Use the "addition and subtraction method" of scientific research funding management to activate the driving force of innovation and creation
Scientific and technological innovation is inseparable from the long-term investment of scientific and technological personnel, and the guarantee of time is to protect the innovation ability.
The picture shows the staff of Sanya Institute of Coral Reef Ecology recording relevant data in the laboratory.
Photo by Xinhua News Agency reporter Yang Guanyu
"Science and technology management reform can't just do 'addition', it must be good at 'subtraction'." On May 1, "Seeking Truth" magazine published an important article by General Secretary Xi Jinping "Accelerating the Construction of a Powerful Country in Science and Technology to Achieve High-level Science and Technology Self-Reliance and Self-Reliance".
The article pointed out that it is necessary to show more courage to promote the transformation of scientific and technological management functions, and to change the style of work, improve the ability, and reduce direct interventions such as sharing money, materials, and projects in accordance with the positioning of strategy, reform, planning, and service. Strengthen planning and policy guidance, give scientific research units more autonomy, and give scientists greater power to decide on technical routes and use of funds, so that scientific research units and researchers can be liberated from cumbersome and unnecessary institutional constraints.
The general secretary's remarks expressed the aspirations of the vast number of scientific and technological workers, and pointed out the direction for promoting the reform of the scientific and technological system in the new era.
"Since the 18th National Congress of the Communist Party of China, the Party Central Committee and the State Council have attached great importance to the reform of scientific research funding management, and have successively issued a series of policy documents and reform measures to improve and optimize the management of scientific research funding. Decentralization and empowerment of scientific researchers will release scientific research vitality and innovation momentum." said Han Fengqin, director and researcher of the Education, Science and Culture Research Center of the Chinese Academy of Fiscal Sciences.
The "Several Opinions on Improving and Strengthening the Management of Scientific Research Projects and Funds of the Central Finance" was released to make the scientific research funds that have been over-managed "live"; The proportion of "people" is getting higher and higher, and the motivation is unprecedented...
Han Fengqin told the Science and Technology Daily reporter that these policy dividends have greatly reduced the burden of scientific research personnel in project declaration, budget preparation, performance appraisal, etc., and truly responded to the practical problems faced by researchers in scientific research.
"In recent years, the country has issued a series of policies, covering the whole process from the budget of scientific research funds to the use and conclusion of the project. Not only has the headcount increased, but the regulations on equipment fees have also been relaxed." Yi Jianqiang, a researcher at the Institute of Automation, Chinese Academy of Sciences Frankly speaking, the current scientific research funding management system is very close to the needs of researchers, which greatly reduces the burden on researchers.
Deepening the reform of ice-breaking scientific research funding has become a "prying point"
The reform of scientific research funding management, in a sense, is the "prying point" for deepening the reform of the scientific and technological system, and it affects the whole body.
In 2014, in the first year of comprehensively deepening reforms, a reform that bravely ventured into deep waters and dared to bite hard bones began to break the ice.
This year, two documents with far-reaching impact were released one after another.
In March, the "No. 11 document" well-known in the scientific and technological circles was released, which sounded the rallying call for reform.
The "Several Opinions on Improving and Strengthening Central Financial Research Projects and Fund Management" issued by the State Council clarified a number of measures such as setting up performance expenditures, simplifying budget preparation, and improving the management of project carryover and surplus funds. to the "blade".
In December, the State Council issued the "Plan for Deepening the Management Reform of Central Financial Science and Technology Programs (Special Projects, Funds, etc.)" (hereinafter referred to as the "Plan").
The curtain of a scientific and technological plan reform, which is regarded as a breakthrough in the scientific and technological system, has been opened.
As a major reform directly promoted by the Party Central Committee and the State Council, this reform involves more than 100 central financial science and technology special projects managed by 44 industry management departments, and the annual scientific research "big cake" of 100 billion yuan will be optimized and integrated.
The "Plan" led by the Ministry of Science and Technology and the Ministry of Finance can be said to affect the whole body.
"This is a tough battle for reform, which has an important impact on my country's scientific and technological innovation." Lv Wei, a researcher at the Development Research Center of the State Council, once participated in the research and discussion of the "ice-breaking action" plan for the reform of science and technology plans. In her view, this reform is from the national It reconstructs the existing science and technology planning system and transforms the science and technology management functions of relevant government departments. Starting from strengthening top-level design and coordinating science and technology resources, an open and unified science and technology management platform has been built.
"Fragmentation of scientific and technological resources", "multiple project declarations" and "Kowloon flood control", these chronic diseases that have long been criticized in the scientific and technological circles, have a "good prescription" that echoes them in the reform plan: The scientific and technological plans have been optimized and integrated into five categories; on the other hand, government departments no longer directly manage the implementation of specific projects, but introduce professional institutions to "take care" of scientific and technological plan project declaration, review, acceptance, etc., thus strengthening the coordination of resources. , reversed the situation of resource allocation "the goddess scattered flowers".
"Because it touches the power and interest structure of various departments, it will have a profound impact on China's future technology management system. There may be unknowns and resistance ahead, but the direction of reform will not change." An insider revealed.
Indeed, the direction of reform has not changed.
In 2016, the Central Office and the State Office issued the "Several Opinions on Further Improving the Management of Central Financial Research Project Funds and Other Policies", which loosened the ties for scientific researchers, increased the proportion of indirect expenses, delegated the authority to adjust the budget, and let the people who buy soy sauce. Money can be used to fight vinegar.
This reform has also solved the imperfect and unreasonable problems in the process of fund management, such as the problem that everyone is worried about "the annual fund comes late and is received early".
Do a good job of "addition and subtraction" to make funds serve people's creative activities
Only by "reducing" the institutional and institutional obstacles that constrain the hands and feet of scientific and technological personnel, and "adding" scientific and rational scientific and technological management that respects the laws of scientific research, can the vitality of innovation flow fully.
This is not only the original intention of my country's scientific and technological system reform, but also the consistent purpose of scientific research funding management reform.
"Efforts must be made to reform and innovate the use and management of scientific research funds, so that funds serve people's creative activities, not people's creative activities." At the academician conference of the two academies held in 2018, General Secretary Xi Jinping reiterated this. An important discussion.
In recent years, my country's scientific research funding reform has been continuously deepened, meticulous and practical, and solved the troubles and worries of scientific researchers in subtle ways.
In July 2018, the State Council issued the "Notice on Several Measures for Optimizing Scientific Research Management and Improving Scientific Research Performance", proposing to establish and improve a scientific research management mechanism premised on trust.
This document is mainly aimed at problems such as cumbersome fund management, too many projects, too many hats, and too many brands, which General Secretary Xi Jinping has emphasized many times and scientific researchers have reported.
There have been breakthroughs in nearly 20 pieces of content, especially by sticking to the knife-edge inward and reforming from the government itself, reflecting the service consciousness.
To this end, the Ministry of Science and Technology and the Ministry of Finance, together with relevant departments, have selected some universities and institutes to carry out pilot reforms of scientific research management based on performance, integrity and competence.
For example, carry out a pilot program to simplify the budget preparation of scientific research project funds, and only provide basic calculation instructions in the direct project funds except for equipment costs; carry out a pilot program to expand the autonomy in the use of scientific research funds, and stably support scientific research funds to withdraw no more than 20% of the incentive funds; develop scientific research institutions Classified support for pilot projects, implementation of differentiated funding guarantee mechanisms for different types of scientific research institutions, and so on.
Burden reduction, empowerment, simultaneous push, greater incentives, less red tape
"How to use scientific research project funds most effectively must be familiar to the project leader and the chief scientist. The management department is not an expert on how to use the specific funds. Scientific research funds cannot be controlled too tightly, but they cannot be let go." Chinese Academy of Sciences Researcher Lu Fangjun, deputy director of the Institute of High Energy Physics, remarked, expressing the dual considerations of being a researcher and a research manager.
In August 2021, the management of the central government's scientific research funds broke the ice again.
The General Office of the State Council promulgated the "Several Opinions on Reforming and Improving the Management of Scientific Research Funds from the Central Finance" (hereinafter referred to as "Several Opinions"), from expanding the autonomy of scientific research project funding management, improving the scientific research project funding mechanism, and increasing incentives for scientific research personnel. In one aspect, 25 "relaxation + incentive" measures were proposed to respond to the concerns of the scientific and technological community in a timely manner.
Once the document was released, it aroused heated discussions in all sectors of society, especially in the scientific and technological circles.
Among them, one of the highlights is to expand the autonomy of scientific research project funding management, and measures such as "increasing the proportion of indirect costs...the project undertaking unit can use all indirect costs for performance expenditures", breaking the "ceiling" of human expenditures ; After the project completes the task objectives and passes the comprehensive performance evaluation, the surplus funds will be retained for the use of the project undertaking unit, making the "surprise spending at the end of the year" for scientific research projects a history.
From simplifying budget preparation to expanding the scope of implementation of the contract system, from improving the management of surplus funds to promoting paperless reimbursement, from reducing direct interventions such as dividing money, dividing materials, and setting projects, to giving scientists greater power to decide on technical routes and use of funds , "Several Opinions" has done enough "subtraction", can be reduced, and should be released as much as possible.
While reducing the burden on scientific researchers, as a weather vane for the comprehensive reform of the scientific research funding management system, the "Several Opinions" also showed real incentives.
In view of the low proportion of indirect costs and limited incentive effect, the "Several Opinions" have played a "combination punch" to encourage scientific research personnel to start their own businesses.
More than 50% of the "people" in the funding for scientific research projects; after expanding the autonomy of budget adjustment, the money for soy sauce can also be used to fight jealousy; expanding the autonomy in budget preparation, the budget items have been reduced from more than 9 to Equipment fee, business fee, labor fee 3...
"Performance pay accounts for more than half of our salary. This part of the salary is generally solved by researchers. This was a very troublesome problem in the past. After the new regulations on scientific research funding management have adjusted the proportion of indirect funding, performance pay is issued. There are more funds, which is a good incentive for us." Seeing the increase in the proportion of indirect funds in the "Several Opinions", Chen Xuelei, a researcher at the National Astronomical Observatory of the Chinese Academy of Sciences, said with emotion.
Not only Chen Xuelei, but more and more researchers have deeply felt that over the years, the proportion of "people" in scientific research project funding has been increasing.
Assistant Minister of Finance Owen Han revealed that preliminary estimates show that through a series of incentive measures, more than 50% of the "people" in scientific research project funds can be used. This kind of incentive for scientific researchers is unprecedented.
In terms of funding sources, to achieve "money can be distributed", the project undertaking unit can use all indirect costs for performance expenditures, and tilt to teams and individuals with outstanding innovation performance; in terms of the scope of funding, realize "money should be distributed ", for example, the "five insurances and one housing fund" of personnel employed in scientific research projects can be listed from the scientific research funds; in terms of the total management of performance wages, to prevent "the money cannot be paid", the central universities, scientific research institutes, and enterprise performance wages The level is dynamically adjusted, etc.
Scientific and technological innovation is inseparable from the long-term investment of scientific and technological personnel, and the guarantee of time is to protect the innovation ability.
"Before the "Several Opinions" came out, we often heard during our research that researchers complained that the scientific research funds were not well spent, and the reimbursement procedures were complicated." Shi Changhui, a researcher at the Institute of Science and Technology Governance and Talent of the China Academy of Science and Technology Development Strategy, said, "Several Opinions" The Opinions focuses on reducing the administrative burden of scientific researchers, fully implementing the financial assistant system for scientific research, improving financial reimbursement management methods, etc., so that scientific researchers can devote more of their main energy to scientific and technological innovation and research and development activities, and improve work efficiency.
Trust and performance are the core to reduce the burden, empower and release vitality
In recent years, a series of reform documents on the management of scientific research funds have made a real difference to the old problems that have restricted innovation for many years, and strived to build a new model of scientific research funds management with trust and performance as the core.
While the policy dividends continue to be released, it will reduce the burden of scientific and technical personnel in project application, material submission, and expense reimbursement, and ensure scientific and technical personnel research time, etc., which were written into the Science and Technology Progress Law, which was officially implemented at the beginning of this year.
Han Fengqin said that in the past ten years, my country's scientific research funding management reform has shown highlights such as clear powers and responsibilities, decentralization of the whole chain, people-oriented, and thorough coordination.
The major changes in the reform of scientific research funding management are being transformed into a sense of gain and achievement for scientific researchers.
Just on April 25, information analysis company Elsevier released the "The Road to the Future of Research" report, saying that about half of the global respondents indicated that their research fields are facing the problem of insufficient research funding.
Confidence among researchers around the world to receive funding has declined over the past year.
In contrast, Chinese researchers are more inclined to believe that they can obtain sufficient funding support, and are more optimistic about continuing to receive scientific research funding support in the future.
The report also mentioned that Chinese researchers' positive expectations for research funding are inseparable from China's efforts to increase R&D investment in the general society in recent years.
"The continuous decentralization of scientific research funding is to 'release' new vitality by reducing the burden and decentralizing power, so as to enhance the creativity and innovation of scientific researchers, better achieve scientific breakthroughs and technological innovation, and improve the overall performance level of national scientific research." Han Fengqin believes that in the future, the reform of scientific research funding management still needs to focus on strengthening supporting measures, focusing on goal guidance, promoting departmental coordination, and compacting main responsibilities.
To this end, she suggested that the existing policies should be systematically sorted out, and supporting measures should be strengthened based on the availability of implementation; the evaluation of policy implementation effects should be strengthened to ensure the maturity and strategic nature of policies issued, and to avoid simply replacing reforms with documents.
At the same time, guided by the matching of rights and responsibilities, further strengthen and compact the main responsibilities of the scientific research institutes in the allocation of human, financial and material resources.
"It is necessary to promote the connection between the funding system and other related systems, and promote the relevant departments to jointly formulate implementation rules as soon as possible under the principle of 'respecting scientists, following the laws of scientific research, and improving the efficiency of the use of financial funds', listing a negative list for the use of scientific research funds, emphasizing both rigidity and softness. , draw a red line." Han Fengqin emphasized that it is necessary to clarify the red line for the use of scientific research personnel's funds, and those who are not within the scope of the red line should be supervised with a tolerant and prudent attitude, and effectively solve the problem of inconsistency and non-implementation of relevant policies, relieve the worries of scientific researchers, and let scientific research Funds return to support the source of innovation and better serve people's creative activities.
Shi Changhui felt the same way.
In his view, the focus of future scientific research funding management reform is not only to urge scientific research institutions to implement the policies issued by the central government in a timely and solid manner, but also to strengthen the publicity of various new policies and eliminate the concerns of scientific researchers in the use of funds. .
In addition, in the financial acceptance link of scientific research projects, it is necessary to further improve the management service level.
It is worth noting that, in order to ensure the implementation of the reform policy, the Ministry of Science and Technology has comprehensively reshaped the entire process of project application and acceptance management, and adhered to the problem-oriented approach. Action, the pilot reform of the "green channel" of scientific research management based on performance, integrity and ability, and the large-scale research on the reform of scientific research funding management, etc., to adjust the management focus from managing process and details in the past to managing credit and performance, focusing on corporate responsibility, ensuring that Reform dividends go directly to the front line of scientific research.
Focusing on the problem and aiming at the crux of the problem, the "reducing burden and increasing efficiency" scientific research project funding management reform has improved the sense of achievement of scientific researchers, and has been widely welcomed and praised by the majority of scientific researchers.
Shi Changhui told a reporter from Science and Technology Daily that at the end of 2021, a questionnaire survey conducted by the China Academy of Science and Technology Development Strategy for scientific researchers across the country showed that 76.2% of scientific researchers believed that since the 18th National Congress of the Communist Party of China, the central government has been reforming the management of scientific research funds. The policies issued have been well implemented and achieved good results.
Our reporter Liu Yin