SRI FRCEC

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International Scientific and Practical Conference"The expert Community Organizationin 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, sergeev_at_extech.ru

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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.
• ?lassification
• State Expert Examination (SE) or Non-state Expert
  Examination (NE)
• VIP projects, multifaceted projects, Serial
  (rating) scientific and technological expert
  examination etc.

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- 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.
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
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- 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.
The basic principles of scientific and
technological expert examination
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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).

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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 technological approaches to SE contained in official documents enforceable. Approaches to the NE and its form are poorly regulated and are to a greater extent a reflection of tradition and experience than 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. 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 subjects of SE are its customers, organizers, professionals, experts, with clearly defined tasks and functions. The functions performed by the subjects of NE, are usually poorly demarcated, especially in terms of organization, often using different processing methods.
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. 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 SE is somehow under the control of either its customers or organizers, which should enhance the objectivity of expert examination and responsibility of experts. 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 gt
  "negative consequences"!)

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The main technological parameters of the State
scientific and technological expert examination

• - 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 ?? 5)

• 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 ?? 5)

• 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.
• 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!) .
• 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 ?? 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 Customers 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 ?? 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.
• 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 ?? 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

Percentage of good projects
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THANK YOU FOR YOUR ATTENTION!
SRI FRCCE RD Institute (Federal Research Center
for Project Evaluation and Consulting
Services) Mikhail V. Sergeev, Ph.D., Assoc.,
7(495)256-0010 http\\ www.extech.ru,
sergeev_at_extech.ru