论文导向的科研评价激励体系改革探索  

On Reform of the Thesis-Oriented Evaluation and Incentive System

作　　者：华生[1] 傅捷 汲铮[1] HUA Sheng;FU Jie;JI Zheng(School of Economics and Management of Southeast University,Nanjing 211189,China;National School of Development and Policy at Southeast University,Nanjing 211189,China)

机构地区：[1]东南大学经济管理学院(东南大学国家发展与政策研究院),江苏南京211189 [2]东南大学经济管理学院,江苏南京211189

出　　处：《经济体制改革》2022年第4期5-14,共10页Reform of Economic System

基　　金：中央高校基本科研业务费专项资金资助(2242020S30024)。

摘　　要：改革开放以来,中国逐步引入国际上通行的等级期刊论文评价体系,有力地推动了中国科研水平的提升与科技发展,然而也带来“唯论文论”等问题。针对科研产出活动的特殊性,由于论文的发表与科研成果真正价值与贡献的显现存在时滞,现行基于期刊的科研成果评价激励体系或将引致系统性偏差。研究表明:跨期激励合约能有效弥补由于认识时滞所引致的激励机制偏差,从而构成对现有制度的帕累托改进;在跨期激励合约的具体设置上,后验科研成果价值与贡献所需要的时间越长,跨期的激励效应越大。进一步,跨期合约基础上引入门槛在劳动力市场异质化程度较大时可缓解逆向选择问题,而这正是科研领域人力资源分布的主要特点。据此,应建立科研成果的跨期再评价体系,吸引相关专业者参与,优化以论文为基准和标识的科研成果评价激励体系。Since the reform and opening up,China has gradually introduced the internationally prevailing graded article evaluation system,which promots China’s academic research and technology,but also brings about the“paper-only”issue.Current evaluation and incentive system based on publications will cause systematic deviation and distortion,because of the time lag between publication and the real value of the paper being realized.Research shows that inter-temporal incentive contracts can effectively compensate for the deviation caused by the lag,thus providing a Pareto improvement of the existing system.In terms of the specific setting of cross-period incentive contracts,the longer the test of the value and contribution of scientific research takes,the greater the inter-temporal incentive should be.Furthermore,the introduction of a threshold on the basis of inter-temporal contracts can alleviate the problem of reverse selection when the labor market is heterogeneous,which is the main feature of the distribution of human resources in scientific research.Based on this,it is necessary to establish an intertemporal re-evaluation system of scientific research outcomes,to attract the relevant professionals and to optimize the paper-based incentive system.

关 键 词：跨期合约 激励机制 委托代理 科研创新 

分 类 号：F204[经济管理—国民经济]