国家自然科学基金资助原创性基础研究的启示:基于原创探索计划试点实施的案例研究  

Inspiration from the NSFC's funding of original basic research:A case study on the pilot implementation of the original exploration program

作　　者：赵英弘 郝红全 李晓萌 郑知敏[1] 杨列勋[1] ZHAO Yinghong;HAO Hongquan;LI Xiaomeng;ZHENG Zhimin;YANG Liexun(Bureau of Planning,National Natural Science Foundation of China,Beijing 100085,China;Department of Sociology,Tsinghua University,Beijing 100084,China)

机构地区：[1]国家自然科学基金委员会计划局,北京100085 [2]清华大学社会学系,北京100084

出　　处：《中国软科学》2023年第10期9-20,共12页China Soft Science

摘　　要：原创性基础研究关乎整个科学体系源头创新能力的提升。国家自然科学基金委员会高度重视其资助工作,在原有支持原创项目的基础上,于2019年年底专门设立原创探索计划(OEP)并试点实施,采用非常规资助机制,进一步引导和激励科研人员投身原创性基础研究工作。2020年—2021年,国家自然科学基金委员会各科学部探索多样化的OEP项目设立、申请和评审方式并取得积极成效,为我国探索建立针对原创性基础研究的非常规资助机制提供了典型案例。研究发现,虽然各科学部采用了多样化的资助方式,但其中已蕴含一些关键共性特征:(1)预申请是保障广泛而高质量原创思想来源的有效方式之一;(2)双盲通讯评审(审查)加评审会议答辩的互补构成了一种有利于原始创新脱颖而出的针对性评审机制;(3)通讯评审(审查)意见反馈和答复及评审会议充分讨论是降低原创性基础研究同行评议非共识风险的可行途径;(4)原创性基础研究需要灵活的资助期限以应对高风险和不确定性。这些结论构成了科学基金制下适宜我国原创性基础研究资助的重要机制特征,也是一种原创性基础研究资助的中国解决方案。Original basic research is related to the improvement of the original innovation ability of the whole scientific system.Attaching great importance to its funding work,a special Original Exploration Program(OEP)that adopting unconventional funding mechanismswas launched by the National Natural Science Foundation of China(NSFC)at the end of 2019 to further guide and encourage researchers to engage in the work of original basic research.In 2020 and 2021,the departments of NSFC explored a variety of ways to set up,solicit and evaluate OEP projects and achieved positive results,which provides a typical case for China to explore the establishment of unconventional funding mechanisms for original basic research.According to the study,although NSFC departments have adopted diversified funding patterns,some key common characteristics can be found,including:1.Pre-application is one of the effective ways to secure a wide and high-quality source of original ideas.2.The complementarity of double-blind communication review and review meeting defense constitutes a targeted review mechanism that helps original innovation stand out;3.Feedback and responses of review opinions as well as full discussion at review meetings are feasible ways to reduce the risk of non-consensus in peer review of original basic research;4.Original basic research requires flexible duration of funding to cope with high risk and uncertainty.These conclusions constitute important mechanism characteristics suitable for China's original basic research funding under the NSFC's funding system,as well as a Chinese solution to original basic research funding.

关 键 词：基础研究 原创性研究 国家自然科学基金 原创探索计划 资助启示 案例研究 

分 类 号：G305[文化科学]