Several Opinions of the People's Government of Shandong Province on Improving the Market oriented System of Scientific and Technological Innovation
Lu Zhengfa [2019] No. 13
Municipal governments, county (city, district) governments, provincial government departments, directly affiliated institutions, major enterprises, and higher education institutions:
In order to further release the vitality of innovation and creativity and promote the development of modern industries, in accordance with the "Notice of the State Council on Several Measures to Optimize Scientific Research Management and Improve Scientific Research Performance" (Guo Fa [2018] No. 25) and the "Notice of the General Office of the State Council on the Implementation of Relevant Documents with Greater Autonomy" (Guo Ban Fa [2018] No. 127) and other documents, combined with the actual conditions of our province, put forward the following opinions.
1. the Establishment and Improvement of Market-oriented Scientific Research Project Management System and Mechanism
(I) improve the layout and management of science and technology plans. Continue to promote the reform of the provincial science and technology plan system, increase the integration of special funds for scientific and technological innovation, establish a unified provincial science and technology plan management platform, and realize project information sharing. Docking major national strategic tasks, establishing a project guide formation mechanism with the participation of science and technology, industry and users, and implementing a regular publication and publicity system for annual guidelines. Improve the hierarchical responsibility mechanism and reduce direct intervention in project implementation. (Responsible units: 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, etc.)
(II) improve project application review and process management. Promote the transformation of scientific research projects from re-establishment to project performance and landmark results. Streamline project declaration requirements, realize one-time submission of basic project information, and dynamic management of warehousing sharing. Reduce all kinds of evaluation, inspection, spot check, audit and other activities in the research and development cycle of scientific research projects, promote mutual recognition and sharing of supervision and inspection information among departments, and strengthen consultation and communication with policy-making departments in case of inconsistency in the identification of relevant policies. Improve the project acceptance system, combine technical acceptance and financial acceptance into one, and carry out one-time comprehensive performance evaluation. (Responsible units: 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, Provincial Audit Office, etc.)
(III) reform of the system for managing funds for scientific research projects. To simplify the budgeting of financial scientific research projects, in addition to equipment costs, the direct costs of other subjects cost transfer rights are all delegated to the project undertaking units. Explore the establishment of a "contract system" for scientific research project funding, without restrictions on the proportion of performance expenditures, labor costs and other subjects, and strengthen the evaluation of project results. (Responsible units: Provincial Department of Finance, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Science and Technology, Provincial Department of Industry and Information Technology, Provincial Department of Human Resources and Social Security, etc.)
(IV) improve the classification and evaluation system of scientific research projects. Implementation of scientific research project performance classification evaluation. Establish a comprehensive evaluation system for research and development quality-oriented scientific research investment, implement medium and long-term project performance evaluation, and mainly evaluate the significant impact of financial investment on the improvement of its innovation ability, the output of iconic results, the training of high-quality talents, and the development of industrial innovation. High-quality project research and development orientation. (Responsible units: 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, etc.)
2. Strengthening the Dominant Position of Enterprises in Technological Innovation
(V) the construction of enterprise-led industrial technology innovation mechanism. Establish a dialogue and decision-making consultation mechanism for technological innovation of enterprises, and absorb enterprises to participate in the research and formulation of scientific and technological innovation plans, plans and policies. Establish an industry-university-research collaborative innovation mechanism in which enterprises issue questions and scientific researchers unveil the list, and encourage enterprises to promote the integrated construction of projects, talents, and platforms. (Responsible units: 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, etc.)
(VI) encourage enterprises to enhance their capacity for independent innovation. Support enterprises to build various innovation platforms and enhance their innovation capabilities. We will implement the plan for the introduction of overseas engineers, and guide and encourage enterprises to vigorously introduce "high-quality and top-notch" overseas talents urgently needed for industrial development. (Responsible units: Provincial Department of Industry and Information Technology, Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial State-owned Assets Supervision and Administration Commission, etc.)
(VII) support businesses in innovating products and services. Increase the promotion of innovative products and services, expand the application support of non-bidding methods such as first purchase and ordering, and accelerate the demonstration application of the first set of equipment, the first batch of materials, and the first version of software. For industrial enterprise products that conform to the national first (set) major technical equipment promotion and application guidance catalog, after the first (set) is sold, the province, city, county (city, district) can provide guidance and support depending on the financial situation. (Responsible units: Provincial Department of Industry and Information Technology, Provincial Department of Finance, Provincial Taxation Bureau, etc.)
3. further expand the autonomy of universities and research institutes
(VIII) further implement the autonomy of universities and research institutes. We will fully implement a series of policies and measures given by the Party Central Committee and the State Council to give scientific research institutions and personnel greater autonomy. Promote the pilot experience of the reform of the science and technology system in colleges and universities, and further implement the autonomy of universities and scientific research institutes in terms of job setting, internal organization adjustment, personnel employment, salary distribution, and funding management. Universities and scientific research institutes shall independently draw up post setting plans in accordance with the regulations, employ personnel independently, and report the employment results to the personnel comprehensive management department of public institutions at the same level for the record. Improve the transfer and continuation policy of social security relations when scientific research personnel move between institutions and enterprises. Reasonably expand the autonomy of scientific research infrastructure projects in universities and scientific research institutes, shorten the approval cycle, and change the approval system for scientific research infrastructure projects that use their own funds and do not apply for government investment from the approval system to the filing system. (Responsible units: Provincial Department of Science and Technology, Provincial Party Committee Office, Provincial Department of Education, Provincial Development and Reform Commission, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, etc.)
(IX) carry out the pilot project of granting scientific research personnel the ownership or long-term use right of scientific and technological achievements. On the premise of not affecting national security and national interests, we will carry out the reform pilot project of giving scientific research personnel the ownership or long-term use right of scientific and technological achievements, and change the "transformation first, reward later" to "confirmation of rights first, transformation later". The scientific and technological achievements completed by scientific research personnel in the implementation of their own projects shall be owned by the unit. According to the internal regulations of the unit or the agreement with scientific research personnel, scientific research institutions are allowed to give the ownership of scientific and technological achievements to scientific research personnel or give long-term use rights by way of rewards. (Responsible units: Provincial Department of Science and Technology, Provincial Department of Education, Provincial Department of Finance, Provincial Market Supervision Bureau, Provincial State-owned Assets Supervision and Administration Commission, etc.)
(X) support scientific research personnel innovation and entrepreneurship. Managers and scientific research personnel of transformed institutions and institutions are allowed to hold equity in the form of "technical shares and cash shares" after performing the approval procedures in accordance with relevant regulations, and technical managers are introduced to participate in the transformation of results throughout the process, and universities and scientific research institutes are encouraged to take orders, etc. Way to participate in enterprise technology research. Organize and carry out the pilot project of taking enterprise employment experience as a necessary condition for new engineering teachers in colleges and universities. (Responsible units: Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, Provincial State-owned Assets Supervision and Administration Commission, etc.)
4. Accelerate the Construction of Innovation Platform Carrier Supporting Industrial Innovation and Development
(11) Build a first-class high-end industrial innovation platform. We will improve and optimize the overall layout of various innovation platforms at the national and provincial levels, and reform and improve the management system and mechanism of various innovation platforms. Actively strive to create a national-level innovation platform, implement various support policies, and adopt a "one matter, one discussion" approach to support it. Improve the implementation method of "one matter, one discussion" for the introduction of top talents, and encourage and support enterprises, universities, and scientific research institutes to build "international top scientist laboratories". (Responsible units: Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Industry and Information Technology, Provincial Department of Finance, etc.)
(12) Promote the open sharing of scientific and technological resources. Improve the policy of opening and sharing major scientific research infrastructure and large-scale scientific research instruments. The supply-side units of the nature of public institutions provide large-scale scientific instruments and equipment in Shandong Province to cooperate and share large-scale scientific research instruments in the network, and the service income and subsidy funds obtained can be distributed according to the income from the transformation of scientific and technological achievements. (Responsible units: Provincial Department of Science and Technology, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, Provincial Department of Human Resources and Social Security, etc.)
(13) Promote the development of new research and development institutions. Research and formulate more active support policies for new R & D institutions, and enjoy the treatment of state-owned scientific research institutions in undertaking government projects, talent introduction, investment and financing. For qualified new research and development institutions, the import of scientific research, scientific and technological development and teaching supplies that cannot be produced in China or whose performance cannot meet the needs shall be exempted from import duties, import value-added tax and consumption tax. (Responsible units: 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, Provincial Department of Human Resources and Social Security, Provincial Department of Natural Resources, Qingdao Customs, Jinan Customs, Provincial Taxation Bureau, etc.)
(xiv) Enhancing collaborative innovation capabilities. Accelerate the construction of Shandong Industrial Technology Research Institute, Advanced Technology Research Institute and Energy Research Institute. Formulate measures to promote the development of innovation alliances, encourage the construction of enterprise-led industrial technology innovation strategic alliances with industry-university-research cooperation, and further optimize the layout of innovation alliances in key industries and key regions. Strengthen the collaborative innovation of military and civilian science and technology, in-depth implementation of the provincial military-civilian integration of science and technology innovation special projects, and promote the construction of military-civilian integration of science and technology collaborative innovation platform. (Responsible units: Provincial Department of Science and Technology, Provincial Party Committee Military-civilian Integration Office, Provincial Development and Reform Commission, Provincial Department of Education, Provincial Department of Industry and Information Technology, Provincial Department of Finance, etc.)
5. Construction of Science and Technology Transfer and Transformation System with Close Combination of Supply and Demand
(15) Improve the transfer and transformation of scientific and technological achievements. Establish an open, efficient and professional technology market service system. We will improve the financial subsidy policy for service institutions for the transfer and transformation of scientific and technological achievements, and for service institutions that promote the transformation of scientific and technological achievements in our province and whose annual technology contract turnover is more than 10 million yuan, the provincial finance will give a maximum subsidy of 500000 yuan according to a certain proportion of the contract turnover; for service institutions that undertake the transformation of major scientific and technological achievements in the province and enter the scope of exemplary national technology transfer institutions, the provincial finance will give a maximum reward of 6 million yuan. (Responsible units: Provincial Department of Science and Technology, Provincial Department of Education, Provincial Department of Finance, etc.)
(16) Implement incentive policies for the transformation of scientific and technological achievements. Provincial universities and scientific research institutes can independently decide to transfer, license or invest in the scientific and technological achievements they hold, without reporting to the competent department or financial department for examination and approval or filing, and determine the price through agreement pricing, listing in the technology trading market, auction, etc. If an individual reward agreement is given in the form of equity in accordance with relevant regulations, the equity may be confirmed, and the relevant departments shall recognize it and implement relevant matters in accordance with their duties and powers. (Responsible units: Provincial Taxation Bureau, Provincial Department of Science and Technology, Provincial Development and Reform Commission, Provincial Department of Finance, Provincial Market Supervision Bureau, Provincial State-owned Assets Supervision and Administration Commission, etc.)
(17) Support the promotion of the creation and use of intellectual property rights. We will support the creation of high-value intellectual property rights, raise the funding standards for international patent (PCT) applicants and individuals under the Patent Cooperation Treaty, expand the scope of awards for large patent creators and PCT applicants, and raise the ladder award standards. Establish a big data center for new and old kinetic energy patent information in Shandong Province and a high-value patent reserve for the conversion of new and old kinetic energy to support the creation and protection of core technology patents (groups) in key industries for the conversion of new and old kinetic energy. (Responsible unit: Provincial Market Supervision Bureau, Provincial Department of Finance, etc.)
6. safeguard measures
(18) Accelerate the transformation of government functions. Deepen the reform of "management and service" and accelerate the transformation of science and technology management to innovative services. Improve the coordination mechanism for deepening the reform of the science and technology system in the province, give full play to the guiding and coordinating role of the Shandong Provincial Science and Technology Leading Group, study and solve major problems in innovation-driven development, and improve the overall coordination mechanism for science and technology macro decision-making. Establishment of Shandong science and technology innovation strategy expert advisory committee.
(xix) Establishing a due diligence exemption mechanism. For deviations and mistakes in the process of scientific and technological system reform, as long as they do not violate the party's discipline and national laws and regulations, are diligent and conscientious, have no self-interest, and can correct and correct in time, no negative evaluation will be made, and the relevant responsibilities will be exempted or lightened. The undertaking units and project leaders who are diligent and responsible and fail to achieve the expected goals due to irresistible and unpredictable factors shall be exempted from liability. The relevant leading cadres and departments shall be exempted from their decision-making responsibilities on the premise of being diligent and conscientious and not seeking illegal interests. We should attach importance to trial and error exploration in scientific research, improve the fault tolerance and error correction mechanism that encourages innovation and tolerates failure, and encourage researchers to dare to be the first and explore boldly.
(20) Strengthen policy implementation. The relevant departments (units) of all cities and provinces should strengthen business guidance and supervision, clean up and revise the provisions that are inconsistent with the spirit of the newly issued policies, and further explore the system and mechanism problems encountered in the process of policy implementation. Provincial universities, scientific research institutes, medical institutions, and state-owned enterprises shall formulate their own specific management methods within six months after the issuance of this document, and establish and improve relevant management systems.
Central units in Shandong can refer to this document to enjoy the relevant policies.
This opinion shall come into force as of the date of issuance. The relevant policies and regulations previously issued shall be implemented in accordance with this opinion if they are inconsistent with this opinion.
Shandong Provincial People's Government
July 20, 2019
