大连理工大学专业学位硕士学位论文
摘要
党的十九大报告提出，建设创新型国家必须坚持深化科技体制改革，建立以企业为
主体、市场为导向、产学研深度融合的技术创新体系，促进科技成果转移转化。国外大
量实践表明，科技成果评估工作在科技成果转化过程中时具有不可替代的支撑作用，对
科技成果开展科学、精准、多层次的公正客观的评价论证已成为一种必然发展趋势。
ARIST研究院作为一家以成果转化为核心任务的省属科研机构，在新时期也面临着紧密
结合地方产业和市场需求，进一步提高科技成果质量，提升科技成果转化效率的新要求。
本文通过运用科技成果转化的相关理论、生命周期理论、SMART 原则和科技成果评估
体系核心要素分析，设计问卷、广泛调查，分析目前 ARIST 研究院科技成果评估体系
中存在的问题并进行深入分析找到关键成因，同时结合理论指导和 ARIST 研究院实际
情况，设计具有针对性的优化改进对策。
通过对 ARIST研究院科技成果评估体系的现状和问题分析，主要是市场主体对于
科技成果评估结果认可度低、科技成果转化效率不高、科研与市场脱节共三大问题，通
过运用科技成果转化的相关理论、生命周期理论、SMART原则和科技成果评估体系核
心要素分析进行问题识别与聚焦，借助于相应理论和分析工具的帮助进行问题分析，其
问题成因体现为在科技成果评估工作中评估目标不明确、评估组织机制薄弱、评估流程
不规范和评估方法不科学。围绕以上四个问题成因提出优化改进方案，主要是通过科技
成果类型和科研项目进度两个维度相结合实现评估目标的二维平面精确定位，改善评估
目标不明确；以科技评估体系机制优化设计和多部门协同参与评估机制改善评估组织机
制薄弱；以科技成果全流程评估和精确目标柔性评估流程改善评估流程不规范；以科技
成果指标优化设计和定性定量协同评估改善评估方法不科学。通过对评估目标、组织机
制、评估流程和评估方法提出相适应的优化方案设计和相关保障措施解决现存问题。
本文通过对 ARIST研究院在科技成果评估体系中存在的系列问题进行分析研究，
并借助相关理论和工具提出了相适应的优化方案设计和保障措施，以此优化 ARIST研
究院科技成果评估体系从而促进科技成果转化，同时也希望能为类似的科研机构在科技
成果评估体系改进和科技成果转化效率提升方面提供参考意义。
关键词：科技成果评估体系；评估目标；组织机制；评估流程；评估方法
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ARIST研究院科技成果评估体系优化研究
Study on Optimization of scientific and technological achievement
evaluation system of ARIST Research Institute
Abstract
The report of the 19th National Congress of the Communist Party of China pointed out
that to build an innovative country, we must persist in deepening the reform of the scientific
and technological system, establish a technological innovation system with enterprises as the
main body, market as the guide, and the deep integration of industry, University and research,
and promote the transfer and transformation of scientific and technological achievements. A
largenumber offoreignpractices haveshownthatthe evaluationofscientificand
technological achievements plays an irreplaceable supporting role in the transformation of
scientific and technological achievements. It has become an inevitable development trend to
carry out scientific, accurate, multi-level, fair and objective evaluation and demonstration of
scientific and technological achievements. As a provincial scientific research institution with
achievement transformation as its core task, ARIST Research Institute is also faced with new
requirements to further improve the quality of scientific and technological achievements and
improve the transformation efficiency of scientific and technological achievements in the new
era by closely combining local industry and market demand. By using the relevant theory of
scientific and technological achievements transformation, life cycle theory, smart principle
and the analysis ofthe core elements of thescientific and technological achievements
evaluation system, this thesis designs questionnaires and extensive surveys, analyzes the
problems existing in the current scientific and technological achievements evaluation system
of the Art Research Institute, makes in-depth analysis, finds out the key causes, and designs
targeted optimization and Improvement Countermeasures in combination with the theoretical
guidance and the actual situation of the Art Research Institute.
Through the analysis of the current situation and problems of the evaluation system of
scientific and technological achievements of the ARIST Research Institute, the three major
problemsare mainlythelow recognitionofthe evaluationresultsof scientificand
technological achievements by the market subjects, the low efficiency of the transformation
of scientificand technologicalachievements, andthe disconnectionbetween scientific
research and the market. The problems are identified and focused by using the relevant
theories of the transformation of scientific and technological achievements, the life cycle
theory, the smart principle and the core elements of the evaluation system of scientific and
technological achievements, With the help of corresponding theories and analysis tools, the
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大连理工大学专业学位硕士学位论文
causes of the problems are reflected in the unclear evaluation objectives, weak evaluation
organizationmechanism,non-standardevaluationprocessandunscientificevaluation
methods in the evaluation of scientific and technological achievements. The optimization and
improvement plan is proposed around the causes of the above four problems, mainly through
the combination of the types of scientific and technological achievements and the progress of
scientific research projects to achieve the two-dimensional plane accurate positioning of the
evaluation objectives, and the improvement evaluation objectives are not clear; It is weak to
improve the evaluation organization mechanism by optimizing the design of science and
technology evaluation system mechanism and multi department collaborative participation
evaluationmechanism; Thewholeprocess assessmentofscientific andtechnological
achievements and the flexible assessment process of precise objectives are used to improve
the non-standard assessment process; It is unscientific to improve the evaluation method by
optimizing the design of scientific and technological achievement indicators and qualitative
and quantitative collaborative evaluation. Through the evaluation objectives, organizational
mechanisms, evaluation processes and evaluation methods, appropriate optimization scheme
design and relevant safeguard measures are proposed to solve the existing problems.
This thesis analyzes and studies a series of problems existing in the evaluation system of
scientific and technological achievements of ARIST Research Institute, and puts forward
appropriate optimization scheme design and guarantee measures with the help of relevant
theories and tools, so as to optimize the evaluation system of scientific and technological
achievements of ARIST Research Institute, so as to promote the transformation of scientific
and technological achievements, At the same time, it is also hoped to provide reference
significance for similar scientific research institutions in improving the evaluation system of
scientific and technological achievements and improving the transformation efficiency of
scientific and technological achievements.
Key Words：Evaluation system of scientific and technological achievements; Evaluation
objectives; Organizational mechanism; Evaluation process; Evaluation method
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