科技成果转化的战略绩效评价——基于国家科学技术进步奖成果的实证研究

Strategic Performance Evaluation of Transformation of Scientific and Technology Achievements:An Empirical Study Based on National Progress Prize in Scientific

科技成果转化绩效评价对科技成果转化的活动具有重要的导向作用,通过对科技成果转化战略绩效的理论研究,确立了科技成果转化战略绩效评价的五个维度,即经济层面、政治层面、民生层面、生态层面、文化层面,采用专家问卷调查法及层次分析法确定指标权重,构建了评价模型。选取了2010年至2015年国家科学技术进步奖获奖成果作为样本进行实证研究,将成果按照战略性新兴产业进行分类对比,并对评价结果进行聚类分析。结果表明:多数成果转化的战略绩效处于中低水平,只注重单一层面效益,少数成果能够兼顾多层面效益转化。最后为提高我国科技成果转化战略绩效提出相关政策建议。

In order to support the construction of beautiful,healthy and safe China,the task of scientific and technological innovation has gradually changed from promoting economy to the integration of serving people’s livelihood,economy,ecology,politics culture and other areas of national development.However,the performance evaluation matching with the transformation of scientific and technological achievements is still mostly focused on the study of economic benefits.With the promotion of economic growth,the transformation of scientific and technological achievements may also produce negative effects on society.The performance evaluation of the transformation of scientific and technological achievements plays an important guiding role in the transformation of scientific and technological achievements.Therefore,we should combine economic value with social value in the perspective of strategic performance to evaluate the performance of transformation of scientific and technological achievements in order to achieve comprehensive sustainable development.Based on the theory of strategic performance,the theory of strategic performance in the transformation of scientific and technological achievements has been studied.Through the value analysis of the transformation of scientific and technological achievements in economic promotion and social promotion,combined with the strategic objectives of national scientific and technological development,the five dimensions of strategic performance evaluation of scientific and technological achievements transformation are summarized,that is,economic level,political level,people’s livelihood level,ecological level and cultural level.Then the corresponding secondary indicators and measurement indicators are deduced.The index weight was determined by the method of expert questionnaire and analytic hierarchy process(AHP).Then the strategic performance evaluation model of scientific and technological achievements transformation is constructed.Taking the National Science and Technology Progress Award from 2010 to 2015 as a sample,the achievements are classified according to strategic emerging industries,and the evaluation results are clustered and analyzed.Finally,in order to improve the strategic performance of the transformation of scientific and technological achievements in China,corresponding suggestions are put forward for the three related subjects of the transformation of scientific and technological achievements,namely,government departments,scientific research institutions and enterprises.Main conclusions:First,according to the theoretical research on the strategic performance of scientific and technological achievements transformation,an evaluation index system and model of scientific and technological achievements transformation strategy performance are established,which is composed of five first-class indexes and eleven second-class indexes,combining economic and social benefits.Second,the empirical results show that the strategic performance of most of the awards is in the middle and low level,while the strategic performance of a small number of achievements is in the high level.Third,according to the classification of different industries,the average score of the strategic performance of each industry achievements is ranked in the following order:new energy vehicle,new energy industry,energy conservation and environmental protection industry,new material industry,high-end equipment manufacturing industry,new generation information technology industry,biological industry,and soft science field,which is arranged from high to low.Fourth,54.98%of the scientific and technological achievements in the sample show significant benefits in a single aspect,which are the lowest in strategic performance;40.98%of the scientific and technological achievements can take into account two aspects of benefits,and the strategic performance of this type is at the middle level;4.04%of the achievements can take into account more than three aspects of benefits,and the number of such achievements is small while the strategic performance of this type is the highest.Fifthly,the ecological and economic benefits of achievement transformation coexist.Because the enterprise has the characteristics of pursuing profit maximization,green technology is easy to be accepted by the enterprise only on the basis of bringing higher economic benefits.In addition,most of the achievements are relatively high in both ecological and economic benefits.It can be seen that a large number of green technologies have been transformed and applied with the attention to green technology and the implementation of relevant policies.The main innovations are reflected in three aspects:First,the strategic performance evaluation index system for the transformation of scientific and technological achievements has been established,covering a wider range of benefits.It provides a more comprehensive evaluation index system for the transformation of scientific and technological achievements in China,and is conducive to guiding the transformation of scientific and technological achievements to realize the development of various benefits,which can effectively support the sustainable development strategy.The index system is applicable to the evaluation of various types of achievements and various transformation subjects,so that the transformation performance of scientific and technological achievements of various units,regions and industries can be evaluated and compared under the same standard.Secondly,the strategic performance of the achievement transformation of the national science and technology progress award is evaluated and analyzed by using the evaluation index system.The relevant conclusions are drawn,and the sample is representative.Thirdly,based on the problems existing in the current transformation activities of scientific and technological achievements and the relevant evaluation system,the corresponding suggestions are put forward,which are respectively aimed at the three relevant subjects of scientific and technological achievements transformation,namely,government departments,scientific research institutions and enterprises,in order to improve the strategic performance of scientific and technological achievements transformation and improve the quality of scientific and technological achievements transformation in China.In the future research,it is valuable to make a longitudinal comparative study on the same research object in different time periods,and analyze the trends in performance change and the factors affecting performance,so as to make a meaningful theoretical support for improving the transformation level of scientific and technological achievements in China.