平等竞争与择优支持:绩效导向研究资助体制的类型、效应及限度  

Equal Competition and Merit-based Support:Connotation,Effects and Limitations of Performance-based Research Funding System

作　　者：王思懿 季小天 WANG Siyi;JI Xiaotian(School of Public Administration,Southwestern University of Finance and Economics,Chengdu 611130,Sichuan,China;School of Public Policy and Management,University of Chinese Academy of Sciences,Beijing 100190,China)

机构地区：[1]西南财经大学公共管理学院,四川成都611130 [2]中国科学院大学公共政策与管理学院,北京100190

出　　处：《复旦教育论坛》2024年第6期23-31,共9页Fudan Education Forum

基　　金：2022年教育部人文社会科学研究青年基金项目“我国研究型大学教师‘准聘—长聘’制改革的实施效应及优化路径研究”(22YJC880074);中央高校基本科研业务费专项年度培育项目“一流大学教师聘任制改革:国际经验与本土探索”(JBK2406098)。

摘　　要：近年来,在新管理主义、大学排名和知识经济等因素的影响下,绩效导向的经费资助体制成为许多国家广泛使用的旨在提升大学竞争力的政策工具。不同国家通过对评估方式、评估单元进行差异化的制度设计,构建起各具特色的研究资助体系。绩效导向研究资助体制的广泛采用对大学自主权和内部治理结构、研究产出的数量和质量、学术职业和研究文化均产生了不同程度的影响。一方面,它强化了机构的自主行动能力,提升了研究生产力。另一方面,它可能会限制大学的实质自主权,诱发研究人员的机会主义行为,抑制研究的多样性,阻滞跨学科研究和突破性创新,并对学术职业形成较强的规训效应。鉴于此,应注重平衡竞争性的产出导向资助和非竞争性的投入导向资助的比例,尽可能多地采用同行评议方式开展形成性评价,从科研投入—过程—结构—产出—影响等全周期和多维度层面构建更加科学合理的研究资助体系。In recent years,under the influence of new managerialism,university ranking and knowledge economy,the performance-based research funding system has become a powerful policy tool widely used in many countries to enhance the competitiveness of universities.Different countries have built their own research funding systems through different institutional design of evaluation methods and evaluation units.The widespread use of performance-based research funding system has had varying degrees of impact on university autonomy and internal governance structures,the quantity and quality of research outputs,academic careers and research cultures.On the one hand,it strengthens institutions'ability to act autonomously and enhances research productivity.On the other hand,it may limit the substantive autonomy of universities,induce researchers'opportunistic behavior,inhibit the diversity of research,block interdisciplinary research and breakthrough innovation,and form a strong disciplinary effect on academic professions.In addition,the cost/benefit ratio of performance evaluations is often challenged.In view of this,we should balance the proportion of competitive output-oriented funding and non-competitive input-oriented funding,adopt peer review as much as possible to carry out formative evaluation,and build a more scientific and reasonable research funding system from the full cycle and multi-dimensional aspects of scientific research input-process-structure-output-effect.

关 键 词：绩效导向研究资助体制 绩效评估 竞争 问责 

分 类 号：G64[文化科学—高等教育学]