Study of Balanced Scorecard-based Scientific Research Performance Appraising Indexes System for Scientific Research Institutions of Large-scale State-owned Enterprises

doi:10.3969/j.issn.1002-302X.2024.04.007

Abstract

Abstract: To make scientific and reasonable assessment of scientific research performance for the scientific research institutions of large-scale State-owned enterprises is an important technological and managerial work to improve innovation efficiency, stimulate innovation motivation and carry out the national requirements on technological innovation. Construction of the scientific research performance appraising index system for the scientific research institutions of large-scale State-owned enterprises holds the key to the performance appraising work of the State-owned enterprises. This article compares the scientific research performance appraising methods and indexes of the research institutions both at home and abroad. It also comes up with the mindsets, principles, methods and general frameworks of the scientific research performance appraising indexes system for the research institutions of large-scale Stateowned enterprises. Taking into account the functions defined by the research institutions directly under the headquarters of large-scale State-owned enterprises, construction of key indexes bank for scientific research performance appraisal is based on the balanced scorecard and the key performance indexes managerial tool of the non-profitable organizations. The article puts forward the suggestions on the performance appraising work of large-scale State-owned enterprises, including combination of the performanceexamining indexes from the research institutions with their strategic plans, the same emphasis placed on quantity and quality, and establishment of the relative mechanism for appraising data acquisition and verification.

Key words: scientific research institutions; performance appraisal; indexes system; technological innovation

摘要： 对大型央企科研机构科研绩效进行科学合理评价，是促进中央企业改善创新效率、提升创新效能、高标准落实国家关于科技创新各项要求的一项重要科技管理工作。构建大型央企科研机构科研绩效评价指标体系是央企开展绩效评价工作的前提及关键。比较国内外科研机构科研绩效评价方法和评价指标，提出大型央企科研机构科研绩效评价指标体系构建思路、原则、方法及总体框架。结合大型央企总部直属科研机构和所属企业科研机构的功能定位，基于非营利组织平衡计分卡及关键绩效指标管理工具，构建科研绩效评价关键绩效指标库。对大型央企绩效评价工作提出建议，包括将科研机构的绩效考核指标和其战略规划相结合，坚持任务完成的数量与质量并重，建立评价数据采集和核实等相关机制。

关键词: 科研机构；绩效评价；指标体系；科技创新

CLC Number:

G311

Chen Lei, Si Yunbo, Fan Xianghong, Sheng Yue. Study of Balanced Scorecard-based Scientific Research Performance Appraising Indexes System for Scientific Research Institutions of Large-scale State-owned Enterprises[J]. Petroleum Science and Technology Forum, 2024, 43(4): 42-49.

陈雷,司云波,范向红,盛悦. 基于平衡计分卡的大型央企科研机构科研绩效评价指标体系研究[J]. 石油科技论坛, 2024, 43(4): 42-49.

References

[1] 向高质量发展聚焦发力: 2024 年国资央企改革发展热点前瞻[EB/OL]. (2023-12-27) [2024-06-20]. http://www.sasac.gov.cn/n2588025/n2588139/c29669142/content.html.
Focusing on high-quality development--2004 Outlook of hot spots in reform and development of State-owned enterprises[EB/OL]. (2023-12-27) [2024-06-20]. http://www. sasac. gov. cn/n2588025/n2588139/c29669142/content.html.
[2] 中央企业负责人经营业绩考核办法[EB/OL]. (2019-03-01) [2024-06-20]. https://www.gov.cn/gongbao/content/2019/content_5404154.htm.
Business performance examining methods for persons in charge of State-owned enterprises[EB/OL]. (2019-03-01) [2024-06-20]. https://www.gov.cn/gongbao/content/2019/content_5404154.htm.
[3] 央企考核聚焦高质量发展[EB/OL]. (2024-01-31) [2024-06-20]. http://www.sasac.gov.cn/n2588025/n2588139/c29936705/content.html.
Examination of State-owned enterprises focused on high-quality development[EB/OL]. (2024-01-31) [2024-06-20]. http://www. sasac.gov.cn/n2588025/n2588139/c29936705/content.html.
[4] 邱丹逸. 公益类科研院所绩效评价指标体系研究[J]. 决策咨询,2018 (3): 47-50.
Qiu Danyi. Study of performance appraising indexes systems of research institutions of public interests[J]. Decision-Making & Consultancy, 2018(3):47-50.
[5] 汤静. 基于DEA模型的江苏各区域科研机构绩效评价研究[D]. 南京: 南京理工大学, 2013.
Tang Jing. Study on the scientific research performance evaluation of urban science and technology in Jiangsu Province based on DEA model[D]. Nanjing: Nanjing University of Science & Technology, 2013.
[6] 刘瑜晶. 科研院所绩效评价问题研究[D]. 哈尔滨: 东北林业大学,2010.
Liu Yujing. Study on the performance evaluation of research institute[D]. Harbin: Northeast Forestry University, 2010.
[7] 保罗·R·尼文. 政府及非营利组织平衡计分卡[M]. 胡玉明, 等译. 北京: 中国财政经济出版社, 2004.
Niven P R. Balanced scorecard for government and nonprofit agencies[M]. Translated by Hu Yuming, et al. Beijing: China Financial and Economic Press, 2004.
[8] 丛雪琳. 基于平衡计分卡的HS科学院绩效评价研究[D]. 大庆: 东北石油大学, 2019.
Cong Xuelin. Research on performance evaluation of HS academy of sciences based on balanced scorecard[D]. Daqing: Northeast Petroleum University, 2019.
[9] 徐晓. 专业科研机构创新绩效与成果转化率评价研究[J]. 科学管理研究, 2017, 35(2): 43-46.
Xu Xiao. Research on the evaluation of innovation performance and achievement transformation rate of professional scientific research institutions[J]. Scientific Management Research, 2017, 35(2): 43-46.
[10] 李翔. 陕西省工业企业技术创新绩效评价研究[D]. 西安: 西安电子科技大学, 2018.
Li Xiang. Studies on the technical innovation performance of industrial enterprises in Shaanxi Province[D]. Xi’an: XiDian University, 2018.
[11] 陈劲, 杨硕, 何小敏, 等. 世界一流企业科技创新能力评价指标体系研究[J]. 创新科技, 2024, 24(4): 1-11.
Chen Jin, Yang Shuo, He Xiaomin, et al. Research on the evaluation index system of scientific and technological innovation capability of the world-class enterprises[J]. Innovation Science and Technology,2024, 24(4): 1-11.
[12] 佘伟军, 丁皓, 李建民, 等. 企业科研院所对标管理研究与实践[J]. 石油科技论坛, 2021, 40(4): 50-56.
She Weijun, Ding Hao, Li Jianmin, et al. Study and practice of benchmarking management by scientific research institutes of companies[J]. Petroleum Science and Technology Forum, 2021, 40(4):50-56.

[1]	Shan Tongwen, Peng Chuan, Yang Menglu. Practice from Innovation of CNOOC High-performance Science and Technology,Network Security and Informatization Management System [J]. Petroleum Science and Technology Forum, 2024, 43(4): 1-7.
[2]	Du Jizhou, Wang Yongjun, Wang Meng. Thinking and Suggestion on Evaluation of Technological Achievements from State-owned Enterprises [J]. Petroleum Science and Technology Forum, 2024, 43(4): 37-41.
[3]	Li Yong, Gao Yan, Sun Liang, Han Rubing, Liu Shuangshuang. Development Management System of World’s First-class Oil Companies [J]. Petroleum Science and Technology Forum, 2024, 43(3): 49-60.
[4]	Jiang Tongwen. Thoughts and Suggestions on Strengthening Basic Research and Creating Original Technology Sources for CNPC [J]. Petroleum Science and Technology Forum, 2024, 43(2): 1-7.
[5]	Ding Hao, Lu Panhui, Zhao Xinwei, Liu Yaxu. Study and Practice of Value Creation and Benchmarking for Scientific Research Institutes [J]. Petroleum Science and Technology Forum, 2024, 43(2): 63-69.
[6]	Yu Yingli, Wang Hong, Zong Liu, Yang Guang, Li Jun. Current Situation and Suggestions on Integrated Innovation from Large, Medium-size and Small Enterprises Led by Central SOEs [J]. Petroleum Science and Technology Forum, 2023, 42(5): 13-20.
[7]	Xiong Bin, Ding Anxu, Wang Ning, Dong Ziming, Tian Lu. Research and Practice of Project System Reform for Oilfield Research Institutes [J]. Petroleum Science and Technology Forum, 2023, 42(5): 44-48.
[8]	Bian Feng, Wei Dong, Yu Tengjiao, Jin Haifeng, Liang Lihui, Li Hao. Research and Practice Efficient Development Model for Oil and Gas Resources in Beach and Shallow Sea Areas [J]. Petroleum Science and Technology Forum, 2023, 42(5): 73-78.
[9]	Du Jizhou. Thinking on High-quality Intellectual Property Development of CNPC Against New Situation [J]. Petroleum Science and Technology Forum, 2023, 42(4): 1-8.
[10]	Zhao Xing. Analyze Corporate Intellectual Property Value Positioning and Realization Path from Vision of System [J]. Petroleum Science and Technology Forum, 2023, 42(4): 9-15.
[11]	Meng Xiangjuan, Bai Yong, Zhou Yong, Zhao Lihong, Liu Yuan. Study and Practice Integrated Management of Technological Innovation with Intellectual Property--Taking ultra-deep oil and gas exploration and development for example [J]. Petroleum Science and Technology Forum, 2023, 42(4): 16-23.
[12]	Yuan Xiaoliang, Wu Pei, Wang Yan. Thinking and Practice of Intellectual Property Development in Coordination with Scientific and Technological Innovation [J]. Petroleum Science and Technology Forum, 2023, 42(4): 24-28.
[13]	Yao Rugang, Zhang Tieming. Intellectual Property in Harmony, Protection and Promotion of High-quality Drilling Liquid Industrial Chain Development [J]. Petroleum Science and Technology Forum, 2023, 42(4): 29-35.
[14]	Li Ming, Yu Jing. Construction of Intellectual Property Management System for Oilfield Enterprises Against New Situation [J]. Petroleum Science and Technology Forum, 2023, 42(4): 66-72.
[15]	Huang Weihuan, Zheng Lijun, Li Yan, Wang Jianming. Performance and Thinking of Fostering Intellectual Property Professional Talents for Enterprises [J]. Petroleum Science and Technology Forum, 2023, 42(4): 89-94.