美国国家科学基金会的利益冲突管理及若干启示

The Conflict of Interests Management System of National Science Foundation

科学基金资助工作中的利益冲突并不一定会产生相应的行为,但是如果处理不当,则会引起多方面的危害。本文从美国国家科学基金会(NSF)雇员利益冲突管理法律法规体系、评议专家利益冲突管理制度、同行评议过程中的利益冲突规避、利益冲突管理机构和人员设置、监督制度、利益冲突管理培训和宣讲几个方面,深入剖析了NSF利益冲突管理体制及其规律,指出NSF利益冲突管理具有法制化、全面化、注重监督和制衡等特点。借鉴NSF的相关经验和做法,提出推进我国科技管理部门利益冲突管理的政策建议,包括逐步完善利益冲突管理法律法规和制度体系、加强同行评议全过程的利益冲突管理、建立健全监督和评估体系、开展道德规范宣传和利益冲突培训。

Conflicts of interests （COI） in science funding work may result in inappropriate behaviors if not handled properly, but they are not inevitable. This article relates to the management system of American National Science Foundation （ NSF）, including conflict-of-interests laws and regulations for NSF employees and reviewers, methods of avoiding conflicts during the process of peer review, relevant agencies and personnel settings, supervision systems, and some training programs for COI. After analyzing the NSF official documents, we found that NSF had put much emphasis on legalization, comprehensiveness, supervision and checks and balances on the contents of COI management rules and systems. Considering the experience and practices in NSF, we put forward policy suggestions, including gradually improving the levels of comprehensiveness of COl institutions, strengthening the management of conflicts during the peer review process, establishing and perfecting the supervision and evaluation system, and conducting propaganda and training programs of ethics, to promote our country＇s science and technology management departments＇ abilities of managing COI.