陈光,陈凯华,龚旭,苑怡,方新.优化科学基金同行评议机制的思考[J].中国科学院院刊,2021,36(12):1427-1433.
优化科学基金同行评议机制的思考
Thoughts on Optimizing Peer Review Mechanism of Science Foundation
优化科学基金同行评议机制的思考
Thoughts on Optimizing Peer Review Mechanism of Science Foundation
作者
陈光1
中国科学院 学部工作局 北京 100190
CHEN Guang1
Academic Divisions, Chinese Academy of Sciences, Beijing 100190, China
陈凯华2
中国科学院科技战略咨询研究院 北京 100190
CHEN Kaihua2
Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China
龚旭3
国家自然科学基金委员会 北京 100085
GONG Xu3
National Natural Science Foundation of China, Beijing 100085, China
苑怡4
国家科技评估中心 北京 100081
YUAN Yi4
National Center for Science & Technology Evaluation, Beijing 100081, China
方新5*
中国科学院大学 公共政策与管理学院 北京 100049
FANG Xin5*
School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, China
中国科学院 学部工作局 北京 100190
CHEN Guang1
Academic Divisions, Chinese Academy of Sciences, Beijing 100190, China
陈凯华2
中国科学院科技战略咨询研究院 北京 100190
CHEN Kaihua2
Institutes of Science and Development, Chinese Academy of Sciences, Beijing 100190, China
龚旭3
国家自然科学基金委员会 北京 100085
GONG Xu3
National Natural Science Foundation of China, Beijing 100085, China
苑怡4
国家科技评估中心 北京 100081
YUAN Yi4
National Center for Science & Technology Evaluation, Beijing 100081, China
方新5*
中国科学院大学 公共政策与管理学院 北京 100049
FANG Xin5*
School of Public Policy and Management, University of Chinese Academy of Sciences, Beijing 100049, China
中文关键词
科学基金;同行评议;评审机制
英文关键词
science foundation;peer review;review mechanism
中文摘要
同行评议是科学共同体的自我规范机制之一，是科学质量控制的核心环节。国家自然科学基金资助工作的核心运行机制是同行评议，它是遴选高质量基金项目的重要保障机制。为了使同行评议科学、客观、公正，稳步推进国家自然科学基金新时期的改革与发展，文章从同行评议机制的发展及其优缺点出发，分析了当前国家自然科学基金同行评议机制面临的挑战：不适应跨越式发展需要，专家和管理队伍规模不适应项目申请数量增长，专家评审行为缺少对象反馈且评审专家遴选有待优化，以及项目评审流程缺少监控手段等。据此，文章提出完善国家自然科学基金同行评议机制，建设“负责任、讲信誉、计贡献”（RCC）的同行评议监督与评价系统思路。文章阐述了RCC机制的动态性和科学性，总结了其在优化国家自然科学基金管理和提高项目评审效率中的潜在用途，为进一步推进RCC机制的改革发展提供了一定的理论依据。实践显示，同行评议的RCC改革方向是有效的，但仍需进一步完善RCC制度设计、加强评审质量监测并营造RCC评审文化。文章从多角度论述了完善科学基金同行评议机制的重要性，指明该机制所面临的挑战与可行的发展路径，为RCC监督与评价系统的改革与发展提供一定参考，同时对新时期稳步推进国家自然科学基金的管理具有借鉴意义。
英文摘要
Peer review is the self-regulating mechanism of the scientific community and the core link of scientific quality control. The core operating mechanism of National Natural Science Foundation of China (NSFC) is peer review, which is an important guarantee for the selection of high-quality projects. In order to promote the scientificity, objectivity, and impartiality of peer review, and steadily advance the reform and development of NSFC in the new era, this study analyzes the challenges of the current peer review mechanism of science foundation based on the review of the development of the peer review mechanism, and its advantages and disadvantages. Specifically, the challenges include the inability of the mechanism to meet the needs of catch-up development, the difficulty of the scale of the expert and management team to meet the increasing for project application quantity, the lack of object feedback in the expert review, and the need to optimize the selection of review experts, as well as the lack of monitoring means for the project review process. Accordingly, this study further proposes ideas of improving the peer review mechanism and establishing a "Responsibility, Credibility, Contribution" (RCC) supervision and evaluation system. This study not only clarifies the dynamic and scientific nature of this evaluation system, but also summarizes its potential use in optimizing the management of science foundation and improving the efficiency of project review, providing a theoretical basis for further promotion of the RCC supervision and evaluation system. This idea has been applied in the reform of the science foundation, and the results indicate that the direction of RCC reform is effective. This study further emphasizes the necessity to improve the system design, strengthen the monitoring of review quality, and create a culture of responsible review. It discusses the importance of improving the peer review mechanism of science foundation from multiple perspectives, points out the challenges and feasible development paths of the mechanism, and provides a certain basis for the further reform and development of the RCC supervision and evaluation system, which is of great significance to steadily promote the management of NSFC in the new era.
DOI10.16418/j.issn.1000-3045.20211124002
作者简介
陈光 中国科学院学部工作局技术信息办公室副主任。中国科学学与科技政策研究会秘书长。主要研究方向为科学经济学、科技政策。
E-mail:chenguang@cashq.ac.cn
CHEN Guang Deputy Director of Office of Technology and Information, Academic Divisions of Chinese Academy of Sciences (CAS). He mainly studies the economics of science, science and technology policy.
E-mail:chenguang@cashq.ac.cn
方新 中国科学院大学公共政策与管理学院教授。发展中国家科学院院士,中国科学学与科技政策研究会名誉理事长。曾任全国人大常委会委员、中国科学院党组副书记、中国科学院政策与管理研究所所长、发展中国家妇女科学组织(OWSD)主席、《中国科学院院刊》主编等。长期从事科技战略与科技政策研究,在技术创新、国家创新体系、科技体制改革等领域有较深厚的学术造诣。
E-mail:fangxin@cashq.ac.cn
FANG Xin Professor at School of Public Policy and Management, University of Chinese Academy of Sciences (CAS), Fellow of the World Academy of Sciences for the advancement of science in developing countries (TWAS), Honorary President of the China Association for the Science of Science and S&T Policy Research. She used to serve as Director of Institute of Policy & Management, CAS, Member of the Presidium of CAS, Member of the Standing Committee of the National People's Congress (NPC), Vice President of the Third World Organization for Women in Science (TWOWS), Editer-in-Chief of Bulletin of Chinese Academy of Sciences, etc. Prof. Fang is a long-time researcher in the field of S&T development strategy and policy. She is noted for her profound attainment in technological innovation, national innovation system, and the institutional reform of the national S&T system.
E-mail:fangxin@cashq.ac.cn
E-mail:chenguang@cashq.ac.cn
CHEN Guang Deputy Director of Office of Technology and Information, Academic Divisions of Chinese Academy of Sciences (CAS). He mainly studies the economics of science, science and technology policy.
E-mail:chenguang@cashq.ac.cn
方新 中国科学院大学公共政策与管理学院教授。发展中国家科学院院士,中国科学学与科技政策研究会名誉理事长。曾任全国人大常委会委员、中国科学院党组副书记、中国科学院政策与管理研究所所长、发展中国家妇女科学组织(OWSD)主席、《中国科学院院刊》主编等。长期从事科技战略与科技政策研究,在技术创新、国家创新体系、科技体制改革等领域有较深厚的学术造诣。
E-mail:fangxin@cashq.ac.cn
FANG Xin Professor at School of Public Policy and Management, University of Chinese Academy of Sciences (CAS), Fellow of the World Academy of Sciences for the advancement of science in developing countries (TWAS), Honorary President of the China Association for the Science of Science and S&T Policy Research. She used to serve as Director of Institute of Policy & Management, CAS, Member of the Presidium of CAS, Member of the Standing Committee of the National People's Congress (NPC), Vice President of the Third World Organization for Women in Science (TWOWS), Editer-in-Chief of Bulletin of Chinese Academy of Sciences, etc. Prof. Fang is a long-time researcher in the field of S&T development strategy and policy. She is noted for her profound attainment in technological innovation, national innovation system, and the institutional reform of the national S&T system.
E-mail:fangxin@cashq.ac.cn
