澳大利亚大学科研绩效拨款的制度演变及启示-清华大学教育研究

文章信息/Info

Title:: Evolution and Implications of the Performance-based Research Funding System in Australian Universities

Author(s):: ZONG Xiao-hua ¹ ZHANG Qiang²; 1.Institute of Education, Nanjing University；2.Faculty of Education, East China Normal University

Keywords:: Australian universities; performance-based research funding; research evaluation

摘要:: 科研绩效拨款制度是澳大利亚大学科研持续高质量发展的重要支撑。在30年的演进中，澳大利亚大学科研拨款制度根据科研事业发展不同阶段的主要矛盾而主动调整，历经了量化指标导向、嵌入质量因子及激励重心转移的多阶段渐进式制度变迁，形成了指标选取上兼顾学术质量与社会贡献、功能实现上兼具绩效激励与成本补偿、机制设计上兼容历史成就与前瞻取向的制度特征。其中，最近一次调整大幅度归并繁杂的拨款专项，精简拨款机制设计和流程，极大地提高了绩效拨款的透明度和导向性。澳大利亚大学科研拨款制度的演进轨迹与逻辑对我国实施“绩效导向、动态支持”的“双一流”建设拨款制度具有重要启示。

Abstract:: The performance-based research funding system is an important support for the continuous high-quality development of research in Australian universities. In the evolution process of nearly 30 years, the Australian performance-based research funding system has been adjusted actively according to the main contradictions in different stages of the development of scientific research. It has undergone three stages from quantitative index orientation, embedded quality factor, to shift of incentive focus. Through this process, it gradually built up a system with indicators on both academic quality and social contribution, aiming at promoting performance as well as compensating cost, and integrating historical achievements and forward-looking orientation in the mechanism design. The latest adjustment has largely merged the complicated appropriation special items, streamlined the design and process of appropriation mechanism, and greatly improved the transparency and orientation of performance-based funding. The evolution trajectory and logic of the research funding system in Australian universities has important implications for China’s current design of a “Double First-Class” construction performance-based funding system with “performance-oriented and dynamic support”.