有限绩效与多维评价:国外科研绩效拨款机制及其实践——以英国、澳大利亚、新西兰为例  

Limited Performance and Multidimensional Evaluation:Foreign Performance-based Research Funding System and Its Practice——Taking the UK,Australia and New Zealand as Examples

作　　者：张强 周志刚 ZHANG Qiang;ZHOU Zhigang(Faculty of Education,East China Normal University,Shanghai 200062,China;1nstitute of Education,Nanjing University,Nanjing 210023,China)

机构地区：[1]华东师范大学教育学部,上海200062 [2]南京大学教育研究院,江苏南京210023

出　　处：《外国教育研究》2022年第6期111-128,共18页Studies in Foreign Education

基　　金：国家社会科学基金重点项目“国家教育体系适应人口结构变化的战略管理研究”(项目编号:20AGL030)。

摘　　要：随着科研治理范式的转型,科研绩效拨款机制作为科研评价与经费拨款的结合,成为新自由主义理念下的创新型制度之一。科研绩效拨款机制依据科研绩效评价结果决定经费拨款,具有问责性、动态性和透明性特征。西方国家在长期制度实践中形成了以同行评议为主的英国模式、以量化评估为主的澳大利亚模式、混合量化评估和同行评议的新西兰模式三种典型模式。借鉴国外此机制的政策设计,我国应立足于科研管理与财政拨款实践,拓宽科研评价绩效内涵,从科研投入-过程-结构-产出-效果多维指标层面构建科研评价体系,把握科研“量”与“质”要素间的互变逻辑,形成学科评估与经费拨款相适应的治理框架;重视研究生教育及科研训练,建立成本补偿与绩效激励兼具的经费支持机制。With the transformation of research governance paradigm,the performancebased research funding system,as the combination of research evaluation and funding allocation,has become one of the innovative systems under the new liberalism. The performance-based research funding system is determined according to the results of research performance evaluation,which is characterized by accountability,dynamic and transparency. In the long-term institutional practice,western countries have formed three typical models:the British model based on peer review,the Australian model based on quantitative assessment and the New Zealand model of mixed quantitative assessment and peer review.Drawing lessons from foreign policy design of this mechanism,China should broaden the connotation of research evaluation performance,construct research evaluation system from the level of research input-process-structure-output-effect multidimensional index,grasp the interchange logic between the elements of research "quantity" and "quality",form a governance framework that is suitable for subject evaluation and funding allocation,and attach importance to postgraduate education and research training,and establish a financial support mechanism with both cost compensation and performance incentive.

关 键 词：科研绩效拨款 科研评价 教育财政 科研治理 英国 澳大利亚 新西兰 

分 类 号：G467[文化科学—教育学]