Transcript Слайд 1 - ФГБНУ НИИ РИНКЦЭ

International Scientific and Practical Conference
"The expert Community Organization
in the fields of Education, Science and Technology "
(September 26-27, 2013., Trieste, Italy)
TECHNOLOGY OF THE STATE SCIENTIFIC
AND TECHNOLOGICAL EXPERT
EXAMINATION
SRI FRCEC
(Federal Research Center for Project Evaluation and Consulting Services)
Mikhail V. Sergeev, Ph.D., Assoc., +7(495)256-0010
http:\\ www.extech.ru, [email protected]
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The scientific and technological expert examination
The scientific and technological expert examination is a specific kind of scientific
activities, the results of which are subject to special requirements, the main
among them being the integrity and objectivity.
Сlassification
State Expert Examination (SE) or Non-state Expert Examination (NE)
VIP –projects, multifaceted projects, Serial (rating) scientific and technological
expert examination etc.
According to the Federal Law dated 23.08.1996 N 127- FZ (as amended on
07.05.2013) “About Science and State Science and Technology Policy" (v. 14),
scientific and technological expert examination has to be organized by the state
authorities of the Russian Federation and the bodies of state power of the Subjects
of the Russian Federation.
The expert examination is conducted by organizations performing independent
examination, other organizations, as well as individual experts with the
participation of representatives of the Authorities of the Russian Federation, the
organizations funding the research, and (or) scientific and technological work
in:
- Selection of priority areas of state science and technology policy, and the
development of science and technology,
- The formation of scientific and technological programs and projects,
- Tenders to participate in the scientific and technological programs and
projects, monitoring their implementation and the use of scientific and (or) the
scientific and technological results in the economy of the state.
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The basic principles of scientific and technological
expert examination
- independence and legal protection of members of the expert
process in performing their professional activities;
- scientific approach , completeness, comprehensiveness and
objectivity of the research objects of expert examination, ensuring the
validity of the assessment results;
- competence and proficiency of those conducting the review;
- systematic organization of expert work and its regulations and
methodologies;
- aspiration to the global level of science and technology, observation
of environmental regulations as well as abidance by safety and
security requirements, mandatory compliance with the requirements
of national and international standards.
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The costs of the state budget of the Russian Federation on research
(for reference)
According to a database R & D of results (information, software and
technical support for the state account of the results of research,
development and civil engineering works executed by FRCCE
Research Institute), 83 Russian Federal Authority Organizations acted
as customers of R & D for civilian use.
Public Procurement for the Ministry of Education and Science of
Russia amounts to 90% of the funds for R & D and R & D for civilian
use.
About 70% of the allocations for science in Russia accounts for
government funding - (approximately 2 trn.rubley over the past 5 years).
Over the decade, the size of the state budget, earmarked for research
purposes, has increased by 10 (at constant prices).
Differences of expert examination
State Expert Examination (SE)
Non-state Expert Examination (NE)
The basis for the SE are federal and regional laws,
decisions of the legislative and executive branches.
The basis for the NE are solutions of various organizations,
agreements on its necessity, the current practices (e.g, international).
There are (currently under development) basic principles
of how the SE system factors work creating the basis for
the construction of (forming) a single system.
Principles of NE are rather meant in each case and understood in
their own expert advice, commissions and individual experts.
Provided methodological unity of legal, organizational and Approaches to the NE and its form are poorly regulated and are to a
technological approaches to SE contained in official
greater extent a reflection of tradition and experience than
documents enforceable.
methodically grounded rules.
SE objects are to apply for the administrative and financial
support of the state and must be included in the relevant
programs and lists approved at the federal or regional
level.
The subjects of SE are its customers, organizers,
professionals, experts, with clearly defined tasks and
functions.
Results of SE issued in the form of official reports and
sets of documents are to be approved in the prescribed
manner, and must be reflected in the decisions taken by
its customers.
Staffing of SE is somehow under the control of either its
customers or organizers, which should enhance the
objectivity of expert examination and responsibility of
experts.
Selecting of NE objects is apparently arbitrary and is determined by
the current needs in addressing the corporate, public, academic
problems (forums, conferences, hearings).
The functions performed by the subjects of NE, are usually poorly
demarcated, especially in terms of organization, often using different
processing methods.
The results of NE are usually preventive in nature and may even turn
out to be somewhat controversial because of weak regulation of
expert procedures.
Staffing of NE relies heavily on the personal authority of an expert or
a large profile organization (such as the Academy of Sciences)
without "unnecessary formalities."
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The Principles of the State scientific and technological expert
examination (1 of 3)
•
- The principle of assessment status ( "state" ), as reflected in its title and setting her
acts;
- The principle of compulsory state examination, providing for the need to carry out the
preparation of decisions by government and other agencies;
- The principle of repeatability of SE in cases of dispute (conflict) situations, violations
of regulatory requirements, the emergence of other unforeseen obstacles;
- The principle of independence and legal protection of members of the expert
process in the discharge of its functions;
- The principle of unity of the legal and institutional framework and methodological
examination activities as a system factor contributing to comparability and explainable
assessments and conclusions derived from different sources;
- The principle of objectivity, scientific validity , the findings of examination of
evidence, equating it to a variety of scientific research conducted in a particular
situation;
- The principle of personnel security of expert work that requires careful selection of
applicants for professional fulfillment and its interaction with them in the service
installed, contractual and other relations;
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The Principles of the State scientific and technological
expert examination (2 of 3)
•
- The principle of "transparency" of expert process at all stages under the conditions
and limitations imposed by Legislation of the Russian Federation;
- The principle of introducing the necessary safety standards in the study, testing,
operation of facilities that have passed SE;
- The principle of information and other cooperation examinations of different types
(economic, environmental , etc.) in the course of carrying out joint tasks or related
expert examinations, as well as other substantive and organizational tasks;
- The principle of harmonization of the rules , techniques , display and presentation of
the results of examination of its customers and other interested parties in accordance
with current (approved) regulations ;
- The principle of economical effectiveness assessment, which allows to reach an
acceptable ratio of the cost of its organization and conduct with the resulting savings
(budget) funds with negative findings regarding the project and the rejection of
proposals for further work on it;
- The principle of the use of modern information technology and automation of
processes of interaction between participants and organizational expert works .
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The Principles of the State scientific and technological
expert examination (3 of 3)
Despite the declarative the nature of these principles, their
acceptance of scientific methodology helps build the expert
examination, which has always attracted the attention of researchers,
even if it was abstracted from any practice.
Deviation from it is ALWAYS leads to a decrease in the "quality" of
examination, and the rejection of each of these numerous principles
(apparently!) is characterized by their system "punctures"!
(It is not difficult to construct a table of the "rejection of the principle"
and => "negative consequences"!)
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The main technological parameters of the State scientific and
technological expert examination
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- Method of obtaining an expert opinion;
- Qualitative and quantitative composition of the experts involved in the
event;
- the composition of the background information, the initiating peer
procedure;
- criteria under evaluation of expertized material;
- regulations of the expert examination as a whole and the collection of
expert opinions in particular;
- processing method of expert opinion in order to create expert conclusion;
- level of methodological, organizational, informational, and technical support
expertise processes.
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The technological cycles of the State scientific and technological expert
examination (1 из 5)
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Reception and registration documents for the facility subject to examination.
The resolution guide.
Forming the package of documents for examination - replicating materials.
Analysis, classification and identification of the object.
Formation of the terms of reference for the examination.
Information search.
Selection of experts.
The experts' work – on the subject.
Processing and finalization of expert opinions.
Preparation and approval of the state examination.
Backup.
Sending materials of expert examination to the Customer.
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The technological cycles of the State scientific and technological expert
examination (2 из 5)
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Reception and registration documents for the facility subject to examination.
Documents on the object to be examined arrive electronically and on paper. The structure of
documents includes:
- A description of the case
- The task (specifications) for examination,
- Application (cover letter) for examination.
Among the facilities is the passport, which at least contains the name and type of details that
provide clerical work at various stages of assessment, in particular, the registration number, the
name and code number that uniquely identifies the object as well as the data determining at what
stage is the examination of the object and specific data for that stage.
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The resolution guide.
The leadership issues the decision for the examination, or responds to the request with a
motivated rejection of examination. In any case, the object is assigned action officer CE,
responsible for the organization of the examination. In addition, the solution determines the mode
of examination (for large projects, normal, fast, cito!) And as a result, the schedule of its execution.
The term is generally from 5 days to a month (for large projects - ½ to 2 months!) .
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Forming the package of documents for examination - replicating materials.
At this stage is adopted the paperless technology associated with copying files to a folder with the
materials of the object, and in case of absence of an electronic version, the information on the
subject is committed to paper - with the advanced information transfer on storage media.
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The technological cycles of the State scientific and technological expert
examination (3 из 5)
•
Analysis, classification and identification of the object.
There is a need to classify the object in terms of subject area, its orientation (research &
development, industrial application), etc. Identification is to find the prototypes of the object of
knowledge, and the like.
•
Formation of the terms of reference for the examination.
In general, the task for examination may not contain the specific parameters to be evaluated in the
course of expert examination or the Customer may be required to produce a specific set of criteria
(novelty, relevance, timing of reality , etc.) of the full range of possible parameters of the object.
Expert must have Customer’s Agreement (specified):
- Document containing the terms of reference for the examination. Depending on the type of
examination the TR may contain a list of questions to be answered, or an expert card of formalized
form (template), expert opinion, etc.
- Schedule of passing the examination, by the technological process stages or cycles.
Information search.
Expert administrator is searching for information on the subject of the object in the database
sharing, internal database and archive, the Internet, etc. Search results are included in the folder
with the materials of the examination object
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The technological cycles of the State scientific and technological expert
examination (4 из 5)
Selection of experts.
Selection of experts involves identifying the range of possible experts on the basis of subject
experts of the Federal Roster (performed by the expert administrator) and the appointment of a
specific object for examination (performed by the expert and organizer) .
This procedure is non-formalized, responsible and is to identify the independent experts in a
narrow category of the object of examination.
Search of parameters in EDF: the code topics (keywords, specialty codes WAC, GRNTI, OECD,
etc.) , region, age , position, experience of the expert (quantity, performance , etc.) , status (
academic degree, academic title, related publications, etc.).
The experts are chosen from the list of potential experts on the subject by the group leader (at
least 3 - 5), the list composition of subject matter experts is approved by the expert administrator.
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The experts' work – on the subject.
Expert administrator establishes contact (interacts) with the members of the group of subject
matter experts, provides (usually remote) reference to each of the groups of subject matter experts
for examination, hands over the folder with the materials of the examination object. In addition, it
prepares the network part for each group of subject matter experts (subject of the contract, the
period of performance, personal data, expert groups, etc.) of the draft contract of civil nature for
examination and presents a form of subject matter experts (template) and of expert opinion.
Every expert prepares his opinion on the subject on the basis of materials submitted for
consideration within the period of time from 2 days to 2 weeks (depending on the type of expert
examination) .
•
Processing and finalization of expert opinions .
Expert - organizer prepares a consolidated opinion on the subject within the period of time from 3
days to a week. The procedure for each case of expert opinion ( consensus, disagreement, the
opposite value) is formalized. Additional subject matter expert examination.
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The technological cycles of the State scientific and technological expert
examination (5 из 5)
•
Preparation and approval of the state examination.
Expert - The project manager prepares the state examination agreed upon with the participants of
the expert process. An additional subject matter expert examination (the procedure needs to be
developed).
The final version is signed and sent to the Guide by expert-organizer with the covering letter.
Backup.
A file is created for the object, which includes:
- Starting materials
- Expert opinions,
- The conclusion of the State examination,
- A copy of the cover letter to the Customer,
- Passport of the object.
Folder with the materials of the object is moved to the archive.
Sending of expert examination materials to the Customer.
The results of the examination (cover letter and the conclusion of the State Examination) are sent
to the Customer.
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Experience in organizing and conducting scientific and technological expert
examination in SRI FRCCE
•
For the period 1991 - 2013 years the SRI FRCEC has conducted more than 30,000 expert
examinations. As shown, the state expert examination in the field of science is an effective tool for
improving the efficiency of scientific and technological activities allowing you to select promising
ideas, more precisely define the scope of expected financial costs, reduce risks, avoid possible
duplication of research.
To provide for the organization and holding of SRI FRCCE annually not less than 1000
examinations the standard process of expert examination of programs and projects was
established, which was registered in 1992 in ROSSTANDSARD (the State Standard) of Russia as
the enterprise standard (STF).
An important step in the development of state expert examination in the field of science was the
creation by the order of Ministry of Science of Russia ( 1996 ) of the Federal Roster of Experts in
scientific and technological sphere containing at present more than 5 thousand scientists and
experts from all regions of Russia and covering about 500 research areas.
On the basis of modern information technology and network communications in 2010 the SRI
FRCCE a system of remote expert examination, which enables us to provide highly qualified
expert services in virtually all regions of the Russian Federation, for enterprises and organizations
of different sectors of the economy .
In connection with the adoption of the Federal Law “On Technical Regulation” (№ 184- FZ of
December 27, 2002) a standard process of expert examination was established in SRI FRCCE in
the form of organization standards (SRT), which meets all requirements of the organization and
conduct of state expert examination in the field of science.
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Some of the results of scientific and technological expert examination of
innovative projects eligible for state aid
Процент "выхода годных" проектов
Percentage of good projects
10%
40%
20%
30%
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THANK YOU FOR YOUR
ATTENTION!
SRI FRCCE R&D Institute
(Federal Research Center for Project Evaluation and Consulting Services)
Mikhail V. Sergeev, Ph.D., Assoc., +7(495)256-0010
http:\\ www.extech.ru, [email protected]
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