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.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）
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
主要研究结论：国家实验室作为未来“新型举国体制”重要的战略力量，在我国科技创新体系中必将承担更加重要的角色。科研创新方向的导控机制是实践实验室战略定位的重要一环，“政府导向”和“自由探索”的取舍，以及如何在制度中体现是未来我国国家实验室发展必须思考的问题。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经验表明：
（1）政府导向和自由探索这两种导控机制并不是对立的，单纯的政府导向和自由探索都不利于国家实验室的发展，两者的结合是国家实验室长期维持蓬勃发展势头的必由之路。
政府导向为主体是国家实验室作为国立科研机构的基本特征，是将科研力量聚焦于机构使命的保证，有利于国家实验室聚焦国家使命，完成既定任务，但是对科研人员有诸多限制，易导致科研活力下降，科研产出不足。自由探索为人才培养、促进学术界同行的合作交流等提供了宽松的空间和环境，充当了润滑剂的作用，有利于带动科研工作者的积极性，促进交叉学科的发展。科研工作者根据自己的意愿，主动结合社会发展需求开展研究工作，但容易导致研究方向分散、大杂烩。一个成功的国家实验室必然是综合考虑实验室的使命定位和科研文化氛围等多重因素，以完成国家发展战略为最终目标，经过长期的讨论和改革，找出适合自己的平衡点。我国国家实验室在整体发展方面应明确服务对象，精准定位，聚焦研究领域，紧密结合国家发展战略，做好“国家队”的角色，以政府导向为基石，以国家战略为目标，同时在有利于实验室机构使命的情况下，也应当保留自由探索的空间，走出最适合自己的发展道路。
（2）宏观的发展战略需要完善的管理体系去监督执行，经费管理体系是其中的重要组成部分。
在美、德两国的国家实验室体系中，政府导向以主管部门战略规划的方式被引入指导预算编制，完善的经费管理条例和监督机制保证了预算的执行。骨架构建完毕后，自由探索的方式和边界也被清晰地限定下来。严格的预算编制和经费使用程序、多方的监督机制固然保证了科研经费的有序使用，但也带来了经费成果转化率低，办事效率低下等问题。因此，我国国家实验室在经费管理制度上，应以实现整体规划为宗旨，科学编制预算，制定规范的使用制度和宽松、有序的预算调整条款，建立适度、多方监管机制，目标是经费使用合理、合法、合规，切实履行国家使命，同时兼顾办事效率。
（3）发展战略和管理制度需要与时俱进。
世界主要国家实验室体系一般5~10年就会有较大变革，国家实验室的战略目标和管理体系并非一成不变，与时俱进、互相借鉴、不断发展和调整才是国家实验室保持活力的重要方式。在细节上，国外国家实验室在对外交流合作方面的做法值得借鉴。首先是同体系内部各国家实验室之间加强沟通合作，互相交流行政管理经验，促进交叉学科发展。德国亥姆霍兹联合会各中心每年各自拿出5%资金汇入战略基金，用于资助相关合作项目。另外，国家实验室也可以加强与大学的合作，例如能源部下属的国家实验室就与其依托大学建立了深入且广泛的合作关系，大学作为人才培养的主体和科研力量的“三驾马车”之一，除提供大量的科研合作潜力外，还可以为实验室提供充足的后备人才。
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
(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)
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:ational laboratory; government orientation; free exploration; fund management system
引用本文：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[J].科研管理,2023,44(06):11-16.
转自：“科研管理”微信公众号
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