Reform of governance mechanism of US National Laboratory and its enlightenment to China
YIN Xigang1,2, XING Guopan2, WANG Jinping3
1. College of Environmental Science and Engineering, Ocean University of China, Qingdao 266100, China;
2. Pilot National Laboratory for Marine Science and Technology(Qingdao), Qingdao 266237, China;
3. Lanzhou Information Center, Chinese Academy of Sciences, Lanzhou 730000, China
Abstract:Since the 1990s, the governance pattern of the US national laboratories experienced a new round of adjustment. This paper outlines the problems and the countermeasures identified in the reviews of the US national laboratory, highlighting the governance issues in the strategic planning, the contracts, the assessments, and the budgets. Furthermore, the reform measures are summarized as defining the roles and the responsibility, focusing on the core mission, restoring the federally funded research and development center (FFRDC) model and ensuring a lasting change. Last but not least, based on the operational practice of China's national laboratories, suggestions are made for the construction of China's national laboratory as authorizing national laboratories with an appropriate legal person status, strengthening the support for national laboratories, optimizing the governance structure, and enhancing the strategic planning of national laboratories.
尹希刚, 邢国攀, 王金平. 美国国家实验室治理机制改革及其对中国的启示[J]. 科技导报, 2019, 37(24): 15-22.
YIN Xigang, XING Guopan, WANG Jinping. Reform of governance mechanism of US National Laboratory and its enlightenment to China. Science & Technology Review, 2019, 37(24): 15-22.
[1] Matthew S, Sean P, Nick L, et al. Turning the page:Reimaging the national labs in the 21st century innovation economy[R]. Washington, D C:Information Technology and Innovation Foundation, 2013.
[2] Office of Chief Financial Officer. Department of Energy FY 2019 Congressional Budget request[EB/OL]. (2018-02-23)[2019-09-20]. https://www.energy.gov/sites/prod/files/2018/03/f49/DOE-FY2019-Budget-Laboratory-Table.pdf.
[3] Thomas J G, Jared L C, Norman R A, et al. Securing America's future:Realizing the potential of the Department of Energy's National Laboratories[R]. Washington, D C:Department of Energy, 2015.
[4] 于冰, 时勘. 基于目标管理的国家实验室评价体系研究[J]. 科技管理研究, 2012, 32(4):33-36.
[5] 李强. 美国国家实验室的绩效合同管理与启示[J]. 中国科技论坛, 2009(4):137-144.
[6] 王晓飞, 郑晓齐. 美国研究型大学国家实验室经费来源及构成[J]. 中国高教研究, 2012(12):56-59.
[7] 聂继凯, 危怀安. 国家实验室建设过程及关键因子作用机理研究——以美国能源部17所国家实验室为例[J]. 2015, 36(10):50-58.
[8] 扎西达娃, 丁思嘉, 朱军文. 美国国家实验室未来十年战略要点启示[J]. 实验室研究与探索, 2014, 33(10):234-238.
[9] 赵俊杰. 美国国家实验室的管理机制[J]. 全球科技经济瞭望, 2013, 28(7):32-36.
[10] 周岱, 刘红玉, 叶彩凤, 等. 美国国家实验室的管理体制和运行机制剖析[J]. 科研管理, 2007, 28(6):110-116.
[11] 文少保, 杨连生. 美国大学代管的国家实验室:委托代理、控制能力与治理机制选择[J]. 社会科学管理与评论, 2010(2):73-79.
[12] 杨连生, 文少保. 跨学科研究偏好、契约设计与运行机制——以美国大学代管的国家实验室为例[J]. 河北科技师范学院学报(社会科学版), 2010, 9(1):1-7.
[13] United States Government Accountability Office. Federally Funded Research and Development Centers (FFRDCs):Background and issues for Congress[EB/OL]. (2017-12-01)[2019-09-20]. http://fabs.org/sgp/crs/misc/R44629.pdf.
[14] 黄振羽, 丁云龙. 激励结构冲突、历史机遇与制度变革——美国依托大学建立国家实验室的启示[J]. 科技进步与对策, 2015, 32(2):30-34.
[15] 黄振羽, 丁云龙. 美国大学与国家实验室关系的演化研究——从一体化到混合的治理结构变迁与启示[J]. 科学学研究, 2015, 33(6):815-823.
[16] 肖小溪, 代涛, 李晓轩. 美国国家实验室的改革动向及启示[J]. 中国科学院院刊, 2016, 31(3):376-382.
[17] Committee to Review the Quality of the Management and of the Science and Engineering Research at the Department of Energy's National Security Laboratories-Phase I. Managing for high quality of science and engineering at the NNSA National Security Laboratories[M]. Washington, D C:National Academies Press, 2012:22-27.
[18] Congressional Advisory Panel on the Governance of the Nuclear Security Enterprise. A new foundation for the nuclear security enterprise[R]. Washington, D C:United States Congress, 2014.
[19] United States General Accounting Office. Competition:issues on establishing and using Federally Funded Research and Development Centers[R]. Washington, D C:United States General Accounting Office, 1988.
[20] Secretary of Energy Advisory Board (SEAB). Alternative futures for the Department of Energy National Laboratories[R]. Washington, D C:Department of Energy, 1995.
[21] National Academy for Public Administration. Positioning DOE's Laboratories for the future:A review of DOE's management and oversight of the National Laboratories[R]. Washington, D C:National Academy for Public Administration, 2013.
[22] Professional Services Council. Federally Funded Research and Development Centers:A strategic reassessment for budget-constrained times[R]. Arlington, V A:Professional Services Council, 2012.
[23] 肖思思, 贾远琨, 毛海峰, 等. 谁拖了国家实验室的后腿[N]. 经济参考报, 2016-03-03(7).
[24] 李云. 国家实验室管理体制和运行机制研究[D]. 成都:西南交通大学, 2010.
[25] 姚咏花. 国家实验室管理体制研究[D]. 武汉:华中科技大学, 2009.
[26] 沈羽翯, 彭敏俊. 国家实验室管理体制与运行机制思考[J]. 科技与管理, 2009, 11(1):38-40.
[27] 曾卫明, 王海涛, 吴雷. 多方共建国家实验室管理体制与运行机制研究[J]. 实验技术与管理, 2008(4):156-159.
[28] 徐国正. 公立大学监督机关研究[D]. 长沙:湖南大学, 2014.