国立科研机构预算拨款配置机制研究

如何建立符合国立科研机构定位特点的预算拨款方式,提高预算拨款的使用效率,是政府科技投入和国立科研机构管理中的重要课题。本文从国立科研机构定位的视角分析其预算拨款机制。首先,提出了国立科研机构的三种定位,即面向国家需求、面向科技前沿和面向市场需求。其次,以美国航空航天局、德国马普学会和弗劳恩霍夫协会为案例,分析了不同定位的典型预算拨款配置机制,相应地提出了基于项目的任务导向、基于人的学科导向以及基于资金匹配的市场导向三种配置模式。最后,针对我国国立科研机构预算拨款的问题,提出了明确国立科研机构定位,基于定位分类配置资源以及建立绩效问责机制的政策建议。

Budget appropriation mechanism for national research institutes

How to allocate the budget for national research institutes (NRIs) according to their positions and to improve the efficiency of the budget, is an important issue in the fields of government S&T investment and NRIs management. Three kinds of positions of NRIs are proposed in this study, which are for serving the national demands, pursuing the frontiers of science and technology, and meeting the market needs, respectively. Different allocation models based on these three different kinds of positions are analyzed by case studies on National Aeronautics and Space Administration (NASA) of the U.S., the German Max Planck Society and the Fraunhofer-Gesellschaft. Subsequently, three kinds of models, naming project-based task-oriented model, people-based discipline-oriented model, and funding matching-based market-oriented model, are summarized. At last, suggestions are offered regarding to the budget appropriation problems for NRIs in China, which include making clear positions for NRIs, allocating budget based on the positions, and establishing performance accountability mechanism.