欧洲研究理事会的资助模式与成效分析

快速发现并准确地把握研究前沿、引领科技成果的重大突破是目前政府资助机构、学术界以及产业界共同关注的焦点。基于全球范围内科学研究范式的转变,以欧洲研究理事会(ERC)为研究对象,分析其战略定位、资助类型、选题/评审机制、项目管理流程以及资助评估办法,通过资助报告和文献计量对其资助类型、获资助国家/机构、学科领域、SCI论文产出、合作机构等进行探索性分析。基于ERC运行实践,从聚焦前沿研究、完善同行评议、重视资助评估、鼓励自由探索四方面总结其成功做法与经验。     

规范医院科研经费管理与提升科研课题绩效研究

通过对广西壮族自治区人民医院历年规范管理与科研课题绩效的考察,结果表明,规范管理对科研绩效的提高有重要促进作用。应遵循科技发展规律,建立科学,高效的科研管理机制,完善科研管理制度体系,提高科研管理水平,保证科研总目标的顺利实现,使管理行为产生最大的经济效益和社会效益。     

Impact of public and private research funding on scientific production: The case of nanotechnology

This article measures the impact of public grants, private contracts and collaboration on the scientific production of Canadian nanotechnology academics. The paper estimates a time-related model of the impact of academic research financing and network structure on the research output of individual academics measured by the number of papers. Results suggest that the effect of individual public funding follows a J-shaped curve. Although contracts have no effects, the impact of patenting follows an inverted-U shaped curve. In addition, a strong central position in the past collaborative network has a positive effect on research output.     

Beyond breakthrough research: Epistemic properties of research and their consequences for research funding

The aim of this paper is to initiate a discussion about links between epistemic properties and institutional conditions for research by providing an exploratory analysis of such links featured by projects funded by the European Research Council (ERC). Our analysis identifies epistemic properties of research processes and links them to necessary and favourable conditions for research, and through these to institutional conditions provided by grants. Our findings enable the conclusion that there is research that is important for the progress of a field but is difficult to fund with common project grants. The predominance and standardisation of grant funding, which can be observed about many European countries, appears to reduce the chances of unconventional projects across all disciplines. Funding programmes of the ‘ERC-type’ (featuring large and flexible budgets, long time horizons, and risk-tolerant selection processes) constitute an institutional innovation because they enable such research. However, while the ERC funding and other new funding schemes for exceptional research attempt to cover these requirements, they are unlikely to suffice.     

A new industry creation and originality: Insight from the funding sources of university patents

Scientific breakthroughs coming from universities can contribute to the emergence of new industries, such as in the case of biotechnology. Obviously, not all research conducted in universities leads to a radical change from existing technological trajectories. Patents and patent dynamics have long been recognized as critical in understanding the emergence of new technologies and industries. Specifically, patent citations provide insight into the originality of a discovery that has received patent protection. Yet while a large body of literature addresses the impact of patent originality on various firm performance measures, we address the question of what conditions drive patent originality in the process of knowledge creation within the university. Using data on patented cancer research, we examine how research context – as reflected by the funding source for each scientist – is associated with patent originality. We find that when university scientists are partly funded by their own university, they have a higher propensity to generate more original patents. By contrast, university scientists funded either by industry or other non-university organizations have a lower propensity to generate more original patents. The significance of our findings in the cancer research setting call for further research on this question in other research fields.     

Explaining Australia’s increased share of ISI publications—the effects of a funding formula based on publication counts

Australia’s share of publications in the Science Citation Index (SCI) has increased by 25% in the last decade. The worrying aspect associated with this trend is the significant decline in citation impact Australia is achieving relative to other countries. It has dropped from sixth position in a ranking of 11 OECD countries in 1988, to 10th position by 1993, and the distance from ninth place continues to widen.The increased publication activity came at a time when publication output was expected to decline due to pressures facing the higher education sector, which accounts for over two-thirds of Australian publications. This paper examines possible methodological and contextual explanations of the trends in Australia’s presence in the SCI, and undertakes a detailed comparison of two universities that introduced diverse research management strategies in the late 1980s. The conclusion reached is that the driving force behind the Australian trends appears to lie with the increased culture of evaluation faced by the sector. Significant funds are distributed to universities, and within universities, on the basis of aggregate publication counts, with little attention paid to the impact or quality of that output. In consequence, journal publication productivity has increased significantly in the last decade, but its impact has declined.     

政府资助对技术创新的作用：理论分析与政策工具选择

这篇论文主要阐述了政府资助对私人部门技术创新的影响。政府对私人部门进行资助的政策工具主要有政府担保、贴息、贷款，税收刺激和公共研究，这些政策工具除了能促进私人部门的技术创新活动外，也有相互之间的牵制、替代和补充作用。政府资助的效果随总量增加而增加，达到某一极值后就会下降，论文的结论对于政府制订促进私人部门技术创新的资助政策有着一定的参考价值。     

英国MRC和NIHR研究体系建设及对我国医学科研规划的启示

通过对英国国立医学科研资助机构MRC及NIHR的科研建设情况以及医学研究资助情况进行调研,通过科研产出评估其对英国医学科学研究及创新的影响,为我国医学科研规划提供建议和参考。     

我国地球科学发展的若干思考与建议

地球科学是以地球各圈层相互作用及其资源与环境效应为研究对象，多学科交叉融合的一门科学。地球科学既研究过去，阐述地球演化历史，又面向未来，为人类可持续发展提供解决方案，是一门既能拓展人类知识前沿又能服务于人类社会经济发展的综合性、系统性的科学。文章在梳理国际地球科学发展趋势和总结我国地球科学发展现状与科技资助情况的基础上，提出我国地球科学发展应从系统科学和国家需求的视角部署未来发展方向和研究计划。从地球系统整体出发，关注地球系统各圈层、各要素之间的相互作用及其对人类社会经济发展的影响。以“四个面向”引领地球科学领域研究的发展方向，开展有组织的重大科学研究，完善科技资助与评价机制，使研究成果更好地服务于国家重大战略需求。     

基础研究的应用导向与投入渠道多元化研究

随着基础研究对下游技术创新的作用日益深化,现实应用已成为基础研究的重要导向;在这一背景下,运用熵测度法,采用Shannon指数和Gini-Simpson指数,测度分析了基础研究投入渠道的演进过程;研究表明,美国基础研究投入渠道呈现出多元化的趋势,而中国基础研究的投入渠道还很单一,为解决基础研究投入不足的问题,需要实现投入渠道的多元化。     

政府R&D经费投入与科技型中小企业技术创新效率——基于河北省新三板上市企业的经验证据

基于河北省新三板挂牌的60家科技型中小企业2014—2016年研发活动的面板数据,利用随机前沿分析方法构建超越对数生产函数形式的SFA模型,实证测度政府RD经费投入对科技型中小企业技术创新效率的影响程度。研究发现,政府RD经费投入对企业技术知识产出具有轻微的负向作用,对创新产品市场化产出的正向激励作用有限,政府RD经费投入对企业RD资金投入存在挤出效应;企业RD资金投入对企业技术创新效率的提升具有显著的正向激励作用,企业RD资金投入要比RD人员投入更有利于科技型中小企业技术创新效率的提升。     

A new approach to assessing the technological complexity of different categories of R&D (with examples from Singapore)

This paper attempts to develop a set of generic questions the answers to which allow any given R&D activity to be correctly classified in one or another conventional R&D box—basic, applied, development, etc. Such systematic pigeon-holing allows latecomer countries to gauge the distance of their R&D activity from the world frontier, and how policies may be designed to overcome the hurdle that divides applied research and developmental research.     

中国国家科技计划资助国际合作特征分析*--基于中美合著SCI论文计量分析的视角

基于SCI中美科技合作论文数据,对中国国家科技计划于2008-2012年资助的中美合著SCI论文的数量、领域分布、国别分布、联合资助等进行分析,研究发现我国科技计划资助的中美合作研究具有规模大、范围广、领域宽等特点,并呈现以中国为主导的国际合作特征,同时,也发现我国科技计划在一定程度上存在重复资助、对多边合作资助比例偏低等问题。最后,提出了我国科技计划国际合作的改进建议。     

Simultaneous pursuit of discovery and invention in the US Department of Energy

There is a sharp boundary between basic and applied research in the organizational structure of the US Department of Energy (DOE). In this work, we consider a branch of DOE that was designed to operate across this boundary: the Advanced Research Projects Agency – Energy (ARPA-E). We hypothesize that much of energy research cannot be neatly categorized as basic or applied and is more productive outside of the confines of the basic/applied dichotomy; ARPA-E gives us an opportunity to test that hypothesis. We construct a novel dataset of nearly 4000 extramural financial awards given by DOE in fiscal years 2010 through 2015, primarily to businesses and universities. We collect the early knowledge outputs of these awards from Web of Science and the United States Patent and Trademark Office. Compared to similar awards from other parts of DOE, ARPA-E awards are significantly more likely to jointly produce both a publication and a patent. ARPA-E has been highly productive in creating new technology, while also contributing new scientific knowledge. This observation points to the productive overlap of science and technology in energy research and, more generally, for mission-oriented research funding organizations.     

Government as entrepreneur: Evaluating the commercialization success of SBIR projects

Thinking of government as entrepreneur is a unique lens through which to view a subset of government actions. The lens is not a template for an evaluation of government policy; rather, it is a characterization that underscores the government's purposeful intent, ability to act in new and innovative ways, and willingness to undertake policy actions that have uncertain outcomes. Our focus is on the U.S. Small Business Innovation Research (SBIR) program. We argue that the innovative action of government - the innovative use of public resources through the SBIR program to target and support research in small firms - does lessen innovation barriers that cause small firms to underinvest in R&D. However, this government action is subject to entrepreneurial risk, namely the a priori uncertainty that the funded research will result in a commercialized product, process, or service. We quantify the uncertainty that the government accepts in the context of innovation supported by the SBIR program; or stated alternatively, we quantify the probability that a project funded by the SBIR program will fail to commercialize its results. Our empirical results show that the entrepreneurial risk that characterizes the SBIR program is, on average, somewhat more than the probability of failing to get heads on the toss of a fair coin. Importantly, however, our evidence shows that there is a large range in the entrepreneurial risk that the government accepts—across the projects, the predicted probability of failure covers essentially the entire range from 0 to 1.0.     

高校技术转移对科研产出的影响效应研究——科研资助的中介作用与调节作用

技术转移作为高校社会服务职能的重要体现形式，对高校科研活动究竟产生了何种影响是学术界关注的热点问题。本文以2008-2014年中国106所“211”及省部共建高校为样本，研究了高校技术转移对其论文产出和专利产出的影响效应，并对不同来源的科研资助（政府资助和企业资助）在高校技术转移与科研产出关系中的中介作用和调节作用分别进行了实证检验。结果表明：（1）高校技术转移对论文产出的影响不显著，而对专利产出具有显著正向影响；（2）高校技术转移对其获取政府资助和企业资助均具有显著的正向影响，政府资助和企业资助在高校技术转移与专利产出关系中发挥积极的中介作用；（3）政府资助对高校技术转移与论文产出的关系具有显著的负向调节作用，而企业资助对高校技术转移与专利产出的关系具有显著的负向调节作用。     

自然科学基金促进人才成长的对策与绩效研究

国家自然科学基金是我国基础研究领域最重要的资助渠道之一。通过参与"科学基金资助与管理绩效国际评估"的综合证据收集工作,从问卷调查分析中获取了科学基金资助的两类青年人才对科学基金资助绩效的整体评价。问卷研究结果显示自然科学基金对发现科学人才、培养人才的科学素养、科研能力等方面作用显著,并对科学基金面对的管理压力进行了探讨,提出了进一步提高人才资助绩效的管理对策。     

改革开放40年广东科技人才政策发展历程研究

梳理分析改革开放以来广东发布的158项科技人才政策,以重大事件为节点,采用内容分析法,把广东科技人才政策发展历程划分为恢复调试阶段、确立发展阶段、积极推进阶段、大力发展阶段和全面优化阶段共五个阶段,总结分析每个阶段的时代背景、战略定位、政策要点、典型政策等。最后,回望历史,提出新时期推进广东人才政策发展的相关建议。     

Modelling the joint impact of R&D and ICT on productivity: A frontier analysis approach

This study explores the channels through which technological investments affect productivity performance of industrialized economies. Using a Stochastic Frontier Model (SFM) we estimate the productivity effects of R&D and ICT for a large sample of OECD industries between 1973 and 2007, identifying four channels of transmission: input accumulation, technological change, technical efficiency and spillovers. Our results show that ICT has been particularly effective in reducing production inefficiency and in generating inter-industry spillovers, while R&D has raised the rate of technical change and favoured knowledge spillovers within sectors. We also quantify the contribution of technological investments to output and total factor productivity growth documenting that R&D and ICT accounted for almost 95% of productivity growth in the OECD area.     

“创新一号”卫星研制实践及微小卫星发展趋势

中国科学院研制的"创新一号"小卫星于2003年10月21日发射升空,卫星运行及其应用系统均获圆满成功.文章介绍了"创新一号"卫星的研制实践并阐述了微小卫星的发展趋势.