美国能源部国家实验室开放式创新实践对我国的启示

Insights from open innovation practices at the US Department of Energy National Laboratories for China

文章首先概述了开放式创新理论的基本概念,并论述其在国家实验室发展中的核心作用。然后从历史发展角度分析了美国能源部国家实验室在组织架构、运营模式和评估体系方面的创新实践,以详细的案例研究提炼了美国能源部国家实验室在人才战略、研发活动、市场融入和知识产权保护四个关键领域的成功经验。最后提出了针对我国国家实验室发展的建议,包括支持高风险研究项目、与高等教育机构的资源共享合作、构建跨学科的产官学合作研究平台等方面,以期促进我国国家实验室在创新能力和研究效率上的显著提升,提升在全球科研领域的影响力和竞争力。

[Objective]The primary objective of this study is to analyze open innovation practices followed by the US Department of Energy(DOE)National Laboratories and to derive insights for enhancing the innovation capabilities of China’s national laboratories.This study focuses on the historical development,organizational structure,operational models,and evaluation systems of the DOE National Laboratories to highlight successful strategies in talent management,research and development(R&D)activities,market integration,and intellectual property protection.[Methods]This study employs a case study approach to systematically examine the innovation practices of the DOE National Laboratories.Initially,by providing an overview of the fundamental concepts of an open innovation theory,this study emphasizes the importance of this theory in the development of national laboratories.Then,this study presents a detailed analysis of the historical evolution of the DOE National Laboratories,their organizational frameworks,and their operational and evaluation mechanisms.Key elements such as integrating external talent,collaborative R&D efforts,market engagement strategies,and intellectual property management are examined through documented practices and reported outcomes from the DOE National Laboratories.Data collection involves reviewing DOE reports,scientific publications,and policy documents to identify and evaluate the effectiveness of these practices.[Results]Analysis revealed several vital findings:①The DOE National Laboratories have evolved significantly since their inception,particularly during and after the Manhattan Project.②The establishment of a diverse set of laboratories with specialized focuses,such as Lawrence Berkeley National Laboratory and Oak Ridge National Laboratory,has been instrumental in addressing various scientific and technological challenges.③The operational model predominantly follows a government-owned contractor-operated system that leverages private sector efficiency while maintaining government oversight.④Their evaluation system is robust,involving annual performance reviews that align laboratory goals with national strategic priorities.⑤The integration of university faculty and students into the research ecosystem of laboratories fosters a dynamic exchange of knowledge and skills,exemplified by the collaborative framework between Lawrence Berkeley National Laboratory and the University of California system.⑥The DOE National Laboratories prioritize high-risk,high-reward research projects through initiatives,such as the Laboratory-Directed Research and Development(LDRD)program,which allocates up to 6%laboratory budget to innovative research proposed by staff.⑦Strategic programs to commercialize research outcomes,such as the Cyclotron Road initiative at the Berkeley Lab,provide comprehensive support to energy-focused startups through funding,mentorship,and access to laboratory facilities.⑧The DOE National Laboratories utilize a multifaceted approach to IP management,including Cooperative Research and Development Agreements and Technology Commercialization Agreements,ensuring that innovations are effectively protected and commercialized.[Conclusions]By analyzing the open innovation practices of the DOE National Laboratories,this study concludes that these practices provide valuable lessons for enhancing the innovation capabilities of China’s national laboratories.Key recommendations for improving China’s national laboratories include:①establishing flexible funding mechanisms akin to the LDRD program to foster innovative and high-risk research;②developing joint appointment systems and collaborative research platforms with universities to harness academic expertise and research infrastructure;and③creating interdisciplinary and cross-sector research consortia to promote collaboration among academia,industry,and government,thereby facilitating the translation of research into practical applications.The implementation of these strategies can substantially improve the research efficiency,innovation capability,and global competitiveness of China’s national laboratories,ensuring their critical role in the national and international scientific landscapes.