10. Organization and procedure for the implementation of research

10.3. Methods for assessing the scientific and technical effectiveness of research

The result of research is the achievement of scientific, scientific-technical, economic and social effects. The scientific effect is characterized by obtaining new scientific knowledge and reflects the increase in information intended for "intra-scientific" consumption. The scientific and technical effect characterizes the possibility of using the results of ongoing research in other R&D and provides the information necessary to create new products. The economic effect characterizes the commercial effect obtained by using the results of applied R&D. The social effect is manifested in the improvement of working conditions, the improvement of economic characteristics, the development of culture, health care, science, and education. Scientific activity is multifaceted. Its results, as a rule, can be used in many areas of the economy for a long time.

Evaluation of the scientific and scientific and technical effectiveness of R&D is carried out using a system of weighted scoring. For fundamental R&D, only the coefficient of scientific effectiveness is calculated (Table 10.3), and for exploration work, the coefficient of scientific and technical effectiveness is calculated (Table 10.4). Estimates of coefficients can only be established on the basis of the experience and knowledge of scientists who are used as experts. The evaluation of the scientific and technical effectiveness of applied R&D is carried out on the basis of a comparison of the technical parameters achieved as a result of the R&D with the basic ones (which could have been implemented before the R&D was completed).

Table 10.3

Characteristics of factors and signs of scientific effectiveness of R&D

Table 10.4

Characteristics of factors and signs of scientific and technical effectiveness of R&D

In this case, the coefficient of scientific and technical effectiveness is determined by the formula

where k is the number of estimated parameters; - coefficient of influence of the i-th parameter on scientific and technical performance; - coefficient of relative increase of the i-th parameter in comparison with the base value.

For the convenience of performing calculations, the data are summarized in Table. 10.5.

Table 10.5

Assessment of the scientific and technical effectiveness of applied R&D

7.3. Methods for assessing the scientific and technical effectiveness of research

The result of research is the achievement of scientific, scientific-technical, economic and social effects. The scientific effect is characterized by the acquisition of new scientific knowledge and reflects the increase in information intended for "intra-scientific" consumption. The scientific and technical effect characterizes the possibility of using the results of ongoing research in other R&D and provides the information necessary to create new products. The economic effect characterizes the commercial effect obtained by using the results of applied R&D. The social effect is manifested in the improvement of working conditions, the improvement of economic characteristics, the development of culture, health care, science, and education.

Scientific activity is multifaceted, its results, as a rule, can be used in many areas of the economy for a long time.

Evaluation of the scientific and scientific and technical effectiveness of R&D is carried out using a system of weighted scoring. For fundamental R&D, only the coefficient of scientific effectiveness is calculated (Table 7.3), and for exploration work, the coefficient of scientific and technical effectiveness is calculated (Table 7.4). Estimates of coefficients can only be established on the basis of the experience and knowledge of scientists who are used as experts. The evaluation of the scientific and technical effectiveness of applied R&D is carried out on the basis of a comparison of the technical parameters achieved as a result of the R&D with the basic ones (which could have been implemented before the R&D was completed).

Table 7.3

Characteristics of factors and signs of scientific effectiveness of R&D

Table 7.4

Characteristics of factors and signs of scientific and technical effectiveness of R&D

In this case, the coefficient of scientific and technical effectiveness is determined by the formula

where k is the number of estimated parameters;

coefficient of influence of the i-th parameter on scientific and technical performance;

– coefficient of relative increase of the i-th parameter in comparison with the base value.

For the convenience of performing calculations, the data are summarized in Table. 7.5.

Table 7.5

Assessment of the scientific and technical effectiveness of applied R&D

The result of research is the achievement of a scientific, scientific-technical, economic, social effect.

scientific effect characterizes the acquisition of new scientific knowledge and reflects the growth of information intended for internal scientific consumption. Scientific and technical effect characterizes the possibility of using the results of ongoing research in other research or development work and provides information necessary to create new technology. Economical effect is characterized by savings of living and materialized labor in social production, expressed in terms of cost, obtained by using the results of applied research. Social effect is manifested in the improvement of working conditions, the improvement of environmental characteristics, the development of health care, culture, science, education, etc.

Quantifying scientific effect it is advisable to produce by calculating the coefficients of scientific and scientific and technical performance. A qualitative analysis of possible types of R&D effect consists in comparing the advantages and disadvantages of the results obtained in the form of "higher - lower", "better - worse", "more - less".

The evaluation of the scientific and scientific and technical effectiveness of R&D of a theoretical nature is carried out using coefficients calculated by the formulas:

Кнр = ∑ m Кзнi * Кдуi (3.1)

Kntr \u003d ∑ n Kzni * Kdui (3.2)

where Кнр, Кнр – coefficients of scientific and scientific and technical effectiveness, respectively;

Кзнi - coefficient of significance of the i -th factor used for evaluation;

Kdui - the coefficient of the achieved level of the i -th factor;

m and n - respectively, the number of factors of scientific and scientific and technical effectiveness.

As factors in assessing scientific performance, the novelty of the results obtained, the depth of scientific study, the degree of probability of success, etc., can be taken, while in assessing scientific and technical effectiveness - the prospects for use, the scale of implementation, the completeness of the results obtained, etc. ).

Table 3.1 - Characteristics of the factors and signs of the scientific effectiveness of R&D

For each of the factors, the values ​​of the coefficients of significance and the achieved level for this factor are established by expert means. The sum of the significance coefficients must be equal to 1.0. The coefficients of the achieved level of each factor are less than 1.0 and the closer they are to 1.0, the higher the scientific and scientific and technical effectiveness of R&D.

Table 3.2 - Characteristics of the factors and features of the scientific and technical effectiveness of the graduation project

In the case of assessing the effectiveness of research of an applied nature, if there is a basis for comparison, the calculation is based on a comparison of the achieved technical parameters with the base ones.

The coefficient of scientific and technical effectiveness is determined in this case by the formula:

Kntr \u003d ∑ Kvli * Kppi (3.3)

where n is the number of parameters used for evaluation;

Kvli - the coefficient of influence of the i-th parameter on scientific and technical performance;

Kppi - relative coefficient of increase of the i-th parameter.

The relative parameter increase factor is determined by the formula:

Кпi = Wдi / Wбi (3.4)

where Wdi is the value of the achieved parameter;

Wbi is the value of the basic parameter.

The coefficients are determined by an expert, the assessment is carried out in Table. 3.3.

Table 3.3 - Characteristics of the factors and signs of the scientific and technical effectiveness of R&D

Along with the assessment of scientific and technical performance, for applied R&D, economic efficiency calculations are carried out, taking into account the features of R&D, primarily that R&D is the initial stage in the creation of new technology, therefore, calculations of the expected economic efficiency are of a probabilistic, predictive nature. In essence, this is the economic potential that can be realized in the future as the commercial results of innovations are obtained.

The assessment of the social effect of R&D is also predictive, the social results may include: increasing the level of safety, eliminating heavy physical labor, improving working conditions, eliminating occupational injury and occupational diseases, reduction of air pollution in industrial premises, reduction harmful emissions in external environment, noise level, etc.

R&D planning

Approximate stages of research work and their relationship to each other in terms of volume and execution time are given in Table. 4.1.

Table 4.1 - Approximate stages of the research plan

Conducting research usually includes a large number of works on the specified stages, which must be linked to each other in a certain sequence in terms of time, resources and information flows. In order to achieve such coordination of the entire range of research work, it is recommended to use network planning and management methods.

The first step in developing a network model is to determine the types of work and the time spent on carrying out these works, as well as determining the number of participants in the work and their qualifications.

The methodology for developing a network model and examples of the application of network planning models for R&D are given in the Appendix.

The result of research is the achievement of scientific, scientific-technical, economic and social effects. The scientific effect is characterized by the acquisition of new scientific knowledge and reflects the increase in information intended for "intra-scientific" consumption. The scientific and technical effect characterizes the possibility of using the results of ongoing research in other R&D and provides the information necessary to create new products. The economic effect characterizes the commercial effect obtained by using the results of applied R&D. The social effect is manifested in the improvement
working conditions, improvement of economic characteristics, development of culture, health care, science, education. Scientific activity is multifaceted. Its results, as a rule, can be used in many areas of the economy for a long time.
Characteristics of factors and signs of scientific effectiveness of R&D
Table 10.3\r\nFactor Coef. Coefficient\r\nof scientific effectiveness Factor quality Characteristics of the factor achieved\r\nactivity of the level factor\r\nNovelty 0.5 High \nresults \r\n Regularities \r\n Medium Some general regularities, methods, ways to create a fundamentally new product 0.7\r\n Insufficient Positive decision based on simple generalizations, analysis of factor relationships, distribution known principles to new objects \r\n Trivial Description of individual factors, dissemination of previously obtained results, abstract reviews 0.1\r\nDepth 0.35 High Performing complex theoretical 1.0\r\nscientific calculations, testing on a large volume \r \ndevelopment of experimental data \r\n Medium Low complexity of calculations, verification on a small amount of experimental data 0.6\r\n Insufficient Theoretical calculations are simple, 0.1\r\n No experiment was carried out \r\nDegree 0.15 Big 1.0\r\nProbability of \r\nsuccess Moderate 0.6\r\nEvaluation of the scientific and scientific and technical effectiveness of R&D is carried out using a system of weighted scoring. For fundamental R&D, only the coefficient of scientific effectiveness is calculated (Table 10.3), and for exploration work, the coefficient scientific and technical performance (Table 1 0.4). Estimates of coefficients can only be established on the basis of the experience and knowledge of scientists who are used as experts. The evaluation of the scientific and technical effectiveness of applied R&D is carried out on the basis of a comparison of the technical parameters achieved as a result of the R&D with the basic ones (which could have been implemented before the R&D was completed).
| Small | | 0.1
Table 10.4
Characteristics of factors and signs of scientific and technical effectiveness of R&D\r\nFactor of scientific and technical effectiveness Coef. the significance of the factor The quality of the factor Characteristics of the factor Coef. achieved level\r\nPerspective- 0.5 First-priority Results can be applied 1.0\r\nused in many scientific directions \r\nresults \r\n\r\n Important Results will be used at 0 .8\r\n development of new technical \r\n solutions \r\n Useful Results will be used in 0.5\r\n subsequent R&D and development \r\nScale 0.3 National Implementation time: \r\nimplementation economy up to 3 years 1.0\r\nresults economy up to 5 years 0.8\r\n up to 10 years 0.6\r\n over 10 years 0.4\r\n Industry Implementation time: \r \n up to 3 years 0.8\r\n up to 5 years 0.7\r\n up to 10 years 0.5\r\n over 10 years 0.3\r\n Individual Implementation time: \r \n firms and up to 3 years 0.4\r\n enterprises up to 5 years 0.3\r\n up to 10 years 0.2\r\n over 10 years 0.1\r\nCompletion
results 0.2 High
Medium
Insufficient Terms of Reference for R&D
Recommendations, detailed analysis,
suggestions
Overview, info 1
0.6 0.4\r\nIn this case, the coefficient of scientific and technical effectiveness is determined by the formula
k
Ktr \u003d XKVL1KPj, P i \u003d 1
Assessment of the scientific and technical effectiveness of applied R&D
Table 10.5\r\nParameter Unit Coefficient influence Parameter values ​​Kvl i\r\n Kvl i achieved basic \r\n \r\n х=\r\nwhere k is the number of estimated parameters; Kvli - the coefficient of influence of the i-th parameter on the scientific and technical performance; Kp - coefficient of relative increase of the i-th parameter in comparison with the base value. For the convenience of performing calculations, the data are summarized in Table. 10.5.

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MANAGEMENT THEORY AND PRACTICE

Dr. tech. Sciences A. V. Ryzhakova

cand. economy S. V. Manakhov

EVALUATION OF THE EFFICIENCY OF THE RESEARCH

WORKS IN UNIVERSITY1

The article considers the fundamental factors of efficiency (efficiency) of fundamental and applied research work carried out by a modern university. A brief description of some methods for evaluating the results of research work is given, a method for calculating the integral indicator that reflects the quality of the results of the scientific activity of the university is proposed. A list of indicators is given, on the basis of which it is possible to evaluate the dynamic rating of the effectiveness of R&D.

Key words and phrases: research work (R&D), fundamental and applied R&D, R&D effectiveness, integral indicator, scientific and technical level indicator, dynamic evaluation of R&D effectiveness.

Scientific work is one of the most important activities of the teaching staff, graduate students and students of any higher educational institution. Conducting scientific work at the university ensures continuous improvement of the educational process based on fundamental and applied research in the areas of training specialists and implementation in educational activities modern methods and pedagogical technologies.

The university status of a higher educational institution implies:

Training of highly qualified personnel in a wide range of areas of science, production and public life through postgraduate and doctoral studies;

Participation in the educational process of scientific and pedagogical personnel of the highest qualification;

The presence of generally recognized scientific schools, significant achievements in the field of fundamental and applied research, scientific and methodological innovations;

Raising the scientific qualifications of scientific and pedagogical personnel;

Dissemination of scientific knowledge, cultural and educational activities.

Thus, one of the main tasks of universities is to organize and conduct fundamental and applied scientific research. The results of fundamental scientific research in this case are

1 The article was prepared as part of the research work “Development of a project management mechanism scientific activity university" under the state order of the Ministry of Education and Science Russian Federation in 2013

theory, method, hypothesis, and applied scientific research - methodology, algorithm, technology, device, installation, device, mechanism, substance, material, product, system (management, regulation, control, design, information), software, database .

The presence of a well-established mechanism for the implementation of regular analysis and evaluation of the results of research work is the most important element effective management scientific activities of the university. At the same time, if quantification research conducted at the university is easily feasible, then characterizing the quality of research work performed is a difficult task.

The quality and efficiency of research work, the composition of the indicators used and the accuracy of the calculation of the latter depend on the following factors:

The nature of the results obtained;

Liaison with practical bodies;

The scale of R&D implementation;

The duration of the period of research and development and the stage at which the calculation is made (planning, implementation, implementation).

There are features of determining the effectiveness of research work, depending on their type. According to fundamental research, in the course of a comprehensive analysis, the scientific effect is first of all established. If the results of R&D in the future may affect the social side of public life (which is important, for example, for the penitentiary system), then the content of a comprehensive analysis of R&D should include a qualitative assessment of these components of the overall effect.

In addition, the characterization of the effect of fundamental work carried out at the university should include the established impact of these works on the quality of education at the university. The economic effect and economic efficiency of spending on R&D in fundamental research usually cannot be calculated. In some cases, only a qualitative forecast of the economic rationality of R&D, possible in the future, can be given.

Applied (exploratory) R&D primarily reveals scientific and technical effects. The possibility of analyzing the organizational feasibility of R&D depends on its type. For applied work related to material production, carried out on the basis of the use of new phenomena and patterns discovered in the course of fundamental research, the economic effect of implementing their results and the economic efficiency of R&D costs, as a rule, cannot be calculated. Only production and other possibilities of applying R&D and on the basis of qualitative analysis the characteristic of their supposed economic importance is given. This determines the range of indicators that change under the influence of the implementation of the results of the work, as well as the possible range of these changes.

Thus, it should be noted that far from every research work, the analysis of rationality can be brought to the calculation of indicators of economic effect.

Currently, a fairly large number of different methods for assessing the effectiveness of research work are known, but there are no unified methods for assessing the results of research work, so the problem of their development is very relevant for modern universities.

The development and application of methods for assessing the economic efficiency of research and development work is one of the most important levers for accelerating scientific and technological progress, concentrating scientific potential in the most important areas of development of the national economy and scattering material, financial and human resources.

The main indicator of the quality of the results of scientific activity of the university, in our opinion, is the indicator of the scientific and technical level (STL) as a generalizing characteristic of the prospects and progressiveness of scientific and technical solutions incorporated in the development, in comparison with existing and previously created ones that belong to one scientific industries. The definition of NTU is carried out by a complex method based on an integrated assessment as a function of private assessments (indicators) and weight coefficients characterizing the importance of each indicator.

The result of research is the achievement of a scientific and scientific-technical effect. Their quantitative values ​​are determined using a system of weighted scoring for a group of scientific performance factors. Moreover, these factors differ for fundamental and applied R&D. The most general list of brief description and possible values ​​of the coefficients are presented in Table. 1 and 2.

For fundamental R&D, only the coefficient of scientific effectiveness is calculated (in accordance with the initial data of Table 1), and for applied work, the coefficient of scientific and technical effectiveness is also calculated (in accordance with the initial data of Table 2).

The coefficient of scientific (scientific and technical) effectiveness is determined by the formula

E = £ ErKr,

where k is the number of estimated parameters;

E7 - coefficient of significance of the factor (influence of the 7th parameter on scientific (scientific and technical) performance);

K is the coefficient of the achieved level of the 7th parameter.

In accordance with the proposed methodology, the coefficients are estimated only on the basis of the experience and knowledge of scientists who are used as experts. The assessment of the scientific and technical effectiveness of applied R&D is carried out on the basis of a comparison of the technical parameters achieved as a result of the R&D with the basic ones (which could have been implemented before the R&D was completed).

Table 1

Characteristics of factors and signs of scientific effectiveness of fundamental R&D

Factor of scientific effectiveness Coefficient of significance of the factor Quality of the factor Characteristics of the factor Coefficient of the achieved level

Novelty of the obtained results 0.5 High Fundamentally new results, new theory, discovery of a new regularity 1.0

Medium Some general patterns, methods, ways to create a fundamentally new product 0.7

Insufficient Positive decision based on simple generalizations, analysis of factor relationships, extension of known principles to new objects 0.3

Trivial Description of individual factors, dissemination of previous results, abstract reviews 0.1

Depth of scientific study 0.35 High Performance of complex theoretical calculations, verification on a large amount of experimental data 1.0

Medium Low complexity of calculations, verification on a small amount of experimental data 0.6

Insufficient Theoretical calculations are simple, the experiment was not carried out 0.1

Degree 0.15 Large - 1.0

probability of success Moderate - 0.6

Small - 0.1

Table 2

Characteristics of factors and signs of scientific and technical performance

applied research

Factor Coefficient Quality Characteristic Coefficient

scientific and technical factor factor factor factor

the effectiveness of the significance of the factor of the achieved level

Promising 0.5 Highly Possible Results 1.0

use find application

results in many scientific fields

Important The results will be used in the development of new technical solutions 0.8

Useful Results will be used in subsequent research and development 0.5

Implementation scale 0.3 National Implementation time:

economic results up to 3 years up to 5 years up to 10 years over 10 years 1.0 0.8 0.6 0.4

Industry Implementation period: up to 3 years up to 5 years up to 10 years over 10 years 0.8 0.7 0.5 0.3

Individual firms and Implementation time: up to 3 years 0.4

enterprises up to 5 years up to 10 years over 10 years 0.3 0.2 0.1

Completion 0.2 High Terms of Reference- 1

results for experimental design work

Insufficient Overview, information 0.4

Evaluation of the effectiveness of research should be carried out at different stages of the implementation of a research project.

The initial evaluation of efficiency (planned efficiency) takes place at the stage of formation of the terms of reference (TOR). It is reflected in the explanatory note and the draft TOR, which necessarily describe the planned results and analyze their value in terms of common tasks university.

Evaluation of effectiveness at the time of delivery and defense of work (or stage) is reflected in the minutes of meetings of commissions for the acceptance of research results, in particular, in the form of recommendations for further use with an assessment of expected beneficial effects.

Evaluation of the effectiveness of research after its formal completion is of particular relevance and significance for modern Russian universities. Unfortunately, many R&D ends at the stage of a research report and payment for the work of its participants. The further scientific activity of the department or scientific unit in most universities of the country is not tracked in relation to those R&D that were performed at the department or with the participation of the department or scientific unit. This type estimates will be called the dynamic R&D rating.

Number of monographs on research topics;

The volume of printed sheets in published monographs highlighting the results of a particular R&D;

Number of articles published on research topics;

The number of Ph.D. theses defended using the results of research, indicating the coefficient of use of research results for each dissertation (from 0 to 1);

The number of doctoral dissertations defended using the results of research, indicating the coefficient of use of research results for each dissertation (from 0 to 1);

The volume of work performed on R&D in financial terms (total cost of R&D);

Number of textbooks and teaching aids using the results of research;

Quantity academic disciplines using the results of research;

The number of patents registered based on the results of research;

Number of registered software products created on the basis of R&D results;

Number of new bids submitted based on R&D results;

Number of winning applications created based on results

The total amount of winning applications created based on the results

Dynamic evaluation of effectiveness may fall if there are no publications, patents, no development, no implementation, the results did not form the basis of dissertations, there are no customers for the results, etc.

Publication indicators;

Indicators of scientific qualification of scientific and pedagogical workers (candidate and doctoral dissertations);

Qualities educational process;

Degrees of commercialization of research results;

The activity of the most qualified part of scientific and pedagogical workers (the desire to enter and further increase the rating of scientific supervisors) in terms of searching for the most promising research topics;

The volume of research carried out, in particular, with the involvement of external sources of financing.

The use of a dynamic R&D rating by higher education institutions will make it possible to more fully ensure continuity between the stages of research work, in particular, between the stage of research development and the stage of commercialization of scientific knowledge.

Bibliography

1. Butenko Ya. A. Implementation of project management in the scientific activity of the university // Bulletin of the Russian University of Economics named after G. V. Plekhanov. - 2013. - No. 9 (63).

2. Manakhov S. V. The development of scientific activity in universities - a new priority of the state scientific and technical policy of Russia // Bulletin of the Plekhanov Russian University of Economics. - 2013. - No. 8 (62).

3. Maslennikov V. V. Organizational models of project management of scientific activities in Russian universities// Bulletin of the Plekhanov Russian University of Economics. - 2013. - No. 9 (63).

4. Saginova O. V., Zavyalova N. B., Shtykhno D. A. Communication between scientific research and the educational process in universities. Bulletin of the G. V. Plekhanov Russian University of Economics. - 2012. - No. 12 (54).