Evaluation Methods and Evaluation Policy Guide-Wan Xiangjun| Transformation of scientific and technological achievements of the National Academy of Sciences
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How to measure the level of transformation of scientific and technological achievements? Do you use the conversion rate of scientific and technological achievements as an indicator?" How to evaluate the transformation of scientific and technological achievements in universities and scientific research institutions? How to evaluate the performance of scientific and technological achievements transformation of scientific and technological achievements? The indicators and methods of evaluation are like a baton, which are directly related to the behavior orientation of universities, scientific research institutions, enterprises, scientific research personnel and other participants. Wan Xiangjun, member of the Executive Committee of the All-China Federation of Industry and Commerce, director of the China Economic and Information Technology Research Center, and director of the China National Conditions Research Center of the National Policy Research Office, read and said.
Wan Xiangjun said: "Wu Shouren, former director of the Institutional Reform and Regulation Department of the Shanghai Municipal Science and Technology Commission and deputy secretary of the Party Committee of the Shanghai Institute of Family Planning Sciences, has elaborated on this. At the same time, he is also the author of books such as "Operation Practice of Transformation of Scientific and Technological Achievements" and "Doubts about the Transformation of Scientific and Technological Achievements". He said that now, we are sorting out and guiding the policies and regulations on the transformation and evaluation of scientific and technological achievements, and clarifying the relationship.
1. Analysis of the conversion rate of scientific and technological achievements
Whether it is an official document or a media report, the "conversion rate of scientific and technological achievements" is often used to reflect the transformation of scientific and technological achievements in a country, a place or a unit. The higher the conversion rate of scientific and technological achievements, the better the transformation situation and the higher the level of transformation; Lower indicates a worse or lower level of conversion. This indicator can be expressed by the following formula:
The conversion rate of scientific and technological achievements = the number of scientific and technological achievements that have been transformed / the number of scientific and technological achievements that should be transformed
The formula must meet the following two conditions at the same time: first, "the number of transformed scientific and technological achievements" and "the number of scientific and technological achievements that should be transformed" can be counted to obtain certain data; Second, the "number of transformed scientific and technological achievements" is included in the "number of scientific and technological achievements that should be transformed", that is, the former is a subset of the latter. If these two conditions are met at the same time, it is completely possible to use the indicator of the conversion rate of scientific and technological achievements.
Due to the particularity of scientific research activities, there is a lack of unified standards for defining scientific and technological achievements. It is difficult to calculate the "number of transformed scientific and technological achievements" and "the number of scientific and technological achievements that should be transformed", and even so, it is difficult to ensure that the former is included in the latter. At first glance, the above two conditions are not a problem, but in reality they are not, because "scientific and technological achievements" is a concept with unclear boundaries.
The 1986 edition of the Dictionary of Modern Science and Technology Management defines "scientific and technological achievements" as "creative results of academic significance and practical value obtained by scientific researchers through a series of mental and physical work such as experimental observation, investigation and research, and comprehensive analysis within the scope of a scientific and technological research project or subject research that a scientific researcher is engaged in".
There is a correspondence between scientific and technological achievements and scientific and technological projects or topics, and scientific and technological achievements are basically defined in accordance with this definition in various official documents on the management of scientific and technological achievements in the mainland. The scientific and technological achievements stipulated in Article 2 of the Law on Promoting the Transformation of Scientific and Technological Achievements refer to "achievements with practical value produced through scientific research and technological development".
This concept is extremely broad, including "scientific and technological achievements" as defined in the "Dictionary of Modern Science and Technology Management", as well as scientific and technological knowledge and scientific and technological information that have entered the public domain. It can also be seen that a scientific and technological achievement can be subdivided into several sub-achievements, and several related scientific and technological achievements can also be integrated into one scientific and technological achievement.
According to the Guidelines for the Management of the Identification of High-tech Enterprises, scientific and technological achievements refer to achievements with practical value (patents, copyrights, integrated circuit layout designs, etc.) produced through scientific research and technological development in accordance with the Law on Promoting the Transformation of Scientific and Technological Achievements. At first glance, this definition is the same as Article 2 of the Law on Promoting the Transformation of Scientific and Technological Achievements, except with the addition of a bracket, but this bracket greatly narrows the scope of scientific and technological achievements.
It can be seen that any patent, copyright, and integrated circuit layout design are scientific and technological achievements, but scientific and technological information and scientific and technological knowledge are not considered scientific and technological achievements. This also means that in the research and development of a scientific and technological project, the acquisition of a number of intellectual property rights can be regarded as a number of scientific and technological achievements. In addition, scientific and technological achievements are relative, on the basis of a scientific and technological achievement to carry out follow-up experiments, development, and new scientific and technological achievements, this is regarded as the transformation of scientific and technological achievements or another scientific and technological achievements? It seems that both scenarios make sense.
Through the above analysis, it can be seen that the "number of transformed scientific and technological achievements" and "the number of scientific and technological achievements that should be transformed" are not only difficult to count, but even if they are counted, it cannot be guaranteed that they are counted according to the same standard or obtained in the same period of time, that is, it cannot be guaranteed that the "number of transformed scientific and technological achievements" is included in the "number of scientific and technological achievements that should be transformed". If the number of registered scientific and technological achievements is taken as the denominator, and the scientific and technological achievements that have been applied and promoted are taken as the numerator, the calculated value cannot be used as the conversion rate of scientific and technological achievements, because the above two conditions cannot be met at the same time.
2. Annual report on the transformation of scientific and technological achievements and performance evaluation policy guide
How to reflect the transformation of scientific and technological achievements in colleges and universities? According to the provisions of the Law on Promoting the Transformation of Scientific and Technological Achievements and its implementation regulations, first, universities and scientific research institutions shall submit an annual report on the transformation of scientific and technological achievements to the competent authorities; Second, the competent authorities should evaluate the performance of the transformation of scientific and technological achievements of universities and scientific research institutions.
(1) Annual report on the transformation of scientific and technological achievements
Universities and scientific research institutions shall submit the annual transformation of scientific and technological achievements in accordance with the prescribed format (i.e., in accordance with the requirements of the Notice of the Ministry of Finance and the Ministry of Science and Technology on Matters Related to the Submission of Annual Reports on the Transformation of Scientific and Technological Achievements by Research and Development Institutions and Colleges and Universities (Cai Ke Jiao [2017] No. 22)). The scientific and technological achievements in the annual report mainly refer to the "scientific and technological achievements" defined in the Dictionary of Modern Science and Technology Management. The content of the report is divided into two aspects: qualitative and quantitative:
1. Qualitative situation
Universities and scientific research institutions make a qualitative analysis of the transformation of scientific and technological achievements in the previous year, including reporting the results, main experiences and problems faced in the transformation of scientific and technological achievements in the year, which is both good news and bad news. According to the reference style given in Caikejiao [2017] No. 22, universities and scientific research institutions can truthfully reflect the construction of technology transfer mechanisms, such as the construction of technology transfer institutions and technology transfer teams; decision-making, reward system and assessment system construction, etc.
It also introduces 1~2 typical cases of achievement transformation, including the characteristics of achievements, the process of achievement transformation, the handling of related problems and lessons learned, etc., reflects the problems and obstacles faced in the process of achievement transformation, and puts forward relevant policy suggestions. The qualitative analysis part should comprehensively and systematically reflect the progress of the transformation of the achievements of the unit, including the construction and implementation of the system closely related to the transformation, the awareness and implementation of policies, the construction of technology transfer institutions and technology transfer teams, the acquisition and disposal of scientific and technological achievements, and the ways and enthusiasm of scientific and technological personnel to participate in the transformation of scientific and technological achievements.
If this part of the system is sorted out in place, the experience is summarized in place, and the problem analysis is in place, it can make the transformation of scientific and technological achievements of the unit continue to improve, and then greatly promote the transformation of scientific and technological achievements of the unit. If it is just a dragonfly and a little bit of water, and the good news is not reported, the transformation of scientific and technological achievements of the unit will lose the opportunity for continuous improvement and promotion.
2. Quantitative part
Quantitative data is divided into five sections:
(1) The achievement of scientific and technological achievements. That is, the scientific and technological achievements obtained by the unit or relevant departments after the completion of applied science and technology projects and other related projects. These achievements should be scientific and technological achievements that have applied for intellectual property rights, or even obtained intellectual property authorization, and can be transformed.
(2) Transformation of scientific and technological achievements by means of transfer, licensing or investment. This is actually the way to report the disposal of scientific and technological achievements, the amount of disposal, and the pricing method at the time of disposal. The amount of disposal of scientific and technological achievements refers to the amount of consideration at the disposal of scientific and technological achievements, which reflects the value of the achievement recognized by both parties to the transaction, that is, the turnover of the technology contract, which is different from the amount in place for the transformation of the results by transfer and licensing.
It is also different from the economic benefits obtained from its implementation of transformation, including output value, sales and profits. The scientific and technological achievements transformed in the reporting year are not necessarily the scientific and technological achievements achieved in the reporting year, but may mainly be the results achieved before the reporting year.
(3) Industry-university-research cooperation. Universities and scientific research institutions generally implement the transformation of scientific and technological achievements in the form of industry-university-research cooperation, and the transformation of scientific and technological achievements will deepen industry-university-research cooperation, and the cooperation between industry, university and research can reflect the transformation of scientific and technological achievements to a certain extent. Industry-university-research cooperation generally includes three aspects: first, cooperation in institutional construction; second, cooperation in projects; The third is cooperation in personnel.
The annual report is required to reflect the cooperation between industry, academia and research. In terms of institutional construction, it refers to the situation of self-built and co-built research and development institutions, technology transfer institutions, and service platforms for the transformation of scientific and technological achievements; In terms of projects, it refers to the signing of three types of technical contracts: technology development, technical consulting and technical services; In terms of talents, it refers to the situation of part-time and off-the-job innovation and entrepreneurship of scientific and technological personnel, including the number of part-time and off-the-job entrepreneurs and the establishment of companies.
Due to the high correlation between the transformation of scientific and technological achievements and industry-university-research cooperation, technology development, technical consultation and technical services are not only an important form of transformation of scientific and technological achievements, but also an important way of industry-university-research cooperation, which are classified as industry-university-research cooperation in the annual report.
(4) The performance of the transformation of scientific and technological achievements, rewards and punishments. Caikejiao [2017] No. 22 requires that the total cash income from the transformation of scientific and technological achievements, the total equity income, and the rewards and remuneration given to scientific and technological personnel should be reflected. This information disclosure is essentially to supervise or urge universities and scientific research institutions to implement the Law on Promoting the Transformation of Scientific and Technological Achievements and its implementation regulations. However, the reference format of the annual report does not reflect the punishments, including the violations of the Law on Promoting the Transformation of Scientific and Technological Achievements and the implementation regulations of universities, scientific research institutions and scientific research personnel, and the penalties received. If this situation exists, it should also be reported truthfully.
(5) Other circumstances. It includes the situation of universities and scientific research institutions investing in the implementation of transformation on their own, cooperating with others for transformation, and transforming scientific and technological achievements in other ways. The quantitative part only reflects the results of the transformation of scientific and technological achievements, which is more objective, but it is only a skeleton, not full, and does not reflect the basic conditions, efforts and development trends of a unit to implement the transformation of scientific and technological achievements. The qualitative part is the "flesh and blood" of the report, and it is also very important, although it is more subjective, but it can better reflect the process of transformation of results, the efforts made by the unit, and the situation behind the data.
(2) Annual report management of the transformation of scientific and technological achievements
What is the use of the annual report on the transformation of scientific and technological achievements? The author has heard some feedback, some universities and scientific research institutions have reported that the annual report has been submitted many times, and the feedback after each submission is "not passed", and they don't know where the problem is, which makes them anxious; Some science and technology administrative departments are confused about the use of the annual report, and only notify their colleges and universities to submit and review them in accordance with the relevant requirements.
Because its purpose is not clear, I will do whatever you ask; The author has seen that some annual reports only fill in a few data, and there is no substantive content; Some experts and scholars are worried about the authenticity of the annual report and whether there is fraud; Some authorities do not know how to review the annual report; Wait a minute. For these problems or phenomena, the author believes that the management of annual reports should be done in accordance with the requirements of Caikejiao [2017] No. 22.
1. Universities and scientific research institutions shall be responsible for the authenticity of the annual reports submitted
To ensure the authenticity of the annual report, universities and scientific research institutions should not only submit truthfully, but also go through certain procedures, which should generally be filled in by the technology transfer department (or scientific research department) in conjunction with relevant departments, reviewed by the relevant leaders in charge, and then signed and confirmed by the legal representative of the university and scientific research institution.
2. The competent department shall perform the responsibility of supervision and review
The competent department shall review the authenticity of the annual report submitted by universities and scientific research institutions from the following three aspects: first, review the formal requirements of the annual report, including whether the form is filled in truthfully as required, and whether the overall situation, main experience, problems faced, and typical cases have been analyzed; The second is to review the substantive content of the annual report.
Including the rationality of the data, the correlation between qualitative analysis and quantitative data and the scientific research investment, scientific research projects, and the number of scientific research results obtained by the university or scientific research institution; The third is to compare with the data of previous years. If there is a discrepancy or a lack of self-consistency, it must be verified.
3. Information on the transformation of scientific and technological achievements will be shared and disclosed
Relevant information on the transformation of scientific and technological achievements will be included in the "public service platform of the national science and technology management information system", and will be gradually shared and disclosed. Due to the lack of information on the transformation of achievements, the transformation of achievements has not been reflected in the evaluation index system of universities. With the sharing and disclosure of relevant information on the transformation of scientific and technological achievements, this part of the information will be fully utilized.
4. Combine with other reports
Caikejiao [2017] No. 22 proposes that the annual report on the transformation of scientific and technological achievements in research and development institutions and colleges and universities should be closely integrated with the annual report of public institution legal persons and the annual report on state-owned assets. The three reports have a certain degree of relevance, and the combination of the three can not only reduce the workload of filling in, but also ensure that the relevant data and information are connected to avoid discrepancies.
(3) Assessment and evaluation
The information on the transformation of scientific and technological achievements is not only shared and disclosed, but more importantly, it is used to evaluate the performance of the transformation of scientific and technological achievements of universities and scientific research institutions.
1. Assessment and evaluation
Due to the uniqueness of each university and scientific research institution, it is difficult to draw any conclusions or explain any problems from the data of a certain year, but the clues can be seen after a number of years of accumulation.
(1) Input-output analysis. Compared with scientific research investment and horizontal scientific research funding, it can be seen that the input-output situation of a university and scientific research institution, whether it attaches importance to the transformation of scientific and technological achievements, and the performance of the transformation of scientific and technological achievements.
(2) From a longitudinal point of view, it can be analyzed and judged whether the trend of the transformation of scientific and technological achievements of universities and scientific research institutions is good or bad, whether it is fast or slow progress, or regressive.
(3) From a horizontal point of view, it can be analyzed and judged whether the position of the university or scientific research institution in the same type of institution is high or low, or at the average level, as well as the change of position.
2. Performance appraisal and evaluation index system
The competent departments shall establish a performance appraisal and evaluation system to promote the transformation of scientific and technological achievements in conjunction with the administrative departments of finance and science and technology, and conduct qualitative and quantitative evaluations based on the annual situation report.
The qualitative evaluation indicators include technology transfer institutions, technology transfer talents, the system and implementation of the transformation system of scientific and technological achievements, the process of transformation of scientific and technological achievements, the formulation and implementation of the system of part-time and off-the-job innovation and entrepreneurship of scientific and technological personnel, the distribution of rewards and remuneration for the transformation of scientific and technological achievements and their effects, typical cases, existing problems, etc. An assessment team may be formed by the competent department and the departments of finance, science and technology, etc., to score and make an evaluation based on the annual report submitted by the university or scientific research institution, or the person in charge of the university or scientific research institution may make a reply and make an evaluation.
Quantitative evaluation is the design of evaluation indicators based on the data submitted in the annual report. Including the amount of financial assistance, the number of projects and total income of transfer, licensing, and investment in the transformation of scientific and technological achievements, the number of signed technology development, technical consulting, technical service contracts and contract amounts, the number of institutions for industry-university-research cooperation, the number of part-time scientific and technological personnel, the number of off-the-job innovation and entrepreneurship personnel, the number of new companies established and the number of new companies with shares, the total cash income obtained from the transformation of achievements, and the total number of equity obtained from the transformation of achievements, etc., are given different weights for quantitative evaluation.
After weighting the quantitative evaluation results with the qualitative evaluation results, a numerical value is obtained, which is the evaluation value of the institution, and compared with the standard value, a conclusion can be drawn that it is excellent or good or qualified or unqualified; Or compare the scores of each institution, which can be sorted so that relevant universities and scientific research institutions can find their position among similar institutions.
Link:
Law on Promoting the Transformation of Scientific and Technological Achievements
Article 20 The competent departments of research and development institutions, institutions of higher learning and the relevant administrative departments such as finance, science and technology shall establish a performance appraisal and evaluation system conducive to promoting the transformation of scientific and technological achievements, take the transformation of scientific and technological achievements as one of the important contents and bases for the evaluation of relevant units and personnel and scientific research funding support, and increase scientific research funding support for relevant units and personnel with outstanding performance in the transformation of scientific and technological achievements.
Research and development institutions and institutions of higher learning established by the State shall establish a system for the evaluation of professional titles, post management and assessment that conforms to the characteristics of the transformation of scientific and technological achievements, and improve the incentive and restraint mechanism for income distribution.
Article 21 The research and development institutions and institutions of higher learning established by the State shall submit an annual report on the transformation of scientific and technological achievements to their competent departments, indicating the number of scientific and technological achievements obtained by the unit in accordance with the law, the implementation of the transformation and the distribution of relevant income, and the competent department shall, in accordance with the regulations, submit the annual report on the transformation of scientific and technological achievements to the relevant administrative departments such as finance, science and technology.
Notice of the State Council on Printing and Distributing Several Provisions on the Implementation of the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements (Guo Fa [2016] No. 16)
(E) the establishment of research and development institutions, institutions of higher learning shall, in accordance with the prescribed format, before March 30 of each year to the competent department of the unit of the annual report on the transformation of scientific and technological achievements in the previous year, after the competent department of review before April 30 of each year of the annual report on the transformation of scientific and technological achievements submitted to the information management system designated by the competent departments of science and technology, financial administration. The contents of the annual report mainly include:
1. The overall results and problems faced in the transformation of scientific and technological achievements;
2. The number of scientific and technological achievements obtained in accordance with the law and relevant circumstances;
3. Transfer, licensing and investment of scientific and technological achievements;
4. Promote industry-university-research cooperation, including self-built and co-built research and development institutions, technology transfer institutions, and service platforms for the transformation of scientific and technological achievements, signing technology development contracts, technical consulting contracts, technical service contracts, talent training and personnel flow, etc.;
5. The performance, rewards and punishments for the transformation of scientific and technological achievements, including the income and distribution of the transformation of scientific and technological achievements, and the rewards and remuneration for the transformation of scientific and technological achievements.
(11) Research and development institutions, the competent departments of institutions of higher learning, as well as relevant departments such as finance and science and technology, shall take the transformation of scientific and technological achievements as one of the evaluation indicators when evaluating the performance of the unit.
(12) Increase support for research and development institutions, institutions of higher learning and personnel with outstanding performance in the transformation of scientific and technological achievements. The competent departments of research and development institutions, colleges and universities, and relevant departments such as finance and science and technology shall evaluate the performance of the transformation of scientific and technological achievements of the unit according to the annual report on the transformation of scientific and technological achievements of the unit, and take the evaluation results as one of the reference bases for supporting the unit.
Research and development institutions and institutions of higher learning established by the state shall formulate incentive systems and reward specialized technology transfer institutions with outstanding performance.
3. Guide to the performance evaluation policy for the transformation of scientific and technological achievements in universities and scientific research institutions
According to Article (11) of the Notice of the State Council on Printing and Distributing Several Provisions of the Law of the People's Republic of China on Promoting the Transformation of Scientific and Technological Achievements (Guo Fa [2016] No. 16), the competent departments and financial and scientific and technological departments shall take the transformation of scientific and technological achievements as one of the evaluation indicators in the comprehensive evaluation of universities and scientific research institutions.
The proportion or weight of the evaluation results of the transformation performance of scientific and technological achievements depends on the functional positioning of the university and scientific research institution. For scientific research institutions that focus on basic research, or for research-oriented universities, knowledge creation should be the mainstay, supplemented by the transformation of scientific and technological achievements, and the weight of the transformation performance of scientific and technological achievements should be smaller. For teaching universities, the weight of talent training is larger, and the weight of the transformation performance of scientific and technological achievements should also be reduced accordingly. For universities and scientific research institutions that focus on applied research, the weight of the performance of the transformation of scientific and technological achievements should be appropriately increased.
(1) Policy guide
The Opinions of the General Office of the Central Committee of the Communist Party of China and the General Office of the State Council on Deepening the Reform of Project Evaluation, Talent Evaluation, and Institutional Evaluation (Zhong Ban Fa [2018] No. 37) make the following provisions on evaluation:
1. Classification and evaluation
Article 1 of the Opinions puts forward the principle of categorical evaluation, that is, the evaluation of applied technology development and achievement transformation highlights the main body of the enterprise and the market orientation, and focuses on user evaluation, third-party evaluation and market performance.
2. According to the type of scientific research activities engaged in by scientific research institutions, establish corresponding evaluation indicators and evaluation methods by classification
Article 4 of the Opinions proposes that scientific research institutions shall be managed by charter, and the charter shall stipulate the purpose and objectives, functional positioning, and business scope of the unit. When evaluating scientific research institutions, the corresponding evaluation indicators and evaluation methods should be established according to their functional positioning, and the weights of relevant indicators should be set.
3. Take 5 years as the evaluation cycle
Article 3 (3) of the Opinions proposes to carry out a comprehensive evaluation of scientific research institutions, covering responsibilities, scientific and technological outputs, innovation benefits, etc.
4. Evaluate the scientific and technological innovation base by category
Article 4 (4) of the Opinions stipulates the evaluation index system for three types of national science and technology innovation bases: science and engineering research bases focus on evaluating the original innovation ability, the competitiveness of international scientific frontiers, and the ability to meet major national needs; The technological innovation and achievement transformation base focuses on the evaluation of the industry's common key technology research and development, achievement transformation and application capabilities, and the driving role of the industry's technological progress; Basic support and condition support bases focus on evaluating scientific and technological innovation conditions, resource support, guarantee and service capabilities.
For different types of bases, because of their different functional positioning, the evaluation focus is also different, the evaluation index system should be set according to its functional positioning, and the index system must fully reflect its functional positioning, so that all kinds of bases can be promoted to perform their functions and achieve their goals through evaluation.
In general, the evaluation of institutions should grasp two points: one is classification, according to the functional positioning of the institution and the type of scientific research activities to set up evaluation indicators, for the application of technology development, achievement transformation activities, market evaluation methods, the transformation of achievements as one of the main evaluation indicators, and according to the transformation of scientific and technological achievements annual report for the transformation of scientific and technological achievements performance evaluation; The second is the evaluation cycle, which is mainly medium and long-term, and conducts annual spot checks.
(2) The application of the evaluation policy for the transformation of scientific and technological achievements
For the performance evaluation of the transformation of scientific and technological achievements, a comprehensive evaluation should be carried out according to the annual report on the transformation of scientific and technological achievements submitted by the unit in the evaluation cycle, and only 1~2 indicators or quantitative evaluation should be avoided, and qualitative evaluation should not be ignored. However, there is still a disconnect between the performance evaluation of the transformation of scientific and technological achievements and the annual report on the transformation of scientific and technological achievements.
Case Analysis:
A city has set up a three-level index in the classification and evaluation index of colleges and universities, and the transformation of scientific and technological achievements is regarded as a third-level index in the fifth second-level index "social service" in the first-level index "quality and level of school-running", and the "amount of scientific and technological achievements transformed into accounts" is used as the performance index of the transformation of scientific and technological achievements. For academic research-oriented, applied research-oriented and applied skills-oriented universities, the weight of this indicator is 3 points; For universities of applied technology, the index is weighted with a score of 2.
The city's approach is positive that it classifies and evaluates according to the different functional positioning of universities, and sets indicators for the transformation of scientific and technological achievements. However, from the perspective of its evaluation index system, there are the following deficiencies in the evaluation of the transformation of scientific and technological achievements:
1. The indicator setting is unreasonable
It is one-sided to use an indicator of "the amount of scientific and technological achievements to be transferred to the account" to evaluate the performance of the transformation of scientific and technological achievements, which is not conducive to guiding and promoting various types of colleges and universities to strengthen the transformation of scientific and technological achievements.
2. The weight setting is unreasonable
For different types of universities, the weight difference in the transformation of scientific and technological achievements is small, and the classification guidance is insufficient. In fact, like academic papers and treatises, the transformation of scientific and technological achievements is also an important output of colleges and universities. To strengthen the transformation of scientific and technological achievements, it is necessary to correspondingly weaken the requirements for academic papers and treatises.
Academic research colleges and universities should focus on cultivating research-oriented talents, and the weight of academic papers and treatises should be increased, and the weight of the transformation of scientific and technological achievements should be reduced; Applied research universities focus on cultivating innovative talents in applied research and development, and applied technology universities focus on cultivating professional knowledge and technical application talents. Applied skills-based colleges and universities mainly focus on cultivating operational professional and skilled talents at the junior college level, and the requirements for academic papers, treatises and transformation of scientific and technological achievements should be reduced.
3. Data collection is inconvenient
According to the explanation of the evaluation index system, "the amount of scientific and technological achievements transformed into accounts" refers to "the amount of economic value created by the achievements of the achievements owned by the university as the first implementing entity into products, services, technologies, etc., which are converted into RMB after receiving the account". This interpretation is still vague and cannot correspond to the "Annual Report on the Transformation of Scientific and Technological Achievements" submitted by universities, that is, the indicator cannot be directly obtained and still needs to be specially collected.
In addition, if the equity (votes) obtained by investing in scientific and technological achievements are included or not included in the value of the equity (votes) obtained, or the amount of dividends obtained and the amount of equity (votes) obtained are included? Judging by the interpretation of this indicator, it should not be counted. But this is clearly unreasonable.
4. It is also unreasonable to classify the transformation of scientific and technological achievements into "social services".
The transformation of scientific and technological achievements should be a scientific research output, which has a great correlation with intellectual property outputs such as patents. In fact, the application of patents and other intellectual property rights by universities should be for the purpose of transformation, so intellectual property rights such as patents can be classified into the same secondary index as the transformation of scientific and technological achievements and theses. Based on the above analysis.
The author suggests that the transformation of scientific and technological achievements should be included in the third-level index of a second-level index in parallel with academic papers and intellectual property rights, or it can be listed as a second-level index of "scientific research output", and the evaluation indicators should be designed for qualitative and quantitative evaluation based on the "annual report on the transformation of scientific and technological achievements", and the evaluation results can be used alone or for the comprehensive evaluation of universities.
Fourth, the evaluation policy of the transformation of scientific and technological achievements of scientific research projects
Is the higher the price at which a scientific achievement is sold, the better? The question seems to be beyond question. The logic is that the higher the selling price, the higher the expected return, and the higher the expected return is because it is more innovative and the quality of the results. In fact, the selling price of scientific and technological achievements is also affected by the following three factors: first, market opportunities, that is, business opportunities, which affect the expectations of buyers and sellers of the results; second, the bargaining power of the buyer and the seller; Third, the performance of the contract is a long-term process, and the milestone payment method is generally implemented. In short, the transaction price is not its true value.
At present, the state does not have provisions for the evaluation of scientific and technological achievements transformation activities or transformation projects, in the relevant national documents, mainly about the evaluation of scientific research activities or scientific research projects, which involves the transformation of scientific and technological achievements.
(1) The Decision on Improving the Evaluation of Science and Technology issued by the Ministry of Science and Technology and other five departments on May 7, 2003 (Guo Ke Fa Ji Zi [2003] No. 142)
The evaluation of applied research and the industrialization of science and technology proposed in Article 3 of the decision both involve the transformation of scientific and technological achievements. The evaluation of applied research requires close integration with the needs of economic construction and social development, guided by technology promotion and market traction, and takes the innovation and integration level of technical theory, key technologies, common technologies and core high technologies, the output of independent intellectual property rights (patents, copyrights, standards, proprietary technologies, etc.), potential economic benefits, social benefits and other elements as the main evaluation criteria.
This shows that applied research activities should pay attention to the evaluation of the transformation prospects of research results, that is, to strengthen the transformation orientation of applied research and the transformation obligations of project undertaking units. For the evaluation of the industrialization of science and technology, it is required to establish a mechanism for the transformation and industrialization of scientific and technological achievements with enterprises as the main body, develop high-tech industries, optimize and adjust the industrial structure as the guide, focus on cultivating high-tech enterprises with independent innovation capabilities, and take the technological advancement and innovation of products and their future industrialization level and development prospects as the main evaluation criteria.
This shows that it is necessary to pay attention to the evaluation of the transformation of scientific and technological achievements and the prospect of industrialization for such activities, and set up corresponding evaluation indicators.
(2) Several Opinions of the Central Committee of the Communist Party of China and the State Council on Deepening the Reform of Institutions and Mechanisms and Accelerating the Implementation of the Innovation-Driven Development Strategy (Zhong Fa [2015] No. 8)
Article (18) of the Opinions proposes to strengthen the classification and assessment of research activities of institutions of higher learning and scientific research institutes. Peer evaluation is carried out on basic and cutting-edge technology research, highlighting the medium and long-term goal orientation, and the focus of evaluation is shifted from the quantity of research results to the quality of research, original value and actual contribution. Strengthen the evaluation of national goals and social responsibility for public welfare research.
Any university or scientific research institution may have a variety of different types of research activities at the same time, and because each type of research activity has different orientations and different research results, it must be classified and evaluated. Although the opinion does not put forward how to evaluate the transformation of scientific and technological achievements, it emphasizes that the evaluation should focus on its actual contributions, that is, the scientific, technical, economic, social and cultural values that have been obtained.
(3) Notice of the State Council on Several Measures to Optimize Scientific Research Management and Enhance Scientific Research Performance (Guo Fa [2018] No. 25)
Article (8) of the notice proposes to establish a performance evaluation system oriented by innovation quality and contribution, and accurately evaluate the scientific, technical, economic, social and cultural value of scientific research achievements. Each scientific research achievement has the above five values to varying degrees: for basic research results, its scientific value is relatively large, the technical value and economic value are relatively small, and there is a certain social value and cultural value;
For the applied research results, their technical value is greater, there are high potential economic value, social value, and certain scientific value and cultural value. For technological development achievements, their technical value is high, the potential economic value and social value are large, and the scientific value and cultural value are relatively small. For science and technology transformation activities and industrialization activities, economic value is the mainstay. The evaluation of the economic value of scientific research results is mainly to evaluate their transformation and industrialization and their prospects.
Article (11) of the circular proposes three types of projects to be evaluated, the focus of evaluation and the evaluation methods: for basic research and applied basic research projects, the focus is on evaluating the major originality and scientific value of new discoveries, new principles, new methods and new laws, the effectiveness of solving key scientific problems in the major needs of economic and social development and national security, the effect of supporting technology and product development, the quality and level of scientific research achievements such as representative papers, mainly based on international and domestic peer review;
For technology and product development projects, focus on evaluating the innovation, maturity, stability and reliability of new technologies, new methods, new products, key components, etc., and highlight the transformation and application of achievements and their role in solving key problems of economic and social development and supporting and leading the industrial development of the industry; For application demonstration projects, the performance evaluation is guided by large-scale application and promotion in the industry, focusing on the evaluation of integration, advancement, economic applicability, radiation driving effect and economic and social benefits, and more application promotion related party evaluation and market evaluation methods are adopted.
In the above three types of scientific research activities, the requirements for the transformation of scientific and technological achievements are different: if the application of basic research results involves supporting technology and product development, the effect should be evaluated; For technology and product development achievements, it is necessary to evaluate the transformation of achievements and the development of industrialization; The application demonstration project itself is the transformation of achievements, and the economic and social benefits produced by it are mainly evaluated.
The goal-oriented projects proposed in Articles (10) and (12) of the notice mainly include product development projects and application demonstration projects, which are essentially projects for the transformation and industrialization of scientific and technological achievements. For this type of project, performance tracking and evaluation can be carried out within 2~3 years after the end, focusing on the transfer and transformation of project results, application and promotion, and the economic and social benefits generated.
The classification and evaluation of scientific research activities or projects in the above three documents, although there are no specific evaluation indicators and evaluation procedures, but still have a strong guidance, and it can be seen that the evaluation of the transformation of scientific and technological achievements mainly evaluates its direct economic and social benefits and indirect economic and social benefits, actual economic and social benefits and potential economic and social benefits, including solving key problems in economic and social development, supporting and leading the role of industrial development, and radiation and driving role.
In short, for the evaluation of applied science and technology projects, the transformation of scientific and technological achievements is one of the evaluation indicators, and the evaluation of scientific and technological achievements transformation projects should be based on the economic and social benefits obtained.
5. Guide to the assessment and evaluation policy for the transformation of scientific and technological achievements of scientific and technological personnel
Assessment and evaluation is a baton, which strongly affects the value orientation and behavior of scientific and technological personnel, especially in the evaluation orientation of professional titles. The assessment and evaluation of scientific and technological personnel mainly involves the following documents:
(1) "Opinions of the Central Committee of the Communist Party of China on Deepening the Reform of the Talent Development System and Mechanism" (Zhong Fa [2016] No. 9)
Article (15) of the document proposes that basic research talents should be mainly evaluated by peers, applied research and technology development talents should be evaluated by the market, and philosophical and social science talents should be evaluated by society. Here it is proposed that three types of talents should be evaluated separately.
(2) "Opinions of the General Office of the CPC Central Committee and the General Office of the State Council on Deepening the Reform of the Professional Title System" (Zhong Ban Fa [2016] No. 77)
Article (9) of the Opinions stipulates that attention should be paid to the assessment of the work performance and innovation achievements of professional and technical personnel in performing their job responsibilities, and the weight of evaluation indicators such as technological innovation, patents, achievement transformation, technology promotion, standard formulation, decision-making consultation, and public service should be increased, and the economic and social benefits obtained by scientific research achievements should be regarded as an important part of the evaluation of professional titles. Professional and technical personnel who have made major breakthroughs in basic research and cutting-edge technologies, solved major engineering and technical problems, and made significant contributions to the development of various economic and social undertakings can directly apply for senior professional titles.
This title reform highlights the performance of professional and technical personnel in the transformation of scientific and technological achievements, and is reflected in the following three aspects: first, it increases the weight of the transformation of scientific and technological achievements; Second, the economic and social benefits of scientific research achievements are taken as an important part of the title evaluation, which is conducive to stimulating the enthusiasm of professional and technical personnel to engage in the transformation of scientific and technological achievements; Third, major contributors can apply for senior professional titles, that is, those who have made significant contributions to the transformation of scientific and technological achievements can directly apply for senior professional titles.
This reform is an attempt to reverse the tendency of dissertation-only in the evaluation of professional titles. According to the "Fourth National Survey Report on the Status of Scientific and Technological Workers" released by the China Association for Science and Technology, 93.7% of scientific and technological workers who have published academic papers agree that the main purpose of publishing papers is to meet the requirements for title promotion. This shows that there is still a strong inertia in publishing academic papers, and to reverse this situation, it must be done over a long period of time, not overnight.
(3) Several Opinions of the General Office of the CPC Central Committee and the General Office of the State Council on Implementing the Distribution Policy Oriented to Increasing the Value of Knowledge (Ting Zi [2016] No. 35)
Article 3 (1) of the Opinions stipulates that those engaged in applied research and technology development shall be rewarded mainly through market mechanisms and the transformation of scientific and technological achievements. Although the rule here is not an evaluation, it is better than an evaluation, because an important function of evaluation is to incentive. This shows that for those engaged in applied research and technology development, the evaluation orientation is the market mechanism, the evaluation focuses on the performance of the transformation of scientific and technological achievements, and the evaluation method is market evaluation.
(4) Notice of the State Council on Printing and Distributing the Plan for the Construction of the National Technology Transfer System (Guo Fa [2017] No. 44)
The program proposes the following four levels of measures for the evaluation of the transformation of scientific and technological achievements:
1. Classification and evaluation
The plan proposes to promote universities and research institutes to improve the classification and evaluation system of scientific research personnel, that is, universities and scientific research institutions should establish and improve the classification and evaluation system of scientific research personnel, and cannot use a ruler to measure scientific research personnel engaged in different research and development activities, but at present, many universities and scientific research institutions mainly use a set of evaluation index system to evaluate scientific researchers engaged in basic research, product development, technical services and policy research.
2. Guided by the quality, contribution and performance of scientific and technological innovation
Universities and scientific research institutions should establish a classification and evaluation system oriented by the quality, contribution and performance of scientific and technological innovation, and reverse the evaluation orientation of only papers and academic qualifications. At present, some universities and scientific research institutions still evaluate scientific researchers mainly based on the number of published papers and their impact factors, patent applications, vertical and horizontal scientific research funds, and scientific and technological awards.
Such an evaluation index system will inevitably lead researchers to declare more topics, publish more papers, and apply for more patents, and the consequences will inevitably ignore the quality and contribution of scientific research, and then produce academic misconduct. For the achievements of technology development and product development, the economic and social benefits achieved by the transformation of the results reflect the quality, contribution and performance of the innovation activities.
3. Strengthen the transformation orientation of applied research, technology development and achievement transformation activities
Applied research, technology development, and achievement transformation projects all belong to the applied science and technology projects stipulated in Article 10 of the Law on Promoting the Transformation of Scientific and Technological Achievements, according to which the undertaker of the applied science and technology project has the obligation to transform scientific and technological achievements, and the transformation of scientific and technological achievements is an important content and basis for project establishment and acceptance.
The plan proposes to increase the weight of evaluation indicators such as achievement transformation, technology promotion, and technical services for scientific researchers who are mainly engaged in applied research, technology development, and achievement transformation. Since technology promotion and technical services are important forms of achievement transformation, this provision of the program is to strengthen the achievement transformation orientation of the above three types of activities.
4. Evaluation of the transformation of scientific and technological achievements
The plan proposes to take the contribution of the transformation of scientific and technological achievements to economic and social development as an important basis for the promotion of scientific research personnel, the evaluation of professional titles, and the evaluation of performance, and not to take the thesis as a restrictive condition for evaluation, and to guide the majority of scientific and technological workers to write the paper on the land of the motherland. This provision is conducive to scientific researchers who are mainly engaged in the transformation of scientific and technological achievements to focus on the transformation of scientific and technological achievements, without having to waste time and energy for publishing papers.
(5) "Guiding Opinions of the General Office of the CPC Central Committee and the General Office of the State Council on Promoting the Reform of the Talent Evaluation Mechanism by Classification" (Zhong Ban Fa [2018] No. 6)
The contents related to the transformation of scientific and technological achievements include: first, in the evaluation orientation, the moral character is the primary content of talent evaluation; Second, in terms of evaluation methods, applied research and technology development talents highlight market evaluation, which is evaluated by relevant third parties such as users, markets and experts; Third, in terms of the evaluation index system, the talents who are mainly engaged in applied research and technology development should focus on evaluating their technological innovation and integration capabilities, independent intellectual property rights and major technological breakthroughs, achievement transformation, and actual contributions to industrial development. Fourth, in the evaluation operation, pay attention to the combination of individual evaluation and team evaluation.
(6) Opinions of the General Office of the CPC Central Committee and the General Office of the State Council on Deepening the Reform of Project Evaluation, Talent Evaluation, and Institutional Evaluation (Zhong Ban Fa [2018] No. 37)
Article 3 (2) of the Opinions stipulates the evaluation of the transformation of scientific and technological achievements at two levels:
1. Take the transformation of scientific and technological achievements as one of the important evaluation indicators
The opinion proposes that the activity and influence of the subject field, the position of important academic organizations or journals, the originality of R&D results, the efficiency of achievement transformation, and the satisfaction of scientific and technological services should be taken as important evaluation indicators. Whether the transformation of achievements is good or not is mainly reflected in the economic and social benefits of the transformation of achievements.
2. The paper is used as a reference for evaluation
The opinion proposes that in the evaluation of scientific research talents such as social welfare research and applied technology development, the number of papers published in SCI (Science Citation Index) and core journals, the list of paper citations and the ranking of impact factors are only used as evaluation references. In fact, SCI , paper citations, impact factors, etc. are related to the research hotspots or attention in a certain field, and whether an article can be published does not depend on its originality, but on whether it meets the appetite of journal editors, so a high impact factor is not equivalent to the originality and value of R&D results.
For example, in 2018, the Nobel Prize winner of physics, Canadian scientist Donna Strickland, won the Nobel Prize, which was published in the journal "Optical Communications", which has a relatively low impact factor, and the results of Shuji Nakamura of Japan who won the Nobel Prize were published in the "Japanese Journal of Applied Physics" and "Applied Physics Letters". This provision of the opinion is to correct the current practice of placing too much emphasis on impact factors.
(7) "Several Opinions on Further Strengthening the Establishment of Creditworthiness in Scientific Research Issued by the General Office of the CPC Central Committee and the General Office of the State Council" (Zhong Ban Fa [2018] No. 23)
Scientific research integrity is closely related to scientific and technological evaluation, and the occurrence of some scientific research untrustworthy behaviors is to a certain extent due to the unscientific scientific scientific and technological evaluation system. To this end, Article (12) of the Opinions proposes to deepen the reform of the scientific research evaluation system, and take the integrity of scientific research as an important indicator of scientific research evaluation. Adhere to categorical evaluation, highlight morality, ability, and performance orientation, pay attention to the quality, contribution, and impact of landmark achievements, implement a representative work evaluation system, and do not regard papers, patents, honorary titles, undertaking projects, awards, etc. as restrictive conditions, and prevent simple quantification, emphasizing quantity over quality, and "one-size-fits-all" tendencies.
Based on the above-mentioned documents, the following key points should be grasped in the evaluation of scientific and technological personnel: first, classified evaluation, different evaluation methods and evaluation index systems should be adopted for scientific and technological personnel engaged in different scientific and technological activities; the second is to evaluate and highlight morality, ability, performance or contribution, etc.; The third is the evaluation of scientific and technological personnel engaged in applied research, the transformation of achievements is an important evaluation index, and the efficiency of achievement transformation is an important evaluation index for scientific and technological personnel engaged in the transformation of achievements.
This paper reviews the evaluation and related indicators of the transformation of scientific and technological achievements from four perspectives: macro (or country, region, etc.), institutions, projects and personnel, and introduces the relevant provisions of relevant policy documents. Although the relevant provisions are more principled and need to be further refined, there are several key points that need to be grasped:
The first is classification evaluation, whether it is an institution, a project or a talent, it is necessary to carry out classification and evaluation according to the type of scientific and technological activities engaged in. The second is to take quality, contribution, and performance as the evaluation orientation, and the evaluation of scientific and technological personnel should also strengthen the orientation of character and ability. Third, different evaluation methods should be adopted for different scientific and technological activities, and market evaluation methods should be adopted for the evaluation of applied research and the transformation of scientific and technological achievements.
Fourth, the evaluation indicators used for different scientific and technological activities are different, and for the evaluation of applied research, the transformation of scientific and technological achievements is an important evaluation index, and the evaluation of the transformation of scientific and technological achievements and the economic and social benefits obtained are important evaluation indicators. Fifth, in terms of the application of the document, it is necessary to understand the background of the promulgation of the document, the main problems to be solved, accurately understand and grasp the connotation and scope of application of the document, and avoid wearing a crown.
Evaluation Methods and Evaluation Policy Guide-Wan Xiangjun| Research of the Chinese Academy of Sciences, Transformation of Scientific and Technological Achievements-Research of the Chinese Academy of Sciences, Transformation of Scientific and Technological Achievements-Research Center of the Chinese Academy of Sciences-Research Center of the International Academy of Sciences, http://www.sino-managerw.cn/v.php?info_id=13556