| 以双层治理推动基础研究类院所改革 |
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| 引用本文： | 韩凤芹,李丹.以双层治理推动基础研究类院所改革[J].科研管理,2022,43(12):198-203. |
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| 作者姓名： | 韩凤芹 李丹 |
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| 作者单位： | 中国财政科学研究院，北京100142 |
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| 基金项目： | 中国财政科学研究院青年招标课题：“科研院所的治理体系改革研究”（20210031）。 |
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| 摘 要： | 为了加快建设创新型国家和世界科技强国，我国迫切需要提升原创性基础研究水平。近几年我国基础研究财政投入持续增加，但现行竞争项目制的科研组织方式与基础科研规律不匹配，阻碍了基础研究整体水平的提升。本文从整体治理的角度构建基础研究院所双层治理理论体系，从政府外层治理和院所内层治理两个方面阐述了双层治理体系的理论逻辑。双层治理体系包括政府外层治理明晰院所独立法人权责，院所内层治理建立以人才为核心的治理机制，二者优势互补，内外联动，有效促进了基础研究院所发展。在此基础上，以北京生命科学研究所的成功经验为典型案例，分析政府和院所主体分别在治理体系中的职能和作用，验证了基础研究院所双层治理体系的有效性。本文在总结制约基础研究发展的突出问题基础上，构建与基础研究科研规律相匹配的院所双层治理理论体系，以北生所为例验证了双层治理体系的有效性，为我国新时代基础研究院所治理改革提供了一定的政策启示。
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| 关 键 词： | 基础研究院所 独立法人权责 院所自主治理模式 双层治理体系 |
| 收稿时间： | 2021-05-13 |
| 修稿时间： | 2022-02-15 |
Promotion of reforms in basic research institutes with a two-tier governance system |
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| Han Fengqin,Li Dan.Promotion of reforms in basic research institutes with a two-tier governance system[J].Science Research Management,2022,43(12):198-203. |
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| Authors: | Han Fengqin Li Dan |
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| Institution: | Chinese Academy of Fiscal Sciences, Beijing 100142, China |
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| Abstract: | Self-reliance in science and technology is the primary requirement for China′s development. In the context of the current tight fiscal policy, government investment in basic research has increased rather than decreased, which fully reflects the urgent need to improve the level of original basic research in China. However, the current scientific research organization based on competitive projects obstructs the improvement of the overall level of basic research. Firstly, the project-oriented scientific research organization does not conform to the scientific rules of basic research. Basic research is exploratory and highly uncertain, researchers tend to apply for projects with research basis in order to finish the project on schedule, which makes it difficult for original basic research to obtain support. Secondly, the current competitive funding is not conducive to original basic research, the research institutes lack self-governance right, and the stable funding for scientists is relatively small, which restricts the innovation vitality of the institutes.This paper constructs the theoretical framework of the two-tier governance system of the basic research institutes, and explains the theoretical logic of the two-tier governance system from the outer administration governance and the inner institute governance. On the basis of clarifying the rights and responsibilities of institutes, the government supports the autonomy of scientific research institutes. As an independent research platform, the institutes form an independent self-governance mechanism with scientists as the core. The government provides long-term and stable research funding to institutes, and entrusts them with the rights to allocate and use research funding freely, and to recruit and evaluate scientists independently. At the same time, it is clear that the institutes are responsible for making breakthroughs in basic research and innovation, and the government will carry out an overall performance evaluation on the innovation capacity of the institutes to ensure the efficiency of stable funding. Institutes construct a scientists-centered governance model, which includes three aspects: (1) the selection and employment mechanism; (2) the training and support mechanism; and (3) the incentive and restraint mechanism. Finally, the institutes′ governance system is constructed which has clear rights and responsibilities on the outer layer and systematic governance on the inner layer and synergistic effect exists between the two layers, and the system can effectively promote the development of basic research institutes.On the basis of theoretical analysis, this paper takes the successful experience of National Institute of Biological Sciences, Beijing (NIBS) as a typical case, analyzing the functions of the government and institutes in the governance system respectively. Complying with the law of basic scientific research, the government started a pilot project on NIBS. The government applied de-administration on the institute as well as long-term and stable financial research funding. The institute formed an independent governance mechanism, including steady support for scientific research teams, principal investigator in charge, allowing scientists to decide the scientific topic of the research team, improving the income of scientists, building strict peer review evaluation and elimination mechanism, etc. The government and institutes work together to support original basic research breakthroughs and release the innovation vitality of the institutes, which verifies the effectiveness of the two-tier governance system of basic research institutes.The research conclusion includes: (1) The project-oriented basic research organization limited the supporting effect of the funding. It is necessary to establish a two-tier governance system of institutions. (2) The logic of the two-tier governance system of basic research institutes is that the government in the outer layer provides the institutes stable funding, and ensures the institutes fulfill their innovation responsibilities. Institutes in the inner layer construct a scientist-centered governance model, which includes selection and employment mechanisms, training and support mechanisms and incentive and restraint mechanisms. The council system can play the supporting and feedback role between two layers. (3) The successful practice of NIBS can verify the effectiveness of the two-tier governance system of basic research institutes. Finally, this paper puts forward the following practical suggestions: (1) The government should promote the new system of basic research institutes. (2) The government should give research institutes rights of system reform and innovation and carry out institutes′ internal governance mechanisms. (3) The government should increase the proportion of stable financial support for basic research and research institutes and ensure steady funding for researchers. (4) Institutes should establish an effective scientist′s incentive and evaluation mechanism to give full play to researchers′ innovation enthusiasm. |
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| Keywords: | basic research institute two-tier governance system self-governance model within institutes internal and external interaction mechanism |
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