某院院级基金的评价与完善
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摘要
背景
为支持优秀青年骨干教师、医师以及留学回国人员的教学、科研工作,使其能尽快启动科研项目,为申报国家级、省部级的课题打下扎实的基础,某院设立了目标基金。该项基金自创办至2009年已成功举办7届,立项213项,投入经费总计350.5万元,为学院与附属医院的青年人才培养、科研成果产出以及科研竞争力的提升起到了重要作用。目标基金的实施虽已取得一定成效,但其管理尚处于摸索阶段,运作还不成熟,在运行过程中还存在一定的问题。
文献检索表明,目前尚缺乏从组织框架与管理模式入手,通过借鉴国外科研管理经验结合基金自身特点,进而提出建议的相关研究。
目的
为了进一步完善某院院级基金,从组织框架和管理模式入手,将国际上运作较成熟的一些科研基金与其进行比较,结合目标基金的特点和运行现况作出评价,从而提出一些可行性建议。
方法
1.问卷调查。采用半封闭式问卷,对目标基金的历年中标者进行问卷调查。从中标者的角度,了解他们对目标基金的管理办法以及运行现况的看法,并探讨解决方法。
2.关键知情人访谈。采用半结构化的访谈提纲,从管理者的角度,了解他们对目标基金的管理办法以及运行现况的看法,并探讨解决方法。
3.文献与文件分析。系统地查阅文献,锁定小规模且运作较成熟的科研基金,了解其在经费来源、招标程序和申请规范、评标程序、经费管理、质量管理、项目结题以及项目产出等方面的管理方法和规范。对学院基金的管理条例、项目申请书、进展报告、总结报告以及财务账目资料等进行查阅,了解其在主要管理过程中的方法和内容。
研究结果
截止2009年,已结题的98个项目中与本课题有关的科研成果产出情况如下：23.5%的项目完成人获得其他纵向基金资助共26项；7.1%的人获得科研奖项共14项；63.3%的人发表科研论文共118篇,其中SCI论文41篇；5.1%的人申请了专利,2%的人获得专利授权；38.8%的人在课题执行中带教研究生共51名。根据中标者与各单位科研管理部门的反馈意见,目标基金为青年人申报纵向课题之研究基础的奠定发挥了重要作用。
借鉴国外科研基金先进的管理经验,其组织框架应由管理委员会、专家委员会以及行政处等组成,由于管理经验的缺乏,目标基金尚未明确各部门的组织结构；实际运行中管理委员会由学院院领导承担、专家委员会由基础医学院与附属医院的专家承担、行政处由学院科研管理部门承担。除了专家委员会没有参与基金发展规划以及相关政策的制定外,各部门应赋有的职责都已履行。
此外,科研基金的管理模式应有经费来源、招标与信息发布、标书撰写、项目评标、质量管理、经费使用以及成果推广等组成。而目标基金实施中存在的主要问题有(1)过度依赖政府拨款,经费短缺(2)资助经费与期限存在“一刀切”现象(3)缺乏同行评议标准与程序(4)项目管理与经费管理脱节,经费管理制度不完善(5)缺乏科研成果的推广与激励机制。
结论
目标基金是以扶持青年人的科研工作为目标,稳定科研队伍、提高创新能力、加快人才培养的重要途径。其经费投入有限,效果却十分显著,并且受到了广大青年科研工作者的欢迎。为进一步完善其管理办法,充分发挥基金的作用,本研究从基金的组织框架与管理模式入手提出以下建议：(1)明确基金的组织框架,制定相关规章制度。充分发挥专家委员会的作用,按照一定比例选择校内外的专家共同参与。(2)多渠道筹集科研经费。与企业以及工商业建立合作伙伴关系,重视捐赠。(3)借助网站平台,实现信息资源共享。在项目的招标、评标以及评估中,将相关信息公布网上,体现管理的公正与透明。(4)提倡两次标书提交模式。便于申报者听取专家意见后修改与完善标书,以提高标书的质量。(5)实行弹性化的资助方式,合理分配资源。在资助金额与研究期限上设定上下限,如何分配由专家委员会决定。(6)创造良好的科研环境与工作条件。从政策倾斜的角度,保证临床医生投入课题研究的工作时间,通过资源共享,解决实验场地与仪器设备等缺乏的问题。(7)制定同行评议的标准与程序,充分发挥专家在评标中的作用。其中包括同行评议程序、评议标准以及专家应承担的责任和义务。(8)完善经费管理办法,严格监督与规范经费的使用。加强经费的余额管理,明确项目的开支范围、内容以及标准。合理编制预算,严格按照预算使用经费。(9)建立科研成果推广与激励制度。比如举办论文写作研讨班,通过论文发表扩大影响力以及举办学术报告会,通过大会发言对科研成果进行宣传。此外,推出配套奖励制度。
Background
To support best key young teachers, physicians, and teaching and research work of people who return from abroad, to enable them to start the research project as soon as possible, to lay a solid foundation for declaring the national and provincial subject,our college have set up a target fund. The fund established by 2003 has been successfully conducted 7 times,213 projects were set up, the total fund amounted to 3,055,000 yuan, having played an important role in young talent training of college and affiliated hospitals, output of research results and raising the competitiveness of the research. The implementation of the target fund have been effective, but the management is in an elemental stage and the operation are not ripe. There are certain problems in the running process.
Document retrieve indicates that we lack the relevant study on proposal by borrowing foreign scientific management experience with the fund's characteristic through management framework and organization structure.
Objectives
To improve some target funds, we should compare the organization structure and the management model with some more mature international research fund, evaluate the characteristics and functional performance of target fund. Lastly we can put forward some feasible proposals from above.
Methods
1. Questionnaire survey. Conduct a questionnaire survey to fund bid-winners over years in a semienclosed way.Try to acquaint bid-winners'opinions about the method of fund management and it's procedures nowadays from their angles,and discuss the resolution.
2. Key informant interview. Try to acquaint managers'opinions about the method of fund management and it's procedures nowadays from their angles with semi-structure interview outline, and discuss the resolution.
3. Literature review. Consult the papers systematicly and target the more mature operational research fund with small-scale.Try to know the management methods and rules of funding sources, the application procedures and specifications, bid assessment procedures and financial management, quality control, project output and projects finishment. Look up the college fund management regulations, project applications, progress report, summary report and financial accounts to check information about its primary management process and contents.
Results
By 2009, the research results of 98 finished projects related to my subject are as followed:23.5% completed people received other 26 fundss; 7.1% people received 14 scientific research awards; 63.3% people piblished 118 research papers, and 41 papers were published in sci; 5.1% people applied for a patent,2% people had the authority for patent; 38.8%people taught overall 51 graduate students in the implementation of the subjects. According to the successful bidders and the scientific management departments'feedback, the target fund played an important role for the foundation of the declaration on the vertical subjects'study basis.
Learning from foreign advanced research fund management experience, the organization framework consists of the management committee, the expert committee and the administration and management expertise. Due to lack of management experience,the target funds haven't specify every branch's organization structure.In the actual operating, the college leaders take control of the management committee, the specialists from the basic medical college and affiliated hospitals take control of the expert committee, the administrative division are undertaken by the administration and management branch of the college. Except the expert committee did not participate in the fund development plan and related policies'establishments, all departments have fulfilled their duties.
In addition, research fund management should include the source of funds, tender and the information issued, writing of bid document, tender evaluation, quality control, use of funds and results promotion, etc. The main problems of the implementation of the target fund are as followed:1.Excessive dependence on government funding, budgetary stringency; 2.support funds and times have "one size fits all" phenomenon; 3.Lack of the criteria and procedures of peer review; 4.Project management and financial management are disconnected and the flaws of rules of financial management; 5.Lack of promoting and encouraging mechanism of research results.
Conclusion
Target fund is to assist young people's research work, stable scientific team, improve the innovation ability, speed up talent training. The amount of funds that put into use is limited, but the effect is significant. And it is welcome by most youth research workers. To further improve their management measures and make full use of the funds, this article put forward following suggestions from the fund's organizational framework and mode of management:1.Specify fund's organizational framework, set down the relevant laws and regulations. Full play the role of the expert committee, choose the experts in or out of the college in proportion.2.Try various channels to raise fund for scientific research. Make friendship relation with corporation and industrial and commercial building partners.donations are important.3.Share information resources by the network platform. During the project tender, evaluation and assessments, related information will be published online to make the management justice and transparent.4. Advocate two bids submission model. It's convenient for applicants to revise and improve bids after hearing the expert opinions and to enhance the quality of the tenders.5. The elasticity of funding and rational distribution of resources. Set the minimum and maximum limitof the amount of research assistance and the research time.It's up to expert committee's decision on how to allocate the funds.6. Create a favourable environment for scientific research and working conditions. Try to assure the work time for clinician by policy inclination,and solve the lack of venue and equipment problems through resource sharing.7.Establish the criteria and procedures of peer review, and make full use of experts evaluation. These include peer review procedures, evaluation criteria, and the responsibility and obligation of the experts.8. Improve financial management and strictly supervise and standardized the use of funds. Strength the remaining fund's management, specify the project's content, scope and the standard. Organize the fund reasonably, and use the fund in strict accordance with the budget.9.To establish a research results promoting and encouraging system. For example, by organizing a thesis writing seminars.Enlarging the influence by publishing papers and organizing academic lectures, and promoting research results by academic lecture in the general assembly. In addition, put in place incentive systems.
为支持优秀青年骨干教师、医师以及留学回国人员的教学、科研工作,使其能尽快启动科研项目,为申报国家级、省部级的课题打下扎实的基础,某院设立了目标基金。该项基金自创办至2009年已成功举办7届,立项213项,投入经费总计350.5万元,为学院与附属医院的青年人才培养、科研成果产出以及科研竞争力的提升起到了重要作用。目标基金的实施虽已取得一定成效,但其管理尚处于摸索阶段,运作还不成熟,在运行过程中还存在一定的问题。
文献检索表明,目前尚缺乏从组织框架与管理模式入手,通过借鉴国外科研管理经验结合基金自身特点,进而提出建议的相关研究。
目的
为了进一步完善某院院级基金,从组织框架和管理模式入手,将国际上运作较成熟的一些科研基金与其进行比较,结合目标基金的特点和运行现况作出评价,从而提出一些可行性建议。
方法
1.问卷调查。采用半封闭式问卷,对目标基金的历年中标者进行问卷调查。从中标者的角度,了解他们对目标基金的管理办法以及运行现况的看法,并探讨解决方法。
2.关键知情人访谈。采用半结构化的访谈提纲,从管理者的角度,了解他们对目标基金的管理办法以及运行现况的看法,并探讨解决方法。
3.文献与文件分析。系统地查阅文献,锁定小规模且运作较成熟的科研基金,了解其在经费来源、招标程序和申请规范、评标程序、经费管理、质量管理、项目结题以及项目产出等方面的管理方法和规范。对学院基金的管理条例、项目申请书、进展报告、总结报告以及财务账目资料等进行查阅,了解其在主要管理过程中的方法和内容。
研究结果
截止2009年,已结题的98个项目中与本课题有关的科研成果产出情况如下：23.5%的项目完成人获得其他纵向基金资助共26项；7.1%的人获得科研奖项共14项；63.3%的人发表科研论文共118篇,其中SCI论文41篇；5.1%的人申请了专利,2%的人获得专利授权；38.8%的人在课题执行中带教研究生共51名。根据中标者与各单位科研管理部门的反馈意见,目标基金为青年人申报纵向课题之研究基础的奠定发挥了重要作用。
借鉴国外科研基金先进的管理经验,其组织框架应由管理委员会、专家委员会以及行政处等组成,由于管理经验的缺乏,目标基金尚未明确各部门的组织结构；实际运行中管理委员会由学院院领导承担、专家委员会由基础医学院与附属医院的专家承担、行政处由学院科研管理部门承担。除了专家委员会没有参与基金发展规划以及相关政策的制定外,各部门应赋有的职责都已履行。
此外,科研基金的管理模式应有经费来源、招标与信息发布、标书撰写、项目评标、质量管理、经费使用以及成果推广等组成。而目标基金实施中存在的主要问题有(1)过度依赖政府拨款,经费短缺(2)资助经费与期限存在“一刀切”现象(3)缺乏同行评议标准与程序(4)项目管理与经费管理脱节,经费管理制度不完善(5)缺乏科研成果的推广与激励机制。
结论
目标基金是以扶持青年人的科研工作为目标,稳定科研队伍、提高创新能力、加快人才培养的重要途径。其经费投入有限,效果却十分显著,并且受到了广大青年科研工作者的欢迎。为进一步完善其管理办法,充分发挥基金的作用,本研究从基金的组织框架与管理模式入手提出以下建议：(1)明确基金的组织框架,制定相关规章制度。充分发挥专家委员会的作用,按照一定比例选择校内外的专家共同参与。(2)多渠道筹集科研经费。与企业以及工商业建立合作伙伴关系,重视捐赠。(3)借助网站平台,实现信息资源共享。在项目的招标、评标以及评估中,将相关信息公布网上,体现管理的公正与透明。(4)提倡两次标书提交模式。便于申报者听取专家意见后修改与完善标书,以提高标书的质量。(5)实行弹性化的资助方式,合理分配资源。在资助金额与研究期限上设定上下限,如何分配由专家委员会决定。(6)创造良好的科研环境与工作条件。从政策倾斜的角度,保证临床医生投入课题研究的工作时间,通过资源共享,解决实验场地与仪器设备等缺乏的问题。(7)制定同行评议的标准与程序,充分发挥专家在评标中的作用。其中包括同行评议程序、评议标准以及专家应承担的责任和义务。(8)完善经费管理办法,严格监督与规范经费的使用。加强经费的余额管理,明确项目的开支范围、内容以及标准。合理编制预算,严格按照预算使用经费。(9)建立科研成果推广与激励制度。比如举办论文写作研讨班,通过论文发表扩大影响力以及举办学术报告会,通过大会发言对科研成果进行宣传。此外,推出配套奖励制度。
Background
To support best key young teachers, physicians, and teaching and research work of people who return from abroad, to enable them to start the research project as soon as possible, to lay a solid foundation for declaring the national and provincial subject,our college have set up a target fund. The fund established by 2003 has been successfully conducted 7 times,213 projects were set up, the total fund amounted to 3,055,000 yuan, having played an important role in young talent training of college and affiliated hospitals, output of research results and raising the competitiveness of the research. The implementation of the target fund have been effective, but the management is in an elemental stage and the operation are not ripe. There are certain problems in the running process.
Document retrieve indicates that we lack the relevant study on proposal by borrowing foreign scientific management experience with the fund's characteristic through management framework and organization structure.
Objectives
To improve some target funds, we should compare the organization structure and the management model with some more mature international research fund, evaluate the characteristics and functional performance of target fund. Lastly we can put forward some feasible proposals from above.
Methods
1. Questionnaire survey. Conduct a questionnaire survey to fund bid-winners over years in a semienclosed way.Try to acquaint bid-winners'opinions about the method of fund management and it's procedures nowadays from their angles,and discuss the resolution.
2. Key informant interview. Try to acquaint managers'opinions about the method of fund management and it's procedures nowadays from their angles with semi-structure interview outline, and discuss the resolution.
3. Literature review. Consult the papers systematicly and target the more mature operational research fund with small-scale.Try to know the management methods and rules of funding sources, the application procedures and specifications, bid assessment procedures and financial management, quality control, project output and projects finishment. Look up the college fund management regulations, project applications, progress report, summary report and financial accounts to check information about its primary management process and contents.
Results
By 2009, the research results of 98 finished projects related to my subject are as followed:23.5% completed people received other 26 fundss; 7.1% people received 14 scientific research awards; 63.3% people piblished 118 research papers, and 41 papers were published in sci; 5.1% people applied for a patent,2% people had the authority for patent; 38.8%people taught overall 51 graduate students in the implementation of the subjects. According to the successful bidders and the scientific management departments'feedback, the target fund played an important role for the foundation of the declaration on the vertical subjects'study basis.
Learning from foreign advanced research fund management experience, the organization framework consists of the management committee, the expert committee and the administration and management expertise. Due to lack of management experience,the target funds haven't specify every branch's organization structure.In the actual operating, the college leaders take control of the management committee, the specialists from the basic medical college and affiliated hospitals take control of the expert committee, the administrative division are undertaken by the administration and management branch of the college. Except the expert committee did not participate in the fund development plan and related policies'establishments, all departments have fulfilled their duties.
In addition, research fund management should include the source of funds, tender and the information issued, writing of bid document, tender evaluation, quality control, use of funds and results promotion, etc. The main problems of the implementation of the target fund are as followed:1.Excessive dependence on government funding, budgetary stringency; 2.support funds and times have "one size fits all" phenomenon; 3.Lack of the criteria and procedures of peer review; 4.Project management and financial management are disconnected and the flaws of rules of financial management; 5.Lack of promoting and encouraging mechanism of research results.
Conclusion
Target fund is to assist young people's research work, stable scientific team, improve the innovation ability, speed up talent training. The amount of funds that put into use is limited, but the effect is significant. And it is welcome by most youth research workers. To further improve their management measures and make full use of the funds, this article put forward following suggestions from the fund's organizational framework and mode of management:1.Specify fund's organizational framework, set down the relevant laws and regulations. Full play the role of the expert committee, choose the experts in or out of the college in proportion.2.Try various channels to raise fund for scientific research. Make friendship relation with corporation and industrial and commercial building partners.donations are important.3.Share information resources by the network platform. During the project tender, evaluation and assessments, related information will be published online to make the management justice and transparent.4. Advocate two bids submission model. It's convenient for applicants to revise and improve bids after hearing the expert opinions and to enhance the quality of the tenders.5. The elasticity of funding and rational distribution of resources. Set the minimum and maximum limitof the amount of research assistance and the research time.It's up to expert committee's decision on how to allocate the funds.6. Create a favourable environment for scientific research and working conditions. Try to assure the work time for clinician by policy inclination,and solve the lack of venue and equipment problems through resource sharing.7.Establish the criteria and procedures of peer review, and make full use of experts evaluation. These include peer review procedures, evaluation criteria, and the responsibility and obligation of the experts.8. Improve financial management and strictly supervise and standardized the use of funds. Strength the remaining fund's management, specify the project's content, scope and the standard. Organize the fund reasonably, and use the fund in strict accordance with the budget.9.To establish a research results promoting and encouraging system. For example, by organizing a thesis writing seminars.Enlarging the influence by publishing papers and organizing academic lectures, and promoting research results by academic lecture in the general assembly. In addition, put in place incentive systems.
引文
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[2]赵永仁.英国科技项目招标、投标和评标的做法.中国软科学.1999(4).99-110
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[8]贺德方.美国、英国、日本三国政府科研机构经费管理比较研究.科技与经济.中国软科学2007(7).87-96
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