Novelty First Policy-Based Intelligent Review Framework (IRF) for the Evaluation of Research Proposals
Abstract
1. Introduction
2. Developments Relevant to the IRF
2.1. Scientometrics for the Assessment of Novelty, Disruptiveness and Paradigm Shifts in Research Fields
- Novelty, disruptiveness and paradigm shift indicators
2.2. Peer Review and AI
- Peer review in the pre-AI era
- AI developments and possible effects on peer review
2.3. Performance Assessment at the Individual Level and a Revisit to IPRF Based on Relevance-Based Expertise Scores
- Two independent teams—(i) the first team for scientometric/quantitative analysis, which uses a scientometric framework for informing the second team about the overall performance of candidates concerning the fields/themes considered for the award in the form of ranks—and (ii) the second team (peer review committee) qualitatively evaluate the merit of each proposal, wherein the order of consideration of proposals is based on the ranks provided by the first team during scientometric assessment (last rank to first rank). Notably, while the first team assigns ranks on the basis of the performance of the candidates, scores/ranks are not taken into account for initial screening or shortlisting. The order is assigned to make shortlisting easier. The details of the decision framework used by the peer review committee are discussed in the third section.
- Scientometric framework (of the first team): Given the use of indicators such as the h-index or its variants, the IF is not suitable for the assessment of individuals for funding and related applications; indicators that are not too complex and sophisticated but are free from the limitations of both are necessary. Recently, Lathabai et al. (2021) introduced expertise indices such as x and x(g) (inspired by h and g indices) that help determine the core competent areas (top x thematic areas that have thematic strength ≥x, where thematic strength can be reflected by indicators such as citations, altmetric score, etc.) and potential core competent areas (x(g)-x areas below the x areas, where x(g) areas managed to gather average citations ≥x(g)) of an actor (such as institutions and individuals) and demonstrated the same results in the case of institutions. Although that framework uses keywords or important terms that are suitable for representing thematic areas (NLP techniques used as applicable), the relevance of publications that are to be mapped to thematic areas for the computation of thematic strengths was not considered. Relevance-incorporated expertise indices (wherein relevance scores come with concepts associated with publications available with the Dimensions database) were introduced to overcome this limitation and to reduce (if not eliminate) the need for NLP. Instead of the thematic strengths computed using the injection method, relevance-incorporated thematic strengths were proposed to be computed using the double injection method (Lathabai & Prabhakaran, 2023) for the computation of relevance-incorporated expertise indices. The relevance-incorporated expertise indices were defined as follows:
- 3.
- Peer review procedure: The peer review team analyzes the proposals (in the specified order). The size of the short list (i.e., the number of candidates to be shortlisted and called for final presentation and interview) is determined in the following way. If there are total N awards (predetermined), and if there are M groups (according to age/career length or stage), the total number of shortlists will be y N, and shortlists from a group will be y N/M, where y can be 2, 3, etc., depending on N, and the time selection can board them to listen to presentation, seek clarifications, have discussions and/or interview the candidates. From each group, proposals are shortlisted on the basis of evaluation according to parameters decided by the panel/board. Among the parameters used to evaluate (or assign scores), novelty was recommended as of primordial importance (and to be assigned more weightage rather than treating all the parameters equally). Apart from the novelty of the first policy, the key highlight of the IPRF is the diligent effort to eliminate the influence of scientometric evaluation on the shortlisting decision because it addresses two possible scenarios that may arise during the peer review process. These are as follows:
3. Intelligent Review Framework (IRF)
3.1. Phase-1
3.2. Phase-2
- Computation of scores: For all works/patents in a field or thematic area, compute scores for novelty, disruptiveness or FV gradient scores.
- Unidirectionality of indication should be ensured: By unidirectionality, uniformity in indication characteristics should be present. For instance, if a high value of some scores indicates high novelty, disruptiveness and a paradigm shift to a pivotal role, low values of others can indicate that. All scores should be transformed to ensure a unidirectional indication (preferably a high score indicating more novelty, disruptiveness and pivotal role in a paradigm shift). Additionally, some indicators, such as in Verhoeven et al. (2016), do not provide a score but attempt to classify patents. A scientometric team should develop an indicator that works according to the principle but provides a quantitative score and adapts it to suit the assessment of papers. For instance, an expression such as the one below can be considered for papers.
- 3.
- Normalization (optional): Nevertheless, problems can arise from some indicators (in Section 2.1) taking scores between 0 and 1 while others are not. Normalization options for others can be considered if needed.
- 4.
- Dimensionality reduction: To determine the most influencing indicators or avoid the less relevant ones, techniques such as principal component analysis or others can be used.
- 5.
- Clustering of papers/patents according to these scores: Appropriate unsupervised clustering techniques such as k-means or more advanced ML algorithms can be used to cluster papers according to the scores of indicators selected after step 4.
- 6.
- Cluster examination: Clusters having papers/patents scoring high for all indicators, clusters having papers scoring high for most of the indicators, clusters having papers scoring high for only some of the indicators, etc., can be determined. Papers that are found to score high for multiple novelty/disruptiveness/paradigm shift indicators (found most important clusters) can be selected for detailed content analysis.
- 7.
- Content analysis: Content analysis of all the papers/patents in most important clusters can be carried out both manually and using AI-aided tools. Thematic analysis using BERTopic, SciBERT, etc., can also be performed. For other clusters, only recent works/patents need to be analyzed rigorously. The specific contributions of all the selected papers and how those advanced the applicable field/fields papers need to listed out (in an appropriate format) by the ad hoc scientometric team. Upon verification, if satisfactory, these results can be stored in another ad hoc database, ADB1. This information needs to be accessed by peer reviewers in phase-4 as this can be crucial to them because it can serve as a kind of benchmark of state-of-the-art against which novelty in proposals needs to be evaluated.
3.3. Phase-3
3.4. Phase-4
- Quickly review the AI-generated summaries. Note the contributions and novel elements highlighted in those reports.
- Thoroughly read the proposals. Analyze the proposals according to the instructions given to them (by the funders, scientific experts, technical experts and government/regulatory bodies in consultation with the NSTF).
- Assign scores against various prescribed aspects/heads (also agreed upon by funders and regulators in consultation with the NSTF). If it is a call related to a specific discipline, common basic aspects such as feasibility (technical as well as financial) methodical rigor and novelty should be evaluated at the level of emphasis demanded by the discipline. Ethical considerations, a major aspect that exhibits stark variation across disciplines, should be evaluated as stipulated by relevant international as well as regional discipline-specific ethical guidelines and procedures, and if there is a dedicated board/body/committee, adjudication can be sought if needed. Apart from this, any unique aspect relevant to that discipline alone is applicable and should also be evaluated. In the case of thrust/priority areas, all the above general aspects and aspects that become relevant only during transdisciplinary research assessment, along with unique aspects relevant only to a particular thrust/priority area, should be evaluated. If existing ethical frameworks/committees are not competent to assess the special ethical considerations demanded by the thrust/priority area, ad hoc committees (that can later be merged into the national research ethics and integrity framework) need to be formed, and their performance should be ensured in a fast-track mode. In particular, note that scores are given for different criteria and that peer reviewers need not compute an aggregate score.
- While scores are assigned against novelty criteria, the field analysis summary and novel contribution details provided to them from ad hoc database ADB1 needs to be checked. It should be examined whether the proposals have theoretical, methodological and applicational novelty compared with the existing novel/disruptive/paradigm shift pivotal papers or patents and/or might cause disruptions or paradigm shifts if the projects are executed successfully. This is the decisive step in the peer review process to ensure ‘novelty first policy’.
- Prepare a detailed report in a prescribed format that comprises (i) a summary to be written by peer reviewers, (ii) the list/details of any incorrect statements made by AI-generated reports and why those are incorrect and (iii) remarks and recommendations about the proposal.
3.5. Demonstration of the Computational Framework Using Synthetic Data of 7 Applicants of Same Effective Age/Career Length
4. Discussion of the Evolutionary Roadmap of the IRF
Evolution of AI Participation in the IRF’s Peer Review Section: Two Scenarios
5. Conclusions
Supplementary Materials
Author Contributions
Funding
Data Availability Statement
Conflicts of Interest
Abbreviations
| AI | Artificial Intelligence |
| GenAI | Generative Artificial Intelligence |
| ML | Machine Learning |
| LLM | Large Language Models |
| IRF | Intelligent Review Framework |
| IPRF | Informed Peer Review Framework |
| STI | Science, Technology and Innovation |
| OECD | Organization for Economic Co-operation and Development |
| PRFS | Performance-based Research Funding Systems |
| DST | Department of Science and Technology (Government of India) |
| WOS | Web of Science |
| EPO | European Patent Office |
| SEU | Subjective Expected Utility |
| NSTF | National Scientometric Task Force |
| LDA | Latent Dirichlet Allocation |
| BERT | Bidirectional Encoder Representations from Transformers |
| ADB | Ad hoc Database |
| MDB | Master database |
| KB | Knowledge base |
| FoSCi | Forensic Scientometrics |
| HR | Human Resources |
| AINAF | AI-powered Novelty Assessment Frameworks |
| AIPRS | AI peer review simulators |
| Sciento-LLMs | Scientometric LLMs (i.e., LLMs dedicated to Scientometrics) |
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| TF1 | TF2 | TF3 | TF4 | TF5 | |
|---|---|---|---|---|---|
| A | (C, 10, 500, 3) | --- | (C, 15, 750, 4) | --- | (P, 5, 100,1) |
| B | (C, 15, 600, 2) | (P, 10, 275, 2) | --- | (C, 25, 950, 3) | --- |
| C | (P, 9, 110, 1) | --- | (C, 30, 2000, 6) | (P, 10, 100,1) | --- |
| D | --- | (C, 25, 1350, 4) | (P, 7, 300, 2) | (P, 12, 210, 2) | ---- |
| E | (P, 5, 90, 0) | (C, 35, 1950, 5) | --- | --- | (C, 15, 400, 1) |
| F | --- | (P, 8, 350, 0) | --- | ---- | (C, 40, 2750, 7) |
| G | ---- | ---- | (P, 18, 350, 3) | (C, 25, 650, 0) | (P, 7, 400, 2) |
| α | β | CS | |||
|---|---|---|---|---|---|
| A | 2/5 = 0.4 | 1/5 = 0.2 | (500 + 750)/8200 = 0.152 | 100/8200 = 0.012 | 0.225 |
| B | 2/5 = 0.4 | 1/5 = 0.2 | (600 + 950)/8200 = 0.189 | 275/8200 = 0.034 | 0.241 |
| C | 1/5 = 0.2 | 2/5 = 0.4 | 2000/8200 = 0.244 | (110 + 100)/8200 = 0.026 | 0.219 |
| D | 1/5 = 0.2 | 2/5 = 0.4 | 1350/8200 = 0.165 | (300 + 210)/8200 = 0.062 | 0.197 |
| E | 2/5 = 0.4 | 1/5 = 0.2 | (1950 + 400)/8200 = 0.287 | 90/8200 = 0.011 | 0.272 |
| F | 1/5 = 0.2 | 1/5 = 0.2 | 2750/8200 = 0.335 | 350/8200 = 0.043 | 0.224 |
| G | 1/5 = 0.2 | 2/5 = 0.4 | 650/8200 = 0.079 | (350 + 400)/8200 = 0.091 | 0.171 |
| Total Number of Novel/Disruptive/ Paradigm Shift Papers | CS′ | CS′ (rsc) | Novelty Score | Aggregate Score | FS | ||
|---|---|---|---|---|---|---|---|
| A | 8 | 8/535 = 0.015 | 0.0600 | 6 | 80 | 100 | 55.201362 |
| B | 7 | 7/835 = 0.013 | 0.0636 | 6.36 | 75 | 100 | 53.5427314 |
| C | 8 | 8/535 = 0.015 | 0.0585 | 5.85 | 85 | 100 | 56.9416059 |
| D | 8 | 8/535 = 0.015 | 0.0530 | 5.3 | 78 | 100 | 54.1990449 |
| E | 6 | 6/535 = 0.011 | 0.0708 | 7.08 | 70 | 100 | 52.0316617 |
| F | 6 | 6/535 = 0.011 | 0.0592 | 5.92 | 82 | 100 | 55.888646 |
| G | 5 | 5/535 = 0.009 | 0.0452 | 4.52 | 65 | 100 | 49.2080921 |
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Lathabai, H.H.; Raman, R.; Nedungadi, P. Novelty First Policy-Based Intelligent Review Framework (IRF) for the Evaluation of Research Proposals. Publications 2026, 14, 32. https://doi.org/10.3390/publications14020032
Lathabai HH, Raman R, Nedungadi P. Novelty First Policy-Based Intelligent Review Framework (IRF) for the Evaluation of Research Proposals. Publications. 2026; 14(2):32. https://doi.org/10.3390/publications14020032
Chicago/Turabian StyleLathabai, Hiran H., Raghu Raman, and Prema Nedungadi. 2026. "Novelty First Policy-Based Intelligent Review Framework (IRF) for the Evaluation of Research Proposals" Publications 14, no. 2: 32. https://doi.org/10.3390/publications14020032
APA StyleLathabai, H. H., Raman, R., & Nedungadi, P. (2026). Novelty First Policy-Based Intelligent Review Framework (IRF) for the Evaluation of Research Proposals. Publications, 14(2), 32. https://doi.org/10.3390/publications14020032

