英国高校科研评价的非期望后果、原因及治理  

The Unintended Consequences,Causes and Governance of Academic Research Evaluation in UK Universities

作　　者：刘彦林 LIU Yan-lin(Chinese Academy of Social Sciences Evaluation Studies,Chinese Academy of Social Sciences,Beijing 100732,China)

机构地区：[1]中国社会科学院中国社会科学评价研究院,北京100732

出　　处：《黑龙江高教研究》2025年第5期75-82,共8页Heilongjiang Researches on Higher Education

基　　金：中国社会科学院青年人文社会科学研究中心社会调研项目“国内外基于社会科学特点的科研评价体系优化研究”(编号:2025QNZX011)。

摘　　要：经过30多年的发展,英国高校科研评价带来的非期望后果已得到充分讨论并采取一定治理举措,能够为完善我国科研评价体系提供参考和借鉴。通过梳理英国科研卓越框架评价方法、结果、相关分析报告与评论,发现英国高校科研评价带来了科研人员的功利行为与短期主义,高校的管理主义、策略行为和马太效应,知识生产方面跨学科和开放研究处于不利处境等非期望后果,原因在于科研人员迎合评价标准和规则,评价活动为高校策略行为提供了利益激励、策略空间和学习条件,评价活动的制度化等。为减轻非期望后果,英国完善跨学科成果评价、成果归属等评价规则,积极构建多样、包容的科研文化。基于分析与适应性治理视角,提出构建适应科研特点的科研评价体系、设置适应科研规律的激励强度、提升对参评主体策略行为的动态适应能力、提高科研评价体系与其他体系的协调适应度等建议。Following over three decades of development,the unintended consequences of the Research Excellence Framework(REF)in UK universities have been thoroughly examined,and several governance measures have been implemented,providing a valuable reference point for the enhancement of China's research evaluation system.The REF has resulted in unintended consequences,including utilitarian behavior and short-termism of researchers,managementism,strategic behavior and Matthew effect of universities,and interdisciplinary and open research are disadvantaged in knowledge production.The reasons are researchers cater to evaluation standards and rules,evaluation activities provide interest incentives,strategic space and learning conditions for the strategic behavior of universities,and evaluation activities are institutionalized.In order to mitigate unintended consequences,the UK has improved the rules for interdisciplinary output evaluation and attribution of outputs,and taken active action to build a diverse and inclusive research culture.Based on the analysis and the perspective of adaptive governance,suggestions are put forward to construct a scientific research evaluation system that adapts to the characteristics of scientific research,set up incentive intensity that adapts to the principles of scientific research,improve the dynamic adaptability to the strategic behaviors of participants,and improve the coordination and adaptability of the scientific research evaluation system with other systems.

关 键 词：科研评价 科研卓越框架 非期望后果 功利行为 策略行为 适应性治理 

分 类 号：G649.561.2[文化科学—高等教育学]