【作者】 陈仕伟；

【导师】 徐飞；

【作者基本信息】 中国科学技术大学 ， 科学技术哲学， 2014， 博士

【摘要】 杰出科学家管理研究已成为学术界的热点问题,散见于科学社会学、科学哲学、科学史和科技管理等相关学科中,但是缺乏系统研究。要系统研究就需要从分析科学体制化和科学家职业化始。随着科学体制化和科学家职业化的完成,杰出科学家的数量呈指数增长；并且,杰出科学家群体也不可避免地出现了诸多问题。杰出科学家管理研究也就水到渠成。杰出科学家管理研究的基本问题是杰出科学家成长以及进一步贡献科学知识的一般规律问题。从现有的研究与现实的发展状况分析,更应该关注后者,即杰出科学家如何进一步贡献科学知识的一般规律问题。围绕着杰出科学家管理的基本问题,杰出科学家管理的主要问题重点包括两个方面：杰出科学家成长的一般规律主要涉及到他们成长的家庭条件、地域条件、大学教育、工作单位、师承关系、合作研究等主要问题；而杰出科学家进一步贡献科学知识的一般规律主要涉及到年龄管理、奖惩管理、分层管理和角色管理等主要问题。总之,杰出科学家管理研究既是必要的也是可行的,因此也有重要的理论与实践价值。从历史的视角分析,杰出科学家管理依次形成了四种代表性的基本模式：以贝尔纳为代表的计划模式,以波兰尼为代表的自由模式,以默顿为代表的理想模式和以科学知识社会学学派为代表的社会建构论模式。如果说贝(贝尔纳)—波(波兰尼)之争是计划与自由之争,那么,理想模式与社会建构论模式之争就是理想与现实之争。计划模式重点强调的是科学发展的计划性,自由模式则强调科学的自主性；理想模式强调的是科学共同体之内科学的自主性,而社会建构论模式则强调科学的社会性。这四个模式既有其积极性也有其不可避免的消极性。因此,如果要建立杰出科学家管理的当代模式,肯定不能是这四种模式中的任何一种,而是综合地继承与发展。建立杰出科学家管理的当代模式关键在于在科学的计划性与自由性之间和科学的自主性与社会性之间保持恰当的张力,归结起来就是要实现科学的良性社会运行。在当下的历史条件下,到底该如何来进行杰出科学家管理?这既是一个理论问题,也是一个实践问题!首先必须回答的是：谁是杰出科学家?这就必须与科学奖励系统结合起来思考。承认是科学王国的通货。杰出科学家就是已经获得重要承认的科学家。因此就必须分别考察一般科学家的认可与评价和杰出科学家的认可与评价问题。一般科学家的认可与评价基本上能够按照他们所取得的研究成果来进行,但是对于已获得重要承认的杰出科学家而言,其认可与评价就必然要受到马太效应的影响。根据科学奖励系统的层级状况,杰出科学家的追求应该直指最高的承认——命名,进而为历史所记忆,因而也要担负起重要的社会责任。因此,杰出科学家管理研究的根本目的是要让他们继续贡献科学知识而最终为历史所记忆。这就需要通过社会分层来促进杰出科学家群体的形成,通过年龄管理来实现杰出科学家群体的年轻化,通过角色管理来促进杰出科学家群体继续贡献重要的科学知识,通过独特的奖惩管理来促使杰出科学家开展负责任的科学研究。这也是杰出科学家管理的基本思想。在实践方面,进行杰出科学家管理还需要一定的策略。结合杰出科学家管理的基本问题,杰出科学家管理的基本策略主要包括培养策略、制度策略和经济策略。培养策略重点关注的是杰出科学家的培养,而制度策略则重点关注杰出科学家成长以及杰出科学家群体的形成,经济策略则是希望运用经济利益来进一步刺激杰出科学家的成长以及进一步贡献科学知识。由于教育资源的全球共享性和经济刺激作用的有限性,我们更应该重点关注杰出科学家管理的制度策略。相对于中国而言,进行杰出科学家管理显得尤为必要。虽然中国杰出科学家群体已初具规模,但是仍然存在一些急需解决的问题以进一步促进他们成长。这些比较突出的问题是,第一是中国杰出科学家群体老龄化,严重影响了中国科学技术的可持续发展；第二是在中国科学研究领域存在较为严重的马太效应,严重制约了中国科学技术的全面发展；第三是中国杰出科学家群体存在较为严重的角色异化,导致了中国杰出科学家偏离了科学研究事业而使中国很难追赶世界先进水平；第四是中国杰出科学家的学术追求限于国内视野,导致中国很难在世界科学技术领域占有重要一席。鉴于此,需要进行相应的科技体制改革和科技政策调整。结合杰出科学家管理的基本问题、基本理论和基本进路,需要分别从宏观、中观和微观三个层次展开。从宏观的指导思想而言,需要尊重科学技术与社会的互动发展规律,努力营造良好的社会氛围；需要尊重科学研究事业的发展规律,努力增强科学研究组织的自主性；需要尊重经济与科技的互动发展规律,努力实现产学研协调发展；需要尊重科学技术的发展规律,进一步加强基础研究以促进创新。从中观的基本规范而言,重点需要促使杰出科学家勇于承担社会责任,建立与健全恰当的奖惩制度,完善相关科技制度以形成多元化的资助体系和进一步改进和完善我国的院士制度。在微观的具体策略调整方面,重点是要明确和实现杰出科学家的战略追求,保证杰出科学家的工作时间,保证老中青科学家的可持续发展和保证杰出科学家能够协调好诸角色。总之,系统的杰出科学家管理研究还处于初步的探索阶段,还需要在理论与实践两个层次深入开展下去。更多还原

【Abstract】 The study on management of outstanding scientists has become a hot issue in the academia of sociology of science, philosophy of science, history of science, management of science&technology and other related disciplines, but is lack of system. To systematically study must begin from the analysis of science institutionalization and scientists professionalization. The quantity of outstanding scientists grew exponentially with the accomplishment of science institutionalization and scientists’professionalization. And there are inevitably a lot of problems in the group of outstanding scientists with science sociality being strengthened continually. So the study on management of outstanding scientists would be inevitably carried out. The basic problem is the regular pattern issues that outstanding scientists grow up and further contribute to scientific knowledge. From the analysis of the existing research and developmental conditions the latter should be more concerned.That is to say, we must more concern on the regular issue of outstanding scientists further contributing to scientific knowledge. Around the basic problem, the primary problem mainly includes two aspects; one is primary problems about the regular pattern of outstanding scientists’growth up, which mainly includes their family conditions, geographical conditions, university education, workplace, relationship between masters and apprentices, collaborative research, and so on. The other is about the regular pattern of they further contributing to scientific knowledge, which mainly includes Age Management, reward-punishment management, stratification management, role management, and so on. In short, the management of outstanding scientists is necessary and feasible, and therefore has important theoretical and practical value.Analyzing from the historical perspective, the study on management of outstanding scientists had in turn formed four representative and basic patterns that were the planning mode represented by Bernard, the free mode represented by Polanyi, the ideal mode represented by Merton, the social constructivism mode represented by the school of Sociology of Scientific Knowledge(SSK).If the debate between Bernard and Polanyi was the struggle between plan and free, the debate between ideal mode and the social constructivism mode was between ideal and reality. Planning mode focuses on planed nature of science development, but free mode focuses on autonomy of science. The ideal mode focuses on Autonomy of Science in scientific community, but the social constructivism mode focuses on sociality of science. These four modes have both positive and inevitable negative effect. So if want to build the contemporary management mode of outstanding scientists, it is not any one of the four mode but the mode of synthetically inheriting and developing the four. Building the contemporary management mode of outstanding scientists crucially maintain appropriate tension between planed nature of science and freedom nature of science, and between autonomy of science and sociality of science, but Boils down to achieve positive social running.How do carry out the study on management of outstanding scientists in the end under the present historical conditions? It is not only a theoretical problem but also a practical one. At first we must answer this question who is the outstanding scientists. It must be combined with the reward system of science. Recognition is currency in Kingdom. The outstanding scientists are the scientists who had received significant recognition. Therefore it is necessary to respectively research to general scientists’ and outstanding scientists’recognition and evaluation. General scientists’recognition and evaluation can be conducted according to their research achievements, but outstanding scientists’are deeply suffered from Matthew effect. According to the hierarchical situation of reward system of science, the final pursuit of outstanding scientists is eponymy as the highest recognition, thus they achieve historical mentions. Certainly they must assume the important responsibility of society. Therefore, the fundamental purpose of the management is that outstanding scientists continue to contribute to science knowledge and ultimately will be mentioned by history. To achieve the purpose need promote the formation of outstanding scientists’ group by social stratification, make outstanding scientists’group younger by age management, promote outstanding scientists’group to continue to contribute science knowledge by role management and impel outstanding scientists carry out responsible research of science by reward-punishment management. These are the basic ideal of the management of outstanding scientists. In practice, carrying out the management of outstanding scientists needs some special strategies. Combined with the basic problem of the management of outstanding scientist, the basic strategies mainly include training strategy, institution strategy and economy strategy. The training strategy’focus is mainly the training of outstanding scientists, the institution strategy is mainly the growth of outstanding scientists and the formation of outstanding scientists’group, and the economy strategy is mainly using economic benefit to further stimulate outstanding scientists’growth and further contribute to science knowledge. We should more focus on the institution strategy due to global sharing of educational resources and limited function of economic stimulus.It is particularly necessary to carry out the management of outstanding scientists for China. Although Chinese outstanding scientists’group has preliminary scale, there are still some issues need to be resolved in order to further promote their growth. These more prominent problems are, the first is that the group of the outstanding scientists in China is aging, which seriously affected the sustainable development of science and technology; the second is that there are more serious Matthew effect in Chinese science research field, which severely restricted the Chinese comprehensive development of science and technology, the third is that there are more serious roles alienation in the group of outstanding scientists in China, which leaded them deviate from science research and then China is difficult to catch up with the world advanced level in science research, and the fourth is that the academic pursuits of outstanding scientists in China is only domestic, which leaded China difficultly to occupy an important place in the world of science and technology. In view of these, we need to reform science&technology system and adjust science&technology policy accordingly. Combined with the basic problem, the basic theory and the basic route of the outstanding scientists’management, we need in turn to reform and adjust from the three levels including the macro, the meso and the micro. From the macro guiding ideology, we need to create a good social atmosphere in accordance with the law of the interactive development between science&technology and society, to enhance the autonomy of science research organization in accordance with the developmental law of science research, to achieve the coordinated development of industry-university-research in according with the law of the interactive development between science&technology and economy, to further strengthen basic research to promote innovation in accordance with the developmental law of science&technology. From the meso basic norms, we need to focus on promoting scientists to take social responsibility, to establish and perfect the appropriate reward-punish system, to form the diversified system by improving the relevant science&technology regulations and need to improve Chinese academician system. From adjusting the micro specific strategies, we mainly need to clear and achieve outstanding scientists’strategic pursuit, to ensure outstanding scientists’work hours, to ensure sustainable development between old, middle-age and young scientists, and to ensure outstanding scientists to coordinate the various roles.In short, systematic study on the management of outstanding scientists is still in preliminary exploration stage, but also must deeply discus from theoretical and practical aspects.更多还原