经费规模与科研产出——基于NSFC资助政策“净效应”的分析

段培新; 王凯凯; 孟溦; 郑毅

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科研管理 ›› 2022, Vol. 43 ›› Issue (5) : 94-103.

论文

经费规模与科研产出——基于NSFC资助政策“净效应”的分析

段培新¹，王凯凯²，孟溦^3,4，郑毅⁵

作者信息 +

Funding scale and scientific research output——An analysis based on the "net effect" of NSFC funding policy

Duan Peixin¹, Wang Kaikai², Meng Wei^3,4, Zheng Yi⁵

Author information +

文章历史 +

摘要

科学研究离不开稳定持续的经费投入，科学合理的科研经费配置对提高科学基金资助成效尤为重要。采用双重差分（DID）方法，对NSFC面上项目2011年资助政策变化进行分析，检验了剔除项目不相关产出后经费增加对科研产出的影响，从而验证经费变化的政策“净效应”。研究发现：科学基金经费增加显著提升了科研产出数量和质量。而剔除不相关产出考虑政策“净效应”后，经费增加对项目产出质量提升更显著。通过异质性分析发现：经费规模增加对科研产出影响的政策“净效应”存在着“强者恒强”的作用，且中等规模团队在经费增加政策中受益更多。为进一步提高科研经费配置成效，可适当增加经费规模，引导科研人员“重质而非冲量”学术发表行为；科学基金针对不同人群实行精细化、差异化资助，提高资助政策精准化程度；进一步完善科学基金成果管理，应更加关注项目的实际产出。

Abstract

Scientific research needs stable and sustainable funding. The funding policy determines the allocation of scientific research investment resources, and then affects the efficiency of funding. Therefore, the funding policy plays an important role in scientific research investment. Based on a quasi-natural experiment and a difference-in-difference method, the thesis explores the impact of NSFC′s policy of increasing funding on scientific research output.
We take general project of NSFC as an example in 2011, and make an empirical analysis on physics. We also use "number" and "number + member + keyword" two different retrieval methods to screen the project output data to test the "net effect" of the change of funding policy after excluding the irrelevant output. It is found that the increase of NSFC funds has a significant policy effect on the impact of the research output, and notability improves the quantity and quality of output. After excluding irrelevant output and considering the "net effect" of the policy, the increase of funds has a more significant impact on the quality of project output.
We make the heterogeneity analysis on the experience of principal investigator. With "number" retrieval method, the increase of funds can significantly improve the scientific research output (quantity and quality), but it has a stronger impact on the "young" researchers who have won only one project. Excluding irrelevant output with "number + member + keyword" retrieval method, the increase of funds will increase the number of directly related output for the "young" researchers who have won only one project. On the contrary, the increase of funds improves the quality of output for the "senior" researchers who have won projects for many times.
We make the heterogeneity analysis on the institutional type. We find the increase of funds improves the outputs for the top institutions (985 universities and Chinese Academy of Sciences) and for these two types of institutions, the "net effect" of research quality is more significant than quantity after excluding irrelevant output with "number + member + keyword" retrieval method. After excluding irrelevant output and considering the "net effect" of the policy, the increase of funds has no significant impact on the directly related output of the project for other institutions (211 universities and general universities). Therefore, removing the phenomenon of "nominal", there is a function of "the strong is always strong" in the "net effect" of the policy of increasing funds.
We make the heterogeneity analysis on the team size. With the increase of funds is more obvious for the improvement of the output quantity of large teams, and more significant for the improvement of the output quality of small and medium team with "number" retrieval method. After removing the phenomenon of "nominal", only the medium scale team will benefit from the policy of increasing funds.
In order to improve the policy funding effect, we can appropriately increase the scale of funds and guide scientific researchers to "focus on quality rather than impulse" academic publication. We should implement fine and differentiated funding, and improve the accuracy of funding policies.
We can carry out gradient funding for different groups to general projects. For example, for "senior" researchers who have won many times, we can increase the funding size and form a "cumulative effect". For "young" researchers with little experience, we should carry out diversified funding. For researchers of top institutions, we should appropriately increase funding size to highlight the "Matthew effect" and increase exchange and cooperation projects between top institutions and other institutions in order to accelerate the mobility and sharing of scientific research resources.
We also need to pay attention to the work of team size and team structure in fund evaluation. At least, NSFC should show solicitude for the correlation between research results and fund projects at the time of project application and conclusion. Moreover, we should also further improve the achievement management of NSFC, get rid of "nominal" phenomenon and pay more attention to the actual output of projects.

导出引用

段培新, 王凯凯, 孟溦, 郑毅. 经费规模与科研产出——基于NSFC资助政策“净效应”的分析[J]. 科研管理. 2022, 43(5): 94-103

Duan Peixin, Wang Kaikai, Meng Wei, Zheng Yi. Funding scale and scientific research output——An analysis based on the "net effect" of NSFC funding policy[J]. Science Research Management. 2022, 43(5): 94-103

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基金

国家自然科学基金项目：“科学基金项目规模收益及最优规模项目特征研究”（71904105，2020—2022)；国家自然科学基金项目：“基于工作行为数据的试验发展人员‘人-岗’能力匹配方法研究”（72004217，2021—2023）；山东省重点研发计划（软科学）项目：“改革开放以来山东省科技创新政策的演进路径与系统剖析”（2020RKB01369，2020—2021）。