高校科技项目后评价及其跟踪管理对策研究
|
摘要
科技项目评价,作为科技管理体系的重要环节,是科技项目管理中建立竞争、激励与监督机制的基础和前提,是科学决策、确保科技任务完成的可靠依据,是判断科技项目实施绩效、成果水平的重要支撑。高校科技项目作为高校科研水平与科学技术先进程度的外在表现形式,是科学技术得以实现的重要载体,是科技活动不可或缺的一部分,随着科学技术的发展而逐渐增加。因此,高校科技项目的完成情况、所带来的经济、社会效益、环境效益等方面内容,越来越受到相关部门的重视。为确保科技项目成果能够发挥价值,获得最大的投资效益,对高校科技项目进行实时、有力后评价及其跟踪管理具有重要的现实意义。
本文首先介绍了研究的相关理论,包括科技项目、科技项目评价、高校科技项目后评价及其跟踪管理等;在对相关概念界定和阅读大量相关资料与调研的基础上,对高校开展科技项目评价及其后评价问题进行了深入的分析,存在的问题主要包括对科技项目后评价重视不够、后评价人才队伍素质不高、后评价机构匮乏、缺乏完善的后评价指标体系、后评价程序规范性、透明度不够等;通过对以往科技项目后评价指标体系与方法的总结和分析,构建出一套既有普适性,又有特殊性的评价指标体系,以解决因科技项目属性不同而产生的指标难以统一和量化的问题;与此同时,对高校科技项目后评价的程序进行了规范,并对高校如何开展后评价程序活动做进一步拓展;最后,从政府、企业、高校三方面,提出高校科技项目跟踪管理对策。
本文研究不同于以往的研究成果,在总结、分析相关研究资料的基础上,系统地将高校科技项目后评价作为研究的主要对象,针对后评价过程存在的具体问题,有侧重点的进行了分析并给出解决对策。因此,本论文的研究对于相关领域的研究具有一定的借鉴和参考价值,有助于提高高校科技项目的管理水平和绩效。
Science and technology project evaluation, as an important aspect of science and technology management system, is the premise in the establishment of science and technology project management with competitions, incentives and monitoring mechanisms. It is the basis and prerequisite for the scientific decision-making, to ensure a solid basis for science and technology task, and the important support to determine the performance level of achievement. University science and technology project as a university research level and sophistication of science and technology and the external manifestation of science and technology to achieve an important carrier is an integral part of science and technology activities with the development of science and technology increasing. Therefore, the completion, the results of economic, social and environmental benefits and other aspects, become an increasing attention by the relevant departments. To ensure the outcome of science and technology project can play the value and achieve the maximum return on investment. So it is of great significance to take a real-time conduct, powerful post evaluation and tracking management in universities.
This study first introduced the basic theories, including the science and technology project, science and technology project evaluation, as well as university science and technology post evaluation and its tracking management. After reading a large number of information and research, analyzed the existing problems of university science and technology post evaluation and its tacking management. The problem mainly included insufficient attention to science and technology post evaluation, low personnel quality of post evaluation, lack of post evaluation agencies, lack of effective post evaluation index system, the latter normative and inadequate transparency of evaluation procedures, and so on. By analyzing and summarizing the index systems and methods in the past, built a set of universal and particular evaluation index system to solve the hard problem of unity and quantify arising from various indicators. Meanwhile, standard the procedure of university science and technology project post evaluation, and expand the content of how to carry out the procedures of post evaluation. At last, discussed how to ensure the effective conduct of post evaluation work from the governments, enterprises and universities, gave the measures of university science and technology project evaluation.
This study is different from the former research results, based on the conclusion and analysis of the relevant research date, systematically took the university science and technology project post evaluation as the main research object. Focus on the problems of the post evaluation, gave the countermeasures. Therefore, this thesis research has a certain reference values for the related research in this field, and can help improve the level of university science and technology project management and performance.
本文首先介绍了研究的相关理论,包括科技项目、科技项目评价、高校科技项目后评价及其跟踪管理等;在对相关概念界定和阅读大量相关资料与调研的基础上,对高校开展科技项目评价及其后评价问题进行了深入的分析,存在的问题主要包括对科技项目后评价重视不够、后评价人才队伍素质不高、后评价机构匮乏、缺乏完善的后评价指标体系、后评价程序规范性、透明度不够等;通过对以往科技项目后评价指标体系与方法的总结和分析,构建出一套既有普适性,又有特殊性的评价指标体系,以解决因科技项目属性不同而产生的指标难以统一和量化的问题;与此同时,对高校科技项目后评价的程序进行了规范,并对高校如何开展后评价程序活动做进一步拓展;最后,从政府、企业、高校三方面,提出高校科技项目跟踪管理对策。
本文研究不同于以往的研究成果,在总结、分析相关研究资料的基础上,系统地将高校科技项目后评价作为研究的主要对象,针对后评价过程存在的具体问题,有侧重点的进行了分析并给出解决对策。因此,本论文的研究对于相关领域的研究具有一定的借鉴和参考价值,有助于提高高校科技项目的管理水平和绩效。
Science and technology project evaluation, as an important aspect of science and technology management system, is the premise in the establishment of science and technology project management with competitions, incentives and monitoring mechanisms. It is the basis and prerequisite for the scientific decision-making, to ensure a solid basis for science and technology task, and the important support to determine the performance level of achievement. University science and technology project as a university research level and sophistication of science and technology and the external manifestation of science and technology to achieve an important carrier is an integral part of science and technology activities with the development of science and technology increasing. Therefore, the completion, the results of economic, social and environmental benefits and other aspects, become an increasing attention by the relevant departments. To ensure the outcome of science and technology project can play the value and achieve the maximum return on investment. So it is of great significance to take a real-time conduct, powerful post evaluation and tracking management in universities.
This study first introduced the basic theories, including the science and technology project, science and technology project evaluation, as well as university science and technology post evaluation and its tracking management. After reading a large number of information and research, analyzed the existing problems of university science and technology post evaluation and its tacking management. The problem mainly included insufficient attention to science and technology post evaluation, low personnel quality of post evaluation, lack of post evaluation agencies, lack of effective post evaluation index system, the latter normative and inadequate transparency of evaluation procedures, and so on. By analyzing and summarizing the index systems and methods in the past, built a set of universal and particular evaluation index system to solve the hard problem of unity and quantify arising from various indicators. Meanwhile, standard the procedure of university science and technology project post evaluation, and expand the content of how to carry out the procedures of post evaluation. At last, discussed how to ensure the effective conduct of post evaluation work from the governments, enterprises and universities, gave the measures of university science and technology project evaluation.
This study is different from the former research results, based on the conclusion and analysis of the relevant research date, systematically took the university science and technology project post evaluation as the main research object. Focus on the problems of the post evaluation, gave the countermeasures. Therefore, this thesis research has a certain reference values for the related research in this field, and can help improve the level of university science and technology project management and performance.
引文
[1]金振辉.科技项目评价方法研究:(硕士学位论文).昆明:昆明理工大学,2006.
[2]姜伟新,张三力.投资项目后评价.北京:中国石化出版社,2000.
[3]郑燕.电力投资项目后评价研究及应用:(硕士学位论文).河北:华北电力大学,2006.
[4]金立群.公共投资项目后评价—机制、政策和方法.北京:中国财政经济出版社,1995.
[5] Shaohua Chen,Martin Ravallion. Hidden impact ex-post evaluation of an anti-poverty program. Development Research Group World Bank, 2003, 3:219-247.
[6] Gines de Rus,Vicente Inglada. Cost-benefit analysis of the high-speed train in Spain. The Annals of Regional Science, 1997, 31(2):175-188.
[7] Wallity. Association of project management. Syllabus for the APMA examination, 1996, 1:127-136.
[8] Kuhn H W,Tucker A W. Nonlinear programming. California: University of California Press, 1951.
[9] Koopmans,T.C. Analysis of production as an efficient combination of activities. In: Activity Analysis of Production and Allocation T.C. Koopmans, ed. Cowles commission monograph 13, 1951:33-97.
[10] Torgerson W S. Multidimensional scaling: theory and method. Psychometrics, 1952, 22(17):401-419.
[11] Charnes A,Cooper W. Management models and industrial applications of linear programming. New York: John Wiley & Sons, 1961.
[12] Johnson R.A,Wichern D.W. Applied multivariate statistical analysis. London: Prentice-Hall, 1998.
[13] Charnel A,Cooper W and Lewin A Y, et al. Sensitivity and stability analysis in DEA. Annals of Operation Research, 1985, 2:139-156.
[14] Saaty T.L. Mathematical modeling of dynamic decisions, priorities and hierarchies with time dependence. Mathematics and computers in Simulation, 1997, 1(21):352~358.
[15] Satty T.L. The analytic hierarchy process. New York: Graw-Hill, 1980.
[16] Heston Steven L,Nandi Saikat. A closed-form GARCH option valuation mode. The Review of Financial Studies, 2000, 23(7):213-259.
[17] Maeda H,Murakami S.A. Fuzzy decision-making method and its application to a company choice problem. Information Science, 1998, 45:331-346.
[18] Gregory A J,Jackson M C. Evaluation methodologies: a system of use. Operational Research Society, 1992, 43(1):19-28.
[19]张三力.项目后评价.北京:清化大学出版社,2001.
[20]高向军.土地整理理论与实践.北京:地质出版社,2001.
[21]熊兆翔.贷款项目后评价实用手册.北京:中国计划出版社,1993.
[22]刘斌.国家开发银行项目贷款后评价体系及启示.金融理论与实践,2004,300(7):91-92.
[23]黄德春.投资项目后评价的理论、方法及应用研究.北京:中国海洋出版社,2004.
[24]白思俊.项目中评价初探.管理工程学报,2002,14(2):65-66.
[25]白思俊.关于项目后评价的探讨.管理工程学报,2002,16(增刊):5-7.
[26] ZhaoLY, Gu J F. An over view of evaluation in theory and practice. Proceedings of 1996 IEEE International Conference on Systems. Beijing, 1996:2047-2411.
[27]程凌刚,周海涛.公路建设项目国民经济效益计算的理论与方法回顾.公路交通科技,2001,18(4):123-126.
[28]余晓岭,魏薇,杨忠直.技术项目评价与选择方法研究.管理工程学报,2000,14(1):31-34.
[29]崔毅.项目投资决策的必要性原则解析.数量经济技术经济研究,2001,12:112-114.
[30]姜伟新.张三力.投资项目后评价.北京:中国石化出版社,2001.
[31]童文胜,杨钦.对项目评估方法和标准的若干思考.数量经济技术经济研究,1998,7:56-59.
[32]曾祥云,吴育华.相对有效性评价的随机性研究.系统工程,1999,17(5):17-22.
[33]许长新,隋忠海.交通运输类上市公司财务评价模型研究.中国软科学,2001,8:112-114.
[34]梅绍祖,贾艳玲.企业技术改造项目综合效益后评价.系统工程理论与实践,1997,5:78-81.
[35]查健禄,田钦谟,李盛德.综合评价问题的系统分析.系统工程学报,2000,15(2):124-130.
[36]郭多祚,王玮.一种新的经济项目分析评价模型及应用.数量经济技术经济研究,1997,4:63-65.
[37]赵斌,赵玉庆.系统综合评价法在工程后评价中的应用讨论.广西水利水电,1999,3:6-8.
[38]吴永林.企业技术创新能力的多级模糊综合评价.数量经济技术经济研究.2002,3:53-56.
[39]冯圣洪,周心权.一种综合评价指标属性值归一量化技术新途径.系统工程学报,2000,15(2):187-191.
[40]张新红,郑丕谔.基于神经网络的管理信息系统综合评价方法.系统工程学报,2002,17(5):445-450.
[41]马哲伟.高校科研评估.大连:东北财经大学出版社,2007.
[42]郑金平,刘田福,韩晓立,张晋听.对科研基金中申报项目的评价和筛选.中华医院管理杂志,2000,16(8):13-16.
[43] Trueman B. The relationship between the level of capital expenditure and firm value. Financial and Quantitative Analysis, 2004, 21(2):115-129
[44] Bikhehandani S.,Hirshleifei D. and Welch I.A. Theory of fads, fashion, custom and cultural change as informational cascades. Political Economy, 1998, 51(3):992-1026
[45]陈峰,周业如.科技项目后评估工作实践与探索.科学管理研究,2008(3):44-46.
[46]邹华,刘雷.科技评价论.沈阳:东北大学出版社,2008.
[47]李新荣.对高校科技项目投资效益问题的统计分析与思考.科技管理研究,2002,5:22-24.
[48]于明政,易树评,刘飞.地方科技计划项目绩效评估指标体系研究.决策咨询(决策管理),2007,23:8-9.
[49]姜伟新,张三力.投资项目后评价.北京:中国石化出版社,2001.
[50]安鸿志,顾岚.统计模型与预报方法.北京:气象出版社,1986.
[51]赵换臣,许树柏,金生.层次分析法.北京:科学出版社,1986.
[52]潭跃进,陈英武,易进先.系统工程原理.长沙:国防科技大学出版社,1999.
[53]汪应洛.系统工程理论方法与应用.北京:高等教育出版社,1992.
[54]曹炳元.应用模糊数学与系统.北京:科学出版社,2005.
[55] Deng Ju-long. Common operation and concept number in grey theory. Grey System, 2000, 2:84-85.
[56]邓聚龙.灰色系统基本方法.武汉:华中科技大学出版社,2005.
[2]姜伟新,张三力.投资项目后评价.北京:中国石化出版社,2000.
[3]郑燕.电力投资项目后评价研究及应用:(硕士学位论文).河北:华北电力大学,2006.
[4]金立群.公共投资项目后评价—机制、政策和方法.北京:中国财政经济出版社,1995.
[5] Shaohua Chen,Martin Ravallion. Hidden impact ex-post evaluation of an anti-poverty program. Development Research Group World Bank, 2003, 3:219-247.
[6] Gines de Rus,Vicente Inglada. Cost-benefit analysis of the high-speed train in Spain. The Annals of Regional Science, 1997, 31(2):175-188.
[7] Wallity. Association of project management. Syllabus for the APMA examination, 1996, 1:127-136.
[8] Kuhn H W,Tucker A W. Nonlinear programming. California: University of California Press, 1951.
[9] Koopmans,T.C. Analysis of production as an efficient combination of activities. In: Activity Analysis of Production and Allocation T.C. Koopmans, ed. Cowles commission monograph 13, 1951:33-97.
[10] Torgerson W S. Multidimensional scaling: theory and method. Psychometrics, 1952, 22(17):401-419.
[11] Charnes A,Cooper W. Management models and industrial applications of linear programming. New York: John Wiley & Sons, 1961.
[12] Johnson R.A,Wichern D.W. Applied multivariate statistical analysis. London: Prentice-Hall, 1998.
[13] Charnel A,Cooper W and Lewin A Y, et al. Sensitivity and stability analysis in DEA. Annals of Operation Research, 1985, 2:139-156.
[14] Saaty T.L. Mathematical modeling of dynamic decisions, priorities and hierarchies with time dependence. Mathematics and computers in Simulation, 1997, 1(21):352~358.
[15] Satty T.L. The analytic hierarchy process. New York: Graw-Hill, 1980.
[16] Heston Steven L,Nandi Saikat. A closed-form GARCH option valuation mode. The Review of Financial Studies, 2000, 23(7):213-259.
[17] Maeda H,Murakami S.A. Fuzzy decision-making method and its application to a company choice problem. Information Science, 1998, 45:331-346.
[18] Gregory A J,Jackson M C. Evaluation methodologies: a system of use. Operational Research Society, 1992, 43(1):19-28.
[19]张三力.项目后评价.北京:清化大学出版社,2001.
[20]高向军.土地整理理论与实践.北京:地质出版社,2001.
[21]熊兆翔.贷款项目后评价实用手册.北京:中国计划出版社,1993.
[22]刘斌.国家开发银行项目贷款后评价体系及启示.金融理论与实践,2004,300(7):91-92.
[23]黄德春.投资项目后评价的理论、方法及应用研究.北京:中国海洋出版社,2004.
[24]白思俊.项目中评价初探.管理工程学报,2002,14(2):65-66.
[25]白思俊.关于项目后评价的探讨.管理工程学报,2002,16(增刊):5-7.
[26] ZhaoLY, Gu J F. An over view of evaluation in theory and practice. Proceedings of 1996 IEEE International Conference on Systems. Beijing, 1996:2047-2411.
[27]程凌刚,周海涛.公路建设项目国民经济效益计算的理论与方法回顾.公路交通科技,2001,18(4):123-126.
[28]余晓岭,魏薇,杨忠直.技术项目评价与选择方法研究.管理工程学报,2000,14(1):31-34.
[29]崔毅.项目投资决策的必要性原则解析.数量经济技术经济研究,2001,12:112-114.
[30]姜伟新.张三力.投资项目后评价.北京:中国石化出版社,2001.
[31]童文胜,杨钦.对项目评估方法和标准的若干思考.数量经济技术经济研究,1998,7:56-59.
[32]曾祥云,吴育华.相对有效性评价的随机性研究.系统工程,1999,17(5):17-22.
[33]许长新,隋忠海.交通运输类上市公司财务评价模型研究.中国软科学,2001,8:112-114.
[34]梅绍祖,贾艳玲.企业技术改造项目综合效益后评价.系统工程理论与实践,1997,5:78-81.
[35]查健禄,田钦谟,李盛德.综合评价问题的系统分析.系统工程学报,2000,15(2):124-130.
[36]郭多祚,王玮.一种新的经济项目分析评价模型及应用.数量经济技术经济研究,1997,4:63-65.
[37]赵斌,赵玉庆.系统综合评价法在工程后评价中的应用讨论.广西水利水电,1999,3:6-8.
[38]吴永林.企业技术创新能力的多级模糊综合评价.数量经济技术经济研究.2002,3:53-56.
[39]冯圣洪,周心权.一种综合评价指标属性值归一量化技术新途径.系统工程学报,2000,15(2):187-191.
[40]张新红,郑丕谔.基于神经网络的管理信息系统综合评价方法.系统工程学报,2002,17(5):445-450.
[41]马哲伟.高校科研评估.大连:东北财经大学出版社,2007.
[42]郑金平,刘田福,韩晓立,张晋听.对科研基金中申报项目的评价和筛选.中华医院管理杂志,2000,16(8):13-16.
[43] Trueman B. The relationship between the level of capital expenditure and firm value. Financial and Quantitative Analysis, 2004, 21(2):115-129
[44] Bikhehandani S.,Hirshleifei D. and Welch I.A. Theory of fads, fashion, custom and cultural change as informational cascades. Political Economy, 1998, 51(3):992-1026
[45]陈峰,周业如.科技项目后评估工作实践与探索.科学管理研究,2008(3):44-46.
[46]邹华,刘雷.科技评价论.沈阳:东北大学出版社,2008.
[47]李新荣.对高校科技项目投资效益问题的统计分析与思考.科技管理研究,2002,5:22-24.
[48]于明政,易树评,刘飞.地方科技计划项目绩效评估指标体系研究.决策咨询(决策管理),2007,23:8-9.
[49]姜伟新,张三力.投资项目后评价.北京:中国石化出版社,2001.
[50]安鸿志,顾岚.统计模型与预报方法.北京:气象出版社,1986.
[51]赵换臣,许树柏,金生.层次分析法.北京:科学出版社,1986.
[52]潭跃进,陈英武,易进先.系统工程原理.长沙:国防科技大学出版社,1999.
[53]汪应洛.系统工程理论方法与应用.北京:高等教育出版社,1992.
[54]曹炳元.应用模糊数学与系统.北京:科学出版社,2005.
[55] Deng Ju-long. Common operation and concept number in grey theory. Grey System, 2000, 2:84-85.
[56]邓聚龙.灰色系统基本方法.武汉:华中科技大学出版社,2005.