科研管理 ›› 2023, Vol. 44 ›› Issue (6): 11-16.

• 论文 • 上一篇    下一篇

国家实验室科研创新方向的导控机制研究

戴古月1,王峰1,刘耀虎2,闵石头1,薛妍妍1,吴旻昊1   

  1. 1.中国科学技术大学 科研部,安徽 合肥230026;
    2.中国科学院 前沿科学与教育局, 北京100864

  • 收稿日期:2021-03-16 修回日期:2021-09-06 出版日期:2023-06-20 发布日期:2023-06-19
  • 通讯作者: 王峰
  • 基金资助:
    中国科学技术大学新文科基金项目:“国外研究型大学参与国家实验室建设运营及管理机制研究”(YD5160002003,2020.01—2021.12)。

Research on the guiding mechanism of scientific research innovation direction of national laboratories

Dai Guyue1, Wang Feng1, Liu Yaohu2, Min Shitou1, Xue Yanyan1, Wu Minhao1#br# [WT#br#   

  1. 1. Scientific Research Department, University of Science and Technology of China, Hefei 230026, Anhui, China; 
    2. Bureau of Frontier Sciences and Education, Chinese Academy of Sciences, Beijing 100864, China
  • Received:2021-03-16 Revised:2021-09-06 Online:2023-06-20 Published:2023-06-19
  • Supported by:
    USTC Funding for Featured Liberal Arts

摘要:      国家实验室是国立科研机构的代表,在“新型举国体制”科技创新战略指导下,重要性日益突显。经过多年的发展,实验室的使命和定位开始明确,但仍存在“政府导向”和“自由探索”取舍与权衡的争议,科研创新方向的导控问题将严重影响实验室职能的发挥。国家实验室在国外的发展已有几十年,本文分析比较了美国能源部、国防部下属的国家实验室和德国亥姆霍兹联合会的发展历程,发现他们都确立了政府导向的主体地位,严格把控战略方向,同时政府不直接管理日常活动,保留部分自由探索空间。这种宏观理念配合完善的管理制度既保证了机构使命的实现,又保障了实验室的高效运行,对我国国家实验室的建设和发展具有重要借鉴意义。

关键词: 国家实验室, 政府导向, 自由探索, 经费管理体系

Abstract:    As the representative of national research institutions, the importance of national laboratories is increasing under the guidance of the new system in which nationwide effort and resources have concentrated on key national undertakings. The development of national laboratories has gradually accelerated in recent years. After years of development, the laboratory′s mission and the boundaries between existing research institutions have become clear, strategic positioning gradually becomes clearly established, but in the actual operation process, there is still controversy between government guidance and free exploration. The direction of scientific research innovation will seriously affect the future function of the laboratory. 
    The development of foreign national laboratories has been for decades. Discussions surrounding the relationship and balance between the two guiding modes have run through the history of the development of national laboratories, greatly promoted the reform and development of the national laboratory system, and can provide important experience for our country. This article analyzes and compares the development history of the National Laboratories under the US Department of Energy, the Department of Defense, and the Helmholtz Association of Germany.
   Each national laboratory system has established the dominant position of government orientation, and the government strictly controls the strategic development direction of the laboratory, while not directly managing daily activities, leaving some free exploration space. Government guidance as the main body is the basic feature of national laboratories as national research institutions, and it is the guarantee to focus the research force on the mission of the institutions, which is conducive to national laboratories focus on the mission of the country and complete the established tasks, but there are many restrictions on researchers, which will easily lead to the decline of scientific research vitality and insufficient scientific research output. Free exploration provides a relaxed space and environment for talent cultivation and cooperation and exchange among academic peers. It acts as a lubricant, which is conducive to driving the enthusiasm of researchers and promoting the development of interdisciplinary disciplines. Researchers take the initiative to carry out research work according to their own will and in accordance with the needs of social development, but it is easy to lead to scattered and mixed research directions. Government guidance and free exploration are not opposite. The pure government guidance and free exploration are not conducive to the development of national laboratories. The combination of the two mechanisms is the only way for national laboratories to maintain a long-term momentum of vigorous development. In terms of details, how much the free exploration space reserved in each national laboratory is different. This is the result of compromise after decades of discussions and reforms, and is compatible with its strategic positioning. 
    The macro development strategy needs a perfect management system to supervise the implementation, and the fund management system is an important part. Macro development concept runs through the construction process of their entire funding management system, and has been rigorously and accurately determined by various rules and regulations.
    Development strategies and management systems need to keep pace with the times. The world′s major national laboratory system generally has a great change in 5-10 years, the strategic goals and management system of national laboratories are not unchanged, and they should keep pace with the times through mutual learning, continuous development and adjustment, all of which are important ways to maintain the vitality of national laboratories.
    These distinctive guidance and control mechanisms for the directions of scientific research and innovation show that there is more than one road to success. National laboratory in our country should be clear in terms of overall development of service objects and accurate positioning by focusing on research, combining closely with national development strategies, playing the role of "national team", taking government guide as the foundation, and implementing national strategies as the goal. At the same time, they should also complete the missions as laboratories make free explorations, and have the most suitable path for their own development. In practice, budget management system should be established to achieve the overall planning of scientific budgeting, to regulate the use of the system, provide loose and orderly budget adjustment, establish a moderate supervision mechanism, for the purpose of reasonable use of funds, legal compliance, implementing national missions and guaranteeing efficiency.

Key words: national laboratory, government orientation, free exploration, fund management system