科研自主权的法理阐释与制度完善  

Legal Interpretation and Institutional Improvement of the Right of Scientific Research Autonomy

作　　者：郭创拓 GUO Chuangtuo

机构地区：[1]华南理工大学法学院,广东广州510006

出　　处：《政治与法律》2024年第1期108-122,共15页Political Science and Law

基　　金：教育部哲学社会科学研究重大课题攻关项目“深化科研经费管理体制机制改革的法律问题研究”(项目编号:19JZD018);广州市哲学社会科学发展“十四五”规划2021年度共建课题“广州市深化科研容错机制改革的法治保障研究”(项目编号:2021GZGJ229)的阶段性成果

摘　　要：科研自主权并非来源于行政机关的授权或权力让渡,而是基于科研人员学术能力与专业背景的“信任自主”与科研项目合同的“绩效自主”,包含作为个体科研人员的科研自主与作为科学共同体的科研自治两个维度,其权能在于排除公权力的不当干扰与积极实现科研责任。科研自主权改革既需“还权”也要“赋能”。我国当前科研自主权改革在渐进式放权的同时,存在强化科研绩效评价“隐性控制”、混淆法律监督与专业监督、容错免责机制不健全等问题。欲真正落实科研自主权,需恪守权责利相统一原则,由政策性放权转变为法治化赋能,通过建立以法律监督为核心、专业监督为辅助的科研监督体系,弱化绩效评价指标的刚性约束,完善容错免责机制等,实现静态层面的权利回归与动态层面的权利行使的统筹协调,最终建立与科研自主性相匹配的自主权改革路径。The right of scientific research autonomy is not derived from the authorization or power transfer of administrative organs,but from the"trust autonomy"based on the academic ability and professional background of scientific researchers and the"performance autonomy"based on research project contracts.It includes two dimensions:the autonomy of an individual scientific researcher and the autonomy of the academic community.Its function is to eliminate improper interference of public power and promote active implementation of scientific research responsibility.The reform of scientific research autonomy requires not only"return of power"but also"empowerment".While progressively decentralizing,China’s current reform of scientific research autonomy has a number of problems such as strengthening the"invisible control"of scientific research performance evaluation,confusing legal supervision with professional supervision,and inadequate mechanism of fault tolerance and liability exemption.In order to truly implement scientific research autonomy,it is necessary to adhere to the principle of unity of rights,responsibilities and benefits,change from policy-based decentralization to law-based empowerment,and by establishing a scientific research supervision system with legal supervision as the core and professional supervision as the supplement,weakening the rigid constraints of performance evaluation indicators,and improving the fault tolerance and liability exemption mechanism,realize the coordination between the the return of rights at the static level and the exercise of rights at the dynamic level,and ultimately establish a reform path for the right of autonomy that matches the scientific research autonomy.

关 键 词：科研自主 绩效评价 契约精神 还权赋能 容错免责 

分 类 号：DF37[政治法律—宪法学与行政法学]