科研项目重复资助的治理路径探析——基于双重委托代理视角

Analysis on the Governance Path of Duplicate Funding From the Perspective of Double Principal-agent

摘要:

涉及科研不端的重复资助是造成科技资源浪费的重要原因,亟需理清该现象背后的治理逻辑,以实现资源的优化配置。鉴于此,立足于项目申报与立项阶段,通过资助机构—依托单位—科研人员的双重委托代理模型,着重分析了项目的需求紧迫度、间接效益水平、监管强度等因素对重复资助源头治理的影响,并对各类治理要素的潜在效果进行仿真模拟。研究发现：科研人员的违规重复申报行为与其对项目的需求紧迫度正相关；间接费用比例的提升使得资助机构高强度监管的重要性更加凸显；在治理方式上,相比于经由依托单位的间接管理,资助机构作用于个人的直接治理效果更好。

Abstract:

The acquisition of groundbreaking research outcomes by scientists is fundamentally contingent upon the provision of scientific funding, with the funding framework serving as a critical catalyst for the progressive advancement of scientific inquiry. Nonetheless, in the context of escalating research investments, instances of latent research misconduct, including the recurrent submission of proposals by investigators, are increasingly prevalent, and the issue of redundant project endorsements persists unabated. Repeated funding in scientific projects involving misconduct is a significant cause of waste in scientific and technological resources. There is an urgent need to clarify the governance logic behind this phenomenon to achieve optimal resource allocation. To this end, this study focuses on the project application and approval stages, utilizing a dual principal-agent model involving funding agencies, host institutions, and researchers. It analyzes the impact of factors such as the urgency of project demand, the level of indirect benefits, and the intensity of supervision on the source governance of repeated funding. Additionally, the potential effects of various governance elements are simulated. The findings reveal that researchers' behavior of violating regulations by submitting duplicate applications is positively correlated with the urgency of their project demand. An increase in the proportion of indirect costs highlights the importance of high-intensity supervision by funding agencies. In terms of governance methods, direct governance by funding agencies targeting individuals is more effective than indirect management through host institutions. Therefore, funding agencies should further enhance the intensity of supervision and strengthen source governance targeting researchers to fundamentally prevent the occurrence of repeated funding.