考虑奖惩差异的高校科研考评及专利审查策略研究

doi:10.16381/j.cnki.issn1003-207x.2021.2079

摘要/Abstract

摘要：

高质量科学研究是社会经济发展和科学技术进步的基石，而高校重项目、唯论文、考核频繁、竞争激烈等问题，导致了教师倾向于短周期低质量科研的现象。基于教师科学研究过程，构建了包含教师科研考评奖惩及专利审查的两阶段博弈模型，以提升科研质量为导向，探究了最优考评奖惩机制与专利审查机制设计，并剖析了教师科研质量努力水平的影响机理，分析了不同考评奖惩方案的适用条件。主要研究结论：1）教师获得的专利转化收益若能足够多于专利转化过程中花费的成本，高校技术转移办公室（TTO）则无需再开展专利审查工作；2）对于专利转化收益低或转化成功率低的科研项目，可能存在教师只为获得专利奖励而申请，高校TTO需合理制定专利奖励和审查机制；3）在专利转化高收益背景下，最优的教师科研考评周期是科研周期末，提升考核奖励、教师科研成果获得的学术价值均能够有效提升教师的最优科研质量努力水平；4）专利转化收益中教师所得比例高的政策下，以及更重视体现教师或科研团队价值的学术环境，宽松的考评奖惩方案更具有适用性。最后，以某教授团队科研活动为背景，运用MatlabR2020a软件进行数值分析，并根据研究结论为科研质量管理提出相关对策与建议。

关键词: 高质量科研, 考评奖惩, 专利审查, 博弈理论, 数值分析

Abstract:

High-quality scientific research is the cornerstone of socio-economic development and scientific and technological progress. However， universities attach great importance to the acquisition of projects and the publication of papers， high evaluation standards， and high competition， which have led to the phenomenon of teachers tending to short-term and low-quality scientific research. In the context of the urgent need to improve the quality of research， how to improve the institutional design of universities to encourage teachers to carry out in-depth and high-quality scientific research has become the research problem.Based on the process of teachers' scientific research， a two-stage scientific research quality model including the reward and punishment mechanism of faculties' performance appraisal and the patent examination mechanism has been constructed. The concept of faculty research quality effort level is added to the model； two performance appraisal mechanisms are considered. Guided by the improvement of scientific research quality， game theory and numerical simulation analysis are used to explore the optimal reward and punishment mechanism and patent examination mechanism， and the influence mechanism of faculties' scientific research quality effort level is analyzed.The data for the simulation analysis is based on a real research project case， and some data are assumed on this basis.The applicable conditions of different assessment， reward and punishment schemes are analyzed， and the countermeasures and suggestions for quality management of scientific research are put forward.These findings provide theoretical contributions for universities to improve faculties' research quality improvement mechanisms in terms of performance assessment and patent review.The main conclusions are as follows： 1）If the income of patent transformation obtained by teachers is enough to exceed the cost of patent transformation， the university will not need to carry out patent examination again； 2）For the research projects with low yield or low success rate of patent transformation， there may be teachers applying for patent awards only， and universities should formulate reasonable patent award and review mechanism； 3）In the context of high returns from patent transformation， the optimal teacher performance assessment period is at the end of the research period. Improving the assessment rewards and the academic value of teachers' research achievements can effectively improve the level of teachers' optimal research quality and efforts； 4） A lenient assessment and reward program is more applicable. Under the policy of a high percentage of proceeds from the conversion of patents earned by faculty and the academic environment that places more emphasis on reflecting the value of teachers or research teams， universities should adopt a lenient assessment and reward and punishment scheme； Under the policy of a high percentage of proceeds from the conversion of patents earned by school and the academic environment that places more emphasis on highlighting the value of universities， universities should adopt a strict assessment and reward and punishment scheme.

Key words: high-quality scientific research, assessment reward and punishment, patent examination, game theory, numerical analysis

中图分类号:

C934

陈强,荣俊美,常旭华,宫磊. 考虑奖惩差异的高校科研考评及专利审查策略研究[J]. 中国管理科学, 2024, 32(9): 313-322.

Qiang Chen,Junmei Rong,Xuhua Chang,Lei Gong. Scientific Research Assessment and Patent Examination Strategies of University Considering Differencesin Reward and Punishment[J]. Chinese Journal of Management Science, 2024, 32(9): 313-322.

图/表 8

图1

图2

表1

教师科研质量与专利审核策略的博弈矩阵"

		TTO
			$ξ$	$1 - ξ$
	未达审核标准 $v b < v b ?$	$1 - p$	$R$ ， $- c ξ$	$R + w 2$ , $- w 2 - C$
教师	达到审核标准 $v b ≥ v b ?$	$p$	$w 2 + k β A b - c t$ , $- c ξ - w 2 - C + (1 - β) k A b$	$w 2 + k β A b - c t$ , $- w 2 - C + (1 - β) k A b$

表1

图3

图4

图5

图6

图7

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