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The author:(作者)aaapublished in(发表于) 2013/12/16 0:42:30 Research funds for corruption-prone： chain-wide vulnerability needs to be wholly regulated _ Sina news
Research funds for corruption-prone: chain-wide vulnerability needs to be the whole regulatory
Contributing writer _ Li Wei legal system and journalists _ Chen Hongwei
"False claims, misappropriation, illegal transfer of funds". On October 22, Finance Minister Lou Jiwei was made to the national people's Congress on the national report of the financial allocation of funds and the use of science and technology, research funding corruption.
Less than two weeks earlier, in the new release, science and technology Minister WAN Gang also used both "anger", pain research funding corruption.
"Vicious" term is not much. Research funds misappropriation, has become a universal phenomenon: pretexts lying corrupt cash arbitrage funds, false invoices, the diversion of funds to buy a car-mounted room ... ... That alternate academicians of the Chinese Academy of Sciences last March fermentation zhenhao Duan million research grant for corruption scandals, has now became a joke in research circles.
"I'm afraid a lot of large rats would laugh their heads off. "Shanghai Jiao Tong University math Professor Yao weihong said.
Correspondent according to the information received, 2007-2012, Chinese Academy of Sciences in Beijing, 29 per cent on research funds misappropriated corruption cases, involving 32 people, embezzlement, misappropriation of public funds was sentenced to five people, as of last September, there are four persons are being investigation by procuratorial organization dealing with violation of 18 members who, with Board-level leading officials of two of them.
Audit institutions in nearly three years on various State ministries, provincial budget performance and other financial income and expenses in hundreds of annual audit reports released, involving "issues research fund" at least 39, problems concentrated in 2007-2012.
Research funds for corruption-prone, partly, mainly the approval power is too centralized, system vulnerabilities, the implementation of supervision is not in place. Research on anti-corruption, perfecting the system of implementation put forward higher requirements.
Project approval needed "run"
In 2012, the society for research and experimental development expenditures have exceeded 1 trillion yuan, 1.98% per cent of GDP. Per cent in 2006 to about 2012 Yuan, an average annual growth rate of China's national financial technology spending has reached 22.73%.
In recent years, the Chinese Government input in science and technology, can be described as generous, especially the national medium-and long-term science and technology plan (2006-2020) since the enactment of financial capital investment stable increasing mechanism of science and technology building.
In the more than $ 2.4 trillion worth of funds, the central financial technology spending a total of 1.21 trillion yuan, accounting for 11.99% of the central fiscal expenditure, an annual increase of 18.26%. National financial and central financial technology spending growth was higher than the corresponding increase in revenues.
However, despite our national innovation capacity rankings in the last six years rose to 26th from 48th in the world, but from the detail view, scientific research has not improved significantly with the increase in financial requirements for the quality.
In June of this year the Audit Commission report on the work of the Auditor-General Liu Jiayi, until the end of 2011, China's three major 8 of outstanding acceptance subject acceptance; 2,401 sampled 84 subjects (papers), 582 were with a different offset the results of research projects.
Low-quality results, and approval is the first vulnerability.
Declaration procedure is currently research funding, the Government on the recommendation of the Committee of experts, develop research on fixed direction Guide to Declaration of the project, researchers Fund according to the Guide to declaration to declare, declare the project became a Government Department of the "compositions".
"The project required ' excellent ' activity," who was previously on animal studies of Shandong University told the reporter, "for example, the project applicant project approvers have a teacher-student relationship, the Longmen, does it move around, there is no relationship, there is no hitting, could play a decisive role. ”
Anti-corruption Bureau in zhabei district of Shanghai people's Procuratorate Pan Xin also said the research community "runs into" often, "the management of scientific research projects are often decided by the competent person, led to corruption, rent-seeking".
According to the audit report, from 2008 to 2009 in Guangdong Province arranged in major science and technology energy-saving emission reduction and renewable energy projects, 2 lack of implementation capacity and conditions provide false materials, one project through the approval in 2012, the Hunan provincial science and Technology Department without justification, without specialists, project based on inadequate case, arranged for 11 projects, capital of 8.15 million Yuan.
"At present my research funds in the regulatory process to implement documents for guidance on, the advice is focused on the process management of research projects, there should be guidelines and recommends the provision, rather than forcing the implementation of standards. "At an agricultural University in the eastern region for scientific research funds management of outlying Li Gong (a pseudonym) told the reporter.
"In most of the files are ' against the rules, once discovered, must be seriously dealt with, ' can make serious up, like ' of irregularities in the provision of scientific research, should be investigated for responsibility of the persons concerned ' and what are ' related ' responsibility how to implement? These expose the tolerance for violators punished. "Analysis of Li Gong.
Li Gong showed reporters a copy of a project research funding budget sheets and balance sheets, in the budget table, fuel fees and international cooperation are 0.
But in the final table, as a project between travel and fuel power is unknown, "the project team much car fuel cost from travel reimbursement, resulting in false research cost, and team two trips abroad cost 160,000 yuan, reimbursed as fees for international cooperation, a serious departure from the budget targets."
In 2010, Li Gong specifically under the Unit conducted a questionnaire survey among 50 scientists to find problems in the research funding. Survey results showed that subjects after the continued use of funds, the budget and final accounts deviate from the problem is most acute.
For has completed and through acceptance of project balances funding, according to about provides, by centralized sector approved Hou, can into relies on units Development Fund continues to for funded scientific research work, currently many practices is, these funding to Development Fund Hou, due to no longer belonging to research project of funding, management more pine, most for business hospitality fee, and advisory fee, and phone fee and labour, and research has nothing to do of expenditures.
In addition, the shambling falsely misrepresented costs, overtime compensation, long-term borrowed funds, budgeting are reasonable issues are more prominent, "but mostly for scientific non-paper spending issues".
At the same time, "the survey also found that project officers also know that research funds with problems, but scientific monitoring systems did not have adequate, relevant education and training therefore, awareness raising scientific research personnel's compliance code is essential. "Li Gong said.
Misappropriation of funds as "SAC of exploration"
"SAC of exploration, a breeze. "Shanghai Huangpu district people's Procuratorate of the anti corruption Bureau Qiming Liu describes research funds embezzlement.
Qiming Liu introduced artificially manufacturing vulnerabilities, exploits or bogus contracts or provide false invoices are main means of personnel diversion of research funds. He said this means "original, and badly", "crazy, and no one would know."
In this context, gather invoices have become mentors to the students ' first research task.
A chemical engineering doctoral student in central China Science and Engineering University told reporters that his group required students to peacetime consumption as far as possible, the head of invoicing, as long as it was the name of the school, open items are Office supplies, lines of hundreds of dollars or even thousands of dollars can be reimbursed.
Teachers favorite ticket is your ticket. Flexible ticket reimbursement for major, such as a train ticket back to Beijing to Tianjin, five days apart, will be calculated on a five-day standard expenses such as accommodation, transportation, and even meeting in Tianjin, "these ' extra in the middle part of ' generally do not need to take out the invoice".
And this one, a lot of false claim the reason is easy to identify. "For example, some research projects are completed in the lab, claims but the reasons are plenty of offsite on a business trip. With a little careful, this reimbursement should not pass. "Qiming Liu said.
Get rid of researchers, hands and managers of research funding to embezzle funds, formed another part of the research funds corruption case.
Back in 2003, there was a shocked public, Haidian District, Beijing ", mutant-Norwegian Research Foundation 220 million Yuan on corruption" cases. Served as a foundation of financial Bureau of management accounting of Bian Zhong, 1995-2003, fake bank statements and mail transfer and quota certificate, make up bank statements and other means, cheating leadership, evading audit checks, embezzlement, misappropriation of 220 million Yuan.
In the first half of the year, Haidian District, Beijing's anti-terrorist Branch Director of the Office of the Party Committee of corruption cases of misappropriation of research funds. Beijing University of Aeronautics and Astronautics Academy of mathematics and System Sciences Meng Jiangtao, former Director of the Office of party and Government, for fried futures and gold, corruption and misappropriation of 270,000 dollars, 2.37 million dollar research project funding, the Court of final appeal was sentenced to ten years.
The Haidian District Public Prosecutor's Office investigation of corruption cases in the two cases of University research funds. The relevant public prosecutor's Office's statistics show that since 2003, the total duty crime investigation areas of research funding 17 of 21 people, mass crime by the criminal use of research funds regulatory gaps, including many intellectuals, this has become the main characteristics of duty crime in the area.
Two such cases were more competent individuals are researchers or funding law violations, and when the 39 audit report, the specific cases of misappropriation of research funds, and corruption are listed. In such cases, it is a unit of research funds for employee wages and benefits, car purchase, ...
Zhao Jing (a pseudonym) is a famous University in Beijing financial Department of Chemical Institute of accounting, College Professor more topic is rich in resources, years of exposure, experts of Zhao Jing, more likely to trust, which brings to Zhao Jing, an opportunity. Initially, Zhao Jing's invoice to the professors added that its own costs, it gradually evolved into someone else pays up to 10,000 yuan, Zhao Jing in the Bills and their thousands of Yuan. In 9 years, Zhao Jing, embezzled public funds 970,000 yuan, a total of 106.
Research funds that have formed a secret surrounding the ecological chain of corruption, Professor in the chain, financial accounting, scientific research equipment buyers.
Beijing Haidian District Public Prosecutor's Office in the investigation of accidents when Zhao Jing, the case took a more secretive crime. Zhao Jing Institute, two lab workers use management instruments development duties will, through organized field trips, personal to the neighboring provinces of tourism in colleges and universities, to go out to visit, foreign exchange funds in the name of Beijing more than compensated for personal travel expenses amounted to more than 50,000 yuan, ended with charges of corruption have been sentenced.
Research protection required "supervision"
For corruption and misappropriation of research funding, Lou's report shows some solutions. For example, the sound management of scientific research projects and funding of credit history and rating mechanisms, mechanisms for establishing a blacklist system, internal cost accounting, budget management mechanism, improving the performance audit of the whole process, strengthen process monitoring, etc.
To understand the present allocation mode of science and technology, Government sources told reporters, the current research funding sources can be used, "Kowloon water spray" to describe, with technology management function in the departments of the Central Government, and involves the use and management of financial funds for science and technology of dozens of homes.
Several main of ministries in in the course of the plays has important role, like Treasury is responsible for central financial technology funding budget overall arrangements, specific approved research institutions run funding, and basic research business fee; national NDRC and Technology Department main is responsible for research infrastructure funding, and national technology plans project of project, and funds of distribution and management; Ministry, and MoE, and National Science Fund Board, and CAs, related sector according to duties Division is responsible for related project of project, and funds of distribution and management.
In order to avoid and reduce the repeated input of financial technology funds, finance and the national development and Reform Commission and the Ministry of science and technology has established a ministerial coordination among the three departments in consultation with the mechanism, and gradually improving the State Science and technology plan projects database, check for duplicate mechanism to establish research projects.
Relevant ministries also admits that such cross-sector in consultation with the coordinating mechanisms are "soft constraints", in practice, there are still a lot of problems, such as which views to dominate in the consultation of the Ministry also depends on the ministries in an item on the right to speak.
"For the final, when traced back to its source" for these issues because of frequent, practitioners and academics gave views consistent, apart from approval powers, mainly vulnerability, monitor the implementation of the regulatory system is not in place.
Regulatory system vulnerabilities, mainly refers to the operation of the project of fine, lack of funds, the whole process of oversight-focussed only upon prior declarations, ignoring and ex post regulation.
These people who do animal research in Shandong University has said that by "running into" the application for funding, in a variety of ways diverting. "For example, want to buy an original list price $ 600,000 worth of equipment, manufacturers paid after rebates, get 450,000 yuan. ”
And this is a reflection of a research grant of regulatory loopholes. "How to run, how the use of funds, the project results evaluation procedures are no strict system of rules, leading to research funds take advantage of every opportunity to benefit oneself, layers of skin. "Pan Xinfa said.
"In particular, some technology funds, the authorities often only formal approval, rather than the substantive follow-up and outcome evaluation of the project. "Shanghai's Jing an district people's Procuratorate, said anti-corruption Bureau Wang Tianzheng.
Thus, "monitoring front", "oversight", "oversight of the whole process," became a major topic, relevant units also started to change.
According to the relevant parties of the Ministry of science and technology, Ministry of science and technology is focusing on building a transparent and deploying research departments with information agencies, contents, conclusion of the research project will be published on the official website, publicity for enterprises as well as stakeholders in the industry.
"(Should) to strengthen budgetary review and management, and in accordance with timing, funding projects for process monitoring. Enhanced follow-up supervision of the earmarked, to effectively reduce and eliminate money black hole draining the occurrence and spread of duty-related criminal cases. "Qiming Liu recommends.
In addition to regulatory gaps, systems are not implemented, was research funds misappropriated another reason of frequent cases of corruption. Qiming Liu of Shanghai Huangpu district Procuratorate anti-corruption Bureau has said, a lot of related rules and regulations have been "lips say, hanging on the wall, superior to decorate visits pose".
科研经费腐败案频发：全链条漏洞亟待全程监管
特约撰稿_李薇 法制与新闻记者_陈虹伟
“虚假报销、挤占挪用、违规转拨”。10月22日，财政部部长楼继伟在向全国人大常委会作关于国家财政科技资金分配与使用情况的报告时，直指科研经费腐败问题。
此前不到两周，在国新办发布会上，科技部部长万钢也连用两个“愤怒”，痛批科研经费腐败。
“恶性”一词并不为过。科研经费挤占挪用，已成普遍现象：巧立名目骗贪经费、虚假发票套现套利、挪用经费买车置房……以至于去年3月发酵的中科院候补院士段振豪贪污百万科研经费的丑闻，如今已在科研圈成了笑话。
“恐怕很多硕鼠会笑掉大牙。”上海交通大学数学系副教授姚卫红说。
本刊记者得到的数据显示，2007—2012年，仅中科院京区，科研经费挪用贪污案件就已累计发生29件，涉案32人，其中因贪污、挪用公款被法院判刑五人，截止到去年9月，还有四人正被检察机关立案侦查；组织处理违纪党员18人，其中局所级党员领导干部二人。
而在近三年审计机关对国家各部委、各省份预算执行和其他财政收支情况发布的数百份年度审计报告中，涉及“问题科研经费”的至少有39份，问题集中发生于2007至2012年。
科研经费腐败案频发，究其原因，主要是审批权力太集中、监管制度漏洞、监管落实不到位。科研反腐，对制度的完善与落实提出了更高要求。
项目审批需“跑部前进”
2012年，我国全社会研究与试验发展支出已超1万亿元，占GDP的1.98%。从2006年的1688.5亿元到2012年的约5600.1亿元，我国全国财政科技支出的年均增长率已达22.73%。
近年来，中国政府在科技方面的投入，可谓大手笔，尤其是《国家中长期科学和技术发展规划纲要(2006-2020年)》颁布以来，财政科技资金投入稳定增长机制逐步建立。
在上述超过2.4万亿元的资金中，中央财政科技支出累计1.21万亿元，占中央财政支出的11.99%，年均增长18.26%。全国财政和中央财政科技支出增幅均高于同期财政收入增幅。
然而，尽管我国的国家创新能力排名在最近六年中从世界第48位上升至第26位，但从细节上看，科研成果的质量并没有随着经费的增长而大幅好转。
据今年6月审计署审计长刘家义的工作报告，至2011年底，我国8个重大专项有93%的应验收课题未完成验收；抽查84个课题的2401项(篇)成果中，有582项是用其他科研课题的成果充抵的。
科研成果质量低，审批把关是第一个漏洞所在。
目前科研经费的申报流程是，政府根据专家委员会的建议，制定出固定研究方向的项目申报指南，科研工作者再根据申报指南进行基金申报，申报项目成为了政府部门的“命题作文”。
“项目申报，需‘过硬’的活动能力，”一名曾经在山东某大学做动物研究的人士告诉本刊记者，“比如，项目申请者对项目审批者有没有师生情谊、是否同门，上面有没有走动，有没有走关系，有没有套近乎，都可能起到决定性作用。”
上海市闸北区人民检察院反贪局潘新法也称，科研界“跑部钱进”现象时有发生，“科研项目的管理往往由主管一人决定，导致了权力腐败、寻租”。
据上述审计报告，广东省2008年至2009年安排的节能减排与再生能源重大科技项目中，有2个缺乏实施能力和条件、1个提供虚假材料的项目通过了审批；2012年，湖南省科技厅在未进行可行性论证、未经专家评审、立项依据不充分的情况下，安排了11个科技项目，资金815万元。
“目前我国科研经费监管过程中执行的文件多为指导性意见，这些意见重点强调是科研课题的流程式管理、应有准则和经费使用建议，而不是强制的执行标准。”在一所东部地区农业大学负责科研经费管理的李功(化名)告诉本刊记者。
“多数文件中均有的‘违反规定者，一经发现，必须严肃处理’，可总让人严肃不起来，再比如‘对科研经费使用中的违规行为，应追究有关人员的责任’，何谓‘有关’，责任如何落实？这些均暴露了对违规者惩罚的宽容。”李功这样分析。
李功向记者出示了一份某项目科研经费的预算表和决算表，在预算表中，燃料动力费和国际合作费均为0。
但在决算表中，由于项目差旅费与燃料动力界限不明，“项目组大量汽车燃油费就从差旅费中报销，这样导致科研成本不实，还有课题组二人次出国费用16万元，作为国际合作费报销，严重背离预算目标要求”。
2010年，李功专门在本单位50名科研人员中进行了问卷调查，以查找科研经费使用中存在的问题。调查结果显示，课题结束后继续使用经费、预算与决算偏离问题最为严重。
对于已完成并通过验收的项目结余经费，按照有关规定，经归口部门批准后，可转入依托单位发展基金继续用于资助科学研究工作，目前很多做法是，这些经费转为发展基金后，由于不再属于科研项目的经费，管理较松，大部分为业务招待费、咨询费、电话费和劳务费等与科研无关的支出。
此外，虚开虚报经费、加班乱发补助、长期借用公款、预算编制是否合理方面问题也比较突出，“但多数为解决科研非票据支出的问题”。
同时，“通过调查也发现，课题人员也知道科研经费使用上问题突出，但对科研监管相关制度了解并不充分，因此进行相关教育和培训，提高科研人员遵章守则意识十分关键。”李功说。
经费挪用如“囊中探物”
“囊中探物，易如反掌。”上海市黄埔区人民检察院反贪局人员刘启明如此形容科研经费侵占之易。
刘启明介绍，利用漏洞或者人为地制造漏洞、虚设合同或提供虚假发票是相关人员挪用科研经费的主要手段。他称，这种手段“既原始，又拙劣”，“近乎疯狂，却没人觉察”。
在这样的背景下，搜集发票竟成了导师交给学生的第一项科研任务。
一名中部地区理工科大学化工专业博士生告诉记者，他所在课题组的负责人要求学生平时出去消费尽量开发票，只要抬头是学校的名字，开的项目是办公用品，几百元甚至上千元的额度一般都可报销。
导师们最喜欢的票据是火车票。火车票报销时弹性很大，比如北京到天津一来一回的火车票，中间隔五天的话，便可以按五天的标准来计算在天津的住宿、交通、甚至会议等费用，“而这些‘中间多出来的部分’通常不需要再拿出相应的发票”。
而这其中，很多虚假报销理由相当容易识别。“比如，有的科研项目明明是在实验室里完成的，报销理由却是大量的异地出差。只要稍加留神，这种报销就应该过不了关。”刘启明称。
除去科研人员，科研经费的经手和管理者对经费的侵占、挪用，组成了科研经费腐败案的另一部分。
早在2003年，北京市海淀区便发生了一起震惊公众的“小会计挪贪科研基金2.2亿元”案件。这位曾担任某基金委财务局经费管理处会计的卞中，在1995-2003年间，采用伪造银行进账单和信汇凭证，编造银行对账单等手段，欺骗领导、逃避审计检查，贪污、挪用公款2.2亿元。
而就在今年上半年，北京市海淀区还侦破了一起党委办公室主任贪污挪用科研经费的案件。北京航空航天大学数学与系统科学学院党政办公室原主任孟江涛，为炒期货和黄金，贪污27万元、挪用237万元科研项目经费，终审被判处有期徒刑十年。
这只是北京市海淀区检察院侦办的高校科研经费腐败案件中的两例。该检察院的有关统计材料显示，2003年至今，共立案侦查科研经费领域职务犯罪17件21人，犯罪分子利用科研经费监管漏洞大肆作案，其中还不乏高级知识分子等，这已成为该领域职务犯罪的主要特征。
以上两类案件均属科研人员或经费主管的个人违法违规行为，而上述39份审计报告，则具体列出了单位挪用、贪污科研经费的案例。此类案件，多是单位将科研经费用于员工工资福利、买车置房等。
赵静(化名)是北京一所著名高校财务部派驻化学学院的会计，所在学院老教授较多，课题资源丰富，由于常年接触，专家对赵静比较信任，这给赵静带来了可乘之机。最开始，赵静往教授们的发票中加进一点自己的费用，逐渐发展到别人报销1万元，赵静放进去自己找来的票据数千元。在9年时间里，赵静贪污了公款97万元，共106笔。
围绕科研经费甚至形成了一条隐秘的腐败生态链，在这一链条上有教授、财务会计、科研仪器采购人员。
北京市海淀区检察院在调查赵静案时就意外牵出更多隐秘犯罪。赵静所在学院，两名实验室工作人员利用管理仪器开发经费的职务之便，借学院组织到外地高校考察之机、个人前往周边省份旅游，回京以外出考察、对外交流名义公款报销个人旅游费用共计5万余元，最终以贪污罪被判刑。
科研反腐需“全过程监督”
对于科研经费的贪污挪用，楼继伟的报告中给出了一些解决方案。比如，健全科研项目及经费管理使用的信用记录和评级机制、建立黑名单制度、内部成本核算机制、全过程预算绩效管理机制、完善审计、加强过程监管等。
了解现行科技拨款模式的政府人士向记者介绍，目前科研经费的来源可以用“九龙喷水”来形容，中央各部门中具有科技管理职能、涉及财政科技经费使用和管理的有几十家。
几家主要的部委在其间扮演了重要角色，比如财政部负责中央财政科技经费预算总体安排，具体核定科研机构运行经费、基本科研业务费；国家发改委和科技部主要负责科研基建经费、国家科技计划项目的立项、资金的分配和管理；工信部、教育部、国家自然科学基金委、中科院等相关部门按照职责分工负责相关项目的立项、资金的分配和管理。
为避免和减少财政科技资金的重复投入，财政部、国家发改委和科技部曾建立了三部门之间的部级协调会商机制，并逐步完善国家科技计划项目数据库，建立科研项目检查重复机制。
但有相关部委人士亦坦承，这种跨部门的会商协调机制尚属于“软约束”，在实践方面还存在诸多问题，比如哪个部委的意见能够在协商会上占主导意见还取决于该部委在某个项目上的话语权。
“欲审期末，当溯其源”，对于上述问题频发的原因，实务界与学界给出的意见比较一致，除审批权力集中外，主要是监管制度漏洞、监管落实不到位。
监管制度漏洞，主要指对项目运作、资金使用缺乏精细的、全过程的监督—只关注前期申报，而忽略了事中、事后监管。
上述山东某大学做动物研究的人士就曾表示，通过“跑部钱进”申请下经费后，就用各种方法挪用。“比如要采购一个原来标价60万元的设备，给厂家支付回扣后，45万元能拿到。”
而这正反映了科研经费使用的监管漏洞。“项目如何运行、资金如何使用、成果如何评价等程序都没有严格的制度规范，导致科研经费雁过拔毛，层层剥皮。”潘新法认为。
“尤其是一些科技扶持资金，主管部门往往只是进行形式上的审批，而没有对项目的实质性跟踪和结果性评估。”上海市静安区人民检察院反贪局王天正称。
因此，“监督前置”、“事中监督”、“全过程监督”等成了重要议题，相关单位也在着手进行变革。
据科技部相关人士介绍，科技部正在着力建设一个透明且各部门在一起的科研信息部署机构，课题立项的内容、结题内容都会公开发布在官方网站上，公示给同行业以及利益攸关的企业。
“(应该)加强预算审查和管理，按照时间节点、经费用途等项目进行过程监督。强化专款专用的后续监管，以有效地减少和杜绝科研资金黑洞流失职务犯罪案件的发生与蔓延。”刘启明建议。
除了监管漏洞，已有制度不落实，是科研经费挪用贪污案件频发的另一原因。上海市黄埔区检察院反贪局的刘启明就曾表示，很多相关的规章制度都成了“嘴上说的，墙上挂的，上级来视察时摆摆样子的装饰品”。
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