科研卓越框架（REF）：英国高校科研评估改革及其拨款模式研究

发布时间：2018-05-13 14:13

本文选题：科研评估 + 科研卓越框架　；参考：《天津理工大学》2017年硕士论文

【摘要】：2014年12月,英国高等教育基金委员会(HEFCE)公布了科研卓越框架(Research Excellence Framework,REF)的评估结果,受到世界各国广泛关注。REF重视科研成果的创新和社会效益,在评估单元、评估要素、参评人员等方面做了较大调整。其中最重要的就是新增加了“科研影响力”这一评估要素,体现了英国科研追求卓越和创新,重视科研成果的社会效益,致力于建设创新型国家。随着科研评估的改革,与科研评估结果挂钩的科研拨款模式也有相应的调整。基于REF科研评估结果的科研拨款,在延续双重科研拨款制度(dual support system,DSS)的基础上采用基于学科的公式化拨款模式,即高等教育基金委员会根据REF评估结果等级按照公式化方法分配科研经费。英国科研卓越框架(REF)及其拨款模式促进了英国各类大学及高等教育的发展,科研创新能力得到大幅度提升,增强了科研国际竞争力。但REF在发挥了众多的正效应时也存在着一定的问题。运用文献分析法、内容分析法、对比研究法等研究方法对英国科研卓越框架(REF)及其拨款模式进行较为全面系统的分析,在总结其特点和影响的基础上探讨英国卓越框架(REF)及其拨款模式对我国科研评估和学科评估的启示。首先,从英国科研评估产生的背景出发分析REF的产生过程,以REF整个评估框架为依托,具体分析每个评估指标、评估内容及评估方法等。REF评估具有以学科为基础精简评估单元、新增“科研影响力”、缩减参评人员等特点,反映了REF评估中“公正”、“学科”、“卓越”和“协同”的价值理念。其次,在研究英国科研拨款制度发展阶段的基础上分析基于REF评估结果的公式拨款模式,主要分析经常性科研拨款的科研质量拨款。科研拨款体制中半官方主体及科研教学拨款分离的特色值得我国学习借鉴。最后,宏观分析英国科研卓越框架(REF)及其拨款模式的影响,并结合其特点为我国科研评估和学科评估提出可行性建议。建议我国科研评估要引入权威半官方机构、评估标准多元化、建立经常性科研经费、发展重点学科、学科评估落实学科分类思想等。
[Abstract]:In December 2014, the UK higher Education Fund Board announced the results of the research excellence framework, Research Excellence Framework, which has attracted worldwide attention. Ref attaches importance to the innovation and social benefits of scientific research results. Participants and other aspects of the major adjustments. The most important is to add the "scientific research influence", which embodies the pursuit of excellence and innovation in scientific research in Britain, attaches importance to the social benefits of scientific research results, and devotes to the construction of an innovative country. With the reform of scientific research evaluation, the scientific research funding model linked to the results of scientific research evaluation has been adjusted accordingly. Based on the results of REF research evaluation, the research funding model based on discipline formulation is adopted on the basis of the continuation of the dual support system. That is, the higher Education Fund Committee allocates research funds according to the REF evaluation level according to the formulaic method. The British Framework of Excellence in Scientific Research and its funding model have promoted the development of universities and higher education in the United Kingdom, greatly improved the ability of scientific research innovation and enhanced the international competitiveness of scientific research. But REF also has some problems when it exerts many positive effects. By using the methods of literature analysis, content analysis and comparative research, this paper makes a comprehensive and systematic analysis of the British Framework of Excellence in Scientific Research (REFF) and its funding model. On the basis of summing up its characteristics and influence, this paper discusses the enlightenment of the British Framework of Excellence (REF) and its funding model to the evaluation of scientific research and subject evaluation in China. First of all, based on the background of the British scientific research evaluation, this paper analyzes the process of REF. Based on the whole evaluation framework of REF, it concretely analyzes each evaluation index, the evaluation content and the evaluation method, and so on. The evaluation has a simplified evaluation unit based on the subject. The new characteristics of "scientific research influence" and the reduction of the number of participants reflect the values of "justice", "discipline", "excellence" and "synergy" in REF evaluation. Secondly, on the basis of the research on the development stage of the British scientific research funding system, this paper analyzes the formula allocation model based on the REF evaluation results, and mainly analyzes the research quality allocation of the recurrent scientific research funding. The separation of semi-official subjects and scientific research teaching grants in the system of scientific research grants is worthy of our country to learn from. Finally, the impact of UK Framework of Excellence in Scientific Research (REFF) and its funding model is analyzed, and some feasible suggestions are put forward for our country's scientific research evaluation and subject evaluation combined with its characteristics. It is suggested that the scientific research evaluation in our country should introduce the authoritative semi-official organization, diversify the evaluation standard, establish the regular research funds, develop the key disciplines, and carry out the subject classification idea.
【学位授予单位】：天津理工大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：G644

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