Implementation Rules for the Provisions of Shanghai Municipality on Science and Technology Awards

Chapter I General Provisions

Article 1

With a view to effectively carrying out the work related to the science and technology awards of Shanghai Municipality, and ensuring the quality of the evaluation of these awards, these Implementation Rules are formulated in accordance with the Provisions of Shanghai Municipality on Science and Technology Awards (hereinafter referred to as the "Awards Provisions").

Article 2

The granting of the Shanghai science and technology awards shall be conducted under the leadership of the Communist Party of China, implementing the strategies of rejuvenating China through science and education, strengthening the country through talents, and achieving innovation-driven development. With a view to promoting high-level self-reliance in science and technology, efforts shall be made, under the guiding principles of respecting labor, knowledge, talents and creativity, to encourage unity and collaboration to address key problems, foster independent innovation and pursue new scientific and technological heights. In order to promote the integration of scientific research and technological development with economic and social development, and facilitate the transformation of scientific and technological achievements into practical productive forces, efforts shall be made to create an innovation-encouraging environment, cultivate world-class scientists, leading talents in science and technology, and frontline scientific and technological innovation and entrepreneurial talents, and accelerate the construction of globally influential science and technology innovation centers.

Article 3

As specified in Article 1 of the Awards Provisions, the term "individuals and organizations" (hereinafter collectively referred to as candidates) means natural persons, legal persons and other institutions that have made outstanding contributions to scientific and technological activities in Shanghai, including scientific research, technological inventions, technological development, transformation or industrialization of achievements, and the popularization of science and technology.

Article 4

The Shanghai Science and Technology Awards are conferred upon candidates that have made outstanding and innovative contributions in areas such as scientific discoveries, technological inventions, advancement of scientific and technological progress, and popularization of science and technology. Candidates for the same project shall be ranked according to the significance of their respective contributions.

Article 5

The Shanghai Science and Technology Awards are honorary awards conferred upon individuals or organizations by the government. The certificates awarded do not serve as a basis for determining the ownership of scientific and technological achievements.

Chapter II Scope, Conditions and Evaluation Criteria for Awards

Section 1 Science and Technology Meritorious Worker Award

Article 6

As specified in Item 1, Paragraph 1 of Article 8 of the Awards Provisions, the phrase "those who have made a major breakthrough in contemporary frontier science and technology or made outstanding contributions in scientific and technological development" refers to candidates for the Science and Technology Meritorious Worker Award who have made significant discoveries in basic research or applied basic research, enriched and expanded disciplinary theories, and spurred breakthroughs widely recognized by peers in these disciplinary fields both domestically and internationally, and have made significant contributions to the advancement of science and technology and social progress.

Article 7

As specified in Item 2, Paragraph 1 of Article 8 of the Awards Provisions, the phrase "those who have created enormous economic and social benefits or ecological and environmental benefits in scientific and technological innovations, transformation of scientific and technological achievements, and industrialization of high technologies" refers to candidates for the Science and Technology Meritorious Worker Award who, in their scientific and technological endeavors, particularly in the high-tech fields, have achieved a series of significant technological inventions or innovations, actively promoted the market-oriented transformation of scientific and technological achievements, and generated substantial economic and social benefits or ecological and environmental benefits, thereby making significant contributions to promoting economic development and social progress.

Article 8

Candidates for the Science and Technology Meritorious Worker Award shall be individuals who are still actively engaged in scientific research or technological development in contemporary scientific and technological frontiers.

Section 2 Youth Outstanding Science and Technology Contribution Award

Article 9

Youth Outstanding Science and Technology Contribution Award is evaluated in three categories: basic research, technological development and industrialization, and enterprise innovation and entrepreneurship.

Article 10

As specified in Item 1, Paragraph 1 of Article 9 of the Awards Provisions, the phrase "those who have made significant scientific discoveries in the basic research of natural science" refers to candidates for the Youth Outstanding Science and Technology Contribution Award who have discovered important scientific phenomena, revealed critical scientific laws, or elucidated important scientific theories in basic research and applied basic research, and have received high recognition from peers both domestically and internationally, have promoted the development of related disciplines, and have contributed significantly to scientific and technological progress as well as economic and social development.

Article 11

As specified in Item 2, Paragraph 1 of Article 9 of the Awards Provisions, the phrase "those who have made major inventions or key technological breakthroughs in the research of applied technology and industrialization development, or have made outstanding contributions in science and technology popularization" refers to candidates for the Youth Outstanding Science and Technology Contribution Award who have achieved significant inventions and innovations in key technological processes, equipment, technologies, products, etc., with proprietary intellectual property rights, and whose achievements have been successfully transformed and industrialized, contributing to industry technological progress and generating remarkable economic and social benefits; or those who have made significant innovations in the content, methods, means, technologies, etc., of science and technology popularization, with widespread dissemination and application, significantly enhancing public scientific literacy and generating important social benefits and impacts.

Article 12

As specified in Item 3, Paragraph 1 of Article 9 of the Awards Provisions, the phrase "those who have made outstanding contributions in new high-tech enterprises' innovation and entrepreneurship in this Municipality and also created significant economic or social benefits" refers to candidates for the Youth Outstanding Science and Technology Contribution Award who, as core members of such enterprises, have achieved significant breakthroughs in technological, product, and managerial innovations in the new high-tech enterprises’ innovation and entrepreneurship, and whose technologies or products with a high market share, have contributed to technological progress in relevant industries, and generated remarkable economic and social benefits.

Section 3 Natural Science Award

Article 13

As specified in Item 1, Paragraph 2 of Article 10 of the Awards Provisions, the phrase "having not yet been discovered or expounded by any predecessors" means that the natural science discovery in question is being presented for the first time both domestically and internationally, or the scientific theory thereof is elucidated for the first time both domestically and internationally, with major articles or treatises being published for the first time both domestically and internationally.

As specified in Item 2, Paragraph 2 of Article 10 of the Awards Provisions, the phrase "having significant scientific value" means that the discovery in question is original in terms of scientific theory or doctrine, or innovative in terms of research methods or means; and that the discovery significantly promotes the development of relevant disciplines, or has a substantial impact on the economic construction and social development.

As specified in Item 3, Paragraph 2 of Article 10 of the Awards Provisions, the phrase "having been recognized by the scientific community at home and abroad" means that major articles or treatises have been published in academic publications circulated both domestically and internationally or that it has been over two years since their publication in the form of monographs, and the significant scientific conclusions thereof have been positively cited or applied by peers at important international academic conferences or in openly circulated academic publications or monographs.

Article 14

Candidates for the Natural Science Award shall meet one of the following conditions:

1. having proposed a comprehensive academic thought and research scheme;

2. having discovered significant scientific phenomena, properties and laws, and elucidated scientific theories and doctrines thereof; 

3. or having proposed research methods and means, resolved key and difficult academic problems or experimental technical issues, and conducted systematic collection, integrated analysis, etc. of essential and basic data.

Article 15

Candidates for the Natural Science Award are comprehensively evaluated and ranked for the specific classes of awards based on their scientific discoveries. The criteria are as follows:

1. The First-Class Award may be granted to those who have achieved breakthroughs in science, with discoveries of natural phenomena, revelations of scientific laws, proposed academic viewpoints or research methods being widely cited and applied by the academic community both domestically and internationally, thereby advancing the relevant discipline or related disciplines, or having a significant impact on economic construction or social development.

2. The Second-Class Award may be granted to those who have made significant progress in science, with discoveries of natural phenomena, revelations of scientific laws, proposed academic viewpoints or research methods being extensively cited and applied by the academic community both domestically and internationally, thereby promoting the development of the relevant discipline or its sub-disciplines, or having a considerable impact on economic construction or social development.

The Special Award may be granted for exceptionally outstanding and original innovations with significant scientific value and profound impact in the scientific community both domestically and internationally.

Section 4 Technological Invention Award

Article 16

As specified in Item 1 of Article 11 of the Awards Provisions, the term "products" includes various instruments, equipment, devices, tools, components, and new biological varieties; "technological processes" includes technologies and methods in industry, agriculture, medical and health sectors; "materials" includes new substances obtained through various technological methods; "components" includes major parts on instruments and devices; and "systems" refers to the technical integration of products, technological processes, materials, and components.

As specified in Item 1, Paragraph 2 of Article 11 of the Awards Provisions, the phrase "having not yet been discovered or disclosed by any predecessors" means that the technological invention is either a first creation domestically or internationally, or although existing domestically or internationally, its main technical content has not yet been published in any open domestic or international publications, nor has it been used publicly in China.

As specified in Item 2, Paragraph 2 of Article 11 of the Awards Provisions, the phrase "having advanced, creative, practical and significant technical value" means that compared with existing similar technologies domestically or internationally, the technological invention has innovative technical ideas, principles, or methods, exhibits substantial technical features and remarkable progress, and demonstrates superior performance (properties), economic and technical indicators, scientific and technological level, and its role and significance in promoting scientific and technological progress.

As specified in Item 3, Paragraph 2 of Article 11 of the Awards Provisions, the phrase "having created significant economic and social benefits or ecological and environmental benefits after application and having broad application prospects" means that the technological invention is mature, has been implemented on a large scale for over two years, and has generated remarkable economic and social benefits or ecological and environmental benefits, with broad application prospects.

Article 17

Candidates for the Technological Invention Award shall meet one of the following conditions:

1. having made significant contributions to the overall design of the project scheme;

2. having made significant technological inventions in core technological breakthroughs; 

3. or having made creative contributions in the transformation and application of the achievements.

Article 18

Candidates are comprehensively evaluated and ranked for the specific classes of the Technological Invention Award based on their technological inventions. The criteria are as follows:

1. The First-Class Award may be granted to those who have achieved major technological inventions that are first of their kind domestically or internationally, with unique technical ideas and significant innovations, and have been granted invention patents. The technological and economic indicators should reach the leading level compared with similar technologies, contribute to technological progress in related fields, and have generated remarkable economic and social benefits or ecological or environmental benefits.

2. The Second-Class Award may be granted to those who have made significant technological inventions that are either new domestically or internationally, or existing but not yet disclosed, with novel technical ideas and considerable innovations. The invention should have been granted an invention patent, with its technological and economic indicators reaching the advanced level compared with similar technologies, contributing to technological progress in the field, and generating noticeable economic and social benefits or ecological and environmental benefits.

The Special Award may be granted for the exceptionally original inventions, whose main technological and economic indicators significantly surpass those of similar technologies or products domestically or internationally, and have achieved substantial economic and social benefits or ecological and environmental benefits.

Article 19

Significant technological inventions eligible for the Technological Invention Award shall not include technologies that rely solely on personal experience, skills or techniques and that cannot be reproducibly implemented.

Section 5 Scientific and Technological Progress Award

Article 20

As specified in Item 1, Paragraph 2 of Article 12 of the Awards Provisions, the phrase "having outstanding technological innovation and advanced technical and economic indicators" means creating leading industry technologies and well-known products through significant technological innovations, particularly independent innovations in new high-tech fields, or enhancing the technological content and increasing added-value of products and thereby equipping and transforming traditional industries through the application of new and high technologies; addressing significant technical challenges, including hot, difficult and key issues in industry development; and achieving such a level that the overall technological and economic indicators lead the industry.

As specified in Item 3, Paragraph 2 of Article 12 of the Awards Provisions, the phrase "remarkable economic and social benefits or ecological and environmental benefits through application and promotion" means that the projects developed, after being applied and implemented on a relatively large scale for over two years, have generated great economic and social benefits or ecological and environmental benefits, thereby realizing the market value or social value of technological innovation, and making great contributions to economic construction and social development.

As specified in Item 3, Paragraph 2 of Article 12 of the Awards Provisions, the phrase "having made significant contributions in promoting an industry's scientific and technological advancement and improving people's livelihood" means that the projects with high levels of transformation, strong demonstration effects and dissemination capacity have promoted the adjustments, optimization and upgrading of industrial structures, and have a substantial impact on industry development and improvements in people's livelihoods.

Article 21

Candidates for the Scientific and Technological Progress Award shall meet one of the following conditions:

1. having made significant contributions to the overall technical plans of the projects;

2. having made significant technological innovations in solving the key technical and difficult problems;

3. having made creative contributions in the transformation and widespread application of the achievements;

4. having made significant contributions to the industrialization of high technologies; 

5. or having made significant contributions in scientific research related to scientific and technological management and decision-making.

Article 22

Candidates for the Scientific and Technological Progress Award are evaluated comprehensively, and the award levels are determined based on the completed projects. The evaluation criteria are as follows:

1. The First-Class Award may be granted for projects which, with a focus on major and strategic needs of the State or this Municipality, have achieved significant innovations in key technologies or system integration, and given the great technical difficulties, whose overall technical level and key technical indicators have reached the leading level of international technologies or products of the same kind, and which meets one of the following conditions:

A. demonstrating strong market competitiveness, having contributed significantly to economic development, generated significant economic benefits, and played a significant role in advancing industry technology and optimizing industrial structures;

B. having been widely applied in the industry, achieved significant social benefits, and played a crucial role in scientific and technological development, social progress, ecological and environmental protection, and improvement of people's livelihood; 

C. or having achieved prominent transformation and application of scientific and technological achievements, and made significant contributions to urban construction and development of this Municipality.

2. The Second-Class Award may be granted for projects which, with a focus on addressing the strategic needs of the State or this Municipality, have achieved fairly remarkable innovations in key technologies or system integration, and given the relatively challenging technical difficulties, whose overall technical levels and key technical indicators are quite close to the level of international technologies or products of the same kind, and which meets one of the following conditions:

A. demonstrating strong market competitiveness, having contributed significantly to economic development, generated remarkable economic benefits, and played a fairly important role in advancing industry technology and adjusting industrial structures;

B. having been extensively applied in the industry, having achieved remarkable social benefits, and played a fairly important role in scientific and technological development, social progress, ecological and environmental protection, and improvement of people's livelihood; 

C. or having achieved remarkable transformation and application of scientific and technological achievements, and made important contributions to urban construction and development of this Municipality.

The Special Award may be granted for projects which feature exceptionally prominent technological innovativeness, and make significant contributions to promoting technological progress in the industry, and to generating particularly remarkable economic and social benefits or ecological and environmental benefits.

Section 6 Science and Technology Popularization Award

Article 23

As specified in Item 1, Paragraph 2 of Article 13 of the Awards Provisions, the phrase "having created an expressional form, a production method, etc. with innovative and promotional value" means that innovative designs and production techniques with proprietary intellectual property rights have been used to present scientific principles, scientific methods, technical knowledge, and high-tech products in a visualized, vivid, and easily understandable manner, and have been widely promoted.

As specified in Item 12, Paragraph 2 of Article 13 of the Awards Provisions, the phrase "having significantly promoted the popularization of the achievements in frontier, hot spots or other important scientific and technological fields" means that the science popularization content is able to represent the latest research results and applications in both domestic and international scientific frontiers, technological hotspots and high-tech fields in an accurate, comprehensive, scientific, visualized and interesting manner.

As specified in Item 3, Paragraph 2 of Article 13 of the Awards Provisions, the phrase "having effectively improved the scientific and cultural quality of the public and having achieved remarkable social benefits" refers to the widespread recognition and acceptance of the introduced content, including scientific and technological knowledge, and scientific methods, thoughts and spirit, which plays a significant, exemplary and leading role in science popularization and directly or indirectly contributes to the development of related scientific and technological fields and talent cultivation of such fields.

Article 24

Candidates for the Science and Technology Popularization Award should be the primary contributors to the creation of outstanding science popularization work.

Article 25

Candidates for the Science and Technology Popularization Award shall be evaluated and ranked based on the quality of their science popularization outcomes. The evaluation criteria are as follows:

1. The First-Class Award may be granted to those whose work features accurate and comprehensive presentation of scientific and technological content, and significant innovations in content selection, expressional forms and creation techniques, whose scope and reach of popularization are at a leading level domestically, and those whose work receives high praise from the public, and directly or indirectly advances the development and talent cultivation in related fields.

2. The Second-Class Award may be granted to those whose work features accurate and comprehensive presentation of the scientific and technological content, with important innovations in content selection, expressional forms and creation techniques, whose scope and reach of popularization are at an advanced level domestically, and those whose work receives relatively high praise from the public and directly or indirectly advances the development and talent cultivation in related fields.

The Special Award may be granted for work which demonstrates exceptional innovation, extraordinarily wide scope and reach of popularization, and outstanding science popularization effects and social benefits.

Section 7 International Scientific and Technological Cooperation Award

Article 26

As specified in Article 14 of the Awards Provisions, the term "foreigners" refers to foreign nationals who work full-time at foreign organizations.

Article 27

Candidates for the International Scientific and Technological Cooperation Award shall meet one of the following conditions:

1. having accomplished major scientific and technological results through collaborative research and development with citizens or organizations of this Municipality, significantly promoted economic benefits and social development, and achieved remarkable economic and social benefits or ecological and environmental benefits;

2. having made important contributions to imparting advanced scientific and technological knowledge to citizens or organizations of this Municipality, providing important suggestions and measures for scientific and technological development, and training scientific, technological, or management talents, thereby advancing the scientific and technological development of Shanghai and achieving remarkable economic and social benefits or ecological and environmental benefits;

3. or having actively publicized the scientific and technological policies and achievements of this Municipality, and made important contributions to promoting the scientific and technological exchange and cooperation between this Municipality and other countries or international organizations, thereby enhancing Shanghai’s international influence in the field of science and technology.

Chapter III Nomination and Acceptance

Article 28

As specified in Article 15 of the Awards Provisions, the term "scientific and technological experts" refers to individuals who meet one of the following conditions:

1. recipients of the State Preeminent Science and Technology Award;

2. recipients of the Shanghai Science and Technology Meritorious Worker Award;

3. academicians of the Chinese Academy of Sciences;

4. academicians of the Chinese Academy of Engineering;

5. first-place winners of the Special Award or First-Class Award of the Shanghai Natural Science Award, the Technological Invention Award, the Science and Technology Progress Award, or the Science and Technology Popularization Award;

6. recipients of globally recognized scientific awards, such as the Nobel Prize and the Turing Award; 

7. or renowned foreign experts working at foreign-funded R&D centers in Shanghai.

The specific criteria for the nomination qualifications of "units", as specified in Article 15 of the Awards Provisions, will be separately formulated by the municipal administrative department of science and technology.

Article 29

Qualified experts may nominate one Shanghai Science and Technology Award project per year in their areas of expertise.

Article 30

Nominators shall strictly adhere to the criteria and provide detailed explanations of the nominees' contributions, recommend the appropriate award levels, and conduct the review and confirmation process as stipulated in Articles 16 and 17 of the Awards Provisions.

Article 31

Projects which are involved in disputes related to intellectual property rights or other issues concerning completing units or individuals, and which are under litigation, arbitration, administrative adjudication, or administrative review, cannot be nominated for the Shanghai Science and Technology Award until these disputes are resolved.

Article 32

Projects requiring relevant legal or administrative approvals, such as new plant and animal varieties, food, drugs, and genetic engineering technologies and products, cannot be nominated for the Shanghai Science and Technology Award until they have received approval from the competent administrative authorities.

Article 33

Achievements that have already received or been nominated for the State Science and Technology Award, or science and technology awards from other provinces, autonomous regions, or municipalities within the same year, are not eligible for nomination for the Shanghai Science and Technology Award.

Article 34

There should be a one-year interval between the granting of the Shanghai Science and Technology Award to the principal three contributors and their re-nomination as principal three contributors for another project. The principal three contributors nominated for the Shanghai Science and Technology Award in a given year cannot be re-nominated as the principal three contributors for other projects in the same year. If a project has been evaluated but not awarded for two consecutive years, it must wait one year before being re-nominated.

Article 35

Foreigners employed by institutions registered in Shanghai who have been engaged in long-term scientific research in Shanghai, with intellectual property rights of their achievements owned or jointly owned by Chinese entities, are eligible to be nominated for the Shanghai Natural Science Award, the Technological Invention Award, the Science and Technology Progress Award, and the Science and Technology Popularization Award.

Article 36

The municipal administrative department of science and technology is responsible for the formal review of nomination materials. Incomplete nomination submissions must be corrected or supplemented within the specified timeframe. If the required corrections or supplementations are not made within the given time, or if the corrected and supplemented submissions still do not meet the requirements, they may not be submitted for further evaluation.

Chapter IV Evaluation

Article 37

Information on the nomination results of the Shanghai Science and Technology Awards shall be made known to the public and be subject to public supervision.

Article 38

For candidates that have passed the formal examination, the Evaluation Committee shall organize evaluation experts in accordance with relevant rules to conduct the preliminary evaluation.

Preliminary evaluation can be conducted in the forms of correspondence or meetings, where evaluation experts form preliminary evaluation results through scoring, voting, etc., based on relevant rules and evaluation criteria.

Article 39

Upon completion of the preliminary evaluation, the Evaluation Committee shall set up evaluation panels by disciplines and specialties, with the panels conducting a review of the candidates that have passed the preliminary evaluation, making recommendations for winners and award levels, and forming the review results.

Article 40

The municipal administrative department of science and technology shall disclose the review results to the public. If there are no objections to such disclosure, or if objections have been resolved within the specified time, candidates can proceed to the final evaluation.

The municipal administrative department of science and technology shall organize experts to conduct investigations on candidates proposed after the review for the Special Award and those for the Science and Technology Meritorious Worker Award and the International Scientific and Technological Cooperation Award. For candidates for the International Scientific and Technological Cooperation Award, opinions of the competent department for relevant foreign affairs shall be sought.

Article 41

After the disclosure of the review results and the resolution of the objections, the Evaluation Committee shall conduct a final evaluation in accordance with the evaluation rules to propose the candidates for the awards.

Article 42

Upon the completion of the final evaluation, the Evaluation Committee shall report to the Award Committee on the formal examination, the preliminary evaluation, the disclosure of the review results, the resolution of the objections, and the final proposal for awarding.

Article 43

The evaluation procedure for the Shanghai Science and Technology Awards adheres to the recusal system, under which candidates nominated for the Shanghai Science and Technology Awards in a given year should not participate in the evaluation for that same year.

Chapter V Objections and Disposal

Article 44

The Shanghai Science and Technology Award is subject to social supervision and implements an objection system. Any unit or individual that objects to the candidates for the Shanghai Science and Technology Award may raise their objections to the municipal administrative department of science and technology within the disclosure period of the review results. Objections raised after the deadline will not be accepted. Any party involved in the raised objections shall actively cooperate without any excuse or delay.

To protect the legitimate rights and interests of those who raise objections, the municipal administrative department of science and technology and other personnel involved in the investigation and disposal of such objections shall keep the identity of the objectors confidential; in the event that disclosure is necessary, consent from the objectors shall be obtained beforehand, except when the objections involve claims for their own rights and interests that cannot be kept confidential.

Article 45

Objections shall be submitted in writing to the municipal administrative department of science and technology with real names, and should include proof of identity, valid contact information, and necessary evidence materials or investigation clues.

Article 46

The municipal administrative department of science and technology shall accept the objections that meet the requirements outlined in Article 45 of these Implementation Rules.

Article 47

Objections submitted under false identities will not be accepted. Anonymous objections are generally not accepted.

Article 48

After accepting the objections, the municipal administrative department of science and technology will issue an objection referral letter to the relevant nominators, requiring them to conduct investigations and verifications within a specified period. The nominators concerned shall promptly forward the objections to the project accomplisher, instruct them to submit defense materials, conduct investigation and verification of the content of the materials of both sides concerned of the objections, and provide feedback on the investigation and verification, along with the opinions of the nominators concerned to the municipal administrative department of science and technology within the time specified in the objection referral letter. When necessary, the municipal administrative department of science and technology may organize experts directly to investigate and handle the situations or use methods such as colloquia or hearings to gather opinions.

Candidates involved in objections should promptly provide their defense reasons and submit supplementary materials and supporting documents related to the objections.

Article 49

Objections that have been handled within 30 days after the end of the disclosure period of the review results may be submitted for evaluation in the current year. When nominators are unable to complete the investigation and verification of the objections on time due to objective reasons, they shall explain the reasons to and apply for an extension with the municipal administrative department of science and technology. When the objection handling materials cannot be submitted before the deadline of the next round of evaluation, the relevant projects shall be suspended from evaluation. Upon approval of the suspension of the evaluation, they shall complete the investigation and handling of the objections within the specified time limit for the next year and submit all required materials, provided that the content of the nominations remains substantially unchanged from the suspension point. If the submissions still fail to meet the evaluation conditions in the next year, the relevant projects shall be terminated from evaluation.

If nominators fail to submit the investigation and verification materials to the municipal administrative department of science and technology within the specified time limit and do not apply for an extension, the relevant projects shall be terminated from evaluation.

Article 50

The municipal administrative department of science and technology shall report the disposal of the objections concerning the Shanghai Science and Technology Award to the Supervision Committee. When necessary, the Supervision Committee may ask for a special report.

Article 51

The municipal administrative department of science and technology shall reply with the results of the objection handling to the individuals or organizations that raised the objections within 30 days after the end of the period of disclosure, and report the objection handling situation to the Evaluation Committee and the Supervision Committee.

Chapter VI Approval and Grant of Awards

Article 52

After confirmation of the winners and specific classes of awards by the Award Committee, the municipal administrative department of science and technology shall submit the confirmed results to the Municipal People's Government for approval.

Article 53

Candidate units for the Natural Science Award, the Technological Invention Award, the Technology Progress Award, and the Science and Technology Popularization Award should be the principal units that provide support such as technology, equipment and personnel, and play a key role in the organization, management and coordination during project research and development, transformation and application, and science and technology popularization.

Article 54

There are limitations on the number of award recipients and award units for individual projects under the Shanghai Science and Technology Award.

For the Special Award of the Natural Science Award, the number of award recipients for each project shall not exceed 10, and the number of award units shall not exceed 10; for the First-Class Award and Second-Class Award, the number of award recipients for each project shall not exceed 5, and the number of award units shall not exceed 5.

For the Special Award of the Technological Invention Award, the Technology Progress Award, and the Science and Technology Popularization Award, the number of award recipients for each project shall not exceed 30, and the number of award units shall not exceed 20; for the First-Class award, the number of award recipients for each project shall not exceed 15, and the number of award units shall not exceed 10; for the Second-Class Award, the number of award recipients for each project shall not exceed 10, and the number of award units shall not exceed 7.

The total number of awards for the Natural Science Award, the Technological Invention Award, the Technology Progress Award, and the Science and Technology Popularization Award shall not exceed 200 each time, with the Special Award projects not exceeding 2, and the First-Class Award projects not exceeding 70.

Chapter VII Supervision

Article 55

The municipal administrative department of science and technology conducts routine supervision on the evaluation in accordance with the requirements of the Supervision Committee. Any unit or individual that discovers problems in any stage of the Shanghai Science and Technology Award evaluation, including nomination, formal review, preliminary evaluation, review, and final evaluation, may report and file complaints with the Supervision Committee.

Article 56

The Shanghai Science and Technology Award evaluation implements a credit system. The municipal administrative department of science and technology maintains credit records for experts participating in the evaluation, and incorporates relevant information into this Municipality’s public credit information catalogue in accordance with law.

Article 57

In the case of units and individuals that violate the Awards Provisions and the provisions of these Implementation Rules during evaluation, the Supervision Committee may recommend relevant authorities to take appropriate actions.

Article 58

If experts participating in the Shanghai Science and Technology Award evaluation violate the code of conduct on evaluation or related provisions, the municipal administrative department of science and technology may, depending on the circumstances, instruct them for correction, include them into this Municipality's science and technology credit information platform, issue warnings, circulate notices of criticism, terminate their appointment, or disqualify them from participation. At the same time, suggestions may be made to their respective units or competent departments for further disciplinary actions.

Article 59

If individuals involved in the organization of the Shanghai Science and Technology Award evaluation engage in fraud, malpractice or favoritism, the municipal administrative department of science and technology or relevant competent departments shall take corresponding disciplinary actions in accordance with law.

Article 60

Any unit or individual discovering fraud, falsification, encroachment or plagiarism related to award-winning projects may report these issues to the municipal administrative department of science and technology for further investigation and verification, and submit proposed measures for handling such issues for approval by the said administrative department.

Chapter VIII Supplementary Provisions

Article 61

The management of funds for nomination, evaluation and granting of the Shanghai Science and Technology Award shall be implemented in accordance with relevant provisions of the State.

Article 62

These Regulations shall be effective as of January 26, 2024.