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Evaluating grant proposals:lessons from using metrics as screening device

数据与情报科学学报:英文版 2023年第2期8卷 66-92页

作者： katerina guba Alexey Zheleznov Elena Chechik Center for Institutional Analysis of Science and Education European University at Saint PetersburgGagarinskaya 6/1A Saint Petersburg 191178Russian Federation

Purpose:This study examines the effects of using publication-based metrics for the initial screening in the application process for a project *** key questions are whether formal policy affects the allocation of funds to researchers with a better publication record and how the previous academic performance of principal investigators is related to future project ***/methodology/approach:We compared two competitions,before and after the policy raised the publication threshold for the principal *** analyzed 9,167 papers published by 332 winners in physics and the social sciences and humanities(SSH),and 11,253 publications resulting from each funded ***:We found that among physicists,even in the first period,grants tended to be allocated to prolific authors publishing in high-quality *** contrast,the SSH project grantees had been less prolific in publishing internationally in both periods;however,in the second period,the selection of grant recipients yielded better results regarding awarding grants to more productive authors in terms of the quantity and quality of *** was no evidence that this better selection of grant recipients resulted in better publication records during grant ***:This study contributes to the discussion of formal policies that rely on metrics for the evaluation of grant *** Russian case shows that such policy may have a profound effect on changing the supply side of applicants,especially in disciplines that are less suitable for metric-based *** spite of the criticism given to metrics,they might be a useful additional instrument in academic systems where professional expertise is corrupted and prevents allocation of funds to prolific researchers.

关键词： Grant funding Research evaluation Publication-based metrics Funding allocation

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