国家科研机构开展关键核心技术攻关的管理机制研究

Study on management and mechanism of national research institutions to organize critical and core technologies R&D activities

        肖小溪^1,2*(中国科学院科技战略咨询研究院 北京 100190;中国科学院大学 公共政策与管理学院 北京 100049)
        沈湘³(中国科学院文献情报中心 北京 100190)

         国家科研机构;关键核心技术;管理机制

        national research institution;critical and core technologies;management and mechanism

        国家科研机构作为国家战略科技力量的重要组成部分，在关键核心技术攻关中具有重要的使命和责任。文章分析了国家科研机构在关键核心技术攻关中的定位和功能；阐明了适合由国家科研机构承担的关键核心技术攻关通常具有投资高、风险高、周期长、高校和企业难以开展或无意愿开展等特征，主要包含基础前沿驱动的技术（类型Ⅰ）、行业共性技术（类型Ⅱ）、小众技术（类型Ⅲ）3个类别。国家科研机构在开展第Ⅰ类关键核心技术攻关中形成了相对成熟的管理机制，但在第Ⅱ类和第Ⅲ类关键核心技术攻关中如何发挥建制化作用尚未形成清晰的管理机制。为此，文章聚焦任务选题、经费配置、力量组织、人员激励四大要素，重点剖析了国际上相关国家科研机构开展第Ⅱ类和第Ⅲ类关键核心技术攻关的组织管理机制，以及对我国的启示，为我国国家科研机构更好地履行高水平科技自立自强的使命担当提供研究支撑。

        As an important component of the national strategic scientific and technological forces, national research institutions, especially those in high-tech fields, have important missions and responsibilities in developing critical and core technologies. This study firstly analyzes the mission and function of national research institutions in critical and core technology research, and then illustrates that national research institutions are capable of undertaking critical and core technologies that need large and long cycle of investments and are of high risk, which means universities and enterprises could not or have no willingness to carry out. In details, national research institutions are able to conduct R&D of three types of critical and core technologies: basic frontier driven technology (Type I), generic industrial technology (Type II), and niche technology (Type III). National research institutions have formed relatively mature management mechanisms in R&D of Type I critical and core technologies, but has not yet formed clear management mechanisms in Type II and Type III critical and core technologies. Therefore, this study focuses on the four major elements including topic selection, fund allocation, forces organization, and personal incentive, to investigate the international experiences and inspiration to China. It provides research support for China’s national research institutions to better fulfill the mission of high level scientific and technological self-reliance.