科技成果评价：方法与实务

本书严格按照《科学技术评价办法》《科学技术研究项目评价通则》《关于完善科技成果评价机制的指导意见》，论述了什么是科技成果评价、科技成果评价的国内外研究现状、科技成果评价的流程及管理服务系统，从科技成果的技术水平、应用效益、研发团队、科研产出、转化风险等五个层面17个维度，详细阐述了科技成果评价工作开展的具体理论与方法，并结合甘肃省科技成果评价案例描述了具体的操作实务。

目　录 1.1 科技成果评价定义 ····································································· 1 1.1.1　科技成果概念 ··································································· 1 1.1.2　科技成果形式 ··································································· 8 1.1.3　科技成果特征 ··································································15 1.1.4　科技成果评价 ··································································18 1.2 科技成果评价原则 ····································································23 1.2.1　独立原则 ········································································24 1.2.2　客观原则 ········································································25 1.2.3　公正原则 ········································································26 1.2.4　科学原则 ········································································27 1.3 科技成果评价分类 ····································································28 1.3.1　理工类 ···········································································37 1.3.2　农业类 ···········································································38 1.3.3　医药类 ···········································································40 1.3.4　社科类 ···········································································41 1.4 科技成果评价用途 ····································································43 1.4.1　结题验收 ········································································45 1.4.2　成果登记 ········································································46 1.4.3　奖励申报 ········································································47 第2章　科技成果评价发展现状 1.4.4　技术交易 ········································································47 1.4.5　行业认可 ········································································48 1.4.6　成果转化 ········································································48 1.4.7　企业融资 ········································································49 1.4.8　其他用途 ········································································50 1.5 科技成果评价内容 ····································································51 1.5.1　技术水平 ········································································52 1.5.2　应用效益 ········································································54 1.5.3　研发团队 ········································································55 1.5.4　科研产出 ········································································55 2.1 科技成果评价国际现状 ······························································57 2.1.1　美国 ··············································································57 2.1.2　德国 ··············································································62 2.1.3　英国 ··············································································64 2.1.4　日本 ··············································································66 2.1.5　韩国 ··············································································68 2.2 科技成果评价国内现状 ······························································69 2.2.1　中科合创模式 ··································································69 2.2.2　青岛模式 ········································································74 2.2.3　巨加值模式 ·····································································78 2.3 科技成果评价甘肃现状 ······························································81 2.3.1　甘肃斗转科技咨询有限公司 ················································81 2.3.2　兰州科技大市场管理有限责任公司 ·······································81 2.3.3　甘肃省科技发展促进中心 ···················································82 2.3.4　甘肃省科学技术情报研究所 ················································82 第3章　科技成果评价流程 3.1 评价资料受理 ··········································································85 3.1.1　资料收集 ········································································85 3.1.2　资料审核 ········································································86 3.1.3　签订合同 ········································································87 3.2 评价工作实施 ··········································································88 3.2.1　评价师初评 ·····································································88 3.2.2　审核师审核 ·····································································89 3.2.3　专家遴选 ········································································89 3.2.4　专家咨询 ········································································91 3.2.5　综合评价 ········································································92 3.2.6　结果公示 ········································································92 3.2.7　异议处理 ········································································92 3.2.8　出具报告 ········································································93 3.3 评价档案管理 ··········································································93 3.3.1　归档内容 ········································································93 3.3.2　归档类型 ········································································94 3.3.3　归档密级 ········································································94 3.3.4　档案编号 ········································································95 3.3.5　归档流程 ········································································96 3.3.6　档案管理 ········································································98 第4章　科技成果技术水平评价 4.1 关键技术成熟度评价 ······························································ 101 4.1.1　国内外研究现状 ····························································· 101 4.1.2　评价内容与等级 ····························································· 105 4.1.3　评价形式 ······································································ 109 4.1.4　评价结论 ······································································ 109 4.2 关键技术创新度评价 ······························································· 110 4.2.1　国内外研究现状 ····························································· 110 4.2.2　评价内容与等级 ····························································· 112 4.2.3 　评价形式 ····································································· 113 4.2.4　评价结论 ······································································ 114 4.3 关键技术先进度评价 ······························································· 114 4.3.1　国内外研究现状 ····························································· 114 4.3.2　评价内容与等级 ····························································· 117 4.3.3　评价形式 ······································································ 118 4.3.4　评价结论 ······································································ 119 第5章　科技成果应用效益评价 5.1 社会效益评价 ········································································ 122 5.1.1　国内外研究现状 ····························································· 125 5.1.2　评价内容 ······································································ 128 5.1.3　评价形式 ······································································ 132 5.1.4　评价结论 ······································································ 133 5.2 经济效益评价 ········································································ 135 5.2.1　国内外研究现状 ····························································· 138 5.2.2　评价内容 ······································································ 142 5.2.3　评价形式 ······································································ 146 5.2.4　评价结论 ······································································ 147 5.3 生态效益评价 ········································································ 150 5.3.1　国内外研究现状 ····························································· 152 5.3.2　评价内容 ······································································ 157 5.3.3　评价形式 ······································································ 162 5.3.4　评价结论 ······································································ 163 第6章　科技成果研发团队评价 6.1 年龄结构评价 ········································································ 173 6.1.1　年龄划分 ······································································ 173 6.1.2　国内外研究现状 ····························································· 177 6.1.3　评价内容及结论 ····························································· 178 6.2 职称结构评价 ········································································ 181 6.2.1　职称等级划分 ································································ 181 6.2.2　国内外研究现状 ····························································· 184 6.2.3　评价内容及结论 ····························································· 185 6.3 学历结构评价 ········································································ 186 6.3.1　学历等级划分 ································································ 186 6.3.2　国内外研究现状 ····························································· 187 6.3.3　评价内容及结论 ····························································· 188 第7章　科技成果科研产出评价 7.1 科研产出覆盖面评价 ······························································· 193 7.2 科研产出影响力评价 ······························································· 195 7.3 科研产出价值度评价 ······························································· 199 7.4 知识产权明晰度评价 ······························································· 202 第8章　科技成果转化风险评价 8.1 技术风险评价 ········································································ 212 8.1.1　技术更新风险 ································································ 212 8.1.2　技术替代风险 ································································ 213 8.2 政策风险评价 ········································································ 215 8.2.1　产业政策风险 ································································ 216 8.2.2　财政政策风险 ································································ 218 8.2.3　货币政策风险 ································································ 219 8.2.4　政策矛盾风险 ································································ 221 8.3 法律风险评价 ········································································ 224 8.4 市场风险评价 ········································································ 229 第9章　科技成果评价业务管理系统 9.1 管理系统简介 ········································································ 233 9.1.1　概述 ··········································································· 233 9.1.2　发展历程 ····································································· 234 9.1.3　发展目标 ····································································· 236 9.1.4　建设原则 ····································································· 236 9.1.5　远景目标 ····································································· 236 9.1.6　系统特点 ······································································ 237 9.2 系统主要功能 ········································································ 238 9.2.1　系统用户端 ··································································· 238 9.2.2　系统管理端 ························································