科技投入项目（应用类）绩效评价体系研究

发布时间：2018-02-20 08:16

本文关键词： 科技投入项目层次分析法 VBP 大数据灰色度智能合约绩效评价　出处：《北京交通大学》2017年博士论文　论文类型：学位论文

【摘要】：科学技术是第一生产力已经成为了人们的共识,各级政府及企业单位为促进科技创新做了大量投入,然而却缺乏对科技投入项目的绩效进行有效评价。经过调研现行科技项目管理方式,发现单位和个人申报的国家、地方或企业科技项目更多是重视申请项目,而相对忽视完成的科技成果质量高低。造成这种现象的原因主要包括:主观意识不够重视、评价手段不够科学、评价模型不够完善、评价过程不够严谨。为了有效评价科技投入项目的绩效表现,本论文选择应用类科技投入项目为主体进行研究,主要工作包括:(1)综合利用价值管理、战略绩效、流程管理等理论,创建"Value+Balance+Process"(VBP)特征分析法,从科技投入项目(应用类)的价值要素、平衡特征、流程属性等方面建立三维立体评价分析模型,其中包括:从项目成果应用、项目效益、项目管理、期望满足等要素角度梳理出科技投入项目(应用类)项目价值分析图(Value Map);指出科技投入项目(应用类)要兼顾短期与长期、财务与非财务、过程与结果、内部与外部的四类平衡;被评价项目生命周期的各阶段分析重点关注内容不同,分别总结出立项阶段重点在于准备,执行阶段关注进度、项目结束阶段重在完成质量、项目效果跟踪阶段主要是应用与推以及后续成果的积累。(2)建立了科技投入项目(应用类)绩效评价指标库,指标库以科技投入项目(应用类)绩效价值最大化为目标,分为4大关键成功要素、18个评价角度、63个评价指标。指标库涵盖了项目整体价值管理,更多聚焦于通用指标,定量/定性共存,设置了适用行业、适用阶段属性,以保障指标库的适用性和持续性。同时归纳总结出"五步论"的指标库应用方法,即:指标选取、初步筛选、专家测评、设置标准、综合评定。针对科技投入项目(应用类)绩效评价工作的复杂性,描述了绩效考评的整套工作流程,以流程图方式描述了考评准备、考评实施、考评争议处理、考评档案管理、考评监督等基本流程。(3)在形成科学的业务模型架构后,以数据方法建立了科技投入项目(应用类)绩效评价模型,以层次分析法(AHP)进行指标层次划分,以三角模糊函数决策模型对动态指标库的指标进行筛选及权重设置,将定性的选取过程转化为以定量的数据方法选取。然后以灰色度理论来设定评分矩阵,确定评价灰类、灰色评价系数、灰色评价权向量及权矩阵,进行综合评价计算,得到综合评价值。(4)研究大数据技术在科技投入项目(应用类)绩效评价中的应用,分析科技投入项目(应用类)绩效评价的数据生态圈,初步总结科技投入项目(应用类)绩效评价中可以应用的大数据技术集合,探讨了科技投入项目绩效评价中大数据平台的架构原型,优化Apriori数据挖掘算法以加快大数据量挖掘效率,进而保证在科技投入项目(应用类)绩效评价中有效利用大数据技术。(5)首次提出将区块链和智能合约技术应用在科技投入项目(应用类)绩效评价中,分析了智能合约应用的可能性,探讨了科技投入项目评价中智能合约的运作机理,初步设计基于智能合约的科技投入项目评价平台的架构原型,总结梳理在科技投入项目评价中建立智能合约的过程,最后以"满意度"评价作为示例智能合约的算法逻辑。(6)最后,以一个应用类的科技投入项目绩效评价的实际案例,验证了前面所述的方法论。
[Abstract]:Science and technology is the first productivity has become the consensus of the people, government and enterprises have done a lot of investment to promote the innovation of science and technology, but the lack of effective evaluation of technology investment project performance. Through research the existing science and technology project management, found that the units and individuals to declare the National Science and technology projects, the local government or enterprises are more attention for the project, and the relative neglect of the quality of scientific and technological achievements completed. The reasons for this phenomenon include: subjective awareness is not enough attention to the evaluation method is not scientific, the evaluation model is not perfect, the evaluation process is not precise enough. In order to effectively evaluate the performance of investment in science and technology projects, the application of the technology investment project as the main body of the main the work including: (1) the comprehensive utilization of value management, strategic performance, process management theory, to create the "Value+Balance+Process" (VBP) Characteristic analysis method, from the technology investment project (application) balance feature value elements, process attributes such as the establishment of three-dimensional evaluation model, including: from the results of the project application, project performance, project management, meet the expectations factors such as perspective of technology investment project (application) project value analysis (Figure Value Map); pointed out that the technology investment project (application) to both short-term and long-term, financial and non-financial, process and result of four kinds of internal and external balance; by evaluation of each phase of the project life cycle analysis focus on different contents, respectively summarizes the project stage focuses on the preparation, execution stage focus on the progress of the project the end stage focuses on the quality, project tracking stage is mainly used with push and subsequent accumulation. Results (2) established the technology investment project (application) performance evaluation index database, index database to science Technology investment project (application) performance value maximization as the goal, is divided into 4 key success factors, evaluation of the 18 angles, 63 evaluation indexes. The index database covers the whole project value management, more focus on the general index, quantitative / qualitative coexistence, set up for the industry, the application stage property, in order to protect the index library of applicability and sustainability. At the same time, summed up the "five step" theory of index database application methods, namely: index selection, preliminary screening, expert evaluation, setting standards, comprehensive evaluation for technology investment project (application) the complexity of performance evaluation work, describes the whole working process of performance evaluation. The flow chart describes the evaluation preparation, evaluation implementation, evaluation appraisal dispute handling, file management, supervision and evaluation and other basic processes. (3) in the form of architecture science business model, with data method to establish the technology investment project (application) The performance evaluation model based on AHP (AHP) index hierarchy, the dynamic index index selection and weight set in a triangular fuzzy decision model, the qualitative selection process into data with quantitative method. Then the selection of gray theory to determine the evaluation set score matrix, grey, grey evaluation coefficient, grey evaluation weight vector and weight matrix, comprehensive evaluation, comprehensive evaluation value. (4) research on big data technology in science and technology investment project (application) application in the performance evaluation and analysis of technology investment project (application) data ecosystem performance evaluation, a preliminary summary of the technology investment project (application big data set class) technology can be applied in the performance evaluation, discusses the technology investment project performance evaluation in big data platform architecture, a large amount of data mining algorithm to speed up the optimization of Apriori data The mining efficiency, and to ensure that the investment in science and technology project (application) big data technology and effective use of performance evaluation. (5) proposed for the first time the block chain and intelligent technology application in the technology investment project contract (application) performance evaluation, analyzes the possibility of intelligent contract application, discusses the operation mechanism of intelligent science and technology investment contract project evaluation, preliminary design of intelligent contract technology investment project evaluation platform based on the prototype, summarize the process combing the establishment of intelligent contracts in the technology investment project evaluation, and finally to "satisfaction" as the example of intelligent evaluation algorithm logic (6) contract. Finally, the actual case of technology investment project performance evaluation of an application class, verified the above theory.

【学位授予单位】：北京交通大学
【学位级别】：博士
【学位授予年份】：2017
【分类号】：F426.8;F273.1;F406.7

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