GB/T 41619-2022Guidelines of science and technology research project evaluation—Basic research projects (English PDF)

Foreword

This document is in accordance with the provisions of GB/T 1.1-2020 "Guidelines for Standardization Work Part 1: Structure and Drafting Rules of Standardization Documents" drafted.

Introduction

0.1 General

The improvement of national scientific and technological competitiveness is increasingly dependent on breakthroughs in basic research, and basic research projects are It is one of the important ways for science and technology to become self-reliant and support the continuous improvement of national science and technology competitiveness. How to scientifically and effectively evaluate basic research projects, support The importance of maintaining project management and improving the effect of project implementation has become increasingly prominent.

This document provides basic guidelines for basic research project evaluation activities, and provides guidelines for organizations that carry out basic research project evaluation activities. normative guidance. This document is a recommended national standard. The evaluation type, evaluation content and evaluation method are based on the characteristics and management of the project to be evaluated.

Selective use is required. The adoption of this document will help to improve the evaluation system of basic research projects, improve the comprehensive management level of basic research projects, Optimize the allocation of basic research resources, improve the effectiveness of basic research projects, and carry out scientific and standardized evaluation activities for basic research projects in my country.

The overall improvement of the implementation effect of basic research projects has laid a good foundation.

0.2 Classification of basic research projects

The "Decision on Improving the Evaluation of Science and Technology" (Guo Ke Fa Ji Zi [2003] No. 142) distinguishes basic research categories and is divided into free Exploring basic research and strategic basic research; State Council "Several Opinions on Comprehensively Strengthening Basic Scientific Research" (Guo Fa [2018] No. 4)

Basic research is clearly divided into free exploration and goal-oriented research, and goal-oriented basic research retains the connotation of strategic basic research;

The State Council's "Notice on Several Measures for Optimizing Scientific Research Management and Improving Scientific Research Performance" (Guo Fa [2018] No. 25) clarifies that "basic research and application "Research" projects are three types of evaluation projects (basic research and applied basic research projects, technology and product development projects, application demonstration projects Items), and pointed out the key points of the evaluation of such projects, emphasizing the evaluation of "the major originality and scientific value of new discoveries, new principles, new methods, and new laws. value, the effectiveness of addressing key scientific issues in the major needs of economic and social development and national security, the effect of supporting technology and product development, representation The quality and level of scientific research results such as scientific papers are mainly based on international and domestic peer review." From the connotation, the "basic research and Applied Basic Research" correspond to free-exploration and goal-oriented basic research respectively; "Strengthening "From 0 to 1" Basic Research Work Plan" (Guo Ke Fa Ji [2020] No. 46), basic research projects are divided into basic research projects and applied basic research projects.

The State Council's "Notice on Several Measures to Optimize Scientific Research Management and Improve Scientific Research Performance" (Guo Fa [2018] No. 25) is basically consistent.

In summary, according to the actual situation of scientific research projects in my country, after thorough discussions by experts, this document divides basic research projects into two categories.

Free exploratory basic research projects and goal-oriented basic research projects, and goal-oriented basic research projects include applied goal-oriented and Scientific goal-oriented basic research projects. Free exploration basic research projects focus on evaluating new discoveries, new principles, new methods, and new laws.

Originality and scientific value, focus on evaluating the level of representative achievements; target-oriented basic research projects focus on evaluating solutions to economic and social development and Efficacy and applied value of key scientific issues in major national security needs. It has the characteristics of "0-1" originality, non-consensus and interdisciplinary type.

The basic research projects listed are all free-exploration or goal-oriented basic research projects.

1 Scope

This document provides suggestions for evaluating basic research projects in the field of natural science and technology, including evaluation principles, evaluation types, evaluation content, Evaluation methods and evaluation procedures.

This document applies to scientific research project management agencies, undertaking units, evaluation agencies and other relevant parties to carry out scientific research project evaluation activities.

The evaluation activities of scientific research projects with basic research attributes in other fields other than the fields of natural science and technology are used for reference.

2 Normative references

The contents of the following documents constitute essential provisions of this document through normative references in the text. Among them, dated citations documents, only the version corresponding to that date applies to this document; for undated references, the latest edition (including all amendments) applies to this document.

GB/T 22900-2022 General Principles for Evaluation of Science and Technology Research Projects

3 Terms and Definitions

Terms and definitions defined in GB/T 22900-2022 apply to this document.

4 Evaluation principles

The evaluation should meet the evaluation principles proposed in GB/T 22900-2022, and consider basic research projects in the fields of natural science and technology. (hereinafter referred to as "basic research projects") characteristics, the following principles should also be followed.

---Innovative, the evaluation activities should fully consider the research content, method or innovation degree of the project;

---Representative, evaluation activities should focus on the examination of representative results in accordance with the needs of scientific value and social impact improvement;

---Differences, evaluation activities should be based on project characteristics and rules, establish evaluation priorities, and flexibly select evaluation methods. free exploration Basic research projects mainly evaluate the innovation and academic contribution of project research, suitable for long-term evaluation and international peer evaluation; goals Oriented basic research projects mainly evaluate the effectiveness of solving basic scientific problems in economic and social development and national security, focusing on program evaluation.

5 Evaluation Types