Abstract: The two sets of scientific and technological systems corresponding to China's national defense construction and economic construction need to make new breakthroughs and explorations in the system mechanism, resource allocation, scientific research organization and so on in order to achieve integrated development and collaborative innovation. This paper systematically analyzes the basic characteristics of new R&D institutions which have shown strong innovation competitiveness in recent years and their superiority in overcoming innovation barriers. Combining the problems in the integration and innovation of the two major science and technology systems and the existing practical exploration, it is proposed that the military-ground collaborative innovation platform of the nature of new R&D institutions is the core. To build an innovation ecology composed of enterprise clusters, parks, investment and financing and policy systems, and form a "platform + environment" mode of integration and innovation of the two major science and technology systems.

Key words: new research and development institutions; Science and technology system integration innovation; Innovation platform

    In recent years, a number of new R&D institutions have emerged in Guangdong, Beijing, Zhejiang, Jiangsu and other places, which are different from the traditional research institutions in terms of their nature, objectives, orientation, functions, and operation, and lie between universities, institutes, enterprises, and public institutions. Known as the "four unlike" institutions [1] (unlike universities, research institutes, enterprises, and institutions), but in a short period of time, they have produced a number of high-level scientific research results and outstanding transformation and application results, and have made new breakthroughs in some "stuck" key technologies, showing strong technological and market competitiveness and innovation potential. It has created a new road for accelerating scientific and technological innovation and achievement transformation. At present, the coordinated development of national defense and economic construction has become a national strategy. The integrated development and collaborative innovation of the two major scientific and technological systems corresponding to national defense and economic construction are not only an important area of this national strategy, but also one of the core contents of building an innovative country and rejuvenating the military through science and technology. In the process of promoting the integration of the two scientific and technological systems, certain progress has been made, but there are also some pain points and difficulties, especially in the form and mechanism of the collaboration of military and civilian scientific and technological forces, the two-way transfer and application transformation of military and civilian scientific and technological achievements, the lack of effective means and ways to make substantive breakthroughs. The practices and experiences of these new research and development institutions have brought us new ideas and inspirations for promoting the integration and innovation of science and technology systems, the sharing and sharing of scientific and technological resources and the two-way transformation of achievements. At present, domestic research on new R&D institutions has a certain scale, mainly focusing on the construction mode, operation mechanism, application and industrialization of new R&D institutions, etc. There are few studies on the application of this institutional model to the coordinated development of national defense construction and economic construction in the field of science and technology. This paper is mainly based on the extensive research on the practice and problems in the current integration of the two major science and technology systems. This paper refined the advantages of new R&D institutions in solving the integration obstacles, combined with the reform process of national defense and the army, in view of the current urgent needs to promote the integration and innovation of military and civilian science and technology systems, put forward a systematic solution.

1. Innovative characteristics of new R&D institutions in construction management

    At present, there is no unified definition of new R&D institutions, which are generally scientific and technological innovation institutions with multi-subject investment, diversified mode establishment, market and application demand-oriented, enterprise-oriented management and operation, and industry-university-research integration. Joint investors include multiple subjects such as government, research, education, industry and capital, and implement separation of investment and management. It is directly aimed at transforming and applying basic frontier scientific research results and even generating and creating new industries. Its main characteristics include diversification of investment subjects, scientific governance structure, independent scientific research management, integration of industry, university and research, capitalization of scientific and technological achievements, modernization of management system and internationalization of development mechanism [2]. The Guiding Opinions on Promoting the Development of New R&D Institutions issued by the Ministry of Science and Technology in September 2019 pointed out that: A new type of R&D institution is an independent legal entity focusing on the needs of scientific and technological innovation, mainly engaged in scientific research, technological innovation and R&D services, with diversified investment subjects, modernized management system, market-oriented operation mechanism and flexible employment mechanism. It can be registered as a private non-enterprise unit (social service agency), public institution and enterprise in science and technology according to law.

1.1. Innovation in the construction mode of new R&D institutions

    In 1996, the Shenzhen Research Institute of Tsinghua University, jointly invested by Shenzhen Municipal Government and Tsinghua University, is one of the earliest new research and development institutions in China. After more than ten years of rapid development, the construction mode of new research and development institutions has been continuously innovated. Various types have emerged, such as co-construction between national research institutes and local governments, co-construction between universities and local governments, social capital or self-construction by enterprises, industrial public technology innovation alliances or platforms, and reconstruction of traditional research institutions [3-4][4]. Divided according to the nature of institutions, there are many types, such as institutions with a difference in financial allocation, institutions with no establishment and self-support, private non-enterprise units, enterprise legal persons, non-independent legal research and development institutions within enterprises and public welfare social organizations. At present, there are hundreds of new research and development institutions across the country, which are built by provincial and municipal governments, Chinese Academy of Sciences, research universities, high-tech enterprises, technology alliances and other types. A number of well-known new R&D institutions have emerged, such as Shenzhen Institute of Advanced Technology of Chinese Academy of Sciences, Shenzhen Institute of Advanced Technology of Chinese Academy of Sciences, BGI Research Institute [5], Beijing Academy of Life Sciences, Beijing Collaborative Innovation Research Institute [6].

1.2 Innovation in the management and operation mechanism of new R&D institutions

    First, the organizational structure generally implements the institutional director responsibility system under the leadership of the Council. The highest decision-making body is the board of directors composed of representatives of the principal contributors to the fund, which determines the development direction and major decisions of the institution. The institute and the directors are the "CEOs" [7] who are openly selected and recruited from all over the country and even the world according to the orientation and research direction of the institution and their ability level to take charge of daily operation. They have a term of office, and do not need to have the "identity" of administrative rank and career establishment.

    The second is to establish a source of funds for multi-channel investment and capitalized operation. In addition to the investment of institutional co-construction subjects, financial funds at all levels, enterprises, individuals and other social capital, the in-depth marketization and industrialization have also brought results conversion benefits [8-9][9]. Many new research and development institutions have participated in the establishment of corresponding funds, carried out capitalization operation, and generated capital gains. A typical example is the Beijing Collaborative Innovation Research Institute, which is jointly funded by the municipal government and a number of universities, and adopts the "Collaborative innovation center-fund dual coupling" operation structure [2]. The government funded the establishment of a 1 billion yuan collaborative innovation fund, and the institute organized relevant universities and enterprises to set up a number of collaborative innovation centers within the institute. Relying on the mother fund, the institute attracted members of the collaborative innovation center to jointly fund the establishment of18 sub-funds and 11 intellectual property funds exclusive to each center, with a scale of 3.5 billion yuan. The sub-fund carries out the lead investment, and the government investment is automatically followed up, which not only gives full play to the purpose of guiding innovation by the government, but also ensures that the innovation direction is dominated by the market subject and the innovation results are tested.

    Third, implement the "three independent" scientific research model. Take the Beijing Institute of Life Sciences as an example, the chief scientist responsibility system is implemented within the institute, and the chief scientist is endowed with great autonomy, that is, to "independently determine research topics, independently select and employ research teams, and independently arrange the use of research funds" [2]. There is no preset plan, and the chief scientist can freely choose cutting-edge research projects according to his/her own strengths and interests and according to the laws of scientific research. In addition, it is fully responsible for project implementation, fully stimulating the sense of mission and scientific exploration spirit of scientific research leaders and experts, and conducive to the production of breakthrough scientific and technological achievements.

    Fourth, a flexible system for the use, training and evaluation of talents should be adopted.

The Beijing Institute of Life Sciences, which focuses on basic research, does not establish a title system, does not put forward specific assessment indicators, and selects and employs "not only titles, not only papers, not only background", valuing ability and potential, and implementing the survival of the fittest. The emphasis on the market-oriented Chinese Academy of Sciences Shenzhen Institute of Advanced Technology does not put the career establishment provided by the Chinese Academy of Sciences on the specific personnel, but adopts enterprise management, respectively designed the performance appraisal indicators of scientific research, engineering, industrialization and management of four categories of personnel, and there are 5% ~ 10% salary reduction and elimination rate every year. At the same time, the institute also pays social security for employees in the form of "five social insurance and one fund", which solves the problem of social security connection in the flow of personnel [2].

    To sum up, the innovation of the new R&D institutions in the system and mechanism and the reform of the functional structure are an adaptation to the changes in the relationship between science, technology and industry [10]. With the development of The Times, the requirement of innovation is constantly increasing, the transformation of knowledge productivity to material productivity needs to be accelerated, and the factors of innovation need to be reconfigured. The emergence of new R&D institutions is the inevitable result of adapting "production relations" in the field of science and technology to the development of "productivity" in order to achieve the goal of building an innovation-oriented country.

 

2. the new R & D institutions have the comprehensive advantage of breaking through the barriers of scientific and technological system integration and innovation

    The problems [11-12][12], such as difficulty in forming joint forces when military and civilian scientific and technological forces are fragmented, difficulty in sharing military and civilian scientific and technological resources, and difficulty in transforming scientific and technological achievements, have not been well solved for a long time, especially in carrying out the integration and innovation of the two major military and civilian scientific and technological systems. In solving such problems, new R&D institutions have some innate advantages and unique features worthy of reference.

    First, to solve the problems of difficult cross-departmental and cross-institutional coordination and fragmentation of resources, new R&D institutions rely on the joint construction of multiple entities involved in collaborative innovation, such as government, research, university, industry and capital, adhering to the common idea, pooling of resources required for various innovations, and positioning of the institution itself as a collaborative platform. With the aim of becoming a bridge and link connecting the whole innovation chain and industrial chain, the new R&D institutions can use the tangible and intangible resources (policies, land, infrastructure, technology, capital, talents, equipment, etc.) of all parties involved in collaborative innovation to form a joint force for innovation research and achievement transformation services, and form a gathering place of innovative superior resources. On this common platform, the government, institutions and enterprises can give full play to their respective advantages according to the different needs of resources at different stages of innovation, draw on each other's strengths, integrate multi-channel efforts, and have more comprehensive resources available than one party to promote collaborative innovation and transformation of results, and have a stronger overall ability to crack institutional barriers, which can effectively improve the success rate of innovation.

    Second, as innovation requires high investment, flexible use of funds and high risks, traditional scientific research institutions mainly rely on financial planning funds, with limited funds, long application cycle and many restrictions on use, which do not meet the requirements of innovation [13]. New R & D institutions generally adopt diversified funding channels and capital operation modes. According to different stages of innovation and characteristics of R & D projects, they combine and focus on the use of funds with different characteristics, such as co-construction investment, financial capital, fund, venture capital, enterprise capital and social capital. For example, innovation and R&D based on basic research or key generic technologies with public welfare, actively apply for financial support of national and local science and technology planning projects at all levels; Relatively frontier and exploratory innovation, in addition to self-financing and self-investment, extensively seek support from venture capital and innovation funds to effectively reduce risks; To actively introduce enterprise funds for engineering research and development related to the transformation of results, and accelerate the process of marketization and industrialization by investing in intellectual property rights, seeking national and local capital for mass innovation and innovation, or attracting commercial investment. Compared with relying on a single source of investment such as financial plan or self-investment, first, the funds are more abundant, timely and flexible; Second, the market-oriented mode of operation and the joint decision of the government, enterprises and commercial capital on the amount of capital investment can effectively give full play to the advantages of different capital in different stages and types of innovation, restrain irrational investment impulse, and improve the efficiency of fund use and the success rate of projects.

    Third, in view of the lack of innovation capacity and innovation willingness of traditional research institutions in collaborative innovation and achievement transformation[14], new research institutions can make use of their flexible research models and employment mechanisms to create an innovation atmosphere that stimulates creativity. In terms of team building, they can recruit the most suitable high-level talents for the whole society and even the whole world, and organize the best team; In terms of resource integration, extensive scientific research collaboration can be quickly established through market operation, and multi-party research and development resources can be used to improve innovation ability in a short period of time, which is much more efficient than the traditional research mode. In the research mode, it cannot be affected by non-technical factors such as planning, preparation, administration and use of funds, and provide much greater scientific research autonomy than traditional research institutions. Moreover, the research objectives directly serve enterprises, markets and users, and the application needs are clearer, especially for the research projects related to the transformation of results. New research and development institutions can quickly provide funds, information, equipment and other resources for researchers with real ideals and perseverance, and establish a flexible scientific research mechanism and environment that allows them to free their hands and hands and display their talents. Researchers have a relatively stronger willingness to innovate, motivation to innovate and sense of achievement, which is of great significance for overcoming the "valley of innovation death" in the innovation process.

    Fourthly, in view of the problem that the imperfect intellectual property system and incentive mechanism affect the enthusiasm of innovation [15], the new R&D institutions, as independent legal innovation subjects, implement market-oriented management, can break through the restrictions on individual intellectual property rights and rewards of scientific research institutions within the system. Through direct income distribution, patent licensing, transfer and other intellectual property operations, as well as technology shares, equity incentives and other means to fully protect and reflect the value of technological achievements and intellectual creation of researchers, the income distribution and equity agreement between institutions and individuals are made clear in the form of agreements and contracts in accordance with national laws and market rules. It fully guarantees the legitimate income of innovators and the expression of the value of creative labor, and encourages long-term investment and common development through equity incentives and other means, which can effectively mobilize and stimulate the innovation enthusiasm and enthusiasm of researchers [16].

3. Accelerate the integration and innovation of the two major science and technology systems by building new research and development institutions

    At present, in promoting the integration and innovation of the two major science and technology systems of national defense and civil use, the root cause of many problems lies in the large differences in the system and mechanism, resource allocation, scientific research organization, personnel management, incentive guarantee, cultural atmosphere and other aspects of the collaborative bodies of different nature, and the gap with the scientific and technological innovation requirements of the new era is also very different. In particular, national defense and military scientific research institutions face greater difficulties in adaptation and reform, but this is a "hurdle" that must be overcome in the integration and innovation of science and technology systems, and new breakthroughs and explorations are needed. The emergence of a new type of research and development institution, which is jointly built by various subjects with different natures and adopts an innovative management model, provides a new way to solve this problem. In recent years, the National University of Defense Technology and other institutions have carried out the practice of building a science and technology collaborative innovation platform with the nature of new R&D institutions with local governments, and accumulated valuable experience [17]. [17] The superiority of this new type of platform in overcoming innovation barriers and the innovation potential and development momentum shown in practice are very targeted to solve the problems in integrated innovation. From the perspective of military scientific research units, the new R&D institution platform jointly built with the government has effectively solved the problems of insufficient innovation manpower, inability to engage in production and operation, lack of innovation and achievement transformation funds and local policy and basic support, limited incentive measures, and difficulties in international cooperation. From the perspective of local governments, this new type of institution has introduced advanced military technology and scientific and technological resources to local areas, trained talents, enhanced scientific and technological strength and level, and the industrialization of scientific and technological achievements has added new momentum to local economic development, which is difficult to achieve by relying on the traditional system of military and civilian separation of scientific and technological research institutions. Therefore, we believe that the current "platform + environment" model, which is composed of a new type of R&D institution jointly built by Israel and the army as a platform for collaborative innovation of science and technology, while creating an innovation environment integrating industry, finance and service, is an effective way to promote the in-depth development of integrated innovation of science and technology systems. The basic model is to take the platform of new R&D institutions jointly built by the military and the ground as the main organizer of collaborative innovation and the bridge and hub between scientific research and the market, the military and the government and enterprises, to radiate the innovation source such as military and ground scientific research institutions upstream of the innovation chain, and drive the enterprises to industrialization of innovation achievements; An innovation environment consisting of enterprise groups that support and undertake innovation achievements, financial means that provide funds for innovation and a set of military-civilian innovation policies and systems that connect up and down are taken as the necessary conditions and key supports for promoting the integration and innovation of science and technology systems.

3.1  Military and Civilian joint construction platform

    The technology collaborative innovation platform of the nature of a new type of R&D institution jointly built by the military and the local government will serve as the hub of the integration and innovation link of the entire science and technology system. It should become a comprehensive R&D institution with independent market position that radiates all innovation links and subjects. Its main functions include basic frontier technology research and exploration, technology transformation evaluation and screening, intellectual property transaction, investment and financing services, organization of secondary research and development, enterprise incubation, organization and collaboration, market promotion, and coordination between the government and the military. Since military units cannot engage in production and operation, the platform serves as the only interface for the military to connect with the market and users. The military and civilian subjects of the platform jointly determine innovation goals and projects, and the platform acts as the organizer of collaborative innovation to coordinate joint research and development of military and local scientific and technological forces, negotiate investment and financing, establish or incubate enterprises, carry out pilot test, mass production and market promotion, and finally realize industrialization.

    In terms of platform construction, the next step of the military reform policy should clarify and standardize the specific standards and procedures of military scientific research units and local innovation institutions, in order to make it develop healthily and truly improve the benefits of collaborative innovation of science and technology. The practice in recent years has shown that the joint construction of professional entity platform institutions by military scientific research institutions and local governments is the best model for platform construction at present. First, the cooperation between the military and the government is in line with the requirements of national strategy and planning. Second, most of these co-construction platforms are public institutions affiliated with government departments, which have many advantages and resources in project approval, organization and cooperation, and financial support that enterprise platforms do not have. Third, it is in line with the current military "stop and pay" policy. Military units can transfer the intellectual property rights of scientific and technological achievements to the co-construction platform in the form of authorization or transfer, so that the platform can initiate projects and organize research and development. Many such projects are included in national and provincial science and technology plans and receive financial support. Moreover, the participation of military scientific research units and personnel in such research and development is also in line with the policy.

    In the operation of the platform, as an independent market entity and a pilot field for scientific and technological innovation, it can learn from the experience of new research and development institutions, boldly innovate, and establish a platform architecture mode, management and operation mode, financing mode, scientific research organization mode, personnel management mode, results, salary and service guarantee system that ADAPTS to innovation requirements and faces the market. To realize the rapid concentration and efficient utilization of the optimal innovation resources, fully mobilize and stimulate the enthusiasm of scientific researchers for innovation, and improve the success rate of technological breakthroughs and market-oriented transformation benefits.

Such platforms are a new type of research and development institution with "five different characteristics" : they are both universities but not exactly like universities, with different cultures; They are both research institutions, but not completely like research institutes, with different functions; Both enterprises, but not completely like enterprises, different goals; Both are public institutions, but not public institutions, the mechanism is different; They are both national defense research organizations and not entirely national defense research organizations, with different orientations.

 3.2 Create an environment for innovation

    science and technology, the way and coordination mechanism of joint scientific and technological forces, the sharing of military and civilian science and technology resources, the construction of transformation platforms, the operation of intellectual property rights, research and development organization, technical services, investment and financing, and income distribution. At present, some policies and regulations have been issued from the national to the provincial level [18], which need to be further refined and more support; As for the military, with the continuous deepening of reform, a series of reform policies and measures involving military scientific research are gradually implemented. The problems previously affected by the military's participation in scientific and technological collaborative innovation and the transformation of military achievements due to unclear policies will be gradually standardized and solved, creating favorable conditions for military scientific research units and personnel to participate in collaborative innovation. At present, the urgent need for clear policies mainly involves the specific ways, conditions, powers and responsibilities and procedures of military units to participate in the military-civilian joint construction of achievements transformation platform, the specific methods and requirements of intellectual property transactions of military scientific and technological achievements, and the implementation and evaluation methods of military-civilian sharing of scientific and technological resources. Rules for the implementation of income distribution for the transformation of achievements by military researchers and measures for the treatment of existing institutions for the transformation of achievements by military and civilian forces, etc. These policies should emphasize the connection and operability with the corresponding national and local laws and regulations, properly handle the stock and increment, and be issued as soon as possible. To provide practical and feasible policy support for building an integrated science and technology collaborative innovation system and doing a good job in the transformation of national defense science and technology into civilian use.

4. Conclusion

    New R & D institutions are to adapt to the requirements of the new era of China's science and technology field "production relations" to actively adapt to the development of "productive forces", the existence of rationality and inevitability. The integration and innovation of the two major science and technology systems corresponding to national defense construction and economic construction rely solely on the reform within the internal framework of their respective systems, and the solution of some deep-seated contradictions will take a long time and cost. At present, it is necessary to speed up the deep integration in the field of science and technology, especially in the integration and innovation involving the military. This kind of platform with the nature of a new research and development institution and its new construction and operation mechanism are especially needed. The "platform + environment" model provides a new thinking and systematic feasible plan for integration and innovation from both theory and practice.

References (omitted)