改进的DEA在研发项目绩效评价中的应用——以山东省自然科学基金为例

Application of Improved DEA in R&D Project Performance Evaluation:A Case Study of Shandong Natural Science Foundation

根据山东省自然科学基金项目的宗旨,构建基于投入—状态—产出视角下的绩效评价指标体系,采用基于指标权重和考虑状态的DEA方法,以山东省科学技术厅相关数据为数据源,依据山东省自然科学基金项目学科类别和项目类别的不同进行实证研究。结果表明,按学科类别划分的八类项目中信息科学和工程与材料科学综合效率最高,生物和数理学科发展环境有待改善,医学科学在资源配置方面存在不足;按项目类别划分的四类项目中面上项目、青年基金和重点项目的综合水平较高,博士基金的综合效率最差。最后,本研究给出了提高山东省研发项目绩效的对策与建议:(1)持续稳定地增加政府财政科技投入,提高资助强度。(2)加大产学研合作力度,积极推动基础研究成果的市场转化。(3)引入绩效评价机制,提高政府资金使用效率。

According to the purpose of Shandong natural science fund project,the performance evaluation index system is constructed from an input-state-output perspective,and by adopting a DNA method based on index weight and state consideration and with the relevant data from Shandong Department of Science and Technology as data source,an empirical study is conducted based on the different subject categories and project categories of Shandong natural science fund projects. The results show that among the eight types of subjects divided according to the subject category,the comprehensive efficiency of information science and engineering and material science is the highest,the development environment of biology and mathematical science needs to be improved,and medical science presents imperfections in resources allocation; and that among the four types of projects divided by project categories,the comprehensive level of the surface projects,youth fund projects and key projects is relatively high while the comprehensive efficiency of the Ph D fund projects is the lowest. Finally,the countermeasures and suggestions for improving the performance of Shandong RD projects are proposed： a. Continue to increase steadily government financial investment in science and technology and raise the funding intensity; b. Increase the cooperation in production,teaching and research,and actively promote the market transformation of basic research achievements; and c. Introduce performance evaluation mechanism and improve the efficiency of government fund utilization.