摘要
为探讨科技体制改革中组织分权与PI制适用性问题,在整合经济学与管理学关于组织分权的相关理论基础上,结合科研决策过程的自身特点,提出了科研组织分权问题的基本框架。在此框架下,通过调研国内外相关资助机构和科研机构的PI定义与PI制实践,总结概括了PI制的含义和基本特征。通过历史回顾、制度比较和深度访谈,解读了科技体制改革大背景下我国实行PI制科研组织模式的基本逻辑,提出课题制是PI制在我国的主要实践形式,PI制是科技体制改革分权过程的必然结果。针对行政机构(公共部门)、科研机构、弹性科研组织、科学家个体4类决策主体和科研问题选择权、技术路线决策权、经费支配权、资源调动权4类基本决策权讨论了PI制的适用性问题,发现PI的权力应有合理的边界,其适用性还受到科研任务、学科差异、资源共享等多重因素的影响。
Since the implementation of reform and open policy, fully mobilizing the enthusiasm of scientific researchers has been one of the main lines of the scientific and technological system reform. Giving scientific research units greater autonomy and effectively reducing the burden on scientific researchers are of great significance for mobilizing the enthusiasm of scientific researchers and fully releasing the vitality of innovation and creativity of the scientific researchers. For this purpose, in the process of China’s scientific and technological system reform, it has repeatedly been proposed to release scientific research-related autonomy, and expanding scientific research-related autonomy has become one of the focuses of the recent deepening of scientific research system reform.The release of scientific research autonomy will inevitably be accompanied by the changes in the scientific research organization mode and scientific research organization structure. In the process of China’s scientific and technological system reform, PI-mode scientific management is one of the scientific research organization modes which release scientific research autonomy. However, with the development of China’s scientific research and the continuous advancement of the scientific and technological system reform, the practice of the PI-mode scientific management in China has exposed several problems, such as unequal power and responsibility, and inapplicability etc.Therefore, this research aims to discuss the decentralization and applicability of the PI-mode scientific management from the perspective of organizational decentralization, under the background of deepening the scientific and technological system reform, which has certain theoretical and practical significance.This paper mainly uses the organizational decentralization theory in economics and management to study the characteristics of PI-mode scientific management, the distribution of power and responsibility, and its applicability through literature review, institution comparison, and in-depth interviews.Specifically, first, the article integrates the relevant theories of economics and management on organizational decentralization and combines the characteristics of the scientific research decision-making process to propose a basic framework for the decentralization of scientific research organizations. Secondly, under this framework, the basic meaning and characteristics of PI-mode scientific management have been summarized by investigating the definition of PI and the practice of PI-mode in relevant funding agencies and scientific research institutions at home and abroad. Thirdly, under the background of scientific and technological system reform, the basic logic of PI-mode scientific management has been interpreted through historical review, institution comparison and in-depth interviews.Finally, the applicability of the PI-mode scientific management has been discussed by analyzing the four basic decision-making powers of administrative institutions(public sector), scientific research institutions, flexible scientific research organizations and individual scientists.Several results have been found in this study as follows:First, the practice of PI-mode scientific management in China is accompanied by a gradual and in-depth process of the scientific and technological system reform which is basically carried out to promote the rational distribution of power, and the reform of the scientific and technological system itself is also a process of redistribution of power. The research project system has gone through the process of evolution and improvement of the"project contract system to fund system to research project system" in the process of scientific and technological system reform. It is also a process in which the conditions for implementing the PI-mode gradually mature.Second, in the process of China’s scientific and technological system reform, the decision-making power of scientific research activities is continuously distributed and adjusted among the four main bodies of administrative agencies(public sector), scientific research institutions, flexible scientific research organizations, and individual scientists. The establishment of the project system has achieved the transfer of power from scientific research institutions to scientists, which is also the fundamental reason why the PI-mode scientific organization can be realized.Third, the right to choose scientific research questions, the right to make decisions on technical routes, the right to control scientific research funds, and the right to mobilize scientific research resources should be reasonable distributed among different subjects such as scientific research funding institutions, scientific research institutions,universities, flexible scientific research organizations, individual scientists according to the decision costs.Fourth, the PI-mode scientific organization is only applicable to scientific research activities with certain characteristics. In terms of choosing scientific research issues, PI-mode is applicable to bottom-up exploration projects;in terms of technical route decision-making power, PI-mode is suitable for frontier exploratory and uncertain projects;in terms of funding control, PI-mode is suitable for funds that are easy to monitor use items;in terms of resource allocation rights, PI-mode is suitable for the recruitment of professionals in the group, the purchase of small or special instruments.PI mode is a scientific research organization model that gives scientific researchers autonomy. It has played an active role in the early stage of introduction, greatly promoting the enthusiasm of scientific researchers. However,the equivalence of power and responsibility is the basic principle of decentralization. While empowering scientific researchers, it is necessary to consider the applicability and distribution of different powers among different subjects,pay attention to grasp the balance of policies, and then effectively regulate the operation of power.This research proposes the main factors that affect the research organization model from the perspective of organizational decentralization, and on this basis discusses the distribution of different powers in scientific research activities and the applicability of the PI-mode scientific management, then attempts to explain the basic logic of China’s scientific and technological system reform, which has a certain theoretical innovation.
作者
裴瑞敏
陈光
PEI Ruimin;CHEN Guang(Institutes of Science and Development of Chinese Academy of Sciences,Beijing,100190,China;School of Public and Management,University of Chinese Academy of Sciences,Beijing 100049,China;Bureau of Academic Divisions,Chinese Academy of Sciences,Beijing 100190,China)
出处
《科学学与科学技术管理》
CSSCI
CSCD
北大核心
2020年第6期55-69,共15页
Science of Science and Management of S.& T.
基金
国家自然科学基金委青年基金项目(71904185)
中国科协创新战略研究院科研项目(2019ys1-2-2-4)。
关键词
PI制
科研组织模式
科技体制改革
组织分权
委托代理理论
科研决策过程
PI-mode scientific management
scientific organization mode
the reform of science and technology system
organizational decentralization
principal-agent theory
scientific research decision-making process
