基于平衡计分卡的高校科研绩效评价体系及应用研究

On Scientific Research Performance Evaluation System Based on Balanced Scorecard and the Application in Universities and CollegesWang Wan, Li Xinru, Chen Xueping

摘要:

针对高校科研绩效评价中存在缺乏信息化和国际化的科研绩效管理观念、以结果为导向以及缺乏个人学习与成长科研绩效评价等问题，基于平衡计分卡理论，从财务、效益、效率、学习与成长等4个维度构建高校科研绩效评价指标体系，采用德尔菲法确定指标权重，并分析提出实际应用中应遵循评估结果能彰显院校科研职责和科研效用原则、评估标准能彰显院校科研管理公信力原则、评估过程能彰显院校科研评估反馈性原则，以及具体实施路径包括对院校科研微观结构进行事先评估和测绘、配套平衡计分卡实施所需绩效管理奖惩机制、落实平衡计分卡实施小组和制定实施细则、尽可能保证数据收集可得性及评价口径的严谨性、配套完善的平衡计分卡绩效考评机制，最终将科研发展战略和目标转化为具体的操作层面，以期对高校科研绩效评价效益的提升提供有益参考。

Abstract:

In view of the problems such as the lack of research performance management concept of informatization and internationalization, result-oriented idea and the lack of personal learning and growth research performance evaluation, from four dimensions of finance, benefits, efficiency, and learning and growth, this paper constructs scientific research performance evaluation system in universities and colleges based on the balanced scorecard theory. In the system, index weights are determined by using the Delphi method. The paper analyzes and proposes three principles to be followed in application: the evaluation results highlighting the scientific research responsibilities and utility, the evaluation standard highlighting the credibility of college scientific research management, and the evaluation process highlighting the feedback of college scientific research evaluation. The specific implementing approaches are also proposed, such as the evaluating and mapping of the microstructure of university research in advance, formulating the reward and punishment mechanism of the performance management required for the application of the balanced scorecard, dividing the implementation groups of the balanced scorecard and the formulating the implementation rules, ensuring the availability of data collection and the rigor of the evaluation. With the application of the complete balanced scorecard performance evaluation mechanism, the system hopes to converts the development strategies and goals of scientific research to specific operation, hoping to provide some reference to the improvement of the performance evaluation benefit in universities and colleges.