国家科技评估中心 National Center for S&T Evaluation 亚洲评价周 2016.9 中国西安 2016AEW, Xian, CHINA 案例 : 中美清洁能源联合研究中心评估 Case 2:Evaluation of Sino-US Clean Energy Research Center 杨云研究员 国家科技评估中心 Prof. YANG Yun NCSTE
NCSTE 主要内容 Outline 目的为什么开展评估 Motivation Why the evaluation was launched? 内容评估什么与如何评估 Content and Methodology What have been evaluated and how does it implemented? 结果发现与体会 Findings and Observations What has been learned from the evaluation? All Rights Reserved 2
NCSTE 背景和目的 Background & Objectives 中美在清洁能源领域研发合作重要举措 In 2009, President Hu Jintao and President Barack Obama announced new Sino-U.S. clean energy initiatives, one of which was China-U.S. Clean Energy Research Center (CERC). 中美清洁能源联合研究中心领域包括 : 清洁煤技术 ( 含碳捕集与封存 ) 建筑节能及清洁汽车 The priority research areas of CERC are: advanced coal technology (including carbon capture and conservation), building energy efficiency and clean vehicles. 受科技部委托,NCSTE 开展中期评估 Entrusted by the Ministry of Science and Technology (MoST), NCSTE carried out CERC s mid-term evaluation from the Chinese side in 2012. 评估定位 进展和问题, 为改进管理运行提出建议 The evaluation aims to provide an objective assessment of CERS s work, examine its positioning and current progress, as well as to propose recommendations for possible improvement
评估框架 Evaluation Framework NCSTE 战略定位和目标 strategic positioning - original strategic positioning and goals / strategic importance of CERC? - Typical characteristics of 3 priority areas / CERC participants from both sides / to what extent have industry players been engaged in? Evaluation Criteria & Questions 评估指标与关键问题 www.themegallery.com 组织构架与运行机制 management/operation - Have the governance structure as well as mechanisms for management and operation been sufficiently effective in the past three years? - Does the Technology Management Plan (TMP) meet the need for collaborative R&D activities and IPR management? 实施进展与效果 progress/outcome - What are the preliminary outcomes through bilateral cooperation? All Rights Reserved 4
评估方法 Evaluation Methods NCSTE Strategic consultancy 战略咨询 Biblimatrics 文献计量 Desk Study 案卷研究 Data Analysis 数据分析 Questionnaire survey 问卷调查 Focus group meeting & Interview 利益相关方座谈与面访 Case study 案例研究 Peer review 同行评议 Cross cutting analysis 综合分析 Evidencebased Key concerns/ needs Broad stakeholder participation All Rights Reserved 5
评估证据 : 文献计量分析 NCSTE Evidence: Bibliometric Analysis Citation impact 4.0 3.0 2.0 1.0 Shanghai Jiao Tong University Central South University HIT Chinese Academy of Sciences Zhejiang University Tsinghua University Fudan University Xiamen University Nankai University University of Science and Technology of China 4.0 Citation impact scale = 100 papers MIT Stanford University 0.0 0% 10% 20% 30% 3.0 40% Percentage of papers in top 10% Principal organizations publishing Clean Vehicles research in China(left ) and USA( right) Data & analysis: Thomson Reuters (Evidence) 2.0 1.0 University of Maryland UC Davis University of Michigan UC Berkeley GM University of Texas Argonne National Laboratory US DoE scale = 100 papers 0.0 0% 10% 20% 30% 40% Percentage of papers in top 10% All Rights Reserved 6 6 Data & analysis: Thomson Reuters (Evidence)
评估证据 : 文献计量分析 NCSTE Evidence: Bibliometric Analysis 中美两国在清洁汽车领域的研究方向都十分广泛, 在锂电池和传动等方面中美两国的研究方向交汇点较多 the map shows where concentration of effort in each of the countries is focused, with the Chinese focused fairly tightly on drive train and lithium batteries.. Patenting in clean vehicle technology is led by Japan, with the US, South Korea, Germany and China at about equivalent levels, although about 37% of the Chinese inventions are filed as utility models. All Rights Reserved 7
评估发现 Evaluation Findings NCSTE With the changing domestic and international contexts, the positive and in-depth strategic importance as well as the global impact of CERC have gone beyond the initial expectations Three initial priority are the key areas for energy saving, emission reduction and CET development CERC participants from both countries possess strong R&D capacity and are qualified for highlevel research collaborations CERC has established its governance structure with formal leadership Evaluation Findings Most joint research activities in the three priority areas are going smoothly and have achieved some preliminary results. Weaknesses include weak functions of the Chinese CERC Secretariat, problems in its fund mechanism, the limited roles of industry participants from the Chinese side, and the relatively scattered All Rights Reserved 24 8 research topics and results, etc.
NCSTE 评估结果应用 Utilization of the Evaluation Results Evaluation report has been accepted and appreciated by stakeholders of China and US. Ministers of MOST approved and commented the report; The report has been sent to Secretary Steven Chu of MOE, U.S. by Minister of MOST as a present during his visit to US. This evaluation task has been listed as one of the outcome of China-US Strategic and Economic Dialogue. Supported the management of CERC, became the evidence of decision making. All Rights Reserved 99
NCSTE 更广泛的视角 Observations and Challenges 政府改进公共支出管理需要建立有效的评估制度 Chinese Government is refining administration and establish accountability system through public reform; MOST has put forward the requirement to establish R&D evaluation system to promote effective use of R&D funds R&D 投入大幅度增长, 公众对其绩效日益关注 The significant expansion of government R&D is raising new concerns about the performance of the R&D funding and the government is under higher pressure. 中国在全球创新系统中的位置日益重要 With China becoming gradually a major player in global innovation, China s R&D system will become more global too. 通过合作与评估, 能够更好地理解两国的国家创新系统 The evaluation to the R&D collaborations may support the mutual understanding to the national innovation systems of both countries. All Rights Reserved 10
NCSTE 更广泛的视角 Observations and Challenges 评估是国家创新体系中的薄弱环节 Evaluation is still the weaker element in national innovation systems. Compared with others, R&D evaluation seems to react more slowly than other aspects. International cooperation in public R&D evaluation has just begun too. 需要更有效的借鉴评估国际经验 Need to learn international experience effectively. Evaluation is the tool produced from a management tradition, Western experiences need to be transfered and localized, make it applicable to our own country s context. All Rights Reserved 11
NCSTE 谢谢!Thank you! 杨云 研究员 / 处长国家科技评估中心电话 :010-62169503 传真 :010-88232615 yangyun@ncste.org www.ncste.org YANG Yun Professor/Director National Center for Science and Technology Evaluation Tel: 86-10-62169503 Fax: 86-10-88232615 All Rights Reserved 12