美国联邦政府多元化科研资助体系的特点和启示——基于NIH资助与产出数据的分析  

The Characteristics and Enlightenment of the Diversified Scientific Research Funding System of the US Federal Government:An Analysis Based on the Funding and Publication Output Data of NIH

作　　者：李美娟 李柏村 姜靖[4] 阿儒涵 LI Meijuan;LI Baicun;JIANG Jing;A Ruhan(School of Economics and Management,Fuzhou University,Fuzhou 350108,China;Institute of Science and Development,Chinese Academy of Sciences,Beijing 100190,China;School of Public Policy and Management,University of Chinese Academy of Sciences,Beijing 100049,China;Science and Technology Daily,Beijing 100038,China)

机构地区：[1]福州大学经济与管理学院,福州350108 [2]中国科学院科技战略咨询研究院,北京100190 [3]中国科学院大学公共政策与管理学院,北京100049 [4]科技日报社,北京100038

出　　处：《科学学与科学技术管理》2023年第12期3-16,共14页Science of Science and Management of S.& T.

基　　金：国家自然科学基金面上项目(71872047,71974184);国家社会科学规划项目(22BGL044);中国科学院青年创新促进会(E0X00916)。

摘　　要：科学、合理、有效、多元化的政府科研资助体系,是国家科技水平提升的重要动力和源泉。美国联邦政府自二战以来,逐步形成了以稳定拨款、竞争性项目补助和合作协议作为主要资助模式的科研资助体系。这三类资助模式在设立时出于不同的目的,其特点各有侧重,互为补充,有效地推动了美国科技水平的快速发展,对我国政府的科研资助实践具有重要的借鉴意义。美国国立卫生研究院(National Institutes of Health,NIH)作为美国联邦政府中专注于探索生命本质和行为学领域的基础知识的专业化机构,在美国联邦政府基础研究投入中占有重要的地位,具有资助总量大、资助模式类型齐全等特点。基于此,文章以NIH的资助、产出数据为样本,通过选题机制、经费配置机制和产出表现多维度的数据分析,得到关于美国联邦政府多元化科研资助体系在实践过程中所体现的具体特点,回答美国联邦政府以多元化资助体系实现自身使命定位的机制问题。基于分析结果,得到以下几点结论:(1)不同资助模式所形成的多元化选题机制,有利于从更多角度发掘有价值的研究问题。(2)差异化的经费配置机制有利于根据项目特点和需求灵活部署经费,提升资金使用效益。(3)项目的产出表现受到资助模式的影响,契合于资助模式的机制特点。进而,提出了相关的启示与建议:(1)实现机构使命定位、提升资金效益是遴选资助模式的出发点和落脚点。(2)政府资助机构角色多元化,与科学共同体形成良好互动。(3)基于资助模式的特点,确定合理的选题机制及支持强度。A scientific,reasonable,effective and diversified government scientific research funding system is an im-portant driving force and source for the improvement of the national S&T level.Since World War II,the US federal government has gradually formed a scientific research funding system where stable funding,competitive project grant and cooperative agreement are the three main funding models.These three types of funding models are established for different purposes,and each has its own emphasis and complements each other,which effectively promote the rapid development of the US S&T level,and also have important significance for the scientific research funding practice of the Chinese government.Therefore,the article takes US federal government's funding and publication output data as samples and carries out a series of data analysis work,aiming at finding the specific characteristics of the US federal government's diversified scientific research funding system in the practice process and answering the mechanism problems that how the US federal government achieve its mission and orientation by this system.In terms of the selection of the analysis object,because the National Institutes of Health(NIH)occupies an important position in the basic research investment of the US federal government with the characteristics of a large amount of funding and a complete range of funding models and meets the research needs well,the article takes NIH's funding and publication output data as analysis object.In terms of the selection of the analysis dimensions,the article takes the whole process of scientific research funding and output as the research perspective,and analyzes the specific characteristics of the US federal government's diversified scientific research funding system from the three dimensions of topic selection mechanism,funding allocation mechanism,and output performance.In terms of the selection of the analysis methods,the article adopts differentiated data analysis methods for qualitative text data and quantitative

关 键 词：美国联邦政府 政府科研资助 资助与产出 数据分析 

分 类 号：G301[文化科学] G323