科研经费“包干制”政策的推进特点、实施困境与优化路径

The Promotion Features, Implementation Problems and Optimization Path of the “Lump-Sum System” for Scientific Research Funding

摘要:

“包干制”试点是科研经费管理“放管服”改革的重要内容。科研经费“包干制”政策核心是赋予科研团队更大的经费使用自主权，简化经费管理流程，以激发科研人员的创新活力和提高科研效率。为进一步识别“包干制”政策优化实施的路径，通过剖析国家、地方政府、高校不同层面在科研经费“包干制”试点改革中的政策推进举措，提炼出科研经费“包干制”政策具有的共性特点。在深入探究目前科研经费“包干制”政策在实施过程面临着政策解读歧义、管理服务滞后、群体认知差异、配套制度欠缺的困境基础上，借鉴美国国家实验室、霍华德?休斯医学研究院、美国国家卫生研究院的科研经费包干管理模式和实践经验，认为试点政策有效执行还需要采取精准施策、柔性化管理、完善激励监督机制等措施，保障科研经费管理改革到位，进一步激发科研人员活力。由此，从精准施策、优化制度，以人为本、激发动力，营造环境、强化监督3个方面提出了政策优化路径。

Abstract:

The "lump-sum system" pilot is an important part of the reform of “streamline the government, delegate power, and improve government services”of scientific research funding. The core of the "lump-sum system" policy of scientific research funding is to grant the research teams greater autonomy in the use of funding, and to simplify the management process, thereby stimulating the innovation potential of researchers and improving research efficiency. In order to further identify the optimizing paths of the implementation of the "lump-sum system" policy, through analyzing the policy implementation measures at the national, local government, and university levels in the pilot reform of the "lump-sum system" for research funding, the common characteristics of this policy are displayed. Based on the dilemma of policy interpretation ambiguity, management service lag, group cognition difference and supporting system shortage in the implementation process of current "lump-sum system" of scientific research funding, this paper draws lessons from the lump-sum management mode of scientific research funding and practical experience of American National Laboratory, Howard ? Hughes Medical Research Institute, and American National Institutes of Health. The pilot policy is believed to require precise measures, flexible management, and improved incentive and supervision mechanisms to ensure the effective implementation of the reform in research funding management, further stimulating the vitality and creativity of researchers. To this end, it puts forward the policy optimization path from three aspects: precise policy measures and system optimization, people-centered approaches to stimulate motivation, and creating a conducive environment with strengthened supervision.