普遍主义抑或特殊主义?——科研项目评审“打招呼”现状及其治理  

Universalism orParticularism?:Facts and Governance Suggestions of"Dazhaohu"in Research Project Review in China

作　　者：赵延东 谢园 龚旭[3] ZHAO Yan-dong;XIE Yuan;CONG Xu(Center for Studies of Sociological Theory&Method,Renmin University of China,Beijing 100872;Beijing Institute of Social Construction,Renmin University of China,Beijing 100872;Bureau of Science Policy,National Natural Science Foundation of China,Beijing 100085,China)

机构地区：[1]中国人民大学社会学理论与方法研究中心,北京100872 [2]中国人民大学北京社会建设研究基地,北京100872 [3]国家自然科学基金委员会政策局,北京100085

出　　处：《自然辩证法研究》2024年第12期78-88,共11页Studies in Dialectics of Nature

基　　金：国家自然科学基金专项项目“科研项目评审专家信誉管理机制研究”(L2024004)。

摘　　要：基于一项对国家自然科学基金项目申请人和评审人的抽样调查数据,对我国自然科学领域科研项目评审中“打招呼”现象的现状进行了初步分析。研究发现:(1)科研评审“打招呼”行为是一种学术不端行为,但它与其它学术交流活动界限模糊,使得隐蔽式“打招呼”难以被界定,相当比例科研人员认为邀请评审专家做讲座等形式的学术交流活动也是“打招呼”;(2)对“打招呼”普遍程度的认知在科学界处于不同地位的人群之间存在较大差异,处于相对劣势地位的科研人员对“打招呼”现象更为敏感,对其严重程度也有着相对更为悲观的判断。有海外经历的科研人员对“打招呼”现象也更为敏感;(3)中国的人情社会环境被认为是导致“打招呼”的最主要原因,科研单位竞争压力大也是重要原因之一;普遍“打招呼”的环境导致原本不想“打招呼”的人也不得不“打招呼”,呈现出一种“剧场效应”;(4)科研人员认为在评审中做好评审信息保密工作是当前治理“打招呼”最有效的措施。最后,基于以上研究发现提出了治理科研评审“打招呼”的政策建议。Using a survey data of applicants and reviewers from National Natural Science Foundation of China,this paper analyzes the current facts of Dazhaohu(asking a reviewer to give a favor)in peer review of research projects in China.Dazhaohu is a form of misconduct in peer review,however,the survey shows that the boundary between Dazhaohu and scientific communication is somewhat ambiguous.The perception of the prevalence of Dazhaohu varied significantly among researchers in different positions in Chinese scientific community.Researchers in a relatively disadvantaged position are more sensitive to Dazhaohu and more pessimistic about its situation and influence.Researchers with overseas experiences are also more sensitive to Dazhaohu.Chinese traditional culture emphasizing the importance of personal relationship is considered to play a leading role in Dazhaohu,whilst the over-competitive environment of research is also considered as one of the main causes.Driven by a general pressure of Dazhaohu,many researchers are forced to Dazhaohu though they are not willing to do so.According to the respondents,to keep reviewers'information confidential in peer review process is the most effective measure to reduce Dazhaohu.Some suggestions to reduce Dazhaohu in research project review are proposed in the last section of the paper.

关 键 词：科研项目评审 打招呼 同行评议 剧场效应 人情社会 

分 类 号：G311[文化科学]