基于PSM-DID的科研经费“包干制”政策激励效应研究

随着科技体制机制改革的深入推进，科技政策环境不断优化，科研经费“包干制”对于扩大科研人员自主权、激发科研人员创新活力、提高科研经费使用效率具有重要意义，但目前对于科研经费“包干制”政策效果的实证分析较为欠缺。基于实验经济学研究思路，构建对照组和实验组，采用双重差分（PSM-DID）方法对中国实施科研经费“包干制”产生的政策激励效应进行实证分析。结果表明，科研经费“包干制”政策实施对科研人员工作满意度起正向调节作用和正向激励作用，“包干制”政策初步体现出较强的激励效应。未来在科研经费“包干制”实施中应进一步扩大科研人员自主权、适度提高间接费用比例、健全柔性化科研经费管理体系、加强部门间协同与沟通、建立人性化监督审计机制，充分发挥科研经费管理改革对科研人员的政策激励效应，促进科研绩效不断提升。

The Incentive Effect of the Lump Sum System Policy of Scientific Research Funds Based on PSM-DID

Along with the fierce global science and technology competition and the pressure of unstable international environment, the Communist Party of China and the Chinese government are paying increasing attention to the development of science and technology innovation. Since the reform and opening-up more than 40 years ago, both the central and local governments in China are investing huge financial research funds and management efforts in the reform of science and technology system and mechanism. Through the continuous efforts, from the practical point of view, the relevant science and technology policies have been optimized to some extant. The "lump-sum system” for research funding is an important part of the current science and technology policy and reform of the science and technology system, which has already being piloted in 2019 and will be further expanded in and after 2022. The implementation of "lump-sum system” is of great significance in expanding the autonomy of researchers, stimulating their innovative energy, and improving the efficiency of research funds. #br#At present, a large quantity of studies have been conducted in domestic and international on the "lump-sum system" policy of research funding. However, through collecting and analyzing the relevant literature, it is found that there is a lack of research results on the empirical analysis of the effect of the "lump sum system" policy on research funding at the academic level. Therefore this study obtains the research data and subjects by the means of a questionnaire survey, and on the basis of the idea of experimental economics, it sets up a control group and an experimental group to evaluate the effect of the "lump sum system" policy on the research staff who participated in the "lump sum" project and those who did not participate in the "lump sum" project. The PSM-DID research method is used to empirically analyze the incentive effects of the implementation of the “lump-sum system” research funding policy in China. And the research validity is verified by the robustness tes. The study results show that the implementation of the "lump sum system" has a positive moderating effect and a positive motivating effect on the job satisfaction of researchers, and it shows a strong motivating effect. #br#In view of the above findings, this study proposes the following suggestions on how to further exert the positive incentive effect of the "lump-sum" research funding policy and give full play to the innovation effect of science and technology policy. First, in the process of implementing the "lump sum system" policy for research funding, the central and local governments should further expand the funding autonomy of researchers. Secondly, the proportion of overhead costs in financial research funds should be appropriately increased to meet the current practical needs of researchers in the use of funds. Thirdly, in the reform of the science and technology system, the research funding management system should be improved from top to bottom. In addition, it is essential for each responsible department to strengthen interdepartmental collaboration and communication in the process of policy implementation. Finally, humanized supervision and auditing mechanisms are supposed to play an important role in the supervision over the use of research funds. #br#Future research can adopt different methods such as grounded theory and evidence-based test to test the effect of the "lump sum system" policy, so as to continuously optimize the its scientificity, rationality and practical operability. With the promotion of the "lump sum system" of scientific research funds and the gradual expansion of the autonomy of scientific research funds management, the scientific research performance evaluation of scientific research personnel is also one of the important issues worthy of attention and research in the future.#br#