本文關(guān)鍵詞： 科技投入項目 層次分析法 VBP 大數(shù)據(jù) 灰色度 智能合約 績效評價　出處：《北京交通大學(xué)》2017年博士論文　論文類型：學(xué)位論文

【摘要】：科學(xué)技術(shù)是第一生產(chǎn)力已經(jīng)成為了人們的共識,各級政府及企業(yè)單位為促進(jìn)科技創(chuàng)新做了大量投入,然而卻缺乏對科技投入項目的績效進(jìn)行有效評價。經(jīng)過調(diào)研現(xiàn)行科技項目管理方式,發(fā)現(xiàn)單位和個人申報的國家、地方或企業(yè)科技項目更多是重視申請項目,而相對忽視完成的科技成果質(zhì)量高低。造成這種現(xiàn)象的原因主要包括:主觀意識不夠重視、評價手段不夠科學(xué)、評價模型不夠完善、評價過程不夠嚴(yán)謹(jǐn)。為了有效評價科技投入項目的績效表現(xiàn),本論文選擇應(yīng)用類科技投入項目為主體進(jìn)行研究,主要工作包括:(1)綜合利用價值管理、戰(zhàn)略績效、流程管理等理論,創(chuàng)建"Value+Balance+Process"(VBP)特征分析法,從科技投入項目(應(yīng)用類)的價值要素、平衡特征、流程屬性等方面建立三維立體評價分析模型,其中包括:從項目成果應(yīng)用、項目效益、項目管理、期望滿足等要素角度梳理出科技投入項目(應(yīng)用類)項目價值分析圖(Value Map);指出科技投入項目(應(yīng)用類)要兼顧短期與長期、財務(wù)與非財務(wù)、過程與結(jié)果、內(nèi)部與外部的四類平衡;被評價項目生命周期的各階段分析重點(diǎn)關(guān)注內(nèi)容不同,分別總結(jié)出立項階段重點(diǎn)在于準(zhǔn)備,執(zhí)行階段關(guān)注進(jìn)度、項目結(jié)束階段重在完成質(zhì)量、項目效果跟蹤階段主要是應(yīng)用與推以及后續(xù)成果的積累。(2)建立了科技投入項目(應(yīng)用類)績效評價指標(biāo)庫,指標(biāo)庫以科技投入項目(應(yīng)用類)績效價值最大化為目標(biāo),分為4大關(guān)鍵成功要素、18個評價角度、63個評價指標(biāo)。指標(biāo)庫涵蓋了項目整體價值管理,更多聚焦于通用指標(biāo),定量/定性共存,設(shè)置了適用行業(yè)、適用階段屬性,以保障指標(biāo)庫的適用性和持續(xù)性。同時歸納總結(jié)出"五步論"的指標(biāo)庫應(yīng)用方法,即:指標(biāo)選取、初步篩選、專家測評、設(shè)置標(biāo)準(zhǔn)、綜合評定。針對科技投入項目(應(yīng)用類)績效評價工作的復(fù)雜性,描述了績效考評的整套工作流程,以流程圖方式描述了考評準(zhǔn)備、考評實(shí)施、考評爭議處理、考評檔案管理、考評監(jiān)督等基本流程。(3)在形成科學(xué)的業(yè)務(wù)模型架構(gòu)后,以數(shù)據(jù)方法建立了科技投入項目(應(yīng)用類)績效評價模型,以層次分析法(AHP)進(jìn)行指標(biāo)層次劃分,以三角模糊函數(shù)決策模型對動態(tài)指標(biāo)庫的指標(biāo)進(jìn)行篩選及權(quán)重設(shè)置,將定性的選取過程轉(zhuǎn)化為以定量的數(shù)據(jù)方法選取。然后以灰色度理論來設(shè)定評分矩陣,確定評價灰類、灰色評價系數(shù)、灰色評價權(quán)向量及權(quán)矩陣,進(jìn)行綜合評價計算,得到綜合評價值。(4)研究大數(shù)據(jù)技術(shù)在科技投入項目(應(yīng)用類)績效評價中的應(yīng)用,分析科技投入項目(應(yīng)用類)績效評價的數(shù)據(jù)生態(tài)圈,初步總結(jié)科技投入項目(應(yīng)用類)績效評價中可以應(yīng)用的大數(shù)據(jù)技術(shù)集合,探討了科技投入項目績效評價中大數(shù)據(jù)平臺的架構(gòu)原型,優(yōu)化Apriori數(shù)據(jù)挖掘算法以加快大數(shù)據(jù)量挖掘效率,進(jìn)而保證在科技投入項目(應(yīng)用類)績效評價中有效利用大數(shù)據(jù)技術(shù)。(5)首次提出將區(qū)塊鏈和智能合約技術(shù)應(yīng)用在科技投入項目(應(yīng)用類)績效評價中,分析了智能合約應(yīng)用的可能性,探討了科技投入項目評價中智能合約的運(yùn)作機(jī)理,初步設(shè)計基于智能合約的科技投入項目評價平臺的架構(gòu)原型,總結(jié)梳理在科技投入項目評價中建立智能合約的過程,最后以"滿意度"評價作為示例智能合約的算法邏輯。(6)最后,以一個應(yīng)用類的科技投入項目績效評價的實(shí)際案例,驗(yàn)證了前面所述的方法論。
[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.

【學(xué)位授予單位】：北京交通大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2017
【分類號】：F426.8;F273.1;F406.7

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