我国重点省市科研项目管理的地方性法规对比研究

Comparative study on local legislation of scientific research management in key provinces and cities Based on the perspective of the law of scientific and technological progress

摘要:

2021年新修订的《中华人民共和国科学技术进步法》对科研项目管理进行了系统规定，但在贯彻落实中还存在地方性法规缺失等问题。为此，以上海、广东等重点省份的综合性科技法规为对象，主要从科研项目的组织方式、项目管理、经费管理和绩效评价四方面进行对比分析，以期为各地落实《科学技术进步法》、完善科研项目管理法律法规提供参考。研究发现：各地关于科研项目管理法规的规定模式和组织类型各有特色，主要有原则性规定、分类规定和混合规定3类规定模式，并将常规组织模式、定向委托、“揭榜挂帅”和新型举国体制等4种组织方式固化成地方法规制度；涉及科研项目的种类较多也各有侧重，但范围边界不甚清晰；规制内容相差不大且已形成完整制度体系，都对项目组织方式、申报主体范围、开放合作、科研诚信和尽职免责进行规定，主要在境外研发机构和军工相关主体的有关规定上有所差异；经费使用都主要涉及使用范围、使用原则和科研人员的使用自主权，其中广东（深圳）的财政资金使用范围扩至粤港澳台地区；都建立基于科研诚信的评价制度，主要从宽容失败或尽职免责的角度对科研绩效进行规定，但对于项目经费绩效管理的具体规定较少。最后，从建立科研项目管理的法制体系、完善科研项目分类管理制度、明确科研经费使用的法定底线和建立基于科研诚信的宽容机制等4个维度，提出各地完善科研项目管理法规的对策建议。

Abstract:

The Law of the People's Republic of China on Scientific and Technological Progress (2021 Revision) has provided systematic provisions on the management of scientific research projects, but there are still some problems such as lack of local laws and regulations on the management of scientific research projects. This article focuses on the comprehensive scientific and technological regulations in Shanghai, Guangdong, and other places, compares and analyzes the similarities and differences among these regions on the organization mode, project management, fund management and performance evaluation. Tt is expected to provide references for the implementation of the law on the progress of science and technology and the improvement of laws and regulations on the management of scientific research projects. Research has found that regulatory models and organizational types of scientific research project management are different in these regions. Such as three types of regulation modes: principle regulation, classification regulation and mixed regulation. And four kinds of organization modes, such as conventional organization mode, directional entrusting, "select the best candidates to undertake key research projects" and “new system for mobilizing resources nationwide”, have solidified into local laws and regulations. There are many kinds of scientific research projects in these local laws and regulations, but their scope boundaries are not clear. their contents of regulation for the management of scientific research projects are similar, and form their own complete system in each regulation. All of them stipulate the way of project organization, scope of application subjects, open cooperation, scientific research integrity and due diligence exemption. However, there are differences in the relevant provisions of overseas research and development institutions and military related subjects. The provisions on the use of scientific research funds mainly involve the scope and the principles of use of funds, and the autonomy of researchers, as well as the autonomy of researchers. For example, the scope of use of financial funds in Guangdong Province and Shenzhen has been extended to Hong Kong and Macao. All of these local regulations have established their own evaluation system based on scientific research integrity, and mainly stipulates scientific research performance from the perspective of tolerance of failure or due diligence exemption. However, there are few specific regulations on the performance management of project funds.Finally, it puts forward the countermeasures and suggestions to improve the management regulations of scientific research projects in various regions from four dimensions: establishing a legal system for scientific research project management, improving the classification management system for scientific research projects, clarifying the legal bottom line for the use of scientific research funds, and establishing a tolerance mechanism based on scientific research integrity.