, and performance reviews are only testing the results of institutional autonomy to motivate universities to develop a forward-looking strategy, to create a successful and superior management philosophy, and to foster a responsive culture (Zhu and Dong 2017; Wu 2017; Wang et al. 2019; Li 2021a, b; Xue et al. 2021; Li and Xue 2021).

References Li J (2021) Shaping “the belt and road initiative” international higher education: a qualitative study of international students from South-Asian countries in Chinese universities. Beijing Int Rev Edu 3(1):22–37 Li J (2021) Shaping education policy of home-school cooperation in China’s preschool education: trends and strategies. Beijing Int Rev Edu 3(1):113–119 Li J, Xue E (2021) Returnee faculty responses to internationalizing “academic ecology” for creating world-class universities in China’ elite universities. High Educ 81(5):1063–1078 Wang Z, Liu J, Qiao G (2019) Clearing up “four unique” calls for “double first class” construction evaluation innovation. Chin Higher Edu 19(01):16–26 Wu H (2017) Systematic review and promotion strategy of “double first-class” construction. Higher Edu Res 17(1):29–36

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