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Kafe 바로가기주관연구기관 | 강원대학교 Kangwon National University |
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보고서유형 | 중간보고서 |
발행국가 | 대한민국 |
언어 | 한국어 |
발행년월 | 2016-02 |
과제시작연도 | 2015 |
주관부처 | 미래창조과학부 Ministry of Science, ICT and Future Planning |
등록번호 | TRKO201600010946 |
과제고유번호 | 1711033883 |
사업명 | 과학기술종합조정지원사업 |
DB 구축일자 | 2016-11-19 |
키워드 | 국가연구개발사업.평가시스템.성과평가 기본계획.National R&D Program.Evaluation.Basic plan for Evaluation. |
DOI | https://doi.org/10.23000/TRKO201600010946 |
○ 본 연구의 목적은 국가연구개발사업 평가체계의 정합성을 강화 하고 국가연구개발 사업평가 결과의 활용 및 실효성 제고를 위한 대안을 모색하는데 있음.
○ 본 연구를 통해 제안된 국가연구개발 사업평가제도 발전방안은 다음과 같음.
- 지속적이고 체계적인 평가시스템 구축 필요
- 정책평가: 국가 전체적인 정책방향을 확인하고, 복수의 정부부처가 추진하는 정책평가나 각 부처가 수행한 평가활동을 종합하는데 기여할 수 있는 정책평가 신설
- 상위평가제도의 재설계: 평가에 대한 점검 및 재평가 초점에서 기 수행한 평가결과를
○ 본 연구의 목적은 국가연구개발사업 평가체계의 정합성을 강화 하고 국가연구개발 사업평가 결과의 활용 및 실효성 제고를 위한 대안을 모색하는데 있음.
○ 본 연구를 통해 제안된 국가연구개발 사업평가제도 발전방안은 다음과 같음.
- 지속적이고 체계적인 평가시스템 구축 필요
- 정책평가: 국가 전체적인 정책방향을 확인하고, 복수의 정부부처가 추진하는 정책평가나 각 부처가 수행한 평가활동을 종합하는데 기여할 수 있는 정책평가 신설
- 상위평가제도의 재설계: 평가에 대한 점검 및 재평가 초점에서 기 수행한 평가결과를 바탕으로 한 종합정책 및 전략 평가 의미로 상위평가 개념 재정립 필요
- 수직적`수평적 연계: 사업단위 및 사업군 단위, 정책단위의 수직적 연계 구조를 강화하는 형태로 평가제도 구조 설계. 연구개발사업의 전주기적인 관리 과정상 평가가 이루어질 수 있도록 수평적인 평가제도 연계 강화 필요
- 평가제도간 연계방안: 새로운 평가제도의 신설 혹은 기존 평가제도 재조정, 평가주기 재조정, 평가지표 및 평가자 공유
- 평가결과의 활용 강화방안: 활용을 위해서는 의도적인 노력이 필요하며, 직접적인 활용 뿐만 아니라 포괄적 활용을 위한 제도적 장치 필요
- 평가인프라 구축방안: 평가가 연속성을 갖고, 피평가자의 평가 부담 완화를 위해서는 인프라 구축이 중요. 실제 평가 과정에서 직접적으로 활용될 수 있는 국가연구개발 평가정보시스템의 지원 필요
Purpose & Contents
The aim of this research is to redesign a evaluation systems of national R&D program according to the changes in the evaluation environment including the launch of the Science and Technology Strategy Headquarters and a plan for integrating evaluations for general finance progra
Purpose & Contents
The aim of this research is to redesign a evaluation systems of national R&D program according to the changes in the evaluation environment including the launch of the Science and Technology Strategy Headquarters and a plan for integrating evaluations for general finance programs.
Therefore, in this research we analyse evaluation systems for a national research and development program and raise several points in the evaluation system. And we suggest a redesigned performance evaluation system of national R&D program with consistency in the changed environment.
Results
I. The type of evaluation and logic model
○ R&D evaluation is a process for determining the necessity, appropriateness, efficiency and effectiveness of the activities (program, projects, researcher) related to R&D and has the purpose of securing accountability and improving the policy.
○ Utilization of evaluation results
The purpose of evaluation can be its utilization but evaluation does not necessarily lead to its utilization. Therefore, an institutional strategy should be provided to promote the preparation, the implementation, and the utilization of evaluation.
○ Life-cycle management of R&D program
- It is important to manage throughout the life-cycle of R&D program such as in the phase of planning and execution, and after the completion of the program in order to improve the performance and contribution of R&D program.
- It requires evaluation of the area which implies a potential future value as well as the area which result of evaluation is visible.
II. Analysis of KOREA’s R&D program evaluation
○ National R&D program evaluation consists of technology evaluation, interim evaluation, final evaluation, follow-up evaluation, and specific evaluation.
○ The problems with the structure and each type of evaluation of the national R&D program evaluation are that 1) the object and purpose of evaluation are confused because each subject of evaluation establish separate evaluation system according to its own necessity, 2) the utilization of evaluation outcome is rare, and 3) the comprehensive inspection on the government level and the role adjustment of related parties are inadequate, and 4) the linkage between systems is weak.
- The absence of policy evaluation covering the entire national R&D program
- The absence of evaluation of clustered programs(sectoral, departmental) which can link between related programs and adjust the activities.
- Meta-evaluation from the microscopic point of view and resulting lack of linkage between the R&D policies, R&D investment, and R&D evaluation capability
- Lack of consistency and linkage among R&D program evaluation systems
- Lack of mechanism utilizing the outcomes of evaluation
III. Analysis of R&D program evaluation systems and practices of foreign country
○ Foreign case studies analyze the R&D program evaluation systems of major foreign countries which are the United States, Japan, European Union (EU), and the United Kingdom and their assessment practices and present the implications.
○ National R&D program evaluation system
- Foreign countries have established a systematic evaluation system for carrying out a comprehensive and strategic policy evaluation at the national level.
- While maintaining the hierarchical rigor of the evaluation system and at the same time strengthening the vertical and horizontal linkages of evaluation, they have established an evaluation system to enhance the adjustment of policy goal and the use of evaluation outcomes at the national level.
○ Evaluation methods
- It emphasizes on the evidence-based evaluation to accurately assess the intended purpose of the qualitative assessment that reflects the nature of the R&D program.
- It measures the outcome or the impact of the program in the long term.
○ Use of the evaluation results
- It utilizes the results of the evaluation in conjunction with the budget for the related policies and the performance management of the program.
- It reflects the results of the evaluation in the planning or execution of future policies and programs and strengthens the improvement and strategic coordination of management.
○ Diffusion and sharing of evaluation information
- It establishes an evaluation information DB and evaluation network in terms of the quality improvement of evaluation and diffusion and sharing of R&D performance.
- It activates the establishment of evaluation information DB and evaluation network to expand performance diffusion and sharing of R&D program.
- It identifies causal relationships between investment and performance of R&D program from the establishment of evaluation data.
- The quality of evaluation improves from sharing the evaluation information among evaluators and activating the communication.
IV. Survey on cognition of the R&D program evaluation systems
It conducts a survey and interviews with evaluation personnels and evaluation committee of national R&D program for each evaluation type and collects opinions and suggestions for improving the current state of R&D program evaluation system.
○ The current state of national R&D program evaluation system
- Technology evaluation: we need to strengthen the association with the preliminary feasibility surveys and the role as the preliminary evaluation since currently no pre-feasibility test is being conducted for all programs.
- Interim evaluation: Rather than focusing only on a narrow sense of utilization based on the evaluation outcomes, it is necessary to expand the range of utilization as the form that could contribute to the operation and improvement of programs.
- In addition, some issues related to the maintenance of the uniqueness of R&D evaluation according to the introduction of the integrated financial program evaluation, the effectiveness of meta-evaluation such as weakening regulatory function of the meta-evaluation, and the evaluation burden according to the change of evaluation cycle are raised.
- Final evaluation: since the evaluation is performed after completing the program, it is difficult to identify the subject of evaluation and accountability of the evaluation outcomes.
- Follow-up evaluation: the effectiveness issues of the evaluation are raised since there is no establishment of systematic performance information to identify the performance and utilization a certain period of time after the completion of the program and there are no advantages or disadvantages over the evaluation outcomes.
- Specific evaluation: It is pointed out that the qualitatively derived result is not specific enough to be utilized for improvements and that how and when to use the evaluation outcomes is not clear.
○ It is highly necessary to enhance strengthening links among the evaluation systems of the national R&D program evaluation system and the utilization of the evaluation outcomes.
- program evaluation-evaluation of clustered programs-the vertical linkage of policy evaluation and technology evaluation-interim evaluation-final evaluation
- The need for horizontal linkages between evaluation systems across the program cycle such as follow-up evaluation is highly recognized.
- The problem is raised that the evaluation outcome is utilized as the limited form and the system for the utilization is not systematically prescribed. It is necessary to specify the usage of the evaluation outcomes in detail.
○ Integrated system of National R&D program
- It is highly aware of the need to evaluate clustered programs. While categorizing clustered programs based on the area of application, three-year-period of self-evaluation and meta evaluation of the Department of Science, ICT and Future Planning as the evaluation cycle appear to be appropriate evaluation procedures.
- It also strongly recognizes the need for a integrated evaluation on the higher level of each business. Evaluation period of three years is appropriate. The procedure of self-evaluation to meta-evaluation is regarded as a proper form.
- The need for a comprehensive policy evaluation on the top level is also highly recognized. It shows that the three years or five years of evaluation period is appropriate and the comprehensive evaluation system of the Department of Science, ICT and Future Planning on the global ministry level.
V. Development plan for national R&D program evaluation system
○ It is necessary to establish the continuous and systematic evaluation system.
○ Policy evaluation: It is required to establish the policy evaluation that check the overall policy direction of the country and that contribute to put together the evaluation activities performed by multiple government departments or ministries.
○ Redesigning of meta-evaluation system: it is necessary to redefine the concept of meta-evaluation from focusing on the check of evaluation and re-evaluation to a comprehensive policy and strategy evaluation based on the previous evaluation outcomes.
○ Vertical linkages: it requires to design the structure of evaluation system in the form that strengthens the vertical structure of the association in units of programs, clustered programs, and policy.
○ Horizontal linkages: it is required to strengthen the links of horizontal evaluation system so that the evaluation can be achieved in the process of managing R&D program.
○ Measures to link between evaluation systems: the establishment of new evaluation system, the readjustment of existing evaluation system, the readjustment of evaluation cycle, or sharing of evaluation indicators and evaluators is needed.
○ Measures to strengthen the utilization of evaluation outcomes: the intentional effort is required for the utilization and there is also a need for institutional mechanisms for the comprehensive as well as direct utilization.
○ Methods to build a evaluation infrastructure: it is critical to establish infrastructures in order that evaluation has continuity and ease the ratee’s burden of evaluation. It requires the support of the national R&D evaluation information system that can be utilized directly in the actual evaluation process.
○ Task for the improvement of each evaluation system
- Technology evaluation: it should expand the target of the evaluation to strengthen the preliminary examination of the program
- Interim evaluation: it should explore and institutionalize various ways of utilizing the outcomes of the results
- Final evaluation: it should conduct an evaluation a year before the completion of the program and strengthen the utilization in association with sunset law.
- Follow-up evaluation: since the outcome can be achieved after the completion of the program due to the nature of the R&D program, it needs to strengthen the role of follow-up evaluation.
- Specific evaluation: it should specify the criteria that derive, implement, and reflect the specific evaluation outcome.
Expected Contribution
Results shows the problems of the evaluation type of R&D program, improvements and measures of strengthening linkages between evaluation system and of enhancing the utilization. It enables to redesign the national R&D program evaluation system at a national level, which makes possible to deal with the environmental changes of R&D program evaluation and relevant issues. It will also be able to contribute to improve the efficiency of such national R&D program by achieving the specific object of the performance evaluation of R&D program.
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