国立科研机构经费管理效益比较研究
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摘要
当前,我国国立科研机构正在进行一场深刻的变革。以社会公益研究为主的国立科研机构,有可能会向市场经济环境下普遍存在的非营利性科研机构转化,在接受国家资助的同时,主要依靠社会支持实现良性循环。因此,借鉴国外相关科研机构的模式和经验,研究提出适合我国科技发展阶段的国立科研机构经费配置模式,对于提高我国科研经费配置效率,提升我国国立科研机构的科技竞争力具有重要意义,对于优化地方科研机构的经费配置也有重要的参考价值。
本文立足于国立科研机构经费管理机制的研究,首先评述了国内外有关研究的现状,指出,虽然在管理实践中积累了许多经验,但国外对国立科研机构经费管理模式的研究也不系统。国外学者近期研究的重点是项目经费的管理模式及评估方法,例如同行评议的程序与控制问题,但是缺少对机构层次经费管理模式的探讨。
随后,本文对国内外相关研究进行了综合性评述,综合分析了主要国家国立科研机构的组织管理模式和运行机制。在此基础上研究指出,世界各国国立科研机构的经费配置模式,可归结为3种：以国家需求为导向、基于项目的经费配置模式；倡导科学自治、基于人的经费配置模式；以及以市场为导向、外争经费匹配模式。这些经费配置模式各具特点,适用于不同定位、不同传统的科研机构。
然后,本文详细介绍和分析了美国、法国、德国、日本、印度、俄罗斯、澳大利亚、韩国等国家的科技管理体系、科研经费管理机制、国立科研机构概况以及这些国家的17个典型国立科研机构的经费管理模式。本文指出,各国国家科研经费的总体管理机制的共同特点体现为：多元化经费来源体系中以政府支持为主体：“项目制”经费管理纳入政府科研机构管理范畴；以法律、法规和标准构筑经费管理的机制基础。17个典型国立科研机构的经费管理模式的共同特点体现为：注重科研经费的预算管理；重视科研经费的项目管理；对科研项目实行绩效考评机制；政府拨款与竞争性经费共存。
在此基础上,本文在国内首次基于随机前沿方法(SFA)构建了两个国立科研机构科研经费管理效益分析模型,首次提出了此类模型的主要指标,根据两个模型的分析结果,对17个典型国立科研机构的科研经费使用效益进行了排序,并分析马普模式、FhG模式、美国模式、计划模式等不同经费配置与管理模式的效果与特点。最后对改进国立科研机构的科研经费管理机制提出了相关的分析与建议。为验证SFA构建的两个科研经费管理效益分析模型,又运用平衡记分卡方法(BSC)构建了第三个国立科研机构科研经费管理效益评价框架,并将其获得的排名与SFA构建的两种模型获得的排名进行比较,发现三个模型的排名有共同之处,如科研经费管理效益排名较靠前的机构都有德国马普学会,排名较靠后的机构都有印度科学与工业研究理事会及印度农业研究理事会。这在一定程度上印证了三种模型对经费配置与管理模式的关系的分析基本符合各国立科研机构科研经费使用与管理机制的实际情况。
最后,本文提出了有关建设国立科研机构科研经费管理机制的若干建议,提出目前各国的国立科研机构科研经费管理机制并不规范,管理效益也参差不齐。经费管理机制已经成为制约各国国立科研机构科研水平发展和科研管理水平的瓶颈。改进科技分配体制和科技评价体制,不仅是完善国立科研机构科研经费管理机制的需要,也是有效提高国家科技水平的重要途径。改进的主要途径是将经费分配和项目评估两个方面尽可能结合,但又要保证两方面都能独立地行使职能,并同时提高这两个方面的透明度和公开程度。
Currently, China national scientific research institutions are undergoing far-reaching reformation.The Public-welfare-oriented national scientific research institutions may transform to non-profit making scientific research institutions which commonly existe under the market economy environment. While accepting State financial support, they principally rely on social support to realize benign running.
Therefore, using for reference the modes and experience of foreign related scientific research institutions, studying and presenting the expenditure allocation modes of national scientific research institutions suitable for the development stage of science and technology in China, are of important significance for raising the efficiency of scientific research expenditure allocation, and improving the competitive ability in science and technology of China national scientific research institutions, and of important reference value for optimizing expenditure allocation of provincial and regional scientific research institutions.
On the basis of the study on expenditure management mechanism of national scientific research institutions, this paper firstly reviews the present status of related investigations at home and abroad, indicating that though many experiences have been accumulated in management practice, the study on expenditure management mode of national scientific research institutions in foreign countries is not systematic.The recent studies by Internationsl scholars now focus on the project expenditure management mode and evaluation method, example.g., peer review procedure and control. However, the discussion on expenditure management mode at institution level remains scarce.
Subsequently, this paper systematically reviews related studies at home and abroad, and comprehensively analyzes patterns of organization and administration and operation mechanism of national scientific research institutions in the main-stream countries.
On this basis, the study indicates that the expenditure allocation patterns of the national scientific research institutions in various countries can be summed up into three kinds:the mode guided by the demands of the State and based on the project expenditure allocation; the mode advocating science autonomy and based on researcher expenditure allocation; as well as the mode with market as the guide and striving for foreign expenditure matching.
These expenditure allocation patterns have their own respective characteristics, and are suitable for scientific research institutions with different localizations, and with different traditions.
Then, the paper introduces and analyzes in detail the systems of science and technology management, and management mechanism of scientific research expenditure, the general situation of national scientific research institutions as well as the expenditure management patterns of17typical national scientific research institutions of the USA, France, German, Japan, India. Russia, Australia, the Republic of Korea, etc.
The present paper indicates that the common characteristics of the overall management mechanism of the state scientific research expenditure in various countries are embodied as: diversified funding sources systems with the government support as the main body;"project system" expenditure management brought into the management category of government scientific research institutions; with law, by-law and standard constructing the basis for expenditure management mechanism.
The common characteristics of the expenditure management patterns of the17typical national scientific research institutions are embodied as:focus on the expenditure budget management of the scientific research; paying high attention to the project management of scientific research expenditure; exercising evaluation mechanism for scientific research projects; the coexistence of government grant and competitiveness expenses.
On this basis, this study constructs two analytical models for the scientific research expenditure management benefits of national scientific research institutions for the first time in China, and presentes firstly the principal indexes of such models, and according to the analytic results of the two models, the author conducted sequencing for the using benefits of scientific research expenditure of the17typical national scientific research institutions, and analysed different expenditure allocation and management model effects and characteristics, such as German the Mapu mode, the FhG mode, the USA mode, and the program mode.
Finally, the author made related analyses and suggestions, so as to improve management mechanism of scientific research expenditure of national scientific research institutions.
In order to verify the two analytical models for management benefits of scientific research expenditure, the author used Balance Score Card Method (BSC) to construct the third evaluation frame of management benefits of scientific research expenditure of scientific research institutions and to take its acquired ranking to be compared with the acquired ranking by the two models constructed by Stochastic Frontier Analysis (SFA), and found that the rankings of the three models share common points.For example, among the institutions of scientific research expenditure management benefits ranking in the relatively preceding positions there is German Mapu Society, and relatively ranking in the rear positions are Indian Science and Industry Research Council and Indian Agriculture Research Council. This confirms to a certain degree that the analysis of the relationship between the three kinds of models and the expenditure allocation and management model basically conforms to the practical situation of the use and management mechanism of scientific research expenditure of various national scientific research institutions.
Finally, this paper puts forward some suggestions on the construction of the management mechanism of scientific research expenditure of national scientific research institutions, and proposes that at the current management mechanisms of research expenditure of national scientific research institutions of various countries do not conform to norm, and management benefits are also uneven.The expenditure management mechanism has already become the bottleneck for restricting the development of the scientific research level and their scientific research management level of national scientific research institutions of various countries.Improving science and technology distribution system and science and technology evaluation system is not only the necessity for the perfection of management mechanism of scientific research expenditure of national scientific research institutions, but also the important approach to effectively raise the state science and technology level.The main path for the improvement is to combine the two aspects of funding allocation and project evaluation as best as possible, but it is necessary to guarantee that both aspects independently exercise their respective functions, and meanwhile to increase the transparency and open extent of the two aspects.
本文立足于国立科研机构经费管理机制的研究,首先评述了国内外有关研究的现状,指出,虽然在管理实践中积累了许多经验,但国外对国立科研机构经费管理模式的研究也不系统。国外学者近期研究的重点是项目经费的管理模式及评估方法,例如同行评议的程序与控制问题,但是缺少对机构层次经费管理模式的探讨。
随后,本文对国内外相关研究进行了综合性评述,综合分析了主要国家国立科研机构的组织管理模式和运行机制。在此基础上研究指出,世界各国国立科研机构的经费配置模式,可归结为3种：以国家需求为导向、基于项目的经费配置模式；倡导科学自治、基于人的经费配置模式；以及以市场为导向、外争经费匹配模式。这些经费配置模式各具特点,适用于不同定位、不同传统的科研机构。
然后,本文详细介绍和分析了美国、法国、德国、日本、印度、俄罗斯、澳大利亚、韩国等国家的科技管理体系、科研经费管理机制、国立科研机构概况以及这些国家的17个典型国立科研机构的经费管理模式。本文指出,各国国家科研经费的总体管理机制的共同特点体现为：多元化经费来源体系中以政府支持为主体：“项目制”经费管理纳入政府科研机构管理范畴；以法律、法规和标准构筑经费管理的机制基础。17个典型国立科研机构的经费管理模式的共同特点体现为：注重科研经费的预算管理；重视科研经费的项目管理；对科研项目实行绩效考评机制；政府拨款与竞争性经费共存。
在此基础上,本文在国内首次基于随机前沿方法(SFA)构建了两个国立科研机构科研经费管理效益分析模型,首次提出了此类模型的主要指标,根据两个模型的分析结果,对17个典型国立科研机构的科研经费使用效益进行了排序,并分析马普模式、FhG模式、美国模式、计划模式等不同经费配置与管理模式的效果与特点。最后对改进国立科研机构的科研经费管理机制提出了相关的分析与建议。为验证SFA构建的两个科研经费管理效益分析模型,又运用平衡记分卡方法(BSC)构建了第三个国立科研机构科研经费管理效益评价框架,并将其获得的排名与SFA构建的两种模型获得的排名进行比较,发现三个模型的排名有共同之处,如科研经费管理效益排名较靠前的机构都有德国马普学会,排名较靠后的机构都有印度科学与工业研究理事会及印度农业研究理事会。这在一定程度上印证了三种模型对经费配置与管理模式的关系的分析基本符合各国立科研机构科研经费使用与管理机制的实际情况。
最后,本文提出了有关建设国立科研机构科研经费管理机制的若干建议,提出目前各国的国立科研机构科研经费管理机制并不规范,管理效益也参差不齐。经费管理机制已经成为制约各国国立科研机构科研水平发展和科研管理水平的瓶颈。改进科技分配体制和科技评价体制,不仅是完善国立科研机构科研经费管理机制的需要,也是有效提高国家科技水平的重要途径。改进的主要途径是将经费分配和项目评估两个方面尽可能结合,但又要保证两方面都能独立地行使职能,并同时提高这两个方面的透明度和公开程度。
Currently, China national scientific research institutions are undergoing far-reaching reformation.The Public-welfare-oriented national scientific research institutions may transform to non-profit making scientific research institutions which commonly existe under the market economy environment. While accepting State financial support, they principally rely on social support to realize benign running.
Therefore, using for reference the modes and experience of foreign related scientific research institutions, studying and presenting the expenditure allocation modes of national scientific research institutions suitable for the development stage of science and technology in China, are of important significance for raising the efficiency of scientific research expenditure allocation, and improving the competitive ability in science and technology of China national scientific research institutions, and of important reference value for optimizing expenditure allocation of provincial and regional scientific research institutions.
On the basis of the study on expenditure management mechanism of national scientific research institutions, this paper firstly reviews the present status of related investigations at home and abroad, indicating that though many experiences have been accumulated in management practice, the study on expenditure management mode of national scientific research institutions in foreign countries is not systematic.The recent studies by Internationsl scholars now focus on the project expenditure management mode and evaluation method, example.g., peer review procedure and control. However, the discussion on expenditure management mode at institution level remains scarce.
Subsequently, this paper systematically reviews related studies at home and abroad, and comprehensively analyzes patterns of organization and administration and operation mechanism of national scientific research institutions in the main-stream countries.
On this basis, the study indicates that the expenditure allocation patterns of the national scientific research institutions in various countries can be summed up into three kinds:the mode guided by the demands of the State and based on the project expenditure allocation; the mode advocating science autonomy and based on researcher expenditure allocation; as well as the mode with market as the guide and striving for foreign expenditure matching.
These expenditure allocation patterns have their own respective characteristics, and are suitable for scientific research institutions with different localizations, and with different traditions.
Then, the paper introduces and analyzes in detail the systems of science and technology management, and management mechanism of scientific research expenditure, the general situation of national scientific research institutions as well as the expenditure management patterns of17typical national scientific research institutions of the USA, France, German, Japan, India. Russia, Australia, the Republic of Korea, etc.
The present paper indicates that the common characteristics of the overall management mechanism of the state scientific research expenditure in various countries are embodied as: diversified funding sources systems with the government support as the main body;"project system" expenditure management brought into the management category of government scientific research institutions; with law, by-law and standard constructing the basis for expenditure management mechanism.
The common characteristics of the expenditure management patterns of the17typical national scientific research institutions are embodied as:focus on the expenditure budget management of the scientific research; paying high attention to the project management of scientific research expenditure; exercising evaluation mechanism for scientific research projects; the coexistence of government grant and competitiveness expenses.
On this basis, this study constructs two analytical models for the scientific research expenditure management benefits of national scientific research institutions for the first time in China, and presentes firstly the principal indexes of such models, and according to the analytic results of the two models, the author conducted sequencing for the using benefits of scientific research expenditure of the17typical national scientific research institutions, and analysed different expenditure allocation and management model effects and characteristics, such as German the Mapu mode, the FhG mode, the USA mode, and the program mode.
Finally, the author made related analyses and suggestions, so as to improve management mechanism of scientific research expenditure of national scientific research institutions.
In order to verify the two analytical models for management benefits of scientific research expenditure, the author used Balance Score Card Method (BSC) to construct the third evaluation frame of management benefits of scientific research expenditure of scientific research institutions and to take its acquired ranking to be compared with the acquired ranking by the two models constructed by Stochastic Frontier Analysis (SFA), and found that the rankings of the three models share common points.For example, among the institutions of scientific research expenditure management benefits ranking in the relatively preceding positions there is German Mapu Society, and relatively ranking in the rear positions are Indian Science and Industry Research Council and Indian Agriculture Research Council. This confirms to a certain degree that the analysis of the relationship between the three kinds of models and the expenditure allocation and management model basically conforms to the practical situation of the use and management mechanism of scientific research expenditure of various national scientific research institutions.
Finally, this paper puts forward some suggestions on the construction of the management mechanism of scientific research expenditure of national scientific research institutions, and proposes that at the current management mechanisms of research expenditure of national scientific research institutions of various countries do not conform to norm, and management benefits are also uneven.The expenditure management mechanism has already become the bottleneck for restricting the development of the scientific research level and their scientific research management level of national scientific research institutions of various countries.Improving science and technology distribution system and science and technology evaluation system is not only the necessity for the perfection of management mechanism of scientific research expenditure of national scientific research institutions, but also the important approach to effectively raise the state science and technology level.The main path for the improvement is to combine the two aspects of funding allocation and project evaluation as best as possible, but it is necessary to guarantee that both aspects independently exercise their respective functions, and meanwhile to increase the transparency and open extent of the two aspects.
引文
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