Implementation Plan of Shanghai Municipality on Deepening the Reform of the Science and Technology Reward System

December 29, 2018

SMPG GO D [2018] No. 35

With a view to further improving the science and technology reward system in this Municipality, fully mobilizing the enthusiasm and creativity of the vast number of science and technology workers and pushing forward in-depth the implementation of innovation-driven development strategy, this Implementation Plan is formulated in accordance with the Program on Deepening the Reform of Science and Technology Reward System issued by the General Office of the State Council.

I．Guiding Ideology and Basic Principles

1. Guiding ideology

We shall carry out the spirit of the 19th National Congress of the Communist Party of China, take the Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era as the guide, conscientiously implement the decision-making arrangements of the Party Central Committee and the State Council, and with the focus on the innovation-driven development strategy in accordance with the overall requirements of deepening the reform of science and technology reward system of the State, improve the science and technology reward system, establish an open and fair evaluation mechanism, build a scientific, standardized and rational science and technology reward system, vigorously promote the scientific spirit of seeking truth and being pragmatic, daring to be innovative, and create a good atmosphere for promoting mass entrepreneurship and innovation, fully mobilize the enthusiasm of the whole society to support scientific and technological innovation, inject more momentum to facilitate scientific and technological progress and economic and social development, accelerate the construction of Science and Technology Innovation Center with global influence.

2. Basic principles

(1) Serving Shanghai’s Development

We shall focus on the overall national strategy, face the development needs of Shanghai Municipality, improve and perfect the science and technology reward work, mobilize the enthusiasm and creativity of scientific and technological workers, form a strong driving force for the development of science and technology, provide service for upgrading the development of the science and technology level, promoting the innovation system, realizing the innovation-driven development, and accelerating the construction of a globally influential technology innovation center of Shanghai.

(2) Inspire independent innovation

We shall take independent innovation inspiration as the starting point and foothold to reward scientific discoveries with significant international influences, technological inventions with major originality, scientific and technological innovations with important economic and social values, reward high-level scientific and technological innovation talents, and enhance the sense of honor of scientific and technological workers, responsibility and mission, stimulate the endogenous motivation of innovation.

(3) Prioritize the value orientation

We shall actively cultivate and practice the core values of socialism, encourage scientific and technological workers to pursue the truth, engage in painstaking research, acquire expertise in learning, obtain specialty in researching, dare to transcend, and climb the peak. We shall strengthen the construction of scientific ethics and studying style, improve the credit system for science and technology reward, and encourage scientific and technological workers to strive to be role models in practicing social honesty and pursuing academic ethics.

(4) Adhere to openness and fairness

We shall adhere to openness, fairness and justice as the core of science and technology reward work, enhance the academic nature of nominations and accreditations, clarify the division of responsibilities between government departments and reviewing experts, evaluate the reward process in an open and transparent way, encourage academic communities to play a supervisory role, and further enhance the credibility and authority of science and technology reward.

II. Key Tasks

1. Reform and improve the municipal science and technology reward evaluation system

(1) Nomination system

The current approach of applying for reward by scientific and technical personnel, screening and recommendation by work units shall be reformed to the system of nomination by experts, scholars and relevant units, and the nomination process shall be further simplified.

Appropriate qualifications for nominators. The nominating experts shall include: winners of the National Science and Technology Reward, winners of the Shanghai Science and Technology Reward, academicians of the Chinese Academy of Sciences, academicians of the Chinese Academy of Engineering (excluding foreign academicians), the first prize winner of the Shanghai Science and Technology Reward or the first finisher of the special prize, foreign experts and scholars that have won the world-renowned science and technology reward such as Nobel Prize, Turing Reward and cooperated with the working units in this Municipality, as well as the well-known foreign experts and scholars of the foreign-invested R&D centers in this Municipality. The nominating expert cannot be the completer of the nominated project and should evade the review conducted by the professional team that obtains the nominated project. The nominating units shall include: citywide professional societies with 4A grades or above, social organizations of scientific nature such as industry associations (joint associations), relevant municipal departments and directly affiliated institutions, district governments, and the units of the central government stationed in Shanghai recognized by the Municipal Science and Technology Commission.

The nominator assumes responsibility for recommendation, defense, reply to objection, and is held accountable for the authenticity and accuracy of the relevant materials. The credit management and dynamic adjustment mechanisms for nominating experts and units shall be established.

(2) Set up reviewing cycle and reward categories

The reviewing cycle for all reward categories spans one year. The reviewing cycle of the two categories of the Science and Technology Reward and the Young Technology Outstanding Contribution Reward is adjusted from once every two years to once a year.

The “Science and Technology Popularization Reward” category shall be established separately. The “Science and Technology Popularization” group originally in the Science and Technology Progress Reward category shall be set up as a separate reward category.

(3) Establish a reviewing system with targets and quotas

Targets. The Natural Science Reward shall focus on originality, recognition and scientific value while the Technology Invention Reward shall focus on innovation, advancement and technological value. The Science and Technology Progress Reward shall focus on innovation, application efficiency and economic and social values while the Science and Technology Popularization Reward shall focus on innovation and popularity. The reviewing index system based on scientific and technological innovation quality and contribution shall be classified . The first, second and third prizes of the Natural Science Reward, the Technology Invention Reward, the Science and Technology Progress Reward, and the Science and Technology Popularization Reward (hereinafter referred to as the “Four Major Reward”) shall follow the mechanism of nomination by scale criteria and review and vote in an independent way. The nominator shall make nominations strictly according to the qualification and explain the degree of contribution of the nominee and the proposals regarding the reward category and grade. The reviewing experts shall strictly follow the evaluation criteria and independently vote for the first prize, the second prize and the third prize respectively. The failed first prize nomination is no longer degraded to participate in the second prize review.

Quota. The quantity of reward shall be strictly controlled, with the total number of the four major rewards not exceeding 300. Scientific and technical workers are encouraged to engage in painstaking research. The quantity of rewards for the four major prizes of the first, second and third shall be respectively restricted in accordance with the actual situation of scientific research input and output, scientific and technological development level, etc., and the reward structure shall be further optimized.

(4) Adjust the reward object requirements

The objects of four major rewards shall be changed from “citizens” to “individuals” and foreign science and technology researches shall be included in the category of the four major rewards.

The years requirements for practical test of the nominated scientific and technological achievements shall be ascertained to eliminate the reward for intermediate results, and the same results may not be repeated for rewarding.

(5）Optimize the structure of the Municipal Science and Technology Reward Committee and establish an expert reviewing committee

The Municipal Science and Technology Reward Committee (hereinafter referred to as the “Reward Committee”) takes responsibility of the guidance and management of the science and technology reward work in this Municipality, and accredits the winning persons and organizations of the Municipal Science and Technology Reward.

The Reward Committee invites experts and scholars (including foreigners) to form an expert reviewing committee to conduct evaluation, and propose to the Reward committee the nominees of various categories as well as the reward grades.

Clarify the responsibilities of the expert reviewing committee and relevant departments. The expert reviewing committee shall fulfill the technical evaluation responsibility for the achievements of candidates (persons), be responsible for the results of the review, and give full play to the independent review of peer experts. The relevant departments shall be responsible for formulating rules, standards and procedures, and fulfill the organization, service and supervision functions of the review activities.

(6) Enhance the openness and transparency of reward

The reward policy, evaluation system, review process and the quota of winners shall be released to the public in normality with the exception of non-disclosure. The candidate items and their nominees of the four major rewards shall be publicly notified and subject to supervision from all sectors of society, especially the scientific and technological community.

A post-evaluation system for science and technology reward shall be established. A third-party organization shall be entrusted to evaluate the annual reward performance after the annual Science and Technology Reward Conference, and promote the continuous improvement of science and technology reward.

(7) Establish a supervision committee; improve the credit system for science and technology reward

The Reward committee invites experts and scholars from relevant parties to form a supervision committee which supervises the review process and results throughout the whole procedures in accordance with relevant rules.

Improve the objection handling system, publicize the objection reporting channels, and standardize the handing procedures. We shall formulate review criteria and supervision methods, and clarify the disciplinary rules that should be followed by the nominators, nominees, reviewing experts, organizers, etc. We shall establish a system of evaluation responsibility and credibility, implement a mechanism of credibility commitment, establish a science and technology reward credibility file for each of the reward activities, and incorporate relevant content into the research credibility system.

Severely punish academic misconduct. We shall conduct one-vote veto to repeatedly rewarding, "packaging", lobbying the jury, canvassing, requesting reward and other acts; we shall adopt "zero tolerance" to the acts of fraud, plagiarism, encroachment on the results of others, and have the granted reward revoked. We shall disqualify the judges who violate academic ethics, conduct unfair review and behave distrustfully. The responsible persons and units in violation of the laws shall be filed into the science and technology credibility archive and be publicly notified depending on the seriousness of the case and be disqualified for participating in the municipal science and technology reward activities by phases or permanently. Violations of laws and regulations shall be strictly punished according to law.

(8) Enhance the honor of reward

Proper Use the reward results. We shall adhere to the correct value orientation, follow the principle of "combining material interests and spiritual incentives, with priority on spiritual incentives", appropriately raise the science and technology reward bonus standards, and enhance the sense of honor and mission of the winning scientific and technological personnel.

Strengthen publicity and guidance. We shall adhere to the correct guidance of public opinions, vigorously propagandize scientific and technological talents, excellent achievements, outstanding teams, promote a good social trend of advocating science, seeking truth from facts, encouraging innovation, open collaboration, and inspire the enthusiasm of science and technology workers.

2. Promote high-quality development of science and technology reward at the municipal level

This Municipality establishes only one science and technology reward at the municipal level. The municipal government departments, district governments and their subordinate departments, other organs listed in the scope of the civil service law, and the organs (units) that are governed by the civil service law may not establish the science and technology reward contributed by finance.

3. Encourage the healthy development of science and technology reward established by social forces

We shall adhere to the principle of public welfare and non-profitability, and guide social forces to set up scientific and technological reward with accurate target positioning, distinctive professional features, and compliance with national laws, national security, and strict self-discipline management. No fees may be charged in the reward activities.

We shall study and formulate support policies, encourage academic groups, industry associations, enterprises, foundations and individuals to establish science and technology reward and encourage private funds to support science and technology incentives. An effective mode of information disclosure, industry self-discipline, government guidance, third-party evaluation, and social supervision shall be gradually established to enhance the overall strength and social reputation of science and technology reward by social forces.

III. Specific Implementation

1. The Municipal Science and Technology Commission and the Municipal Judicial Bureau shall revise the Provisions of Shanghai Municipality on Science and Technology Reward and submit them to the Municipal People’s Government for review in accordance with the procedures, and implement the spirit of the science and technology reward system reform from the systematic perspectives. The Municipal Science and Technology Commission shall revise the Detailed Rules for the Implementation of the Science and Technology Reward of Shanghai Municipality, and secure the nomination rules and procedures, index system of classified evaluation, reward quantity and category structure, evaluation supervision, and objection handling in the implementation of the municipal science and technology reward.

2. The Municipal Science and Technology Commission shall, in accordance with the relevant requirements of the State, formulate relevant policies for encouraging the research development of science and technology reward for the social forces.

3. The Municipal Science and Technology Commission, together with the publicity department of the Municipal Party Committee and other departments, shall further strengthen the municipal science and technology reward publicizing and public opinion guidance.

IV. Effective Date

This Implementation Plan shall be effective as of January 1, 2019.