美国国防部资助的国家实验室管理模式研究（已在2016年第11期刊出）

Management Mode Study of National Laboratory Funded by US Department of Defense

        钟少颖 梁尚鹏 聂晓伟

         国家实验室，美国国防部，管理模式，三层结构

        national laboratory, Department of Defense (DoD), management model, three layer management mechanism

        美国国防部是美国国家实验室的重要资助单位，在最高峰时期，美国国防部曾经资 助 34 家国家实验室。目前仍然资助 10 家国家实验室。文章详细分析了美国国防部下属国 家实验室构建的“资助机构—运营机构—国家实验室”三层管理体制。根据联邦采购法案 （FAR），资助机构决定国家实验室的研究方向和领域，国家实验室要依照资助机构的特殊 要求或章程来执行研发任务。运营机构负责国家实验室的日常管理，包括实验室主任等高级 管理人员的选聘等。资助机构通过驻地办公室对国家实验室运行中存在的风险和绩效进行评 估，并根据评估的结果来确定国家实验室的绩效收入和补贴。美国国家实验室的三层级管理 模式一方面可以使国家实验室获得稳定的联邦政府资助，另一方面又能在具体的事务管理上 保持相对的灵活性，这种模式较为符合科研规律，对于中国构建国家实验室体系也具有一定 的参考意义。

        The U.S. Department of Defense (DoD) is an important funding unit of the U.S. national laboratory. In the peak period, DoD funded 34 national laboratories and it currently sponsors 10 national laboratories. DoD has organized a three layer management mechanism of “funding agencies - operating agencies - national laboratories” . A long-term funding contract between the funding unit and the operating unit (usually 5 years) , funding units regulates the development of national laboratories. According to Federal Acquisition Regulation 35.017, the funding unit determines research field of national laboratories. The operating unit is responsible for the daily management of national laboratories, including the selection of laboratory director and other senior management personnel. Through the resident office, funding unit evaluates the risk and performance of the national laboratories, and according to the results of assessment to determine the national laboratories’ subsidies. The three layer management mode can make the national laboratories receive stable funds from the federal government, on the other hand, it can maintain relative flexibility in the management of specific matters, which is more in line with the rules of the frontier research. These studies have reference value for the construction of national laboratory system in China.