Administrative Measures of Shanghai Municipality for the Science and Technology Expert Database

Chapter I  General Provisions

Article 1

With a view to accelerating the establishment of a globally influential science and technology innovation center, deepening the reform of science and technology management, improving the selection and engagement of review experts, enhancing the scientification of decision-making, and advancing the development of the Shanghai Science and Technology Expert Database (hereinafter referred to as "the Expert Database"), these Measures are formulated in accordance with relevant provisions of the Opinions on Deepening the Reform of Project Evaluation, Talent Assessment, and Institutional Review and the Several Opinions on Further Strengthening the Construction of Research Integrity issued by the General Office of the CPC Central Committee and the General Office of the State Council, and relevant provisions of Shanghai on science and technology management, and in light of practical work requirements.

Article 2

The Expert Database consolidates various types of high-level talents and serves the science and technology management of Shanghai. It is a key component of the Shanghai Science and Technology Management Information System (hereinafter referred to as the "Information System"). The Expert Database shall be constructed and operated under the principles of centralized coordination, standardization, security and reliability, and information sharing.

Article 3

Shanghai Science and Technology Commission (hereinafter referred to as "the Science Commission") shall be responsible for the overall planning and coordination of the Expert Database, study to formulate relevant policies and management systems, oversee its operation and maintenance, development and utilization, as well as expert services.

Article 4

Experts participating in the science and technology activities of the Science Commission, such as project evaluations, shall be incorporated into the Expert Database for unified management. The evaluation activities include, but are not limited to, consultation, review, assessment, and appraisal.

Chapter II  Construction and Management of Expert Database

Article 5

Experts to be included in the Database shall meet the following basic criteria:

1.uphold the Constitution of the People's Republic of China, abide by Chinese laws and social ethics, with no record of major illegal activities or criminal offenses;

2.maintain integrity and self-discipline, possess good professional ethics, with no record of poor research integrity;

3.have a high level of expertise and strong analytical and judgment capabilities, be familiar with research and development trends in relevant fields or industries, and have a good command of relevant laws, rules, policies, and standards; and

4.be in good health, and have the time and energy required to complete tasks such as project evaluation.

Article 6

Experts are categorized by their fields of expertise as follows: Research & Development, Industrial Management, Decision-making Consultation, Financial Auditing, Financial Investment, Technology Transfer, and Science Outreach.

1.Research & Development Experts shall possess a senior professional title; or have served as a principal investigator for projects (or research topics) under national or provincial/ministerial-level S&T programs; or be a recipient of national or provincial/ministerial-level S&T awards; or hold a senior position in a major international academic organization; or be a drafter of international standards. Conditions may be appropriately relaxed for outstanding young scholars with significant research achievements, experts from Hong Kong, Macao, and Taiwan, foreign experts, and key research personnel from leading S&T enterprises, national-level innovative enterprises, national technological innovation demonstration enterprises, listed S&T companies, national high-tech enterprises, advanced technology service enterprises, national-level "Little Giant" enterprises that specialize in niche markets, exhibit refined production techniques, and possess unique innovations, high-level new-type R&D institutions, and foreign-invested R&D centers.

2.Industrial Management Experts shall be senior executives from leading S&T enterprises, national-level innovative enterprises, national technological innovation demonstration enterprises, listed S&T companies, national high-tech enterprises, advanced technology service enterprises, national-level "Little Giant" enterprises that specialize in niche markets, exhibit refined production techniques, and possess unique innovations, national high-tech industrial development zones, nationwide or city-wide industry associations and societies, industrial technology innovation alliances, and S&T-related social organizations; or outstanding S&T entrepreneurs; or other individuals with significant contributions to industry and extensive management experience.

3.Decision-making Consultation Experts shall be individuals engaged in research related to S&T development strategy and planning, S&T policy, and S&T management. This includes personnel from S&T management departments of government organs and research institutions, individuals holding senior positions in think tanks or consulting firms, and experts and scholars with substantial achievements and high prestige in relevant research fields for decision-making consultation.

4.Financial Auditing Experts shall be senior accountants, senior auditors, senior economists, or certified public accountants familiar with the management of S&T funds, as well as mid-level or senior managers involved in the management of research funds in enterprises, public institutions, or other social organizations.

5.Financial Investment Experts shall be professionals holding senior positions in financial or venture capital institutions, familiar with direct financing operations in capital markets such as angel investment and venture capital, as well as indirect financing operations such as bank credit, S&T insurance, and financial leasing.

6.Technology Transfer Experts shall be individuals engaged in technology transfer services, or the research/management of scientific and technological achievements transformation. This includes technology managers with a high level of knowledge, professional competence, and a strong service record; individuals holding senior positions in service organizations such as those for technology transfer, intellectual property, or business incubation; and other individuals with outstanding contributions or extensive practical experience in technology transfer services or the research/management of scientific and technological achievements transformation.

7.Science Outreach Experts shall be science communicators with extensive practical experience and outstanding achievements in areas such as outreach management, theoretical research, outreach activities, publicity, content creation, education, and exhibition design; or individuals holding senior positions in science communication related organizations who are familiar with relevant laws, rules, and policies on science outreach.

Article 7

Experts are included in the Database through three methods: Open Solicitation, Special Invitation, and Exchange & Sharing.

1. Open Solicitation

This method combines individual applications with unit recommendations. Applicants may submit applications online at any time throughout the year. The applicant's affiliated unit shall be responsible for reviewing the applicant's eligibility and verifying the authenticity and reliability of the information provided, fulfilling its recommendation responsibility, and submitting the application.

2. Special Invitation

Based on the practical needs of science and technology management, the Science Commission may proactively invite qualified high-level domestic and international experts or experts in fields with talent shortages, to be directly included in the Database, subject to their consent.

3. Exchange & Sharing

This involves establishing resource-sharing mechanisms for S&T experts with other domestic provinces (municipalities, autonomous regions), especially within the Yangtze River Delta region, to include high-level and specific technical field experts into the Database.

The list of experts proposed for inclusion shall be publicized on the information system for period of five working days, except where otherwise prescribed by laws and rules concerning state secrets or other confidential matters. Any unit or individual may raise objections to the publicized candidate experts during the period by submitting a written, real-name objection to the Science Commission. Experts for whom no valid objections are raised, or where raised objections are deemed unjustified upon review, are formally included in the Expert Database.

Article 8

To promote the deep integration of technological innovation and industrial innovation, and to strengthen the role of enterprise experts in scientific and technological activities, such enterprises as the leading S&T enterprises, national-level innovative enterprises, national technological innovation demonstration enterprises, listed S&T companies, national high-tech enterprises, advanced technology service enterprises, and national-level "Little Giant" enterprises that specialize in niche markets, exhibit refined production techniques, and possess unique innovations shall be encouraged to recommend qualified industrial executives, key R&D personnel, and technology managers for inclusion in the Expert Database.

Article 9

To better leverage the role of young scientific and technological talents in policy consultation, various innovation entities, including higher education institutions, research institutes, and enterprises shall be encouraged to actively recommend high-level young S&T talents who are active at the forefront of research and are responsible and credible for inclusion in the Expert Database.

Article 10

To actively attract high-level domestic and international experts and increase the proportion of external experts in the Database, multinational corporations, foreign-invested R&D centers, higher education institutions, and research institutes shall be encouraged to recommend high-tech talents recruited from overseas, and nationally renowned research units are encouraged to recommend high-level talents from other regions across various fields for inclusion in the Expert Database.

Article 11

The Expert Database implements a dynamic information update mechanism. Experts shall confirm their information annually and promptly update their information online whenever changes occur.

Recommending units shall promptly remind experts to confirm or update their information and review the updated information in a timely manner. If an expert changes their affiliated unit, the original recommending unit shall promptly revoke its recommendation.

Experts who fail to confirm or update their information for two consecutive years will have their expert status suspended. The suspended status can be lifted after the expert's information is confirmed or updated and reviewed by their current affiliated unit.

Article 12

An expert shall be removed from the Database under any of the following circumstances:

1.violating relevant laws and rules, thereby harming national interests or major public interests;

2.breaching scientific ethics or engaging in misconduct, thereby seriously damaging the reputation of the expert community;

3.violating provisions during scientific and technological activities such as project evaluations, where the circumstances are serious;

4. becoming unsuitable to serve as an expert due to reasons such as health conditions or job changes; and

5.other circumstances under which the expert is deemed unfit to perform expert duties.

Should a recommending unit become aware that an expert is involved in any of the above circumstances, it shall promptly revoke its recommendation and report the matter to the Science Commission

Cases involving research integrity shall be handled by the Science Commission in accordance with the relevant management measures on research integrity.

Chapter III  Experts Selection and Engagement

Article 13

Experts required by the Science Commission for activities such as science project evaluation and review, comprehensive performance assessment, and science and technology award evaluation shall be selected and engaged from the Expert Database in accordance with the provisions of these Measures.

The selection and engagement of experts for other management processes shall be carried out with reference to these Measures based on actual needs.

Article 14

The roles of selecting experts and engaging experts for specific tasks shall be separated.

Article 15

The selection and engagement of experts from the Expert Database shall comply with the following requirements:

1.Meet integrity requirements for science and technology experts: Experts undergoing a constraint period for dishonesty shall not be selected or engaged.

2.Comply with operational requirements for science and technology activities: Expert selection shall be conducted through either random selection or selective appointment based on merits. The method, criteria, and scope of selection shall be determined according to the specific characteristics of the particular type of engagement.

3.Satisfy peer review requirements: For peer review, experts shall be selected based on their professional level, knowledge structure, and research achievements, considering the category, field, and main research content of the subject under review.

4. Comply with rotation requirements: For the same type of S&T project evaluation organized through the merit-based selection process, an expert shall not participate consecutively for more than two years.

5.Comply with recusal requirements: An expert shall not be selected or engaged if they are the subject of the evaluation, have a known conflict of interest with the subject, are applying for a project under the same funding guideline as the subject project during the same period, or are included on a valid recusal list submitted by the subject.

Article 16

The Science Commission shall establish an expert tagging system and employ technologies such as big data and artificial intelligence to fully utilize information on experts' fields of expertise and research achievements, thereby enhancing the scientific rigor and precision of expert selection.

Article 17

Upon receiving an invitation to participate in a science or technology activity such as a project evaluation, an expert shall proactively recuse himself and decline to participate if any of the following circumstances apply:

1.having a close familial relationship, teacher-student relationship (established during Master's or Doctoral studies), or other significant interest with the subject under review;

2.having a collaborative relationship with the subject within the past three years, evidenced by joint undertaking of research projects, receipt of science and technology awards, co-authorship of publications, or joint filing of patents;

3.having an employment relationship with the unit under review within the past two years, including currently serving as a consultant or advisor to that unit;

4.having an economic interest in the unit under review, such as holding equity in that unit (excluding cases where the unit under review is a listed company); or

5.other circumstances that could potentially compromise the impartiality of the project evaluation or such science or technology activities .

Article 18

Prior to the commencement of a science or technology activity such as a project evaluation, experts shall sign a Letter of Commitment for Integrity.

Article 19

The list of review experts shall be made public on the information system to accept public oversight, except where otherwise prescribed by laws and rules concerning state secrets or other confidential matters.

Article 20

The Science Commission shall evaluate an expert's participation in review activities based on criteria such as review quality, professional attitude, and adherence to review discipline. The evaluation results shall serve as an important reference for subsequent expert selection and engagement.

Chapter IV  Rights and Obligations of Experts

Article 21

Experts shall enjoy the following rights:

1.to express opinions and suggestions independently, free from interference by any organization or individual;

2.to have their personal information protected;

3.to receive remuneration in accordance with relevant provisions and standards;

4.to choose whether to participate in science and technology activities such as a project evaluation based on their personal circumstances;

5.to voluntarily withdraw from the Expert Database; and

6.other rights prescribed by laws and rules.

Article 22

Experts shall fulfill the following obligations:

1.to promptly update their expert information when changes occur;

2.to proactively request recusal in strict accordance with Article 17 of these Measures;

3.to strictly comply with laws, rules, work discipline, and confidentiality requirements, and to resist or, in accordance with the law, report any illegal or irregular activities in a project evaluation or such science and technology activities;

4.to provide independent, objective, and impartial expert opinions within a specified time limit and to bear legal responsibility for the opinions rendered;

5.to promptly notify the Science Commission and provide reasons if unable to conduct a review due to difficulties in making a professional judgment, lack of capacity, or other circumstances; and

6.to proactively accept the supervision and management by relevant departments.

Chapter V  Supervision and Management

Article 23

Equal emphasis shall be placed on positive guidance and regulatory oversight. The spirit of scientists shall be vigorously promoted throughout society to foster an impartial review environment and a healthy academic ecology. Experts shall be guided through education and publicity to maintain integrity and self-discipline, abide by the fundamental principles of credibility and consciously resist various illegal, disciplinary, and scientifically unethical behaviors in project evaluation and such science and technology activities.

Article 24

The Science Commission shall establish a long-term supervision mechanism for experts through methods such as pre-activity integrity checks, in-process reminders and supervision, and post-activity random checks and evaluations.

Article 25

Experts participating in science and technology activities such as project evaluation, shall observe the following disciplines:

1. shall not obtain qualifications for project evaluation and such science and technology activities through fraudulent or other improper means;

2. shall not violate recusal system requirements;

3.shall not accept requests for favors, such as "influencing through personal connections" or "using relationships" ;

4.shall not guide, lobby other experts or staff, or influence the process and outcome of project evaluation and such science and technology activities;

5.shall not solicit or accept gifts, money, or other improper benefits from interested parties;

6.shall not provide clearly inappropriate expert opinions;

7.shall not disclose technical secrets, commercial secrets, or personal privacy learned during project evaluation and such science and technology activities; shall not disclose confidential information regarding applicants, the list of experts, expert opinions, review conclusions, or other related information;

8.shall not plagiarize or misappropriate the scientific and technological achievements of the subject under review;

9.shall not violate relevant state provisions on confidentiality in science and technology activities;

10.shall not commit other relevant violations specified by laws, rules, regulations or normative documents; and

11.shall not use or publicize the inclusion in the Expert Database as an honorary title.

Article 26

If an expert violates provisions during science and technology activities such as project evaluation, and such violation is verified upon investigation, the matter shall be handled in accordance with the relevant national and Shanghai provisions on dealing with violations in science and technology activities. If necessary, the projects involved shall be re-reviewed.

Cases involving research misconduct shall be recorded in the research integrity records in accordance with relevant provisions of the Measures of Shanghai Municipality for the Investigation and Handling of Research Misconduct.

Article 27

Recommending units shall diligently fulfill their primary responsibilities, strengthen the verification of expert information, and promptly report major issues such as research misconduct, illegal activities, or disciplinary violations. If, due to inadequate review or untimely reporting, significant impact is caused to project evaluation and such science and technology activities, handling measures shall be imposed based on the severity of the circumstances. These may include recording in the unit's integrity file, guidance for rectification, or even revocation of the unit's recommendation eligibility.

Article 28

Information system construction shall be strengthened. Full traceability of operations shall be achieved for such activities as expert selection, expert review, expert recusal, and expert management, ensuring that operation records are queryable and traceable.

Article 29

The Science Commission shall strictly safeguard the information security of the Expert Database. Expert Database managers, users, and construction/maintenance personnel shall be held accountable according to laws and rules if any of the following acts are committed:

1.gross negligence causing significant impact or loss;

2.unauthorized copying, downloading, leaking, or selling of Expert Database information; or

3.other work-related violations of rules or discipline.

Chapter VI  Supplementary Provision

Article 30

These Measures shall be effective as of September 1, 2025, and valid until August 31, 2030. The original Administrative Measures of Shanghai Municipality for Science and Technology Expert Database (SMSTC D [2024] No. 2) shall be simultaneously repealed.