Implementation Opinions of the General Office of the People's Government of Shandong Province on Deepening the Reform of Project Evaluation, Talent Evaluation, and Institutional Evaluation
Lu Zhengban Fa [2019] No. 21
Municipal governments, county (city, district) governments, provincial government departments, directly affiliated institutions, major enterprises, and higher education institutions:
In order to implement the "Notice of the General Office of the Central Committee of the Communist Party of China and the General Office of the State Council on the Opinions on Deepening the Reform of Project Evaluation, Talent Evaluation, and Institutional Evaluation" (Zhongban Fa [2018] No. 37), deepen the reform of project evaluation, talent evaluation, Institutional evaluation (hereinafter referred to as "three evaluations") as a breakthrough in the reform of science and technology management, and optimize the environment for science and technology innovation, to stimulate the enthusiasm and creativity of the vast number of scientific and technological personnel and all kinds of innovation subjects, with the consent of the provincial government and in combination with the reality of our province, the following implementation opinions are put forward.
1. to promote more scientific and fair project review
(I) establish a mechanism for the preparation and release of project guidelines. The preparation of the provincial science and technology plan project guide should focus on the province's new and old kinetic energy conversion "top ten" industry and social development major needs, aimed at major originality, subversive, cross-learning innovation and can "lead" and "run" core technologies, key common technologies. It is necessary to fully listen to the opinions and suggestions of relevant provincial departments, universities, scientific research institutes, and enterprises, and gradually implement online public consultation and review and evaluation. Provincial science and technology plan to implement the annual project guide regular release system, the establishment of major science and technology projects in a timely manner mechanism. The provincial philosophy and social science project guidelines should focus on the political direction of research, academic innovation, social benefits, and practical value. (Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Shandong Academy of Social Sciences, etc.)
(II) implement the project classification review method. Provincial science and technology plan projects generally take the form of open competition to select the best units. For major projects or large science plans and large science projects determined by the provincial Party committee and the provincial government, the undertaking units can be determined by means of directional selection or directional entrustment. If it belongs to the scope of government procurement, it shall be implemented in accordance with the relevant provisions of government procurement. (Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, Shandong Academy of Social Sciences, etc.)
(III) improve the project evaluation criteria and procedures. Formulate scientific and reasonable, qualitative and quantitative project evaluation criteria, comprehensively consider the actual ability of project leaders and teams and project requirements, and do not take papers, patents, projects, awards and honorary titles as restrictive conditions. Establish an unconventional review mechanism for major original, disruptive, and interdisciplinary innovation projects. The implementation of video review, project publicity and other measures to achieve the whole process of review can be appealed, queried, traceable, to ensure that the project review is fair and just. (Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, Shandong Academy of Social Sciences, etc.)
(IV) specification review experts selected for use. Formulate standards for the storage of science and technology experts, and broaden the storage channels for industry experts. According to the project category, the expert group is reasonably determined, and experts who are active in scientific research and production and really understand this line are mainly selected to participate in the review. If the meeting review is carried out, in principle, the list of experts shall be published when the review results are publicized. Establish and improve the system of expert integrity records, dynamic adjustment and accountability. (Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, Shandong Academy of Social Sciences, etc.)
(V) improve the quality and efficiency of project review. Reasonably determine the workload of project review and ensure that the review experts make scientific review conclusions independently on the basis of fully understanding the project and review rules. In principle, the project leader shall report in person during the review and reply, and personnel not in the project application team shall not participate in the reply. (Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, Shandong Academy of Social Sciences, etc.)
(VI) optimization project results evaluation and acceptance. To improve the acceptance method of science and technology plan projects, it can be carried out by submitting scientific and technological reports, peer review, third-party evaluation, etc., and the project acceptance shall be subject to one-time comprehensive evaluation. The competent department (organizing unit) shall conduct spot checks on the scientific research achievements of the affiliated scientific research units at a rate of not more than 30% every year. (Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, Shandong Academy of Social Sciences, etc.)
(VII) strengthen the performance evaluation of science and technology programs. The performance evaluation of science and technology plan focuses on the completion, management, output, effect and impact of the plan. We will promote performance evaluation to be carried out by a third party through open competition and other means, and gradually establish a responsibility system and credit evaluation mechanism for the evaluation results of third-party evaluation institutions. (Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, Shandong Academy of Social Sciences, etc.)
2. Improving the Evaluation Mode of Scientific and Technological Talents
(I) establish a correct orientation for the evaluation of scientific and technological talents. The evaluation of scientific and technological talents should overcome the tendency of only papers, only titles, only academic qualifications, only awards, etc., and highlight morality, ability, quality, contribution and performance. The implementation of representative results evaluation, highlighting the results of the engineering, industrialization, market-oriented level and influence. Adhere to the combination of individual evaluation and team evaluation, and correctly evaluate the actual contribution of all participants. (The Organization Department of the Provincial Party Committee, the Provincial Department of Science and Technology, the Provincial Development and Reform Commission, the Provincial Department of Education, the Provincial Department of Industry and Information Technology, and the Provincial Department of Human Resources and Social Security are responsible for the division of labor)
Set evaluation criteria (II) to scientific classification. Adhere to the principle of having both ability and political integrity, and establish and improve the classification and evaluation standards for scientific and technological talents. For basic research talents, focus on evaluating their ability to propose, analyze and solve major scientific problems, and the originality and foresight of their representative results. For applied research and technology development talents, focus on evaluating their core technology, key common technology innovation and integration capabilities, and the economic, social and ecological benefits of their representative results. For the transfer and transformation of scientific and technological achievements and the promotion and application of talents, focus on the evaluation of their ability to integrate science and technology, finance and market elements, the promotion and application of scientific and technological achievements and the resulting economic and social benefits. The experimental technology and scientific research conditions guarantee talents, focusing on the evaluation of their work performance. (The Organization Department of the Provincial Party Committee, the Provincial Department of Science and Technology, the Provincial Development and Reform Commission, the Provincial Department of Education, the Provincial Department of Industry and Information Technology, and the Provincial Department of Human Resources and Social Security are responsible for the division of labor)
(III) innovative scientific and technological personnel evaluation. Establish a diversified evaluation mechanism based on peer evaluation and supplemented by market evaluation and social evaluation. For basic research talents, peer academic evaluation is given priority to, and international peer evaluation is strengthened. For applied research and technology development talents, scientific and technological achievements transfer and transformation talents, peer experts and user evaluation are the main focus, highlighting market evaluation. For experimental technology and scientific research conditions to guarantee talents, industry experts and service object evaluation, pay attention to social evaluation. Flexible use of examination, evaluation, evaluation, practical operation, performance display and other evaluation methods to improve the accuracy of evaluation. Reasonably determine the evaluation cycle and encourage the implementation of employment evaluation. (The Organization Department of the Provincial Party Committee, the Provincial Department of Science and Technology, the Provincial Development and Reform Commission, the Provincial Department of Education, the Provincial Department of Industry and Information Technology, the Provincial Department of Finance, the Provincial Department of Human Resources and Social Security, etc.)
(IV) play the role of the employer as the main body of evaluation. Support qualified universities, scientific research institutes, large enterprises and other employers to independently evaluate scientific and technological talents. In accordance with the spirit of the notice issued by the General Office of the Shandong Provincial CPC Committee and the General Office of the Shandong Provincial people's Government on deepening the Reform of the Professional title system (Luban Fa [2018] No. 1), the evaluation standards of professional titles are classified and improved, and the level of papers, foreign languages, patents and computers are not regarded as restrictive conditions for the evaluation of professional titles of applied talents and grass-roots front-roots talents. Adhere to the combination of use-oriented, evaluation and use, and promote the combination of talent evaluation and selection, training, use and motivation. (The Organization Department of the Provincial Party Committee, the Provincial Department of Science and Technology, the Provincial Development and Reform Commission, the Provincial Department of Education, the Provincial Department of Industry and Information Technology, and the Provincial Department of Human Resources and Social Security are responsible for the division of labor)
3. Establishment of Evaluation Management System for Scientific Research Institutes
(I) promote the construction of corporate governance structure. Promote the implementation of charter management in scientific research institutes, and establish and improve a governance mechanism that coordinates, checks and balances, and promotes each other in decision-making, implementation, and supervision. We should give full play to the important role of the party organizations in guiding the direction, managing the overall situation and ensuring the implementation, and resolutely prevent the weakening of the party's leadership and the lack of party building. (Provincial Department of Science and Technology, Provincial Party Committee Organization Department, Provincial Party Committee Organization Office, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, etc.)
(II) implement the autonomy of legal persons. The competent departments (organizers) of provincial scientific research institutes should speed up the separation of government affairs and management. The relevant departments of the province should implement the autonomy of the establishment, personnel management, income distribution, scientific research funds management, and the disposal and use of the income from the transformation of scientific and technological achievements of the provincial scientific research institutes, expand the autonomy of scientific research equipment procurement, capital construction project management, and improve scientific research Personnel go abroad and part-time management. Improve the rules and supervision system for the exercise of autonomy, and ensure that scientific research institutes operate in accordance with the law. (Provincial Department of Science and Technology, Provincial Party Committee Office, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, etc.)
(III) establish a long-term mechanism for performance evaluation. Establish a long-term performance evaluation mechanism for scientific research institutes that combines comprehensive evaluation with annual spot checks to guide scientific research institutes to enhance their scientific and technological innovation capabilities. For the comprehensive evaluation of scientific research institutes, the evaluation cycle is 5 years, during which the annual spot check evaluation is carried out according to a certain proportion.
According to the type of scientific research activities of scientific research institutes, the evaluation index system is established respectively. Adhere to the innovation quality contribution performance as the guide, public welfare research institutes focus on the assessment of scientific and technological output, public welfare services, talent team, etc.; public welfare research institutes II and III focus on the assessment of innovation benefits, technical services and talent team. (Provincial Department of Science and Technology, Provincial Party Committee Office, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, etc.)
(IV) play the incentive and restraint role of performance evaluation. Strengthen the connection between the results of performance evaluation and the administrative management mechanism, and take the results of performance evaluation as an important basis in the work of undertaking scientific and technological plan projects, financial allocation, construction of scientific and technological innovation bases, assessment and evaluation of leaders of scientific research institutes, establishment adjustment, personnel management, and verification of total performance wages. (Provincial Department of Science and Technology, Provincial Party Committee Office, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, etc.)
4. Strengthen the Construction of Supervision and Evaluation and Scientific Research Integrity System
(I) strengthen supervision and evaluation. Strengthen the supervision and evaluation of the whole process and key links of the "three evaluations" of science and technology, and implement a combination of key supervision and random inspections to ensure scientific, standardized and efficient. Strengthen the supervision and evaluation of the performance of various subjects and the completion of tasks, strengthen the dynamic adjustment of performance evaluation, and the evaluation results serve as an important reference for the supervision and management of relevant subjects. (Provincial Department of Science and Technology, Provincial Party Committee Office, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, etc.)
(II) strengthen the construction of scientific research integrity. The Provincial Department of Science and Technology and the Propaganda Department of the Provincial Party Committee are respectively responsible for the overall coordination and macro guidance of scientific research integrity work in the fields of natural sciences and philosophy and social sciences, establish a scientific research integrity management system, improve investigation and verification, disciplinary treatment and other systems, and gradually establish a trustworthy incentive mechanism in the field of scientific research. Universities, scientific research institutes and other units should improve innovation management and scientific research integrity education systems, and guide scientific researchers, teachers, and young students to devote themselves to scientific research. (The Propaganda Department of the Provincial Party Committee, the Provincial Department of Science and Technology, the Provincial Department of Education, the Provincial Association for Science and Technology, the Shandong Academy of Social Sciences, and the provincial universities and scientific research institutes are responsible for the division of labor)
5. strengthen the organization and implementation to ensure the implementation of the "three evaluation" reform of science and technology
All levels and relevant departments should deepen the reform of "release, management and service", refine tasks and measures according to the division of responsibilities, strengthen policy coordination, and do a good job in the organization and implementation of the "three evaluation" reform. All cities, departments, and units must formulate specific plans based on actual conditions to effectively promote the implementation of the "three evaluations" reform measures. The main body of project evaluation should dare to take responsibility, and the professional institutions of project management should perform their duties and responsibilities to ensure the smooth implementation of the "three evaluation" reform. It is necessary to timely summarize and promote the typical examples and successful experiences of various cities and relevant evaluation subjects in implementing the "three evaluation" reform of science and technology, encourage the pilot reform of science and technology evaluation, and play an exemplary and leading role.
Office of the People's Government of Shandong Province
18 July 2019
