【作者】 李阳；

【导师】 李北伟；

【作者基本信息】 吉林大学 ， 工商管理， 2021， 博士

【摘要】 当今时代,世界发展面临百年未有之大变局,科技革命进入新一轮发展阶段,加速了全球人才、信息、资本等生产要素的流动,世界各国间的科技力量在悄然间发生着变化。科技革命所引发的不仅是全球经济社会的变革,每一次革命过程也必然会改变大国之间的力量分布,重塑世界实力对抗格局。中国科技实力的快速崛起,美国科技霸主地位受到挑战、中美之间的科技博弈屡次触碰着科研工作者的神经。如何在未来科技竞争中处于领先位置,激发科研人员的创新活力,提高科技创新对于社会发展的带动作用,这一切都离不开一流科研机构的支撑,而国家级实验室就能发挥这样的作用,满足国家在不同发展时期的科技需求。国家级实验室作为大国科技博弈的重要体现,为保持国家科技竞争力提供了驱动力,也是建设世界科技强国的重要战略保障。美国庞大的国家级实验室体系距今已经历了八十余年的发展历史,积累了成功的管理经验,也是满足国家科技全球领先的重要支撑,在建设管理创新上以及科研实力上领先于全球。我国国家级实验室兴建于改革开放之初,伴随着我国科技体制改革之路不断发展壮大,但相较于世界发达水平,在建设管理经验、科技体制创新及科研实力等方面还有许多不足。因此,以美国国家级实验室作为参照标准进行深入比较,总结两国实验室建设历程的异同、发现建设经验的共性与个性、寻找科研实力比较中的优势与不足,为促进我国国家级实验室建设及发展寻找经验借鉴,对于丰富我国国家级实验室研究成果意义重大。基于此,本文希望通过研究回答以下几个问题:(1)从中美两国国家级实验室的建设历程来看,两国实验室各自经历了怎样不同的发展阶段,每个阶段建设的侧重点是什么,各阶段的科技政策对实验室发展有何导向,两国实验室建设历程的异同又有哪些?(2)从中美两国国家级实验室的建设运行来看,中美国家级实验室在制度体制、建设定位、资源要素、运行模式及科研合作方面各有什么特点,在这些方面中,中美两国实验室的建设特征又有什么异同,美国实验室的建设经验对中国有何启示?(3)从中美两国国家级实验室的科研实力来看,两国实验室在体现科技论文最高水平的ESI高被引论文产出方面、主导地位方面、论文影响力方面的科研实力差距有多少;基于文献属性数据的特征差异有哪些,这些差异对两国实验室论文产出、影响力及主导地位的影响又有哪些?本文以比较研究作为研究视角,重点进行了以下方面的研究工作:(1)对中美两国国家级实验室建设历程进行对比分析。对两国国家级实验室的建设历程进行了划分;结合时代政策背景,对两国实验室各自的发展建设过程、学科分布特点、部门及地域分布特点、建设成效、阶段性特征进行分析,深入了解每一阶段国家级实验室的发展变化;总结出两国实验室建设历程的相同点及差异。(2)对中美两国国家级实验室建设特征进行比较分析。梳理两国国家级实验室在建设方面的特点;围绕制度体制、建设定位、资源要素、运行模式、科研合作五个方面,总结中美两国国家级实验室建设方面的共性与个性。(3)基于目前代表科技论文最高水平的ESI高被引论文数据库,对中美两国国家级实验室科研实力进行比较分析。综合运用文献计量学、数据挖掘、Logistic回归模型、多元线性回归模型等统计分析工具,从ESI高被引论文产出、国际合作、影响力等角度进行量化比较,以明确中美国家级实验室科研实力的差异。最终,通过对中美国家级实验室多方面的比较分析,本文得到如下结论:(1)回答了中美两国国家级实验室建设历程及阶段特征的问题。中美国家级实验室兴起于不同的时代背景,经历了截然不同的建设历程。美国国家级实验室体系作为全球领先的科研机构,兴起于战争年代,维护国家安全与国家利益成为了其建设初衷。先后经历了五个发展阶段,且过程中出现了两次较大的争议。实验室的发展紧密围绕美国国家安全战略展开,进行学科建设的布局与前沿科学领域的探索,尤其是美苏冷战时期,持续增加的军费资助为实验室的研究发展印上了明显的军事化色彩。相较而言,我国的国家级实验室体系发展建设起步较晚,与改革开放后的我国科技事业的发展基本同步,基本依托重点高校及各部门进行运行管理,以材料科学、工程科学等工程类学科研究为主。在经历了改革开放初期艰难的起步后,实验室的发展也随着社会经济的不断推进走向市场化协同创新的道路,为国家经济和社会发展提供了重要的技术服务,在发展方面呈现出快速上升的态势。(2)回答了中美两国国家级实验室在建设运行中的特色及管理经验问题。中美国家级实验室在建设运行上既有共同的经验又各具特色。通过对中美典型国家级实验室的建设特征进行分析,作者发现中美国家级实验室在制度体制、建设定位、资源要素、运行模式及科研合作方面既有共性又有个性。中美两国实验室的兴起处于不同的时代背景,两国在科技、经济等发展阶段上处于不同节点,形成了美国国家级实验室的定位于人类终极科学问题的探索,我国的国家级实验室主要还是定位在满足国家科技战略需求层面。两国不同的制度体制也形成了不同的实验室管理模式,美国强调以市场参与为主,政府主导为辅,实验室体系的发展以“自下而上”科技决策体系为主;中国更强调决策主体集中,注重政府的政策引导,实验室多以执行上级科技政策为主。此外,两国实验室在科研经费的预算及拨付制度、实验室的监管主体及实验室主任的选聘与权责方面也都存在着显著差异。(3)回答了中美两国国家级实验室在基于ESI高被引论文产出方面的科研实力问题。中美国家级实验室在科研实力方面各有优势,美国在多个方面保持着相对优势,我国在论文产出方面取得了显著的进步。研究发现,在基于高被引论文产出数量的比较上,中国无论是在产出总量还是发展增速方面均有明显的优势;且通过关联规则算法对中美论文产出特征进行分析,发现作者数量为5人及以上为中美论文产出的最主要合作方式;中国论文产出受参与单位的数量作用不显著,当有国内基金参与资助时会显著提高两国实验室的发文量。在基于高被引论文主导地位的比较上,在中美两国间实验室的合作论文方面,美国的主导地位高于中国;在中美实验室参与国际合作论文方面,中国的主导地位强于美国;在中美国际合作论文主导地位的特征方面,论文流向国内对中美国际合作论文的主导地位均有正向影响;资助基金数量及资助基金类别为“无国内基金参与”时对中美国际合作论文的主导地位均有负向影响。在基于高被引论文影响力的比较上,美国在被引频次及影响因子方面的影响力均强于中国;在论文影响力的特征方面,中美高被引论文影响力均受到作者数量、出版时间、资助基金数量等相关因素的影响;作者数量、资助基金数量等对中国高被引论文影响力的作用程度大于对美国的影响。本研究的创新点可以概括地归纳为以下三个方面:(1)对以国家级实验室为代表的科研机构建设与改革进行了有益探索。美国是当今世界最强大的科学技术强国,拥有雄厚的资本及一流的人才储备,众多的国家级实验室成为了其科技研发的排头兵,也成为了国家科技创新力量的坚实保障。联邦国家实验室体系至今已有七十多年的历史,并积累了卓有成效的管理经验,拥有一套科学的管理体制和运行机制。他山之石,可以攻玉。研究美国联邦国家实验室建设及其规律,进而探索科研管理机制创新,为突破美国科技封锁,探索我国国家级实验室体系建设及科研机构改革创新很有价值。(2)拓展了文献计量学理论在科技评价中的应用与实践。国家级实验室是进行基础研究和原始创新工作的重要科研机构。科技论文是体现国家或科研机构基础研究工作的重要载体,同时也是反映国家或科研机构科研实力的主要方面。本文基于ESI及JCR等数据库,以高被引论文为视角,运用文献计量学的理论指导,通过对中美两国国家级实验室科研实力进行量化分析,可以进一步明确两国国家级实验室的发展现状及差异水平,对我国国家级实验室建设体系的成效进行了检验。另一方面,文献计量学理论以科技论文及各种文献数据特征为研究对象,可以实现对国家或地区、科研机构、学者等学科结构、产出数量、影响力变化等科研动态的科学评价,对于两国实验室科技论文产出及其深层次因素及规律进行探讨,在填补对国家级实验室定量化研究空白的基础上,逐渐丰富我国国家级实验室科研评价体系,以便指导政策实践。(3)为新一轮技术革命背景下,深化国家创新体系理论,丰富国家创新体系理论概念,指导政府科技政策的实施与制度创新,更好地参与全球化科技治理,实现科技的自立自强以促进我国国家级实验室体系建设提供了新思路。中国国家级实验室体系根植于独有的政治、文化背景,在治理模式和运行机制上不同于世界上任何一个国家,面临着独有的现实困境与发展难题。在深入研究美国国家实验室管理经验的基础上,不照搬照抄美国模式,坚定走社会主义道路方向,结合有益经验探索中国模式,缩小与先进水平的实力差距,不断探索适合我国国情的国家实验室的管理体制和运行机制。更多还原

【Abstract】 In the current era,world development is facing major changes unseen in a century.The scientific and technological revolution has entered a new round of development,accelerating the flow of global talent,information,capital and other production factors.The scientific and technological forces of various countries in the world are quietly changing.The scientific and technological revolution not only triggers changes in the global economy and society,each revolution process will inevitably change the distribution of power among major powers and reshape the world’s power confrontation pattern.With the rapid rise of China’s scientific and technological power,the US’s technological hegemony has been challenged,and the scientific and technological game between China and the United States has repeatedly touched the nerves of scientific researchers.How to be in the leading position in the future scientific and technological competition,stimulate the innovative vitality of scientific research personnel,and improve the leading role of scientific and technological innovation for social development,all of which are inseparable from the support of first-class scientific research institutions,and national-level laboratories can play such a role.To meet the country’s scientific and technological needs in different development periods.National-level laboratories,as an important manifestation of the science and technology game of big countries,provide a driving force for maintaining the country’s scientific and technological competitiveness,and are also an important strategic guarantee for building a world scientific and technological power.The huge national laboratory system in the United States has gone through more than 80 years of development history and has accumulated successful management experience.It is also an important support to meet the country’s global leadership in science and technology,and it is ahead of the world in terms of construction management innovation and scientific research strength.my country’s national-level laboratories were built in areas of reform and opening up,and along with the continuous development and growth of my country’s scientific and technological system reform,compared with the world’s advanced level,there are still many shortcomings in terms of construction management experience,scientific and technological system innovation and scientific research strength.Therefore,the US national laboratory is used as a reference standard for in-depth comparison,to summarize the similarities and differences in the development of the laboratories of the two countries,to discover the commonalities and characteristics of the construction experience,to find the advantages and disadvantages in the comparison of scientific research strength,and to explore the national-level experiments with Chinese characteristics.It is of great significance to enrich the research results of national laboratories in our country to find experience and reference for the development of laboratories.Based on this,this article hopes to answer the following questions through research:(1)From the perspective of the development history of national laboratories in China and the United States,what different stages of development have the laboratories of the two countries have gone through,and the focus of each stage of construction What is it,what direction does the science and technology policy at each stage have for the development of laboratories,and what are the similarities and differences in the development of laboratories in the two countries?(2)From the perspective of the construction and operation of national laboratories in China and the United States,what are the characteristics of the Chinese and American national laboratories in terms of institutional system,construction positioning,resource elements,operation mode,and scientific research cooperation?What are the similarities and differences in the construction of laboratories in the United States and the United States?(3)From the perspective of the scientific research strength of the national laboratories in China and the United States,there is a gap in the scientific research strength of the two countries’ laboratories in terms of the output,dominance,and influence of the ESI highly cited papers that reflect the highest level of scientific papers.How much what are the differences in characteristics based on document attribute data,and what are the effects of these differences on the output of papers in the laboratories of the two countries?This paper takes comparative research as a research perspective,focusing on the following research work:(1)A comparative analysis of the development of national laboratories in China and the United States.The development history of the national laboratories in the two countries is divided;combined with the policy background of the times,the development and construction process,discipline distribution characteristics,department and geographical distribution characteristics,construction effectiveness,and stage characteristics of the laboratories of the two countries are analyzed in depth.Understand the development and changes of national laboratories at each stage;summarize the similarities and differences in the development of laboratories in the two countries.(2)A comparative analysis of the characteristics of the construction of national laboratories in China and the United States.Sort out the characteristics of the construction of national laboratories in the two countries;summarize the commonalities and characteristics of the construction of national laboratories in China and the United States around the five aspects of institutional system,construction positioning,resource elements,operation mode,and scientific research cooperation.(3)Based on the ESI Highly Cited Paper Database,which currently represents the highest level of scientific and technological papers,a comparative analysis of the scientific research capabilities of national laboratories in China and the United States.Comprehensive use of bibliometrics,data mining,logistic regression model,multiple linear regression model and other statistical analysis tools,quantitative comparison from the perspectives of ESI high-cited paper output,international cooperation,influence,etc.,to clarify the national laboratories in China and the United States The difference in scientific research strength.In the end,through the comparative analysis of various aspects of national laboratories in China and the United States,this article draws the following conclusions:(1)Answered questions about the development history and stage characteristics of national laboratories in China and the United States.The national laboratories in China and the United States emerged from different era backgrounds and experienced completely different development processes.As the world’s leading scientific research institution,the US national laboratory system emerged in the war years and safeguarding national security and national interests became its original intention.It has experienced five stages of development,and there have been two major controversies in the process.The development of the laboratory closely revolves around the U.S.national security strategy,the layout of discipline construction and the exploration of frontier scientific fields,especially during the Cold War between the United States and the Soviet Union.The continuous increase in military funding has markedly militarized the research and development of the laboratory.In comparison,the development and construction of my country’s national-level laboratory system started relatively late,and it has basically been synchronized with the development of my country’s science and technology after the reform and opening up.It basically relies on key universities and various departments for operation and management,with materials science,engineering science and other projects.Main subject research.After experiencing a difficult start in the early stage of reform and opening up,the development of the laboratory has also moved towards market-oriented collaborative innovation with the continuous advancement of social economy,providing important technical services for national economic and social development,and showing rapid development in terms of development.The upward trend.(2)Answered questions about the characteristics and management experience of the construction and operation of national laboratories in China and the United States.Both Chinese and American national laboratories have common experience and their own characteristics in the construction and operation of laboratories.By analyzing the characteristics of the construction of typical national laboratories in China and the United States,the author found that the national laboratories in China and the United States have both commonality and individuality in terms of institutional system,construction positioning,resource elements,operation mode and scientific research cooperation.The rise of laboratories in China and the United States are in different era backgrounds.The two countries are at different nodes in the development stages of science and technology,economy,etc.,forming a national laboratory in the United States to explore the ultimate scientific problem of mankind,and my country’s national experiment The office is mainly positioned to meet the needs of the national science and technology strategy.The different institutional systems of the two countries have also formed different laboratory management models.The United States emphasizes market participation as the main,government-led as the supplement,and the development of the laboratory system is mainly based on a "bottom-up" scientific and technological decision-making system;The main body of decision-making is concentrated,and the government’s policy guidance is emphasized,and the laboratories mostly focus on the implementation of higherlevel science and technology policies.In addition,the laboratories of the two countries also have significant differences in the budget and allocation system of scientific research funds,the supervision body of the laboratories,and the selection and responsibilities of laboratory directors.(3)Answered questions about the scientific research capabilities of national laboratories in China and the United States in terms of the output of high-cited papers based on ESI.National laboratories in China and the United States each have their own advantages in scientific research strength.The United States maintains relative advantages in many aspects,and my country has made significant progress in the output of papers.The study found that China has obvious advantages in terms of total output and development growth based on the comparison of the output of highly cited papers;and the characteristics of the output of Chinese and American papers are analyzed through the association rule algorithm.It is found that the number of authors of 5 or more is the most important way of cooperation for the output of Chinese and American papers;the number of participating units in the output of Chinese papers is not significant,and when domestic funds are involved in funding,it will significantly increase the number of papers issued by the laboratories of the two countries.Based on the comparison of the dominance of highly cited papers,the U.S.has a higher dominance than China in collaborative papers between Chinese and American laboratories;China has a stronger dominance than the U.S.in the participation of Chinese and American laboratories in international collaborative papers.;In terms of the characteristics of the dominant position of Sino-US international collaborative papers,the flow of papers to the country has a positive impact on the dominant position of Sino-US international collaborative papers;The dominance of cooperative papers has a negative influence.In the comparison based on the influence of high-cited papers,the influence of the United States is stronger than that of China in terms of frequency of citations and impact factors;in terms of the characteristics of the influence of papers,the influence of high-cited papers in China and the United States is affected by the number of authors,The impact of publication time,the number of funding funds and other related factors;the number of authors,the number of funding funds,etc.,have a greater impact on the influence of China’s highly cited papers than on the United States.The innovations of this research can be summarized into the following three aspects:(1)The construction and reform of scientific research institutions represented by national-level laboratories have been beneficially explored.The United States is the most powerful scientific and technological power in the world today,with abundant capital and first-class talent reserves.Numerous national laboratories have become the vanguard of its scientific research and development and have also become a solid guarantee for the national scientific and technological innovation force.The Federal National Laboratory System has a history of more than 70 years,and has accumulated fruitful management experience,and has a scientific management system and operating mechanism.Stones from other hills,can learn.It is very valuable to study the construction of the US federal national laboratory and its laws,and then explore the innovation of scientific research management mechanism.In order to break through the US technology blockade,it is valuable to explore the construction of my country’s national laboratory system and the reform and innovation of scientific research institutions.(2)Expanded the application and practice of bibliometrics theory in science and technology evaluation.National laboratories are important scientific research institutions for basic research and original innovation.Science and technology papers are an important carrier that reflects the basic research work of a country or scientific research institution,as well as a major aspect of the scientific research strength of a country or scientific research institution.This article is based on databases such as ESI and JCR,from the perspective of highly cited papers,using the theoretical guidance of bibliometrics,through quantitative analysis of the scientific research strength of the national laboratories in China and the United States,it can further clarify the national laboratories of the two countries The status quo of development and the level of difference have tested the effectiveness of my country’s national laboratory construction system.On the other hand,the bibliometrics theory takes scientific papers and various document data characteristics as the research object,and can realize the scientific evaluation of the scientific research dynamics such as the country or region,scientific research institutions,scholars and other disciplines,output quantity,influence changes,etc.Discuss the output of scientific and technological papers of laboratories in the two countries and their in-depth factors and laws.On the basis of filling the gaps in the quantitative research of national laboratories,gradually enrich the scientific research evaluation system of my country’s national laboratories in order to guide policy practice.(3)Under the background of the new round of technological revolution,deepen the theory of the national innovation system,enrich the theoretical concept of the national innovation system,guide the implementation of government science and technology policies and system innovation,better participate in global science and technology governance,and realize the self-reliance of science and technology to promote our country The construction of high-level laboratory system provides new ideas.China’s national laboratory system is rooted in a unique political and cultural background.It is different from any country in the world in terms of governance mode and operating mechanism and faces unique practical difficulties and development problems.On the basis of indepth research on the management experience of American national laboratories,we will not copy the American model,stick to the direction of socialism,explore the Chinese model based on useful experience,narrow the strength gap with the advanced level,and continue to explore national laboratories suitable for my country’s national conditions.Management system and operating mechanism.更多还原