浅析广东省自然科学基金管理存在的问题与对策

刘 玲

(广东科学中心，广东 广州, 510006)

浅析广东省自然科学基金管理存在的问题与对策

刘 玲

(广东科学中心，广东 广州, 510006)

广东省自然科学基金自成立以来一直在管理方面不断探索和完善，但是仍然存在着项目特色不明显、项目体系设置衔接不够和项目管理指导性不足等问题。在广东创新驱动发展战略中，要在项目指南、项目设置衔接、凸显地区特色和完善项目管理办法等方面进一步优化，更好地支撑和引领广东自主创新与青年科技人才的发展。

自然科学基金管理; 问题; 对策

一直以来，作为人才培养“摇篮”及原始创新“源泉”的自然科学基金为广东科技人才成长与创新驱动发展起到了强有力地助推作用，特别是经过“十一五”与“十二五”前期努力，广东基础研究水平已进入全国第一梯队，2013年科技部《中国区域创新能力报告》显示，广东省的创新能力在各省(市、自治区)综合排名中连续6年保持在全国第二位。[1]

一、概况

广东省自然科学基金项目依据《广东省基础与应用基础研究专项资金(省自然科学基金)管理办法》进行管理。该管理办法规定了广东省自然科学基金的资助范围和目标，即广东省自然科学基金主要资助广东省境内的高校、研究院所与医院等科研机构开展的基础与应用基础研究项目和优秀科研人才培养。

广东省自然科学基金设立自由申请、博士科研启动、重点、重大基础研究培育、研究团队、粤东西北创新人才联合培养、杰出青年共七个类别。从类别上看，既有面向初出茅庐的博士科研启动项目，也有面向优秀科学家群体的研究团队项目；既有鼓励自由探索的自由申请项目，也有定向组织开展重大基础研究问题攻关的重大基础研究培育项目。目前，只有重大基础研究培育项目是定向指南申报，其他类别项目都是在科学基金资助范围大框架内，自主选题开展基础研究。从成立至今，广东省自然科学基金就一直受到广东科研人员热烈响应和积极参与。以2014年为例，申报项目数量达8 012项，涉及数理、化学、农学、地球、工材、信息、管理、医学等八个领域，申报数量不仅是广东各类科研项目之首，而且位居全国省(市、自治区)地方自然科学基金之首①。

二、存在的问题

近年来，广东省自然科学基金在提高管理水平、服务基础研究方面做了大量的工作，尤其是2014年在项目体系方面作了比较大的改革。例如在经费投入方面，总额度从2010年的5 000万元增加至2014年的2.55亿元，如图1。单项类别的资助强度也有所提高，如自由申请、博士科研启动项目的资助金额从原来5万元/项，提高至10万元/项。增设了重大基础研究培育、粤东西北联合人才培养两类项目，同时在自由申请项目类别下设立科管研究专题，目的是针对基础研究自身的规划战略等方面开展研究，不断加强对广东自然科学基金管理的优化和完善。②

图1 广东省自然科学基金经费投入(2010～2014年)

但是通过对近年来的申报和实施情况进行分析，可以发现广东省自然科学基金的基础优势不明显，对于基础研究的支撑作用尚未完全发挥出来。主要还存在四个方面的问题。

(一)项目申报指南与目标匹配度不高

目前广东省自然科学基金项目类别共有七种，在申报指南的条件设置方面目的性不明显，缺乏指导和分类的意义。例如自由申请项目的条件，规定申报人具有中级及以上职称，年龄不超过55周岁都可以自主选题方式申报。这种宽容的申报条件使得自由申请项目每年占据了近50%的申报量，而且基数日益增加，从2010年的2 000多项增加至2014年的4 558项[2]，如图2。从多年申报情况分析，不少在研国家自然科学基金项目负责人或者具有正高职称的科研人员也挤入自由申请类别项目的申报队伍并获得资助，这与自由申请项目“鼓励青年科学家开展创新研究”的目标是背道而驰的。又比如自由申请类别设立科研管理研究专题方向，其初衷是从“十三五”战略规划的高度，在基础研究全局(全省)的角度开展专题研究，目的性比较明显，应当对申报人资质和条件有一定要求，尤其是前期研究工作的积累，比如需要申报人主持过相关的宏观层面的战略规划或拥有类似的经验，但是在申报通知(条件)中并没有对于这方面的资历作出规定。因此，从该类申报项目情况来看，申报的整体水平与预期距离较大，且研究队伍个体之间水平差异较大，申报项目的内容与申报指南的目标匹配度不高。

图2 广东省自然科学基金自由申请数量(2010～2014年)

(二)项目体系设置衔接不够

作为人才培养体系的内容，粤东西北联合人才培养、博士科研启动定位为青年科研人员“萌芽”状态的培育类小项目，杰出青年定位为为优秀青年科研人员“脱颖而出”提供重点支持的项目。但是衔接两者之间中高端人才项目处于空白地带，无法形成一个完整的优秀科技人才培养链条。同时作为“低端”的博士科研启动项目申报年龄限制在40周岁以下，但是作为“高端”的杰出青年项目申报年龄限制在35周岁以下，对于35周岁以上、40周岁以下优秀青年研究人员，显然无法获取高层次人才项目支持，因此这种人才链条显然是存在“断层”的。又比如在项目研究方面，自由申请、重点与重大基础研究培育项目之间，资助经费分别是10万元、30万元到100万元。从表面来看，类似形成了一个低中高的研究资助链条,但是从定位异同来看，相同之处在于重点项目与重大基础研究培育项目都是定位于面上项目研究基础的进一步突破，但两者之间定位和面向研究群体的差异就不是很清晰，没有形成明显的梯度。[3]

(三)项目体系特色不明显

从目前项目种类来看，与国内其他省市地方自然科学基金大同小异，没有凸显“广东特色”。例如博士科研启动项目，与江浙地区自然科学基金的青年科学基金项目相似，但在资助金额和指南方面的导向性还不如江浙省份；而自由申请、杰出青年项目，与江浙地区自然科学基金的面上项目、杰出青年项目类似等等。广东作为自主创新和先试先行的“排头兵”，拥有毗邻港澳的地理优势，基础研究信息发达，特别是近几年诸多重大科技基础设施落户广东，已产生不少具有国内领先甚至国际影响力巨大的研究成果。例如2012年大亚湾中微子实验室发现新的中微子震荡模式，曾一度在国际上引起巨大轰动；又如2013年开始运行的广州超级计算中心，是目前全球运算最快的计算机中心。这些地理与研究平台设施方面的优势，为广东开展基础研究提供了便利的资源和环境，但是目前都没有很好地利用和结合起来，没能形成具有广东特色的自然科学基金类别。

(四)项目管理办法指导性不足

2014年新制定实施的《广东省基础与应用基础研究专项资金(省自然科学基金)管理办法》是目前广东省自然科学基金项目管理主要制度依据，该管理办法规定项目经费由财政部门按照国库集中支付方式进行管理，因此财政部门在每年年底都会把项目当年经费指标收回，到次年再结转下达，但是对于再次结转下达时间没有明确规定，有时结转长达半年，在此期间项目负责人难以办理项目研究经费的正常支付手续，严重影响了项目的研究计划与进度，长时间也容易造成“变通”执行财务规定的想法和做法。

另外，《广东省基础与应用基础研究专项资金(省自然科学基金)管理办法》主要是从财务管理的角度作出的关于经费管理使用的办法，规定了部门职责、项目经费审批、资金管理、监督管理与绩效评价方面的细则，[4]而对于项目具体组织实施方面经常出现的情况，如项目前期依托单位注册申请、指南发布、项目组织评审、资助项目出现人员变更、依托单位变更、计划延期、中止终止、结题验收等问题，没有在管理办法中进行规定，均处于“无据可依”的状态，这使项目的管理处于被动局面，也不利于项目研究任务的顺利完成。

三、完善管理对策探讨

2015年是“十二五”总结之年，亦是“十三五”布局之年，在广东大力实施创新驱动发展战略的背景下，广东省自然科学基金应充分发挥对推动原始创新与优秀科技人才成长的支撑引领作用，明确目标、找准定位，重点突破，坚持有所为、有所不为。[5]

(一)进一步优化申报指南

将项目定位与申报要求紧密结合，如自由申请项目定位为鼓励青年科学家开展创新研究，对申报人要求一方面进一步降低申报年龄与职称，让更多青年科研人员加入研究队伍；另一方面,对于在研国家自然科学基金项目主持人，限制申报自由申请项目。战略规划类项目则提高申报人“门槛”，要求申报人必须有主持省级以上部门规划经历。在申报指南明确设定重点类项目(100万元及以上)项目的预期目标，如以冲刺国家重大基础研究项目为目标的重大基础研究培育项目，以培养国家杰出青年科学基金获得者为导向的省杰出青年基金项目，以培养国家创新群体、国家973为目标的研究团队等等。[6]

(二)强化项目链条紧密性

在人才培养体系方面，建立科技青年人才“层级式”培养模式，[7]其中博士科研启动项目申报人年龄条件改为30周岁以下，并在自然科学基金人才项目中增设“拔尖人才项目”，50万元/项，要求申报人为32周岁以下、具有博士学历并取得一定基础研究成绩的科研人员，与35周岁以下杰出青年项目，形成一条完整的“阶梯式”青年人才成长链条。改革研究项目体系构成，将重点项目定位为支撑应用基础研究转换为技术创新研究，资助经费提高至50万元/项；同时设立重大产业项目，300万元/项，作为专门面向前期基础研究成果产业化项目，在自然科学基金打造“基础研究——应用基础研究——技术创新——产业创新”的完整链条体系。

(三)凸显区域特色

在保持原有项目体系基础上，针对广东毗邻港澳地区优势，设立“粤港澳重大基础研究合作项目”，一方面资助粤港澳地区科学家在广东合作开展高水平的基础研究，另一方面资助在广东举办粤港澳重大基础研究交流会议，打造粤港澳顶尖科学家联盟，整合粤港澳基础研究力量与资源，共同推动区域创新发展。针对广东现有重大科技基础设施，如大亚湾中微子实验室、广州超级计算中心、国家基因(深圳)库、东莞散裂中子源等等，立足广东需求，面向全国申报，开展“大科学研究计划”，吸引全国优秀科研力量协同创新，打造具有广东特色的“科学研究中心”。

(四)进一步完善项目管理办法

既要做好经费规范管理，也要尊重科学规律。在项目经费管理方面要进一步加强项目依托单位监管职责，同时要保障项目负责人能根据研究需要及时办理经费的支出结算，不影响研究工作的开展。根据广东当前的情况来看，在按照国库集中支付方式进行管理模式下，对于上一年度项目经费指标结转下达的时间应在管理办法中进行明确，时间上应该尽量缩短。

另一方面，当前《广东省基础与应用基础研究专项资金(省自然科学基金)管理办法》只是经费的管理办法，项目实施其他具体环节方面的管理细则还处于“空白区”。因此，加强自然科学基金的管理，首当其冲的应当是制定广东省自然科学基金项目管理的实施细则。特别是一些关键环节问题解决，亟待项目管理实施细则予以规定。笔者认为广东省自然科学基金项目管理实施细则，可以考虑包括七个部分。

(1)总则。明确省自然科学基金定位，项目类别，资助原则。

(2)依托单位与申报人。主要是规定两者资格与职责。

(3)申报。规定各类项目申请条件与要求。

(4)评审。规定项目评审规则、流程、公示、下达与专家意见反馈。

(5)实施与管理。主要是项目在研究执行期内相关事宜处理，如研究人员变动、依托单位变更、研究计划调整、中期考核等等。

(6)结题验收。包括结题验收程序与要求。

(7)学术道德规范。主要是对依托单位、申报人、评审专家、工作人员等学术道德的要求与责任内容。[8]

四、结语

在广东大力实施创新驱动发展战略之际，自然科学基金对自主创新的支撑和引领作用将更为明显。如何进一步优化管理，为原始创新与优秀科技人才培养打造公平公正、科学合理、激励向上的创新环境，是当前广东自然科学基金面临的重要任务。

注释

①②见广东省自然科学基金管理委员会办公室《2014年广东基础研究年度报告》第41—45页。

[1]柳卸林，高太山，周江华.中国区域创新能力报告[M].北京：科学出版社，2014：1—5.

[2]广东省科技厅.2014年度省级科技计划项目评审工作正式启动[EB/OL].[2014-09-29].http://www.gdstc.gov.cn/HTML/zwgk/zwyw/1411976772320-4985741061311980880.html.

[3]刘玲,彭向阳.“十一五”期间广东省自然科学基金管理回顾与展望[J]. 广东科技, 2012(6) ：52—54.

[4]广东省科技厅.广东省基础与应用基础研究专项资金管理办法的通知[EB/OL].[2014-10-22].http://www.gdstc.gov.cn/HTML/zwgk/zcfg/bmgfwj/14139496885816817187750 689429004.html.

[5]张银玲,彭向阳. “十二五”后期广东省自然科学基金工作创新思考[J]. 广东科技. 2013(10):13.

[6]罗开平,张人千,王惠文. 国家自然科学基金项目申请政策的影响分析[J]. 科学学与科学技术管理. 2013(11)：5—11.

[7]刘玲,崔洁,张银玲,等.浅析我国自然科学基金青年人才培养制度[J]. 科技管理研究. 2014(19)：116—119.

[8]国家自然科学基金委员会. 2014年度国家自然科学基金项目指南[M].北京：科学出版社，2014：125—143.

(文字编辑:贾俊兰 责任校对：王香丽)

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Key words: adolescent; social education; social work

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Key words: ITP circular pattern; social work supervision; evidence-oriented theory

Abstract: The migration of peasant workers in China are mainly employment-based, and some of them take up an occupation in informal economy. The investigation into the scattered human porterage in Chongqing reveals that rurality inherent in peasants is carried over in human porterage, and reflects the close relations between the particularity of this means of livelihood and the qualifications and needs of practitioners, practitioners′ cultural values and customs and the particular means of livelihood, as well as local citizens′ cultural characteristics and practitioners′ cultural characteristics. These findings provide a new angle to the research of market demand and employment space for porterage in Chongqing.

Key words: “bangbang” porter; means of livelihood; informal employment; peasant worker; rurality

Abstract: As a model of postmodern treatment, narrative therapy proposes the re-examining of the story, separating the problem from people. Through the externalization of the questions, it discloses the discursive power behind the story and searches for the omitted episodes to reconstruct the life story. In the “localization” of the narrative therapy, it offers a possibility for people to achieve self-healing through self narrative to reexamine their life. This paper puts forward the concept of narrative self-healing and analyze its action mode, explores how an individual externalizes problems, searches for omitted fragments, self-talk and deduction through self-awakening, thus achieving the rewriting of one′s life story.

Key words: narrative; reconstruction; self healing

Abstract: Public opinion is a barometer of the state of various social factors, which is also the touchstone to measure the effects of all social decisions. As the pioneer of the reform and opening up policy, Guangdong province has carried on many beneficial explorations in the collection and disposal of social situation and public sentiment. However, compared with the developed countries, there are still a lot of things to be improved. Therefore, we must improve and develop social intelligence and public opinion collection through resource integration, technology platform construction, processing efficiency, momentum and mechanism construction, etc.

Key words: Guangdong province social sentiment and public opinion construction

Abstract: Livable community built for the elderly can improve their quality of life, improve the living environment, and enhance the professional level of community service for the aged. Embedded type of elderly community is one with the biggest advantageous in internal development. It is formed with the policy intervention and mandatory construction requirements by the government in aspects such as land supply, urban planning, project construction, financing. The centralized service management model based on specialization, socialization and marketization of elderly care is implemented in the community. The construction and management mode can not only ensure the optimal economic efficiency of the whole society, but also can ensure the maximization of social utility; therefore it is the practice of social and economic benefits optimization theory.

Key words: embedded mode; livable communities for the elderly; construction; management

Abstract: Township level is the link which connects government and grassroots people, so it has a special status in the governance system construction of our country. The existing rural social management pattern is facing kinds of practical problems, thus how to innovate in the state of good governance becomes the pragmatic choice and important subject of grassroots governance innovation. Good governance provides goal and idea guidance for rural social management innovation, and social work fits the requirements from good governance to rural social management innovation and can provide unique functions of idea optimization, method improvement, risk resolution and talent support. Paths for social work to promote rural social management towards the state of good governance include: developing the response ability of rural social management system to grassroots demand, enhancing the individual and structural quality of rural social management workers, promoting the right protection of vulnerable groups and deep reduction of grassroots social contradiction, improving the coordination and innovation of relationship between different stakeholders within the framework of rural social management.

Key words: good governance; social work; rural social management; innovation in grassroots governance

Abstract: Because of the policy disparity between State expropriation and collective diversion, there is a great gap in the allocation of land value increment in the process of transforming agricultural land to non-agricultural uses. From the perspective of the gap out of the two different ways of land use transfer, this paper analyzes the original intention of the policy from its evolution, and deems that it is not intended to encroach the land value increment of the peasants. The policy of transforming agricultural land to non-agricultural uses, directly or indirectly affects the land value increment of the related land. The disparity in the policies leads to the imbalance in the profit distribution of the land value increment. In the State land expropriation, the coexistence of public interest and business interest makes the local government transform from a management government to operating government; the legal and illegal handling coexist in transforming agricultural land to non-agricultural uses which leads to the chaos in the distribution of land value increments. The upstarts coexist with farmers without land, job or social security in the compensation for land expropriation, making land requisition trapped in a compensation dilemma.

Key words: Peasants Land Policy; State land expropriation; Collective diversion of agricultural land; Land value increment

Abstract: The disabled elderly form a special and complicated social group. Along with the rising of the number of disabled elderly and reduction of the family resources, care for the disabled elderly will be one of the important social problems. In view of their need for care service, intuitional care service can better meet their demands. To build the institutional care service system for the disabled elderly, measures should be taken from the service supply and service security system, so as to provide a diversified service system for the disabled elderly, with the joint help from the government, institution, family and society.

Key words: institutional care service; disabled elderly; service system

A Study on Industrial Technology Innovation Strategy Alliances Based on the Comparison of China with USA and Japan

Abstract: The industrial technology innovation strategic alliances, which started late in our country, mostly refers to the experience of Japan and the United States. Japan′s experience suggests that government can achieve establishment and development of alliance through macroeconomic regulation. And America′s experience shows that the market is beneficial to the orderly development of the alliance. Recently, industrial technology innovation strategic alliances have developed rapidly with the guidance and the promotion of government in China. However, it is noticeable that during development some problems are exposed, which need to be optimized with the synergism of internal and external motivation.

Key words: industrial technology innovation strategy alliances; driving mechanism; collaborative innovation

Analysis on Problems and Countermeasures in the Management of Guangdong Science Foundation

Abstract: : Guangdong Science Foundation(GSF)makes great efforts on exploring the management of GSF since its establishment. Yet GSF is still plagued by the problems of lacking distinct feature in its projects, lacking sufficient cohesion in the setting of research projects and insufficient guidance in the project management. Against the background of Guangdong innovation strategy, the GSF should make great progress on the above factors, and improve the management to support the innovation strategy and training of young talents.

Key words: Management of GSF; Problem; Improvement

Application of Group Social Work in the Sex and Gender Education for the Disabled and Orphaned Children——A Case Study about the Girls in Shanghai Children′s Welfare Home

DU Li-jie, XUE Meng-chao

(Department of Sociology, Shanghai Normal University, shanghai 200234, China)

Taking girls in the children′s welfare home as the example, this article researches about the function and effect of the group social work in sex and gender education for the disabled children′s education. With the method of action research, 8 times group social work activities are organized and effect evaluations are taken for the activities. The results show that obvious improvement is achieved in knowledge about physiological knowledge and heterosexual communication among the disabled and orphaned girls through group activities. The advantage of this method lies in the fact that it can effectively avoid sensitivity or discomfort, and has a strong relevance. In the future social group work should pay attention to emotional control and can be applied to boys groups.

sex education; disabled children; group social work

Status Quo of Adolescent Social Education in China and Countermeasure: Based on the Perspective of Social Work

CHEN Ai-ru, ZHANG Jie

(College of History and Sociology, Anhui Normal University, Wuhu, Anhui 241002, China)

A Study of Group Work′s Pressure Alleviation Function for Autistic Children′s Parents of Low-income Families

LI Ai-juan1,2, BAI Xiao-juan1

(1.School of Human Sciences, Inner Mongolia University of Technology, Hohhot, Inner Mongolia; 2. College of Education Science, Inner Mongolia Normal University, Hohhot, Inner Mongolia, 010010 China)

Ethical Dilemma in the Practice of Localization of Social Work——A Study of Guangzhou Integrated Family Service Centre

ZHANG Xiao-hong

(School of Politics and Public Administration, South China Normal University, Guangzhou, Guangdong 510630, China)

Application and Reflection of ITP Circular Pattern in Social Work Supervision

HAN Jing

(Institute of industrial relations, Shandong Management University, Jinan, Shandong 250100, China)

Study on “Bangbang” Porters′ Means of Livelihood and Employment Space

QIN Jie

(Political Theory Teaching and Research Section, Chongqing Communication Institute, Chongqing 400035, China)

Rewrite the Life Story: Narrative Analysis of Self Healing Action Program

ZHONG Yao-lin

(Political science and law college, Linnan Normal University, Zhanjiang, Guangdong 524037, China)

Research on the Construction of Social Sentiment and Public Opinion Collection and Processing System in Guangdong Province

JIE Xiao1, WANG Jian-guo2

(1. Marxism School, GuangDong University of Technology; 2. Provincial Affairs Research Center, Guangzhou,Guangdong 510080, China)

Construction and Management of Embedded Elderly Livable Community

PAN Tong

(Department of Management, Guangdong Women′s Polytechnic College，Guangzhou, Guangdong 511450, China)

Social Work: A Path for Rural Social Management towards the State of Good Governance

LI Yao-feng, ZHAO Ling-ling

(School of Politics & Law, Jinggangshan University, Ji′an, Jiangxi 343009, China)

Peasants Land Policy and Its Value-added Income Distribution

ZHAO Cui-ping, DU Fen-gen

(School of Marxism, Guangdong University of Finance & Economics, Guangzhou, Guangdong 510320, China)

An Analysis on Institution Care System for the Disabled Elderly in China

TIAN Yu-yan

(School of Humanity and Law, Wuzhou University, Wuzhou, Guangxi 543002, China)

ZHANG Guang-yu，LIAO Jian-cong，MA Wen-cong
(School of Management, Guangdong University of Technology, Guangzhou, Guangdong 510520, China)

LIU Ling
(Guangdong Science Center, Guangzhou, Guangdong 510006, China)

2015-03-11

■ 基金课题：广东省自然科学基金项目“广东省自然科学基金申请政策评估及优化研究”(2014A030309002)。

刘玲(1985—)，女，汉族，助理研究员;主要研究方向：科技政策，科技情报与产业研究。

刘玲.浅析广东省自然科学基金管理存在的问题与对策[J].社会工作与管理，2015，15(4):84—87.

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1671-623X(2015)04-0084-04