Shandong Provincial Department of Science and Technology: Notice on Revising and Issuing the Management Measures for Key R&D Plans in Shandong Province (with Policy Interpretation)

Lukozi [2025] No. 83

To the science and technology bureaus of various cities, relevant departments directly under the provincial government, and all relevant units:

To further standardize the management of key research and development plans in Shandong Province, we have revised the "Management Measures for Key Research and Development Plans in Shandong Province" and are now issuing them to you for implementation.

Shandong Provincial Department of Science and Technology

July 9, 2025

(This document is publicly released)

Management Measures for Key R&D Programs in Shandong Province

Chapter 1 General Provisions

Article 1: In order to further standardize the management of Shandong Province's key research and development plans (hereinafter referred to as the provincial key research and development plans), strengthen mission orientation, and organize scientific research, in accordance with the "Interim Measures for the Management of National Key Research and Development Plans" (Guokefazi [2024] No. 28) and other relevant regulations, combined with the actual situation of our province, this method is formulated.

Article 2: The provincial key research and development plan is an important component of the provincial science and technology plan, aimed at the forefront of world science and technology, the main battlefield of the economy, major national needs, and people's health. It focuses on supporting the research and development of cutting-edge and disruptive technologies, the research and application demonstration of common key technologies, and the analysis of forward-looking countermeasures and empirical research. It promotes the deep integration of innovation chain, industry chain, capital chain, and talent chain, cultivates new quality productivity, and provides sustained support and guidance for the high-quality development of the province's economy and society.

Article 3: The provincial key research and development plan consists of several special tasks, mainly including major scientific and technological innovation projects, agricultural breeding projects, military civilian integration, soft science and other special projects, as well as provincial-level and above scientific and technological innovation platforms, technology-based enterprises, talents, scientific and technological cooperation tasks supported in the form of projects. Special tasks are divided into projects, which can be assigned topics based on their own characteristics and needs. The Department of Science and Technology of Shandong Province (hereinafter referred to as the Provincial Department of Science and Technology) may adjust and improve the categories of special tasks according to actual needs.

Article 4: Provincial key research and development plan projects (hereinafter referred to as projects) may be generated through competitive selection, targeted selection, targeted commissioning, "one case, one discussion" and other methods based on the characteristics and needs of each special task. During implementation, they may be organized through "unveiling system", "horse racing system", "military order", "chain master system" and other methods.

Article 5: The organization and implementation of provincial key research and development plans shall adhere to goal oriented and performance oriented approaches, strengthen the management of the entire project process, highlight milestone assessments and key node evaluations, and link evaluation results with task adjustments, rolling implementation, and termination and cancellation.

Article 6: Non confidential projects of provincial key research and development plans shall be included in the Shandong Science and Technology Cloud Platform to achieve unified management throughout the entire process. Confidential projects shall be executed in accordance with relevant regulations.

Chapter 2 Organizational Management and Responsibilities

Article 7: The Provincial Department of Science and Technology shall take the lead in organizing and implementing the provincial key research and development plan, be responsible for formulating relevant policies and management measures, optimizing task layout, and overall project management throughout the entire process.

Article 8: Relevant departments (units) directly under the provincial government, science and technology bureaus of each prefecture level city, and central units stationed in Shandong province may serve as project supervisory departments, fulfilling their responsibilities as supervisory departments in accordance with regulations. They are responsible for collecting and recommending project guidelines and suggestions, reviewing recommended projects, supervising and promoting project implementation and self funding implementation, coordinating and solving problems that arise during project implementation, proposing project adjustment suggestions as appropriate, carrying out project process management, performance evaluation and other work in accordance with regulations, and cooperating with relevant supervision work.

Article 9: The project undertaking unit and the cooperating unit are the main responsible parties for project implementation, mainly fulfilling the following responsibilities. Responsible for organizing the review of project application materials and ensuring their authenticity; Sign the project contract and implement the project in accordance with the signed contract, providing necessary resources such as manpower, funds, and equipment. The project execution shall not be affected by the transfer or retirement of the project leader; Strictly implement project and fund management regulations, and take direct responsibility for the completion of project goals and tasks, as well as the use of financial funds; Cooperate in carrying out project process management, performance evaluation, supervision and other work, timely report major achievements or issues, and submit relevant information such as project progress and fund utilization as required; Promote the transformation and application of project achievements; Fulfill the scientific research integrity commitment system, improve internal management systems, etc.

Article 10 The project leader is responsible for organizing the implementation of the project, complying with the norms of scientific research activities, practicing the requirements of scientific research integrity and ethics, completing the target tasks according to the contract, researching and solving problems that arise during the implementation process, and reporting major issues in a timely manner; Standardize the use of funds, consciously accept the process management, performance evaluation, supervision, etc. of project execution. The project leader is directly responsible for the authenticity, completeness, validity, and legality of the project application materials, as well as the standardized use of project funds. Explore the implementation of the "administrative+technical" dual responsibility system.

Article 11: The project management agency is a third-party organization commissioned by the Provincial Department of Science and Technology, responsible for providing project management related services in accordance with the requirements of the commissioning agreement.

Chapter 3 Project Application and Approval

Article 12: The Provincial Department of Science and Technology shall take the lead in organizing the collection of major innovation needs throughout the province, preparing project application notices, and determining project guidelines as needed based on the characteristics of the project, in accordance with the implementation of major national and provincial government decisions and relevant plans. The project guide is condensed and formed based on the principle of combining "bottom-up" and "top-down" after sufficient argumentation.

Article 13: The Provincial Department of Science and Technology shall publicly or selectively release project application notices based on the requirements of each special task project, clarifying project application requirements, key support areas, research content, assessment indicators, and specific support methods.

Article 14: The project application unit and personnel shall meet the following conditions:

（1） The project undertaking unit should generally be an innovative entity with independent legal personality within Shandong Province, possessing strong research and development capabilities and resource integration capabilities, responsible for undertaking core research and development or task organization of the project. If a project has a sub topic, the responsible unit for the project should also be clearly identified. If multiple units form an innovation consortium to jointly apply, a joint application agreement should be signed, and one unit should be designated as the project undertaking unit, while the other units are all cooperating units. The joint application agreement should stipulate project task division, fund allocation, intellectual property ownership, achievement management, and cooperation content.

（2） Innovation entities at home and abroad with strong research capabilities and conditions, standardized operation and management, good research credit records, and independent legal personality can participate in project applications as required.

（3） The declared project must specify the project leader. The project leader should have the ability to lead and organize innovative scientific research, have a good research credit record, and be able to substantially participate in the organization and implementation of specific projects. The project leader should generally not exceed 60 years old, and young outstanding talents under 45 years old are encouraged to serve.

The project application unit and personnel shall comply with the relevant project limit regulations of the Provincial Department of Science and Technology.

Article 15: The project management department is responsible for guiding its own department, local project application units, and project application personnel to fill out application materials, and recommending them to the Provincial Department of Science and Technology after review.

Article 16: After the Provincial Department of Science and Technology accepts the project, it shall independently organize or entrust the project management agency according to procedures to carry out formal review. The review shall be organized through one or more methods such as communication review, meeting review, on-site inspection, etc., mainly focusing on the research content, target indicators, task arrangement, research and development foundation, budget and other aspects. Review experts should generally be selected from national level science and technology expert databases such as the Ministry of Science and Technology and the National Natural Science Foundation of China, as well as provincial-level science and technology expert databases, and an avoidance system should be implemented. The Provincial Department of Science and Technology proposes project arrangements and funding allocation suggestions based on the evaluation results, and after approval by the Provincial Science and Technology Committee according to procedures, issues project approval documents and disburses funds according to procedures.

Article 17: In response to various major natural disasters, accidents, public health incidents, social security incidents, scientific and technological security incidents, emergency response scientific research and development may be appropriately simplified in terms of project approval and fund allocation procedures. The provincial key R&D plan special projects or other R&D tasks that meet the conditions for inclusion in the national key R&D plan and are implemented in conjunction with national ministries and units shall be executed in accordance with relevant national regulations.

Chapter 4: Organizational Implementation and Process Management

Article 18: The project implementation period generally does not exceed 3 years. Within 30 working days after the issuance of the project proposal, the project undertaking unit, cooperating unit, project management department, and provincial science and technology department shall sign a project contract. The contract shall be based on the project application form, and the research content, assessment indicators, etc. shall not be less than or lower than the relevant content of the application form in principle. The contract serves as the basis for project execution, process management, comprehensive performance evaluation, and acceptance. Failure to sign the project contract within the deadline shall be deemed as giving up the qualification to undertake the project.

Article 19: The project undertaking unit shall establish a project coordination and management mechanism, formulate a project organization and implementation work plan, conduct project stage evaluations or inspections, and comprehensively grasp the progress of the project. The project management department should have a comprehensive understanding of the project progress and organizational implementation situation, timely study and solve major issues and problems raised by the project undertaking unit and cooperating units, predict the project execution situation and the performance ability of the project undertaking unit, cooperating units and personnel, and put forward relevant opinions and suggestions.

Article 20: The project undertaking unit and cooperating unit shall effectively fulfill the legal entity responsibility for scientific research project fund management, improve the construction of internal control mechanisms, strictly implement relevant national and provincial financial regulations and financial systems, and ensure the safe, standardized and effective use of funds. The project undertaking unit and cooperating units shall include project funds in the unified financial management of the unit, separately account for provincial financial funds and funds from other sources, ensure that the funds are used for their designated purposes, and ensure that funds from other sources are timely and fully received according to commitments, and used for project expenditures. If separate accounting is not implemented, the project will be terminated and the funds will be recovered after inspection and confirmation by the Provincial Department of Science and Technology.

Article 21: The Provincial Department of Science and Technology shall organize the annual performance evaluation of projects through self-evaluation and spot checks by the project undertaking units. The project undertaking unit shall submit the annual performance report (including financial performance) of the project to the competent department before the end of November each year, and the project competent department shall summarize and review it before submitting it to the Provincial Department of Science and Technology. If the project has been executed for less than 3 months, it can be reported together with the current year's report in the following year. The evaluation results serve as an important basis for the subsequent implementation and disbursement of funds for the project.

Article 22: For projects with an implementation period of more than 2 years, the Provincial Department of Science and Technology shall organize mid-term inspections or milestone node assessments to determine whether the project can complete the predetermined tasks and produce significant results. Projects with an implementation period of 2 years or less may be inspected by the project undertaking unit and the self inspection report shall be submitted to the Provincial Department of Science and Technology. For those who fail the mid-term inspection or milestone assessment, the project undertaking unit and cooperating units shall rectify within a specified period of time according to the requirements of the Provincial Department of Science and Technology. If they still fail to meet the requirements after rectification, the subsequent financial subsidy funds shall be suspended and adjusted or terminated as appropriate.

Article 23: In the process of project implementation, important progress, major achievements, and major issues shall be promptly reported to the project management department by the project leader and the responsible unit, and the project management department shall promptly report to the Provincial Department of Science and Technology. After the occurrence of problems or accidents that have a significant impact on project implementation, the project leader and the responsible unit shall report to the project management department within 5 working days. Upon receiving the report, the project management department shall report to the Provincial Department of Science and Technology within 5 working days.

Article 24: If adjustments need to be made during project implementation, the following adjustment process shall be followed.

（1） Major adjustment matters. The project undertaking unit, cooperating unit, project leader, project implementation period, total project budget, research content, and assessment indicators shall be changed. The project undertaking unit shall submit a written application, and the project management department shall form opinions or propose adjustment suggestions after argumentation. The application shall be submitted to the Provincial Department of Science and Technology for review and approval.

（2） General adjustment matters. Any changes to the technical route, project participants, or other matters that do not affect the overall implementation plan of the project shall be approved by the project undertaking unit and project leader, and reported to the project management department for filing. The project management department shall provide guidance and management.

Article 25: The signing party of the project contract may propose to withdraw or terminate the project. The project management department shall provide opinions on the revocation or termination proposal research, and submit it to the Provincial Department of Science and Technology for approval and implementation. The specific implementation shall be in accordance with the relevant regulations of the provincial science and technology plan projects.

Chapter 5 Comprehensive Performance Evaluation (Acceptance)

Article 26 After the expiration of the project execution period, the Provincial Science and Technology Department shall simultaneously carry out comprehensive performance evaluation and acceptance.

Article 27 The Provincial Department of Science and Technology shall, on the main basis of the project contract and in the light of the characteristics and needs of each special task, formulate the criteria for comprehensive performance evaluation (acceptance) (hereinafter referred to as acceptance evaluation) and quantify the evaluation indicators. Project acceptance evaluation should highlight the goal-oriented, results-oriented, pay attention to the core objectives and representative results, and strictly control the project acceptance.

Article 28 The acceptance evaluation shall be classified and evaluated on the acceptance assessment indicators and performance evaluation indicators agreed in the project contract.

(I) acceptance assessment indicators generally include technical indicators, intellectual property indicators, standards, etc., which are key indicators for project implementation.

(II) performance evaluation indicators generally include expected economic benefits, awards, papers, platforms, talents, energy conservation and emission reduction, etc. They are reference indicators for project implementation and are evaluated by a combination of quantitative scoring and qualitative evaluation.

Article 29 The project undertaking unit shall, after the expiration of the project execution period, submit an application for acceptance evaluation according to the requirements of the Provincial Department of Science and Technology, and submit the project implementation work summary, scientific and technological report (technical report), fund audit report, implementation performance supporting materials and other relevant materials simultaneously, which shall be reviewed by the competent department of the project and submitted to the Provincial Department of Science and Technology. Failure to submit an application for acceptance evaluation as required without justifiable reasons shall be included in the scientific research integrity record.

Article 30 after accepting the project acceptance evaluation materials, the Provincial Department of Science and Technology shall organize high-level experts or entrust project management institutions to carry out project acceptance evaluation in one or more ways, such as meeting evaluation, letter review evaluation, on-the-spot assessment and evaluation.

Article 31 if the project cannot be completed on schedule for some reason, the project undertaking unit shall apply for extension three months before the end of the project implementation period, and the competent department of the project shall submit its opinions to the Provincial Department of Science and Technology for examination and approval. In principle, project extension can only be applied once, and the extension time shall not exceed 12 months in principle. If the application for extension is not submitted within the time limit, the acceptance evaluation shall be organized according to the normal progress.

Article 32 After the completion of the project acceptance evaluation, the provincial science and technology department shall review and form the conclusion of the acceptance evaluation. The comprehensive performance evaluation grade is divided into excellent, good, general and poor, and the acceptance conclusion is divided into: acceptance, completion and failure.

If all the acceptance assessment indicators and performance evaluation indicators are (I) completed, major research results are produced, and significant economic benefits, significant application value or significant social impact are produced, the performance evaluation grade is excellent, and the acceptance conclusion is passed.

If all the acceptance assessment indicators are (II) completed, the completion degree of all performance evaluation indicators shall not be less than 75% agreed in the project contract, and if the research results with greater innovation are produced and greater economic benefits, higher application value or greater social impact are produced, the performance evaluation grade shall be good and the acceptance conclusion shall be passed.

In the acceptance evaluation of (III) projects, if one of the following conditions is met, the performance evaluation grade is general and the acceptance conclusion is final.

1. Complete all acceptance assessment indicators, but the completion of performance evaluation indicators does not meet the excellent or good situation, and the project research results have certain innovation or application value;

2. Failure to complete all the acceptance assessment indicators due to force majeure, and the project research results have certain innovation or application value.

In the acceptance evaluation of (IV) project, if there is one of the following behaviors, the comprehensive performance evaluation grade is poor, and the acceptance conclusion is not passed.

1. Failure to complete all the acceptance assessment indicators agreed in the project contract due to non-irresistible factors, failure to achieve the intended results of the project or the results have no scientific and practical value;

2. Serious violations of laws and regulations in the use of project funds;

3. Failure to submit all acceptance evaluation materials as required;

4. The documents and materials provided are falsified, or the data such as technical maturity, technical indicators, economic benefits, etc. are deliberately exaggerated or falsified;

5. Failing to submit for approval major adjustment matters according to relevant requirements;

6. The project undertaking unit, cooperative unit or individual has serious breach of trust and causes significant adverse effects;

7. Refusing to cooperate or failing to carry out acceptance evaluation within the time limit.

Article 33 The provincial key research and development plan shall strictly implement the relevant archives management regulations such as the Regulations on the Management of Scientific and Technological Research Archives (Order No. 15 of the State Archives Administration and the Ministry of Science and Technology). All participants shall do a good job in the sorting, preservation and filing of the archives in the whole process to ensure complete collection, return and preservation.

Article 34: Strengthen the construction of the project confidentiality system, improve the confidentiality work responsibility system, and implement and strictly manage projects and their achievements involving sensitive scientific and technological information and state secrets in accordance with the relevant national and provincial confidentiality and security regulations, and do a good job in information security at different levels. Management to ensure the safety of state secrets.

Chapter 6 Results management and evaluation application.

Article 35 The research results formed by the project, including papers, monographs, prototypes, samples, etc., shall be marked with the words "Shandong Province Key Research and Development Program Subsidy" and the project number, and the English mark: "Key R & D Program of Shandong Province,China". The results of the first label are used as the confirmation basis for the acceptance evaluation. The ownership, use and transfer of intellectual property rights formed by the project shall be implemented in accordance with relevant national and provincial laws, regulations and policies.

Article 36: Project undertaking units and cooperative units that have obtained intellectual property rights in accordance with the law shall actively apply and orderly spread project results, disseminate and popularize scientific knowledge, promote technology transactions and results transformation, and implement scientific research personnel incentive policies. The project department in charge should increase support for the transformation and application of project results, and accelerate the promotion of project results priority in Shandong Province through scenario construction, government procurement, financial support and other methods.

Article 37 For projects that have been canceled, terminated, failed to pass the acceptance evaluation, and completed, the relevant provincial financial subsidy funds shall be recovered as required; for projects that have been canceled, terminated, and failed to pass the acceptance evaluation, for project undertaking units, cooperative units, project leaders, and units and personnel who refuse to cooperate with related work, measures such as interviews, rectification within a time limit, inclusion in scientific research integrity records, and periodic or permanent cancellation of declaration and participation qualifications can be taken individually or in combination.

Chapter VII Supervision and Evaluation

38th provincial key research and development plan to establish the whole process of embedded supervision and evaluation mechanism. The Provincial Department of Science and Technology supervises and evaluates the preparation of project guidelines, review and approval, implementation and performance, acceptance evaluation, and expert selection, and strengthens the supervision of scientific research integrity and scientific and technological ethics.

Article 39 The results of supervision and evaluation shall be used as an important basis for project adjustment, cancellation or termination, financial fund allocation, performance evaluation, and follow-up project support. The Provincial Science and Technology Department shall promptly feedback the results to relevant units and urge rectification.

(I) create incentives for innovation. For the units and individuals with outstanding performance in the organization and implementation of the project, it can be used as an important reference for the rolling support of the project and the selection of the best (directional) commission.

(II) the establishment of fault tolerance exemption mechanism. Those who have performed their duties diligently and failed to achieve the intended objectives of the project due to errors in the selection of technical routes, market risks or other unforeseen reasons shall not be held accountable for scientific research failure.

(III) establish accountability mechanisms. If the implementation of the project is not effective, the provincial science and technology department shall organize an investigation and deal with it seriously according to regulations.

1. For scientific research personnel and review experts who have violated regulations, depending on the circumstances, they shall make periodic or permanent cancellation of review and application for project qualifications, and shall not be included in the provincial science and technology expert database.

2. For the undertaking units and cooperative units that have violated the regulations, they shall, depending on the circumstances, make interviews, rectify within a time limit, terminate or cancel the project, recover the surplus funds, recover the allocated funds, and cancel the qualification to participate in the project in stages or permanently.

3. For the project competent department that fails to perform its duties, it shall, depending on the circumstances, make interviews and make rectification within a time limit. The Provincial Science and Technology Department takes the due diligence of the project department as an important basis for the allocation of scientific and technological innovation resources.

4. For project managers who have violated regulations, criticize and educate them according to the circumstances, or transfer them to relevant units or be dealt with by discipline inspection and supervision departments in accordance with the authority of cadre and personnel management.

The results of the treatment are announced to the public in an appropriate manner and included in the scientific research integrity record. Those suspected of violating discipline and law shall be handed over to the relevant departments.

Article 40 The supervision and management of provincial key R & D plans shall be implemented in accordance with the relevant provisions of the "Shandong Province Science and Technology Plan Project Supervision and Management Measures.

Article 41 the management of scientific research integrity of provincial key R & D plans shall be carried out in accordance with the measures for the Administration of Scientific Research Integrity of Shandong Province and other relevant provisions.

Chapter VIII Supplementary Provisions

Article 42 The use and management of provincial key R & D plan funds shall be implemented in accordance with the relevant provisions of the "Shandong Province Key R & D Plan Fund Management Measures.

Article 43 The special tasks of the provincial key research and development plan may refer to these Measures to formulate or revise the corresponding management measures or implementation rules. The Natural Science Foundation of Shandong Province shall be implemented in accordance with the relevant provisions of the Measures for the Administration of Natural Science Foundation of Shandong Province. Provincial equity investment projects other than the first investment and the combination of allocation and investment shall be implemented in accordance with the relevant provisions of provincial science and technology equity investment projects.

Article 44 The Provincial Department of Science and Technology shall be responsible for the interpretation of these Measures.

Article 45 These Measures shall enter into force as of August 9, 2025 and shall be valid until August 8, 2030. The original "Shandong Province key research and development plan management approach" (Lu Ke word [2023] No. 3) at the same time invalid.

Policy interpretation:

Policy Interpretation of "Shandong Province Key R & D Program Management Measures"

Recently, the Provincial Department of Science and Technology revised and issued the "Administrative Measures for Key R & D Plans in Shandong Province" (hereinafter referred to as the "Administrative Measures"). The relevant situation is now interpreted as follows.

1. drafting background and process

重点研发计划是省级科技计划的重要组成部分，为进一步规范重点研发计划管理，省科技厅充分借鉴国家部委和先进省市经验做法，对原《山东省重点研发计划管理办法》（鲁科字〔2023〕3号）进行了修订，在广泛征求意见的基础上，形成了《管理办法》。

2. overall considerations

《管理办法》修订过程中重点把握以下四点：

一是集成改革成果。认真贯彻落实党的二十届三中全会和全国科技大会精神，借鉴国家部委以及先进省份经验做法，对近年来我厅科技计划管理改革取得的实践成果进行了全面梳理总结，形成制度化安排。

二是坚持问题导向。针对在项目管理过程中的问题，进一步细化了指南编制、项目评审、重大事项上报、过程事项调整等项目管理全过程各环节的工作要求。

三是坚持绩效导向。强化项目年度绩效评价、中期检查等结果的应用。细化验收评价等次，明确评价标准，注重标志性重大创新成果产出，严把项目验收关。

四是营造良好生态。强化项目成果管理，建立成果转化应用机制。加强项目监督评估力度，实行结果分类应用，着力营造奖惩分明、宽容失败的良好创新生态。

3、 Main content

《管理办法》共8章45条，主要包括：

（一）总则。阐述了重点研发计划的定义，明确了计划组成、组织方式、实施原则等内容。

（二）组织管理与职责。本章为新增内容，细化了省科技厅、项目主管部门、项目承担单位、项目负责人、项目管理机构的职责分工。