中国新型研究型大学PI制的运行机制与成效分析

Operational Mechanism and Efficiency of the PI-mode Research Management at Neotype Research Universities in China

科研管理体制机制创新是中国新型研究型大学有效服务国家创新驱动战略的核心举措。相比传统的所长负责制和项目聘任制,PI制以科研人员个体为基本单位进行科研决策和资源配置,是新型研究型大学的主要科研组织模式。本文基于组织分权与高等教育系统理论构建分析框架,以访谈和文档研究为基础,结合问卷对南方科技大学的PI制进行了案例研究。研究发现,PI制可以有效激发基础科研创新活力并推动市场导向型校企科研合作,但与国家战略导向型科研需求存有潜在的不兼容。为此,新型研究型大学可探索多元错位发展,或通过PI协作群提升与国家政策导向科研的兼容性,也可选择充分发挥PI制优势以保护基础研究人才的科研自主权。

Emerging neotype research universities(NRU)in China aim to serve the national strategy through the innovation of scientific management mechanisms.Compared with traditional research management models like the director-oriented system and the project appointment,the Principal Investigator(PI)mode is based on the autonomy of individual researchers to orientate their research directions and allocate their research resources,constituting a significant part of the scientific management mechanism of NRU.This study aims to investigate the pros and cons of the indigenization of PI-mode at NRU via the prism of organizational decentralization and the theory of the higher education system coined by Burton Clark.A case study on the Southern University of Science and Technology(SUSTech)with mixed methods has been employed.More specifically,documentation and semistructured interviews were first used to testify the analytical framework.Then,a survey questionnaire was designed and distributed.Results indicate that empowering researchers through the implementation of PI-mode greatly promotes the creativity and enthusiasm of teachers to conduct cutting-edge basic research and university-industry cooperation.As an organizational innovation,however,the PI-mode of SUSTech is still inharmonic to the demands of current national strategic-oriented research and development.For enhancing the sustainability and diversity of NRU,this study put forwards those different institutions should decide to either implement the PI cluster mode to improve the competitiveness in large-scale research projects to serve the national strategy or preserve the autonomy of individual researchers for encouraging efforts in basic research.