专家评审行为规范的国际实践与启示

International practice and enlightenment on the code of conduct for peer review

专家评审行为规范对于提升同行评议的质量和水平起着重要的推动作用。我国已有理论研究和实践工作在深入细化和与实践结合方面还存在不足,与国际相比仍有差距。本文以美国国立卫生研究院(NIH)、澳大利亚国家卫生和医学研究委员会(NHMRC)和欧洲研究理事会(ERC)这三个科学基金资助机构的同行评审指南为案例,从专家评审行为规范的分类、形式以及内容三方面对专家评审行为进行了总结与分析,最后结合国情提出如下建议:一是对专家评审行为规范进行分类,并注重学科差异性;二是专家评审行为规范可采用“总体原则+正负面清单”的形式;三是大力推广专家评审行为规范的实施,注重评审质量的同时提升评审效率。本研究可为细化专家评审行为规范研究、改进和完善同行评议系统提供一定的参考与借鉴。

The code of conduct for peer review plays an important role in improving the quality and level of peer review.The existing theoretical research and practice in China are still insufficient in terms of in-depth specification and integration with practice,and there is still a gap compared with foreign countries.This paper takes the peer review guidelines of research funding institutions from National Institutes of Health(NIH),National Health and Medical Research Council(NHMRC)and European Research Council(ERC)as examples to summarize and analyze the classification,pattern and content of the code of conduct for peer review,and finally puts forward relevant thoughts and suggestions based on the national conditions:First,classify the code of conduct for peer review and pay attention to the differences of disciplines;Second,the code of conduct for peer review can be in the form of"general principles+positive and negative list";The third is to vigorously promote the implementation of the code of conduct for peer review,pay attention to the evaluation quality and improve the evaluation efficiency.This study can provide reference for specifying the research of the code of conduct for peer review and improving the peer review system.