安徽省科研机构绩效综合评价研究——基于因子分析和DEA方法

Research on the Comprehensive Evaluation of the Performance of Scientific Research Institutions in AnHui Province——Based on Factor Analysis and DEA

[目的/意义]现有科研机构绩效评价体系较为复杂不宜广泛应用,因此有必要建立一套科学且简单易操作的科研机构绩效综合评价体系。[方法/过程]从创新环境、创新投入、创新产出和创新收益入手,构建科研机构创新绩效评价指标体系,数据均来源于公开统计报表制度,具有权威性和可获得性。通过因子分析方法对数据进行处理,得出三大公共因子,最后利用DEA模型计算综合效率,通过两种方法相结合的方式对20家科研机构的科技创新效率进行评价。[局限]由于报表制度的限制,部分不符合条件的科研机构并未在系统中,导致这部分单位无法参与评价。[结果/结论]研究得出安徽省科研机构的创新能力评价结果分为两类,一类是传统科研机构创新能力两级分化明显,另一类是新型研发机构创新势头突飞猛进。建议对于传统科研机构,加大投入保障,促进转型升级,培育引进高端人才;对于新型研发机构,深化对科研机构“放管服”改革,促进成果转化效率。下一步随着政策的调整和考核方向的变化,继续对指标体系进行优化调整。

[Objective/Significance]The existing performance evaluation system for scientific research institutions is relatively complex and not suitable for widespread application.Therefore,it is necessary to establish a scientific,simple and easy to operate comprehensive evaluation system for the performance of scientific research institutions.[Methods/Processes]Starting from the innovation environment,innovation input,innovation output,and innovation efficiency,a performance evaluation index system for scientific research institutions’innovation is constructed.The data is sourced from the public statistical reporting system,which is authoritative and accessible.By using factor analysis method to process the data,three common factors were obtained.Finally,the DEA model was used to calculate the comprehensive efficiency,and the technological innovation efficiency of 20 research institutions was evaluated through a combination of the two methods.[Limitations]Due to limitations in the reporting system,some research institutions that do not meet the conditions are not included in the system,resulting in these units being unable to participate in the evaluation.[Results/Conclusions]The evaluation results of innovation capability of research institutions in Anhui Province can be divided into two categories:one is the obvious two-level differentiation of innovation capability in traditional research institutions,and the other is the rapid progress of innovation momentum in new research and development institutions.Suggest increasing investment in traditional scientific research institutions,promoting transformation and upgrading,and cultivating and introducing high-end talents;For new research and development institutions,we will deepen the reform of“delegating control and serving scientific research institutions”and promote the efficiency of achievement transformation.The next step is to continue optimizing and adjusting the indicator system with policy adjustments and changes in assessment direction.