政府购买服务、科研绩效评价与科研激励机制
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摘要
科研激励机制会影响科研人员的科研热情与科研创新能力,进而影响到国家科技投资的效果与长期经济增长。为充分发挥科研人员的创造力,提高科研绩效,需要推进科研激励机制的构建。本文在回顾相关文献的基础上,分析了我国目前科研绩效低下的问题及其原因,提出了科研激励机制构建的基本方针与基本原则,构建了基于政府购买服务和科研绩效评价的科研激励机制的基本框架体系。
As a part of the scientific research system,scientific research performance evaluation and scientific research incentive mechanism affect the enthusiasm and innovation ability of scientific research personnel,and then affect the effect of national scientific and technological investment and long-term economic growth. In order to give full play to the creativity of researchers and improve the performance of scientific research,it is necessary to promote the construction of scientific research incentive mechanism. Based on the review of relevant literature,this paper analyzes the problems and causes of low scientific research performance in China at present,puts forward the basic principles and directions for the construction of scientific research incentive mechanism,and constructs the framework system of scientific research incentive mechanism based on government purchase of services and scientific research performance evaluation.
As a part of the scientific research system,scientific research performance evaluation and scientific research incentive mechanism affect the enthusiasm and innovation ability of scientific research personnel,and then affect the effect of national scientific and technological investment and long-term economic growth. In order to give full play to the creativity of researchers and improve the performance of scientific research,it is necessary to promote the construction of scientific research incentive mechanism. Based on the review of relevant literature,this paper analyzes the problems and causes of low scientific research performance in China at present,puts forward the basic principles and directions for the construction of scientific research incentive mechanism,and constructs the framework system of scientific research incentive mechanism based on government purchase of services and scientific research performance evaluation.
引文
樊春良.2006.战后美国科学政策的形成.科学文化评论,3:38～72
奉公.2003.论公共产品类科研资金投入的拟成果购买制.科学学研究,3:254～258
管兵,夏瑛.2016.政府购买服务的制度选择及治理效果:项目制、单位制、混合制.管理世界,8:58～72
郭际,吴先华,吴崇.2013.基于DEA-Tobit模型的我国高校科技投入产出绩效评价及政策启示.科技管理研究,23:65～70
贾康等.2014.政府购买公共服务的理论与边界分析.财政研究,3:2～11
莱昂·狄骥.2013.公法的变迁.郑戈译.北京:商务印书馆
李经路,闫维艳.2017.DEA视窗分析的高校科研效率:2009—2015年间的A区数据.科技管理研究,23:142～151
李燕萍,郭玮,黄霞.2009a.科研经费的有效使用特征及其影响因素.科学学研究,11:1685～1691
陆根书,赵颖,刘蕾,闫妮.2013.教育部直属高校科研效率评价研究.大学教育科学,1:30～36
渠敬东.2012.项目制:一种新的国家治理体制.中国社会科学,5:114～131
盛玉华.2017.高校科研经费管理体制构建之法理学思考——以政策、法律、自治规章的关系为视角.南方论坛,3:58～61
史万兵,杨慧.2014.高等学校教师科研绩效评价方法研究.高教探索,6:112～117
孙世敏,项华录,兰博.2007.基于DEA的我国地区高校科研投入产出效率分析.科学学与科学技术管理,7:18～21
万丽华,龚培河.2014.高校科研经费腐败的形式、根源与对策研究.科学管理研究,5:40～43
曾建勋,许燕.2015.政府购买公共科研服务研究.中国科技论坛,4:30～34
赵强强,陈洪转,俞斌.2009.利用截面数据对地域高校科研经费使用效率的评价.科学学与科学技术管理,9:119～122
中央财经大学课题组.2013.国家财政投入对科研产出的影响.统计研究,8:111～112
周宏,王海妹,张巍.2008a.相对绩效评价的绩效形式研究.会计研究,6:72～76
周宏,张巍,杨霁.2008b.相对绩效评价理论及其新发展.经济学动态,1:89～93
朱光磊.2006.现代政府理论.北京:高等教育出版社
Abbott,M.,C.Doucouliagosa.2003.The Efficiency of Australian Universities:A Data Envelopment Analysis.Economics of Education Review,22(1):89～97
Amabile,T.M.1983.The Social Psychology of Creativity.New York:Springer Verlag.
Auranen,O.,M.Nieminen.2010.University Research Funding and Publication Performance—An International Comparison.Research Policy,39(6):822～834
Callon,M.1994.Is Science a Public Good?Science Technology and Human Values,19(4):395～424
Catherine,B.,S.Allaoui.2012.Impact of Public and Private Research Funding on Scientific Production:The Case of Nanotechnology.Research Policy,41(9):1589～ 1606
Flegg,A.T.,D.O.Allen,K.Fifld,T.W.Thurlow.2004.Measuring the Efficiency of British Universities:a Multi-period Data Envelopment Analysis.Education Economics,12(3):231～249
Hicks,D.2012.Performance-based University Research Funding Systems.Research Policy,41(2):251～261
Hoekman,J.,T.Scherngell,K.Frenken,R.Tijssen.2013.Acquisition of European Research Funds and Its Effect on International Scientific Collaboration.Journal of Economic Geography,13(1):23～52
Link,A.N.,J.T.Scott.2004.Evaluating Public Sector R&D Programs:the Advanced Technology Program's Investment in Wavelength References for Optical Fiber Communications.Journal of Technology Transfer,30(1-2):241～251
Partha,D.,P.A.David.1994.Toward a New Economics of Science.Research Policy,23(5):487～521
Pavitt,K.2001.Public Policies to Support Basic Research:What can the Rest of the World Learn from US Theory and Practice?Industrial and Corporate Change,10(3):761～779
Romer,P.M.1986.Increasing Return and Long-Run Growth.Journal of Political Economy,94(5):1002～1037
Romer,P.M.1990.Endogenous Technological Change.Journal of Political Economy,98(5):71～102
Romer,P.M.1992.Two Strategies for Economic Development:Using Ideas and Producing Ideas.The World Bank Economic Review,6(S1):63～91
Romer,P.M.1993.Implementing a National Technology Strategy with Self-Organizing Industry Investment Boards.Brookings Papers on Economic Activity Microeconomics,2:345～399
Thai,K.V.,R.Grimm.2017.Government Procurement:Past and Current Development.Journal of Public Budgeting Accounting & Financial Management,12(2):231～247
(1)施建.2014.购买科研课题服务发展空间大.政府采购信息报.2014年9月8日.
(2)《中国高等学校绩效评价报告》,发表于《中国教育报》2009年12月9日第1版。
奉公.2003.论公共产品类科研资金投入的拟成果购买制.科学学研究,3:254～258
管兵,夏瑛.2016.政府购买服务的制度选择及治理效果:项目制、单位制、混合制.管理世界,8:58～72
郭际,吴先华,吴崇.2013.基于DEA-Tobit模型的我国高校科技投入产出绩效评价及政策启示.科技管理研究,23:65～70
贾康等.2014.政府购买公共服务的理论与边界分析.财政研究,3:2～11
莱昂·狄骥.2013.公法的变迁.郑戈译.北京:商务印书馆
李经路,闫维艳.2017.DEA视窗分析的高校科研效率:2009—2015年间的A区数据.科技管理研究,23:142～151
李燕萍,郭玮,黄霞.2009a.科研经费的有效使用特征及其影响因素.科学学研究,11:1685～1691
陆根书,赵颖,刘蕾,闫妮.2013.教育部直属高校科研效率评价研究.大学教育科学,1:30～36
渠敬东.2012.项目制:一种新的国家治理体制.中国社会科学,5:114～131
盛玉华.2017.高校科研经费管理体制构建之法理学思考——以政策、法律、自治规章的关系为视角.南方论坛,3:58～61
史万兵,杨慧.2014.高等学校教师科研绩效评价方法研究.高教探索,6:112～117
孙世敏,项华录,兰博.2007.基于DEA的我国地区高校科研投入产出效率分析.科学学与科学技术管理,7:18～21
万丽华,龚培河.2014.高校科研经费腐败的形式、根源与对策研究.科学管理研究,5:40～43
曾建勋,许燕.2015.政府购买公共科研服务研究.中国科技论坛,4:30～34
赵强强,陈洪转,俞斌.2009.利用截面数据对地域高校科研经费使用效率的评价.科学学与科学技术管理,9:119～122
中央财经大学课题组.2013.国家财政投入对科研产出的影响.统计研究,8:111～112
周宏,王海妹,张巍.2008a.相对绩效评价的绩效形式研究.会计研究,6:72～76
周宏,张巍,杨霁.2008b.相对绩效评价理论及其新发展.经济学动态,1:89～93
朱光磊.2006.现代政府理论.北京:高等教育出版社
Abbott,M.,C.Doucouliagosa.2003.The Efficiency of Australian Universities:A Data Envelopment Analysis.Economics of Education Review,22(1):89～97
Amabile,T.M.1983.The Social Psychology of Creativity.New York:Springer Verlag.
Auranen,O.,M.Nieminen.2010.University Research Funding and Publication Performance—An International Comparison.Research Policy,39(6):822～834
Callon,M.1994.Is Science a Public Good?Science Technology and Human Values,19(4):395～424
Catherine,B.,S.Allaoui.2012.Impact of Public and Private Research Funding on Scientific Production:The Case of Nanotechnology.Research Policy,41(9):1589～ 1606
Flegg,A.T.,D.O.Allen,K.Fifld,T.W.Thurlow.2004.Measuring the Efficiency of British Universities:a Multi-period Data Envelopment Analysis.Education Economics,12(3):231～249
Hicks,D.2012.Performance-based University Research Funding Systems.Research Policy,41(2):251～261
Hoekman,J.,T.Scherngell,K.Frenken,R.Tijssen.2013.Acquisition of European Research Funds and Its Effect on International Scientific Collaboration.Journal of Economic Geography,13(1):23～52
Link,A.N.,J.T.Scott.2004.Evaluating Public Sector R&D Programs:the Advanced Technology Program's Investment in Wavelength References for Optical Fiber Communications.Journal of Technology Transfer,30(1-2):241～251
Partha,D.,P.A.David.1994.Toward a New Economics of Science.Research Policy,23(5):487～521
Pavitt,K.2001.Public Policies to Support Basic Research:What can the Rest of the World Learn from US Theory and Practice?Industrial and Corporate Change,10(3):761～779
Romer,P.M.1986.Increasing Return and Long-Run Growth.Journal of Political Economy,94(5):1002～1037
Romer,P.M.1990.Endogenous Technological Change.Journal of Political Economy,98(5):71～102
Romer,P.M.1992.Two Strategies for Economic Development:Using Ideas and Producing Ideas.The World Bank Economic Review,6(S1):63～91
Romer,P.M.1993.Implementing a National Technology Strategy with Self-Organizing Industry Investment Boards.Brookings Papers on Economic Activity Microeconomics,2:345～399
Thai,K.V.,R.Grimm.2017.Government Procurement:Past and Current Development.Journal of Public Budgeting Accounting & Financial Management,12(2):231～247
(1)施建.2014.购买科研课题服务发展空间大.政府采购信息报.2014年9月8日.
(2)《中国高等学校绩效评价报告》,发表于《中国教育报》2009年12月9日第1版。