世界科技研究与发展 ›› 2022, Vol. 44 ›› Issue (4): 543-556.doi: 10.16507/j.issn.1006-6055.2021.09.007

• 科技评价与评估 • 上一篇    下一篇

公共研发计划三角评价模型研究——基于发达国家/地区评价案例分析

陶蕊
  

  1. 科技部科技评估中心战略研究部,北京100081
  • 出版日期:2022-08-25 发布日期:2022-09-14
  • 基金资助:
    国家科技评估中心评估研究专项“世界科技评估研究前沿分析”(YJZX2021-8)

The Study of Triangle Model for Public R&D Program Evaluation Based on Analysis of Evaluation Cases of Developed Countries/Reigon

TAO Rui   

  1. Department of Strategic Study, National Center for Science and Technology Evaluation, Beijing 100081, China
  • Online:2022-08-25 Published:2022-09-14

摘要:

加强对公共研发计划的评价是推进科技治理体系和治理能力现代化的重要手段。我国不断丰富的评价活动,对评价理论及方法论提出了更高需求。本研究从国际共识的评估理论树出发,通过分析美国、欧盟等发达国家和地区的代表性公共研发计划评价实践案例,提出一种针对公共研发计划的三角评价模型,包括关键评价问题、适用性评价方法以及评价证据,并探索构建三者之间的关系。随后,文章结合国外公共研发计划评价的若干实践案例,阐述同行评议、监测评价指标、文献计量、案例研究、调查、网络分析、对标分析、经济学分析、溢出效应分析、历史回溯等评价方法在实际操作中的优势与不足,以及在使用中的注意事项,并列举典型的评价证据。文章最后探讨了三角模型对于提升公共研发计划评价水平、“三评”改革和破除“四唯”的意义,并得出如下启示:面对科学技术发展趋势与研发计划模式创新,科技评价方式将面临改革,把握好评价的基本要素是应对科技评价机遇与挑战的重要原则,三角评价模型及国外公共研发计划评价的案例可为我国改进科技评价体系提供思路与方法。

关键词: 评估理论树, 公共研发计划, 三角评价模型, 科技评价

Abstract:

Strengthening the evaluation of public R&D programs is an important means to promote China’s governance capacity in S&T area. The evaluation activities of public R&D programs in China have been enriched continuously, which has put forward higher demands on evaluation theories and methodologies. Based on foreign evaluation theory tree, by analyzing the evaluation cases of typical public R&D programs in developed countries and region like the US and EU, this study proposes a triangle evaluation model for public R&D programs. It includes key evaluation questions, methods, evidence, and the relations among them. Advantages and shortcomings of 10 evaluation methods in practice are described then, such as peer review, bibliometric, case study, network analysis, etc. Typical evaluation evidence and some using rules are introduced. Finally, this article discusses the significance of the triangle model for improving public R&D program evaluation. It concluded that, along with the trend of science and technology development, as well as the innovation of R&D program model, science and technology evaluation need further reform, handling the basic elements of evaluation is an important principle to meet the opportunities and challenges. The triangle evaluation model and the foreign cases can provide insights for China.

Key words: Evaluation Theory Tree, Public R&D Programs, Triangle Evaluation Model, Science and Technology Evaluation