美国联邦政府研发资助的稳定与竞争机制——基于预算数据的研究

Stable and competitive R&D funding mechanisms of US federal government——A study based on the budget data

政府研发资助是全社会研发投入的重要组成部分,特别是对基础研究等基础性、前沿性科研活动的资助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构建的对外研发资助机制对于美国科技实力的快速提升具有重要的推动作用,对我国政府研发资助机制的优化改革具有重要的借鉴意义。那么,美国联邦政府在对外研发资助中如何协调稳定拨款与竞争性项目资助的关系?稳定拨款与竞争性项目资助的具体机制怎样?为回答上述问题,文章以联邦政府对外研发资助的底层预算数据作为分析对象,构建分析框架,运用统计分析、聚类分析和文本分析等方法,基于统一的数据来源与分析框架,识别美国联邦政府研发资助中稳定拨款与竞争性项目资助的关系框架、分析资助机制与特点,进而形成了对美国联邦政府研发资助机制的完整认识。通过分析,发现美国联邦政府对外研发资助具有:(1)联邦政府对外研发资助紧密围绕机构自身的使命定位展开。(2)基于目标,采用与其相匹配的资助机制。(3)实现联邦机构自身的职能与使命的研发活动多采用稳定拨款机制。(4)产生公共产品的研发活动更多依靠竞争性项目资助机制。最后,基于上述结论提出了对我国政府研发资助的相关政策建议。

Government’s R&D funding is an important part of entire social R&D investment.Especially,funding for basic and cutting-edge scientific activities is an important driving force and source for the improvement of the national science and technology level.The US federal government’s extramural R&D funding mechanism established since World War II has played an important role in promoting the rapid improvement of American scientific and technological strength,and it has important significance for the optimization and reform of Chinese government’s R&D funding mechanism.How does US federal government coordinate the relationship between stable funding and competitive project funding?What are the specific mechanisms for stable funding and competitive project funding?In order to answer these questions,the article uses the bottom-level budget data of federal government’s extramural R&D funding activities as the analysis object,constructs an analysis framework,and uses statistical analysis,cluster analysis,text analysis and other methods.Based on the unified data and analysis framework,the article identifies the framework of the relationships between the stable funding and competitive project funding of US federal government,analyzes the funding mechanisms and its characteristics,and thus forms a complete understanding of the US federal government’s R&D funding mechanism.Based on the analysis,conclusions about the characteristics of US federal government’s extramural R&D funding mechanism are derived:(1)The federal government’s extramural R&D funding is closely focused on federal agencies’own mission position,reflecting the decentralized characteristics of the US federal government’s R&D funding.(2)Based on different objectives,the federal agencies take the matching funding mechanisms and thus form a perfect funding system.(3)R&D activities that realize the functions and missions of federal agencies themselves are applicable to the stable funding mechanism.(4)R&D activities that produce public products rely more on competitive project funding mechanism.Finally,based on the above conclusions,relevant policy recommendations for Chinese government’s R&D funding mechanisms are put forward:(1)Based on different objectives,the government should adopt an appropriate funding mechanism.(2)Stable funding mechanism has a variety of implementation ways and is an important funding mechanism for fulfilling the national mission.(3)Competitive project funding mechanism also has multiple implementation ways based on different objectives.