基础研究的资源结构与绩效评价体系比较研究
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- 英文论文题名：A Comparative Study on the Resource Structure and Performance Evaluation System of Basic Research
- 论文作者：李培楠 ; 万劲波 ; 王鑫 ; 王芳
- 英文论文作者：Peinan Li ; Jinbo Wan ; Xin Wang ; Fang Wang ; Institutes of Science and Development ; Chinese Academy of Sciences
- 年：2016
- 作者机构：中国科学院科技战略咨询研究院;
- 论文关键词：基础研究 ; 资源结构 ; 绩效评价体系
- 英文论文关键词：basic research ; resource structure ; performanceevaluation system
- 会议召开时间：2016-11-12
- 会议录名称：第十二届中国科技政策与管理学术年会论文集
- 语种：中文
- 分类号：G322
- 学会代码：ZGXF
- 会议名称：第十二届中国科技政策与管理学术年会暨研究会理事会
- 会议地点：中国重庆
- 主办单位：中国科学学与科技政策研究会
- 学会名称：中国科学学与科技政策研究会
- 页数：9
- 文件大小：1298k
- 原文格式：D
- 会议级别：全国
摘要
《2016全球创新报告》等报告显示,中国在多个创新领域具备优势,但基础研究投入及其绩效表现仍有待加强。从资源基础视角分析基础研究的绩效,有利于识别基础研究存在的投入结构问题,找准绩效评价体系的改进方向。通过研究文献和政策文件梳理,研究发现主要国家对基础研究的重视已经从"政策性概念"转变为"对价值的关注",基础研究绩效评价更加强调其对经济社会的"贡献"。以主要创新领先国家基础研究的资源基础和绩效评价体系为例,在分析其结构特征及评价实践的基础上,研究识别出当前中国基础研究资源基础存在三种"不协调"结构,这一结构对现行评价体系产生路径锁定和不良影响。最后从资源基础和绩效评价体系角度分别提出促进未来中国基础研究繁荣发展的对策建议。
《2016 Global Innovation Report》and other reports show that China has advantages in many areas of innovation, but China's basic research and its performance remains to be strengthened. Analyzing the performance of basic research from perspective of resource base, is conducive to identifyingproblems existing in theinput structure of the basic research and therefore finding directions to improve the performance evaluation system.. Through studies of literatures and policy documents, it is found that the emphasis on basic research in major countries has changed from "policy concept"to "attention of value", and basic research performance evaluation emphasizes more on economic and social contribution. Taking resource-based and performance evaluation system of the main innovation leading national countries as an example and based on the analysis of structural characteristics and evaluation practice, this paper finds out that there are three kinds of "uncoordinated" resource base structure in China's basic research, which lead the current evaluation system to problems of path locking and adverse effects. Finally, from the perspective of resource base and performance evaluation systemrespectively, this papergives countermeasure and suggestion for promoting the future development and prosperity of China's basic research.
《2016 Global Innovation Report》and other reports show that China has advantages in many areas of innovation, but China's basic research and its performance remains to be strengthened. Analyzing the performance of basic research from perspective of resource base, is conducive to identifyingproblems existing in theinput structure of the basic research and therefore finding directions to improve the performance evaluation system.. Through studies of literatures and policy documents, it is found that the emphasis on basic research in major countries has changed from "policy concept"to "attention of value", and basic research performance evaluation emphasizes more on economic and social contribution. Taking resource-based and performance evaluation system of the main innovation leading national countries as an example and based on the analysis of structural characteristics and evaluation practice, this paper finds out that there are three kinds of "uncoordinated" resource base structure in China's basic research, which lead the current evaluation system to problems of path locking and adverse effects. Finally, from the perspective of resource base and performance evaluation systemrespectively, this papergives countermeasure and suggestion for promoting the future development and prosperity of China's basic research.
引文
1.《2016全球创新报告》,2016。[EB]-http://stateofinnovation.thomsonreuters.com/
2 .OECD Science,Technology and Industry Scoreboard 2015.2015,10,19.[EB]-http://www.keepeek.com/Digital-Asset-Management/oecd/science-and-technology/oecdscience-technology-and-industry-scoreboard-2015_sti_scoreboard-2015-en.
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4 .《中国基础研究国际竞争力蓝皮书2015》.《中国基础研究竞争力分析》课题组.[EB]-http://www.casaid.cn/achievement/research-report/achievement-detail.html?id=21ae7486-12 df-4e45-82b2-233472004b1e.
5 .国家科技评估中心《国家自然科学基金资助与管理绩效国际评估综合证据报告》,2010。[EB]-http://www.nsfc.gov.cn/nsfc/cen/pgbg/fj/fj20111102_02.pdf
6 .Jane Calvert(著).冯艳飞(译)告别蓝色天空:基础研究概念及其角色演变[M],武汉理工大学出版社,2007。
7 .V.布什,范岱年(译),解道华(译).科学:没有止境的前沿,商务印书馆,2004。
8 .Price S.Little science,big science and beyond[M],New York.Columbia University Press.1963.
9 .Nelson R.R.The simple economics of basic scientific research[J].The Journal of Political Economy.1959,67(3):297-306.
10 .Arrow,K.Economic welfare and the allocation of resources for invention[C].Nelson R.R.(ed.).The Rate and Direction of Inventive Activity.Princeton,Princeton University Press,New Jersey.1962:609-625.
11 .司托克斯.基础科学与技术创新[M].科学出版社,1999。
12 .Slaughter,S.,Rhoades,G.The emergence of a competitiveness research and development policy coalition and the commercialization of academic science and technology[J].Science,Technology&Human Values,1999,21(3):303-313.
13 .周华东.科技政策研究:嬗变、分析与聚焦[J].科学学与科学技术管理,2011,(11):5-13。
14 .Mansfield,E.Academic research and industrial innovation:an update of empirical findings[J].Research Policy,1998,26:773-776.
15 .Mansfield,E.Basic Research and Productivity Increase in Manufacturing[J].American Economic Review,1980,70:863-873.
16 .Griliches,S.Productivity R&D and Basic Research at the Firm Level in the 1970s[J].American Economic Review,1986,76:141-154.
17.丁大尉,高璐.基础研究的认识嬗变与后危机时代的科学政策[J].山东科技大学学报(社会科学版),2011,(1):36-43。
18 .柳卸林,何郁冰等.从科技投入到产业创新[M].北京:科学出版社,2014。
19 .罗晖,刘理,陈宜瑜.别拿基础研究不当饭吃[N].科技日报,2006-03-14。
20 .李正风.政府绩效管理与基础研究绩效评估[J].自然辩证法通讯,2005,(5):48-52。
21 .葛国耀,宋子良.新时期基础研究绩效评估特殊性探究[J].科学管理研究,2003,(4):48-52。
22 .田华,郑晓奇,田中.美国基础研究管理体系分析[J].科技管理研究,2006,(3):48-52.
23 .葛朝阳,郑刚,陈劲.基础研究的经济回报率测度与评价:国外研究述评[J].科研管理,2003,(1):44-50。
24 .袭旭,夏文莉.美国联邦政府开展的基础研究绩效评估及其启示[J].科研管理,2003,24(2):1-8。
25 .David Willetts.Science,Innovation and the Economy[M],2010.7-9.[EB]-https://www.gov.uk/government/speeches/science-innovation-and-the-economy--2.
2 .OECD Science,Technology and Industry Scoreboard 2015.2015,10,19.[EB]-http://www.keepeek.com/Digital-Asset-Management/oecd/science-and-technology/oecdscience-technology-and-industry-scoreboard-2015_sti_scoreboard-2015-en.
3 .Science and Engineering Indicators Reports2016.[EB]-https://www.nsf.gov/statistics/2016/nsb20161/#/report.
4 .《中国基础研究国际竞争力蓝皮书2015》.《中国基础研究竞争力分析》课题组.[EB]-http://www.casaid.cn/achievement/research-report/achievement-detail.html?id=21ae7486-12 df-4e45-82b2-233472004b1e.
5 .国家科技评估中心《国家自然科学基金资助与管理绩效国际评估综合证据报告》,2010。[EB]-http://www.nsfc.gov.cn/nsfc/cen/pgbg/fj/fj20111102_02.pdf
6 .Jane Calvert(著).冯艳飞(译)告别蓝色天空:基础研究概念及其角色演变[M],武汉理工大学出版社,2007。
7 .V.布什,范岱年(译),解道华(译).科学:没有止境的前沿,商务印书馆,2004。
8 .Price S.Little science,big science and beyond[M],New York.Columbia University Press.1963.
9 .Nelson R.R.The simple economics of basic scientific research[J].The Journal of Political Economy.1959,67(3):297-306.
10 .Arrow,K.Economic welfare and the allocation of resources for invention[C].Nelson R.R.(ed.).The Rate and Direction of Inventive Activity.Princeton,Princeton University Press,New Jersey.1962:609-625.
11 .司托克斯.基础科学与技术创新[M].科学出版社,1999。
12 .Slaughter,S.,Rhoades,G.The emergence of a competitiveness research and development policy coalition and the commercialization of academic science and technology[J].Science,Technology&Human Values,1999,21(3):303-313.
13 .周华东.科技政策研究:嬗变、分析与聚焦[J].科学学与科学技术管理,2011,(11):5-13。
14 .Mansfield,E.Academic research and industrial innovation:an update of empirical findings[J].Research Policy,1998,26:773-776.
15 .Mansfield,E.Basic Research and Productivity Increase in Manufacturing[J].American Economic Review,1980,70:863-873.
16 .Griliches,S.Productivity R&D and Basic Research at the Firm Level in the 1970s[J].American Economic Review,1986,76:141-154.
17.丁大尉,高璐.基础研究的认识嬗变与后危机时代的科学政策[J].山东科技大学学报(社会科学版),2011,(1):36-43。
18 .柳卸林,何郁冰等.从科技投入到产业创新[M].北京:科学出版社,2014。
19 .罗晖,刘理,陈宜瑜.别拿基础研究不当饭吃[N].科技日报,2006-03-14。
20 .李正风.政府绩效管理与基础研究绩效评估[J].自然辩证法通讯,2005,(5):48-52。
21 .葛国耀,宋子良.新时期基础研究绩效评估特殊性探究[J].科学管理研究,2003,(4):48-52。
22 .田华,郑晓奇,田中.美国基础研究管理体系分析[J].科技管理研究,2006,(3):48-52.
23 .葛朝阳,郑刚,陈劲.基础研究的经济回报率测度与评价:国外研究述评[J].科研管理,2003,(1):44-50。
24 .袭旭,夏文莉.美国联邦政府开展的基础研究绩效评估及其启示[J].科研管理,2003,24(2):1-8。
25 .David Willetts.Science,Innovation and the Economy[M],2010.7-9.[EB]-https://www.gov.uk/government/speeches/science-innovation-and-the-economy--2.
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