Main results of TRCs’ operations became intensification of students training on the basis of academic (RAS) research institutions, formation of joint laboratories (usually on the basis of the RAS institutions) for the collaboration between academic and university researchers, the rise in cooperation in training candidates for PhD125 and growth in the volume of research conducted by the faculty, particularly thanks to the stu dents’ more vigorous contribution to research, as well as, albeit far more seldom, the faculty contribution to research projects conducted in In the mid 1990s, many academic institutions had no funds to foster their own PhD canddates, while the major network of postgraduate training was concentrated with uni versities, which, however lack specialists to train and fall short of topics for research. The problem can be remedied by fixing the candidate for PhD with a laboratory of an aca demic institution. In the Program frame, the PhD candidates could be staffers at a RAS research institution which partnered with a university under the Program, and at the same time could defend their PhD thesis in their universities.
academic institutions. Whereas the number of TRCs was considerable, while the financing of the program was gradually reduced, the support to RECs was fairly modest. As a result, the Program provided just an incentive to cooperation, but failed to solidify efficient cooperation models.
The other form of integration between research and education, RECs emerged thanks to implementation of the program entitled “ Fun damental research and the higher education”. Their number was far smaller than that of TRCs, while funding proved to be much greater – they were sponsored mostly by the US funds and local sources. At pre sent there are 16 RECs, and support to them continues already in the frame of competition programs, with maintenance of a minimum “ba sic” financing.
In vast majority of cases, 60% of the overall amount of a REC’s grant falls on costs of equipment that enables the institution to set fundamen tally research tasks and thus more efficiently develop international co operation and receive additional funding.
REC should demonstrate a combination of three components:
namely, education, research and development of external connections with domestic and overseas organizations and companies. RECs vary by their size, both in terms of research and faculty, and the number of students and postgraduates working there.
Principal sponsors have indicated their intention to support RECs for another 4–5 years and identified the centres’ contribution to the proc ess of establishment of research universities as a promising direction of their development.
Meanwhile, as evidenced by selective surveys, most representatives of the research community view integration between the academic and university research being beyond the context of research university, for both universities and research centres are keen to retain their auton omy. Given that, there is a considerable resistance to more radical transformations of organizational and legal forms of research institu tions.
4.3.3. Optional scenarios of reforming the research organizations network As provided for by “The Principles of restructuring of the budget sector of the Russian Federation in 2003–2004 and until 2006”, it is possible to create in the research area new organizational and legal forms of organizations instead of budgetary institutions: namely, AI and PANO, economic companies with or without government participation in their authorized capital or non for profit organizations with a partial par ticipation (full absence of participation) of the state. It is AI and PANO that should become most widespread forms of research organizations.
While integration structures established on the basis of consolidation of academic institutions and universities should be transformed into AI, large research centres possessing costly equipment are expected to be made PANO. Finally, the form of economic company appears optimal to the organizations the bulk of proceeds of which is formed by commer cial orders and which to a significant extent focus on innovation and ap plied projects.
As concerns prospects of integration between budget sponsored research institutions and universities, TRCs and RECs may be trans formed into independent legal entities. In compliance with the current law, TRC can be formed as a non for profit partnership or association (union) of legal entities. These kinds of legal entities imply membership and, once licensed, can carry out education activity.
Once the new law on non for profit organizations is developed, TRCs and RECs can take the form of AI.
Criteria and scenarios of reforming budget research institutions.
Optimal forms of transformation of research organizations should be found basing on strict criteria that should take into account specifics of the research, as follows:
The nature of research and works underway: if less than 80% of pro jects carried out by a given institution match priority directions of devel opment of research and techniques, such institutions should be trans formed into other organizational and legal forms;
Types of works, including the proportion of fundamental research.
Presently its is mostly the public sector (represented by academic and departmental organizations) that deals with fundamental research. The proportion of fundamental research of 70% should be regarded as a threshold value for making a decision on appropriateness of the transi tion of the institution under other organizational and legal forms, at least, as far as organizations of the academic sector of research are concerned;
The dynamics of the proportion of extra budgetary funding over the past three years – should it accounts for over 70% of the organization’s overall financing, it may be possible to transform it into a commercial organization;
As concerns research institutions in possession of unique equipment (that should be maintained and renewed at the expense of the state budget, provided they serve for the sake of development of fundamen tal research, or appear necessary for works in the national defence and security area), they should keep their current organizational and legal form unchanged;
Size of the organization: the larger the organization is and the great number of staff it has, the more complex its transformation appears.
While according to the inventory, budget sponsored research institu tions typically are fairly compact organizations (with just a few excep tions), stable by its number and even growing administrative and mana gerial staff forms a serious force that can oppose, actively or passively, any transformation.
The level of development of ties with other research organizations, industrial enterprises, overseas organizations, and, particularly, the current level of integration between academic institutions and universi ties.
The two main scenarios of reforming the network of budget research institutions differ by the level of efficacy of contraction of the network and by suggested proportions between different organizational and le gal forms into which budget institutions will be transformed.
According to the first, relatively modest, scenario, the number of budget research institutions is reduced by 50% by transforming them into other organizational and legal forms. The following institutions should retain their form of budget institutions: academic research insti tutions that deal with natural science, those carrying out a considerable volume of fundamental research (70% and more of the overall volume of research), a part of departmental institutions that are service suppli ers to ministries and agencies, and those whose operations are based on unique equipment.
In the academic sector, at least, half of the reformed organizations should be integrated with research universities, perhaps in the form of AI. That concerns primarily academic organizations that conduct re search in the area of humanitarian and public science, have a consider able volume of fundamental research and are sponsored by various means of budget financing (government programs, grants). Roughly as much as 10% of the total number of institutions that already operate as commercial structures can be transformed into economic companies, while the others (i.e. a. 40% of institutions subject to reforming) can opt for the form of PANO, with the government remaining their solitary or principal founder.
Should the first scenario be implemented with respect to depart mental institutions, it can be suggested that a. 5% of them would be come economic companies, 20% – transformed into the PANO form, while the rest into the AI form.
In the event of realization of the second, radical, scenario, there should occur more drastic cuts in the budget research institutions net work. That would take place primarily by reforming the RAS system, which implies both transforming academic budget institutions into other organizational and legal forms and a fundamental changing of RAS as the institution that enjoys a unique status that does not match the effec tive Civil Code of RF. In the event of realization of this particular sce nario, as many as two thirds of budgetary institutions would be subject to reform.
The transformation of RAS into a public organization that would not manage budget funds would necessitate transforming all the academic research organizations into various organizational and legal forms and particularly their merging with research universities.
This scenario suggests closing down of a. 5% of budget institutions.
Of the overall number of academic institutions that would be com pelled to modify their organizational and legal form 5% should be closed down, 10% – transformed into economic companies, 35% – may be transformed into PANOs, while the remaining 50% – merge with research universities.
In the departmental sector, as a minimum, the same 5% of budget institutions should be closed down, another 5% – would be subject to transformation into the form of economic company, while the remaining institutions should be transformed in a roughly equal proportion into the forms of AI and PANO.
Reform of FUE A radical contraction of the budgetary institutions network clearly does not solve the problem of an efficient use of budget funds, for FUEs pose yet a great problem, as they consume the lion’s share of budget funding.
The reform of FUEs in the research and techniques sphere has al ready started. More specifically, the government experts have singled out a group of organizations whose privatization was banned and they retained the FUE status126. The list of such organization comprises primarily the Public Research Centres (PRC), i.e. the organizations that receive additional budget funds in the frame of a PRC support program.
It appears appropriate to further transform a part of PRCs that currently exist in the form of FUE into PANO.
A part of FUEs are subject to transformation into joint stock compa nies with the 100% government participation: this concerns organizations of the industries where practically 100% of industrial enterprises were privatized (car manufacturing, chemical and pharmaceutical). It appears inappropriate to keep in these sectors public unitary enterprises that deal with R&D (the former sectoral research institutes per se).
For the FUEs in the aggregate volume of which sales of R&D, includ ing fundamental ones, account for the lion’s share (over 70%) and which mostly deal with government orders, an optimal solution would be their transformation PANO s.
4.3.4. Conclusions The earlier conducted studies into reform options of the network of budget organizations and budgeting in the research area can be di vided into two avenues: the reform of the research and techniques or ganizations network and optimization of the budgeting in the area of financing R&D. Meanwhile, the present research has failed to cover the According to presidential Decree “on approving the list of strategic enterprises and strategic joint stock companies” of 4 August, 2004, No. 1009.
issue of identification of optimal organizational and legal forms of re search and techniques organizations’ functioning, which is why the pre sent paper provide no assessments of the scale of and effects from the budgetary research institutions reform.
The examination of the past experiences of organizational reforming in the research area provides evidence that it has always rested upon the departmental principle, with RAS, the RF Ministry of Education and the RF Ministry of Industry, Science and Technologies being major re form locomotives.
The reform attempts in the RAS system were cosmetic, which is why the number of research institutions under the Academy has not just failed to fall recently, but also even showed some growth. The Ministry of Education centred its efforts on identification of the group of leading universities to keep them in the federal property and ensure their in creased budget funding. The Ministry of Industry and Science in turn developed its own concept of the public organizations reform, which, as far as research institutions are concerned, suggests rather a mild re structuring mode.
It is possible to introduce in the research sector new organizational and legal forms of organizations: AO, PANO, economic companies with or without government participation in their authorized capital, or non for profit organizations with a partial government participation or with out that. It is proposed to transform integration structures created on the basis of mergers between academic institutions and universities into AIs, while large research centres with costly equipment – into PANOs. The form of economic company is optimal only for the organi zations whose bulk of revenues is formed by commercial orders and which appear to a significant extent oriented to innovation activities and applied works.
There can be possible two main scenarios of the budget research in stitutions network reform: the scenarios differ by the level of efficacy of cuts in the budget network and quantitative proportion of different or ganizational and legal forms into which research institutions would be transformed.
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