科研成果生产制度及其在中国的实践

【作者】 郑钟扬；

【导师】 王克迪；

【作者基本信息】 中共中央党校 ， 科学技术哲学， 2011， 博士

【摘要】 科学与技术的水平是衡量一个国家综合竞争力的重要指标。科技作为第一生产力,是实现国家目标和改变经济和社会面貌的主导力量。目前我国将提高科技的自主创新能力、调动科技人员的积极性与创造性作为今后科技工作的指导思想,努力建设一支规模庞大且结构合理的科研队伍,以此来保证科研成果具有高质量和前瞻性。因此分析科学与技术成果的生产制度以及它在中国的发展过程是理解现行制度的缺陷和改革方向的重要途径。作为社会生产中的一项“子系统”,科研活动的发展经历了由个人自由探索到融入一般社会生产这样一个历史过程。在研究活动的思想动机上,科研人员经历了由理想主义到功利主义的转变。理想主义的探索行为在今天已经不再普遍,功利主义的应用研究和技术开发是科技投入的主要对象。在研究活动的资源耗费上,科研已经从个人承担研究成本的一项活动发展为需要企业或者国家对其进行资助才能维持的社会活动,这是科研活动的社会化过程。由此可以看到,科研成果的生产不能等同于简单的物质生产劳动,它的生产模式介乎于纯粹精神产品的生产和一般物质生产之间。既需要受到科学抽象的考查,又需要用经济学方法和政策科学的方法进行分析。本论文的研究路径是先对科研成果的内在运行规律进行剖析。在明确了科研知识生产的内在逻辑后,将研究视域逐渐向社会层面方向移动,最终完成由内而外的分析过程。因此本文的切入点是科研知识的认识论研究。所谓科研成果的生产不仅包括科学知识的制造。它是指研究与开发活动中科学与技术知识的总和。新知识的产生是科研者个人创造性思想的结果。这一劳动有别于简单物质生产,它是非机械性的,不遵循任何设定好的工作流程。这一活动完成于科研者的头脑中,因此科研成果的生产函数不能通过简单计算人、财、物等几种生产要素来确定。科研生产的特殊性还表现在成果的鉴定标准上。技术类成果的评判标准是查看是否达到设计者的标准和是否实现了预期的功能,而基础类研究尤其是高深知识的评判标准是科研共同体的集体认同。这就对科研的社会环境提出了要求:科研共同体必须拥有权威性。这种科研生产的内在规律使得科研的自发组织形式是以研究团队为基本单位的。在科研负责人的带领下,一批科研人员、技术人员和支撑人员共同组建起科研团队,对某一课题展开研究。这种组织形式与经济生产中企业作为最小生产单位的形式一致,课题组是科研生产领域的最小单位。如同企业的灵魂是企业家精神一样,最小科研单位依靠核心研究者的能力在研究竞争中取得自身的地位,赢得必要的资源。科研基本单位由于参与到社会生产中而得到了来自第三方的资助,这就出现了二者研究志趣以及价值取向上的差异。科研参与者的范围因这种委托代理关系而扩展到科研人员、企业、国家、成果消费者等领域。随着科技工作成为国家事业的重点,国家指导甚至干预科研的行为使科研生产制度中内在制度与外在制度间的张力变得更加复杂。科研成果生产制度是这二者博弈的结果。科研成果生产制度镶嵌在社会制度中,因此外在制度安排是各国科研生产制度的特征所在。中国的科技事业起步较晚,生产模式在借鉴他国经验的基础上不断进行自我摸索。根据我国的社会传统,科研体制采用国家计划管理模式。本文对中国的科研外在制度进行了梳理。大体上讲,中国的科技体制经历了尊重科研内在要求的松散时期,到高度集中、体制僵化的计划时期,再到解放科研生产力、进行有序管理时期这样一个螺旋上升的周期。这种变迁的动力来自于国家对科研功能的认识以及国家的政治、经济体制的约束。本文对这一段历史进行了梳理,目的有两个:强调中国科研成果生产制度的特征以及为理论模型做出佐证。更多还原

【Abstract】 The level of science and technology is an important index for national comprehensive competence. As the primary productive force, science and technology is the main force that can realize the national aim and change the economy and society. Nowadays, China’s development strategy of science and technology is to improve the innovative ability and mobilize researchers’energies. It endeavors to build a huge flock of research staff with rational structure so that can guarantee the quality and creativity of the achievements. It is an important way to realize the deficiencies and reform direction of research system by analyze this production mode and its evolution.As a subsystem of social production system, research activities go through a process from personal free probe to merge into social production. In the respect of research incentive, researcher switched their idealism to utilitarianism. The idealism probe has already unpopular, application research and technology development is the main object of sci-tech investment. In the respect of cost, research can not be afford by person. It maintained by enterprise or nation. This process is called research activity socialization. That is to say, the production of research achievement can not be seemed as simple material production. Its production mode is between pure spirit product and material product. So it need be analyzed both in scientific abstract method and economic and policy method.The research approach of this article is to analyze the internal operation law of the research production at the beginning. After this, this paper moves its focus to social level to finish the whole process. So the cut-in point of this paper is the epistemology of research knowledge. The production of research knowledge is not only including the scientific knowledge but all the knowledge which product during R&D. The production of new knowledge is the results of researchers’innovative thinking. This kind of labor is different from simple material production. It is not mechanical work and can not regulate in any fixed system. All this process is done in researchers’head, so we can not use several factor, such as human resource, finance to build a production function. The particularity of research achievement production is evaluation standard. The standard of technological research is whether achievement realize the expect function or reach the designer’s standard. But the basic research, especially the profound knowledge is evaluation standard is the identification of research community. This is a requirement for social environment: research community needs its authority.The internal principle of research production requires the basic research unit is a team. It consists by researchers, technicians, and supporting stuffs under the guidance of a research leader. As same as the basic unit enterprise in market, task team is the minimum unit in research field. To be in conformity with entrepreneurship in market, basic research unit gain its station through the core researcher’s ability. Due to receive the investment from the third party, the basic research team has different research interest and value orientation with investors. Because of this principal-agent relationship, research participants are enlarged. It contains researchers, enterprises, nation, and consumers and so on. As science and technology become national undertaking, national guidance and interference makes the tension between research production internal and external institution more complex. Research achievement production mode is the result of game.Research achievement production mode embedded in social system, so external mode is the character of one nation’s institution. Scientific and technological research started quite late in China, the development of research production mode is improving by using the experience of other countries. According to our nation’s tradition, China’s science and technology system adopts planning management model. This article analyzes China research external mode. Generally speaking, china science and technology system goes through the process from a system-loosen era that respect internal mode to a highly centralized, rigid-structure era and then to a research productivity-emancipate, well- management era. The impetus of this change comes from the state will and the national economic and political system. This article analyzes this history in order to emphases the character of China research achievement production mode and prove the theoretical model更多还原