Study of full-process funding mechanisms of national research institutes

Authors

Baicun LI, Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China; School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, ChinaFollow
ruhan A, Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China; School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, ChinaFollow
Xiaoxuan LI, Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China; School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, China

Keywords

national research institutes, funding mechanisms, international experience, full-process perspective

Abstract

Funding mechanism is a crucial institutional guarantee for national research institutes to achieve their goals and fulfill their roles. Against the backdrop of new global challenges, such as geopolitical shifts, these institutions shoulder even greater responsibilities. Therefore, to better leverage their roles, this study addresses two key issues. What funding challenges do national research institutes currently face? And what are the characteristics of a funding mechanism that can meet their needs? To answer these questions, firstly, this study systematically analyzes the prominent problems faced by the funding mechanisms of national research institutes in China. Subsequently, it analyzes the characteristics of a full-process funding mechanism framework suited to the needs of national research institutes across three key stages: funding input, internal allocation, and performance evaluation of funding effectiveness. Based on these analyses, the following policy recommendations are proposed. (1) Establish a funding input mechanism that is aligned with the institutes’ mission orientation by simplifying funding channels and increasing the proportion of stable support. (2) Enhance the autonomy of institutions in fund allocation to fully leverage the advantages of their institutionalized organizational models. (3) Build a long-term incentive mechanism commensurate with researchers’ capabilities and contributions, enabling them to dedicate themselves to research aligned with the institutional missions; (4) Develop a budget performance evaluation system centered on the core logic of “mission orientation → decomposition of strategic goals → performance evaluation” to improve the overall effectiveness of funding.

First page

568

Last Page

580

Language

Chinese

Publisher

Bulletin of Chinese Academy of Sciences

References

1. 白春礼. 国家科研机构是国家的战略科技力量. 光明日报, 2012-12-09(01). Bai C L. National research institutions constitute the nation’s strategic scientific and technological capabilities. Guangming Daily, 2012-12-09(01). (in Chinese)

2. Macilwain C. Science economics: What science is really worth. Nature, 2010, 465: 682-684.

3. Hicks D. Performance-based university research funding systems. Research policy, 2012, 41(2): 251-261.

4. Schweiger G, Barnett A, van den Besselaar P, et al. The costs of competition in distributing scarce research funds. PNAS, 2024, 121(50): e2407644121.

5. 阿儒涵, 黄一凡, 李晓轩. 关于科研机构预算绩效评价的思考——以中国科学院为案例. 财政科学, 2025, (7): 30-36. Aruhan, Huang Y F, Li X X. Thoughts on budget performance evaluation of scientific research institutions: Based on the case study of Chinese Academy of Sciences. Fiscal Science, 2025, (7): 30-36. (in Chinese)

6. 戴古月, 王峰, 刘耀虎, 等. 国家实验室科研创新方向的导控机制研究. 科研管理, 2023, 44(6): 11-16. Dai G Y, Wang F, Liu Y H, et al. Research on the guiding mechanism of scientific research innovation direction of national laboratories. Science Research Management, 2023, 44(3): 11-16. (in Chinese)

7. 寇明婷, 邵含清, 杨媛棋. 国家实验室经费配置与管理机制研究——美国的经验与启示. 科研管理, 2020, 41(6): 280-288. Kou M T, Shao H Q, Yang Y Q. A research on the fund allocation and management mechanism of national laboratories—Experiences of the USA and their enlightenment. Science Research Management, 2020, 41(6): 280-288. (in Chinese)

8. 代涛, 阿儒涵, 李晓轩. 国立科研机构预算拨款配置机制研究. 科学学研究, 2015, 33(9): 1365-1371. Dai T, Aruhan, Li X X. Budget appropriation mechanism for national research institutes. Studies in Science of Science, 2015, 33(9): 1365-1371. (in Chinese)

9. National Academies of Sciences, Engineering, and Medicine. Enhancing EPA Science Capability for a Complex Future: Recommendations for Use of Title 42 Special Hiring Authority. Washington DC: The National Academies Press, 2024: 1-90.

10. 吴丛, 韩青, 阿儒涵. 美国联邦政府科技预算绩效评价的发展演变与启示. 中国科学院院刊, 2023, 38(2): 230-240. Wu C, Han Q, Aruhan. Evolution trajectory of performance evaluation of the US Federal Government S&T budget. Bulletin of Chinese Academy of Sciences, 2023, 38(2): 230-240. (in Chinese)

11. 刘娅. 英国公立科研机构科研绩效评估制度研究. 全球科技经济瞭望, 2017, 32(Z1): 51-60. Liu Y. Research on performance evaluation of public research institute in the UK. Global Science, Technology and Economy Outlook, 2017, 32(Z1): 51-60. (in Chinese)

12. 张行易, 杨阳, 李希, 等. 英、美国立医学科研机构绩效评价体系的比较及借鉴. 科技导报, 2019, 37(9): 75-86. Zhang X Y, Yang Y, Li X, et al. Performance evaluation systems of national medical institutes in UK and US. Science & Technology Review, 2019, 37(9): 75-86. (in Chinese)

13. 阿儒涵, 程燕林, 李晓轩, 等. 关于财政绩效评价综合打分制方法的思考. 中国科学院院刊, 2020, 35(12): 1439-1447. Aruhan, Cheng Y L, Li X X, et al. Thoughts on comprehensive scoring method in fiscal performance evaluation. Bulletin of Chinese Academy of Sciences, 2020, 35(12): 1439-1447. (in Chinese)

Recommended Citation

LI, Baicun; A, ruhan; and LI, Xiaoxuan (2026) "Study of full-process funding mechanisms of national research institutes," Bulletin of Chinese Academy of Sciences (Chinese Version): Vol. 41 : Iss. 3 , Article 13.
DOI: https://doi.org/10.3724/j.issn.1000-3045.20241209003
Available at: https://bulletinofcas.researchcommons.org/journal/vol41/iss3/13