科研经费配置不均衡性的结构测度与驱动因素研究

The accumulative advantage of the scientific research process and the competitive nature of the research funding make the research funds gradually concentrated in a small number of outstanding scientists. It is the "Matthew Effect" of the allocation of research funding. Quantitatively measuring the allocation inequality of research funding, is the key to weigh the fairness and efficiency problems during the allocation process, and is also the prerequisite for optimizing the allocation of research funding. Most of the existing studies have been measured at the macro level, and have not explored the internal structure of the allocation inequality. They have also neglected the mechanism analysis such as data bias and driving factors. .From the perspective of structural decomposition, this project constructs a multi-level decomposition measurement model for allocation inequality of research funding. It delineates the results hierarchically to describe in-depth the internal structure of inequality. Identifing and quantifying the influence of multi-source projects, secondary allocation of research funding, zero-funding researchers and other factors on the measurement results of allocation inequality..From the mechanism level, it analyses the driving factors of allocation inequality and quantifies its importance. Studying the effect of restricting policy and supporting policies on alleviating the allocation inequality of research funding. On the basis of collecting project data and personnel data from the NSFC and the Chinese Academy of Sciences, an empirical study was conducted on the allocation inequality of research funding in China. The research results aim to deeply understand the internal laws of the allocation inequality of research funding and to enrich the theory of allocation of research funding.

科研过程的累积优势效应和科学基金的竞争属性，使得科研经费会集中于少数优秀科学家，形成科研经费配置的“马太效应”。量化测度科研经费配置的不均衡程度，是权衡配置过程中公平和效率问题的关键，也是优化科研经费配置的前提。已有研究多数从宏观层面测度科研经费配置不均衡性，没有深入到不均衡性的内部结构，更是忽略了数据偏差、驱动要素等机理层面的分析。本项目从结构分解视角，构建科研经费配置不均衡性的多层分解测度模型，通过对结果逐层分解深入刻画不均衡性的内部结构。识别和量化多源项目、经费二次分配、零经费科研人员等因素对配置不均衡性测度结果的偏差，从机理层面分析配置不均衡性的驱动要素，并量化给出其重要程度。研究限项政策和扶持政策，对缓解配置不均衡性的效果。在收集基金委和中科院项目数据、人员数据的基础上，对我国科研经费配置不均衡性问题展开实证研究。研究成果旨在深入认识科研经费配置内在规律，丰富科研经费配置理论。

经过4年研究，圆满完成项目预期设计目标，发表和完成学术论文19篇，其中已发表SCI/SSC/EI索引论文8篇， 其中一篇文章受到人大复印报刊资料转载；发表专利4项；提交政策建议2份，1份被被国家决策部门采纳、1份在国家自然科学基金委得到应用。获得国际学术会议优秀论文奖1次；举办4次国际学术研讨会。培养博士生3名，博士后1名，1人获得中国科学院北京分院“启明星”复合型管理人才荣誉称号，成员获得青海省科学技术进步奖等重要奖项；担任中国优选法统筹法与经济数学研究会风险管理分会秘书长；担任国际期刊《The Innovation》学术编辑等职务。